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The Hard Problem of Consciousness

The hard problem of consciousness is the problem of explaining why any physical state is conscious rather than nonconscious.  It is the problem of explaining why there is “something it is like” for a subject in conscious experience, why conscious mental states “light up” and directly appear to the subject.  The usual methods of science involve explanation of functional, dynamical, and structural properties—explanation of what a thing does, how it changes over time, and how it is put together.  But even after we have explained the functional, dynamical, and structural properties of the conscious mind, we can still meaningfully ask the question, Why is it conscious? This suggests that an explanation of consciousness will have to go beyond the usual methods of science.  Consciousness therefore presents a hard problem for science, or perhaps it marks the limits of what science can explain.  Explaining why consciousness occurs at all can be contrasted with so-called “easy problems” of consciousness:  the problems of explaining the function, dynamics, and structure of consciousness.  These features can be explained using the usual methods of science.  But that leaves the question of why there is something it is like for the subject when these functions, dynamics, and structures are present.  This is the hard problem.

In more detail, the challenge arises because it does not seem that the qualitative and subjective aspects of conscious experience—how consciousness “feels” and the fact that it is directly “for me”—fit into a physicalist ontology, one consisting of just the basic elements of physics plus structural, dynamical, and functional combinations of those basic elements.  It appears that even a complete specification of a creature in physical terms leaves unanswered the question of whether or not the creature is conscious.  And it seems that we can easily conceive of creatures just like us physically and functionally that nonetheless lack consciousness.  This indicates that a physical explanation of consciousness is fundamentally incomplete:  it leaves out what it is like to be the subject, for the subject.  There seems to be an unbridgeable explanatory gap between the physical world and consciousness.  All these factors make the hard problem hard.

The hard problem was so-named by David Chalmers in 1995.  The problem is a major focus of research in contemporary philosophy of mind, and there is a considerable body of empirical research in psychology, neuroscience, and even quantum physics.  The problem touches on issues in ontology, on the nature and limits of scientific explanation, and on the accuracy and scope of introspection and first-person knowledge, to name but a few.  Reactions to the hard problem range from an outright denial of the issue  to naturalistic reduction to panpsychism (the claim that everything is conscious to some degree) to full-blown mind-body dualism.

Table of Contents

  1. Stating the Problem
    1. Chalmers
    2. Nagel
    3. Levine
  2. Underlying Reasons for the Problem
  3. Responses to the Problem
    1. Eliminativism
    2. Strong Reductionism
    3. Weak Reductionism
    4. Mysterianism
    5. Interactionist Dualism
    6. Epiphenomenalism
    7. Dual Aspect Theory/Neutral Monism/Panpsychism
  4. References and Further Reading

1. Stating the Problem

a. Chalmers

David Chalmers coined the name “hard problem” (1995, 1996), but the problem is not wholly new, being a key element of the venerable mind-body problem.  Still, Chalmers is among those most responsible for the outpouring of work on this issue.  The problem arises because “phenomenal consciousness,” consciousness characterized in terms of “what it’s like for the subject,” fails to succumb to the standard sort of functional explanation successful elsewhere in psychology (compare Block 1995).   Psychological phenomena like learning, reasoning, and remembering can all be explained in terms of playing the right “functional role.”  If a system does the right thing, if it alters behavior appropriately in response to environmental stimulation, it counts as learning.  Specifying these functions tells us what learning is and allows us to see how brain processes could play this role.  But according to Chalmers,

What makes the hard problem hard and almost unique is that it goes beyond problems about the performance of functions. To see this, note that even when we have explained the performance of all the cognitive and behavioral functions in the vicinity of experience—perceptual discrimination, categorization, internal access, verbal report—there may still remain a further unanswered question:  Why is the performance of these functions accompanied by experience? (1995, 202, emphasis in original).

Chalmers explains the persistence of this question by arguing against the possibility of a “reductive explanation” for phenomenal consciousness (hereafter, I will generally just use the term ‘consciousness’ for the phenomenon causing the problem).  A reductive explanation in Chalmers’s sense (following David Lewis (1972)), provides a form of deductive argument concluding with an identity statement between the target explanandum (the thing we are trying to explain) and a lower-level phenomenon that is physical in nature or more obviously reducible to the physical.  Reductive explanations of this type have two premises.  The first presents a functional analysis of the target phenomenon, which fully characterizes the target in terms of its functional role.  The second presents an empirically-discovered realizer of the functionally characterized target, one playing that very functional role.  Then, by transitivity of identity, the target and realizer are deduced to be identical.  For example, the gene may be reductively explained in terms of DNA as follows:

  1. The gene = the unit of hereditary transmission.  (By analysis.)
  2. Regions of DNA = the unit of hereditary transmission.  (By empirical investigation.)
  3. Therefore, the gene = regions of DNA. (By transitivity of identity, 1, 2.)

Chalmers contends that such reductive explanations are available in principle for all other natural phenomena, but not for consciousness.  This is the hard problem.

The reason that reductive explanation fails for consciousness, according to Chalmers, is that it cannot be functionally analyzed.  This is demonstrated by the continued conceivability of what Chalmers terms “zombies”—creatures physically (and so functionally) identical to us, but lacking consciousness—even in the face of a range of proffered functional analyses.  If we had a satisfying functional analysis of consciousness, zombies should not be conceivable.  The lack of a functional analysis is also shown by the continued conceivability of spectrum inversion (perhaps what it looks like for me to see green is what it looks like when you see red), the persistence of the “other minds” problem, the plausibility of the “knowledge argument” (Jackson 1982) and the manifest implausibility of offered functional characterizations.  If consciousness really could be functionally characterized, these problems would disappear.  Since they retain their grip on philosophers, scientists, and lay-people alike, we can conclude that no functional characterization is available.  But then the first premise of a reductive explanation cannot be properly formulated, and reductive explanation fails.  We are left, Chalmers claims, with the following stark choice:  either eliminate consciousness (deny that it exists at all) or add consciousness to our ontology as an unreduced feature of reality, on par with gravity and electromagnetism.  Either way, we are faced with a special ontological problem, one that resists solution by the usual reductive methods.

b. Nagel

Thomas Nagel sees the problem as turning on the “subjectivity” of conscious mental states (1974, 1986).  He argues that the facts about conscious states are inherently subjective—they can only be fully grasped from limited types of viewpoints.  However, scientific explanation demands an objective characterization of the facts, one that moves away from any particular point of view.  Thus, the facts about consciousness elude science and so make “the mind-body problem really intractable” (Nagel 1974, 435).

Nagel argues for the inherent subjectivity of the facts about consciousness by reflecting on the question of what it is like to be a bat—for the bat.  It seems that no amount of objective data will provide us with this knowledge, given that we do not share its type of point of view (the point of view of a creature able to fly and echolocate).  Learning all we can about the brain mechanisms, biochemistry, evolutionary history, psychophysics, and so forth, of a bat still leaves us unable to discover (or even imagine) what it’s like for the bat to hunt by echolocation on a dark night.  But it is still plausible that there are facts about what it’s like to be a bat, facts about how things seem from the bat’s perspective.  And even though we may have good reason to believe that consciousness is a physical phenomenon (due to considerations of mental causation, the success of materialist science, and so on), we are left in the dark about the bat’s conscious experience.  This is the hard problem of consciousness.

c. Levine

Joseph Levine argues that there is a special “explanatory gap” between consciousness and the physical (1983, 1993, 2001).  The challenge of closing this explanatory gap is the hard problem.  Levine argues that a good scientific explanation ought to deductively entail what it explains, allowing us to infer the presence of the target phenomenon from a statement of laws or mechanisms and initial conditions (Levine 2001, 74-76).  Deductive entailment is a logical relation where if the premises of an argument are true, the conclusion must be true as well.  For example, once we discover that lightning is nothing more than an electrical discharge, knowing that the proper conditions for a relevantly large electrical discharge existed in the atmosphere at time t allows us to deduce that lightning must have occurred at time t.  If such a deduction is not possible, there are three possible reasons, according to Levine.  One is that we have not fully specified the laws or mechanisms cited in our explanation.  Two is that the target phenomenon is stochastic in nature, and the best that can be inferred is a conclusion about the probability of the occurrence of the explanatory target.  The third is that there are as yet unknown factors at least partially involved in determining the phenomenon in question.  If we have adequately specified the laws and mechanisms in question, and if we have adjusted for stochastic phenomena, then we should possess a deductive conclusion about our explanatory target, or the third possibility is in effect.  But the third possibility is “precisely an admission that we don’t have an adequate explanation” (2001, 76).

And this is the case with consciousness, according to Levine.  No matter how detailed our specification of brain mechanisms or physical laws, it seems that there is an open question about whether consciousness is present.  We can still meaningfully ask if consciousness occurred, even if we accept that the laws, mechanisms, and proper conditions are in place.  And it seems that any further information of this type that we add to our explanation will still suffer from the same problem.  Thus, there is an explanatory gap between the physical and consciousness, leaving us with the hard problem.

2. Underlying Reasons for the Problem

But what it is about consciousness that generates the hard problem?  It may just seem obvious that consciousness could not be physical or functional.  But it is worthwhile to try and draw a rough circle around the problematic features of conscious experience, if we can.  This both clarifies what we are talking about when we talk about consciousness and helps isolate the data a successful theory must explain.

Uriah Kriegel (2009; see also Levine 2001) offers a helpful conceptual division of consciousness into two components.  Starting with the standard understanding of conscious states as states there is something it’s like for the organism to be in, Kriegel notes that we can either focus on the fact that something appears for the organism or we can focus on what it is that appears, the something it’s like.  Focusing on the former, we find that subjects are aware of their conscious states in a distinctive way.  Kriegel labels this feature the subjective component of consciousness.    Focusing on the latter we find the experienced character of consciousness—the “redness of red” or the painfulness of pain— often termed “qualia” or “phenomenal character” in the literature (compare Crane 2000).  Kriegel labels this the qualitative component of consciousness.

Subdividing consciousness in this way allows us to concentrate on how we are conscious and what we are conscious of.  When we focus on the subjective “how” component, we find that conscious states are presented to the subject in a seemingly immediate way.  And when we focus on the qualitative “what” component, we find that consciousness presents us with seemingly indescribable qualities which in principle can vary independently of mental functioning.  These features help explain why consciousness generates the hard problem.

The first feature, which we can call immediacy, concerns the way we access consciousness from the first-person perspective.  Conscious states are accessed in a seemingly unmediated way.  It appears that nothing comes between us and our conscious states.  We seem to access them simply by having them—we do not infer their presence by way of any evidence or argument.  This immediacy creates the impression that there is no way we could be wrong about the content of our conscious states.  Error in perception or error in reasoning can be traced back to poor perceptual conditions or to a failure of rational inference.  But in the absence of such accessible sources of error, it seems that there is no room for inaccuracy in the introspective case.  And even if we come to believe we are in error in introspection, the evidence for this will be indirect and third-personal—it will lack the subjective force of immediacy.  Thus, there is an intuition of special accuracy or even infallibility when it comes to knowing our own conscious states.  We might be wrong that an object in the world is really red, but can we be wrong that it seems red to us?  But if we cannot be wrong about how things seem to us and conscious states seem inexplicable, then they really are inexplicable.  In this way, the immediacy of the subjective component of consciousness underwrites the hard problem.

But what we access may be even more problematic than how we access it:  we might, after all, have had immediate access to the physical nature of our conscious states (see P.M. Churchland 1985).  But conscious experience instead reveals various sensory qualities—the redness of the visual experience of an apple or the painfulness of a stubbed toe, for example.  But these qualities seem to defy informative description.  If one has not experienced them, then no amount of description will adequately convey what it’s like to have such an experience with these qualities.  We can call this feature of the qualitative component of consciousness indescribability. If someone has never seen red (a congenitally blind person, for example), it seems there is nothing informative we could say to convey to them the true nature of this quality.  We might mention prototypical red objects or explain that red is more similar to purple than it is to green, but such descriptions seem to leave the quality itself untouched.  And if experienced qualities cannot be informatively described, how could they be adequately captured in an explanatory theory?  It seems that by their very nature, conscious qualities defy explanation.  This difficulty lies at the heart of the hard problem.

A further problematic feature of what we access is that we can easily imagine our conscious mental processes occurring in conjunction with different conscious qualities or in the absence of consciousness altogether.  The particular qualities that accompany specific mental operations—like the reddish quality accompanying our detection and categorization of an apple, say—seem only contingently connected to the functional processes involved in detection and categorization.  We can call this feature of what is accessed independence.  Independence is the apparent lack of connection between conscious qualities and anything else, and it underwrites the inverted and absent qualia thought experiments used by Chalmers to establish the hard problem (compare Block 1980).  If conscious qualities really are independent in this way, then there seems to be no way to effectively tie them to the rest of reality.

The challenge of the hard problem, then, is to explain consciousness given that it seems to give us immediate access to indescribable and independent qualities.  If we can explain these underlying features, then we may see how to fit consciousness into a physicalist ontology.  Or it perhaps taking these features seriously motivates a rejection of physicalism and the acceptance of conscious qualities as fundamental features of our ontology.  The following section briefly surveys the range of responses to the hard problem, from eliminativism and reductionism to panpsychism and full-blown dualism.

3. Responses to the Problem

a. Eliminativism

Eliminativism holds that there is no hard problem of consciousness because there is no consciousness to worry about in the first place.  Eliminativism is most clearly defended by Rey 1997, but see also Dennett 1978, 1988, Wilkes 1984, and Ryle 1949.  On the face of it, this response sounds absurd:  how can one deny that conscious experience exists?  Consciousness might be the one thing that is certain in our epistemology.  But eliminativist views resist the idea that what we call experience is equivalent to consciousness, at least in the phenomenal, “what it’s like” sense.  They hold that consciousness so-conceived is a philosopher’s construction, one that can be rejected without absurdity.  If it is definitional of consciousness that it is nonfunctional, then holding that the mind is fully functional amounts to a denial of consciousness.  Alternately, if qualia are construed as nonrelational, intrinsic qualities of experience, then one might deny that qualia exist (Dennett 1988).  And if qualia are essential to consciousness, this, too, amounts to an eliminativism about consciousness.

What might justify consciousness eliminativism?  First, the very notion of consciousness, upon close examination, may not have well-defined conditions of application—there may be no single phenomenon that the term picks out (Wilkes 1984).  Or the term may serve no use at all in any scientific theory, and so may drop out of a scientifically-fixed ontology (Rey 1997).  If science tells us what there is (as some naturalists hold), and science has no place for nonfunctional intrinsic qualities, then there is no consciousness, so defined.  Finally, it might be that the term ‘consciousness’ gets its meaning as part of a falsifiable theory, our folk psychology. The entities posited by a theory stand or fall with the success of the theory.  If the theory is falsified, then the entities it posits do not exist (compare P.M. Churchland 1981).  And there is no guarantee that folk psychology will not be supplanted by a better theory of the mind, perhaps a neuroscientific or even quantum mechanical theory, at some point.  Thus, consciousness might be eliminated from our ontology.  If that occurs, obviously there is no hard problem to worry about.  No consciousness, no problem!

But eliminativism seems much too strong a reaction to the hard problem, one that throws the baby out with the bathwater.  First, it is highly counterintuitive to deny that consciousness exists.  It seems extremely basic to our conception of minds and persons.  A more desirable view would avoid this move.  Second, it is not clear why we must accept that consciousness, by definition, is nonfunctional or intrinsic.  Definitional, “analytic” claims are highly controversial at best, particularly with difficult terms like ‘consciousness’ (compare Quine 1951, Wittgenstein 1953).  A better solution would hold that consciousness still exists, but it is functional and relational in nature.  This is the strong reductionist approach.

b. Strong Reductionism

Strong reductionism holds that consciousness exists, but contends that it is reducible to tractable functional, nonintrinsic properties.  Strong reductionism further claims that the reductive story we tell about consciousness fully explains, without remainder, all that needs to be explained about consciousness.  Reductionism, generally, is the idea that complex phenomena can be explained in terms of the arrangement and functioning of simpler, better understood parts.  Key to strong reductionism, then, is the idea that consciousness can be broken down and explained in terms of simpler things.  This amounts to a rejection of the idea that experience is simple and basic, that it stands as a kind of epistemic or metaphysical “ground floor.”  Strong reductionists must hold that consciousness is not as it prima facie appears, that it only seems to be marked by immediacy, indescribability, and independence and therefore that it only seems nonfunctional and intrinsic.  Consciousness, according to strong reductionism, can be fully analyzed and explained in functional terms, even if it does not seem that way.

A number of prominent strongly reductive theories exist in the literature.  Functionalist approaches hold that consciousness is nothing more than a functional process.  A popular version of this view is the “global workspace” hypothesis, which holds that conscious states are mental states available for processing by a wide range of cognitive systems (Baars 1988, 1997; Dehaene & Naccache 2001).  They are available in this way by being present in a special network—the “global workspace.”  This workspace can be functionally characterized and it also can be given a neurological interpretation.  In answer to the question “why are these states conscious?” it can be replied that this is what it means to be conscious.  If a state is available to the mind in this way, it is a conscious state (see also Dennett 1991).  (For more neuroscientifically-focused versions of the functionalist approach, see P.S Churchland 1986; Crick 1994; and Koch 2004.)

Another set of views that can be broadly termed functionalist is “enactive” or “embodied” approaches (Hurley 1998, Noë 2005, 2009).  These views hold that mental processes should not be characterized in terms of strictly inner processes or representations.  Rather, they should be cashed out in terms of the dynamic processes connecting perception, bodily and environmental awareness, and behavior.  These processes, the views contend, do not strictly depend on processes inside the head; rather, they loop out into the body and the environment.  Further, the nature of consciousness is tied up with behavior and action—it cannot be isolated as a passive process of receiving and recording information.  These views are cataloged as functionalist because of the way they answer the hard problem:  these physical states (constituted in part by bodily and worldly things) are conscious because they play the right functional role, they do the right thing.

Another strongly reductive approach holds that conscious states are states representing the world in the appropriate way (Dretske 1995, Tye 1995, 2000).  This view, known as “first-order representationalism,” contends that conscious states make us aware of things in world by representing them.  Further, these representations are “nonconceptual” in nature:  they represent features even if the subject in question lacks the concepts needed to cognitively categorize those features.  But these nonconceptual representations must play the right functional role in order to be conscious.  They must be poised to influence the higher-level cognitive systems of a subject.  The details of these representations differ from theorist to theorist, but a common answer to the hard problem emerges.  First-order representational states are conscious because they do the right thing:  they make us aware of just the sorts of features that make up conscious experience, features like the redness of an apple, the sweetness of honey, or the shrillness of a trumpet.  Further, such representations are conscious because they are poised to play the right role in our understanding of the world—they serve as the initial layer of our epistemic contact  with reality, a layer we can then use as the basis of our more sophisticated beliefs and theories.

A further point serves to support the claims of first-order representationalism.  When we reflect on our experience in a focused way, we do not seem to find any distinctively mental properties.  Rather, we find the very things first-order representationalism claims we represent:  the basic sensory features of the world.  If I ask you to reflect closely on your experience of a tree, you do not find special mental qualities.  Rather, you find the tree, as it appears to you, as you represent it.  This consideration, known as “transparency,” seems to undermine the claim that we need to posit special intrinsic qualia, seemingly irreducible properties of our experiences (Harman 1990, though see Kind 2003).  Instead, we can explain all that we experience in terms of representation.  We have a red experience because we represent physical red in the right way.  It is then argued that representation can be given a reductive explanation.  Representation, even the sort of representation involved in experience, is no more than various functional/physical processes of our brains tracking the environment.  It follows that there is no further hard problem to deal with.

A third type of strongly reductive approach is higher-order representationalism (Armstrong 1968, 1981; Rosenthal 1986, 2005; Lycan 1987, 1996, 2001; Carruthers 2000, 2005).  This view starts with the question of what accounts for the difference between conscious and nonconscious mental states.  Higher-order theorists hold that an intuitive answer is that we are appropriately aware of our conscious states, while we are unaware of our nonconscious states.  The task of a theory of consciousness, then, is to explain the awareness accounting for this difference.  Higher-order representationalists contend that the awareness is a product of a specific sort of representation, a representation that picks out the subject’s own mental states.  These “higher-order” representations (representations of other representations) make the subject aware of her states, thus accounting for consciousness.  In answer to the hard problem, the higher-order theorist responds that these states are conscious because the subject is appropriately aware of them by way of higher-order representation.  The higher-order representations themselves are held to be nonconscious.  And since representation can plausibly be reduced to functional/physical processes, there is no lingering problem to explain (though see Gennaro 2005 for more on this strategy).

A final strongly reductive view, “self-representationalism,” holds that troubles with the higher-order view demand that we characterize the awareness subjects have of their conscious states as a kind of self-representation, where one complex representational state is about both the world and that very state itself (Gennaro 1996, Kriegel 2003, 2009, Van Gulick 2004, 2006, Williford 2006).  It may seem paradoxical to say that a state can represent itself, but this can dealt with by holding that the state represents itself in virtue of one part of the state representing another, and thereby coming to indirectly represent the whole.  Further, self-representationalism may provide the best explanation of the seemingly ubiquitous presence of self-awareness in conscious experience.  And, again, in answer to the question of why such states are conscious, the self-representationalist can respond that conscious states are ones the subject is aware of, and self-representationalism explains this awareness.  And since self-representation, properly construed, is reducible to functional/physical processes, we are left with a complete explanation of consciousness.  (For more details on how higher-order/self-representational views deal with the hard problem, see Gennaro 2012, chapter 4.)

However, there remains considerable resistance to strongly reductive views.  The main stumbling block is that they seem to leave unaddressed the pressing intuition that one can easily conceive of a system satisfying all the requirements of the strongly reductive views but still lacking consciousness (Chalmers 1996, chapter 3).  It is argued that an effective theory ought to close off such easy conceptions.  Further, strong reductivists seem committed to the claim that there is no knowledge of consciousness that cannot be grasped theoretically.  If a strongly reductive view is true, it seems that a blind person can gain full knowledge of color experience from a textbook.  But surely she still lacks some knowledge of what it’s like to see red, for example?  Strongly reductive theorists can contend that these recalcitrant intuitions are merely a product of lingering confused or erroneous views of consciousness.  But in the face of such worries, many have felt it better to find a way to respect these intuitions while still denying the potentially unpleasant ontological implications of the hard problem.  Hence, weak reductionism.

c. Weak Reductionism

Weak reductionism, in contrast to the strong version, holds that consciousness is a simple or basic phenomenon, one that cannot be informatively broken down into simpler nonconscious elements.  But according to the view we can still identify consciousness with physical properties if the most parsimonious and productive theory supports such an identity (Block 2002, Block & Stalnaker 1999, Hill 1997, Loar 1997, 1999, Papineau 1993, 2002, Perry 2001).  What’s more, once the identity has been established, there is no further burden of explanation.  Identities have no explanation:  a thing just is what it is.  To ask how it could be that Mark Twain is Sam Clemens, once we have the most parsimonious rendering of the facts, is to go beyond meaningful questioning.  And the same holds for the identity of conscious states with physical states.

But there remains the question of why the identity claim appears so counterintuitive and here weak reductionists generally appeal to the “phenomenal concepts strategy” (PCS) to make their case (compare Stoljar 2005).  The PCS holds that the hard problem is not the result of a dualism of facts, phenomenal and physical, but rather a dualism of concepts picking out fully physical conscious states.  One concept is the third-personal physical concept of neuroscience.  The other concept is a distinctively first-personal “phenomenal concept”—one that picks out conscious states in a subjectively direct manner.  Because of the subjective differences in these modes of conceptual access, consciousness does not seem intuitively to be physical.  But once we understand the differences in the two concepts, there is no need to accept this intuition.

Here is a sketch of how a weakly reductive view of consciousness might proceed.  First, we find stimuli that reliably trigger reports of phenomenally conscious states from subjects.  Then we find what neural processes are reliably correlated with those reported experiences.  It can then be argued on the basis of parsimony that the reported conscious state just is the neural state—an ontology holding that two states are present is less simple than one identifying the two states.  Further, accepting the identity is explanatorily fruitful, particularly with respect to mental causation.  Finally, the PCS is appealed to in order to explain why the identity remains counterintuitive.  And as to the question of why this particular neural state should be identical to this particular phenomenal state, the answer is that this is just the way things are.  Explanation bottoms out at this point and requests for further explanation are unreasonable.

But there are pressing worries about weak reductionism.  There seems to be an undischarged phenomenal element within the weakly reductive view (Chalmers 2006).  When we focus on the PCS, it seems that we lack a plausible story about how it is that phenomenal concepts reveal what it’s like for us in experience.  The direct access of phenomenal concepts seems to require that phenomenal states themselves inform us of what they are like. A common way to cash out the PCS is to say that the phenomenal properties themselves are embedded in the phenomenal concepts, and that alone makes them accessible in the seemingly rich manner of introspected experience.  When it is asked how phenomenal properties might underwrite this access, the answer given is that this is in the nature of phenomenal properties—that is just what they do.  Again, we are told that explanation must stop somewhere.  But at this point, it seems that there is little to distinguish that weak reductionist from the various forms of nonreductive and dualistic views cataloged below.  They, too, hold that it is in the nature of phenomenal properties to underwrite first-person access.  But they hold that there is no good reason to think that properties with this sort of nature are physical.  We know of no other physical property that possesses such a nature.  All that we are left with to recommend weak reductionism is a thin claim of parsimony and an overly-strong fealty to physicalism.  We are asked to accept a brute identity here, one that seems unprecedented in our ontology given that consciousness is a macro-level phenomenon.  Other examples of such brute identity—of electricity and magnetism into one force, say—occur at the foundational level of physics.  Neurological and phenomenal properties do not seem to be basic in this way.  We are left with phenomenal properties inexplicable in physical terms, “brutally” identified with neurological properties in a way that nothing else seems to be.  Why not take all this as an indication that phenomenal properties are not physical after all?

The weak reductionist can respond that the question of mental causation still provides a strong enough reason to hold onto physicalism.  A plausible scientific principal is that the physical world is causally closed:  all physical events have physical causes.  And since our bodies are physical, it seems that denying that consciousness is physical renders it epiphenomenal.  The apparent implausibility of epiphenomenalism may be enough to motivate adherence to weak reductionism, even with its explanatory short-comings.  Dualistic challenges to this claim will be discussed in later sections.

It is possible, however, to embrace weak reductionism and still acknowledge that some questions remain to be answered.  For example, it might be reasonable to demand some explanation of how particular neural states correlate with differences in conscious experience.  A weak reductionist might hold that this is a question we at present cannot answer.  It may be that one day we will be in a position to so, due to a radical shift in our understanding of consciousness or physical reality.  Or perhaps this will remain an unsolvable mystery, one beyond our limited abilities to decipher.  Still, there may be good reasons to hold at present that the most parsimonious metaphysical picture is the physicalist picture.  The line between weak reductionism and the next set of views to be considered, mysterianism, may blur considerably here.

d. Mysterianism

The mysterian response to the hard problem does not offer a solution; rather, it holds that the hard problem cannot be solved by current scientific method and perhaps cannot be solved by human beings at all.  There are two varieties of the view.  The more moderate version of the position, which can be termed “temporary mysterianism,” holds that given the current state of scientific knowledge, we have no explanation of why some physical states are conscious (Nagel 1974,  Levine 2001).  The gap between experience and the sorts of things dealt with in modern physics—functional, structural, and dynamical properties of basic fields and particles—is simply too wide to be bridged at present.  Still, it may be that some future conceptual revolution in the sciences will show how to close the gap.  Such massive conceptual reordering is certainly possible, given the history of science.  And, indeed, if one accepts the Kuhnian idea of shifts between incommensurate paradigms, it might seem unsurprising that we, pre-paradigm-shift, cannot grasp what things will be like after the revolution.  But at present we have no idea how the hard problem might be solved.

Thomas Nagel, in sketching his version of this idea, calls for a future “objective phenomenology” which will “describe, at least in part, the subjective character of experiences in a form comprehensible to beings incapable of having those experiences” (1974, 449).  Without such a new conceptual system, Nagel holds, we are left unable to bridge the gap between consciousness and the physical.  Consciousness may indeed be a physical, but we at present have no idea how this could be so.

It is of course open for both weak and strong reductionists to accept a version of temporary mysterianism.  They can agree that at present we do not know how consciousness fits into the physical world, but the possibility is open that future science will clear up the mystery.  The main difference between such claims by reductionists and by mysterians is that the mysterians reject the idea that current reductive proposals do anything at all to close the gap.  How different the explanatory structure must be to count as truly new and not merely an extension of the old is not possible to gauge with any precision.  So the difference between a very weak reductionist and a temporary, though optimistic mysterian may not amount to much.

The stronger version of the position, “permanent mysterianism,” argues that our ignorance in the face of the hard problem is not merely transitory, but is permanent, given our limited cognitive capacities (McGinn 1989, 1991).  We are like squirrels trying to understand quantum mechanics:  it just is not going to happen.  The main exponent of this view is Colin McGinn, who argues that a solution to the hard problem is “cognitively closed” to us.  He supports his position by stressing consequences of a modular view of the mind, inspired in part by Chomsky’s work in linguistics.  Our mind just may not be built to solve this sort of problem.  Instead, it may be composed of dedicated, domain-specific “modules” devoted to solving local, specific problems for an organism.  An organism without a dedicated “language acquisition device” equipped with “universal grammar” cannot acquire language.  Perhaps the hard problem requires cognitive apparatus we just do not possess as a species.  If that is the case, no further scientific or philosophical breakthrough will make a difference.  We are not built to solve the problem:  it is cognitively closed to us.

A worry about such a claim is that it is hard to establish just what sorts of problems are permanently beyond our ken.  It seems possible that the temporary mysterian may be correct here, and what looks unbridgeable in principle is really just a temporary roadblock.  Both the temporary and permanent mysterian agree on the evidence.  They agree that there is a real gap at present between consciousness and the physical and they agree that nothing in current science seems up to the task of solving the problem.  The further claim that we are forever blocked from solving the problem turns on controversial claims about the nature of the problem and the nature of our cognitive capacities.  Perhaps those controversial claims will be made good, but at present, it is hard to see why we should give up all hope, given the history of surprising scientific breakthroughs.

e. Interactionist Dualism

Perhaps, though, we know enough already to establish that consciousness is not a physical phenomenon.   This brings us to what has been, historically speaking, the most important response to the hard problem and the more general mind-body problem: dualism, the claim that consciousness is ontologically distinct from anything physical.  Dualism, in its various forms, reasons from the explanatory, epistemological, or conceptual gaps between the phenomenal and the physical to the metaphysical conclusion that the physicalist worldview is incomplete and needs to be supplemented by the addition of irreducibly phenomenal substance or properties.

Dualism can be unpacked in a number of ways.  Substance dualism holds that consciousness makes up a distinct fundamental “stuff” which can exist independently of any physical substance.  Descartes’ famous dualism was of this kind (Descartes 1640/1984).  A more popular modern dualist option is property dualism, which holds that the conscious mind is not a separate substance from the physical brain, but that phenomenal properties are nonphysical properties of the brain.  On this view, it is metaphysically possible that the physical substrate occurs without the phenomenal properties, indicating their ontological independence, but phenomenal properties cannot exist on their own.  The properties might emerge from some combination of nonphenomenal properties (emergent dualism—compare Broad 1925) or they might be present as a fundamental feature of reality, one that necessarily correlates with physical matter in our world, but could in principle come apart from the physical in another possible world.

A key question for dualist views concerns the relationship between consciousness and the physical world, particularly our physical bodies.  Descartes held that conscious mental properties can have a causal impact upon physical matter—this is known as interactionist dualism.  Recent defenders of interactionist dualism include Foster 1991, Hodgson 1991, Lowe 1996, Popper and Eccles 1977, H. Robinson 1982, Stapp 1993, and Swinburne 1986.  However, interactionist dualism requires rejecting the “causal closure” of the physical domain, the claim that every physical event is fully determined by a physical cause.  Causal closure is a long-held principle in the sciences, so its rejection marks a strong break from current scientific orthodoxy (though see Collins 2011).  Another species of dualism accepts the causal closure of physics, but still holds that phenomenal properties are metaphysically distinct from physical properties.  This compatibilism is achieved at the price of consciousness epiphenomenalism, the view that conscious properties can be caused by physical events, but they cannot in turn cause physical events.  I will discuss interactionist dualism in this section, including a consideration of how quantum mechanics might open up a workable space for an acceptable dualist interactionist view.   I will discuss epiphenomenalism in the following section.

Interactionist dualism, of both the substance and property type, holds that consciousness is causally efficacious in the production of bodily behavior.  This is certainly a strongly intuitive position to take with regard to mental causation, but it requires rejecting the causal closure of the physical.  It is widely thought that the principle of causal closure is central to modern science, on par with basic conservation principles like the conservation of energy or matter in a physical reaction (see, for example, Kim 1998).  And at macroscopic scales, the principle appears well-supported by empirical evidence.  However, at the quantum level it is more plausible to question causal closure.  On one reading of quantum mechanics, the progression of quantum-level events unfolds in a deterministic progression until an observation occurs.  At that point, some views hold that the progression of events becomes indeterminstic.  If so, there may be room for consciousness to influence how such “decoherence” occurs—that is, how the quantum “wave function” collapses into the classical, observable macroscopic world we experience.  How such a process occurs is the subject of speculative theorizing in quantum theories of consciousness.  It may be that such views are better cataloged as physicalist:  the properties involved might well be labeled as physical in a completed science (see, for example, Penrose 1989, 1994; Hameroff 1998).  If so, the quantum view is better seen as strongly or weakly reductive.

Still, it might be that the proper cashing out of the idea of “observation” in quantum theory requires positing consciousness as an unreduced primitive.  Observation may require something intrinsically conscious, rather than something characterized in the relational terms of physical theory.   In that case, phenomenal properties would be metaphysically distinct from the physical, traditionally characterized, while playing a key role in physical theory—the role of collapsing the wave function by observation.  Thus, there seems to be theoretical space for a dualist view which rejects closure but maintains a concordance with basic physical theory.

Sill, such views face considerable challenges.  They are beholden to particular interpretations of quantum mechanics and this is far from a settled field, to put it mildly.  It may well be that the best interpretation of quantum mechanics rejects the key assumption of indeterminacy here (see Albert 1993 for the details of this debate).  Further, the kinds of indeterminacies discoverable at the quantum level may not correspond in any useful way to our ordinary idea of mental causes.  The pattern of decoherence may have little to do with my conscious desire to grab a beer causing me to go to the fridge.  Finally, there is the question of how phenomenal properties at the quantum level come together to make up the conscious experience we have.  Our conscious mental lives are not themselves quantum phenomenon—how, then, do micro-phenomenal quantum-level properties combine to constitute our experiences?  Still, this is an alluring area of investigation, bringing together the mysteries of consciousness and quantum mechanics.  But such a mix may only compound our explanatory troubles!

f. Epiphenomenalism

A different dualistic approach accepts the causal closure of physics by holding that phenomenal properties have no causal influence on the physical world (Campbell 1970, Huxley 1874, Jackson 1982, and W.S. Robinson 1988, 2004).  Thus, any physical effect, like a bodily behavior, will have a fully physical cause.  Phenomenal properties merely accompany causally efficacious physical properties, but they are not involved in making the behavior happen.  Phenomenal properties, on this view, may be lawfully correlated with physical properties, thus assuring that whenever a brain event of a particular type occurs, a phenomenal property of a particular type occurs.  For example, it may be that bodily damage causes activity in the amygdala, which in turn causes pain-appropriate behavior like screaming or cringing.   The activity in the amygdala will also cause the tokening of phenomenal pain properties.  But these properties are out of the causal chain leading to the behavior.  They are like the activity of a steam whistle relative to the causal power of the steam engine moving a train’s wheels.

Such a view has no obvious logical flaw, but it is in strong conflict with our ordinary notions of how conscious states are related to behavior.  It is extremely intuitive that our pains at times cause us to scream or cringe.  But on the epiphenomenalist view, that cannot be the case.  What’s more, our knowledge of our conscious states cannot be caused by the phenomenal qualities of our experiences.  On the epiphenomenalist view, my knowledge that I’m in pain is not caused by the pain itself.  This, too, seems absurd:  surely, the feeling of pain is causally implicated in my knowledge of that pain!  But the epiphenomenalist can simply bite the bullet here and reject the commonsense picture.  We often discover odd things when we engage in serious investigation, and this may be one of them.  Denying commonsense intuition is better than denying a basic scientific principle like causal closure, according to epiphenomenalists.  And it may be that experimental results in the sciences undermine the causal efficacy of consciousness as well, so this is not so outrageous a claim (See Libet, 2004; Wegner 2002, for example).  Further, the epiphenomenalist can deny that we need a causal theory of first-person knowledge.  It may be that our knowledge of our conscious states is achieved by a unique kind of noncausal acquaintance.  Or maybe merely having the phenomenal states is enough for us to know of them—our knowledge of consciousness may be constituted by phenomenal states, rather than caused by them.  Knowledge of causation is a difficult philosophical area in general, so it may reasonable to offer alternatives to the causal theory in this context.  But despite these possibilities, epiphenomenalism remains a difficult view to embrace because of its strongly counterintuitive nature.

g. Dual Aspect Theory/Neutral Monism/Panpsychism

A final set of views, close in spirit to dualism, hold that phenomenal properties cannot be reduced to more basic physical properties, but might reduce to something more basic still, a substance that is both physical and phenomenal or that underwrites both.  Defenders of such views agree with dualists that the hard problem forces a rethinking of our basic ontology, but they disagree that this entails dualism.  There are several variations of the idea.  It may be that there is a more basic substance underlying all physical matter and this basic substance possesses phenomenal as well as physical properties (dual aspect theory:  Spinoza 1677/2005, P. Strawson 1959, Nagel 1986).  Or it may be that this more basic substance is “neutral”—neither phenomenal nor physical, yet somehow underlying both (neutral monism:  Russell 1926, Feigl 1958, Maxwell 1979, Lockwood 1989, Stubenberg 1998, Stoljar 2001, G. Strawson 2008).  Or it may be that phenomenal properties are the intrinsic categorical bases for the relational, dispositional properties described in physics and so everything physical has an underlying phenomenal nature (panpsychism:  Leibniz 1714/1989, Whitehead 1929, Griffin 1998, Rosenberg 2005, Skrbina 2007).  These views have all received detailed elaboration in past eras of philosophy, but they have seen a distinct revival as responses to the hard problem.

There is considerable variation in how theorists unpack these kinds of views, so it is only possible here to give generic versions of the ideas.  All three views make consciousness more basic or as basic as physical properties; this is something they share with dualism.  But they disagree about the right way to spell out the metaphysical relations between the phenomenal, the physical, and any more basic substance there might be.  The true differences between the views are not always clear even to the views’ defenders, but we can try to tease them apart here.

A dual-aspect view holds that there is one basic underlying stuff that possesses both physical and phenomenal properties.  These properties may only be instantiated when the right combinations of the basic substance are present, so panpsychism is not a necessary entailment of the view.  For example, when the basic substance is configured in the form of a brain, it then realizes phenomenal as well as physical properties.  But that need not be the case when the fundamental stuff makes up a table.  But in any event, phenomenal properties are not themselves reducible to physical properties.  There is a fine line between such views and dualist views, mainly turning on the difference between constitution and lawful correlation.

Neutral monist views hold that there is a more basic neutral substance underlying both the phenomenal and the physical.  ‘Neutral’ here means that the underlying stuff really is neither phenomenal nor physical, so there is a good sense in which such a position is reductive:  it explains the presence of the phenomenal by reference to something else more basic.  This distinguishes it from the dual-aspect approach—on the dual-aspect view, the underlying stuff already possesses phenomenal (and physical) properties, while on neutral monism it does not.  That leaves neutral monism with the challenge of explaining this reductive relationship, as well as explaining how the neutral substance underlies physical reality without itself being physical.

Panpsychism holds that the phenomenal is basic to all matter.  Such views hold that the phenomenal somehow underwrites the physical or is potentially present at all times as a property of a more basic substance.  This view must explain what it means to say that everything is conscious in some sense.  Further, it must explain how it is that the basic phenomenal (or “protophenomenal”) elements combine to form the sorts of properties we are acquainted with in consciousness.  Why is it that some combinations form the experiences we enjoy and others (presumably) do not?

One line of support for these types of views comes from the way that physical theory defines its basic properties in terms of their dispositions to causally interact with each other.  For example, what it is to be a quark of a certain type is just to be disposed to behave in certain ways in the presence of other quarks.  Physical theory is silent about what stuff might underlie or constitute the entities with these dispositions—it deals only in extrinsic or relational properties, not in intrinsic properties.  At the same time, there is reason to hold that consciousness possesses nonrelational intrinsic qualities.  Indeed, this may explain why we cannot know what it’s like to be a bat—that requires knowledge of an intrinsic quality not conveyable by relational description.  Putting these two ideas together, we find a motivation for the sorts of views canvassed here.  Basic physics is silent about the intrinsic categorical bases underlying the dispositional properties described in physical theory.  But it seems plausible that there must be such bases—how could there be dispositions to behave thus-and-so without some categorical base to ground the disposition?  And since we already have reason to believe that conscious qualities are intrinsic, it makes sense to posit phenomenal properties as the categorical bases of basic physical matter. Or we can posit a neutral substance to fill this role, one also realizing phenomenal properties when in the right circumstances.

These views all seem to avoid epiphenomenalism.  Whenever there is a physical cause of behavior, the underlying phenomenal (or neutral) basis will be present to do the work.  But that cause might itself be constituted by the phenomenal, in the senses laid out here.  What’s more, there is nothing in conflict with physics—the properties posited appear at a level below the range of relational physical description.  And they do not conflict with or preempt anything present in physical theory.

But we are left with several worries.  First, it is again the case that phenomenal properties are posited at an extreme micro-level.  How it is that such micro-phenomenal properties cohere into the sorts of experiential properties present in consciousness is unexplained.  What’s more, if we take the panpsychic route, we are faced with the claim that every physical object has a phenomenal nature of some kind.  This may not be incoherent, but it is a counterintuitive result.  But if we do not accept panpsychism, we must explain how the more basic underlying substance differs from the phenomenal and yet instantiates it in the right circumstances.  Simply saying that this just is the nature of the neutral substance is not an informative answer.  Finally, it is unclear how these views really differ from a weakly reductionist account.  Both hold that there is a basic and brute connection between the physical brain and phenomenal consciousness.  On the weakly reductionist account, the connection is one of brute identity.  On the dual-aspect/neutral monist/panpsychic account, it is one of brute constitution, where two properties, the physical and the phenomenal, constantly co-occur (because the one constitute the categorical base of the other, or they are aspects of a more basic stuff, etc.), though they are held to be metaphysically distinct.  Is there any evidence that could decide between the views?  The apparent differences here may be more one of style than of substance, despite the intricacies of these metaphysical debates.

4. References and Further Reading

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Author Information

Josh Weisberg
Email: jweisberg@uh.edu
University of Houston
U. S. A.

Renaissance Philosophy

The Renaissance, that is, the period that extends roughly from the middle of the fourteenth century to the beginning of the seventeen century, was a time of intense, all-encompassing, and, in many ways, distinctive philosophical activity. A fundamental assumption of the Renaissance movement was that the remains of classical antiquity constituted an invaluable source of excellence to which debased and decadent modern times could turn in order to repair the damage brought about since the fall of the Roman Empire. It was often assumed that God had given a single unified truth to humanity and that the works of ancient philosophers had preserved part of this original deposit of divine wisdom. This idea not only laid the foundation for a scholarly culture that was centered on ancient texts and their interpretation, but also fostered an approach to textual interpretation that strove to harmonize and reconcile divergent philosophical accounts. Stimulated by newly available texts, one of the most important hallmarks of Renaissance philosophy is the increased interest in primary sources of Greek and Roman thought, which were previously unknown or little read. The renewed study of Neoplatonism, Stoicism, Epicureanism, and Skepticism eroded faith in the universal truth of Aristotelian philosophy and widened the philosophical horizon, providing a rich seedbed from which modern science and modern philosophy gradually emerged.

Table of Contents

  1. Aristotelianism
  2. Humanism
  3. Platonism
  4. Hellenistic Philosophies
  5. New Philosophies of Nature
  6. References and Further Reading

1. Aristotelianism

Improved access to a great deal of previously unknown literature from ancient Greece and Rome was an important aspect of Renaissance philosophy. The renewed study of Aristotle, however, was not so much because of the rediscovery of unknown texts, but because of a renewed interest in texts long translated into Latin but little studied, such as the Poetics, and especially because of novel approaches to well-known texts. From the early fifteenth century onwards, humanists devoted considerable time and energy to making Aristotelian texts clearer and more precise. In order to rediscover the meaning of Aristotle’s thought, they updated the Scholastic translations of his works, read them in the original Greek, and analyzed them with philological techniques. The availability of these new interpretative tools had a great impact on the philosophical debate. Moreover, in the four decades after 1490, the Aristotelian interpretations of Alexander of Aphrodisias, Themistius, Ammonius, Philoponus, Simplicius, and other Greek commentators were added to the views of Arabic and medieval commentators, stimulating new solutions to Aristotelian problems and leading to a wide variety of interpretations of Aristotle in the Renaissance period.

The most powerful tradition, at least in Italy, was that which took Averroes’s works as the best key for determining the true mind of Aristotle. Averroes’s name was primarily associated with the doctrine of the unity of the intellect. Among the defenders of his theory that there is only one intellect for all human beings, we find Paul of Venice (d. 1429), who is regarded as the founding figure of Renaissance Averroism, and Alessandro Achillini (1463–1512), as well as the Jewish philosopher Elijah del Medigo (1458–1493). Two other Renaissance Aristotelians who expended much of their philosophical energies on explicating the texts of Averroes are Nicoletto Vernia (d. 1499) and Agostino Nifo (c. 1469–1538). They are noteworthy characters in the Renaissance controversy about the immortality of the soul mainly because of the remarkable shift that can be discerned in their thought. Initially they were defenders of Averroes’s theory of the unity of the intellect, but from loyal followers of Averroes as a guide to Aristotle, they became careful students of the Greek commentators, and in their late thought both Vernia and Nifo attacked Averroes as a misleading interpreter of Aristotle, believing that personal immortality could be philosophically demonstrated.

Many Renaissance Aristotelians read Aristotle for scientific or secular reasons, with no direct interest in religious or theological questions. Pietro Pomponazzi (1462–1525), one of the most important and influential Aristotelian philosophers of the Renaissance, developed his views entirely within the framework of natural philosophy. In De immortalitate animae (Treatise on the Immortality of the Soul, 1516), arguing from the Aristotelian text, Pomponazzi maintained that proof of the intellect’s ability to survive the death of the body must be found in an activity of the intellect that functions without any dependence on the body. In his view, no such activity can be found because the highest activity of the intellect, the attainment of universals in cognition, is always mediated by sense impression. Therefore, based solely on philosophical premises and Aristotelian principles, the conclusion is that the entire soul dies with the body. Pomponazzi’s treatise aroused violent opposition and led to a spate of books being written against him. In 1520, he completed De naturalium effectuum causis sive de incantationibus (On the Causes of Natural Effects or On Incantations), whose main target was the popular belief that miracles are produced by angels and demons. He excluded supernatural explanations from the domain of nature by establishing that it is possible to explain those extraordinary events commonly regarded as miracles in terms of a concatenation of natural causes. Another substantial work is De fato, de libero arbitrio et de praedestinatione (Five Books on Fate, Free Will and Predestination), which is regarded as one of the most important works on the problems of freedom and determinism in the Renaissance. Pomponazzi considers whether the human will can be free, and he considers the conflicting points of view of philosophical determinism and Christian theology.

Another philosopher who tried to keep Aristotle’s authority independent of theology and subject to rational criticism, is Jacopo Zabarella (1533–1589), who produced an extensive body of work on the nature of logic and scientific method. His goal was the retrieval of the genuine Aristotelian concepts of science and scientific method, which he understood as the indisputable demonstration of the nature and constitutive principles of natural beings. He developed the method of regressus, a combination of the deductive procedures of composition and the inductive procedures of resolution that came to be regarded as the proper method for obtaining knowledge in the theoretical sciences. Among his main works are the collected logical works Opera logica (1578), which are mainly devoted to the theory of demonstration, and his major work on natural philosophy, De rebus naturalibus (1590). Zabarella’s work was instrumental in a renewal of natural philosophy, methodology, and theory of knowledge.

There were also forms of Aristotelian philosophy with strong confessional ties, such as the branch of Scholasticism that developed on the Iberian Peninsula during the sixteenth century. This current of Hispanic Scholastic philosophy began with the Dominican School founded in Salamanca by Francisco de Vitoria (1492–1546) and continued with the philosophy of the newly founded Society of Jesus, among whose defining authorities were Pedro da Fonseca (1528–1599), Francisco de Toledo (1533–1596), and Francisco Suárez (1548–1617). Their most important writings were in the areas of metaphysics and philosophy of law. They played a key role in the elaboration of the law of nations (jus gentium) and the theory of just war, a debate that began with Vitoria’s Relectio de iure belli (A Re-lecture of the Right of War, 1539) and continued with the writings of Domingo de Soto (1494–1560), Suárez, and many others. In the field of metaphysics, the most important work is Suárez’ Disputationes metaphysicae (Metaphysical Disputations, 1597), a systematic presentation of philosophy—against the background of Christian principles—that set the standard for philosophical and theological teaching for almost two centuries.

2. Humanism

The humanist movement did not eliminate older approaches to philosophy, but contributed to change them in important ways, providing new information and new methods to the field. Humanists called for a radical change of philosophy and uncovered older texts that multiplied and hardened current philosophical discord. Some of the most salient features of humanist reform are the accurate study of texts in the original languages, the preference for ancient authors and commentators over medieval ones, and the avoidance of technical language in the interest of moral suasion and accessibility. Humanists stressed moral philosophy as the branch of philosophical studies that best met their needs. They addressed a general audience in an accessible manner and aimed to bring about an increase in public and private virtue. Regarding philosophy as a discipline allied to history, rhetoric, and philology, they expressed little interest in metaphysical or epistemological questions. Logic was subordinated to rhetoric and reshaped to serve the purposes of persuasion.

One of the seminal figures of the humanist movement was Francesco Petrarca (1304–1374). In De sui ipsius et multorum aliorum ignorantia (On His Own Ignorance and That of Many Others), he elaborated what was to become the standard critique of Scholastic philosophy. One of his main objections to Scholastic Aristotelianism is that it is useless and ineffective in achieving the good life. Moreover, to cling to a single authority when all authorities are unreliable is simply foolish. He especially attacked, as opponents of Christianity, Aristotle’s commentator Averroes and contemporary Aristotelians that agreed with him. Petrarca returned to a conception of philosophy rooted in the classical tradition, and from his time onward, when professional humanists took interest in philosophy, they nearly always concerned themselves with ethical questions. Among those he influenced were Coluccio Salutati (1331–1406), Leonardo Bruni (c.1370–1444) and Poggio Bracciolini (1380–1459), all of whom promoted humanistic learning in distinctive ways.

One of the most original and important humanists of the Quattrocento was Lorenzo Valla (1406–1457). His most influential writing was Elegantiae linguae Latinae (Elegances of the Latin Language), a handbook of Latin language and style. He is also famous for having demonstrated, on the basis of linguistic and historical evidence, that the so-called Donation of Constantine, on which the secular rule of the papacy was based, was an early medieval forgery. His main philosophical work is Repastinatio dialecticae et philosophiae (Reploughing of Dialectic and Philosophy), an attack on major tenets of Aristotelian philosophy. The first book deals with the criticism of fundamental notions of metaphysics, ethics, and natural philosophy, while the remaining two books are devoted to dialectics.

Throughout the fifteenth and early sixteenth century, humanists were unanimous in their condemnation of university education and their contempt for Scholastic logic. Humanists such as Valla and Rudolph Agricola (1443–1485), whose main work is De inventione dialectica (On Dialectical Invention, 1479), set about to replace the Scholastic curriculum, based on syllogism and disputation, with a treatment of logic oriented toward the use of persuasion and topics, a technique of verbal association aiming at the invention and organization of material for arguments. According to Valla and Agricola, language is primarily a vehicle for communication and debate, and consequently arguments should be evaluated in terms of how effective and useful they are rather than in terms of formal validity. Accordingly, they subsumed the study of the Aristotelian theory of inference under a broader range of forms of argumentation. This approach was taken up and developed in various directions by later humanists, such as Mario Nizolio (1488–1567), Juan Luis Vives (1493–1540), and Petrus Ramus (1515–1572).

Vives was a Spanish-born humanist who spent the greater part of his life in the Low Countries. He aspired to replace the Scholastic tradition in all fields of learning with a humanist curriculum inspired by education in the classics. In 1519, he published In Pseudodialecticos (Against the Pseudodialecticians), a satirical diatribe against Scholastic logic in which he voices his opposition on several counts. A detailed criticism can be found in De disciplinis (On the Disciplines, 1531), an encyclopedic work divided into three parts: De causis corruptarum artium (On the Causes of the Corruption of the Arts), a collection of seven books devoted to a thorough critique of the foundations of contemporary education; De tradendis disciplinis (On Handing Down the Disciplines), five books where Vives’s educational reform is outlined; and De artibus (On the Arts), five shorter treatises that deal mainly with logic and metaphysics. Another area in which Vives enjoyed considerable success was psychology. His reflections on the human soul are mainly concentrated in De anima et vita (On the Soul and Life, 1538), a study of the soul and its interaction with the body, which also contains a penetrating analysis of the emotions.

Ramus was another humanist who criticized the shortcomings of contemporary teaching and advocated a humanist reform of the arts curriculum. His textbooks were the best sellers of their day and were very influential in Protestant universities  in the later sixteenth century. In 1543, he published Dialecticae partitiones (The Structure of Dialectic), which in its second edition was called Dialecticae institutiones (Training in Dialectic), and Aristotelicae animadversions (Remarks on Aristotle). These works gained him a reputation as a virulent opponent of Aristotelian philosophy. He considered his own dialectics, consisting of invention and judgment, to be applicable to all areas of knowledge, and he emphasised the need for learning to be comprehensible and useful, with a particular stress on the practical aspects of mathematics. His own reformed system of logic reached its definitive form with the publication of the third edition of Dialectique (1555).

Humanism also supported Christian reform. The most important Christian humanist was the Dutch scholar Desiderius Erasmus (c.1466–1536). He was hostile to Scholasticism, which he did not consider a proper basis for Christian life, and put his erudition at the service of religion by promoting learned piety (docta pietas). In 1503, he published Enchiridion militis christiani (Handbook of the Christian Soldier), a guide to the Christian life addressed to laymen in need of spiritual guidance, in which he developed the concept of a philosophia Christi. His most famous work is Moriae encomium (The Praise of Folly), a satirical monologue first published in 1511 that touches upon a variety of social, political, intellectual, and religious issues. In 1524, he published De libero arbitrio (On Free Will), an open attack a one central doctrine of Martin Luther’s theology: that the human will is enslaved by sin. Erasmus’s analysis hinges on the interpretation of relevant biblical and patristic passages and reaches the conclusion that the human will is extremely weak, but able, with the help of divine grace, to choose the path of salvation.

Humanism also had an impact of overwhelming importance on the development of political thought. With Institutio principis christiani (The Education of a Christian Prince, 1516), Erasmus contributed to the popular genre of humanist advice books for princes. These manuals dealt with the proper ends of government and how best to attain them. Among humanists of the fourteenth century, the most usual proposal was that a strong monarchy should be the best form of government. Petrarca, in his account of princely government that was written in 1373 and took the form of a letter to Francesco da Carrara, argued that cities ought to be governed by princes who accept their office reluctantly and who pursue glory through virtuous actions. His views were repeated in quite a few of the numerous “mirror for princes” (speculum principis) composed during the course of the fifteenth century, such as Giovanni Pontano’s De principe (On the Prince, 1468) and Bartolomeo Sacchi’s De principe (On the Prince, 1471).

Several authors exploited the tensions within the genre of “mirror for princes” in order to defend popular regimes. In Laudatio florentinae urbis (Panegyric of the City of Florence), Bruni maintained that justice can only be assured by a republican constitution. In his view, cities must be governed according to justice if they are to become glorious, and justice is impossible without liberty.

The most important text to challenge the assumptions of princely humanism, however, was Il principe (The Prince), written by the Florentine Niccolò Machiavelli (1469–1527) in 1513, but not published until 1532. A fundamental belief among the humanists was that a ruler needs to cultivate a number of qualities, such as justice and other moral values, in order to acquire honour, glory, and fame. Machiavelli deviated from this view claiming that justice has no decisive place in politics. It is the ruler’s prerogative to decide when to dispense violence and practice deception, no matter how wicked or immoral, as long as the peace of the city is maintained and his share of glory maximized. Machiavelli did not hold that princely regimes were superior to all others. In his less famous, but equally influential, Discorsi sopra la prima deca di Tito Livio (Discourses on the First Ten Books of Titus Livy, 1531), he offers a defense of popular liberty and republican government that takes the ancient republic of Rome as its model.

3. Platonism

During the Renaissance, it gradually became possible to take a broader view of philosophy than the traditional Peripatetic framework permitted. No ancient revival had more impact on the history of philosophy than the recovery of Platonism. The rich doctrinal content and formal elegance of Platonism made it a plausible competitor of the Peripatetic tradition. Renaissance Platonism was a product of humanism and marked a sharper break with medieval philosophy. Many Christians found Platonic philosophy safer and more attractive than Aristotelianism. The Neoplatonic conception of philosophy as a way toward union with God supplied many Renaissance Platonists with some of their richest inspiration. The Platonic dialogues were not seen as profane texts to be understood literally, but as sacred mysteries to be deciphered.

Platonism was brought to Italy by the Byzantine scholar George Gemistos Plethon (c.1360–1454), who, during the Council of Florence in 1439, gave a series of lectures that he later reshaped as De differentiis Aristotelis et Platonis (The Differences between Aristotle and Plato). This work, which compared the doctrines of the two philosophers (to Aristotle’s great disadvantage), initiated a controversy regarding the relative superiority of Plato and Aristotle. In the treatise In calumniatorem Platonis (Against the Calumniator of Plato), Cardinal Bessarion (1403–1472) defended Plethon against the charge levelled against his philosophy by the Aristotelian George of Trebizond (1396–1472), who in Comparatio philosophorum Aristotelis et Platonis (A Comparison of the Philosophers Aristotle and Plato) had maintained that Platonism was unchristian and actually a new religion.

The most important Renaissance Platonist was Marsilio Ficino (1433–1499), who translated Plato’s works into Latin and wrote commentaries on several of them. He also translated and commented on Plotinus’s Enneads and translated treatises and commentaries by Porphyry, Iamblichus, Proclus, Synesius, and other Neoplatonists. He considered Plato as part of a long tradition of ancient theology (prisca theologia) that was inaugurated by Hermes and Zoroaster, culminated with Plato, and continued with Plotinus and the other Neoplatonists. Like the ancient Neoplatonists, Ficino assimilated Aristotelian physics and metaphysics and adapted them to Platonic purposes. In his main philosophical treatise, Theologia Platonica de immortalitate animorum (Platonic Theology on the Immortality of Souls, 1482), he put forward his synthesis of Platonism and Christianity as a new theology and metaphysics, which, unlike that of many Scholastics, was explicitly opposed to Averroist secularism. Another work that became very popular was De vita libri tres (Three Books on Life, 1489) by Ficino; it deals with the health of professional scholars and presents a philosophical theory of natural magic.

One of Ficino’s most distinguished associates was Giovanni Pico della Mirandola (1463–1494). He is best known as the author of the celebrated Oratio de hominis dignitate (Oration on the Dignity of Man), which is often regarded as the manifesto of the new Renaissance thinking, but he also wrote several other prominent works. They include Disputationes adversus astrologiam divinatricem (Disputations against Divinatory Astrology), an influential diatribe against astrology; De ente et uno (On Being and the One), a short treatise attempting to reconcile Platonic and Aristotelian metaphysical views; as well as Heptaplus (Seven Days of Creation), a mystical interpretation of the Genesis creation myth. He was not a devout Neoplatonist like Ficino, but rather an Aristotelian by training and in many ways an eclectic by conviction. He wanted to combine Greek, Hebrew, Muslim, and Christian thought into a great synthesis, which he spelled out in nine hundred theses published as Conclusiones in 1486. He planned to defend them publicly in Rome, but three were found heretical and ten others suspect. He defended them in Apologia, which provoked the condemnation of the whole work by Pope Innocent VIII. Pico’s consistent aim in his writings was to exalt the powers of human nature. To this end he defended the use of magic, which he described as the noblest part of natural science, and Kabbalah, a Jewish form of mysticism that was probably of Neoplatonic origin.

Platonic themes were also central to the thought of Nicholas of Cusa (1401–1464), who linked his philosophical activity to the Neoplatonic tradition and authors such as Proclus and Pseudo-Dionysius. The main problem that runs through his works is how humans, as finite created beings, can think about the infinite and transcendent God. His best-known work is De docta ignorantia (On Learned Ignorance, 1440), which gives expression to his view that the human mind needs to realize its own necessary ignorance of what God is like, an ignorance that results from the ontological and cognitive disproportion between God and the finite human knower. Correlated to the doctrine of learned ignorance is that of the coincidence of opposites in God. All things coincide in God in the sense that God, as undifferentiated being, is beyond all opposition. Two other works that are closely connected to De docta ignorantia are De coniecturis (On Conjectures), in which he denies the possibility of exact knowledge, maintaining that all human knowledge is conjectural, and Apologia docta ignorantiae (A Defense of Learned Ignorance, 1449). In the latter, he makes clear that the doctrine of learned ignorance is not intended to deny knowledge of the existence of God, but only to deny all knowledge of God’s nature.

One of the most serious obstacles to the reception and adoption of Platonism in the early fifteenth century was the theory of Platonic love. Many scholars were simply unable to accept Plato’s explicit treatment of homosexuality. Yet by the middle of the sixteenth century this doctrine had become one of the most popular elements of Platonic philosophy. The transformation of Platonic love from an immoral and offensive liability into a valuable asset represents an important episode in the history of Plato’s re-emergence during the Renaissance as a major influence on Western thought.

Bessarion and Ficino did not deny that Platonic love was essentially homosexual in outlook, but they insisted that it was entirely honourable and chaste. To reinforce this point, they associated Platonic discussions of love with those found in the Bible. Another way in which Ficino made Platonic love more palatable to his contemporaries was to emphasise its place within an elaborate system of Neoplatonic metaphysics. But Ficino’s efforts to accommodate the theory to the values of a fifteenth-century audience did not include concealing or denying that Platonic love was homoerotic. Ficino completely accepted the idea that Platonic love involved a chaste relationship between men and endorsed the belief that the soul’s spiritual ascent to ultimate beauty was fuelled by love between men.

In Gli Asolani (1505), the humanist Pietro Bembo (1470–1547) appropriated the language of Platonic love to describe some aspects of the romance between a man and a woman. In this work, love was presented as unequivocally heterosexual. Most of the ideas set out by Ficino are echoed by Bembo. However, Ficino had separated physical love, which had women as its object, from spiritual love, which was shared between men. Bembo’s version of Platonic love, on the other hand, dealt with the relationship between a man and a woman which gradually progresses from a sexual to a spiritual level. The view of Platonic love formulated by Bembo reached its largest audience with the humanist Baldesar Castiglione’s (1478–1529) Il libro del cortegiano (The Courtier, 1528). Castiglione carried on the trend, initiated by Bessarion, of giving Platonic love a strongly religious coloring, and most of the philosophical content is taken from Ficino.

One of the most popular Renaissance treatises on love, Dialoghi d’amore (Dialogues of Love, 1535), was written by the Jewish philosopher Judah ben Isaac Abravanel, also known as Leone Ebreo (c.1460/5–c.1520/5). The work consists of three conversations on love, which he conceives of as the animating principle of the universe and the cause of all existence, divine as well as material. The first dialogue discusses the relation between love and desire; the second the universality of love; and the third, which provides the longest and most sustained philosophical discussion, the origin of love. He draws upon Platonic and Neoplatonic sources, as well as on the cosmology and metaphysics of Jewish and Arabic thinkers, which are combined with Aristotelian sources in order to produce a synthesis of Aristotelian and Platonic views.

4. Hellenistic Philosophies

Stoicism, Epicureanism, and Skepticism underwent a revival over the course of the fifteenth and sixteenth centuries as part of the ongoing recovery of ancient literature and thought. The revival of Stoicism began with Petrarca, whose renewal of Stoicism moved along two paths. The first one was inspired by Seneca and consisted in the presentation, in works such as De vita solitaria (The Life of Solitude) and De otio religioso (On Religious Leisure), of a way of life in which the cultivation of the scholarly work and ethical perfection are one. The second was his elaboration of Stoic therapy against emotional distress in De secreto conflictu curarum mearum (On the Secret Conflict of My Worries), an inner dialogue of the sort prescribed by Cicero and Seneca, and in De remediis utriusque fortunae (Remedies for Good and Bad Fortune, 1366), a huge compendium based on a short apocryphal tract attributed at the time to Seneca.

While many humanists shared Petrarca’s esteem for Stoic moral philosophy, others called its stern prescriptions into question. They accused the Stoics of suppressing all emotions and criticized their view for its inhuman rigidity. In contrast to the extreme ethical stance of the Stoics, they preferred the more moderate Peripatetic position, arguing that it provides a more realistic basis for morality, since it places the acquisition of virtue within the reach of normal human capacities. Another Stoic doctrine that was often criticized on religious grounds was the conviction that the wise man is entirely responsible for his own happiness and has no need of divine assistance.

The most important exponent of Stoicism during the Renaissance was the Flemish humanist Justus Lipsius (1547–1606), who worked hard to brighten the appeal of Stoicism to Christians. His first Neostoic work was De constantia (On Constancy, 1584), in which he promoted Stoic moral philosophy as a refuge from the horrors of the civil and religious wars that ravaged the continent at the time. His main accounts of Stoicism were Physiologia Stoicorum (Physical Theory of the Stoics) and Manuductio ad stoicam philosophiam (Guide to Stoic Philosophy), both published in 1604. Together they constituted the most learned account of Stoic philosophy produced since antiquity.

During the Middle Ages, Epicureanism was associated with contemptible atheism and hedonist dissipation. In 1417, Bracciolini found Lucretius’s poem De rerum natura, the most informative source on Epicurean teaching, which, together with Ambrogio Traversari’s translation of Diogenes Laertius’s Life of Epicurus into Latin, contributed to a more discriminating appraisal of Epicurean doctrine and a repudiation of the traditional prejudice against the person of Epicurus himself. In a letter written in 1428, Francesco Filelfo (1398–1481) insisted that, contrary to popular opinion, Epicurus was not “addicted to pleasure, lewd and lascivious,” but rather “sober, learned and venerable.” In the epistolary treatise Defensio Epicuri contra Stoicos, Academicos et Peripateticos (Defense of Epicurus against Stoics, Academics and Peripatetics), Cosma Raimondi (d. 1436) vigorously defended Epicurus and the view that the supreme good consists in pleasure both of the mind and the body. He argued that pleasure, according to Epicurus, is not opposed to virtue, but both guided and produced by it. Some humanists tried to harmonize Epicurean with Christian doctrine. In his dialogue De voluptate (On Pleasure, 1431), which was two years later reworked as De vero falsoque bono (On the True and False Good), Valla examined Stoic, Epicurean, and Christian conceptions of the true good. To the ultimate good of the Stoics, that is, virtue practiced for its own sake, Valla opposed that of the Epicureans, represented by pleasure, on the grounds that pleasure comes closer to Christian happiness, which is superior to either pagan ideal.

The revival of ancient philosophy was particularly dramatic in the case of Skepticism, whose revitalisation grew out of many of the currents of Renaissance thought and contributed to make the problem of knowledge crucial for early modern philosophy. The major ancient texts stating the Skeptical arguments were slightly known in the Middle Ages. It was in the fifteenth and sixteenth century that Sextus Empiricus’s Outlines of Pyrrhonism and Against the Mathematicians, Cicero’s Academica, and Diogenes Laertius’s Life of Pyrrho started to receive serious philosophical consideration.

The most significant and influential figure in the development of Renaissance Skepticism is Michel de Montaigne (1533–1592). The most thorough presentation of his Skeptical views occurs in Apologie de Raimond Sebond (Apology for Raymond Sebond), the longest and most philosophical of his essays. In it, he developed in a gradual manner the many kinds of problems that make people doubt the reliability of human reason. He considered in detail the ancient Skeptical arguments about the unreliability of information gained by the senses or by reason, about the inability of human beings to find a satisfactory criterion of knowledge, and about the relativity of moral opinions. He concluded that people should suspend judgment on all matters and follow customs and traditions. He combined these conclusions with fideism.

Many Renaissance appropriators of Academic and Pyrrhonian Skeptical arguments did not see any intrinsic value in Skepticism, but rather used it to attack Aristotelianism and disparage the claims of human science. They challenged the intellectual foundations of medieval Scholastic learning by raising serious questions about the nature of truth and about the ability of humans to discover it. In Examen vanitatis doctrinae gentium et veritatis Christianae disciplinae (Examination of the Vanity of Pagan Doctrine and of the Truth of Christian Teaching, 1520), Gianfrancesco Pico della Mirandola (1469–1533) set out to prove the futility of pagan doctrine and the truth of Christianity. He regarded Skepticism as ideally suited to his campaign, since it challenged the possibility of attaining certain knowledge by means of the senses or by reason, but left the scriptures, grounded in divine revelation, untouched. In the first part of the work, he used the Skeptical arguments contained in the works of Sextus Empiricus against the various schools of ancient philosophy; and in the second part he turned Skepticism against Aristotle and the Peripatetic tradition. His aim was not to call everything into doubt, but rather to discredit every source of knowledge except scripture and condemn all attempts to find truth elsewhere as vain.

In a similar way, Agrippa von Nettesheim (1486–1535), whose real name was Heinrich Cornelius, demonstrated in De incertitudine et vanitate scientiarum atque artium (On the Uncertainty and Vanity of the Arts and Sciences, 1530) the contradictions of scientific doctrines. With stylistic brilliance, he described the controversies of the established academic community and dismissed all academic endeavors in view of the finitude of human experience, which in his view comes to rest only in faith.

The fame of the Portuguese philosopher and medical writer Francisco Sanches (1551–1623) rests mainly on Quod nihil scitur (That Nothing Is Known, 1581), one of the best systematic expositions of philosophical Skepticism produced during the sixteenth century. The treatise contains a radical criticism of the Aristotelian notion of science, but beside its critical aim, it had a constructive objective, which posterity has tended to neglect, consisting in Sanches’s quest for a new method of philosophical and scientific inquiry that could be universally applied. This method was supposed to be expounded in another book that was either lost, remained unpublished, or was not written at all.

5. New Philosophies of Nature

In 1543, Nicolaus Copernicus (1473–1543) published De revolutionibus orbium coelestium (On the Revolutions of the Heavenly Spheres), which proposed a new calculus of planetary motion based on several new hypotheses, such as heliocentrism and the motion of the earth. The first generation of readers underestimated the revolutionary character of the work and regarded the hypotheses of the work only as useful mathematical fictions. The result was that astronomers appreciated and adopted some of Copernicus’s mathematical models but rejected his cosmology. Yet, the Aristotelian representation of the universe did not remain unchallenged and new visions of nature, its principles, and its mode of operation started to emerge.

During the sixteenth century, there were many philosophers of nature who felt that Aristotle’s system could no longer regulate honest inquiry into nature. Therefore, they stopped trying to adjust the Aristotelian system and turned their backs on it altogether. It is hard to imagine how early modern philosophers, such as Francis Bacon (1561–1626), Pierre Gassendi (1592–1655,) and René Descartes (1596–1650), could have cleared the ground for the scientific revolution without the work of novatores such as Bernardino Telesio (1509–1588), Francesco Patrizi (1529–1597), Giordano Bruno (1548–1600), and Tommaso Campanella (1568–1639).

Telesio grounded his system on a form of empiricism, which maintained that nature can only be understood through sense perception and empirical research. In 1586, two years before his death, he published the definitive version of his work De rerum natura iuxta propria principia (On the Nature of Things according to their Own Principles). The book is a frontal assault on the foundations of Peripatetic philosophy, accompanied by a proposal for replacing Aristotelianism with a system more faithful to nature and experience. According to Telesio, the only things that must be presupposed are passive matter and the two principles of heat and cold, which are in perpetual struggle to occupy matter and exclude their opposite. These principles were meant to replace the Aristotelian metaphysical principles of matter and form. Some of Telesio’s innovations were seen as theologically dangerous and his philosophy became the object of vigorous attacks. De rerum natura iuxta propria principia was included on the Index of Prohibited Books published in Rome in 1596.

Through the reading of Telesio’s work, Campanella developed a profound distaste for Aristotelian philosophy and embraced the idea that nature should be explained through its own principles. He rejected the fundamental Aristotelian principle of hylomorphism and adopted instead Telesio’s understanding of reality in terms of the principles of matter, heat, and cold, which he combined with Neoplatonic ideas derived from Ficino. His first published work was Philosophia sensibus demonstrata (Philosophy as Demonstrated by the Senses, 1591), an anti-Peripatetic polemic in defense of Telesio’s system of natural philosophy. Thereafter, he was censured, tortured, and repeatedly imprisoned for his heresies. During the years of his incarceration, he composed many of his most famous works, such as De sensu rerum et magia (On the Sense of Things and On Magic, 1620), which sets out his vision of the natural world as a living organism and displays his keen interest in natural magic; Ateismus triomphatus (Atheism Conquered), a polemic against both reason of state and Machiavelli’s conception of religion as a political invention; and Apologia pro Galileo (Defense of Galileo), a defense of the freedom of thought (libertas philosophandi) of Galileo and of Christian scientists in general. Campanella’s most ambitious work is Metaphysica (1638), which constitutes the most comprehensive presentation of his philosophy and whose aim is to produce a new foundation for the entire encyclopedia of knowledge. His most celebrated work is the utopian treatise La città del sole (The City of the Sun), which describes an ideal model of society that, in contrast to the violence and disorder of the real world, is in harmony with nature.

In contrast to Telesio, who was a fervent critic of metaphysics and insisted on a purely empiricist approach in natural philosophy, Patrizi developed a program in which natural philosophy and cosmology were connected with their metaphysical and theological foundations. His Discussiones peripateticae (Peripatetic Discussions) provides a close comparison of the views of Aristotle and Plato on a wide range of philosophical issues, arguing that Plato’s views are preferable on all counts. Inspired by such Platonic predecessors as Proclus and Ficino, Patrizi elaborated his own philosophical system in Nova de universalis philosophia (The New Universal Philosophy, 1591), which is divided in four parts: Panaugia, Panarchia, Pampsychia, and Pancosmia. He saw light as the basic metaphysical principle and interpreted the universe in terms of the diffusion of light. The fourth and last part of the work, in which he expounded his cosmology showing how the physical world derives its existence from God, is by far the most original and important. In it, he replaced the four Aristotelian elements with his own alternatives: space, light, heat, and humidity. Gassendi and Henry More (1614–1687) adopted his concept of space, which indirectly came to influence Newton.

A more radical cosmology was proposed by Bruno, who was an extremely prolific writer. His most significant works include those on the art of memory and the combinatory method of Ramon Llull, as well as the moral dialogues Spaccio de la bestia trionfante (The Expulsion of the Triumphant Beast, 1584), Cabala del cavallo pegaseo (The Kabbalah of the Pegasean Horse, 1585) and De gl’heroici furori (The Heroic Frenzies, 1585). Much of his fame rests on three cosmological dialogues published in 1584: La cena de le ceneri (The Ash Wednesday Supper), De la causa, principio et uno (On the Cause, the Principle and the One) and De l’infinito, universo et mondi (On the Infinite, the Universe and the Worlds). In these, with inspiration from Lucretius, the Neoplatonists, and, above all, Nicholas of Cusa, he elaborates a coherent and strongly articulated ontological monism. Individual beings are conceived as accidents or modes of a unique substance, that is, the universe, which he describes as an animate and infinitely extended unity containing innumerable worlds. Bruno adhered to Copernicus’s cosmology but transformed it, postulating an infinite universe. Although an infinite universe was by no means his invention, he was the first to locate a heliocentric system in infinite space. In 1600, he was burned at the stake by the Inquisition for his heretical teachings.

Even though these new philosophies of nature anticipated some of the defining features of early modern thought, many of their methodological characteristics appeared to be inadequate in the face of new scientific developments. The methodology of Galileo Galilei (1564–1642) and of the other pioneers of the new science was essentially mathematical. Moreover, the development of the new science took place by means of methodical observations and experiments, such as Galileo’s telescopic discoveries and his experiments on inclined planes. The critique of Aristotle’s teaching formulated by natural philosophers such as Telesio, Campanella, Patrizi, and Bruno undoubtedly helped to weaken it, but it was the new philosophy of the early seventeenth century that sealed the fate of the Aristotelian worldview and set the tone for a new age.

6. References and Further Reading

  • Allen, M. J. B., & Rees, V., eds., Marsilio Ficino: His Theology, his Philosophy, his Legacy (Leiden: Brill, 2002).
  • Bellitto, C., & al., eds., Introducing Nicholas of Cusa: A Guide to a Renaissance Man (New York: Paulist Press, 2004).
  • Bianchi, L., Studi sull’aristotelismo del Rinascimento (Padua: Il Poligrafo, 2003).
  • Blum, P. R., ed., Philosophers of the Renaissance (Washington, D.C.: The Catholic University of America Press, 2010).
  • Copenhaver, B. P., & Schmitt, C. B., Renaissance Philosophy (Oxford: Oxford University Press, 1992).
  • Damiens, S., Amour et Intellect chez Leon l’Hébreu (Toulouse: Edouard Privat Editeur, 1971).
  • Dougherty, M. V., ed., Pico della Mirandola: New Essays (Cambridge: Cambridge University Press, 2008).
  • Ernst, G., Tommaso Campanella: The Book and the Body of Nature, transl. D. Marshall (Dordrecht: Springer, 2010).
  • Fantazzi, C., ed., A Companion to Juan Luis Vives (Leiden: Brill, 2008).
  • Gatti, H., ed., Giordano Bruno: Philosopher of the Renaissance (Aldershot: Ashgate, 2002).
  • Granada, M. A., La reivindicación de la filosofía en Giordano Bruno (Barcelona: Herder, 2005).
  • Guerlac, R., Juan Luis Vives against the Pseudodialecticians: A Humanist Attack on Medieval Logic (Dordrecht: Reidel, 1979).
  • Hankins, J., Plato in the Italian Renaissance, 2 vols. (Leiden: Brill, 1990).
  • Hankins, J., Humanism and Platonism in the Italian Renaissance, 2 vols. (Rome: Edizioni di storia e letteratura, 2003–4).
  • Hankins, J., ed., The Cambridge Companion to Renaissance Philosophy (Cambridge: Cambridge University Press, 2007).
  • Headley, J. M., Tommaso Campanella and the Transformation of the World (Princeton, N.J.: Princeton University Press, 1997).
  • Kraye, J., Classical Traditions in Renaissance Philosophy (Aldershot: Ashgate, 2002).
  • Mack, P., Renaissance Argument: Valla and Agricola in the Traditions of Rhetoric and Dialectic (Leiden: Brill, 1993).
  • Mahoney, E. P., Two Aristotelians of the Italian Renaissance: Nicoletto Vernia and Agostino Nifo (Aldershot: Ashgate, 2000).
  • Mikkeli, H., An Aristotelian Response to Renaissance Humanism: Jacopo Zabarella on the Nature of Arts and Sciences (Helsinki: Societas Historica Finlandiae, 1992).
  • Nauert, C. A., Agrippa and the Crisis of Renaissance Thought (Urbana: University of Illinois Press, 1965).
  • Nauta, L., In Defense of Common Sense: Lorenzo Valla’s Humanist Critique of Scholastic Philosophy (Cambridge, MA.: Harvard University Press, 2009).
  • Noreña, C. G., Juan Luis Vives (The Hague: Nijhoff, 1970).
  • Ong, W. J., Ramus: Method and the Decay of Dialogue (Cambridge, MA.: Harvard University Press).
  • Paganini, G., & Maia Neto, J. R., eds., Renaissance Scepticisms (Dordrecht: Springer, 2009).
  • Pine, M. L., Pietro Pomponazzi: Radical Philosopher of the Renaissance (Padova: Antenore, 1986).
  • Popkin, R. H., The History of Scepticism from Savonarola to Bayle (Oxford: Oxford University Press, 2003).
  • Rummel, E., The Humanist-Scholastic Debate in the Renaissance and Reformation (Cambridge, MA.: Harvard University Press, 1995).
  • Schmitt, C. B., Gianfrancesco Pico della Mirandola (1469–1533) and His Critique of Aristotle (The Hague: Nijhoff, 1967).
  • Schmitt, C. B., Cicero Scepticus: A Study of the Influence of the Academica in the Renaissance (The Hague: Nijhoff, 1972).
  • Schmitt, C. B., Aristotle and the Renaissance (Cambridge, MA.: Harvard University Press, 1983).
  • Schmitt, C. B., & al., eds., The Cambridge History of Renaissance Philosophy (Cambridge: Cambridge University Press, 1988).
  • Skinner, Q., The Foundations of Modern Political Thought, vol. 1, The Renaissance (Cambridge: Cambridge University Press, 1978).
  • Yates, F. A., Giordano Bruno and the Hermetic Tradition (London: Rouledge & Kegan Paul, 1964).

Author Information

Lorenzo Casini
Email: lorenzo.casini@filosofi.uu.se
Uppsala University
Sweden

Pluralist Theories of Truth

Truth pluralism (or ‘alethic’ pluralism) is a view about the nature of truth. Broadly speaking, the thought behind the view is that truth may require different treatments for different kinds of subject matter. In particular, there is the prospect for it to be consistent to conceive of truth in a realist manner for discourse about the material world, while maintaining an anti-realist notion of truth for discourse about subjects that are perhaps more mind-dependent in character, such as discourse about ethics or comedy. Contemporary pluralist theories of truth have their roots in William James’s pragmatism. The literature on truth pluralism is expanding rapidly; new avenues of research on the subject are constantly being explored. This article introduces the central motivations, frameworks, and problems for the view which have preoccupied much of the discussion to date in contemporary analytic philosophy. Part 1 gives a brief history of some of the main inspirations behind the views outlined in contemporary debates. Part 2 goes through some preliminary issues. Part 3 outlines one of the main motivations for truth pluralism. Part 4 details the main formulations of the view that have been offered, and discusses the problems each formulation faces. Finally, Part 5 discusses some concerns about the general approach of the view.

Table of Contents

  1. A Brief History of Truth Pluralism
  2. Truth Pluralism Preliminaries
  3. Motivations for Truth Pluralism
  4. Forms of Truth Pluralism
    1. Simple Alethic Pluralism
      1. The Problem of Mixed Inferences (Form 1)
      2. The Problem of Mixed Compounds (Form 1)
      3. Norm of Inquiry
      4. Generalizations
    2. One Concept Many Properties
      1. The Problem of Mixed Inferences (Form 2)
      2. The Problem of Mixed Compounds (Form 2)
      3. Norm of Inquiry
      4. Generalizations
    3. Second-Order Functionalism
    4. Manifestation Functionalism
    5. Disjunctivism and Simple Determination Pluralism
  5. General Issues
    1. The Problem of Domain Individuation
    2. The Demandingness Objection
    3. Problems with Platitudes
    4. The Deflationary Challenge
  6. References and Further Reading

1. A Brief History of Truth Pluralism

The majority of this article is focused on a contemporary debate in analytical philosophy, but, of course, debates about the nature of truth are long-established in the history of philosophy, and in a variety of philosophical traditions. Some of the more prominent theories are correspondence theories, coherence theories, pragmatist theories, identity theories, and deflationary theories, and there are of course a number of different varieties of each of these views (for more information on these theories, see the Internet Encyclopedia of Philosophy article on Truth).

Contemporary pluralist theories of truth have their roots in William James’s pragmatism (though he himself disliked the name), which is outlined most prominently in his collection of lectures entitled Pragmatism, first published in 1907. James himself took true beliefs to be those beliefs that served some useful purpose, but recognised that there are many different ways that beliefs can be useful, often depending on the kinds of things the beliefs were about, with observational beliefs, moral beliefs, and mathematical beliefs, being just a few examples. Moreover, James noted that what made these different kinds of beliefs useful might vary from case to case. For instance, for observational beliefs we might think that their utility is established by their being verified, for mathematical beliefs by being capable of being proved, and for moral beliefs by cohering with other moral beliefs we have. Thus, although James held the general pragmatist thesis that for a belief to be true is for it to be useful:

Our account of truth is an account of truths in the plural…having only this quality in common: that they pay. (James 1975: 104)

He also held that there were various different ways in which beliefs could be useful:

To copy a reality is, indeed, one way of agreeing with it, but it is by no means essential. (James 1975: 102)

The spirit of James’s approach was built on in the mid-20th Century by Michael Dummett, who, in his famous 1959 essay ‘Truth’, very much echoed James when he wrote:

The question is not whether [“true” and “false”] are in practice applied to ethical statements, but whether, if they are so applied, the point of doing so would be the same as the point of applying them to statements of other kinds, and, if not, in what ways it would be different. (Dummett 1978: 3)

Perhaps the first explicit statement of the kind of pluralism found in contemporary debates is given by Alan White in his 1957 essay, “Truth as Appraisal”. Like James, White held that there is some unity to the use of the word true, but he instead holds that this unity is supplied by the term’s use as a term of appraisal, as a way to commend a particular statement. White held a ‘dual-aspect’ theory of truth, which held that this appraisal-aspect is combined with a descriptive aspect, which states the criteria for establishing when the term ‘true’ is used correctly. White then argued that these criteria vary according to the subject matter of the statement, holding that different ‘theories’ of truth, such as correspondence theory and coherence theory are apt to give the criteria for the correct use of ‘true’ in different cases.

With the rise of deflationary theories of truth in the mid to late 20th Century, James and White’s observations received perhaps less attention than they deserved. The general project of truth pluralism was revitalized, however, by the publication of Crispin Wright’s 1992 book Truth and Objectivity, which aimed to place a broadly pluralist account of truth at the heart of a new method of understanding debates about realism and anti-realism. Wright’s book had significant influence in a number of different areas of philosophy, and provoked considerable debate. In the 21st Century, Michael P. Lynch, along with Crispin Wright, has further developed the project of truth pluralism, and his 2009 book Truth as One and Many is the most comprehensive single study of truth pluralism and its potential implications to date. As we will see below, there are many different ways to understand the exact specification of truth pluralism, but before we approach these it will be useful to try to get to the heart of what drives each of these views, and to clarify some of the terminology commonly used.

2. Truth Pluralism Preliminaries

The basic idea behind all forms of truth pluralism is that the analysis of truth may require different treatment for different kinds of subject matter. This idea is normally spelled out using the notion of a domain of discourse (or region of thought). This is a formalization of the idea that human thought and discourse can be about a large number of different subjects. For instance, we may debate about whether a particular joke is funny, whether an action is morally wrong, whether the earth goes around the sun, or whether there is a largest prime number. The thought is that these debates concern very different things, and this needs to be taken into account when we come to analyse the claims made in them.

The truth pluralist draws upon these intuitive distinctions when it comes to the matter of investigating the nature of truth. As we will see below, truth pluralists have reason to think that there are important things to be said about the nature of truth, but typically – at least at some stage of the theory – hold that the question of what needs to be said is addressed on a domain-by-domain basis. That is, they are unhappy with the thought that we can give an account of the nature of truth without taking into account the subject-matter of the claims of which truth is predicated. A full account of the nature of truth, on the pluralist view, will need to look at truth in a specific domain, as opposed to (or as well as) what constitutes truth per se.

Before moving on to the motivations for truth pluralism, and the various forms of the view, it is worth briefly pausing to note some distinctions which are important in the truth pluralism literature. These distinctions are between the truth predicate, the truth concept, and the truth property. The truth predicate, typically taking the form ‘is true’ is the linguistic entity appended to certain sentences, as in “‘snow is white” is true’. One who competently uses the words ‘true’ and ‘truth’ can be said to possess the concept of truth, and an analysis of the concept of truth will aim to uncover what those conditions of competent use consist in. The property of truth is what is ascribed by the truth predicate.

To get clearer on these distinctions, consider the following analogy with water (this analogy is originally due to Alston (1996), and is also emphasised by Wright (2001) and Lynch (2009)). We have the predicate ‘is water’, which we use to say of a certain substance that it is water (for example, ‘the liquid in the bottle is water’). We also have the concept of water, that any competent user of the term ‘water’ understands (for example, that water is a clear, colourless, tasteless liquid, that it comes out of taps, and runs through rivers and streams). We also have the property of being water, which is what the stuff that corresponds to the concept, and is referred to by the predicate, consists in. Scientific discoveries have deemed the property of water to be identical to the property of being H2O, and this tells us what the nature of water is. In the water case, then, the system works as follows. We have the water predicate, which is used to ascribe a particular property – being water – to particular substances. Competent users of the water predicate will be said to possess the concept of water, and this concept demarcates a kind of worldly substance. The property of water captures the essence of this worldly substance (H­2O). Note also that it is not a condition on competent users of the concept that they be aware of the nature of the property (as indeed was not the case before the discovery of water as H2O): possessing the concept does not necessarily require possessing knowledge of the essence of the property.

Most of the investigations into the nature of truth concern the essence of the truth property. However, as we will see, in the story of truth pluralism, the concept of truth has an important role to play. (For more on the concept/property distinction in this context, and how the nature of the truth property may not be transparent from the truth concept, see Alston 2002.)

It is also worth saying a little about truth-bearers before we progress. There are a number of different things that philosophers have taken to be the bearers of truth, with beliefs, statements, sentences, utterances of sentences, and propositions to be perhaps the most prominent examples. One form of truth pluralism would perhaps be a view which held that all of these potential bearers are genuine truth-bearers, and that there are different kinds of truth appropriate to each bearer. This would be an interesting kind of truth pluralism, though it is not a view which seems to necessarily share the same motivations as the views discussed here. For the purposes of this article, we will follow the majority of truth pluralists in holding that it is propositions that are the primary bearers of truth, and when we speak of sentences, utterances, or beliefs as being true it is in the sense that they express a proposition that is true.

3. Motivations for Truth Pluralism

Correspondence theories of truth may appear to be intuitively attractive: they promise to make truth a matter of a relation between linguistic or mental entities and the separate objects and properties that they purport to represent. However, subscribing to such a view about truth for a particular domain of discourse carries with it significant metaphysical commitments: in other words, it can be thought of as implying that there are mind-independent facts of the matter which our statements, thoughts or beliefs map onto. This has posed particular problems about employing the notion of truth in the moral domain, for example, where the idea of there being mind-independent facts of the matter causes a degree of uneasiness (see, for example, Mackie 1977). It also causes problems in the mathematical domain, where we might be more comfortable thinking that there are mind-independent facts of the matter, but, due to the abstract nature of the facts involved, the notion of ‘mapping onto’ these facts seems misguided. Thoughts along these lines have been expressed by Lynch (2009) as what he calls the ‘Scope Problem’, which suggests that each existing ‘robust’ theory of truth (such as correspondence and coherence theories) is limited to accounting only for the truth of claims of a certain type. (See Dodd 2012 and Edwards 2011b for further discussion of the strength of the Scope Problem.)

It is tempting to respond to this uneasiness by denying that truth is applicable in these problematic domains, and adopting ‘expressivist’ or ‘fictionalist’ views of the subject matter instead, for example. However, pulling in the opposite direction is the attractive view of minimal truth-aptness. This is the thought that a domain of discourse can sustain a notion of truth in virtue of meeting very basic standards of syntactic discipline (see, for example, Boghossian 1990, Wright 1992), allowing them to express propositions which are, in turn, apt for truth. The basic idea is that a domain will qualify as being syntactically disciplined if its component sentences can be used as the antecedents of conditionals, be negated, and feature as the targets of propositional attitude statements. In addition to these features, if a domain is syntactically disciplined then there is a distinction between seeming to be right and being right, along with the intelligibility of speakers saying ‘I used to think that p but now I realize I was mistaken’. Moral discourse, for example, plausibly meets these standards. We often say things like ‘I used to think that eating meat was morally wrong, but now I realize I was mistaken’, or ‘I wonder whether abortion is morally wrong’. We can also note that moral sentences, such as ‘murder is wrong’, can feature as the antecedents of conditionals, such as ‘if murder is wrong, then those that murder will be punished’, or be negated, as in ‘it is not the case that murder is right’, which – on the terms of the view – are further hallmarks of sentences which express truth-apt propositions. Consequently, it is not so clear that we can give up on truth in these domains. But that seems to lead us back into an implausible realism, and herein lies the problem.

However, one may well point out that this is not such a problem, as there is already a plausible, and popular, theory of truth which explains how these kinds of claims are truth-apt, and without any unwanted metaphysical baggage: so-called ‘deflationary’ theories of truth (see, for example, Horwich 1998, Field 1994, and Stoljar and Damnjanovic 2010 for an overview of deflationary theories). The deflationist insists that the truth predicate exists just to perform certain logical functions, such as the endorsement of a proposition, or generalisation over a potentially infinite number of propositions. Deflationary theories of truth thus typically focus on the use of the truth predicate, and the possession of the truth concept, as opposed to the truth property. (See Devitt 2001 for a good discussion of the project undertaken by deflationists.) Deflationism though may be able to give us the resources to explain how all of the classes of sentences we are considering can be true, but it does so at the cost of being unable to use truth as an explanatory resource when attempting to understand other concepts, and requires revision to some of our basic thoughts that connect truth to other concepts of philosophical interest (for discussion see, for example, Lynch 2004a, Davidson 1999, Field 1986). There are also concerns that deflationism is an internally unstable view, outlined in Wright’s (1992) ‘inflationary argument’ (for further discussion see Horwich 1996 and 1998, Rumfitt 1995, van Cleve 1996, Kölbel 1997 and Miller 2001). I will not go into these problems in depth here, but suffice to say that deflationism does not offer a problem-free solution to the problem under discussion.

The truth pluralist agrees with the deflationist that all of the domains we have considered contain sentences that are capable of expressing true propositions. However, the truth pluralist does not think, like the deflationist, that this is the end of the matter. There is a story to tell about the nature of truth, the pluralist thinks, but this story will not always be the same. According to the truth pluralist, there will be a property in virtue of which the propositions expressed by sentences in a particular domain of discourse will be true, but this property will change depending on the domain we are considering. In other words, although the notion of truth as correspondence to the facts might fit our domain of discourse about the material world, a different notion of truth – perhaps one with less metaphysical baggage, constructed out of coherence, or justification or warrant (for example Wright’s notion of ‘superassertibility’ – see Wright 1992) – may fit the domains in which the correspondence notion looks problematic. Consequently, truth pluralism offers a treatment of truth which allows for a wide range of beliefs, sentences and the like to be true, although holding onto the idea that there are interesting things to say about truth.

There are thus initially two constraints on all truth pluralist theories. They must:

(1) Adequately explain how truth is to be analysed differently in different domains of discourse, and

(2) Ensure that truth is held to be robust enough to avoid the criticisms of deflationism.

With these motivations in mind, we will now examine some of the specific formulations of the view. Note that the versions I will be looking at will be those that hold that there are roles for different types of properties, such as correspondence and coherence, to play in the different accounts of truth in different domains, but there are also views of a pluralist persuasion which hold that truth is always correspondence, with there being different kinds of correspondence (for example Horgan 2001, Sher 2004).

4. Forms of Truth Pluralism

a. Simple Alethic Pluralism

The first option is a view which Lynch calls ‘Simple Alethic Pluralism’ (SAP) (Lynch does not hold the view, and it is unclear whether anyone ever has – though some attribute the view to Wright’s (1992) formulation of truth pluralism, which speaks of a plurality of truth predicates. Wright has since clarified his position – see below). Recalling the differences between concept and property noted above, this view holds that there are different concepts of truth in different domains of discourse. That is, that the concept of truth in discourse about the material world is identified with the concept of corresponding to fact, and the concept of truth in arithmetic is identified with the concept of coherence. Associated with each of these concepts will be their corresponding predicates and properties, so, if the concept of truth changes from domain to domain, the content of the truth predicate and the nature of the truth property will also change from domain to domain. On this view, then, there are different concepts, predicates and properties associated with the word ‘true’ in different domains of discourse.

Returning to the two dimensions of meaning that we discussed earlier, SAP holds that the meaning of ‘true’ varies from domain to domain at both the level of concept and property. It varies at the level of concept as different concepts are associated with ‘true’ in different domains, and it varies at the level of property as different properties are associated with the different concepts in different domains. One implication of this view, then, is that – at least on the two dimensions of meaning discussed – there is no domain-invariant meaning of ‘true’: the meaning of the predicate always depends on the subject-matter to which it is attributed, and is thus multiply ambiguous.

We will now turn to discuss the main problems for the SAP formulation of truth pluralism.

i. The Problem of Mixed Inferences (Form 1)

On the SAP view, truth (both as predicate and property) is tied to specific domains of discourse. However, as Tappolet (1997) pointed out, our reasoning frequently mixes statements from different domains. Consider the following example:

(1) This cat is wet

(2) This cat is funny

Therefore, this cat is wet and funny

Validity of arguments is traditionally understood as necessary preservation of truth, but how could we understand the validity of this argument on the SAP view? To make the point explicit, let us use the truth predicates from different domains:

(1*) ‘This cat is wet’ is truem

(2*) ‘This cat is funny’ is truec

Therefore, ‘this cat is wet and funny’ is true?

Disregarding for the moment the issue of what truth predicate applies to the conclusion (see the problem of mixed compounds below), this reformulation of the argument is invalid as different truth predicates are applied to each premise and conclusion, thus rendering the argument guilty of the fallacy of equivocation. Appeal to properties will not help either, as different truth properties correspond to each different truth predicate, thus ensuring that no single property is preserved across the inference (see below and Pedersen 2006 for detailed further discussion of the different aspects of this problem).

ii. The Problem of Mixed Compounds (Form 1)

Now consider compound claims, like conjunctions or disjunctions. Tappolet (2000) observes that we often make compounds of claims from different domains of discourse, such as the already mentioned ‘this cat is wet and funny’. (Williamson 1994 makes a similar point.) We have already noted that there is some puzzlement over what truth predicate could apply to this conjunction, but, more worryingly, Tappolet states, is that there is a basic statement about conjunctions, namely that a conjunction is true iff its conjuncts are true. If different truth predicates apply to the conjunction and to the conjuncts, then principles like this look under threat, once more from concerns about equivocation. These principles seem to require a general truth predicate, but SAP can provide none.

iii. Norm of Inquiry

One of the main motivations for moving beyond deflationism is to accommodate the thought that truth constitutes a norm of inquiry. It seems on the face of it as though SAP can accommodate this thought as there are different truth properties in different domains of discourse. However, Lynch (2006) argues that we need to read this constraint as the need for truth to constitute a single general norm of inquiry. All SAP would give us is lots of different norms (truth-in-ethics, truth-in-mathematics, and so forth) which would provide different norms for different domains of discourse, as opposed to a single general norm that all assertions (regardless of domain) aim at. If Lynch’s argument is correct, then, SAP has trouble accommodating the normative dimension of truth.

iv. Generalizations

One common use of the truth predicate is to make general claims, such as ‘Everything Socrates said is true’. This effectively allows us to endorse everything Socrates said without having to re-assert everything he did say. But how could we understand this usage on the SAP view? In particular, what truth predicate appears in the statement? For instance, suppose that Socrates remarks on a wide variety of subjects, from the weather to what is morally good to the axioms of set theory. All of these claims would seemingly be subject to different truth predicates, so how is a general claim like ‘Everything Socrates said is true’ even expressible without the aid of a general truth predicate?

b. The One Concept Many Properties View (OCMP)

The second option, due to Crispin Wright (1992, 2001, 2003), holds that there is a single concept of truth, held fixed across domains, and different truth properties which satisfy this concept in different domains. This view aims to hold one aspect of the meaning of the predicate ‘true’ fixed across domains – namely the concept associated with ‘true’ – although accommodating diversity of content by holding that there are different properties of truth in different domains, identified by their ability to (locally) satisfy the truth concept.

On this view, the content of the concept of truth is specified by a list of ‘platitudes’ about truth, which are taken to be truths about truth, knowable a priori, which specify the features that truth is taken to necessarily have, often by reference to connections between truth and other closely related concepts. Some candidate platitudes are as follows:

Transparency. That to assert a proposition is to present it as true and, more generally, that any attitude to a proposition is an attitude to its truth – that to believe, doubt, or fear, for example, that p is to believe, doubt, or fear that p is true.

(E). <p> is true iff p. (Note: ‘<p>’ here and below stands for ‘the proposition that p’, following Horwich’s (1998) notation.)

Embedding. A proposition’s aptitude for truth is preserved under a variety of operations – in particular, truth-apt propositions have negations, conjunctions, disjunctions, and so forth, which are likewise truth-apt.

Straight-talking. A true proposition ‘tells it like it is’, in some way.

Contrast. A proposition may be true but not justified, or justified but not true.

Stability. If a proposition is ever true, then it always is, so that whatever may, at any particular time, be truly asserted may – perhaps by appropriate transformations of mood, or tense – be truly asserted at any time.

Absoluteness. Truth is absolute – there is, strictly, no such thing as a proposition’s being more or less true; propositions are completely true if true at all.

The basic idea is that a complete list of truth platitudes will characterise the concept of truth exhaustively. This concept will be associated with the truth predicate in all of its relevant uses, regardless of the subject-matter of which it is attributed. One dimension of the meaning of ‘true’ is thus held fixed: the concept of truth with which the predicate is associated.

The aspect of meaning of ‘true’ which varies on this view is the property associated with ‘true’. What this property is will vary from one domain to the next. For example, the truth property for the empirical domain might well be correspondence, and the truth property for the mathematical domain might be coherence. Thus, at the level of property, there is variation in the nature of truth, but not variation at the level of concept.

According to Wright, a property’s ability to be considered a truth property is dependent on its ability to satisfy the following procedure. First of all, occurrences of the term ‘true’ are replaced with the name of the candidate property (so, for example, in the case of correspondence, the Contrast platitude would become “A proposition may correspond to the facts but not be justified, and vice versa”). If truth is preserved by these reformulations (that is, if all the platitudes remain true when rewritten), then, according to Wright, the property in question has the pedigree to be considered a truth property.

The method here can be compared with the methods employed by functionalists in the philosophy of mind (for example, Lewis 1972, Kim 1998) in that properties such as correspondence realize the role set out by the truth platitudes, as, for instance, c-fibers firing realize the role set out by our folk concept of pain. However, it is contentious whether Wright’s view should be understood along those lines (Lynch 2006, 2009, for example, interprets OCMP in this way, but Wright (2011) resists this interpretation).

OCMP gives us a single truth predicate, but not a single truth property. How might this help it avoid the problems posed for SAP? Not much, on first glance, but, as I will note, there has been more effort to defend OCMP than SAP on these fronts.

i. The Problem of Mixed Inferences (Form 2)

As we have a single truth predicate, the meaning of which is fixed by a single truth concept, the charge of equivocation when it comes to mixed inferences may be circumvented. However, there is still the more pressing issue of truth preservation to address. Remember that we noted that it is widely held that validity is necessary preservation of truth across an inference. This way of putting it sounds distinctly like there is a single property (truth) preserved from premises to conclusion. However, note that there is no single property of truth on the OCMP view, so different truth properties will be possessed by premises from different domains of discourse. The problem now kicks in at the level of properties: how to explain preservation of truth across mixed inferences when there is no single truth property.

Responses to this form of the problem have been offered by Beall (2000), who argues that the pluralist should adopt a conception of validity favoured by many-valued logics, and Pedersen (2006) who explores the possibility of using plural quantification. Cotnoir (2012) offers an algebraic account of how an OCMP pluralist can account for the validity of mixed inferences.

ii. The Problem of Mixed Compounds (Form 2)

The initial statement of the problem only seems to affect SAP, as it is a challenge to understand the phrase ‘a conjunction is true iff its conjuncts are true’ in the absence of a general truth predicate. As SAP is the only view which lacks a single truth predicate, it only seems to affect this view and not the others: all the other views can hold that it is the same predicate in both uses. However, there is a deeper challenge which is not averted by this response. That is to explain in what way the conjunction is true, and this can kick in just as well at the level of properties. On the OCMP view, the challenge will be to explain what truth property the mixed conjunction has. On the other views, it will be a challenge to explain which lower level property the mixed conjunction has which explains why it has the general truth property.

One route to explore is to observe that the truth of a compound is, in some sense, supervenient on its components, and to try to construct a truth (or lower level) property out of this idea. This option is explored by Edwards (2008, 2009), who, defending the OCMP view, suggests that we can understand the truth property for compounds as being the property of satisfying the rules for compounds laid out by the preferred system of logic. This option could also be extended to the other views (bar SAP) which could hold that this is the relevant lower level property for compounds that explains why they have the general truth property. This option is discussed by Cotnoir (2009), and rejected by Lynch (2009), who prefers to think of the truth of compounds as instances of truth “self-manifesting”, as a consequence of its being grounded in the truth of the components. See Lynch 2009 Chapter 5 for further discussion of this idea.

iii. Norm of Inquiry

The norm of inquiry problem seems to hold in its original form (indeed, it was originally pressed by Lynch against the OCMP view). Again, there is no general property possessed by all truths, but, if truth is to be considered a general norm of inquiry, then there needs to be a general truth property capable of grounding this norm. Insofar as OCMP cannot allow for this, it falls prey to the objection.

iv. Generalizations

The matter of generalizations is again subtle. Equipped with a general truth predicate the puzzlement over what predicate appears in the sentence ‘Everything Socrates said is true’ disappears. But, again, one may think that the problem kicks in at the level of properties. We could read the sentence as attributing a property to all the things Socrates said – the property of truth. But, we cannot take this statement at face-value on the OCMP view, as, in this case, there is no general truth property that is possessed by all the things Socrates said.

However, OCMP may have a response to this problem which draws on the solution to the problem of mixed conjunctions. If OCMP interprets ‘everything Socrates said is true’ as a long conjunction of all the things Socrates said, then perhaps it can analyze that conjunction in much the same way as the mixed conjunction discussed above. Alternatively, as Wright 2012 explores, OCMP may prefer to instead say that the same style of solution may be adopted for generalizations themselves. That is, a generalization is true just in case all of the propositions that fall under the scope of that generalization are themselves true in their appropriate ways.

The remaining views which we will discuss all allow for a general truth property, as well as a general truth predicate. As a result they seem, on the face of it, to avoid the problem of mixed inferences, norm of inquiry, generalization and mixed compounds problems, and, as a result, I will not discuss each problem in turn for each view. However, as we will see below, the norm of inquiry problem still has relevance in some cases. Also, as hinted above, there are issues over whether the mixed compounds problem will still affect these views, which are explored further in Lynch 2009 and Edwards 2008.

c. Second-Order Functionalism (SOF)

Lynch (2001a, 2004, 2006) proposes to think of truth as a functional concept. A functional concept describes the role that anything that falls under the concept must play, but it is intended to stay reasonably neutral on the issue of what it is that realizes that role. This idea originated in the philosophy of mind by way of giving a method of systematizing particular causal roles of particular mental phenomena, but Lynch extends the idea to systematize the non-causal, perhaps normative, role of truth in our cognitive lives. Lynch’s method of constructing the functional role of the concept of truth begins, like Wright’s, with the collection of a number of platitudes about truth, which locate truth on the conceptual map, linking it with the related concepts of fact, proposition and belief. Lynch’s platitudes are:

The proposition that p is true if and only if p.

The proposition that p is false if and only if it is not the case that p.

Propositions are the bearers of truth and falsity.

Every proposition has a negation.

A proposition can be justified but not true, and true but not justified. (Lynch 2001a: 730)

These platitudes form a structure which will provide a complete account of the role truth is taken to play. This structure takes the form of a ‘network analysis’ (the term is due to Smith 1994). That is, once we have our full list of platitudes, we first rewrite them slightly, replacing simple instances of ‘is true’ with ‘has the property of being true’, so that, instead of, say ‘The proposition that p is true if and only if p.’, we have ‘The proposition that p has the property of being true if and only if p.’ We then make a conjunction of all the platitudes we have collected, and replace all of the alethic concepts in the platitudes with variables. What we end up with is a condition which is billed to give us the exact specification of the ‘job description’ for truth, its ‘functional role’. (For more on this process see Lynch 2001a, and also Smith 1994 and Jackson 1998.)

This process yields a functional definition of truth, as it gives us the precise features that a property must have if it is to be regarded as realizing the truth role: it must be related to a number of other properties in the required way. As noted before, these features may be exhibited by different properties in different domains of discourse, and SOF allows for this, as, provided a property discharges the functional role set out in the network analysis, it counts as the realizer of the truth role in that particular domain of discourse.

So far, it may not seem as though there is a great deal distinguishing SOF from OCMP, but the main point of difference becomes apparent when SOF says a bit more about the truth property. Functionalists in general, according to Lynch, have two options when characterizing the truth property: they can either hold that truth is a second-order property – the property of having a property that plays the specified role – or hold – in each domain – that truth is a first-order property, that is, the property that plays that certain role in that domain. The truth property could thus be taken to be either the second-order property of possessing some property that plays the truth role, or, in each domain, the property that actually plays that role in a particular domain of discourse. SOF plumps for the former, and, as a result, the truth property is to be thought of as a second-order functional role property, not as a realizer property. There is a single second-order role property, and a plurality of realizer properties across discourses, and the truth property is to be identified with the former.

 

There is thus a property that all truths have in common on the SOF view. All truths will have the property of having a property that plays the truth role. As the truth property is to be identified with this second-order property, as opposed to the first-order realizer property, all truths will be true in virtue of having this second-order property, whatever their individual realizer properties are.

There are two main problems that SOF faces. The first concerns the ‘robustness’ of second-order properties. Remember that truth, considered here as a second-order property, needs to be robust enough to ground truth as a general norm of inquiry. However, one might think that the robust properties here are the first-order properties, like correspondence and coherence, as opposed to the property of having one of those properties, which seems to be a thinner, less complex property. If so, SOF provides us with a truth property which is not fit to ground truth as a general norm of inquiry, and thus fails to move the view significantly beyond OCMP (for concerns like these about second-order properties in general, see Kim 1998). The second, related, problem (raised in Lynch 2009) is that it is questionable whether the second-order truth property will satisfy the truth platitudes. Remember that to be a truth-realizing property, on a functionalist view, a property has to exhibit the features set out in the truth platitudes. The first-order properties must do this, and this is how they are identified in their domains, but does the general second-order property exhibit these features? Lynch argues not, and thus the view is unstable: it offers as a truth property a property which fails to meet its own standards for being considered a truth property.

d. Manifestation Functionalism

In Lynch 2009, Lynch presents a significant revision of his earlier proposal. Lynch maintains the central role afforded to the list of platitudes about truth, holding that the concept of truth is captured by the following (slightly different) list:

Objectivity: The belief that p is true if, and only if, with respect to the belief that p, things are as they are believed to be.

Warrant Independence: Some beliefs can be true but not warranted and some can be warranted without being true.

Norm of Belief: It is prima facie correct to believe that p if and only if the proposition that p is true.

End of Inquiry: Other things being equal, true beliefs are a worthy goal of inquiry. (Lynch 2009: 8-12)

According to MF, we ought to take the truth platitudes (or the ‘truish features’ in Lynch’s words) to specify the nature of the truth property, as well as the nature of the truth concept:

the functionalist…can claim that there is a single property and concept of truth. The property being true (or the property of truth) is the property that has the truish features essentially or which plays the truth-role as such. (Lynch 2009: 74)

MF does not disregard the ‘domain-specific’ properties, such as correspondence and superassertibility, but MF does not want to identify truth with these properties, rather that truth is manifested in these properties:

this approach allows the functionalist to claim that truth is, as it were, immanent in ontologically distinct properties. Let us say that where property F is immanent in or manifested by property M, it is a priori that F’s essential features are a subset of M’s features. (Lynch 2009: 74)

MF thus requires that the truth features – as expressed in the characterisation of the truth property – are a subset of the features of the particular domain-specific properties. That is, each of the properties that, in Lynch’s terms, ‘manifest’ truth in a domain, must contain the truth property as a proper part. So, for example, for superassertibility to manifest truth in a domain, it would have to be part of the features of superassertibility that the belief that p is superassertible if, and only if, things are as they are believed to be; that some beliefs can be superassertible but not warranted and some can be warranted without being superassertible; that it is prima facie correct to believe that p if and only if the proposition that p is superassertible; and that, other things being equal, superassertible beliefs are a worthy goal of inquiry.

A key issue for this view is the metaphysics of manifestation. Lynch claims that the metaphysics of manifestation are similar to the metaphysics of the determinate/determinable relation. A classic example of this relation is the relation between being coloured and being red. There is an asymmetry between these properties: if something is red, then, necessarily, it is coloured, whereas if something is coloured it is not necessarily red. Being red, we might say, is one way of being coloured. One way of putting this point is to say that being red is a determinate of the more general determinable, being coloured. According MF, something similar occurs in the case of truth, where properties such as correspondence and superassertibility are different ways of being true. (However, Lynch does not want to say that the manifestation relation as it occurs in the case of truth is the same as the determinate/determinable relation: see Lynch 2009: 75 for details.)

Perhaps the most pressing objection, due to Wright (2012), concerns the ability of properties such as correspondence and superassertibility to manifest truth on the terms of Lynch’s view. Recall that Lynch holds that the truth-manifesting properties contain the essential features of truth as a proper part of their own features. But, Wright argues, if Lynch’s view in general is correct, then surely one of the essential features of truth is that truth is manifested in, for example, correspondence and superassertibility. However, now it looks difficult for those properties to manifest truth, for it cannot be that correspondence and superassertibility are themselves manifested in correspondence and superassertibility. But, if this cannot be the case, then they cannot manifest truth, for they do not possess one of the essential features of truth. Lynch (2012) attempts to respond to this problem, and Wright (2012) also considers his response.

As was the case with SOF, there has also been discussion of how far MF progresses beyond deflationism, and, in particular, whether the property MF identifies with truth – the property that has the truish features essentially – is a property which is as robust as Lynch claims it to be. This issue is discussed in detail in Jarvis 2012, Edwards 2012 and Pedersen and Edwards 2011.

e. Disjunctivism and Simple Determination Pluralism

In addition to the proposals put forward by Crispin Wright and Michael Lynch, there are also a couple of emerging views in the recent literature. The first is the ‘disjunctivist’ proposal offered by Pedersen (2010) and Pedersen and C.D. Wright (2012). The basic idea behind this view is to take the basic structure of OCMP, and add an additional property that will serve as a general truth property. This property will be a disjunctive property which contains each of the domain-specific truth properties as disjuncts.

Pedersen expresses the domain-specific truth properties (of which correspondence to reality and superassertibility are examples) as properties Tl … Tn. His thought is that the existence of a further property can immediately be inferred, a ‘universal’ notion of truth – TU – defined in the following way:

(∀p)(TU (p) ↔ Tl(p) v … v Tn(p))

This states that if we have properties Tl … Tn, we can immediately infer the existence of a further property, TU, by noting that a proposition (p) has TU just when it has one of Tl … Tn. The thought is that this property, TU, has the pedigree to be considered a truth property (it is taken to be possessed by all and only truths, after all). We can call this proposal ‘disjunctivism’, as the single truth property is taken to be a disjunctive property.

The main challenge for disjunctivism is to show that the disjunctive truth property has the necessary credentials to be considered the truth property. In particular, it faces concerns that a disjunctive property is not ‘robust’ enough to meet the requirements of being a substantive norm of inquiry, and also that, as with SOF, it fails to guarantee exhibition of the features laid out in the truth platitudes. Disjunctive proposals are defended from these concerns by Pedersen and Wright (2012a) and Edwards (2012).

The second emerging view is offered by Edwards (2011a, 2012b), which draws upon Dummett’s (1978) analogy between truth and winning. Just as winning is the aim of playing a game, truth is the aim of assertion and belief. It is evident that what it takes to win differs from game to game, but there is good reason to think that winning qua property has a significant degree of constancy. The thought is that the property of being a winner is a property that one can get in a variety of different ways, and that the rules of each game establish a property the possession of which determines the possession of the property of being a winner. Thus, in each game, we get biconditionals of the form:

(Bx) When playing game x: one wins (has the property of winning) iff one possesses property F.

The thought is that this structure can be applied to the truth case. Take it that truth qua property is exhaustively accounted for by the list of platitudes about truth. We can then, for each domain, construct biconditionals of the following form:

(Bdx) In domain of discourse x: <p> is true (has the property of truth) iff <p> has property F.

There will be an order of determination on the biconditionals which reflects the explanatory primacy of the right-to-left direction. That is, in the material world domain, for example, it is because <p> corresponds to the facts that <p> is true, and not because <p> is true that <p> corresponds to the facts. It is in virtue of the order of determination on these biconditionals that we can say that the properties in question determine truth in their respective domains.

The structure of simple determination pluralism is thus as follows. Truth is given as the property that is exhaustively described by the truth platitudes. This property is the property possessed by all true propositions, regardless of domain. This allows the view to avoid the problem with SOF, as the truth property necessarily exhibits the truth features. Moreover, for each domain there will be a property that determines possession of the truth property, and these properties are held fully distinct from the truth property itself. This allows simple determination pluralism to avoid some of the problems with MF as truth itself is not considered to be manifested in the domain-specific properties. The relationship between the truth-determining properties and truth is underwritten by the order of determination on the biconditionals of the form (Bdx).

A key issue for simple determination pluralism is the specification of the relationship between the domain-specific truth-determining properties and the truth property itself. There is also the matter of how exactly the truth-determining properties are identified, and the provenance of the (Bdx) biconditionals. These issues are explored in Edwards 2011a and 2011c, and in Wright 2012.

5. General Issues

These are some of the main formulations of truth pluralism that are currently available. Evidently, the intricacies of each view are more complex than I have been able to outline here, and the reader is directed to the relevant references for more on the structure and motivations for each view. I hope, though, that it is clear that the term ‘truth pluralism’ covers a variety of different proposals which, although they share a certain general approach to truth, differ on the details.

Each proposal, then, faces specific challenges of its own, but there are also some concerns about the general project which all pluralists will need to address. I will close by briefly noting three such concerns.

a. The Problem of Domain Individuation

Truth pluralism seemingly rests on the idea that natural language can be separated into different domains of discourse. Note that this rough separation of thought and talk into different domains is not solely the work of truth pluralists, it is perhaps a separation that is subscribed to, though a lot less explicitly, by a number of different kinds of theorists. The very fact that philosophy itself is separated into different areas corresponding to these divisions might be one example: moral philosophy is taken to concern different subject matter to aesthetics, and philosophy of mathematics different to the philosophy of science. Also, those who take particular positions in these areas may be implicitly subscribing to such distinctions. One who claims to be an expressivist about moral discourse, for example, will need to be able to demarcate what is moral discourse and what is not. Likewise, one who is a fictionalist about mathematics needs some distinction between what are mathematical statements, and what are not.

However, one might think that pluralism is committed to this idea in a particularly acute way. For instance, some of the views above use the notion of a domain as a parameter when it comes to platitude satisfaction. For example, on the OCMP view, truth properties do not satisfy the truth platitudes simpliciter, they satisfy them in a specific domain. Identifying precisely what a domain of discourse is, and how, exactly, they are to be individuated is an issue which has been at the forefronts of the minds of those sceptical of the pluralist project since its inception (see, for example, Williamson 1994), and, at present, one might think that more needs to be done to ease these concerns.

b. The Demandingness Objection

The supposed benefit of being able to use different theories of truth in different domains may be considered a problem when one considers what that entails, namely that a truth pluralist is committed to defending the use of a particular theory of truth in each domain. This worry is particularly acute when one considers that there is no generally accepted version of any of the theories of truth usually cited as examples. For instance, although it may seem a benefit that truth pluralism allows correspondence theory a limited scope, it is worth noting that there is general scepticism over whether there is a satisfactory formulation of the correspondence theory to start with. The same may well be true of coherence theory. Truth pluralism thus inherits the problems with formulating each of the different theories of truth it wants to use in each of its domains. This makes it a very demanding view to defend: not only does it have to find a structure that works, it has to outline and defend each account of truth in each domain. This point is developed by C.D. Wright (2011).

c. Problems with Platitudes

All of the pluralist views I have discussed involve the notion of platitudes at some stage in the theory. As is also clear, different formulations favour slightly different platitudes. This disagreement might make us worry about the use of the term ‘platitude’, which seems to signify some uncontroversial, even obvious, principle. However, although the platitudes in each case are taken to stem from some intuitive thoughts about truth, the eventual formulations may be open to dispute (see Wright 2003: 271, and also Nolan 2009 for more on platitudes), so we should think of them as refined conceptual truths, perhaps, as opposed to simple obvious, uncontroversial, statements. Nevertheless, one might be concerned that there are no platitudes about truth: no principles that are entitled to this status. This is backed up by the fact that most (if not all) of the platitudes cited by truth pluralists have been questioned (C.D. Wright 2005 argues this point, and Lynch 2005 responds).

Usually the scepticism comes from one of two fronts: either from those who think the platitude in question is false, or from those who think the platitude in question is not about truth, and can thus be explained away without committing one to any attitude about the nature of truth. Deflationists about truth often use this second strategy, with Paul Horwich being one prominent example with his discussion of the ‘Norm of Belief’ platitude (see Horwich 1998, 2010). Wolfgang Künne (2003: Chapter 5) gives an example of the first kind of scepticism, arguing that Wright’s ‘Stability’ platitude is false. There are also concerns that even the (in)famous ‘(E)’ platitude is up for grabs, coming from those who wish to admit truth-value gaps, and those who think that the schema leads to paradox (though note that these particular concerns would affect deflationary theories just as much as pluralist theories, given their reliance on the instances of (E)).

Although, as we have seen, disagreement over a platitude does not immediately rule it out as a platitude, there are still issues over the truth of a platitude which need to be taken seriously. Even if pluralists claim that the platitudes are rough formulations approximating some conceptual truth that would be reached when appropriately refined, there is still room for scepticism.

d. The Deflationary Challenge

Throughout contemporary debates on truth pluralism, lurking in the shadows has been the challenge from deflationary theories of truth. In particular, there is an underlying puzzlement as to why we need to go beyond deflationism into pluralism. After all, deflationism and pluralism share some of the same motivations in that they are both dissatisfied with traditional ‘monist’ accounts of truth, yet the deflationary account seemingly offers a far simpler solution to this dissatisfaction, without a lot of the problems for pluralism we have discussed above. The basic worry seems to be: why bring in all of these complications when we can get by with far less? This challenge is compounded by the influence of deflationary theories of truth in current debates, with many holding that deflationism ought to be considered the default view of truth (see, for example, Field 1994, Armour-Garb Beall 2000, and Dodd 2012). As noted above, this challenge has not been ignored by pluralists, with Wright (1992) and Lynch (2009: Chapter 6) building arguments against deflationism into the motivations for their pluralist views. However, despite this work, it is probably still fair to say that one of the central challenges facing pluralists today is to convince those in the deflationary camp that there are strong reasons to consider pluralism an attractive alternative.

6. References and Further Reading

  • Alston, W.P. 1996. A Realist Conception of Truth. Cornell University Press.
  • Alston, W.P. 2002. Truth: Concept and Property. In What is Truth? ed. R. Schantz. Berlin and New York: Walter de Gruyter: 11-26.
  • Beall, J.C. 2000. On Mixed Inferences and Pluralism about Truth Predicates. The Philosophical Quarterly Vol. 50, No. 200: 380-382.
  • Boghossian, P.A. 1990. The Status of Content. The Philosophical Review, Vol. 99, No. 2: 157-184.
  • Cotnoir, A.J. 2009. Generic Truth and Mixed Conjunctions: Some Alternatives. Analysis, Vol. 69, No.2: 473-479.
  • Cotnoir, A.J. 2012. Validity for Strong Pluralists. Philosophy and Phenomenological Research.
  • Davidson, D. 1999. The Folly of Trying to Define Truth. Journal of Philosophy 93, no. 6: 263-279.
  • Devitt, M. 2001. The Metaphysics of Truth. In Lynch (ed.) 2001.
  • Dodd, J. 2012. Deflationism Trumps Pluralism! In Pedersen and Wright (eds.) 2012.
  • Dummett, M. 1978. Truth. In his Truth and Other Enigmas. Oxford University Press.
  • Edwards, D. 2008. How to Solve the Problem of Mixed Conjunctions. Analysis, Vol. 68, No. 2: 143-149.
  • Edwards, D. 2009. Truth-Conditions and the Nature of Truth: Re-Solving Mixed Conjunctions. Analysis, Vol. 69, No. 4: 684-688
  • Edwards, D. 2011a. Simplifying Alethic Pluralism. The Southern Journal of Philosophy 49: 28-48.
  • Edwards, D. 2011b. Naturalness, Representation, and the Metaphysics of Truth. European Journal of Philosophy.
  • Edwards, D. 2012a. On Alethic Disjunctivism. dialectica, Vol. 66, Issue 1: 200-214.
  • Edwards, D. 2012b. Truth, Winning, and Simple Determination Pluralism. In Pedersen and Wright (eds.) 2012.
  • Edwards, D. 2012c. Alethic vs Deflationary Functionalism. International Journal of Philosophical Studies, 20 (1): 115-124.
  • Field, H. 1986. The Deflationary Conception of Truth. In C. Wright and G. Macdonald (eds.) Fact, Science and Morality. Blackwell, Oxford: 55-119.
  • Field, H. 1994. Deflationist Views of Meaning and Content. Mind, 103: 247-285.
  • Horgan, T. 2001. Contextual Semantics and Metaphysical Realism: Truth as Indirect Correspondence. In Lynch 2001: 67-96.
  • Horwich, P. 1996. Realism Minus Truth. Philosophy and Phenomenological Research 56: 877-881.
  • Horwich, P. 1998. Truth: Second Edition. Blackwell.
  • Horwich, P. 2010. Truth-Meaning-Reality. Oxford University Press.
  • Jackson, F. 1998. From Metaphysics to Ethics. Oxford University Press.
  • Jackson, F., Oppy, G. and Smith, M. 1994. Minimalism and Truth Aptness. Mind, New Series, Vol. 103, No. 411: 287-302.
  • James, W. 1975. Pragmatism and The Meaning of Truth. Harvard University Press.
  • Jarvis, B. 2012. Truth as One and Very Many. International Journal of Philosophical Studies, 20 (1):
  • Kim, J. 1998. Mind in a Physical World. MIT Press.
  • Kölbel, M. 1997. Wright’s Argument from Neutrality. Ratio NS 10: 35-47.
  • Künne, W. 2003. Conceptions of Truth. Oxford University Press.
  • Lewis, D. 1972. Psychophysical and Theoretical Identifications. Australasian Journal of Philosophy 50: 249-58.
  • Lynch, M.P. 2001. The Nature of Truth. MIT Press.
  • Lynch, M.P. 2001a. A Functionalist Theory of Truth. In Lynch 2001.
  • Lynch, M.P. 2004. Truth and Multiple Realizibility. Australasian Journal of Philosophy, Volume 82, Number 3: 384-408.
  • Lynch, M.P. 2004a. Minimalism and the Value of Truth. The Philosophical Quarterly, Vol. 54, No. 217: 497-517.
  • Lynch, M.P. 2005. Alethic Functionalism and our Folk Theory of Truth. Synthese Vol. 145, No. 1: 29-43.
  • Lynch, M.P. 2006. ReWrighting Pluralism. The Monist, Vol. 89, No. 1: 63-84.
  • Lynch, M.P. 2009. Truth as One and Many. Oxford University Press.
  • Lynch, M.P. 2012. Three Questions about Truth. In Pedersen and Wright (eds.) 2012.
  • Mackie, J.L. 1977. Ethics: Inventing Right and Wrong. Penguin.
  • Miller, A. 2001. On Wright’s Argument against Deflationism. The Philosophical Quarterly, Vol. 51, No. 205: 527-531.
  • Nolan, D. 2009. Platitudes and Metaphysics. In D. Braddon-Mitchell and R. Nola (eds.) Conceptual Analysis and Philosophical Naturalism. MIT Press.
  • Pedersen, N. 2006. What Can the Problem of Mixed Inferences Teach Us about Alethic Pluralism? The Monist, Vol. 89, No. 1: 102-117.
  • Pedersen, N. 2010. Stabilizing Alethic Pluralism. The Philosophical Quarterly, Vol. 60, No. 238: 92-108.
  • Pedersen, N. and Edwards, D. 2011. Truth as One(s) and Many: On Lynch’s Alethic Functionalism. Analytic Philosophy, 52 (63): 213-30.
  • Pedersen, N. and Wright, C.D. (eds.) 2012. Truth and Pluralism: Current Debates. Oxford University Press.
  • Pedersen, N. and Wright, C.D. 2012a. Why Alethic Disjunctivism is Relatively Compelling. In Pedersen and Wright (eds.) 2012.
  • Pedersen, N. and Wright, C.D. 2012b. Pluralist Theories of Truth. Stanford Encyclopedia of Philosophy.
  • Rumfitt, I. 1995. Truth Wronged. Ratio, NS 8: 100-7.
  • Sher, G. 2004. In Search of a Substantive Theory of Truth. Journal of Philosophy, 101: 5-36.
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Author Information

Douglas Edwards
Email: d.o.edwards@abdn.ac.uk
Northern Institute of Philosophy, University of Aberdeen
United Kingdom

Sen’s Capability Approach

Amartya Sen
Amartya Sen

The Capability Approach is defined by its choice of focus upon the moral significance of individuals’ capability of achieving the kind of lives they have reason to value. This distinguishes it from more established approaches to ethical evaluation, such as utilitarianism or resourcism, which focus exclusively on subjective well-being or the availability of means to the good life, respectively. A person’s capability to live a good life is defined in terms of the set of valuable ‘beings and doings’ like being in good health or having loving relationships with others to which they have real access.

The Capability Approach was first articulated by the Indian economist and philosopher Amartya Sen in the 1980s, and remains most closely associated with him. It has been employed extensively in the context of human development, for example, by the United Nations Development Programme, as a broader, deeper alternative to narrowly economic metrics such as growth in GDP per capita. Here ‘poverty’ is understood as deprivation in the capability to live a good life, and ‘development’ is understood as capability expansion.

Within academic philosophy the novel focus of Capability Approach has attracted a number of scholars. It is seen to be relevant for the moral evaluation of social arrangements beyond the development context, for example, for considering gender justice. It is also seen as providing foundations for normative theorising, such as a capability theory of justice that would include an explicit ‘metric’ (that specifies which capabilities are valuable) and ‘rule’ (that specifies how the capabilities are to be distributed). The philosopher Martha Nussbaum has provided the most influential version of such a capability theory of justice, deriving from the requirements of human dignity a list of central capabilities to be incorporated into national constitutions and guaranteed to all up to a certain threshold.

This article focuses on the philosophical aspects of the Capability Approach and its foundations in the work of Amartya Sen. It discusses the development and structure of Sen’s account, how it relates to other ethical approaches, and its main contributions and criticisms. It also outlines various capability theories developed within the Capability Approach, with particular attention to that of Martha Nussbaum.

Table of Contents

  1. The Development of Sen’s Capability Approach
    1. Sen’s Background
    2. Sen’s Concerns
  2. Sen’s Critiques of Utilitarianism and Resourcism
    1. Utilitarianism
      1. Act-Consequentialism
      2. Welfarism
      3. Sum Ranking
    2. Resourcism
  3. Core Concepts and Structure of Sen’s Capability Approach
    1. Functionings and Capability
    2. Valuation: Which Functionings Matter for the Good Life?
    3. Evaluation: What Capability do People Have to Live a Good Life?
  4. Applying Sen’s Capability Approach
  5. Criticisms of Sen’s Capability Approach
    1. Illiberalism
    2. Under-Theorisation
    3. Individualism
    4. Information Gaps
  6. Theorising the Capability Approach
    1. Generating Lists for Empirical Research in the Social Sciences (Ingrid Robeyns)
    2. A Participatory Approach to Evaluating Capability Expansion (Sabina Alkire)
    3. Justice as Equal Capability of Democratic Citizenship (Elizabeth Anderson)
    4. Capability as Freedom from Domination (John Alexander)
  7. Martha Nussbaum’s Capability Theory of Justice
    1. Structure and Development of Nussbaum’s Capability Theory
    2. Criticisms of Nussbaum’s Theory
    3. Sen and Nussbaum
  8. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. The Development of Sen’s Capability Approach

a. Sen’s Background

Amartya Sen had an extensive background in development economics, social choice theory (for which he received the 1998 Nobel Prize in Economics), and philosophy before developing the Capability Approach during the 1980s. This background can be pertinent to understanding and assessing Sen’s Capability Approach because of the complementarity between Sen’s contributions to these different fields. Sen’s most influential and comprehensive account of his Capability Approach, Development as Freedom (Sen 1999), helpfully synthesizes in an accessible way many of these particular, and often quite technical, contributions.

Sen first introduced the concept of capability in his Tanner Lectures on Equality of What? (Sen 1979) and went on to elaborate it in subsequent publications during the 1980s and 1990s. Sen notes that his approach has strong conceptual connections with Aristotle’s understanding of human flourishing (this was the initial foundation for Nussbaum’s alternative Capability Theory); with Adam Smith, and with Karl Marx. Marx discussed the importance of functionings and capability for human well-being. For example, Sen often cites Smith’s analysis of relative poverty in The Wealth of Nation in terms of how a country’s wealth and different cultural norms affected which material goods were understood to be a ‘necessity’. Sen also cites Marx’s foundational concern with “replacing the domination of circumstances and chance over individuals by the domination of individuals over chance and circumstances”.

b. Sen’s Concerns

The Capability Approach attempts to address various concerns that Sen had about contemporary approaches to the evaluation of well-being, namely:

(1) Individuals can differ greatly in their abilities to convert the same resources into valuable functionings (‘beings’ and ‘doings’). For example, those with physical disabilities may need specific goods to achieve mobility, and pregnant women have specific nutritional requirements to achieve good health. Therefore, evaluation that focuses only on means, without considering what particular people can do with them, is insufficient.

(2) People can internalize the harshness of their circumstances so that they do not desire what they can never expect to achieve. This is the phenomenon of ‘adaptive preferences’ in which people who are objectively very sick may, for example, still declare, and believe, that their health is fine. Therefore, evaluation that focuses only on subjective mental metrics is insufficient without considering whether that matches with what a neutral observer would perceive as their objective circumstances,.

(3) Whether or not people take up the options they have, the fact that they do have valuable options is significant. For example, even if the nutritional state of people who are fasting and starving is the same, the fact that fasting is a choice not to eat should be recognized. Therefore evaluation must be sensitive to both actual achievements (‘functionings’) and effective freedom (‘capability’).

(4) Reality is complicated and evaluation should reflect that complexity rather than take a short-cut by excluding all sorts of information from consideration in advance. For example, although it may seem obvious that happiness matters for the evaluation of how well people are doing, it is not all obvious that it should be the only aspect that ever matters and so nothing else should be considered. Therefore, evaluation of how well people are doing must seek to be as open-minded as possible. (Note: This leads to the deliberate ‘under-theorization’ of the Capability Approach that has been the source of some criticism, and it motivated the development of Nussbaum’s alternative Capability Theory.)

2. Sen’s Critiques of Utilitarianism and Resourcism

An important part of Sen’s argument for the Capability Approach relates to his critique of alternative philosophical and economics accounts. In particular, he argues that, whatever their particular strengths, none of them provide an analysis of well-being that is suitable as a general concept; they are all focused on the wrong particular things (whether utility, liberty, commodities, or primary goods), and they are too narrowly focused (they exclude too many important aspects from evaluation). Sen’s criticisms of economic utilitarianism and John Rawls’ primary goods are particularly important in the evolution of his account and its reception.

a. Utilitarianism

Economics has a branch explicitly concerned with ethical analysis (‘Welfare Economics’). Sen’s systematic criticism of the form of utilitarianism behind welfare economics identifies and rejects each of its three pillars: act consequentialism, welfarism, and sum-ranking.

i. Act-Consequentialism

According to act consequentialism, actions should be assessed only in terms of the goodness or badness of their consequences. This excludes any consideration of the morality of the process by which consequences are brought about, for example, whether it respects principles of fairness or individual agency. Sen argues instead for a ‘comprehensive consequentialism’ which integrates the moral significance of both consequences and principles. For example, it matters not only whether people have an equal capability to live a long life, but how that equality is achieved. Under the same circumstances women generally live longer than men, for largely biological reasons. If the only thing that mattered was achieving equality in the capability to live a long life this fact suggests that health care provision should be biased in favor of men. However, as Sen argues, trying to achieve equality in this way would override important moral claims of fairness which should be included in a comprehensive evaluation.

ii. Welfarism

Welfarism is the view that goodness should be assessed only in terms of subjective utility. Sen argues that welfarism exhibits both ‘valuational neglect’ and ‘physical condition neglect’. First, although welfarism is centrally concerned with how people feel about their lives, it is only concerned with psychological states, not with people’s reflective valuations. Second, because it is concerned only with feelings it neglects information about physical health, though this would seem obviously relevant to assessing well-being. Not only does subjective welfare not reliably track people’s actual interests or even their urgent needs, it is also vulnerable to what Sen calls ‘adaptive preferences’. People can become so normalized to their conditions of material deprivation and social injustice that they may claim to be entirely satisfied. As Sen puts it,

Our mental reactions to what we actually get and what we can sensibly expect to get may frequently involve compromises with a harsh reality. The destitute thrown into beggary, the vulnerable landless labourer precariously surviving at the edge of subsistence, the overworked domestic servant working round the clock, the subdued and subjugated housewife reconciled to her role and her fate, all tend to come to terms with their respective predicaments. The deprivations are suppressed and muffled in the scale of utilities (reflected by desire-fulfilment and happiness) by the necessity of endurance in uneventful survival. (Sen 1985, 21-22)

iii. Sum Ranking

Sum-ranking focuses on maximizing the total amount of welfare in a society without regard for how it is distributed, although this is generally felt to be important by the individuals concerned. Sen argues, together with liberal philosophers such as Bernard Williams and John Rawls, that sum-ranking does not take seriously the distinction between persons. Sen also points out that individuals differ in their ability to convert resources such as income into welfare. For example, a disabled person may need expensive medical and transport equipment to achieve the same level of welfare. A society that tried to maximize the total amount of welfare would distribute resources so that the marginal increase in welfare from giving an extra dollar to any person would be the same. Resources would therefore be distributed away from the sick and disabled to people who are more efficient convertors of resources into utility.

b. Resourcism

Resourcism is defined by its neutrality about what constitutes the good life. It therefore assesses how well people are doing in terms of their possession of the general purpose resources necessary for the construction of any particular good life. Sen’s criticism of John Rawls’ influential account of the fair distribution of primary goods stands in for a criticism of resourcist approaches in general. Sen’s central argument is that resources should not be the exclusive focus of concern for a fairness-based theory of justice, even if, like Rawls’s primary goods, they are deliberately chosen for their general usefulness to a good life. The reason is that this focus excludes consideration of the variability in individuals’ actual abilities to convert resources into valuable outcomes. In other words, two people with the same vision of the good life and the same bundle of resources may not be equally able to achieve that life, and so resourcists’ neutrality about the use of resources is not as fair as they believe it is. More specifically, Sen disputes Rawls’ argument that the principles of justice should be worked out first for the ‘normal’ case, in terms of a social contract conceived as a rational scheme for mutually advantageous cooperation between people equally able to contribute to society, and only later extended to ‘hard’ cases, such as of disability. Sen believes such cases are far from abnormal and excluding them at the beginning risks building a structure that excludes them permanently. The general problem is that such accounts ‘fetishize’ resources as the embodiment of advantage, rather than focusing on the relationship between resources and people. Nevertheless Sen acknowledges that although the distribution of resources should not be the direct concern in evaluating how well people are doing, it is very relevant to considerations of procedural fairness.

3. Core Concepts and Structure of Sen’s Capability Approach

This section provides a technical overview of Sen’s account.

a. Functionings and Capability

When evaluating well-being, Sen argues, the most important thing is to consider what people are actually able to be and do. The commodities or wealth people have or their mental reactions (utility) are an inappropriate focus because they provide only limited or indirect information about how well a life is going. Sen illustrates his point with the example of a standard bicycle. This has the characteristics of ‘transportation’ but whether it will actually provide transportation will depend on the characteristics of those who try to use it. It might be considered a generally useful tool for most people to extend their mobility, but it obviously will not do that for a person without legs. Even if that person, by some quirk, finds the bicycle delightful, we should nevertheless be able to note within our evaluative system that she still lacks transportation. Nor does this mental reaction show that the same person would not appreciate transportation if it were really available to her.

The Capability Approach focuses directly on the quality of life that individuals are actually able to achieve. This quality of life is analyzed in terms of the core concepts of ‘functionings’ and ‘capability’.

  • Functionings are states of ‘being and doing’  such as being well-nourished, having shelter. They should be distinguished from the commodities employed to achieve them (as ‘bicycling’ is distinguishable from ‘possessing a bike’).
  • Capability refers to the set of valuable functionings that a person has effective access to. Thus, a person’s capability represents the effective freedom of an individual to choose between different functioning combinations – between different kinds of life – that she has reason to value. (In later work, Sen refers to ‘capabilities’ in the plural (or even ‘freedoms’) instead of a single capability set, and this is also common in the wider capability literature. This allows analysis to focus on sets of functionings related to particular aspects of life, for example, the capabilities of literacy, health, or political freedom.)

 

 

 

 

 

 

 

 

 

Figure 1. Outline of the core relationships in the Capability Approach

Figure 1 outlines the core relationships of the Capability Approach and how they relate to the main alternative approaches focused on resources and utility. Resources (such as a bicycle) are considered as an input, but their value depends upon individuals’ ability to convert them into valuable functionings (such as bicycling), which depends, for example, on their personal physiology (such as health), social norms, and physical environment (such as road quality). An individual’s capability set is the set of valuable functionings that an individual has real access to. Achieved functionings are those they actually select. For example, an individual’s capability set may include access to different functionings relating to mobility, such as walking, bicycling, taking a public bus, and so on. The functioning they actually select to get to work may be the public bus. Utility is considered both an output and a functioning. Utility is an output because what people choose to do and to be naturally has an effect on their sense of subjective well-being (for example, the pleasure of bicycling to work on a sunny day). However the Capability Approach also considers subjective well-being – feeling happy – as a valuable functioning in its own right and incorporates it into the capability framework.

b. Valuation: Which Functionings Matter for the Good Life?

Sen argues that the correct focus for evaluating how well off people are is their capability to live a life we have reason to value, not their resource wealth or subjective well-being. But in order to begin to evaluate how people are performing in terms of capability, we first need to determine which functionings matter for the good life and how much, or at least we need to specify a valuation procedure for determining this.

One way of addressing the problem is to specify a list of the constituents of the flourishing life, and do this on philosophical grounds (Martha Nussbaum does this for her Capability Theory of Justice). Sen rejects this approach because he argues that it denies the relevance of the values people may come to have and the role of democracy (Sen 2004b). Philosophers and social scientists may provide helpful ideas and arguments, but the legitimate source of decisions about the nature of the life we have reason to value must be the people concerned. Sen therefore proposes a social choice exercise requiring both public reasoning and democratic procedures of decision-making.

One reason that social scientists and philosophers are so keen to specify a list is that it can be used as an index: by ranking all the different constituents of the flourishing life with respect to each other it would allow easier evaluation of how well people are doing. Sen’s social choice exercise is unlikely to produce collective agreement on a complete ranking of different functionings, if only because of what Rawls called the ‘fact of reasonable disagreement’. But Sen argues that substantial action-guiding agreement is possible. First, different valuational perspectives may ‘intersect’ to reach similar judgments about some issues, though by way of different arguments. Second, such agreements may be extended by introducing ‘ranges’ of weights rather than cardinal numbers. For example, if there are four conflicting views about the relative weight to be attached to literacy vis-à-vis health, of ½, ⅓, ¼ and 1/5, that contains an implicit agreement that the relative weight on education should not exceed ½, nor fall below 1/5, so having one unit of literacy and two of health would be better than having two units of literacy and one of health.

Sen does suggest that in many cases a sub-set of crucially important capabilities associated with basic needs may be relatively easily identified and agreed upon as urgent moral and political priorities. These ‘basic capabilities’, such as education, health, nutrition, and shelter up to minimally adequate levels, do not exhaust the resources of the capability approach, only the easy agreement on what counts as being scandalously deprived. They may be particularly helpful in assessing the extent and nature of poverty in developing countries. However, taking a basic capability route has implications for how the exercise of evaluating individuals’ capability can proceed, since it can only evaluate how well people’s lives are going in terms of the basics.

c. Evaluation: What Capability do People Have to Live a Good Life?

Evaluating capability is a second order exercise concerned with mapping the set of valuable functionings people have real access to. Since it takes the value of functionings as given, its conclusions will reflect any ambiguity in the valuation stage.

Assessing capability is more informationally demanding than other accounts of advantage since it not only takes a much broader view of what well-being achievement consists in but also tries to assess the freedom people actually have to choose high quality options. This is not a purely procedural matter of adding up the number of options available, since the option to purchase a tenth brand of washing powder has a rather different significance than the option to vote in democratic elections. For example, Sen argues that the eradication of malaria from an area enhances the capability of individuals living there even though it doesn’t increase the number of options those individuals have (since they don’t have the ‘option’ to live in a malarial area anymore). Because the value of a capability set represents a person’s effective freedom to live a valuable life in terms of the value of the functionings available to that individual, when the available functionings are improved, so is the person’s effective freedom.

The capability approach in principle allows a very wide range of dimensions of advantage to be positively evaluated (‘what capabilities does this person have?’). This allows an open diagnostic approach to what is going well or badly in people’s lives that can be used to reveal unexpected shortfalls or successes in different dimensions, without aggregating them all together into one number. The informational focus can be tightened depending on the purpose of the evaluation exercise and relevant valuational and informational constraints. For example, if the approach is limited to considering ‘basic capabilities’ then the assessment is limited to a narrower range of dimensions and attempts to assess deprivation – the shortfall from the minimal thresholds of those capabilities – which will exclude evaluation of how well the lives of those above the threshold are going.

As well as being concerned with how well people’s lives are going, the Capability Approach can be used to examine the underlying determinants of the relationship between people and commodities, including the following (Sen 1999, 70-71):

(1)      Individual physiology, such as the variations associated with illnesses, disability, age, and gender. In order to achieve the same functionings, people may have particular needs for non-standard commodities – such as prosthetics for a disability – or they may need more of the standard commodities – such as additional food in the case of intestinal parasites. Note that some of these disadvantages, such as blindness, may not be fully ‘correctable’ even with tailored assistance.

(2)      Local environment diversities, such as climate, epidemiology, and pollution. These can impose particular costs such as more or less expensive heating or clothing requirements.

(3)      Variations in social conditions, such as the provision of public services such as education and security, and the nature of community relationships, such as across class or ethnic divisions.

(4)      Differences in relational perspectives. Conventions and customs determine the commodity requirements of expected standards of behaviour and consumption, so that relative income poverty in a rich community may translate into absolute poverty in the space of capability. For example, local requirements of ‘the ability to appear in public without shame’ in terms of acceptable clothing may vary widely.

(5)      Distribution within the family – distributional rules within a family determining, for example, the allocation of food and health-care between children and adults, males and females.

 

The diagnosis of capability failures, or significant interpersonal variations in capability, directs attention to the relevant causal pathways responsible. Note that many of these interpersonal variations will also influence individuals’ abilities to access resources to begin with. For example, the physically handicapped often have more expensive requirements to achieve the same capabilities, such as mobility, while at the same time they also have greater difficulty earning income in the first place.

4. Applying Sen’s Capability Approach

The concept of a capability has a global-local character in that its definition abstracts from particular circumstances, but its realization depends on specific local requirements. For example, the same capability to be well-nourished can be compared for different people although it may require different amounts and kinds of food depending on one’s age, state of health, and so on. This makes the Capability Approach applicable across political, economic, and cultural borders. For example, Sen points out that being relatively income poor in a wealthy society can entail absolute poverty in some important capabilities, because they may require more resources to achieve. For example, the capability for employment may require more years of education in a richer society

Many capabilities will have underlying requirements that vary strongly with social circumstances (although others, such as adequate nourishment, may vary less). For example, the ‘ability to appear in public without shame’ seems a capability that people might generally be said to have reason to value, but its requirements vary significantly according to cultural norms from society to society and for different groups within each society (such as by gender, class, and ethnicity). Presently in Saudi Arabia, for example, women must have the company of a close male relative to appear in public, and require a chauffeur and private car to move between private spaces (since they are not permitted to use public transport or drive a car themselves). Strictly speaking the Capability Approach leaves open whether such ‘expensive’ capabilities, if considered important enough to be guaranteed by society as a matter of justice, should be met by making more resources available to those who need them (subsidized cars and chauffeurs), or by revising the relevant social norms. The Capability Approach only identifies such capability failures and diagnoses their causes. However, if there is general agreement in the first place that such capabilities should be equally guaranteed for all, there is a clear basis for criticizing clearly unjust social norms as the source of relative deprivation and thus as inconsistent with the spirit of such a guarantee.

The capability approach takes a multi-dimensional approach to evaluation. Often it may seem that people are generally well-off, yet a closer analysis reveals that this ‘all-things-considered’ judgement conceals surprising shortfalls in particular capabilities, for example, the sporting icon who can’t read. Capability analysis rejects the presumption that unusual achievement in some dimensions compensates for shortfalls in others. From a justice perspective, the capability approach’s relevance here is to argue that if people are falling short on a particular capability that has been collectively agreed to be a significant one, then justice would require addressing the shortfall itself if at all possible, rather than offering compensation in some other form, such as increased income.

Capability evaluation is informationally demanding and its precision is limited by the level of agreement about which functionings are valuable. However, Sen has shown that even where only elementary evaluation of quite basic capabilities is possible (for example, life-expectancy or literacy outcomes), this can still provide much more, and more relevant, action-guiding information than the standard alternatives. In particular, by making perspicuous contrasts between successes and failures the capability approach can direct political and public attention to neglected dimensions of human well-being. For example, countries with similar levels of wealth can have dramatically different levels of aggregate achievement – and inequality – on such non-controversially important dimensions as longevity and literacy. And, vice versa, countries with very small economies can sometimes score as highly on these dimensions as the richest. This demonstrates both the limitations of relying exclusively on economic metrics for evaluating development, and the fact that national wealth does not pose a rigid constraint on such achievements (that GNP is not destiny). Such analyses are easily politicized in the form of the pointed question, Why can’t we do as well as them?

Philippines South Africa
Gross National Income per capita (ppp) $ 4,002 $9,812
Life expectancy (years) 72.3 52
Mean years of schooling 8.7 8.2

Figure 2. Perspicuous contrasts: The Philippines does more with less

(Data from the 2010 UNDP Human Development Report)

5. Criticisms of Sen’s Capability Approach

This section outlines important criticisms of Sen’s approach, together with his responses.

a. Illiberalism

Liberal critics of Sen often identify the focus of the Capability Approach – ‘the ability to achieve the kind of lives we have reason to value’ – as problematic because it appears to impose an external valuation of the good life, whatever people may actually value. Rawls, for example, notes that the reason for liberals to focus on the fair allocation of general purpose resources rather than achievement is that this best respects each individual’s fundamental right to pursue their own conception of the good life. This relates to Rawls’ conception of justice as political rather than metaphysical: it is not the task of justice to assess people’s achievements, but rather to ensure the fairness of the conditions of participation in a society. Justice should be neutral with regard to judging different people’s conceptions of the good. But this neutrality seems incompatible with the Capability Approach’s concern with assessing people’s achievements, which would seem to require a much more substantive view of what counts as a good life than one needs for assessing general purpose resources. Rawls suggests that this constitutes the privileging of a particular (non-political) comprehensive conception of rational advantage or the good.

In replying to this criticism, Sen particularly points to the heterogeneity (variability) in people’s abilities to convert the same bundle of resources into valuable functionings. Theories of justice that focus on the distribution of means implicitly assume that they will provide the same effective freedom to live the life one has reason to value to all, but this excludes relevant information about the relationship between particular people and resources. Even if one abstracts from existing social inequalities or the results of personal choices (‘option luck’), as many liberal theories of justice do, one will still find a substantial and pervasive variation in the abilities of different members of a society to utilize the same resources – whether of specific goods like education or general purpose goods like income. That means that even if it happened that everyone had the same conception of the good, and the same bundle of resources, the fact of heterogeneity would mean that people would have differential real capability to pursue the life they had reason to value. Therefore, Sen argues, a theory of justice based on fairness should be directly and deeply concerned with the effective freedom – capability – of actual people to achieve the lives they have reason to value.

b. Under-Theorisation

Both capability theorists and external critics express concern that the content and structure of Sen’s Capability Approach is under-theorised and this makes it unsuitable as a theory of justice. Sen does not say which capabilities are important or how they are to be distributed: he argues that those are political decisions for the society itself to decide. Many philosophers have argued that without an objectively justified list of valuable capabilities the nature of the life ‘we have reason to want’ is unclear and so it is hard to identify the goal that a just society should be aiming towards, to assess how well a society is doing, or to criticize particular shortfalls. Different capability theorists have taken different approaches to the valuation of capabilities, from procedural accounts to ones based on substantive understandings of human nature. There are related concerns about the institutional structure of the Capability Approach, for example, brought by the Rawlsian social justice theorist, Thomas Pogge (Pogge 2002). How should capabilities be weighted against each other and non-capability concerns? For example, should some basic capabilities be prioritized as more urgent? What does the Capability Approach imply for interpersonal equality? How should capability enhancement be paid for? How much responsibility should individuals take for the results of their own choices? What should be done about non-remediable deprivations, such as blindness?

Sen’s main response to such criticisms has been to admit that the Capability Approach is not a theory of justice but rather an approach to the evaluation of effective freedom.

c. Individualism

Sen’s emphasis on individual effective freedom as the focal concern of the Capability Approach has been criticized as excessively individualistic. There are several components to this family of criticisms. Some communitarians see Sen’s account as lacking interest in, and even sometimes overtly hostile to, communal values and ways of life because of an excessive focus on individuals. Charles Gore, for example, has argued that Sen’s approach only considers states of affairs and social arrangements in terms of how good or bad they are for an individual’s well-being and freedom (Gore 1997). But this excludes consideration of certain other goods which individuals may have reason to value which are ‘irreducibly social’ because they cannot be reduced to properties of individuals, such as a shared language, set of moral norms, or political structure. A related criticism argues that Sen’s emphasis on individual freedom is vague and fails to consider how one individual’s freedom may affect others. Martha Nussbaum, for example, points out that a just society requires balancing and even limiting certain freedoms, such as regarding the expression of racist views, and in order to do so must make commitments about which freedoms are good or bad, important or trivial (Nussbaum 2003).  Others have noted that ‘freedom’ though broad, is a poor way of conceptualizing certain inter-personal goods such as friendship, respect, and care. A third line of critique takes issue with Sen’s ‘thin’ agency based picture of persons as too abstract and rationalistic. It is said to be founded too closely in Sen’s personal dialectical relationship between economics and philosophy, and not enough in the perspectives and methods of anthropology, sociology, or psychology (see, for example, Giri 2000; Gasper 2002). As a result Sen’s account is said to have a poor grasp, for example, of the centrality and complexity of personal growth and development.

With regard to ‘irreducibly social goods’ like culture, Sen argues that they not only enter into the analysis instrumentally (such as in the requirements for appearing in public without shame) but also as part of the lives people have reason to value. Nevertheless Sen is clear in his view that the value of social goods is only derivative upon the reflective choices of those concerned (see, for example, Sen 2004a). So if people on reflection don’t value such social goods as the traditional religious institutions of their society or continuing to speak a minority language then that should trump the ‘right’ of those institutions to continue. With regard to freedom, Sen distinguishes the ability to choose between different options from the value of those options. These two together make up effective freedom or capability. Simple freedom to choose may be vulnerable to the objection that it is compatible with invidious freedoms, but the Capability Approach is concerned with people’s ability to live a life they have reason to value, which incorporates an ethical evaluation of the content of their options. It is not concerned only with increasing people’s freedom-as-power. Finally, Sen’s Capability Approach is particularly concerned with grasping the dimensions of human well-being and advantage missing from standard approaches. This relates to its concern with tracing the causal pathways of specific deprivations, with how exactly different people are able or unable to convert resources into valuable functionings. Although this remains somewhat abstractly presented in the formal structure of the Capability Approach, Sen’s analysis of, for example, adaptive preferences and intra-household distribution do go at least some way to a situated and sociological analysis.

d. Information Gaps

Sen’s Capability Approach is founded on the idea that much more information about the quality of human lives can and should be taken into account in evaluating them. The Human Development Index developed by Amartya Sen and the economist Mahbub ul Haq in 1990 for the United Nations Development Programme’s Human Development Reports is the most influential capability metric currently used. However it has been criticized for its crudeness. It contains only three dimensions – longevity, literacy (mean years of schooling), and Gross National Income per capita – which are weighted equally. The Capability Approach is supposed to be interested in assessing how people fare on many dimensions of life including some which seem very difficult to obtain information about, such as people’s real choice sets or such complicated capabilities as the ability to appear in public without shame or to form relationships with others. It also requires detailed information on the real inter-personal variations in translating commodities into functionings. It is not clear however that such informational ambitions could ever be realized. Furthermore even the effort of trying to collect such detailed information about people’s lives and their ‘real’ disabilities can be seen as invasive.

Sen was concerned about the crudeness of the Human Development Index (HDI) from the start, but was won over by Mahbub ul Haq’s argument for the rhetorical significance of a composite index of human well-being that could compete directly with the crude GDP per capita numbers that have been so influential in development thinking. Thus the HDI does not fully reflect the scope or methodology of the Capability Approach. Nevertheless it has succeeded in demonstrating that capability related information can be used systematically as a credible supplement to economic metrics. Sen accepts that some information about capabilities is easier to obtain than others. Firstly, he argues that we already have quite extensive information about some basic capabilities even for many quite poor countries, such as about health, that can and should be systematically assessed. There is therefore no need to limit our assessment to economic metrics which firstly count the wrong things (means) and secondly also come with significant measurement error despite their apparent numerical precision. Secondly, he argues that if researchers accept the capability space as the new priority for evaluation that will motivate the development of new data collection priorities and methods. As a result more information will become available about how people are faring on the currently ‘missing dimensions’ of the lives we have reason to value, for example, relating to employment or gender equality in domestic arrangements. Nevertheless, the Capability Approach is not concerned with information collection for its own sake, but rather with the appropriate use of information for assessment. It is therefore not committed to, nor does its effective use require, building a perfect information collection and assessment bureaucracy.

6. Theorising the Capability Approach

A number of philosophers sympathetic to Sen’s foundational concerns have nevertheless been dissatisfied with the vagueness and under-elaboration of the theoretical structure of his Capability Approach (although these features seem to be quite deliberate on Sen’s part). A number of theoretical accounts have been developed that seek to elaborate the Capability Approach more systematically and to address these philosophers’ particular concerns. Some theoretical accounts are primarily concerned with operationalising the evaluative dimension of the Capability Approach: the assessment of quality of life, well-being and human development. Others focus on developing a capability based ‘Theory of Justice’ in the spirit of its concerns. This section provides a brief outline of some of these.

a. Generating Lists for Empirical Research in the Social Sciences (Ingrid Robeyns)

Ingrid Robeyns argues that attempting to develop a single all-purpose list of capabilities would be incompatible with Sen’s concern with a general framework of evaluation. Instead she proposes a procedural approach to the selection of capabilities for particular purposes, such as the evaluation of gender inequality in terms of capabilities (Robeyns 2003). She claims that valuational procedures that meet her criteria provide epistemic, academic, and political legitimacy for empirically evaluating capability. Her five criteria are:

(1) Explicit formulation. All proposed list elements should be explicit, so they can be discussed and debated.

(2) Methodological justification. The method of generating the list should be made explicit so it can be scrutinized.

(3) Sensitivity to context. The level of abstraction of the list should be appropriate to its purposes, whether for philosophical, legal, political, or social discussion.

(4) Different levels of generality. If the list is intended for empirical application or public policy then it should be drawn up in two distinct stages, first an ideal stage and then a pragmatic one that reflects perhaps temporary feasibility constraints on information and resources.

(5) Exhaustion and non-reduction. The list should include all important elements and those elements should not be reducible to others (though they may overlap).

b. A Participatory Approach to Evaluating Capability Expansion (Sabina Alkire)

Sabina Alkire has developed a philosophically grounded framework for the participatory valuation and evaluation of development projects in terms of capability enhancement (Alkire 2005). This allows her to go beyond standard cost-benefit analyses of development projects in financial terms to investigate which capabilities that the people concerned have reason to value are enhanced and by how much.

Alkire’s approach has 2 stages of evaluation: i) a theoretical one-off stage in which ‘philosophers’ employ practical reason to reflexively identify the basic spheres or categories of value, and ii) a local participatory phase in which members of a social group deliberate, with the aid of a facilitator, about what their needs are and what, and how, they would like to do about them (with the basic categories employed as prompts to ensure that all main dimensions of value are discussed). For the first, philosophical, stage Alkire proposes an adaptation of the practical reasoning approach of John Finnis to identify the basic dimensions of human well-being by asking iteratively, ‘why do I/others do what we do?’ until one comes to recognize the basic reasons for which no further reasoned justification can be given. This method is intended to yield substantive and objective descriptions of the fundamental, non-hierarchically ordered, dimensions of human flourishing, while allowing the content and relative importance of these dimensions to be specified in a participatory process according to a particular group’s historical, cultural, and personal values. The intrinsically important dimensions identified by this method are: Life; Knowledge; Play; Aesthetic experience; Sociability; Practical reasonableness; Religion.

One of the advantages Alkire claims for her approach is its ability to elicit what the people whose lives are the subject of development projects really consider valuable, which may sometimes surprise external planners and observers. Her use of the participatory approach for assessing NGO fieldwork in Pakistan showed, for example, that even the very poor can and do reasonably value other things than material well-being, such as religion and social participation.

c. Justice as Equal Capability of Democratic Citizenship (Elizabeth Anderson)

Elizabeth Anderson has proposed a partial theory of justice based on equal capability of democratic citizenship (Anderson 1999). Anderson takes equality in social relationships as the focus for her egalitarian theory of justice and argues that one should analyze the requirements of such equality in terms of the social conditions supporting it as a capability. Although Anderson’s primary concern is for equality in the particular dimension of democratic citizenship, she suggests that this has extensive egalitarian implications for the nature of the society as a whole, because other capabilities – such as relating to health, education, personal autonomy and self-respect, and economic fairness – are required as supporting conditions to realize truly equal citizenship.  She argues that, “Negatively, people are entitled to whatever capabilities are necessary to enable them to avoid or escape entanglement in oppressive social relationships. Positively, they are entitled to whatever capabilities are necessary for functioning as an equal citizen in a democratic state (Anderson 1999, 317).”

d. Capability as Freedom from Domination (John Alexander)

John Alexander has proposed a capability theory based on a Republican understanding of the importance of freedom as non-domination (Alexander 2008). He argues that the Capability Approach’s concern with people’s ‘real freedom’ sets it outside and against the standard liberal egalitarian theory of justice framework which understands freedom as the absence of constraints. But he argues that the Capability Approach should go further to elaborate this commitment to real freedom in Republican terms. In this perspective it is not only important that one be able to achieve certain functionings, such as mobility, but whether one’s achievement of these are conditional on the favor or goodwill of other people or are independently guaranteed by one’s own rights and powers. Capability is standardly understood as mapping one’s range of choices over valuable functionings regardless of their content. For example, the ability of a physically disabled but socially well-connected person to travel outside whenever she wants by arranging the help of friends, family and voluntary organizations. In addition the Republican perspective requires that her capability for mobility should be independent of context. For example, in the form of a guaranteed legal right to government assistance on demand, or by the provision of her own specially adapted self-drive vehicle. Otherwise she may be said to be still deprived since her capability is not completely free.

Domination should also be integrated into capability evaluation because it will often be a cause of capability deprivation. It is no coincidence that the people who are most capability deprived are often the poorest and weakest in society, and as a result also vulnerable to yet further exploitation. This emphasis on freedom from domination also gives a strong normative orientation to the Capability Approach’s evaluation of the causes of capability failure: some causes are simply unacceptable, such as social norms restricting women’s freedom of movement and employment, and should be removed rather than mitigated.

7. Martha Nussbaum’s Capability Theory of Justice

This section outlines Martha Nussbaum’s work on the Capability Approach: its structure, criticisms, and relationship to Amartya Sen’s work.

a. Structure and Development of Nussbaum’s Capability Theory

Martha Nussbaum has developed the most systematic, extensive, and influential capability theory of justice to date. Nussbaum aims to provide a partial theory of justice (one that doesn’t exhaust the requirements of justice) based on dignity, a list of fundamental capabilities, and a threshold.

Nussbaum’s list of The Central Human Capabilities (Reproduced from Creating Capabilities 2011, 33-4)

1. Life. Being able to live to the end of a human life of normal length; not dying prematurely, or before one’s life is so reduced as to be not worth living.

2. Bodily Health. Being able to have good health, including reproductive health; to be adequately nourished; to have adequate shelter.

3. Bodily Integrity. Being able to move freely from place to place; to be secure against violent assault, including sexual assault and domestic violence; having opportunities for sexual satisfaction and for choice in matters of reproduction.

4. Senses, Imagination, and Thought. Being able to use the senses, to imagine, think, and reason – and to do these things in a ‘‘truly human’’ way, a way informed and cultivated by an adequate education, including, but by no means limited to, literacy and basic mathematical and scientific training. Being able to use imagination and thought in connection with experiencing and producing works and events of one’s own choice, religious, literary, musical, and so forth. Being able to use one’s mind in ways protected by guarantees of freedom of expression with respect to both political and artistic speech, and freedom of religious exercise. Being able to have pleasurable experiences and to avoid non-beneficial pain.

5. Emotions. Being able to have attachments to things and people outside ourselves; to love those who love and care for us, to grieve at their absence; in general, to love, to grieve, to experience longing, gratitude, and justified anger. Not having one’s emotional development blighted by fear and anxiety. (Supporting this capability means supporting forms of human association that can be shown to be crucial in their development.)

6. Practical Reason. Being able to form a conception of the good and to engage in critical reflection about the planning of one’s life. (This entails protection for the liberty of conscience and religious observance.)

7. Affiliation.

A. Being able to live with and toward others, to recognize and show concern for other human beings, to engage in various forms of social interaction; to be able to imagine the situation of another. (Protecting this capability means protecting institutions that constitute and nourish such forms of affiliation, and also protecting the freedom of assembly and political speech.)

B. Having the social bases of self-respect and nonhumiliation; being able to be treated as a dignified being whose worth is equal to that of others. This entails provisions of nondiscrimination on the basis of race, sex, sexual orientation, ethnicity, caste, religion, national origin.

8. Other Species. Being able to live with concern for and in relation to animals, plants, and the world of nature.

9. Play. Being able to laugh, to play, to enjoy recreational activities.

10. Control Over One’s Environment.

A. Political. Being able to participate effectively in political choices that govern one’s life; having the right of political participation, protections of free speech and association.

B. Material. Being able to hold property (both land and movable goods), and having property rights on an equal basis with others; having the right to seek employment on an equal basis with others; having the freedom from unwarranted search and seizure. In work, being able to work as a human being, exercising practical reason, and entering into meaningful relationships of mutual recognition with other workers.

In her early contributions to the capability approach, Nussbaum justified the composition of her list by explicitly Aristotelian argument about the perfectionist requirements of the truly human life (Nussbaum 1988). In the mid-1990s however she converted the structure of her account to a Rawlsian style ‘politically liberal’ account. This means that she now presents her list as a proposal that is neutral with respect to particular conceptions of the good, but can be endorsed by many different groups in a society through an overlapping consensus. However the list components themselves remain almost identical and retain a distinctively Aristotelian cast.

Nussbaum’s account is motivated by a concept of human dignity (in contrast to Sen’s emphasis on freedom), which she links to flourishing in the Aristotelian sense. She argues that her list of 10 fundamental capabilities follow from the requirements of dignity and have been tested and adapted over the course of an extensive cross-cultural dialogue she has carried out, particularly in India (as related in her book, Women and Human Development, 2001). The threshold is a ‘sufficientarian’ principle that specifies the minimum requirements of justice: everyone must be entitled to each capability at least to this degree by their governments and relevant international institutions. Access to these capabilities is required by human dignity, Nussbaum argues, but this does not mean that a life lacking in any of these, whether from external deprivation or individual choice, is a less than human life. Choice and deprivation are different however. If someone lacks access to these capabilities, for example, to be well-nourished (bodily health), that reflects a failure by society to respect her human dignity. If someone chooses not to take up her opportunities to certain capabilities, for example, to adopt an ascetic life-style and fast for religious reasons at the expense of her bodily health, respecting that choice is also an aspect of respecting her dignity.

Nussbaum suggests that her list, together with the precise location of the threshold, should be democratically debated and incorporated into national constitutional guarantees, international human rights legislation and international development policy. In keeping with its commitment to political liberalism, the components of Nussbaum’s list have a ‘thick-vague’ character in that while they have a universal claim to be of central importance to any human life, their definition is vague enough to allow their specification in multiple ways that reflect the values, histories, and special circumstances of particular political societies. For example, freedom of speech may be defined differently in law in the USA and Germany, because of their different histories, without endangering the fundamental capability. Nevertheless, because each capability is equally centrally important and a shortfall in any area is significant in itself, the scope for governments to make trade-offs between them, for example, on the basis of quantitative cost-benefit analysis, is limited.

b. Criticisms of Nussbaum’s Theory

Nussbaum’s capability theory of justice received quite intense criticism. Some have questioned the epistemological basis of her approach, finding it rather suspicious that after all her years of cross-cultural discussion her list remains basically the same rather ‘intellectualized’ Aristotelian one she had suggested in the first place (Okin 2003), and suggest that it rather reflects the values of a typical 21st century American liberal than a set of timeless universal values or a contemporary global overlapping consensus (Stewart 2001). Others have argued that her legal-moral-philosophical orientation is elitist and over-optimistic about what constitutions and governments are like and are capable of (Menon 2002); is over-specified and paternalistic yet still misses out important capabilities and is inappropriate for many uses, such as quality of life measurement or development fieldwork (Alkire 2005, 35-45).

In response to such criticisms, Nussbaum has defended the contents of her list as having cross-cultural credibility, but also emphasised that she is not trying to impose a definitive capability theory on everyone. She makes a clear and explicit distinction between the dimensions of justification (why her theory is best) and implementation (its more humble meta-status as an object for democratic deliberation and decision by those concerned) (Nussbaum 2004).

c. Sen and Nussbaum

Nussbaum and Sen collaborated in the late 1980s and early 1990s and since they are the most high-profile writers in the Capability Approach their accounts are often elided, despite significant differences. When they are distinguished, Nussbaum’s account is often seen as the more ‘philosophical’ because she has developed the Capability Approach in a more orthodox philosophical way, for example, by focusing on theoretical rigor, coherence and completeness. As a result, Sen’s approach is sometimes perceived merely as a predecessor to Nussbaum’s more developed second generation account, and therefore of primarily historical interest to understanding the Capability Approach rather than a parallel account in its own right.

The accounts of Sen and Nussbaum differ significantly in ways that relate to their different concerns and backgrounds. In particular:

  • Nussbaum is concerned to produce a philosophically coherent normative (partial) theory of justice; Sen is concerned with producing a general framework for evaluating the quality of lives people can lead that can incorporate the very diverse concerns and dimensions that may be applicable.
  • While Sen’s approach is founded on enhancing individual freedom, Nussbaum’s theory is founded on respecting human dignity.
  • Sen’s comprehensive consequentialism makes room for incorporating empirical information about feasibility and instrumental relationships between capabilities when considering policies; Nussbaum largely rejects such instrumental analysis because she is wary of its ‘Utilitarian associations’.
  • Sen’s Capability Approach in its normative ‘developmental’ aspect, is mainly concerned with practical incremental improvements; Nussbaum’s approach is rather more utopian in that it demands the full implementation of minimal justice (achievement of the minimum thresholds of all fundamental capabilities) for all, and this is specified so demandingly that no country yet meets it (though she has suggested that Finland may be close).

8. References and Further Reading

a. Primary Sources

  • John M. Alexander 2008. Capabilities and Social Justice. Ashgate Publishing, Ltd.
    • Introduction to the Capability Approach, with attention to Sen’s, Nussbaum’s, and Anderson’s accounts and a development of his own Republican account in the final chapter.
  • Sabina Alkire. 2005. Valuing Freedoms. Oxford University Press.
    • First half of the book develops a procedure for operationalizing the Capability Approach for participatory development; second half applies this to the evaluation of development projects.
  • Elizabeth Anderson. 1999. “What Is the Point of Equality?” Ethics 109 (2): 287-337.
    • Critique of luck egalitarianism and outline of a capability theory of justice based on the capability for equal democratic citizenship.
  • Martha Nussbaum. 1988. Nature, Function, and Capability: Aristotle on Political Distribution. In Oxford Studies in Ancient Philosophy. Oxford University Press.
    • Martha Nussbaum’s first contribution to the capability approach, based on a reading of Aristotle’s politics and ethics.
  • Martha Nussbaum. 2001. Women and Human Development (Cambridge University Press,).
    • Key text in Nussbaum’s second stage – political – development of a capability theory of justice.
  • Martha Nussbaum. 2004. “On Hearing Women’s Voices: A Reply to Susan Okin.” Philosophy and Public Affairs 32 (2): 193-205.
    • Nussbaum replies to criticisms of the methodology and legitimacy of her list.
  • Martha Nussbaum. 2011. Creating Capabilities: The Human Development Approach (Harvard University Press).
    • Non-technical introduction to the capability approach and Nussbaum’s capability theory of justice intended for university undergraduates.
  • Ingrid Robeyns. 2003. “Sen’s Capability Approach and Gender Inequality: selecting relevant capabilities.” Feminist Economics 9 (2): 61-92.
    • Robeyns outlines her procedure for choosing capabilities and applies it to the case of gender equality.
  • Amartya Sen. 1979. Equality of What? Stanford University: Tanner Lectures on Human Values (Available from the Tanner Lectures website)
    • Amartya Sen’s first publication on the capability approach, particularly focused on criticizing utilitarian and Rawlsian perspectives on well-being.
  • Amartya Sen. 1985. Commodities and Capabilities. North-Holland.
    • The most formal (technical) elaboration of Sen’s capability approach.
  • Amartya Sen. 1989. “Development as Capability Expansion,” Journal of Development Planning 19: 41–58.
    • An especially accessible and succinct account of the capability approach to human development.
  • Amartya Sen. 1999. Development as Freedom. Oxford University Press.
    • Important and influential synthesis of Sen’s work on human development and the Capability Approach.
  • Amartya Sen. 2004a. UN Human Development Report 2004: Chapter 1 Cultural Liberty and Human Development. UN Human Development Reports. United Nations Development Programme. (Available from the UNDP website).
    • Strong argument by Sen that cultural rights should be derivative upon individuals’ freedom to choose.
  • Amartya Sen. 2004b. “Capabilities, Lists, and Public Reason: Continuing the Conversation,” Feminist Economics 10, no. 3: 77-80.
    • An interview with Amartya Sen in which he elaborates on his rejection of a fixed list of capabilities (frequently cited).

b. Secondary Sources

  • Des Gasper. 2002. “Is Sen’s Capability Approach an Adequate Basis for Considering Human Development?” Review of Political Economy 14 (4): 435-461.
    • Thorough analysis of Sen’s account, including a critique of its excessive abstraction.
  • Ananta Kumar Giri. 2000. “Rethinking Human Well-being: A Dialogue with Amartya Sen.” Journal of International Development 12 (7): 1003-1018.
    • Critique of Sen’s neglect of personal development.
  • Charles Gore. 1997. “Irreducibly Social Goods and the Informational Basis of Amartya Sen’s Capability Approach.” Journal of International Development 9 (2): 235-250.
    • Critique of Sen’s neglect of social values.
  • Susan Moller Okin. 2003. “Poverty, Well-Being, and Gender: What Counts, Who’s Heard?” Philosophy and Public Affairs 31 (3): 280-316.
    • Feminist critique of Nussbaum’s theory
  • Nivedita Menon. 2002. “Universalism without Foundations?” Economy and Society 31 (1): 152.
    • Critique of the political philosophy in Nussbaum’s theory.
  • Martha Nussbaum. 2003. “Capabilities as Fundamental Entitlements: Sen and Social Justice.” Feminist Economics 9 (2): 33.
    • Critique of Sen’s Capability Approach as too vaguely specified to support normative judgments.
  • Thomas Pogge. 2002. “Can the Capability Approach Be Justified?” Philosophical Topics 30 (2): 167–228.
    • Important Rawlsian critique of Sen’s account, frequently cited.
  • Frances Stewart. 2001. Book Review “Women and Human Development: The Capabilities Approach, by Martha Nussbaum” Journal of International Development 13 (8): 1191-1192.
    • Short but powerful critique of Nussbaum’s capability theory from a leading human development scholar.

 

Author Information

Thomas Wells
Email: t.r.wellsdunelm.org.uk
Erasmus University Rotterdam
The Netherlands

German Idealism

German idealism is the name of a movement in German philosophy that began in the 1780s and lasted until the 1840s. The most famous representatives of this movement are Kant, Fichte, Schelling, and Hegel. While there are important differences between these figures, they all share a commitment to idealism. Kant’s transcendental idealism was a modest philosophical doctrine about the difference between appearances and things in themselves, which claimed that the objects of human cognition are appearances and not things in themselves. Fichte, Schelling, and Hegel radicalized this view, transforming Kant’s transcendental idealism into absolute idealism, which holds that things in themselves are a contradiction in terms, because a thing must be an object of our consciousness if it is to be an object at all.

German idealism is remarkable for its systematic treatment of all the major parts of philosophy, including logic, metaphysics and epistemology, moral and political philosophy, and aesthetics.  All of the representatives of German idealism thought these parts of philosophy would find a place in a general system of philosophy. Kant thought this system could be derived from a small set of interdependent principles. Fichte, Schelling, and Hegel were, again, more radical. Inspired by Karl Leonhard Reinhold, they attempted to derive all the different parts of philosophy from a single, first principle. This first principle came to be known as the absolute, because the absolute, or unconditional, must precede all the principles which are conditioned by the difference between one principle and another.

Although German idealism is closely related to developments in the intellectual history of Germany in the eighteenth and nineteenth centuries, such as classicism and romanticism, it is also closely related to larger developments in the history of modern philosophy. Kant, Fichte, Schelling, and Hegel sought to overcome the division between rationalism and empiricism that had emerged during the early modern period. The way they characterized these tendencies has exerted a lasting influence on the historiography of modern philosophy. Although German idealism itself has been subject to periods of neglect in the last two hundred years, renewed interest in the contributions of the German idealism have made it an important resource for contemporary philosophy.

Table of Contents

  1. Historical Background
  2. Logic
  3. Metaphysics and Epistemology
  4. Moral and Political Philosophy
  5. Aesthetics
  6. Reception and Influence
  7. References and Further Reading
    1. Kant
      1. German Editions of Kant’s Works
      2. Cambridge Edition of the Works of Immanuel Kant in Translation
      3. Other English Translations of Kant’s Works
    2. Fichte
      1. German Editions of Fichte’s Works
      2. English Translations of Fichte’s Works
    3. Hegel
      1. German Editions of Hegel’s Works
      2. English Translations of Hegel’s Works
        1. Cambridge Hegel Translations
        2. Other English Translations of Hegel’s Works
    4. Schelling
      1. German Editions of Schelling’s Works
      2. English Translations of Schelling’s Works
    5. Editions and Translations of Other Primary Sources
      1. Jacobi
      2. Reinhold
      3. Hölderlin
      4. Kierkegaard, Søren
      5. Marx
      6. Schopenhauer
    6. Other Works on German Idealism

1. Historical Background

 

German idealism can be traced back to the “critical” or “transcendental” idealism of Immanuel Kant (1724-1804). Kant’s idealism first came to prominence during the pantheism controversy in 1785-1786. When the controversy arose, Kant had already published the first (A) edition of the Critique of Pure Reason (1781) and the Prolegomena to Any Future Metaphysics (1783). Both works had their admirers, but they received unsympathetic and generally uncomprehending reviews, conflating Kant’s “transcendental” idealism with Berkeley’s “dogmatic” idealism (Allison and Heath 2002, 160-166). Thus, Kant was taken to hold that space and time are “not actual” and that the understanding “makes” the objects of our cognition (Sassen 2000, 53-54).

Kant insisted that this reading misrepresented his position. While the dogmatic idealist denies the reality of space and time, Kant takes space and time to be forms of intuition. Forms of intuition are, for Kant, the subjective conditions of the possibility of all of our sense perception. It is only because space and time are a priori forms that determine the content of our sensations that Kant thinks we can perceive anything at all. According to Kant, “critical” or “transcendental” idealism serves merely to identify those a priori conditions, like space and time, that make experience possible. It certainly does not imply that space and time are unreal or that the understanding produces the objects of our cognition by itself.

Kant hoped to enlist the support of famous German philosophers like Moses Mendelssohn (1729-1786), Johan Nicolai Tetens (1738-1807), and Christian Garve (1742-1798) in order to refute the “dogmatic” idealist interpretation of his philosophy and win a more favorable hearing for his work. Unfortunately, the endorsements Kant hoped for never arrived. Mendelssohn, in particular, was preoccupied with concerns about his health and the dispute that had arisen between himself and Friedrich Heinrich Jacobi (1743-1819) about the alleged Spinozism of his friend Gotthold Ephraim Lessing (1729-1781). This dispute came to be known as the pantheism controversy, because of Spinoza’s famous equivocation between God and nature.

During the controversy, Jacobi charged that any attempt to demonstrate philosophical truths was fatally flawed. Jacobi pointed to Spinoza as the chief representative of the tendency toward demonstrative reason in philosophy, but he also drew parallels between Spinozism and Kant’s transcendental idealism throughout On the Doctrine of Spinoza (1785). In 1787, the same year Kant published the second (B) edition of the Critique of Pure Reason, Jacobi published David Hume on Faith or Realism and Idealism, which included a supplement On Transcendental Idealism. Jacobi concluded that transcendental idealism, like Spinozism, subordinates the immediate certainty, or faith, through which we know the world, to demonstrative reason, transforming reality into an illusion. Jacobi later called this “nihilism.”

Kant’s views were defended by Karl Leonhard Reinhold (1757-1823) during the pantheism controversy. Reinhold thought Kant’s philosophy could refute skepticism and nihilism and provide a defense of morality and religion which was not to be found in the rationalism of the Leibnizian-Wolffian philosophy. The publication of Reinhold’s Letters on the Kantian Philosophy, first in Der Teutsche Merkur in 1786-1787 and then again in an enlarged version in 1790-1792, helped make Kant’s philosophy one of the most influential, and most controversial, philosophies of the period. Jacobi remained a thorn in the side of the Kantians and the young German idealists, but he was unable to staunch interest in philosophy in general or idealism in particular.

In 1787, Reinhold assumed a position at the university in Jena, where he taught Kant’s philosophy and began developing his own ideas. While Reinhold’s thought continued to be influenced by Kant, he also came to believe that Kant had failed to provide philosophy with a solid foundation. According to Reinhold, Kant was a philosophical genius, but he did not have the “genius of system” that would allow him to properly order his discoveries. Reinhold’s Elementarphilosophie (Elementary Philosophy/Philosophy of Elements), laid out in his Essay Towards a New Theory of the Faculty of Representation (1789), Contribution to the Correction of the Previous Misunderstandings of the Philosophers (1790), and On the Foundation of Philosophical Knowledge (1791), was intended to address this shortcoming and show that Kant’s philosophy could be derived from a single foundational principle. Reinhold called this principle “the principle of consciousness” and states that “in consciousness, representation is distinguished by the subject from subject and object and is referred to both.” With this principle, Reinhold thought he could explain what is fundamental to all cognition, namely, that 1) cognition is essentially the conscious representation of an object by a subject and 2) that representations refer to both the subject and object of cognition.

When Reinhold left Jena for a new position in Kiel in 1794, his chair was given to Johann Gottlieb Fichte (1762-1814), who quickly radicalized Kant’s idealism and Reinhold’s attempts to systematize philosophy. In response to a skeptical challenge to Reinhold’s Elementarphilosophie, raised anonymously by Gottlob Ernst Schulze (1761-1833) in his work Aenesidemus (1792), Fichte asserted that the principle of representation was not, as Reinhold had maintained, a fact (Tatsache) of consciousness, but rather an act (Tathandlung) whereby consciousness produces the distinction between subject and object by positing the distinction between the I and not-I (Breazeale, 1988, 64). This insight became the foundation of Fichte’s Wissenschaftslehre (Doctrine of Science/Doctrine of Scientific Knowledge) which was first published in 1794. It was soon followed by Fichte’s Foundations of Natural Right (1797) and the System of Ethics (1798). In later years, Fichte presented a number of substantially different versions of the Wissenschaftslehre in lectures in Berlin.

When, as a result of a controversy concerning his religious views, Fichte left Jena in 1799, Friedrich Wilhelm Joseph von Schelling (1775-1854) became the most important idealist in Jena. Schelling had arrived in Jena in 1798, when he was only 23 years old, but he was already an enthusiastic proponent of Fichte’s philosophy, which he defended in early works like On the I as Principle of Philosophy (1795). Schelling had also established close relationships with the Jena romantics, who, despite their great interest in Kant, Reinhold, and Fichte, maintained a more skeptical attitude towards philosophy than the German idealists. Although Schelling did not share the romantics’ reservations about idealism, the proximity between Schelling and the romantics is evident in Schelling’s writings on the philosophy of nature and the philosophy of art, which he presented in his Ideas for a Philosophy of Nature (1797), System of Transcendental Idealism (1800), and Philosophy of Art (1802-1803).

Georg Wilhelm Friedrich Hegel (1770-1831) had been Schelling’s classmate in Tübingen from 1790-1793. Along with the poet Friedrich Hölderlin (1770-1843), the two had collaborated on The Oldest Program for a System of German Idealism (1796). After following Schelling to Jena in 1801, Hegel published his first independent contributions to German idealism, The Difference Between Fichte’s and Schelling’s System of Philosophy (1801), in which he distinguishes Fichte’s “subjective” idealism from Schelling’s “objective” or “absolute” idealism. Hegel’s work documented the growing rift between Fichte and Schelling. This rift was to expand following Hegel’s falling-out with Schelling in 1807, when Hegel published his monumental Phenomenology of Spirit (1807). Although Hegel only published three more books during his lifetime, Science of Logic (1812-1816), Encyclopedia of the Philosophical Sciences (1817-1830), and Elements of the Philosophy of Right (1821), he remains the most widely-read and most influential of the German idealists.

2. Logic

The German idealists have acquired a reputation for obscurity, because of the length and complexity of many of their works. As a consequence, they are often considered to be obscurantists and irrationalists. The German idealists were, however, neither obscurantists nor irrationalists. Their contributions to logic are earnest attempts to formulate a modern logic that is consistent with the idealism of their metaphysics and epistemology.

Kant was the first of the German idealists to make important contributions to logic. In the Preface to the second (B) edition of the Critique of Pure Reason, Kant argues that logic has nothing to do with metaphysics, psychology, or anthropology, because logic is “the science that exhaustively presents and strictly proves nothing but the formal rules of all thinking” (Guyer and Wood 1998, 106-107/Bviii-Bix). Kant came to refer to this purely formal logic as “general” logic, which is to be contrasted with the “Transcendental Logic” that he develops in the second part of the “Transcendental Doctrine of Elements” in the Critique of Pure Reason. Transcendental logic differs from general logic because, like the principles of a priori sensibility that Kant presents in the “Transcendental Aesthetic” of the Critique of Pure Reason, transcendental logic is part of metaphysics. Transcendental logic also differs from general logic because it does not abstract from the content of cognition. Transcendental logic contains the laws of pure thinking as they pertain to the cognition of objects. This does not mean that transcendental logic is concerned with empirical objects as such, but rather with the a priori conditions of the possibility of the cognition of objects. Kant’s famous “Transcendental Deduction of the Pure Concepts of the Understanding” is meant to demonstrate that the concepts the transcendental logic presents as the a priori conditions of the possibility of the cognition of objects do, in fact, make the cognition of objects possible and are necessary conditions for any and all cognition of objects.

In The Foundation of Philosophical Knowledge, Reinhold objects that Kant’s transcendental logic presupposed general logic, because transcendental logic is a “particular” logic from which general logic, or “logic proper, without surnames,” cannot be derived. Reinhold insisted that the laws of general logic had to be derived from the principle of consciousness if philosophy was to become systematic and scientific, but the possibility of this derivation was contested by Schulze in Aenesidemus. Schulze’s critique of Reinhold’s Elementarphilosophie focuses on the priority Reinhold attributes to the principle of consciousness. Because the principle of consciousness has to be consistent with basic logical principles like the principle of non-contradiction and the principle of the excluded middle, Schulze concluded that it could not be regarded as a first principle. The laws of general logic were, it seemed, prior to the principle of consciousness, so that even the Elementarphilosophie presupposed general logic.

Fichte accepted many aspects of Schulze’s critique of Reinhold, but, like Reinhold, he thought it was crucial to demonstrate that the laws of logic could be derived from “real philosophy” or “metaphysics.” In his Personal Meditations on the Elementarphilosophie (1792-1793), his essay Concerning the Concept of the Wissenschaftslehre (1794), and then again in the Wissenschaftslehre of 1794, Fichte argued that the act that posits the distinction between the I and not-I determines consciousness in a way that makes logical analysis possible. Logical analysis is always undertaken reflectively, according to Fichte, because it presupposes that consciousness has already been determined in some way. So, while Kant maintains that transcendental logic presupposes general logic, Reinhold attempts to derive the laws of general logic from the principle of consciousness, and Schulze shows Reinhold to presuppose the same principles, Fichte forcefully asserts that logic presupposes the determination of thought “as a fact of consciousness,” which itself depends upon the act through which consciousness is originally determined.

Hegel’s contributions to logic have been far more influential than those of Reinhold or Fichte. His Science of Logic (also known as the “Greater Logic”) and the Logic that constitutes the first part of the Encyclopedia of the Philosophical Sciences (also known as the “Lesser Logic”) are not contributions to earlier debates about the priority of general logic. Nor do they accept that what Kant called “general” logic and Reinhold called “logic proper, without surnames” is purely formal logic. Because Hegel was convinced that truth is both formal and material, and not one or the other, he sought to establish the dialectical unity of the formal and the material in his works on logic. The meaning of the word “dialectical” is, of course, much debated, as is the specific mechanism through which the dialectic produces and resolves the contradictions that move thought from one form of consciousness to another. For Hegel, however, this process accounts for the genesis of the categories and concepts through which all cognition is determined. Logic reveals the unity of that process.

German idealism’s contributions to logic were largely dismissed following the rise of empiricism and positivism in the nineteenth century, as well as the revolutions in logic that took place at the beginning of the twentieth century. Today, however, there is a renewed interest in this part of the idealist tradition, as is evident in the attention which has been paid to Kant’s lectures on logic and the new editions and translations of Hegel’s writings and lectures on logic.

3. Metaphysics and Epistemology

German idealism is a form of idealism. The idealism espoused by the German idealists is, however, different from other kinds of idealism with which contemporary philosophers may be more familiar. While earlier idealists maintained that reality is ultimately intellectual rather than material (Plato) or that the existence of objects is mind-dependent (Berkeley), the German idealists reject the distinctions these views presuppose. In addition to the distinction between the material and the formal and the distinction between the real and the ideal, Fichte, Schelling, and Hegel also reject the distinction between being and thinking, further complicating the German idealists’ views on metaphysics and epistemology.

Kant’s idealism is, perhaps, the most moderate form of idealism associated with German idealism. Kant holds that the objects of human cognition are transcendentally ideal and empirically real. They are transcendentally ideal, because the conditions of the cognition human beings have of objects are to be found in the cognitive faculties of human beings. This does not mean the existence of those objects is mind-dependent, because Kant thinks we can only know objects to the extent that they are objects for us and, thus, as they appear to us. Idealism with respect to appearances does not entail the mind-dependence of objects, because it does not commit itself to any claims about the nature of things in themselves. Kant denies that we have any knowledge of things in themselves, because we do not have the capacity to make judgments about the nature of things in themselves based on our knowledge of things as they appear.

Despite our ignorance of things in themselves, Kant thought we could have objectively valid cognition of empirically real objects. Kant recognized that we are affected by things outside ourselves and that this affection produces sensations. These sensations are, for Kant, the “matter” of sensible intuition. Along with the pure “forms” of intuition, space and time, sensations constitute the “matter” of judgment. The pure concepts of the understanding are the “forms” of judgment, which Kant demonstrates to be the conditions of the possibility of objectively valid cognition in the “Deduction of the Pure Concepts of the Understanding” in the Critique of Pure Reason. The synthesis of matter and form in judgment therefore produces objectively valid cognition of empirically real objects

To say that the idealism of Fichte, Schelling, and Hegel is more radical than Kant’s idealism is to understate the difference between Kant and the philosophers he inspired. Kant proposed a “modest” idealism, which attempted to prove that our knowledge of appearances is objectively valid. Fichte, however, maintains the very idea of a thing in itself, a thing which is not an object for us and which exists independently of our consciousness, is a contradiction in terms. There can be no thing in itself, Fichte claims, because a thing is only a thing when it is something for us. Even the thing in itself is, in fact, a product of our own conscious thought, meaning the thing in itself is nothing other a postulation of our own consciousness. Thus, it is not a thing in itself, but just another object for us.  From this line of reasoning, Fichte concludes that “everything which occurs in our mind can be completely explained and comprehended on the basis of the mind itself” (Breazeale 1988, 69). This is a much more radical form of idealism than Kant maintained. For Fichte holds that consciousness is a circle in which the I posits itself and determines what belongs to the I and what belongs to the not-I. This circularity is necessary and unavoidable, Fichte maintains, but philosophy is a reflective activity in which the spontaneous positing activity of the I and the determinations of the I and not-I are comprehended.

Schelling defended Fichte’s idealism in On the I as Principle of Philosophy, where he maintained that the I is the unconditioned condition of both being and thinking. Because the existence of the I precedes all thinking (I must exist in order to think) and because thinking determines all being (A thing is nothing other than an object of thought), Schelling argued, the absolute I, not Reinhold’s principle of consciousness, must be the fundamental principle of all philosophy. In subsequent works like the System of Transcendental Idealism, however, Schelling pursued a different course, arguing that the essential and primordial unity of being and thinking can be understood from two different directions, beginning either with nature or spirit. It could be deduced from the absolute I as Fichte had done, but it could also arise from the unconscious but dynamic powers of nature. By showing how these two different approaches complemented one another, Schelling thought he had shown how the distinction between being and thinking, nature and spirit, could be overcome.

Fichte was not pleased with the innovations of Schelling’s idealism, because he initially thought of Schelling as a disciple and a defender of his own position. Fichte did not initially respond to Schelling’s works, but, in an exchange that began in 1800, he began to argue that Schelling had confused the real and the ideal, making the I, the ideal, dependent upon nature, the real. Fichte thought this violated the principles of transcendental idealism and his own Wissenschaftslehre, leading him to suspect that Schelling was no longer the disciple he took him to be. Intervening on Schelling’s behalf as the dispute became more heated, Hegel argued that Fichte’s idealism was “subjective” idealism, while Schelling’s idealism was “objective” idealism. This means that Fichte considers the I to be the absolute and denies the identity of the I and the not-I. He privileges the subject at the expense of the identity of subject and object. Schelling, however, attempts to establish the identity of the subject and object by establishing the objectivity of the subject, the I, as well as the subjectivity of the object, nature. The idealism Schelling and Hegel defend recognizes the identity of subject and object as the “absolute,” unconditioned first principle of philosophy. For that reason, it is often called the philosophy of identity.

It is clear that by the time he published the Phenomenology of Spirit, Hegel was no longer interested in defending Schelling’s system. In the Phenomenology, Hegel famously calls Schelling’s understanding of the identity of subject and object “the night in which all cows are black,” meaning that Schelling’s conception of the identity of subject and object erases the many and varied distinctions which determine the different forms of consciousness. These distinctions are crucial for Hegel, who came to believe that the absolute can only be realized by passing through the different forms of consciousness which are comprehended in the self-consciousness of absolute knowledge or spirit (Geist).

Contemporary scholars like Robert Pippin and Robert Stern have debated whether Hegel’s position is to be regarded as a metaphysical or merely epistemological form of idealism, because it is not entirely clear whether Hegel regarded the distinctions that constitute the different forms of consciousness as merely the conditions necessary for understanding objects (Pippin) or whether they express fundamental commitments about the way things are (Stern). However, it is almost certainly true that Hegel’s idealism is both epistemological and metaphysical. Like Fichte and Schelling, Hegel sought to overcome the limits Kant’s transcendental idealism had placed on philosophy, in order to complete the idealist revolution he had begun. The German idealists agreed that this could only be done by tracing all the different parts of philosophy back to a single principle, whether that principle is the I (in Fichte and the early Schelling) or the absolute (in Hegel).

4. Moral and Political Philosophy

The moral and political philosophy of the German idealists is perhaps the most influential part of their legacy, but it is also one of the most controversial. Many appreciate the emphasis Kant placed on freedom and autonomy in both morality and politics; yet they reject Kant’s moral and political philosophy for its formalism. Fichte’s moral and political philosophy has only recently been studied in detail, but his popular and polemical writings have led some to see him as an extreme nationalist and, perhaps, a precursor to fascism. Hegel is, by some accounts, an apologist for the totalitarian “absolute state.” In what follows, a more even-handed assessment of their views and their merits is developed.

Kantian moral philosophy has been an important part of moral theory since the nineteenth century. Today, it is commonly associated with deontological moral theories, which emphasize duty and obligation, as well as constructivism, which is concerned with the procedures through which moral norms are constructed. Supporters of both approaches frequently refer to the categorical imperative and the different formulations of that imperative which are to be found in Kant’s Groundwork of the Metaphysics of Morals (1785) and the Critique of Practical Reason (1788). They often take the categorical imperative, or one of its formulations, as a general definition of the right or the good.

The categorical imperative served a slightly different purpose for Kant. In the Groundwork, Kant uses the categorical imperative to define the form of the good will. Kant thought moral philosophy was primarily concerned with the determination of the will. The categorical imperative shows that, in order to be good, the will must be determined according to a rule that is both universal and necessary. Any violation of this rule would result in a contradiction and, therefore, moral impossibility. The categorical imperative provides Kant with a valid procedure and a universal and necessary determination of what is morally obligatory.

Yet in order to determine the will, Kant thought human beings had to be free.  Because freedom cannot be proven in theoretical philosophy, however, Kant says that reason forces us to recognize the concept of freedom as a “fact” of pure practical reason. Kant thinks freedom is necessary for any practical philosophy, because the moral worth and merit of human beings depends on the way they determine their own wills. Without freedom, they would not be able to determine their own wills to the good and we could not hold them responsible for their actions. Thus freedom and autonomy are absolutely crucial for Kant’s understanding of moral philosophy. The political significance of autonomy becomes apparent in some of Kant’s late essays, where he supports a republican politics of freedom, equality, and the rule of law.

Kant’s moral philosophy affected Fichte profoundly, especially the Critique of Practical Reason. “I have been living in a new world ever since reading the Critique of Practical Reason,” Fichte reports, “propositions which I thought could never be overturned have been overturned for me. Things have been proven to me which I thought could never be proven, e.g., the concept of absolute freedom, the concept of duty, etc., and I feel all the happier for it” (Breazeale 1988, 357). His passion for Kant’s moral philosophy can be seen in the Aenesidemus review, where Fichte defends the “primacy” of practical reason over theoretical reason, which he takes to be the foundation of Kant’s “moral theology.”

Despite his admiration for Kant’s moral philosophy, Fichte thought he could go beyond Kant’s formalism. In his essay Concerning the Concept of Wissenschaftslehre, Fichte describes the second, practical part of his plan for Wissenschaftslehre, in which “new and thoroughly elaborated theories of the pleasant, the beautiful, the sublime, the free obedience of nature to its own laws, God, so-called common sense or the natural sense of truth” are laid out, but which also contains “new theories of natural law and morality, the principles of which are material as well as formal” (Breazeale 1988, 135). Unlike Kant, in other words, Fichte would not simply determine the form of the good will, but the ways in which moral and political principles are applied in action.

Fichte’s interest in the material principles of moral and political philosophy can be seen in his Foundations of Natural Right and System of Ethics. In both works, Fichte emphasizes the applicability of moral and political principles to action. But he also emphasizes the social context in which these principles are applied. While the I posits itself as well as the not-I, Fichte thinks the I must posit itself as an individual among other individuals, if it is to posit itself “as a rational being with self-consciousness.” The presence of others checks the freedom of the I, because the principles of morality and natural right both require that individual freedom cannot interfere with the freedom of other individuals. Thus the freedom of the I and the relations between individuals and members of the community are governed by the principles of morality and right, which may be applied to all their actions and interactions.

Hegel was also concerned about the formalism of Kant’s moral philosophy, but Hegel approached the problem in a slightly different way than Fichte. In the Phenomenology of Spirit, Hegel describes the breakdown of the “ethical life” (Sittlichkeit) of the community. Hegel understands ethical life as the original unity of social life. While he thinks the unity of ethical life precedes any understanding of the community as a free association of individuals, Hegel also thinks the unity of ethical life is destined to break down. As members of the community become conscious of themselves as individuals, through the conflicts that arise between family and city and between religious law and civil law, ethical life becomes more and more fragmented and the ties that bind the community become less and less immediate. This process is illustrated, in the Phenomenology, by Hegel’s famous – if elliptical – retelling of Sophocles’ Antigone.

Hegel provides a different account of ethical life in the Foundations of the Philosophy of Right. In this work, he contrasts ethical life with morality and abstract right. Abstract right is the name Hegel gives to the idea that individuals are the sole bearers of right. The problem with this view is that it abstracts right from the social and political context in which individuals exercise their rights and realize their freedom. Morality differs from abstract right, because morality recognizes the good as something universal rather than particular. Morality recognizes the “common good” of the community as something that transcends the individual; yet it defines the good through a purely formal system of obligations, which is, in the end, no less abstract than abstract right. Ethical life is not presented as the original unity of the habits and customs of the community, but, rather, as a dynamic system in which individuals, families, civil society, and the state come together to promote the realization of human freedom.

Traditional accounts of Hegel’s social and political philosophy have seen Hegel’s account of ethical life as an apology for the Prussian state. This is understandable, given the role the state plays in the final section of the Philosophy of Right on “World History.” Here Hegel says “self-consciousness finds in an organic development the actuality of its substantive knowing and willing” in the Germanic state (Wood 1991, 379-380). To see the state as the culmination of world history and the ultimate realization of human freedom is, however, to overlook several important factors, including Hegel’s personal commitments to political reform and personal freedom. These commitments are reflected in Hegel’s defense of freedom in the Philosophy of Right, as well as the role he thought the family and especially civil society played in ethical life.

5. Aesthetics

The German idealists’ interest in aesthetics distinguishes them from other modern systematic philosophers (Descartes, Leibniz, Wolff ) for whom aesthetics was a matter of secondary concern at best. And while there was, to be sure, considerable disagreement about the relationship between art, aesthetics, and philosophy among the German idealists, the terms of their disagreement continue to be debated in philosophy and the arts.

For most of his career, Kant regarded aesthetics as an empirical critique of taste. In lectures and notes from the 1770s, several of which were later incorporated into Kant’s Logic (1800), Kant denies that aesthetics can be a science. Kant changed his mind in 1787, when he told Reinhold he had discovered the a priori principles of the faculty of feeling pleasure and displeasure. Kant laid out these principles in the first part of the Critique of the Power of Judgment (1790), where he characterizes aesthetic judgment as a “reflective” judgment, based on “the consciousness of the merely formal purposiveness in the play of the cognitive powers of the subject with regard to the animation of its cognitive powers” (Guyer and Matthews 2000, 106-107). According to Kant, it is the free yet harmonious play of our cognitive faculties in aesthetic judgment that is the source of the feeling of pleasure that we associate with beauty.

Reinhold and Fichte had little to say about art and beauty, despite Fichte’s promise to deal with the subject in the second, practical part of his Wissenschaftslehre. Aesthetics was, however, of critical importance for Schelling, Hegel, and Hölderlin. In the Oldest Program for a System of German Idealism, they write that beauty is “the idea that unites everything” and “the highest act of reason” (Bernstein 2003, 186). Thus they insist that the “philosophy of spirit” must also be an “aesthetic” philosophy, uniting the sensible and the intellectual as well as the real and the ideal.

It was Schelling, rather than Hegel or Hölderlin, who did the most to formulate this “aesthetic” philosophy in the years following his move to Jena. In the System of Transcendental Idealism and Philosophy of Art, Schelling argues that the absolute is both revealed by and embodied in works of art. Art is, for Schelling, “the only true and eternal organ and document of philosophy” (Heath 1978, 231). Art is of  “paramount” importance to the philosopher, because it opens up “the holy of holies, where burns in eternal and original unity, as if in a single flame, that which is rent asunder in nature and history and that which, in life and action, no less than in thought, must forever fly apart” (Heath 1978, 231).

Hegel would later contest Schelling’s characterization of the artwork and its relation to philosophy in his Lectures on Fine Arts. According to Hegel, art is not the revelation and embodiment of philosophy, but an alienated form of self-consciousness. The greatest expression of spirit is not to be found in the work of art, as Schelling suggested, but in the “idea.” Beauty, which Hegel calls “the sensuous appearance of the idea,” is not an adequate expression of the absolute, precisely because it is a sensuous appearance. Nevertheless, Hegel acknowledges that the alienated and sensuous appearance of the idea can play an important role in the dialectical process through which we become conscious of the absolute in philosophy. He distinguishes three kinds of art, symbolic art, classical art, and romantic art, corresponding to three different stages in the development of our consciousness of the absolute, which express different aspects of the idea in different ways.

Hegel argues that the kind of art that corresponds to the first stage in the development of our understanding of spirit, symbolic art, fails to adequately represent the idea, but points to the idea as something beyond itself. This “beyond” cannot be captured by images, plastic forms, or words and therefore remains abstract for symbolic art. However, the art corresponding to the second stage in the development of our understanding of spirit, classical art, strives to reconcile the abstract and the concrete in an individual work. It aims to present a perfect, sensible expression of the idea and, for that reason, represents the “ideal” of beauty for Hegel. Yet the problem remains, inasmuch as the idea which is expressed by classical art is not, in itself, sensible. The sensible presentation of the idea remains external to the idea itself. Romantic art calls attention to this fact by emphasizing the sensuousness and individuality of the work. Unlike symbolic art, however, romantic art supposes that the idea can be discovered within and through the work of art. In effect, the work of art tries to reveal the truth of the idea in itself. Yet when the idea is grasped concretely, in itself, rather than through the work of art, we have achieved a philosophical understanding of the absolute, which does not require the supplement of sensible appearance. For this reason, Hegel speculated that the emergence of philosophical self-consciousness signaled the end of art. “The form of art,” he says, “has ceased to be the supreme need of spirit” (Knox 1964, 10).

Hegel’s thesis concerning the “end” of art has been widely debated and raises many important questions. What, for example, are we to make of developments in the arts that occurred “after” the end of art? What purpose might art continue to serve, if we have already achieved philosophical self-consciousness? And, perhaps most importantly, has philosophy really achieved absolute knowledge, which would render any “sensuous appearance” of the idea obsolete? These are important questions, but they are difficult to answer. Like Kant and Schelling, Hegel’s views on aesthetics were part of his philosophical system, and they served a specific purpose within that system. To question the end of art in Hegel is, for that reason, to question the entire system and the degree to which it presents a true account of the absolute. Yet that also is why aesthetics and the philosophy of art allow us important insight into Hegel’s thought and the thought of the German idealists more generally.

6. Reception and Influence

Fichte, Hegel, and Schelling ended their careers in the same chair in Berlin. Fichte spent his later years reformulating the Wissenschaftslehre in lectures and seminars, hoping to finally find an audience that understood him. Hegel, who was called to take Fichte’s chair upon his death, lectured on the history of philosophy, the philosophy of history, the philosophy of religion, and the philosophy of fine art (his lectures on these subjects have been no less influential than his published works). Hegel gained a considerable following among both conservatives and liberals in Berlin, who came to be known as “right” (or “old”) and “left” (or “young”) Hegelians. Schelling’s views seem to have changed the most between the turn of the century and his arrival in Berlin. The “positive” philosophy he articulated in his late works is no longer idealist, because Schelling no longer maintains that being and thinking are identical. Nor does the late Schelling think that thought can ground itself in its own activity. Instead, thought must find its ground in “the primordial kind of all being.”

Arthur Schopenhauer (1788-1860), Søren Kierkegaard (1813-1855), and Karl Marx (1818-1883) all witnessed the decline of German idealism in Berlin. Schopenhauer had studied with Schulze in Göttingen and attended Fichte’s lectures in Berlin, but he is not considered a German idealist by many historians of philosophy. Some, like Günter Zöller, have argued against this exclusion, suggesting that the first edition of The World as Will and Representation is, in fact, “the first completely execute post-Kantian philosophical system” (Ameriks 2000, 101). Whether or not this system is really idealist is, however, a matter of some dispute. Claims that Schopenhauer is not an idealist usually take as their starting point the second part of The World as Will and Representation, where Schopenhauer claims that the representations of the “pure subject of cognition” are grounded in the will and, ultimately, in the body.

It is easier to distinguish Kierkegaard and Marx from the German idealists than Schopenhauer, though Kierkegaard and Marx are perhaps as different from one another as they could possibly be. Kierkegaard studied with the late Schelling, but, like Jacobi, rejected reason and philosophy in the name of faith. Many of his works are elaborate parodies of the kind of reasoning to be found in the works of the German idealists, especially Hegel. Marx, along with another one of Schelling’s students, Friedrich Engels (1820-1895), came to deride idealism as the “German ideology.” Marx and Engels charged that idealism had never really broken with religion, that it comprehended the world through abstract, logical categories, and, finally, mistook mere ideas for real things. Marx and Engels promoted their own historical materialism as an alternative to the ideology of idealism.

There is a tendency to overemphasize figures like Schopenhauer, Kierkegaard, and Marx in the history of philosophy in the nineteenth century, but this distorts our understanding of the developments taking place at the time. It was the rise of empirical methods in the natural sciences and historical-critical methods in the human sciences, as well as the growth of Neo-Kantianism and positivism that led to the eclipse of German idealism, not the blistering critiques of Schopenhauer, Kierkegaard, Marx, and Nietzsche. Neo-Kantianism, in particular, sought to leave behind the speculative excesses of German idealism and extract from Kant those ideas that were useful for the philosophy of the natural and human sciences. In the process, they established Neo-Kantianism as the dominant philosophical school in Germany at the end of the nineteenth century.

Despite its general decline, German idealism remained an important influence on the British idealism of F.H. Bradley (1846-1924) and Bernard Bosanquet (1848-1923) at the beginning of the twentieth century. The rejection of British idealism was one of common features of early analytic philosophy, though it would be wrong to suppose that Bertrand Russell (1872-1970), G.E. Moore (1873-1958), and others rejected idealism for purely philosophical reasons. The belief that German idealism was at least partly responsible for German nationalism and aggression was common among philosophers of Russell’s generation and only became stronger after World War I and World War II. The famous depiction of Hegel as an “enemy of liberty” and a “totalitarian” in The Open Society and its Enemies (1946) by Karl Popper (1902-1994) builds upon this view. And while it would be difficult to prove that any particular philosophy was responsible for German nationalism or the rise of fascism, it is true that the works of Fichte and Hegel were, like those of Nietzsche, favorite references for German nationalists and, later, the Nazis.

The works of the German idealists, especially Hegel, became important in France during the 1930s. Lectures on Hegel by Alexander Kojeve’s (1902-1968) influenced a generation of French intellectuals, including Georges Bataille (1897-1962), Jacques Lacan (1901-1981) and Jean-Paul Satre (1905-1980). Kojeve’s understanding of Hegel is idiosyncratic, but, together with the works of Jean Wahl (1888-1974), Alexandre Koyré (1892-1964), and Jean Hyppolite (1907-1968), his approach remains influential in continental European philosophy.  Objections to the anthropocentrism of German idealism can usually be traced back to this tradition and especially to Kojeve, who saw Hegel’s dialectic as a historical process through which the problems that define humanity are resolved. The end of this process is, for Kojeve, the end of history, which was popularized by Frances Fukayama (1952-) in The End of History and the Last Man (1992). Charges that German idealism is dogmatic, rationalist, foundationalist, and totalizing in its attempt to systematize, and ultimately an egocentric “philosophy of the subject,” which are also common in continental philosophy, merit more serious concern, given the emphasis Fichte, Schelling, and Hegel place on the “I” and the extent of their philosophical ambitions. Yet even these charges have been undermined in recent years by new historical scholarship and a greater understanding of the problems that actually motivated the German idealists.

There has been considerable interest in German idealism in the last twenty years, as hostility waned in analytic philosophy, traditional assumptions faded in continental philosophy, and bridges were built between the two approaches. Philosophers like Richard Bernstein and Richard Rorty, inspired by Wilfrid Sellars, may be credited with re-introducing Hegel to analytic philosophy as an alternative to classical empiricism. Robert Pippin later defended a non-metaphysical Hegel, which has been a subject of intense debate, but which has also made Hegel relevant to contemporary debates about realism and anti-realism. More recently, Robert Brandom has championed the “normative” conception of rationality that he finds in Kant and Hegel, and which suggests that concepts function as rules regulating judgment rather than mere representations. Some, like Catherine Malabou, have even attempted to apply the insights of the German idealists to contemporary neuroscience. Finally, it would be remiss not to mention the extraordinary historical-philosophical scholarship, in both German and English, that has been produced on German idealism in recent years. The literature listed in the bibliography has not only enriched our understanding of German idealism with new editions, translations, and commentaries, it has also expanded the horizons of philosophical scholarship by identifying new problems and new solutions to problems arising in different traditions and contexts.

7. References and Further Reading

a. Kant

i. German Editions of Kant’s Works

  • Weischedel. Wilhelm. ed. Kants Werke in sechs Bänden. Wiesbaden: lnsel Verlag, 1956-1962.
  • Kants Gesammalte Schriften, herausgegeben von der Preussischen Akademie der
  • Wissenschaften. Berlin: Walter de Gruyter, 1902.

ii. Cambridge Edition of the Works of Immanuel Kant in Translation

  • Bowman, Curtis, Guyer, Paul, and Rauscher, Frederick, trans. and Guyer, Paul, ed. Immanuel Kant: Notes and Fragments. Cambridge: Cambridge University Press, 2005.
  • Allison, Henry and Heath, Peter, eds. Immanuel Kant: Theoretical Philosophy After 1781. Cambridge: Cambridge University Press, 2002.
  • Guyer, Paul and Matthews, Eric, trans. and eds. Immanuel Kant: Critique of the Power of Judgment. Cambridge: Cambridge University Press, 2000.
  • Arnulf Zweig, trans. and ed. Immanuel Kant: Correspondence. Cambridge: Cambridge University Press, 1999.
  • Guyer, Paul and Wood, Allen W. Immanuel Kant: Critique of Pure Reason. Cambridge: Cambridge University Press, 1998.
  • Heath, Peter and Schneewind, Jerome B., trans. and eds. Lectures on Ethics. New York: Cambridge University Press, 1997.
  • Ameriks, Karl and Naragon, Steve, trans. and eds. Immanuel Kant: Lectures on Metaphysics. Cambridge: Cambridge University Press, 1997.
  • Gregor, Mary, trans. and ed. Immanuel Kant: Practical Philosophy. Cambridge: Cambridge University Press, 1996.
  • Wood, Allen W. and di Giovanni, George, trans. and eds. Immanuel Kant: Religion and Rational Theology. Cambridge: Cambridge University Press, 1996.
  • Walford, David and Meerbote, Ralf, trans. and eds. Immanuel Kant: Theoretical Philosophy, 1755-1770. Cambridge: Cambridge University Press, 1992.
  • Young, J. Michel, trans. and ed. Immanuel Kant: Lectures on Logic. Cambridge: Cambridge University Press, 1992.

iii. Other English Translations of Kant’s Works

  • Kemp Smith, Norman, trans. The Critique of Pure Reason. London: Palgrave MacMillan, 2003.
  • Pluhar, Werner, trans. Critique of Judgment, Including the First Introduction. Indianapolis: Hackett, Publishing, 1987.
  • Allison, Henry E., trans. The Kant-Eberhard Controversy. Baltimore: Johns Hopkins University Press, 1973.

b. Fichte

i. German Editions of Fichte’s Works

  • Fichte, Immanuel Hermann, ed. Fichtes Werke. Berlin: Walter de Gruyter, 1971.
  • Lauth, Reinhard, Gliwitzky, Hans, and Jacob, Hans. eds. J.G. Fichte: Gesamtausgabe der Bayerischen Akademie der Wissenschaften. Stuttgart-Bad Cannstatt: Frommann-Holzboog Verlag, 1962.

ii. English Translations of Fichte’s Works

  • Green, Garrett, trans. Allen Wood, ed. Attempt at a Critique of All Revelation. Cambridge: Cambridge University Press, 2010.
  • Breazeale, Daniel and Zöller, Günter. The System of Ethics According to the principles of the Wissenschaftslehre. Cambridge: Cambridge University Press, 2005.
  • Neuhouser. Frederick and Baur, Michael. trans. and eds. Foundations of Natural Right. Cambridge: Cambridge University Press, 2000.
  • Breazeale, Daniel. trans. and ed. Introductions to the Wissenschaftslehre and Other Writings. Indianapolis: Hackett Publishing, 1994.
  • Breazeale, Daniel. trans. and ed. Foundations of the Transcendental Philosophy (Wissenschaftslehre Nova Methodo, 1796-1799). Ithaca: Cornell University Press, 1992.
  • Breazeale, Daniel. trans. and ed. Early Philosophical Writings. Ithaca: Cornell University Press, 1988.
  • Preuss, Peter, trans. The Vocation of Man. Indianapolis: Hackett Publishing, 1987.
  • Heath. Peter and Lachs, John, trans. Science of Knowledge. Cambridge: Cambridge University Press, 1982.
  • Jones, R. F. and Turnbull, George Henry, trans. Addresses to the German Nation. New York: Harper & Row, 1968.

c. Hegel

i. German Editions of Hegel’s Works

  • Eva Moldenhauer and Karl Markus Michel, eds. Georg Wilhelm Friedrich Hegel: Werke. Frankfurt am Main: Suhrkamp, 1971-1979.
  • Hoffmeister. Johannes, ed. Briefe von und an Hegel, Hamburg: Meiner, 1969.
  • Deutsche Forschungsgemeinschaft in Verbindung mit der Rheiniscb-westfalischen
  • Akademie der Wissenschaften, ed. Hegels Gesammelte Werke. Kritische Ausgabe. Hamburg: Meiner Verlag, 1968.

ii. English Translations of Hegel’s Works

1. Cambridge Hegel Translations
  • Di Giovanni, George, trans. and ed. The Science of Logic. Cambridge: Cambridge University Press, 2010.
  • Brinkmann, Klaus and Dahlstrom, Daniel O., trans. and ed. Encyclopaedia of the Philosophical Sciences in Basic Outline,  Part 1, Logic. Cambridge: Cambridge University Press, 2010.
  • Bowman, Brady and and Speight, Allen. Heidelberg Writings. Cambridge: Cambridge University Press, 2009.
2. Other English Translations of Hegel’s Works
  • Nisbet, H.B., trans. Wood, Allen, ed. Elements of the Philosophy of Right. Cambridge: Cambridge University Press. 1991.
  • Geraets, Theodore F., Harris, H.S., and Suchting, Wallis Arthur, trans. The Encylopedia Logic. Indianapolis: Hackett Publishing, 1991.
  • Brown, Robert, ed. Lectures on the History of Philosophy. Berkeley: University of California Press, 1990.
  • Burbidge. John S., trans. The Jena System 1804/1805: Logic and Metaphysics. Montreal: McGill/Queen’s University Press, 1986.
  • Miller, A.V., trans. George, Michael and Vincent, Andrew, eds. The Philosophical Propadeutic. Oxford: Blackwell, 1986.
  • Hodgson, Peter and Brown, R. F., trans. Lectures on the Philosophy of Religion. Berkeley: University of California Press, 1984-1986.
  • Dobbins, John and Fuss, Peter, trans. Three Essays 1793-1795. South Bend: University of Notre Dame Press, 1984.
  • Cerf, Walter and Harris, H.S., trans. System of Ethical Life and First Philosophy of Spirit. Albany: State University of New York Press, 1979.
  • Petry, Michael John, trans. and ed. Hegels Philosophie des subjektiven Geistes/Hegel’s Philosophy of Subjective Spirit. Dordrecht: Riedel, 1978.
  • Miller, A.V. Phenomenology of Spirit. Oxford: Oxford University Press, 1977.
  • Cerf, Walter and Harris, H.S., trans. The Difference Between Fichte’s and Schelling’s System of Philosophy. Albany: State University of New York Press, 1977.
  • Cerf, Walter and Harris, H.S., trans. Faith and Knowledge. Albany: State University of New York Press, 1977.
  • Nisbet, H.B., trans. Lectures on the Philosophy of World History: Introduction. Cambridge: Cambridge University Press, 1975.
  • Wallace. William, trans. Hegel’s Philosophy of Mind. Oxford: Oxford University Press, 1971.
  • Miller, A.V., trans. Philosophy of Nature. Oxford: Oxford University Press, 1970.
  • Miller, A.V., trans. Science of Logic. London: George Allen & Unwin, 1969.
  • Knox, T.M. trans. Hegel’s Aesthetics. Oxford: Clarendon Press, 1964.

d. Schelling

i. German Editions of Schelling’s Works

  • Frank, Manfred and Kurz, Gerhard. eds. Materialien zu Schellings philosophischen Anfängen. Frankfurt: Suhrkamp, 1995.
  • Jacobs, Wilhelm G., Krings. Hermann, and Zeltner, Hermann, eds. F.W.J. von Schelling: Historisch-kritische Ausgabe. Stuttgart-Bad Cannstatt: Frommann-Holzboog, 1976-.
  • Fuhrmans, Horst, ed. Schelling: Briefe und Dokumente. Bonn: Bouvier, 1973·

ii. English Translations of Schelling’s Works

  • Love, Jeff and Schmitt, Johannes, trans. Philosophical Investigations into the Essence of Human Freedom. Albany: State University of New York Press, 2007.
  • Matthews, Bruce, trans. The Grounding of Positive Philosophy. Albany: State University of New York Press, 2007.
  • Richey, Mason and Zisselsberger, Markus, trans. Historical-Critical Introduction to the Philosophy of Mythology. Albany: State University of New York Press, 2007.
  • Peterson, Keith R., trans. and ed. First Outline of a System of the Philosophy of Nature. Albany: State University of New York Press, 2004.
  • Steinkamp, Fiona, trans. Clara, or On Nature’s Connection to the Spirit World. Albany: State University of New York Press, 2002.
  • Wirth, Jason M., Trans. The Ages of the World. Albany: State University of New York Press, 2000.
  • Bowie, Andrew, trans. On the History of Modern Philosophy. Cambridge: Cambridge University Press, 1994
  • Pfau, Thomas, trans. and ed. Idealism and the Endgame of Theory: Three Essays by F.W.J. Schelling. Albany: State University of New York Press, I994.
  • Stott, Douglas W., trans. The Philosophy of Art. Minneapolis: University of Minnesota Press, 1989.
  • Gutmann, James, trans. Philosophical Inquiries into the Nature of Human Freedom. La Salle: Open Court, 1989.
  • Harris, Errol and Heath. Peter, trans. Ideas for a Philosophy of Nature. Cambridge: Cambridge University Press, 1988.
  • Vater, Michael G., trans. Bruno, or On the Natural and the Divine Principle of Things Albany: State University of New York Press, 1984.
  • Marti, Fritz, trans. and ed. The Unconditional in Human Knowledge: Four Early Essays. Lewisburg: Bucknell University Press, 1980.
  • Heath, Peter, trans. System of Transcendental Idealism. Charlottesville, VA: University Press of Virginia, 1978.
  • Motgan, E. S. and Guterman, Norbert, trans. On University Studies. Athens: Ohio University Press, 1966.

e. Editions and Translations of Other Primary Sources

i. Jacobi

  • Hammacher, Klaus and Jaeschke, eds. Friedrich Heinrich Jacobi: Werke. Hamburg: Meiner Verlag, 1998.
  • Di Giovanni, George, trans. and ed. Friedrich Heinrich Jacobi: The: Main Philosophical Writings and the Novel Allwill. Montreal: McGill/Queen’s University Press, 1994.
  • Klippen, Friedrich and von Roth, Friedrich, eds. Friedrich Heinrich Jacobi: Werke. Darmstadt: Wissenschaftliche Buchgesellschaft, 1968.

ii. Reinhold

  • Hebbeler, James, trans., and Ameriks, Karl, ed. Letters on the Kantian Philosophy. Cambridge: Cambridge University Press, 2005.
  • Fabbianelli, Faustino, ed. Beiträge zur Berichtigung bisheriger Missverständnis der Philosophen. Hamburg: Meiner Verlag, 2003.
  • Di Giovanni, George and Harris, H.S. Between Kant and Hegel: Texts in the Development of Post-Kantian Idealism. Indianapolis: Hackett Publishing, 2000.

iii. Hölderlin

  • Beissner, Friedrich, ed. Holderlin: Samtliche Werke, Grosser Stuttgarter Ausgabe. Stuttgart: Cotta, 1943-85.
  • Pfau, Thomas, trans. and ed. Essays and Letters on Theory, Albany: State University of New York Press, 1988.

iv. Kierkegaard, Søren

  • Cappelørn, N.J. et. al. Søren Kierkegaards Skrifter. Copenhagen: Gad, 1997.
  • Hong, Howard V. and Hong, Enda H., ed. Kierkegaard’s Writings. Princeton: Princeton University Press, 1983-2009.

v. Marx

  • Pascal, Roy, ed.The German Ideology, New York: International Publishers, 1947.
  • Ryawnov, D., and Adoratskii, Vladimir Viktorovich, eds. Karl Marx und Friedrich Engels: Historisch-Kritisch Gesamtausgabe. Redin: Dietz Verlag, 1956.

vi. Schopenhauer

  • Janaway, Christopher and Norman, Judith and Welchman Alistair, trans. and eds. The World as Will and Representation. Cambridge: Cambridge University Press, 2010.
  • Aquila, Richard and Carus, David, trans. The World as Will and Presentation. New York: Pearson Longman, 2008.
  • Payne, Eric F. and Zöller, Günter, trans. Prize Essay on the Freedom of the Will. Cambridge: Cambridge University Press, 1999.
  • Payne. Eric F., trans. On the Fourfold Root of the Principle of Sufficient Reason. La Salle: Open Court, 1989.
  • Payne, Eric F., trans. The World as Will and Representation. New York: Dover, 1974.
  • Hübscher, Arthur, ed. Sammtliche Werke. Mannheirn: Brockhaus, 1988.

f. Other Works on German Idealism

  • Allison, Henry. Kant’s Transcendental Idealism (2nd Edition) New Haven: Yale University Press, 2004.
  • Allison, Henry. Idealism and Freedom. Cambridge: Cambridge University Press, 1996.
  • Ameriks, Karl, ed. The Cambridge Companion to German Idealism. Cambridge: Cambridge University Press, 2000.
  • Ameriks, Karl. Kant and the Fate of Autonomy: Problems in the Appropriation of the Critical Philosophy. Cambridge: Cambridge University Press, 2.000.
  • Avineri, Shlomo. Hegel’s Theory of the Modern State. Cambridge: Cambridge University Press, 1972.
  • Baur, Michael and Dahlstrom, Daniel. eds. The Emergence of German Idealism. Washington, DC: Catholic University of America Press, 1999.
  • Beiser, Frederick. Hegel. London: Routledge, 2005.
  • Beiser, Frederick, ed. The Cambridge Companion to Hegel. Cambridge: Cambridge University Press, 1993.
  • Beiser, Frederick. Enlightenment, Revolution, and Romanticism: The Genesis of Modern German Political Thought. Cambridge: Harvard University Press, 1992.
  • Beiser, Frederick The Fate of Reason: German Philosophy from Kant to Fichte. Cambridge: Harvard University Press, 1987.
  • Breazeale, Daniel and Rockmore, Thomas, eds. Fichte: Historical Contexts/Contemporary Controversies. Atlantic Highlands: Humanities Press, 1997.
  • Bowie, Andrew. Aesthetics and Subjectivity: From Kant to Nietzsche (2nd Edition). Manchester: Manchester University Press, 2000.
  • Bowie, Andrew. Schelling and Modern European Philosophy. London: Routledge, 1993.
  • Cassirer, Ernst. Kant’s Life and Thought, trans. James Haden. New Haven: Yale University Press, 1981.
  • Croce, Benedetto. What is Living and What is Dead in the Philosophy of Hegel, trans. Douglas Ainslie. New York: Russell & Russell. 1969.
  • Di Giovanni, George, ed. Essays on Hegel’s Logic. Albany: State University of New York Press, 1990.
  • Findlay, J.N. Hegel: A Re-examination. London: George Allen and Unwin, 1958.
  • Forster, Michael. Hegel‘s Idea of a Phenomenology of Spirit. Chicago: University of Chicago Press, 1998
  • Forster, Michael. Hegel and Skepticism. Cambridge, MA: Harvard University Press, 1989.
  • Guyer, Paul, ed. The Cambridge Companion to Kant. Cambridge; Cambridge University Press, 1992.
  • Hammer, Espen, ed. German Idealism: Contemporary Perspectives. London: Routledge, 2007.
  • Harris, H.S. Hegel’s Development: Night Thoughts. Oxford: Oxford University Press, 1983.
  • Harris, H.S. Hegel’s Development: Towards the Daylight. Oxford: Oxford University Press, 1972.
  • Henrich, Dieter. Between Kant and Hegel: Lectures on German Idealism. ed. David Pacini. Cambridge: Harvard University Press, 2003.
  • Houlgate, Stephen, ed. Hegel and the Arts. Evanston: Northwestern University Press, 2007.
  • Houlgate, Stephen. The Opening of Hegel’s Logic. West Lafayette: Purdue University Press, 2006.
  • Houlgate, Stephen, ed. Hegel and the Philosophy of Nature. Albany: State University of New York Press, 1998.
  • Hyppolite. Jean. Genesis and Structure of the Phenomenology of Spirit, trans. S. Cherniak and R. Heckmann. Evanston, IL: Northwestern University Press, 1974.
  • Inwood, Michael. Hegel. London: Routledge, 1983.
  • Kojeve, Alexandre. Introduction to the Reading of Hegel, trans. J. H. Nichols. New York: Basic Books, 1960.
  • Kuehn, Manfred. Kant: A Life. Cambridge: Cambridge University Press, 2000
  • Longuenesse, Béatrice. Hegel’s Critique of Metaphysics. Cambridge: Cambridge University Press, 2007.
  • Martin, Wayne. Idealism and Objectivity: Understanding Fichte’s Jena Project. Stanford: Stanford University Press, 1997.
  • Neuhauser, Frederick. Fichte’s Theory of Subjectivity. Cambridge: Cambridge University Press, 1990.
  • O’Hondt, Jacques. Hegel in his Time. trans. John Burbidge. Peterborough: Broadview Press, 1988.
  • Pinkard, Terry. German Philosophy 1760-1860: The Legacy of Idealism. Cambridge: Cambridge University Press, 2002.
  • Pinkard, Terry. Hegel: A Biography. Cambridge: Cambridge University Press, 2000.
  • Pinkard, Terry. Hegel’s Phenomenology: The Sociality of Reason. Cambridge: Cambridge University Press, 1994.
  • Pippin, Robert. Hegel on Self-Consciousness: Desire and Death in the Phenomenology of Spirit. Princeton: Princeton University Press, 2010.
  • Pippin, Robert. Hegel’s Practical Philosophy: Rational Agency as ethical Life. Cambridge: Cambridge University Press, 2008.
  • Pippin, Robert. Hegel’s Idealism: The Satisfactions of Self-Consciousness. Cambridge: Cambridge University Press, 1989.
  • Priest, Stephen, ed. Hegel’s Critiqut of Kant. Oxford.: Oxford University Press, 1987.
  • Redding, Paul. Analytic Philosophy and the Return to Hegelian Thought. Cambridge: Cambridge University Press, 2010.
  • Ritter, Joachim. Hegel and the French Revolution. Cambridge: MIT Press, 1982.
  • Rockmore, Tom. Before and After Hegel: A Historical Introduction to Hegel’s Thought. Berkeley: University of California Press, 1993.
  • Sedgwick, Sally, ed. The Reception of Kant’s Critical Philosophy: Fichte, Schelling, and Hegel. Cambridge: Cambridge University Press, 2000.
  • Snow, Dale. Schelling and the End of Idealism. Albany: State University of New York Press, 1996.
  • Solomon, Robert M. and Higgins, Kathleen M., eds. The Age of German Idealism. London: Routledge, 1993.
  • Stern, Robert. Hegelian Metaphysics. Oxford: Oxford University Press. 2009.
  • Taylor, Charles. Hegel. Cambridge: Cambridge University Press, 1975
  • Westphal, Kenneth. Hegel’s Epistemological Realism: A Study of the Aim and Method of Hegel’s Phenomenology of Spirit. Dordrecht: Kluwer, 1989.
  • White, Allen. Schelling: Introduction to the System of Freedom. New Haven: Yale University Press, 1983.
  • Wirth, Jason M., Ed. Schelling Now: Contemporary Readings. Bloomington: Indiana University Press, 2004.
  • Wood, Allen Kant’s Ethical Thou.ght. Cambridge: Cambridge University Press, 1999.
  • Wood, Allen. Hegel’s Ethical Thought. Cambridge: Cambridge University Press, 1990.
  • Zöller, Günter. Fichte’s Transcendental Philosophy. The Original Duplicity of Intelligence and Will. Cambridge: Cambridge University Press, 1998.

 

Author Information

Colin McQuillan
Email: cmcquillan@utk.edu
University of Tennessee Knoxville
U. S. A.

Ordinary Language Philosophy

Ordinary Language philosophy, sometimes referred to as ‘Oxford’ philosophy, is a kind of ‘linguistic’ philosophy. Linguistic philosophy may be characterized as the view that a focus on language is key to both the content and method proper to the discipline of philosophy as a whole (and so is distinct from the Philosophy of Language). Linguistic philosophy includes both Ordinary Language philosophy and Logical Positivism, developed by the philosophers of the Vienna Circle (for more detail see Analytic Philosophy section 3). These two schools are inextricably linked historically and theoretically, and one of the keys to understanding Ordinary Language philosophy is, indeed, understanding the relationship it bears to Logical Positivism. Although Ordinary Language philosophy and Logical Positivism share the conviction that philosophical problems are ‘linguistic’ problems, and therefore that the method proper to philosophy is ‘linguistic analysis’, they differ vastly as to what such analysis amounts to, and what the aims of carrying it out are.

Ordinary Language philosophy is generally associated with the (later) views of Ludwig Wittgenstein, and with the work done by the philosophers of Oxford University between approximately 1945-1970. The origins of Ordinary Language philosophy reach back, however, much earlier than 1945 to work done at Cambridge University, usually marked as beginning in 1929 with the return of Wittgenstein, after some time away, to the Cambridge faculty. It is often noted that G. E. Moore was a great influence on the early development of Ordinary Language philosophy (though not an Ordinary Language philosopher himself), insofar as he initiated a focus on and interest in ‘commonsense’ views about reality. Major figures of Ordinary Language philosophy include (in the early phases) John Wisdom, Norman Malcolm, Alice Ambrose, Morris Lazerowitz, and (in the later phase) Gilbert Ryle, J. L. Austin and P. F. Strawson, among others. However, it is important to note that the Ordinary Language philosophical view was not developed as a unified theory, nor was it an organized program, as such. Indeed, the figures we now know as ‘Ordinary Language’ philosophers did not refer to themselves as such – it was originally a term of derision, used by its detractors. Ordinary Language philosophy is (besides an historical movement) foremost a methodology – one which is committed to the close and careful study of the uses of the expressions of language, especially the philosophically problematic ones. A commitment to this methodology as that which is proper to, and most fruitful for, the discipline of philosophy, is what unifies an assortment of otherwise diverse and independent views.

Table of Contents

  1. Introduction
  2. Cambridge
    1. Analysis and Formal Logic
    2. Logical Atomism
    3. Logical Positivism and Ideal Language
    4. Ordinary Language versus Ideal Language
  3. Ordinary Language Philosophy: Nothing is Hidden
    1. The Misuses of Language
    2. Philosophical Disputes and Linguistic Disputes
    3. Ordinary Language is Correct Language
    4. The Paradigm Case Argument
    5. A Use-Theory of Linguistic Meaning
  4. Oxford
    1. Ryle
    2. Austin
    3. Strawson
  5. The Demise of Ordinary Language Philosophy: Grice
  6. Contemporary Views
  7. References and Further Reading
    1. Analysis and Formal Logic
    2. Logical Atomism
    3. Logical Positivism and Ideal Language
    4. Early Ordinary Language Philosophy
    5. The Paradigm Case Argument
    6. Oxford Ordinary Language Philosophy
    7. Criticism of Ordinary Language Philosophy
    8. Contemporary views
    9. Historical and Other Commentaries

1. Introduction

For Ordinary Language philosophy, at issue is the use of the expressions of language, not expressions in and of themselves. So, at issue is not, for example, ordinary versus (say) technical words; nor is it a distinction based on the language used in various areas of discourse, for example academic, technical, scientific, or lay, slang or street discourses – ordinary uses of language occur in all discourses. It is sometimes the case that an expression has distinct uses within distinct discourses, for example, the expression ‘empty space’. This may have both a lay and a scientific use, and both uses may count as ordinary; as long as it is quite clear which discourse is in play, and thus which of the distinct uses of the expression is in play. Though connected, the difference in use of the expression in different discourses signals a difference in the sense with which it is used, on the Ordinary Language view. One use, say the use in physics, in which it refers to a vacuum, is distinct from its lay use, in which it refers rather more flexibly to, say, a room with no objects in it, or an expanse of land with no buildings or trees. However, on this view, one sense of the expression, though more precise than the other, would not do as a replacement of the other term; for the lay use of the term is perfectly adequate for the uses it is put to, and the meaning of the term in physics would not allow speakers to express what they mean in these other contexts.

Thus, the way to understand what is meant by the ‘ordinary use of language’ is to hold it in contrast, not with ‘technical’ use, but with ‘non-standard’ or ‘non-ordinary’ use, or uses that are not in accord with an expression’s ‘ordinary meaning’. Non-ordinary uses of language are thought to be behind much philosophical theorizing, according to Ordinary Language philosophy: particularly where a theory results in a view that conflicts with what might be ordinarily said of some situation. Such ‘philosophical’ uses of language, on this view, create the very philosophical problems they are employed to solve. This is often because, on the Ordinary Language view, they are not acknowledged as non-ordinary uses, and attempt to be passed-off as simply more precise (or ‘truer’) versions of the ordinary use of some expression – thus suggesting that the ordinary use of some expression is deficient in some way. But according to the Ordinary Language position, non-ordinary uses of expressions simply introduce new uses of expressions. Should criteria for their use be provided, according to the Ordinary Language philosopher, there is no reason to rule them out.

Methodologically, ‘attending to the ordinary uses of language’ is held in general to be in opposition to the philosophical project, begun by the Logical Atomists (for more detail on this movement, see below, and the article on Analytic Philosophy, section 2d.) and taken up and developed most enthusiastically by the Logical Positivists, of constructing an ‘ideal’ language. An ideal language is supposed to represent reality more precisely and perspicuously than ordinary language. Ordinary Language philosophy emerged in reaction against certain views surrounding this notion of an ideal language. The ‘Ideal Language’ doctrine (which reached maturity in Logical Positivism) sees ‘ordinary’ language as obstructing a clear view on reality – it is thought to be opaque, vague and misleading, and thus stands in need of reform (at least insofar as it is to deliver philosophical truth).

Contrary to this view, according to Ordinary Language philosophy, it is the attempt to construct an ideal language that leads to philosophical problems, since it involves the non-ordinary uses of language. The key view to be found in the metaphilosophy of the Ordinary Language philosophers is that ordinary language is perfectly well suited to its purposes, and stands in no need of reform – though it can always be supplemented, and is also in a constant state of evolution. On this line of thought, the observation of and attention to the ordinary uses of language will ‘dissolve’ (rather than ‘solve’) philosophical problems – that is, will show them to have not been genuine problems in the first place, but ‘misuses’ of language.

On the positive side, the analysis of the ordinary uses of language may actually lead to philosophical knowledge, according to at least some versions of the view. But, the caveat is, the knowledge proper to philosophy is knowledge (or, rather, improved understanding) of the meanings of the expressions we use (and thus, what we are prepared to count as being described by them), or knowledge of the ‘conceptual’ structures our use of language reflects (our ‘ways of thinking about and experiencing things’). Wittgenstein himself would have argued that this ‘knowledge’ is nothing new, that it was available to all of us all along – all we had to do was notice it through paying proper attention to language use. Later Ordinary Language philosophers such as Strawson, however, argued that this did count as new knowledge – for it made possible new understanding of our experience of reality. Hence, on this take, philosophy does not merely have a negative outcome (the ‘dissolution’ of philosophical problems), and Ordinary Language philosophy need not be understood as quietist or even nihilist as has been sometimes charged. It does, however, turn out to be a somewhat different project to that which it is traditionally conceived to be.

2. Cambridge

The genesis of Ordinary Language philosophy occurred in the work of Wittgenstein after his 1929 return to Cambridge. This period, roughly up to around 1945, represents the early period of Ordinary Language philosophy that we may characterize as ‘Wittgensteinian’. We shall examine these roots first, before turning to its later development at Oxford (which we will continue to call ‘Oxford’ philosophy for convenience) – development that saw significant evolution and variation in the view.

The Cambridge period may be characterized as ‘Wittgensteinian’ because the Ordinary Language philosophers of the time were close followers of Wittgenstein. Many were his pupils at Cambridge, or associates of those pupils who later traveled to other parts of the world transmitting Wittgenstein’s thought, including Ambrose, Lazerowitz, Malcolm, Gasking, Paul, Von Wright, Black, Findlay, Bouwsma and Anscombe to name a few. (See P. M. S. Hacker (1996) for a more detailed historical account, and biographical details, of the Cambridge and Oxford associates of Wittgenstein.) They cleaved closely to the views they believed they found in Wittgenstein’s work, much of which was distributed about Cambridge, and eventually Oxford, as manuscripts or lecture notes that were not published until some time later (for example The Blue and Brown Books (1958) and the seminal Philosophical Investigations (1953)).

These ‘Wittgensteinians’ developed and propounded certain ideas and views, and indeed arguments and theories that Wittgenstein himself may not have approved (nor did Wittgenstein himself ever accept any label for his work, let alone ‘Ordinary Language’ philosophy). The Wittgensteinians saw themselves as developing and extending Wittgenstein’s views, despite the fact that the key principle in Wittgenstein’s work (both earlier and later) was that philosophical ‘theses’, as such, cannot be stated. Wittgenstein steadfastly denied that his work amounted to a philosophical theory because, according to him, philosophy cannot ‘explain’ anything; it may only ‘describe’ what is anyway the case (Philosophical Investigations, section 126-128). The Wittgensteinians developed more explicit arguments that tried to explain and justify the method of appeal to ordinary language than did Wittgenstein. Nevertheless, it is possible to understand what they were doing as remaining faithful to the Wittgensteinian tenet that one cannot propound philosophical theses insofar as claims about meaning are not in themselves theses about meaning. Indeed, the view was that the appeal to the ordinary uses of language is an act of reminding us of how some term or expression is used anyway – to show its meaning rather than explain it.

The first stirrings of the Ordinary Language views emerged as a reaction against the prevailing Logical Atomist, and later, Logical Positivist views that had been initially (ironically) developed by Wittgenstein himself, and published in his Tractatus Logico-Philosophicus in 1921. In order to understand this reaction, we must take a brief look at the development of Ideal Language philosophy, which formed the background against which Ordinary Language philosophy arose.

a. Analysis and Formal Logic

Around the turn of the 20th century, in the earliest days of the development of Analytic philosophy, Russell and Moore (in particular) developed the methods of ‘analysis’ of problematic notions. These methods involved, roughly, ‘re-writing’ a philosophically problematic term or expression so as to render it ‘clearer’, or less problematic, in some sense. This itself involved a focus on language – or on the ‘proposition’ – as part of the methodology of philosophy, which was quite new at the time.

This new spirit of precision and rigor paid particular attention to Gottlob Frege’s groundbreaking work in formal logic (1879), which initiated the development of the truth-functional view of language. A logical system is truth-functional if all its sentential operators (words such as ‘and’, ‘or’, ‘not’ and ‘if…then’) are functions that take truth-values as arguments and yield truth-values as their output. The conception of a truth-functional language is deeply connected with that of the truth-conditional conception of meaning for natural language. On this view, the truth-condition of a sentence is its meaning – it is that in virtue of which an expression has a meaning – and the meaning of a compound sentence is determined by the meanings of its constituent parts, that is the words that compose it. This is known as the principle of compositionality (see Davidson’s Philosophy of Language, section 1a, i).

Although formal symbolic logic was developed initially in order to analyze and explore the structure of arguments, in particular the structure of ‘validity’, its success soon led many to see applications for it within the realm of natural language. Specifically, the thought began to emerge that the logic that was being captured in ever more sophisticated systems of symbolic logic was the structure that is either actually hidden beneath natural, ordinary language, or it is the structure which, if not present in ordinary language, ought to be. What emerges in connection with the development of the truth-functional and truth-conditional view of language is the idea that the surface form of propositions may not represent their ‘true’ (or truth-functional) logical form. Indeed, Russell’s ‘On Denoting’ in 1905, which proposed a thesis called the Theory of Descriptions, argues just that: that underlying the surface grammar of ordinary expressions was a distinct logical form. His method of the ‘logical analysis of language’, based on the attempt to ‘analyze’ (or ‘re-write’) the propositions of ordinary language into the propositions of an ideal language, became known as the ‘paradigm of philosophy’ (as described by Ramsey in his 1931, pp. 321).

Both Russell and Frege recognized that natural language did not always, on the surface at any rate, behave like symbolic logic. Its elementary propositions, for example, were not always determinately true or false; some were not truth-functional, or compositional, at all (such as those in ‘opaque contexts’ like “Mary believes she has a little lamb”) and so on. In ‘On Denoting’ Russell proposed that despite misleading surface appearances, many (ideally, all) of the propositions of ordinary language could nevertheless be rewritten as transparently truth-functional propositions (that is, those that can be the arguments of truth-functions, and whose values are determinately either true or false, as given by their truth-conditions). That is, he argued, they could be ‘analyzed’ in such a way as to reveal the true logical form of the proposition, which may be obscured beneath the surface grammatical form of the proposition.

The proposition famously treated to Russell’s logical analysis in ‘On Denoting’ is the following: “The present King of France is bald.” We do not know how to treat this proposition truth-functionally if there is no present King of France – it does not have a clear truth-value in this case. But all propositions that can be the arguments of truth-functions must be determinately either true or false. The surface grammar of the proposition appears to claim of some object X, that it is bald. Therefore, it would appear that the proposition is true or false depending on whether X is bald or not bald. But there is no X. Russell’s achievement lies in his analysis of this proposition in (roughly and non-symbolically) the following way, which rendered it truth-functional (such that the truth-value of the whole is a function of the truth-values of the parts) after all: instead of “The present King of France is bald,” we read (or analyze the proposition as) “There is one, and only one, object X such that X is the present King of France (and) X is bald.” Now the proposition is comprised of elementary propositions governed by an existential quantifier (plus a ‘connective’– the word ‘and’), which can now be treated perfectly truth-functionally, and can return a determinately true or false value. Since the elementary proposition that claims that there is such an X is straightforwardly false, then by the rules of the propositional calculus this renders the entire complex proposition straightforwardly false. This had the result that it was no longer necessary to agonize over whether something that does not exist can be bald or not!

b. Logical Atomism

To the view that logical analysis would reveal a ‘logically perfect’ truth-functional language that lurked beneath ordinary language (but was obscured by it), Russell added that the most elementary constituents of the true logical form of a proposition (‘logical atoms’) correspond with the most elementary constituents of reality. This combination of views constituted his Logical Atomism (for more detail see Analytic Philosophy, section 2d). According to Russell, the simple parts of propositions represent the simple parts of the world. And just as more complex propositions are built up out of simpler ones, so the complex facts and objects in reality are built up out of simpler ones (Russell 1918).

Thus, the notion of the ‘true logical form’ of propositions was not only thought to be useful for working out how arguments functioned, and whether they were valid, but for a wider metaphysical project of representing how the world really is. The essence of Russellian Logical Atomism is that once we analyze language into its true logical form, we can simply read off from it the ultimate ontological structure of reality. The basic assumption at work here, which formed the foundation for the Ideal Language view, is that the essential and fundamental purpose of language is to represent the world. Therefore, the more ‘perfect’, that is ‘ideal’, the language, the more accurately it represents the world. A logically perfect language is, on this line of thought, a literal mirror of metaphysical reality. Russell’s work encouraged the view that language is meaningful in virtue of this underlying representational and truth-functional nature.

The Ideal Language view gave weight to the growing suspicion that ordinary language actually obscured our access to reality, because it obscured true logical form. Perhaps, the thought went, ordinary language does not represent the world as it really is. For example, the notion of a non-existent entity, suggested in the proposition about ‘the present King of France’ was simply one which arose because of the misleading surface structure of ordinary language, which, when properly ‘analyzed’, revealed there was no true ontological commitment to such a paradoxical entity at all.

Wittgenstein, in his Tractatus, took these basic ideas of Logical Atomism to a more sophisticated level, but also provided the materials for the development of the views by the Logical Positivists. An ideal language, according to Wittgenstein, was understood to actually share a structure with metaphysical reality. On this view, between language and reality there was not mere correspondence of elements, but isomorphism of form – reality shares the ‘logical form’ of language, and is pictured in it. Wittgenstein’s version of Atomism became known as the ‘picture theory’ of language, and ultimately became the focus of the view he later rejected. A rather confounding part of Wittgenstein’s argument in the Tractatus is that although this picturing relation between reality and language exists, it cannot itself be represented, and nor therefore spoken of in language. Thus, according to Wittgenstein, the entire Tractatus attempts to say what cannot be said, and is therefore a form of ‘nonsense’ – once its lessons are absorbed, he advised, it must then be rejected, like a ladder to be kicked away once one has stepped up it to one’s destination (1921, section 6.54).

c. Logical Positivism and Ideal Language

The Vienna Circle, where the doctrine of Logical Positivism (or ‘Logical Empiricism’ as it was sometimes called) was developed, included philosophers such as Schlick, Waismann, Neurath, and Carnap, among others. (See Coffa 1991, chapter 13 for an authoritative history of this period in Vienna.) This group was primarily interested in the philosophy of science and epistemology. Unlike the Cambridge analysts, however, who merely thought metaphysics had to be done differently, that is more rigorously, the Logical Positivists thought it should not be done at all. They acquired this rejection of metaphysics from Wittgenstein’s Tractatus.

According to the Tractatus, properly meaningful propositions divided into two kinds only: ‘factual’ propositions which represented, or ‘pictured’, reality and the propositions of logic. The latter, although not meaningless, were nevertheless all tautologous – empty of empirical, factual content. The propositions that fell into neither of these classes – according to Wittgenstein, the propositions of his own Tractatus – were ‘meaningless’ nonsense because, he claimed, they tried to say what could not be said. The Positivists did not accept this part of Wittgenstein’s view however, that is that what defined ‘nonsense’ was trying to say what could not be said. What they did believe was that metaphysical (and other) propositions are nonsense because they cannot be confirmed – there exists no procedure by which they may be verified. For the Positivists, ‘pseudo-propositions’ are those which present themselves as if they were factual propositions, but which are, in fact, not. The proposition, for example, “All atomic propositions correspond to atomic facts” looks like a scientific, factual claim such as “All physical matter is composed of atoms.” But the propositions are not of the same order, according to the Positivists – the former is masquerading as a scientific proposition, but in fact, it is not the sort of proposition that we know how to confirm, or even test. The former has, according to the view, no ‘method of verification’.

Properly ‘empirical’ propositions are those, according to the Positivists, that are ‘about’ the world, they are ‘factual’, have ‘content’ and their truth-values are determined strictly by the way the world is; but most crucially, they can be confirmed or disconfirmed by empirical observation of the world (testing, experimenting, observing via instruments, and so forth). On the other hand, the ‘logical’ propositions, and any that could be reduced to logical propositions for example analytic propositions, were not ‘about’ anything: they determined the form of propositions and structured the body of the properly empirical propositions of science. The so-called ‘Empiricist Theory of Meaning’ is, thus, the view that ‘the meaning of a proposition is its method of verification’, and the so-called ‘Verification Principle’ is the doctrine that if a proposition cannot be empirically verified, and it is not, or is not reducible to, a logical proposition, it is therefore meaningless (see Carnap 1949, pp. 119).

Logical Positivism cemented the Ideal Language view insofar as it accepted all of the elements we have identified; the view that ordinary language is misleading, and that underlying the vagueness and opacity of ordinary language is a precise and perspicuous language that is truth-functional and truth-conditional. From these basic ideas emerged the notion that a meaningful language is meaningful in virtue of having a systematic, and thus formalizable syntactic and semantic structure, which, although it is often obscured in ordinary language, could be revealed with proper philosophical and logical analysis.

It is in opposition to this overall picture that Ordinary Language philosophy arose. Ideal language came to be seen as thoroughly misleading as to the true structure of reality. As Alice Ambrose (1950) noted, ideal language was by this time “…[condemned] as being seriously defective and failing to do what it is intended to do. [This view] gives rise to the idea that [ordinary] language is like a tailored suit that does not fit” (pp. 14-15). Contrary to this notion, according to Ambrose, ordinary language is the very paradigm of meaningfulness. Wittgenstein, for example, said in the Philosophical Investigations that,

On the one hand it is clear that every sentence in our language ‘is in order as it is’. That is to say, we are not striving after an ideal, as if our ordinary vague sentences had not yet got a quite unexceptionable sense, and a perfect language awaited construction by us. – On the other hand it seems clear that where there is sense there must be perfect order. – So there must be perfect order even in the vaguest sentence. (Section 98)

d. Ordinary Language versus Ideal Language

It is notable that, methodologically, Ideal and Ordinary Language philosophy both placed language at the center of philosophy, thus taking the so-called ‘linguistic turn’ (a term coined by Bergmann 1953, pp. 65) – which is to hold the rather more radical position that philosophical problems are (really) linguistic problems.

Certainly both the Ideal and Ordinary Language philosophers argued that philosophical problems arise because of the ‘misuses of language’, and in particular they were united against the metaphysical uses of language. Both complained and objected to what they called ‘pseudo-propositions’. Both saw such ‘misuses’ of language as the source of philosophical problems. But although the Positivists ruled out metaphysical (and many other non-empirically verifiable) uses of language as nonsense on the basis of the Verification Principle, the Ordinary Language philosophers objected to them as concealed non-ordinary uses of language – not to be ruled out, as such, so long as criteria for their use were provided.

The Positivists understood linguistic analysis as the weeding out of nonsense, such that a ‘logic of science’ could emerge (Carnap 1934). A ‘logic of science’ would be based on an ideal language – one which is of a perfectly perspicuous logical form, comprised exhaustively of factual propositions, logical propositions and nothing else. In such a language, philosophical problems would be eliminated because they could not even be formulated. On the other hand, for the Ordinary Language philosophers, the aim was to resolve philosophical confusion, but one could expect to achieve a kind of philosophical enlightenment, or certainly a greater understanding of ourselves and the world, in the process of such resolution: for philosophy is seen as an ongoing practice without an ultimate end-game.

Most strikingly, however, is the difference in the views about linguistic meaning between the Ideal and Ordinary Language philosophers. As we’ve seen, the Ideal language view maintains a truth-functional and representational theory of meaning. The Ordinary Language philosophers held, following Wittgenstein, a use-based theory (or just a ‘use-theory’) of meaning. The exact workings of such a theory have never been fully detailed, but we turn to examine what we can of it below (section 3a). Suffice it to say here that, for the Ordinary Language philosopher, no proposition falls into a class – say ‘empirical’, ‘logical’, ‘necessary’, ‘contingent’ or ‘analytic’ or ‘synthetic’ and so forth in and of itself. That is, it is not, on a use-theory of meaning, the content of a proposition that marks it as belonging to such categories, but the way it is used in the language. (For more on this aspect of a use-theory, see for example Malcolm 1940; 1951.)

3. Ordinary Language Philosophy: Nothing is Hidden

The Ordinary Language philosophers, did not, strictly speaking, ‘reject’ metaphysics (to deny the existence of a metaphysical realm is itself, notice, a metaphysical contention). Rather, they ‘objected’ to metaphysical theorizing for two reasons. Firstly, because they believed it distorted the ordinary use of language, and this distortion was itself a source of philosophical problems. Secondly, they argued that metaphysical theorizing was superfluous to our philosophical needs – metaphysics was, basically, thought to be beside the point. Both objections rested on the view that our ordinary perceptions of the world, and our ordinary use of language to talk about them, are all we need to observe in order to dissipate philosophical perplexity. On this view, metaphysics adds nothing, but poses the danger of distorting what the issues really are. This position rests on Wittgenstein’s insistence that ‘nothing is hidden’.

Wittgenstein’s view was that whatever philosophy does, it simply describes what is open to view to anyone. Philosophy is not, on this approach, a matter of theorizing about ‘how reality really is’ and then confirming such philosophical ‘facts’ – generally, not obvious to everyday experience – through special philosophical techniques, such as analysis. Philosophy is, thus, quite distinct from the empirical sciences – as the Positivists agreed. For Ordinary Language philosophy, however, the distinction did not rest on issues of verification, but on the view that philosophy is a practice rather than an accumulation of knowledge or the discovery of new, special philosophical facts. This runs contrary to the traditional, ‘metaphysical’ view that ‘reality’ is somehow hidden, or underlies the familiar, the everyday reality we experience and must be ‘revealed’ or ‘discovered’ by some special philosophical kind of study or analysis. On the contrary Wittgenstein claimed:

Philosophy simply puts everything before us, and neither explains nor deduces anything.  – Since everything lies open to view there is nothing to explain. (Section 126)

…For nothing is hidden. (Section 435)

Metaphysical theorizing requires that language be used in ways that it is not ordinarily used, according to Wittgenstein, and the task proper to philosophy is to simply remind us what the ordinary uses actually are:

…We must do away with all explanation, and description alone must take its place. And this description gets its light, that is to say its purpose, from the philosophical problems. These are, of course, not empirical problems; they are solved rather by looking into the workings of our language, and that in such a way as to make us recognise these workings; in despite of an urge to misunderstand them. The problems are solved, not by giving new information, but by arranging what we have always known. Philosophy is a battle against the bewitchment of our intelligence by means of language. (Section 109)

What we do is bring words back from their metaphysical to their everyday use. (Section 116)

The idea that philosophical problems could be dissolved by means of the observation of the ordinary uses of language was referred to, mostly derogatively, by its critics as ‘therapeutic positivism’ (see the critical papers by Farrell 1946a and 1946b). It is true that the notion of ‘philosophy as therapy’ is to be found in the texts of Wittgenstein (1953, Section 133) and particularly in Wisdom (1936; 1953). However, the idea of philosophy as therapy was not an idea that was taken too kindly by traditional philosophers. The method was referred to by Russell as “…procurement by theft of what one has failed to gain by honest toil” (quoted in Rorty 1992, pp. 3). This view of philosophy was marked as a kind of ‘quietism’ about the real philosophical problems (a stubborn refusal to address them), and even as a kind of ‘nihilism’ about the prospects of philosophy altogether (once ‘misuses’ of language have been revealed, philosophical problems would disappear). It was only later at Oxford that Ordinary Language philosophy was eventually able to shrug off the association with the view that philosophical perplexity is a ‘disease’ that needed to be ‘cured’.

In the following sections, four important aspects of early Ordinary Language philosophy are examined, along with some of the key objections.

a. The Misuses of Language

In examining the view that metaphysics leads to the distortion of the ordinary uses of language, the question must also be answered as to why this was supposed to be a negative thing – since that is not at all obvious. An account is required of what the Ordinary Language philosophers counted as ‘ordinary’ uses of language, as non-ordinary uses, and why the latter was thought to be the source of philosophical problems, rather than elements of their solution.

The question of what counts as ‘ordinary’ language has been a pivotal point of objection to Ordinary Language philosophy from its earliest days. Some attempts were made by Ryle to get clearer on the matter (see 1953; 1957; 1961). For example, he emphasized, as we noted in the introduction, that it is not words that are of interest, but their uses:

Hume’s question was not about the word ‘cause’; it was about the use of ‘cause’. It was just as much about the use of ‘Ursache’. For the use of ‘cause’ is the same as the use of ‘Ursache’, though ‘cause’ is not the same word as ‘Ursache’. (1953, pp. 28)

He emphasized that the issue was ‘the ordinary use of language’ and not ‘the use of ordinary language’. Malcolm described the notion of the ordinary use of some expression thus:

By an “ordinary expression” I mean an expression which has an ordinary use, i.e. which is ordinarily used to describe a certain sort of situation. By this I do not mean that the expression need be one that is frequently used. It need only be an expression which would be used… To be an ordinary expression it must have a commonly accepted use; it need not be the case that it is ever used. (1942a, pp. 16)

The uses of expressions in question here refer almost entirely to what would ordinarily be said of some situation or state of affairs; what we (language users) would ordinarily call it a case of. So, of interest are the states of affairs that come under philosophical dispute, for example cases which we would ordinarily call cases of, say ‘free-will’, cases of ‘seeing some object’, cases of ‘knowing something for certain’ and so forth. It was Malcolm who, in his 1942a paper, first pointed out that non-ordinary uses of expressions occur in philosophy most particularly when the philosophical thesis propounded ‘goes against ordinary language’ – that is, when what the philosophical thesis proposes to be the case is radically different from what we would ordinarily say about some case (1942a, pp. 8).

To illustrate, take the term ‘knowledge’. According to Malcolm, its use in epistemological skepticism is non-ordinary. If one uttered “I do not know if this is a desk before me,” a hearer may assume that what is meant is that the utterer is unsure about the object before her because, for example the light is bad, or she thinks it might be a dining table instead of a desk or something similar. Something like this would be the, let us say, ordinary use of the term ‘know’. By way of contrast, if the utterer meant, by the expression, ‘I do not know if this is a desk before me, because I do not know the truth of any material-object statement, or I do not know if any independent objects exist outside my mind’ – then, we might say this was a non-ordinary use of the term ‘know’. We have not established that the non-ordinary use is at any disadvantage as yet. However, since if the latter was what one meant when one uttered the original statement, then one would have to explain this use to a hearer (unless the philosophical use was established to be in play at an earlier moment) – that is, one would have to note that “I do not know if this is a desk before me” is being used in a different sense to the other (non-skeptical) one. On this basis, the claim is that the first use is ordinary and the second, non-ordinary. Minimally, the expressions have different uses, and thus different senses, on this argument.

It might be objected that the skeptical use is perfectly ordinary—say, among philosophers at least. However, this does not establish that the skeptical use is the ordinary use, because the skeptical use depends on the prior existence, and general acceptance, of the original use. That is, the skeptical claim about knowledge could not even be formulated if it were not assumed that everyone knew the ordinary meaning of the term ‘know’ – if this were not assumed, there would be no point in denying that we have ‘knowledge’ of material-object propositions. Indeed, Ryle noted his sense of this paradox quite early on:

…if the expressions under consideration [in philosophical arguments] are intelligently used, their employers must always know what they mean and do not need the aid or admonition of philosophers before they can understand what they are saying. And if their hearers understand what they are being told, they too are in no such perplexity that they need to have this meaning philosophically “analysed” or “clarified” for them. And, at least, the philosopher himself must know what the expressions mean, since otherwise, he could not know what it was that he was analysing. (1992, pp. 85)

Often, the ordinary use of some expression must be presupposed in order to formulate the philosophical position in which it is used non-ordinarily.

Nevertheless, challenges to the very idea of ordinary versus non-ordinary uses of language came from other quarters. In particular, a vigorous dispute arose over what the criteria were supposed to be to identify ordinary versus non-ordinary uses of language, and why a philosopher assumes herself to have any authority on this matter. For example, Benson Mates argued, in his ‘On the Verifiability of Statements about Ordinary Language’ (1958, 1964) just what the title suggests: how can any such claims be confirmed? This objection applies more seriously to the later Ordinary Language philosophical work, because that period focused on far more detailed analyses of the uses of expressions, and made rather more sweeping claims about ‘what we say’. Stanley Cavell (1958, 1964) responded to Mates that claims as to the ordinary uses of expressions are not empirically based, but are normative claims (that is, they are not, in general, claims about what people do say, but what they can say, or ought to say, within the bounds of the meaning of the expression in question). Cavell also argued that the philosopher, as a member of a linguistic community, was at least as qualified as any other member of that community to make claims about what is, or can be, ordinarily said and meant; although it is always possible that any member of the linguistic community may be wrong in such a claim. The debate has continued, however, with similar objections (to Mates’) raised by Fodor and Katz (1963, 1971), to which Henson (1965) has responded.

The reason this objection applies less-so to the early Ordinary Language philosophers is that, for the Wittgensteinians, claims as to what is ‘ordinarily said’ applied in much more general ways. It applied, for example, to ‘what would ordinarily be said of, for example, a situation’ – for example, as we noted, cases of what we ordinarily call ‘seeing x’, or ‘doing x of her own free-will’, or ‘knowing “x” for certain’ and so forth (these kinds of cases were later argued to be paradigm cases – see below, section 3d, for a discussion of this important argument within early Ordinary Language philosophy). The Wittgensteinians were originally making their points against the kind of skeptical metaphysical views which had currency in their own time; the kinds of theories which suggested such things as ‘we do not know the truth of any material-thing statements’, ‘we are acquainted, in perception, only with sense-data and not external, independent objects’, ‘no sensory experience can be known for certain’ and so on. In such cases there is no question that the ordinary thing to say is, for example “I am certain this is a desk before me,” and “I see the fire-engine” and “It is true that I know that this is a desk” and so forth. In fact, in such disputes it was generally agreed that there was a certain ordinary way of describing such and such a situation. This would be how a situation is identified, so that the metaphysician or skeptical philosopher could proceed to suggest that this way of describing things is false.

The objection that was directed equally at the Wittgensteinians and the Oxford Ordinary Language philosophers was in regard to what was claimed to count as ‘misuses’ of expressions, particularly philosophical ‘misuses’. In particular, it was objected that presumably such uses must be banned according to Ordinary Language philosophy (for example Rollins 1951). Sometimes, it was argued, the non-ordinary use of some expression is philosophically necessary since sometimes technical or more precise terms are needed.

In fact, it was never argued by the Ordinary Language philosophers that any term or use of an expression should be prohibited. The objection is not born out by the actual texts. It was not argued that non-ordinary uses of language in and of themselves were a cause of philosophical problems; the problem lay in, mostly implicitly, attempting to pass them off as ordinary uses. The non-ordinary use of some term or expression is not, merely, a more ‘technical’ or more ‘precise’ use of the term – it is to introduce, or even assume, a quite different meaning for the term. In this sense, a philosophical theory that uses some term or expression non-ordinarily is talking about something entirely different to whatever the term or expression talks about in its ordinary use. Malcolm, for example, argues that the problem with philosophical uses of language is that they are often introduced into discussion without being duly noted as non-ordinary uses. Take, for example, the metaphysical claim that the content of assertions about experiences of an independent realm of material objects can never be certain. The argument (see Malcolm 1942b) is that this is an implicit suggestion that we stop applying the term ‘certain’ to empirical propositions, and reserve it for the propositions of logic or mathematics (which can be exhaustively proven to be true). It is a covert suggestion about how to reform the use of the term ‘certain’. But the suggested use is a ‘misuse’ of language, on the Ordinary Language view (that is, applying the term ‘certain’ only to mathematical or logical propositions). Moreover, the argument presents itself as an argument about the facts concerning the phenomenon of certainty, thus failing to ‘own up’ to being a suggestion about the use of the term ‘certain’ – leaving the assumption that it uses the term according to its ordinary meaning misleadingly in place. The issue, according to Ordinary Language philosophy, is that the two uses of ‘certain’ are distinct and the philosopher’s sense cannot replace the ordinary sense – though it can be introduced independently and with its own criteria, if that can be provided. Malcolm says, for example:

…if it gives the philosopher pleasure always to substitute the expression “I see some sense-data of my wife” for the expression “I see my wife,” etc.and so forth, then he is at liberty thus to express himself, provided he warns people beforehand, so that they will understand him. (1942a, pp. 15)

In an argument Malcolm elsewhere (1951) deals with, he suggests that it is not a ‘correct’ use of language to say, “I feel hot, but I am not certain of it.” But this is not to suggest that the expression must be banned from philosophical theorizing, nor that it is not possible that it might, at some point, become a perfectly correct use of language. What is crucial is that, for any use newly introduced to a language, how that expression is to be used must be explained, that is, criteria for its use must be provided. He says:

We have never learned a usage for a sentence of the sort “I thought that I felt hot but it turned out that I was mistaken.” In such matters we do not call anything “turning out that I was mistaken.” If someone were to insist that it is quite possible that I were mistaken when I say that I feel hot, then I should say to him: Give me a use for those words! I am perfectly willing to utter them, provided that you tell me under what conditions I should say that I was or was not mistaken.  Those words are of no use to me at present. I do not know what to do with them…There is nothing we call “finding out whether I feel hot.” This we could term either a fact of logic or a fact of language. (1951, pp. 332)

Malcolm went so far as to suggest the laws of logic may well, one day, be different to what we accept now (1940, pp. 198), and that we may well reject some necessary statements, should we find a use for their negation, or for treating them as contingent (1940, pp. 201ff). Thus, the objection that, according to Ordinary Language philosophy, non-ordinary uses, or new, revised or technical uses of expressions are to be prohibited from philosophy is generally unfounded – though it is an interpretation of Ordinary Language philosophy that survives into the present day.

b. Philosophical Disputes and Linguistic Disputes

There was no lack of voluble objection to the claim that philosophical disputes are ‘really linguistic’ (or sometimes ‘really verbal’). Therefore, it is essential to understand the Ordinary Language philosophers’ reasons for holding it to be true (although the later Oxford philosophers were generally less committed to it in quite such a rigid form). One of the most explicit formulations of this view is, once again, to be found in Malcolm’s 1942a paper. Its rough outline is this: in certain philosophical disputes the empirical facts of the matter are not at issue – that is to say, the dispute is not based on any lack of access to the empirical facts, the kinds of fact we can, roughly, ‘observe’. If the dispute is not about the empirical facts according to Malcolm, then the only other thing that could be at issue is how some phenomenon is to be described – and that is a ‘linguistic’ issue. This is particularly true of metaphysical disputes, according to Malcolm, who presents as examples the following list of ‘metaphysical’ propositions’ (1942a, pp. 6):

1. There are no material things

2. Time is unreal

3. Space is unreal

4. No-one ever perceives a material thing

5. No material thing exists unperceived

6. All that one ever sees when he looks at a thing is part of his own brain

7. There are no other minds – my sensations are the only sensations that exist

8. We do not know for certain that there are any other minds

9. We do not know for certain that the world was not created five minutes ago

10. We do not know for certain the truth of any statement about material things

11. All empirical statements are hypotheses

12. A priori statements are rules of grammar

According to Malcolm, affirming or denying the truth of any one of these propositions is not affirming or denying a matter of fact, but rather, Malcolm claims, “…it is a dispute over what language shall be used to describe those facts” (1942a, pp. 9). On what basis does he make this claim? The obvious objection on behalf of the metaphysician is that she certainly is talking about ‘the facts’ here, namely the metaphysical facts, and not about language at all.

Malcolm argues thus: he imagines a dispute between Russell and Moore, as illustrated by the propositions noted above. He takes as an example Russell’s assertion that “All that one ever sees when one looks at a thing is part of one’s own brain”. This is the sort of proposition that would follow from the philosophical thesis that all we are acquainted with in perception is sense-data, and that we do not perceive independent, external objects directly (See Russell 1927, pp. 383 – see also Sense-Data). Malcolm casts Moore (unauthorized by Moore it should be noted) as replying to Russell: “This desk which both of us now see is most certainly not part of my brain, and, in fact, I have never seen a part of my own brain” (Malcolm 1942a, pp. 7). We are asked to notice that there is no disagreement, in Russell and Moore’s opposing propositions, about the empirical facts of the matter. The dispute is not that one of either Russell or Moore cannot see the desk properly, or is hallucinating, in disagreeing whether what is before them is, or is not, a desk. That is, Russell and Moore agree that the phenomenon they are talking about is the one that is ordinarily described by saying (for example) “I see before me a desk.”

Malcolm asserts that “Both the philosophical statement, and Moore’s reply to it are disguised linguistic statements” (1942a, pp. 13 – my italics). Malcolm’s claim that this kind of dispute is not ‘empirical’ has less to do with a Positivistically construed notion of ‘verifiability’, and more to do with the contrast such a dispute has with a kind of dispute that really is empirical, or ‘factual’ – in the ordinary sense, where getting a closer look, say, at something would resolve the issue. The argument that the dispute is ‘really linguistic’ rests on Malcolm’s claim that when a philosophical thesis denies the applicability of some ordinary use of language, it is not merely suggesting that, occasionally, when we make certain claims, what we say is false. According to Malcolm, when a philosophical thesis suggests (implicitly), for example, that we should withhold the term ‘certain’ from non-analytic (mathematical or logical) statements, the suggestion is not that it is merely false to say one is certain about a synthetic (material-thing) statement – but that it is logically impossible. Malcolm tries to support his contention by drawing attention to the features apparent in the sort of dispute that is really about ‘the facts’, and one that he regards as, rather, really linguistic:

In ordinary life everyone of us has known of particular cases in which a person has said that he knew for certain that some material-thing statement was true, but that it has turned out that he was mistaken. Someone may have said, for example, that he knew for certain by the smell that it was carrots that were cooking on the stove. But you had just previously lifted the cover and seen that it was turnips, not carrots. You are able to say, on empirical grounds, that in this particular case when the person said that he knew for certain that a material-thing statement was true, he was mistaken…It is an empirical fact that sometimes when people use statements of the form: “I know for certain that p”, where p is a material-thing statement, what they say is false. But when the philosopher asserts that we never know for certain any material-thing statements, he is not asserting this empirical fact…he is asserting that always…when any person says a thing of that sort his statement will be false. (1942a, pp. 11)

So, Malcolm proposes that, since their dispute is not empirical, or contingent, we ought to understand Russell as saying that “…it is really a more correct way of speaking to say that you see part of your brain than to say that you see [for example] a desk” and we have Moore saying that, on the contrary, “It is correct language to say that what we are doing now is seeing [a desk], and it is not correct language to say that what we are doing now is seeing parts of our brains” (1942a, pp. 9).

The obvious objection here is to the claim that the dispute is linguistic rather than about the phenomenon of, for example perception itself. For example, C. A. Campbell (1944) remarks that:

…it seems perfectly clear that what [these] arguments [such as the one’s mentioned by Malcolm] [are] concerned with is the proper understanding of the facts of the situation, and not with any problem of linguistics: and that there is a disagreement about language with the plain man only because there is a disagreement about the correct reading of the facts…The philosopher objects to such [ordinary] statements   only in the context of philosophical discourse where it is vital that our words should accurately describe the facts. (pp. 15)

This objection is further echoed in Morris Weitz (1947), responding to Malcolm’s Ordinary Language treatment of the propositions of epistemic skepticism, such as “no-material thing statement is known for certain”:

The first thing that needs to be pointed out is that philosophers who recommend the abolition of the prefix ‘it is certain that’ as applied to empirical statements do not suggest that the language of common sense is mistaken.  What they mean to say to common sense is that its language is alright provided that its interpretation of the facts is all right. But the interpretation is not all right; therefore, the articulation of the interpretation is mistaken, and needs revision. [Thus]…will we not, and more correctly say, common sense and its language are here in error and….incline a little with Broad to the view that common sense, at least on this issue, ought to go out and hang itself. (pp. 544-545)

A more contemporary version of this objection, which applies to the idea that philosophical disputes are about concepts and thoughts (rather than the ordinary uses of language) may be found in Williamson (2007). He argues that not all philosophy is (the equivalent of) ‘linguistic’, because philosophers may well study objects that have never (as yet) been thought or spoken about at all (‘elusive objects’). He says:

Suppose, just for the sake of argument, that there are no [such] elusive objects. That by itself would still not vindicate a restriction of philosophy to the conceptual, the realm of sense or thought. The practitioners of any discipline have thoughts and communicate them, but they are rarely studying those very thoughts: rather, they are studying what their thoughts are about. Most thoughts are not about thoughts. To make philosophy the study of thought is to insist that philosophers’ thoughts should be about thoughts. It is not obvious why philosophers should accept that restriction. (pp. 17-18)

The general gist of the objection was that philosophy is just as perfectly the study of facts as any other science, except what is under investigation are metaphysical rather than physical facts. There is no reason, on this objection, to understand metaphysical claims as claims about language. The early Ordinary Language philosophers did not formulate a complete response to this charge. Indeed, that the charge is still being raised demonstrates that it still has not been answered to the satisfaction of its critics. Some attempts were made to emphasize, for example, that an inquiry about how some X is to be described ought not be distinguished from an inquiry into the nature of X (for example Austin 1964; Cavell 1958, pp. 91; McDowell 1994, pp. 27) – given that we have no obviously independent way to study such ‘natures’. This appears not to have convinced those who disagree, however.

It was also part of a defence to this objection to appeal to the so-called ‘linguistic doctrine of necessity’. The terminology popular in the day is partly to blame for the general disdain of this view (which was only a ‘doctrine’ as such in the hands of the Positivists), as it sounds as though the claim is that necessary propositions, because they are ‘linguistic’, are not to be understood as being about the world and the way things are in it, but about words, or even about the ways words are used. This of course would have the result that necessary propositions turn out to be contingent propositions about language use, which was correctly recognised to be absurd (as noted in Malcolm 1940, pp. 190-191). This was rather more how the Positivists described the doctrine. For them, the thought in distinguishing ‘linguistic’ from ‘factual’ propositions was that the former are ‘rules of language’, and therefore truth-valueless, or ‘non-cognitive’. But on the Ordinary Language philosophers’ view, necessary propositions are not (disguised) assertions about the uses of words, they are ‘about’ the world just as all propositions are (and so are perfectly ‘cognitive’ bearers of truth-values). On the other hand, what makes them count as necessary, what justifies us in holding them to be so, is not any special metaphysical fact; only the ordinary empirical fact that this is how some of the propositions of language are used. (op.cit. 1940, pp. 192; 1942b) On this view, it is through linguistic practice that we establish the distinction between necessary and contingent propositions. We have met this idea already in some preliminary remarks about a use-theory of meaning (in section 2d above).

However, even on the more amenable use-based interpretation of the linguistic doctrine of necessity, metaphysicians still wish to insist that some necessities are, indeed, metaphysical, and not connected with the uses of propositions at all – for example, that nothing is both red and green all over, that a circle cannot be squared, and so forth. Thus, the objection persists that in philosophy what one is doing is inquiring into facts, that is, the nature of phenomena, the general structure and fundamental ontology of reality, and not at all the meanings of the expressions we use to describe them. Indeed, it seems to be the most prevalent and recurrent complaint against ‘linguistic’ philosophy, and it seems to be an argument in which neither side will be convinced by the other, and thus one that will probably go on indefinitely. At least one question that has not fully entered the debate is why a ‘linguistic’ problem is understood to be so philosophically inferior to a metaphysical one.

c. Ordinary Language is Correct Language

The contention ‘ordinary language is correct language’ forms the rationale, or justification, for the method of the appeal to ordinary language. This is a basic and fundamental tenet on which it is safe to say all Ordinary Language philosophers concur, more or less strongly. However, it has been often misunderstood, and the misunderstanding has unfortunately in part been attributable to the early Ordinary Language philosophers. The misunderstanding lies in conflating the notion of ‘correctness’ with the notion of ‘truth’. It appears that the Ordinary Language philosophers themselves did not always make this distinction clearly enough, nor did they always adhere to it, as we shall see below. We shall examine one formulation of the argument to the conclusion that ‘ordinary language is correct language’, and see that it need not be (as it very often has been) understood as a claim that what is said in the ordinary use of language must thereby be true (or its converse: that whatever is said in using language non-ordinarily must thereby be false).

The latter interpretation of Ordinary Language philosophy was, and is, widespread. For example, Chisholm, in 1951, devoted a paper to rejecting the claim that “Any philosophical statement which violates ordinary language is false” (pp. 175). The converse, that any statement which is in accord with ordinary language is true is a version of what came to be known as the ‘paradigm case argument’, which we shall examine in the following section.

Once again, the classic formulation of the argument to the conclusion that ‘ordinary language is correct’ is to be found in Malcolm’s 1942a paper. His argument is roughly this: not only are metaphysical philosophical disputes not based on any facts, but metaphysical claims are, generally, claims to necessary rather than ordinary, contingent truth (that is, a philosophical thesis does not claim that sometimes we cannot be certain of a material-thing statement, for that is perfectly true and we all know this; rather the philosophical thesis says that it is never the case that such statements are certain). We should note that it is at least debatable whether a metaphysical thesis might be presented as contingent (See article on Modal Illusions). Certainly for the most part, metaphysical theses are presented as necessary truths, as there are separate difficulties in doing otherwise. Malcolm’s argument is that these metaphysical theses, which contradict the ordinary uses of language, have the semantic consequence that the ordinary uses of expressions fail to express anything at all.

No metaphysician would argue for this explicitly. Indeed, most suggest that the ordinary expression they contest, or that is ultimately contested by their thesis, is ‘just wrong’, that is, merely false. The thought is that the folk get certain things wrong all the time and need to be corrected: the empirical sciences are the model here. But the analogy with science is misleading, since science only shows us that certain ways we describe things may turn out to be contingently false. But, if the metaphysically necessary propositions in question turn out to be true, that is, the ones that are inconsistent with ordinary language, the result is not that our ordinary ways of describing certain phenomena or situations turn out to be merely false. Rather, our ordinary uses of language would turn out to express that which is necessarily false – they would express, or try to express, that which is metaphysically impossible.

According to Malcolm, the implication that what is expressed in certain ordinary uses of language is necessarily false, or metaphysically impossible, renders those uses ‘self-contradictory’ (1942a, pp. 11). What he means is this: if it turns out that, say, the proposition “One never perceives a material object” is true, then because it is necessarily true, it is therefore impossible (for us) to perceive a material object. Therefore, material objects are (for us) imperceptible. So, to assert “I perceive a material object” is not merely to state a falsehood (like saying “The earth is flat”), but to state something like “I perceive something that is imperceptible.” If a metaphysical thesis is necessarily true, and it contradicts what would be said ordinarily, then the latter is necessarily false, and to assert a necessarily false proposition is to fail to assert anything at all. Failing to assert anything, in the utterance of an assertion, is to fail to use the language correctly – and this is the implicit upshot of some metaphysical theses.

On the contrary, Malcolm claims, such a misuse of language is impossible, because “The proposition that no ordinary expression is self-contradictory is a tautology” (pp. 16 – my italics). This is not to say that whatever is said using language ordinarily is thereby actually true. Malcolm insists that there are two ways one can ‘go wrong’ in saying something; one way is to be wrong about the facts, the second way is to use language incorrectly. And so he notes that it is perfectly possible to be using language correctly, and yet state something that is plainly false. But, on this view, one cannot be uttering self-contradictions and at the same time be saying something true or false for that matter. The assertion of contradictions, according to this view, has no use for us in our language (so far at least), and therefore they have no meaning (clearly, this is an aspect of the use-theory of meaning at work). On the other hand, according to Malcolm, to have a use just is to have a meaning. Thus, any expression that does have a use cannot also be ‘meaningless’ – or self-contradictory. ‘Correct’ language, therefore, is language that is or would be used, and is therefore meaningful, on this argument. Given the nature of our language, we do not, as a matter of fact, use self-contradictory expressions to describe situations (literally, sincerely and non-metaphorically that is) – although we do say such things as “It is and it is not,” but we do not say of such uses that one is contradicting oneself (see Malcolm 1942a, pp. 16 for more on uttering contradictions). He says:

The reason that no ordinary expression is self-contradictory is that a self-contradictory expression is an expression which would never be used to describe any sort of situation. It does not have a descriptive usage. An ordinary expression is an expression which would be used to describe a certain sort of situation; and since it would be used to describe a certain sort of situation, it does describe that sort of situation. A self-contradictory expression, on the contrary, describes nothing. (1942a, pp. 16)

It is on the basis of this argument that Malcolm claims that Moore, in the imagined dispute with Russell, actually refutes the philosophical propositions in question – merely by pointing out that they do ‘go against ordinary language’ (1942a, pp. 5). It is here that we get some insight into why it was assumed that Ordinary Language philosophy argued that anything said in the non-ordinary use of language must be false (and anything said in ordinary language must be true): Malcolm after all does say that what Moore says refutes the skeptical claims and shows the falsity of the proposition in question.

However, it must be kept in mind that what Malcolm is claiming to be true and false here are the linguistic versions of the dispute: he claims that Moore’s assertion that “It is a correct use of language to say that ‘I am certain this is a desk before me’” is true – he does not argue that Moore has proven there is a desk before him. Moreover, the philosophical proposition Moore has proven to be false is not “No material-thing statement is known for certain,” but the claim that “It is not a correct use of language to say ‘I am certain this is a desk before me’.” What Malcolm has argued, even if he himself did not make this entirely clear (and perhaps even deliberately equivocated on), is that certain claims about what is a correct (ordinary) use of language are true or false. His is not an argument with metaphysical results, and he has not shown, through Moore, that any version of skepticism is false. Indeed, the metaphysical thesis itself is beside the point. If the skeptic insists that, although it may be an incorrect use of language to say “I am not certain that this is a desk before me,” it may nevertheless be true, then the onus is on the skeptic to explain why it is that our ordinary claims to ‘know’ such and such are, therefore, not merely contingently false, but necessarily false. By Malcolm’s lights, this would amount to the skeptic claiming that this particular part of our use of language, that is, that involving some ordinary claims to ‘know’ such and such, is self-contradictory; yet, for Malcolm, as we have seen, this is not possible, because ordinary language is correct language. At any rate, in assessing the Ordinary Language argument, it is clear that the claim that philosophical propositions are incorrect uses of language and the claim that what they express is false ought not be conflated.

Although Malcolm has not refuted the skeptic, he nevertheless has demonstrated that there are some semantic difficulties in formulating the skeptical thesis in the first place – since it requires the non-ordinary use of language. This places additional, hitherto unacknowledged constraints on certain skeptical and metaphysical theses. Either the skeptic/metaphysician must acknowledge the non-ordinary use of the expression in question, or she must argue that we must reform our ordinary use. In the first case, she must then acknowledge that her thesis concerns something other than what we are ordinarily talking about when we use the term in question (for example ‘know’, ‘perceive’, ‘certain’, and so forth). In the second case, she must convince us that our ordinary use of the expression has, hitherto unbeknownst to us, been a misuse of language: we have, up till now, been asserting something that is necessarily false. Someone, in the imagined philosophical dispute, is failing to use language correctly, or failing to express anything in their description of some phenomenon. The dilemma the skeptic faces is that neither of theses two possibilities is a comfortable one for her to explain, although maintaining the truth of her thesis. This dilemma creates a situation for the skeptic that, although not refuting her directly, poses a possibly insurmountable challenge to meaningfully formulating her thesis.

d. The Paradigm Case Argument

The so-called ‘paradigm-case argument’ generated a good deal of debate (for example Watkins 1957; Richman 1961; Flew 1966; Hanfling 1990). It plays a significant role in Ordinary Language philosophy, because it tends to be interpreted as the mistaken view that Ordinary Language philosophy contends that what is said in ordinary language must be true. This is a prime example, as will be shown, of conflating the claim that ordinary language is correct with the claim that what is expressed in the ordinary use of some expression is true.

It was understood that the paradigm-case argument was an argument that shows that there must be (at least some) true instances, in the actual and not merely possible world, of anything that is said (referred to) in ordinary language. For example, Roderick Chisholm (1951) says “There are words in ordinary language, Malcolm believes, whose use implies that they have a denotation. That is to say, from the fact that they are used in ordinary language, we may infer that there is something to which they truly apply” (pp. 180). On this interpretation, certain metaphysical truths, indeed empirical truths, could be proven simply by the fact that we use a certain expression ordinarily. This seems clearly an absurd position to take, and does not, once again, appear to be supported by the texts.

Malcolm invokes what is now known as the paradigm-case argument by reference to one of the outcomes on the assumption that the philosophical claims he is examining are true. If we consider, say, the thesis that “No-one ever knows for certain the truth of any material-thing statement” to be true, then on that theory it turns out that an ordinary expression such as “I am certain there is a chair in this room” is never true, no matter how good our evidence for the claim is – indeed, regardless of the evidence. Malcolm casts the ‘Moorean’ reply to such a view, that “[On the contrary] both of us know for certain there are several chairs in this room, and how absurd it would be to suggest that we do not know it, but only believe it, or that it is highly probable but not really certain!” (1942a, pp. 12) Malcolm says,

What [Moore’s] reply does is give us a paradigm of absolute certainty, just as in the case previously discussed his reply gave us a paradigm of seeing something not a part of one’s brain. What his reply does is to appeal to our language-sense; to make us feel how queer and wrong it would be to say, when we sat in a room seeing and touching chairs, that we believed there were chairs but did not know it for certain, or that it was only highly probable that there were chairs… Moore’s refutation consists simply in pointing out that [the expression “know for certain”] has an application to empirical statements. (1942a, pp. 13)

Here, he says nothing to the effect that Moore has proven that it is true that there are in fact chairs and tables before us, and so forth. All Malcolm has claimed is that Moore has denied, indeed disproven, the suggestion that the term ‘certainty’ has no application to empirical statements. He has disproven that by invoking examples where it is manifestly the case that the term ‘certainty’ has been, and can be, ‘applied’. Nothing, notice, has been said as to whether there really are tables, chairs and cheese before us – unless, that is, we confuse ‘having an application’ with ‘having a reference’ or ‘having a true application’. But it is not necessary to interpret the claims this way. ‘Having an application’ means, as Malcolm argues, having a use in a given situation. Malcolm’s example in the quote above is a ‘paradigm of absolute certainty’, but not, notice, a proof of what it is that one is certain of. It is a ‘paradigm of absolute certainty’ because it is a prime example of the sort of situation, or context in which the term ‘certain’ applies – it is a paradigm of the term’s use: namely, in situations where we have very good (though not infallible) evidence, and no reason to think that our evidence is not of the highest quality. Indeed, on Malcolm’s view, a ‘paradigm case’ is an example of the ordinary use and hence the ordinary meaning of an expression.

The point of appealing to paradigm cases, then, is not to guarantee the truth of ordinary expressions, but to demonstrate that they have a use in the language. Thus, the paradigm-case argument is an effective move against any view that implies that some ordinary expression does not have a use, or application – for example that what we call ‘certain’ (well-evidenced non-mathematical statements) are not ‘really’ certain. That the ordinary use of expressions should be incorrect is, on Malcolm’s argument, as impossible as it would be for the rules of chess to be incorrect (and therefore that what we play is not ‘really’ chess).

e. A Use-Theory of Linguistic Meaning

The ‘use-theory’ of meaning, whose source is Wittgenstein and which was adopted by the Ordinary Language philosophers, objects to the idea that language could be treated like a calculus, or an ‘ideal language’. If language is like a calculus, then its ‘meanings’ could be specified, so that determinate truth-conditions could be paired with every expression of a language in advance of, and independently of, any particular use of a term or expression in a speech-act. Therefore, the observation of our actual uses of expressions in the huge variety of contexts and speech-acts we do and can use them in would be irrelevant to determining the meaning of expressions. On the contrary, for the Ordinary Language Philosopher, linguistic meaning may only be determined by the observation of the various uses of expressions in their actual ordinary uses, and it is not independent of these. Thus, Wittgenstein claimed that:

For a large class of cases – though not for all – in which we employ the word “meaning” it can be defined thus: the meaning of a word is its use in the language. (Section 43)

Does this mean that only sometimes ‘meaning is use’? The remark has been interpreted this way (for example Lycan 1999, pp. 99, fn 2). But it need not be. We need to notice that in the remark, Wittgenstein refers to ‘cases where we employ the word “meaning,”’ and not ‘cases of meaning’. The difference, it might be said, is that sometimes when we use the term ‘meaning’ we are not talking about linguistic meaning. That is, we may talk about for example “The meaning of her phone call,” in which case we are not going to be assisted by looking to the use of the word ‘phone call’ in the language. On the other hand, when we use the word ‘meaning’ as in “The meaning of ‘broiling’ is (such and such),” then looking to the use of the word ‘broiling’ in the language will help. Thus, an interpretation is possible in which the remark does not mean that only sometimes ‘meaning is use’. Rather, we can interpret it as claiming that linguistic meaning is to be found in language use.

At the most fundamental base of a use-theory, language is not representational – although it is sometimes (perhaps even almost always) used to represent. On the view, the ‘meaning’ of a term (or expression) is exhausted by its use: there is nothing further, nothing ‘over and above’, the use of an expression for its meaning to be.

A good many objections have been raised to this theory, which we cannot here examine in full. However, most appear to object to it because it apparently rules out the possibility of a systematic theory of meaning. If meaning-is-use, then the ideal language approach is out of the question, and determining linguistic meaning becomes an ad-hoc process. This thought has displeased many, as they have understood it to entail something of an end to the possibility of a philosophy of language per se. Dummett (1973), for example, has complained that:

…[although] the ‘philosophy of ordinary language’ was indeed a species of linguistic philosophy, [it was] one which was contrary to the spirit of Frege in two fundamental ways, namely in its dogmatic denial of the possibility of system, and in its treatment of natural language as immune from criticism. (pp. 683)

Soames (2003) goes on to echo the same complaint:

Rather than constructing general theories of meaning, philosophers were supposed to attend to subtle aspects of language use, and to show how misuse of certain words leads to philosophical perplexity and confusion. [Such a view] proved to be unstable… What is needed is some sort of systematic theory of what meaning is, and how it interacts with these other factors governing the use of language. (pp. xiv)

It was ultimately the re-introduction of the possibility of a systematic theory of meaning by Grice, later at Oxford (see section 5, below), that finally spelled the end for Ordinary Language philosophy.

4. Oxford

By the 1940s, the views of the later Wittgenstein, and the Wittgensteinians, had penetrated Oxford. There, philosophers took up the ideas of Wittgenstein, but they were much more critical and much more interested in developing their own views. The move now was to apply the principles to be found in Wittgenstein, and to show how they could actually contribute significantly to philosophy – rather than merely make philosophical problems ‘disappear’. ‘Oxford’ philosophy was still ‘linguistic’, but much less dogmatically so, much more flexible in its approach, much less interested in metaphilosophical justification for their views and rather more interested in applying their views to real, current, philosophical problems. The Oxford philosophers no longer treated all philosophical problems as mere ‘pseudo-problems’, nor even all of them as ‘linguistic’. But nevertheless they retained the view that philosophical uses of language can be a source of philosophical confusions and that the observation and study of ordinary language would help to resolve them. What was new, regarding Ordinary Language philosophy, was the rejection of Wittgenstein’s idea that there could be no proper ‘philosophical’ knowledge.

Austin famously remarked:

Certainly ordinary language has no claim to be the last word, if there is such a thing. It embodies, indeed, something better than the metaphysics of the Stone Age, namely… the inherited experience and acumen of many generations of men. But then, that acumen has been concentrated primarily upon the practical business of life. If a distinction works well for practical purposes in ordinary life (no mean feat, for even ordinary life is full of hard cases), it will not mark nothing: yet this is likely enough to be not the best way of arranging things if our interests are more extensive or intellectual than the ordinary… Certainly, then, ordinary language is not the last word: in principle it can everywhere be supplemented and improved upon and superseded. Only remember, it is the first word. (And forget, for once and for a while, that other curious question “Is it true?” May we?) (1956, pp. 185 and fn 2 in parentheses)

a. Ryle

Ryle emerged at Oxford as one of the most important figures in early 20th century analytic philosophy. Ryle, indeed, became a champion of ‘ordinary language’, writing, in his early career, a number of papers dealing with such issues as what counts as ‘ordinary’ language, what are the nature of ‘meanings’, and how the appeal to ordinary ways of describing things can help resolve philosophical problems (including his 1931, 1953, 1957, 1961). In particular, Ryle became famous for his treatment of mental phenomena in his Concept of Mind (1949). The book contains, overall, a ‘behaviorist’ analysis of mental phenomena that draws heavily on Wittgensteinian anti-Cartesianism – or anti-dualism (of ‘mind’ and ‘body’). On this view, the mind is not a kind of ‘gaseous’ but non-spatial, non-physical medium of thoughts, nor is it a kind of ‘theatre’ via which we observe our own experiences and sensations. Our mental life is not, according to Ryle, a private domain to which each individual has exclusive access. Our psychological language expresses our thoughts; it does not describe what is going on in the mind in the same way that physical language describes what is going on in the body, according to Ryle in this period.

The ‘Cartesian Myth’ of the mind – what Ryle calls the “Dogma of the Ghost in the Machine” (1949, pp. 15) – is perpetuated, according to Ryle, because philosophers commit what he calls a ‘category mistake’ in applying the language of the physical world to the psychological world (for example, talking about ‘events’ and ‘causes’ in the mind as we would talk of such things in the body). Contrary to this ‘myth’, according to Ryle, our access to our own thoughts and feelings are not, like our access to those of others, something we observe about ourselves (by looking ‘inward’ as opposed to ‘outward’). We do not observe our thoughts; we think them. What we call ‘beliefs’, ‘thoughts’, ‘knowledge’, ‘feelings’, and so forth are not special kinds of ‘occult’ objects ‘inside’ the mind. As regards ‘other minds’, psychological phenomena are available publicly in certain behaviors (which are not mere ‘signs’ of what is going on internally in others, but partially what constitutes what it is to attribute such things, for example, as ‘believing X’, ‘thinking about Y’, and so forth). Ryle arrives at these views through the analysis of the ordinary uses of psychological expressions, remarking:

I am not, for example, denying that there occur mental processes. Doing long division is a mental process and so is making a joke. But I am saying that the phrase ‘there occur mental processes’ does not mean the same thing as ‘there occur physical processes’, and, therefore it makes no sense to conjoin or disjoin the two. (1949, pp. 22)

The view Ryle promotes is that the expressions we use in attributing psychological states and the expressions we use in attributing physical states have quite distinct uses, and that when we see this aright, we see that it does not make sense to conflate them in claims such as ‘an intention in her mind caused her arm to rise’ (the sort of things one might expect on the ‘Ghost in the Machine’ theory). In everyday life, we know perfectly well, for example, what the criteria are in virtue of which we count a person as, for example, thinking, calculating, having raised an arm intentionally, and so forth. Puzzlement only arises, according to Ryle, when philosophers try to account for mental phenomena according to the ‘logic’ of the category of physical phenomena, for example, talking about the mystery of ‘mental causation’.

By highlighting the ordinary use of mental-phenomena expressions, and the ways in which we ordinarily ascribe them to people (for example, “She is thinking about home,” “I wish I had a cup-cake,” “He is adding up the bill,” and so on), Ryle shows that the philosophical problem of how mental phenomena can interact with physical phenomena is poorly formulated. The manner in which psychological terms are used in such philosophical problems, theories, and so forth, are not the same ways the terms are used in ordinary discourse. Using the terms in this way leads philosophers to conclude either that some form of dualism of mind and body or some form of physicalism is true (see Mental Causation for more on the traditional theories of mind). But observing our ordinary uses of psychological terms shows, Ryle argues, that as we mean them to describe ourselves and one another (and sometimes even when we apply psychological terms to non-people), mental phenomena need not be understood as ‘internal’ events that we observe, nor as reducible, in some sense, to mere brain-states.

b. Austin

Austin, at Oxford, first took up the issue of the so-called ‘sense-data’ theory, originally formulated by Russell (as we saw above). His Sense and Sensibilia (1962) (a pun on Jane Austen’s Sense and Sensibility) is a classic of ordinary language analysis. It contrasts the ordinary uses of the words ‘looks’, ‘seems’, ‘appears’ ‘perceives’, and so forth to the ways they are used in support of the sense-data theory. The argument for sense-data is, partially, based on the view that we are unable to distinguish between veridical experience and illusion. Therefore, the reasoning goes, all we can be sure of is what is common to both experiences, which is the ‘seeming to be such and such’ or sense-data. So, on the view, because it is possible that any experience may be an illusion, the only thing that is certain is the sense-data before the mind. Of this theory Austin says:

My general opinion about this doctrine is that it is a typically scholastic view, attributable…to an obsession with a few particular words, the uses of which are over-simplified, not really understood or carefully studied or correctly described…The fact is, as I shall try to make clear, that our ordinary words are much subtler in their uses, and mark many more distinctions, than philosophers have realized; and that the facts of perception…are much more diverse and complicated than has been allowed for. (1962, pp. 3)

Austin points out, among other things, that, as a matter of fact we do know the difference between a veridical and an illusory experience, and we speak of such experiences differently – the distinction between ‘veridical’ and ‘illusory’ has an established, and ordinary, use in language. For example, a stick placed in a glass of water appears to be bent, but we have criteria for describing the difference between this bent stick and a stick which is bent outside the glass. We say, “the stick looks bent” in the water, but we say, “the stick is bent” of the other. The availability of ways in language to mark the distinction between illusions and veridical experiences demonstrates, according to Austin, that the sense-data argument is invalid – because those terms, which have ordinary uses in language, are misused in the sense-data theory. For example, if the sense-data theory is true, then we are marking nothing in our experience when we distinguish between ‘veridical’ and ‘illusory’ experiences – those expressions have no real meaning (we are failing to express anything in their utterance). The same would follow, if the sense-data theory were correct, that our ordinary uses of cognate terms such as ‘appearing’, ‘looking’, ‘seeming’, and so forth, and also ‘finding out that X was not as it appeared to be’ have no application – since there would be no ‘real’ distinction, for us, between how things appear and how they really are. This conclusion, from which it follows that we should withdraw the terms ‘veridical’ and ‘illusory’ from use in language, is absurd – the distinction is marked in language and therefore exists (for example, between the way things ‘look’ and the way things ‘are’ – though we are not always infallible in our judgments). The question whether or not the distinction corresponds with a metaphysical reality (“But do sticks really exist,” and so forth), is a question about some other distinction – not the distinction we draw, in ordinary use, between ‘appears to be’ and ‘is’. And so, by attending to the ordinary uses of terms such as ‘veridical’ and ‘illusory’ and their cognates, Austin shows that the philosophical use of them in formulating the sense-data thesis is based on a misconstrual of their ordinary meanings.

Austin became a master of the observation of the uses of language. He noted nuanced differences in the ways words very close in meaning are used that many others missed. He showed that, even in its most ordinary uses, language is indeed a much finer, sensitive and precise instrument than had previously been acknowledged. Such observations belie the view that ordinary language is somehow deficient for the purposes of describing reality. Austin demonstrated, through his explorations, the flexibility of language, how subtle variations in meaning were possible, how delicate, sometimes, is the choice of a word for saying what one wants or needs to say. He called his method ‘linguistic phenomenology’ (1956, pp. 182). What his demonstrations of the fineness of grain of meaning, in very concrete and particular examples, showed was that philosophical uses of language take expressions out of their ordinary working environment, that is, everyday communicative discourse. Wittgenstein described this as ‘language going on holiday’ (1953, section 38). Such philosophical uses, Austin showed, treat expressions as rigid, one-dimensional, rather blunt instruments, with far less descriptive power than ordinary language: thus contradicting the view that the philosophical uses of language are more ‘accurate’ and ‘precise’.

Austin is also well known for his original work on what is now known as ‘speech-act’ theory, in his How to Do Things with Words (based on his William James Lectures delivered at Harvard in 1955, published as a monograph in 1962). Key to Austin’s achievement here was his development of the idea that the utterances of sentences in the use of language are not all of the same kind: not all utterances represent some aspect of the world (for example, not all utterances are assertions). Some, perhaps many, utterances involve executing actions. Austin’s example is the making of a promise. To utter “I promise to pay you back” is, on Austin’s analysis, to perform an act, that is to say, the very act of promising is carried out in uttering the sentence, rather than the sentence describing a state of affairs (that is, oneself in the state of promising). Austin developed an extensive taxonomy of the uses of language, establishing firmly the notion that language goes beyond simple representation, and has social and pragmatic dimensions that must be taken into account by any adequate theory of linguistic meaning.

c. Strawson

Strawson, who was a pupil of Grice, developed in his mature work a Kantian thesis aiming to uncover the most fundamental categories of thought. This project, which Strawson called a ‘descriptive metaphysics’, was to investigate what he called our ‘fundamental conceptual structure’. Strawson understood the philosophical project to require more than the appeal to ordinary language. He said,

Up to a point, the reliance upon a close examination of the actual use of words is the best, and indeed the only sure, way in philosophy. But the discriminations we can make, and the connexions we can establish, in this way are not general enough and not far-reaching enough to meet the full metaphysical demand for understanding. For when we ask how we use this or that expression, our answers, however revealing at a certain level, are apt to assume, and not to expose, those general elements of the structure that the metaphysician wants revealed. (1959, pp. 9-10)

The investigation of our conceptual structure had to involve more than the observation of our ordinary uses of language (which only assume that structure), but, nevertheless, the project, via transcendental argument, remained one of description of our ordinary ways of experiencing the world. Strawson’s view, contrary to the Wittgensteinian doctrine that philosophy is no more than descriptive of what is open to view to anyone, was that descriptive metaphysics involved the acquisition of genuinely new philosophical knowledge, and not merely the resolution of philosophical confusion. In this project, however, Strawson did not stray altogether too far from the Ordinary Language philosophical commitments (compare Strawson 1962, pp. 320), and his ‘linguistic’ philosophical credentials remained sound. Nevertheless, he believed that there was a deeper metaphysical reality concerning our conceptual structure that needed uncovering via a ‘descriptive metaphysics’. Strawson influenced the shift in philosophical interest from language to concepts – but the methodology and metaphilosophical rationale remained the same: the view that there is no route to a ‘metaphysical reality’ that is independent of our experience of it. Our experience of reality is, on this view, mediated by our particular conceptual structure, and a careful description of our ordinary experience – through the appeal to ordinary language – will help us to understand the nature of the conceptual structure.

Earlier in his career, Strawson criticized Russell’s revered Theory of Descriptions in his 1950 paper ‘On Referring’. Here Strawson objected that Russell failed to take into account the fact that not all uses of sentences make either true or false statements. If we distinguish ‘sentences’ and ‘statements’, indeed, we shall see that sentences are not always used to make statements. Sentences have many and varied uses, but are not, in and of themselves, true or false; what they are used to say may well be true or false (but there are also other uses than statement-making). Strawson argued that Russell had conflated meaning with, roughly, a truth-condition (or a reference). He said, on the contrary, that,

… the question whether a sentence or expression is significant or not has nothing whatever to do with the question of whether the sentence, uttered on a particular occasion, is, on that occasion, being used to make a true-or-false assertion or not, or of whether the expression is, on that occasion, being used to refer to, or mention, anything at all… the fact that [a sentence] is significant is the same as the fact that it can be correctly used to talk about something and that, in so using it, someone will be making a true or false assertion. (1950, pp. 172-173)

This position presaged a much more contemporary debate between those who hold that the meaning of a sentence remains invariant over contexts of use, and those who hold the contrary (see below, section 6).

In 1956, Strawson and his teacher, H. P. Grice, together published a paper that attacked Quine’s repudiation of the so-called ‘analytic-synthetic’ distinction. The repudiation is based on the idea that because the distinction has a use in the language, certainly in philosophy – but it is a distinction that is also marked outside of philosophy – then it has an inviolable place in language. They say, “…‘analytic’ and ‘synthetic’ have a more or less established [philosophical and ordinary] use; and this seems to suggest that it is absurd, even senseless, to say there is no such distinction” (1956, pp. 43). This is a classic example of the so-called ‘paradigm-case argument’. When Quine denies the analytic-synthetic distinction, it is to suggest that the distinction has no application. But that suggestion is demonstrably false, since we do apply the distinction (or more prosaic cognates of ‘analytic’, for example, ‘synonymous’ or ‘means the same as’, and so forth). Whether or not there is a metaphysical reality to which this distinction corresponds is quite superfluous to the reality that it is a distinction that has a use in the language, and its use alone justifies its being a perfectly meaningful one to make (1956, pp. 143).

5. The Demise of Ordinary Language Philosophy: Grice

It was ultimately Grice who came to introduce, at Oxford, some of the first ideas that marked the significant fall from grace of Ordinary Language philosophy. Other factors combined to contribute to the general demise of Ordinary Language philosophy, in particular the rise in popularity of formal semantics, but also a renewed pursuit of ‘naturalism’ in philosophy, aimed at drawing the discipline nearer, once again, to the sciences. In this climate, aspects of the ‘ideal language’ view emerged as dominant, mostly manifesting in a commitment to a truth-conditional view of meaning in the philosophy of language. Grice had a special place in this story because his work, as well as providing the argument which threw Ordinary Language philosophical principles into doubt, contributed to the development of a field of study that ultimately became the wellspring of those carrying on the legacy of the Ordinary Language philosophers in the 21st century; namely speech-act theory.

Grice’s version of ‘speech-act theory’ (see also section 4c of Philosophy of Language) included an ‘intention-based’ theory of communication. The basic principle of speech-act theory (as Austin, and Grice following him, developed it) is that language is not merely a system of symbols that represent things – the process of communication is a result of interaction between agents, and the pragmatic aspects of communication must be factored into any account of linguistic meaning. As Austin emphasized, language use is, in part, the performance of actions, as well as the representation of the world. In particular, for Grice, part of what matters, for a theory of language, is what the agent intends to communicate. One of the most important concepts introduced by Grice is that of conversational implicature (see the chapter entitled ‘Logic and Conversation’ in his 1989). The notion of conversational implicature suggests that part of what is communicated, in conversation, is communicated pragmatically rather than semantically. For example, take the following sentences:

(a) He took out his key and opened the door.

(b) Jones got married and had children.

(c) (looking in the refrigerator) “There is no beer.”

We might understand (a) to imply that he opened the door with the key he took out. But, the words alone do not strictly say this. Similarly, in (b), we might understand that Jones got married and had children in that order, and such that the two events are connected in the relevant way, and in (c), we generally understand the claim to be about the lack of beer in the fridge, not in the universe. In all of these examples, according to Grice, information is communicated, not by the semantics of the sentences alone, but by the pragmatic process he calls conversational implicature. (For more detail on Grice’s taxonomy of pragmatic processes, and also his views about the ‘maxims of conversation’, see Grice 1989.)

Pragmatic aspects of communication, according to Grice, must be distinguished from the strictly semantic aspects, and thus, according to him, meaning must not be confused with use. But this, on his view, is precisely what the Ordinary Language philosophers do, insofar as their ‘appeal to ordinary language’ is based on the view that meaning is determined by use (see the chapter entitled ‘Prolegomena’ in his 1989). Indeed, Grice here launches a detailed attack on many of the ‘ordinary language’ analyses put forward by, among others, Wittgenstein, Ryle, Austin, Malcolm and Strawson. In each case, Grice argues that where the Ordinary Language philosopher appeals to the use of the expression, especially in order to throw doubt on some other philosophical theory, what occurs is the failure to distinguish meaning (that is, ‘semantic content’ or ‘truth-conditions’) and use (that is, pragmatic aspects of communication such as implicature). Therefore, the argument that philosophical non-ordinary uses of expressions are a problem for metaphysical theses is itself at fault. (It should be noted that, this view notwithstanding, Grice remained more or less in agreement with the general view that ‘ordinary language is correct’ – compare Grice, the chapter entitled ‘Postwar Oxford Philosophy’ in his 1989.)

The general criticism, from Grice, is that the arguments of the Ordinary Language philosophers cannot be run on the basic semantics of expressions – they can apply only to the uses particular expressions are put to in specific examples. This complaint touches on the actual claims Ordinary Language philosophers have made about the use and meaning of certain expressions – in particular, claims as to when it would or would not ‘make sense’ to say “X,” or to use “X” in a certain way. To recall an example we are now familiar with – the term ‘know’ – Grice argued that, for example, when Malcolm contended that the skeptical use of ‘know’ is a misuse of that term, that this claim shows nothing relevant about the meaning of the term or the expressions in which it features. The oddness, for example, of applying the term ‘know’ in certain ways, for example, in “I feel pain, but I do not know for sure” is generated by the pragmatic features of that particular use, and is independent of the strictly semantic features.

Grice’s argument about distinguishing meaning and use appeals to the notion of the existence of an independent semantics of a language – that is, the idea that the expressions of a language have meanings which are both independent of, and invariant over, the wide variety of uses those expressions might figure in. Thus, on this view, a ‘philosophical’ and an ‘ordinary’ use of some expression do not differ in meaning – contrary to the claim of Ordinary Language philosophy. Thus, for example, an expression has an invariant semantic content even though, in its use, it may have a variety of conversational implicatures. However, the latter, on this view, are not part of the ‘meaning’ proper. Thus, observations about variations in the use of some expression will tell us nothing about its meaning.

The upshot of this argument is that the so-called ‘paradoxical’ statements attributed to classical metaphysical philosophy by the Ordinary Language philosophers may not be so paradoxical after all. Moreover, and perhaps more significantly, what this view made possible once again was the pursuit of a systematic theory of language. Use-theories could not, on the received view, be ‘systematic’ in the way required (broadly: computational). Indeed, Grice remarked, “My primary aim is… to determine how any such distinction between meaning and use is to be drawn, and where lie the limits of its philosophical utility. Any serious attempt to achieve this aim will, I think, involve a search for a systematic theory of language…” (1989, pp. 4).

The view that there ought to be possible a ‘systematic’ theory of language gained considerable ground on the passport given it by Grice. That is, if the distinction between meaning and use is correct, then a good deal of the linguistic phenomena pointed out by the Ordinary Language philosophers, and which was supposed to have ramifications for the meaning, and therefore correct use, of expressions can now be fully accounted for by a variety of ‘pragmatic’ aspects of communication. Therefore, the core, classical semantic theory for a language could continue to be pursued more or less independently of issues connected with language use; and pragmatics can generally be called upon to account for any linguistic phenomena that semantics cannot.

Of course, this argument depends on the ability of the Gricean to sufficiently identify something like the ‘literal meaning’ of a sentence (that which is to be designated the ‘semantic’ rather than the ‘pragmatic’ content of a speech-act); and in which it may occur independently of any particular conversational implicatures it is used to convey, on an occasion of use. Isolating such a literal, invariant meaning has, however, proven difficult. For example, Charles Travis (1996; 1999) has pointed out, a variety of ways that a sentence may be used quite literally, non-metaphorically, seriously and sincerely – and yet still express two distinct propositions, that is, have two distinct truth-conditions and thus fail to have an invariant semantic content. A classic ‘Travis-style’ example is a sentence such as “Pass me the red book.” Such a sentence could be used, quite literally, non-metaphorically, and so forth, to request someone to pass the book that has a red cover, and it can be used to request someone to pass the book which has only a red spine. What counts as ‘red’ in these cases is different: that is, a thing can be completely, or only partially, red to count in certain contexts. This difference in what is expressed cannot be classified as conversational implicature, so both propositions are properly semantically expressed. But Grice’s distinction is supposed to show how to isolate one semantic content, or proposition, or truth-condition per sentence. Hence the Gricean has a problem in accounting for a semantic-pragmatic distinction in the content of speech-acts – a distinction that is required for the argument against Ordinary Language philosophy to work

6. Contemporary Views

The remainder of the 20th century saw the rise of the general ‘ideal language’ approach, including a commitment to versions of truth-conditional theories of meaning, to a position of dominance. However, in recent years (the early 21st century), there has been something of a renaissance of the ideas originating in Ordinary Language philosophy. François Recanati (2004) remarked that,

Despite [that] early antagonism… semantics (the formal study of meaning and truth-conditions) and pragmatics (the study of language in use) are now conceived of as complementary disciplines, shedding light on different aspects of language… Instructed by Grice they systematically draw a distinction between what a given expression means, and what its use means or conveys in a particular context (or even in general). (pp. 2-3)

However, this appearance of co-operative reconciliation – that at least some kind of semantics-pragmatics interaction will provide a complete theory of language – is to a certain extent merely a façade of orthodoxy, which obscures somewhat more radical underlying views. A spectrum of positions now runs between radical extremes of how much of what we want to call ‘meaning’ is determined by semantics, and how much by pragmatics. The argument can roughly be described as a difference as to the degree of independence (from pragmatics) that we can ascribe to linguistic meaning. Some are of the view that at least a core of semantic content remains untouched by pragmatic effects. Others hold that all semantic content is ‘pragmatically saturated’. These positions carry on the legacies of Ideal and Ordinary Language philosophies respectively – now known as variations on ‘Literalism’ and ‘Contextualism’. (See Recanati 2004 for a clarifying description of the various views that now compose the debate.) The former position has also pitched itself as a semantic ‘minimalism’ or ‘invariantism’ (compare Cappelen and Lepore 2005; Borg 2004). Contextualism, the view that has its origins in Ordinary Language philosophy, has support from, for example, Recanati (2004) and Travis (who argues for the ‘occasion-sensitivity’ of meaning, see his 1996). Supporters of the notion of the context (or use)-sensitivity of meaning object to Grice’s original argument: that we really can cleave a distinctly semantic content from all other aspects of language use. Contextualists argue that it is difficult, perhaps impossible, to isolate a purely semantic core, untouched by pragmatic influences, for example a ‘literal’ meaning (compare Searle 1979; Recanati 2004).

Nevertheless, there have been highly successful efforts at devising theories which treat of many of the phenomena assumed to be pragmatic, but which nevertheless have been shown to have inextricably semantic effects. Examples of such phenomena include, for example, indexicality, quantifier domain restriction, seemingly relative or ‘scalar’ terms such as ‘tall’, ‘rich’ and so on. The theories in question aim at showing that such phenomena are after all perfectly formalizable aspects of a classical semantic account, and not merely pragmatic effects on meaning (a classic example of such work is to be found in Stanley and Gendler Szabo 2000 and King and Stanley 2005). Along these lines, the philosophy of language is well on its way (again) toward being based on a ‘systematic’ theory of meaning. Nevertheless, the ‘Homeric struggle’ Strawson described (2004, pp. 132) between two fundamentally opposing views about linguistic meaning continues.

 

7. References and Further Reading

a. Analysis and Formal Logic

  • Beaney, Michael. (Ed.). 1997. The Frege Reader. Oxford: Blackwell.
  • Dummett, Michael. 1981 [1973]. Frege: Philosophy of Language. London: Duckworth.
  • Dummett, Michael. 1997 [1993]. The Seas of Language. London: Oxford University Press.
  • Frege, Gottlob. 1997 [1879]. “Begriffsschrift: Selections (Preface and Part I).” In M. Beaney, ed., The Frege Reader. Oxford: Blackwell, 47-78.
  • Frege, Gottlob. 1997 [1918]. “Thought.” In M. Beaney, ed., The Frege Reader. Oxford: Blackwell, 325-345.
  • Frege, Gottlob. 1997 [1891]. “Function and Concept.” In M. Beaney, ed., The Frege Reader. Oxford: Blackwell, 130-148.
  • Frege, Gottlob. 1997 [1892]. “On Sinn and Bedeutung.” In M. Beaney, ed., The Frege Reader. Oxford: Blackwell, 151-171.
  • Ramsey, Frank P. 1959 [1931]. “Philosophy.” In A. J. Ayer, ed., Logical Positivism. New York: The Free Press, 321-326.
  • Russell, Bertrand. 1949 [1905]. “On Denoting.” In H. Feigl and W. Sellars, eds., Readings in Philosophical Analysis. New York: Appleton-Century-Crofts, 103-119.
  • Russell, Bertrand. 1910. “Knowledge by Acquaintance and Knowledge by Description.” Proceedings of the Aristotelian Society 11, 108-128.
  • Russell, Bertrand. 1914. Our Knowledge of the External World. La Salle: Open Court.
  • Wittgenstein, Ludwig. 1995 [1921]. Tractatus Logico-Philosophicus, trans., D. F. Pears. London: Routledge.

b. Logical Atomism

  • Ayer, Alfred Jules. 1940. The Foundations of Empirical Knowledge. London: Macmillan.
  • Pears, David. 1972. Russell’s Logical Atomism. Illinois: Fontana Press.
  • Russell, Bertrand. 1918-1919. “The Philosophy of Logical Atomism.” The Monist 28, 495-527; 29, 32-63, 190-222, 345-380.
  • Russell, Bertrand. 1959 [1924]. “Logical Atomism.” In A. J. Ayer, ed., Logical Positivism. New York: The Free Press, 31-50.
  • Russell, Bertrand. 1927. The Analysis of Matter. London: George Allen and Unwin.

c. Logical Positivism and Ideal Language

  • Ayer, Alfred Jules. (Ed.). 1959. Logical Positivism. New York: The Free Press.
    • A collection of seminal papers in Logical Positivism.
  • Bergmann, Gustav. 1992 [1953]. “Logical Positivism, Language, and the Reconstruction of Metaphysics.” In R. Rorty, ed., The Linguistic Turn. Chicago: The University of Chicago Press, 63-71.
  • Carnap, Rudolf. 1949. Truth and confirmation. In H. Feigl and W. Sellars, eds., Readings in Philosophical Analysis. New York: Appleton-Century-Crofts, 119-127.
    • Discusses the Ideal/Ordinary Language philosophical differences in detail.
  • Carnap, Rudolf. 1992 [1934]. “On the Character of Philosophic Problems.” In R. Rorty, ed., The Linguistic Turn. Chicago: The University of Chicago Press, 54-62.
  • Carnap, Rudolf. 1937. The Logical Syntax of Language, trans., A. Smeaton. London: Routledge.
  • Carnap, Rudolf. 1992 [1950]. “Empiricism, Semantics and Ontology.” In R. Rorty, ed., The Linguistic Turn. Chicago: The University of Chicago Press, 72-84.
  • Coffa, J. Alberto. 1991. The Semantic Tradition from Kant to Carnap. Cambridge: Cambridge University Press.
  • Feigl, Herbert and Sellars, Wilfrid. (Eds.). 1949. Readings in Philosophical Analysis. New York: Appleton-Century-Crofts.
    • A collection of early papers in Logical Positivism.
  • Feigl, Herbert. 1949 [1943]. “Logical Empiricism.” In H. Feigl and W. Sellars, eds., Readings in Philosophical Analysis. New York: Appleton-Century-Crofts, 3-26.
  • Rorty, Richard. 1992 [1967]. “Introduction.” In R. Rorty, ed., The Linguistic Turn. Chicago: The University of Chicago Press, 1-39.
  • Schilpp, Paul Arthur. 1997 [1963]. The Philosophy of Rudolf Carnap. LaSalle: Open Court.
  • Schlick, Moritz. 1992 [1932]. “The Future of Philosophy.” In R. Rorty, ed., The Linguistic Turn. Chicago: The University of Chicago Press, 43-53.

d. Early Ordinary Language Philosophy

  • Ambrose, Alice. 1950. “The Problem of Linguistic Inadequacy.” In M. Black, ed., Philosophical Analysis. Englewood Cliffs: Prentice-Hall, 15-37.
  • Ambrose, Alice and Lazerowitz, Morris. 1985. Necessity and Language. London: Croom Helm.
  • Black, Max. (Ed.). 1950. Philosophical Analysis. Englewood Cliffs: Prentice-Hall.
  • Black, Max. (Ed.). 1954. Problems of Analysis. Ithaca: Cornell University Press.
  • Chappell, Vere Claiborne. (Ed.). 1964. Ordinary Language. Englewood Cliffs: Prentice-Hall.
    • Basic collection of essential Ordinary Language philosophical classics.
  • Caton, Charles Edwin. (Ed.). 1963. Philosophy and Ordinary Language. Urbana: University of Illinois Press.
  • Farrell, Brian. (1946a). An appraisal of therapeutic positivism I. Mind 55, 25-48.
  • Farrell, Brian. (1946b). An appraisal of therapeutic positivism II. Mind 55, 133-150.
  • Flew, Antony. (Ed.). 1951. Logic and Language. Oxford: Blackwell.
  • Flew, Antony. (Ed.). 1953. Logic and Language, 2nd Series. Oxford: Blackwell.
  • Flew, Antony. (Ed.). 1956. Essays in Conceptual Analysis. London: Macmillan.
  • Malcolm, Norman. 1964 [1942a]. “Moore and Ordinary Language.” In V. C. Chappell, ed., Ordinary Language. Englewood Cliffs: Prentice-Hall, 5-23.
  • Malcolm, Norman. 1942b. “Certainty and Empirical Statements.” Mind 52, 18-36.
  • Malcolm, Norman. 1940. “Are Necessary Propositions Really Verbal?” Mind 69, 189-203.
  • Malcolm, Norman. 1949. “Defending Common Sense.” Philosophical Review 58, 201- 220.
  • Malcolm, Norman. 1951. “Philosophy for Philosophers.” Philosophical Review 60, 329-340.
  • Rorty, Richard. (Ed.). 1992 [1967]. The Linguistic Turn. Chicago: The University of Chicago Press.
    • A unique and seminal collection of essays on both the Ordinary Language and the Ideal Language views. Rorty’s introductions are well worth reading for their insightful comments on the issues involved. Has an enormous and comprehensive cross-referenced bibliography on the literature.
  • Ryle, Gilbert. 1992 [1931]. “Systematically Misleading Expressions.” In R. Rorty, ed., The Linguistic Turn. Chicago: The University of Chicago Press, 85-100.
  • Wisdom, John. 1936. “Philosophical Perplexity.” Proceedings of the Aristotelian Society 37, 71-88.
  • Wisdom, John. 1953. Philosophy and Psycho-Analysis. Oxford: Blackwell.
  • Wittgenstein, Ludwig. 1965 [1958]. The Blue and Brown Books. New York: Harper and Row.
  • Wittgenstein, Ludwig. 1994 [1953]. Philosophical Investigations, trans., G. E. M. Anscombe. Oxford: Blackwell.

e. The Paradigm Case Argument

  • Flew, Antony. 1957. “Farewell to the Paradigm-Case Argument: A Comment.” Analysis 18, 34-40.
  • Hanfling, Oswald. 1990. “What is Wrong with the paradigm-Case Argument?” Proceedings of the Aristotelian Society 99, 21-37.
  • Richman, Robert J. 1961. “On the Argument of the Paradigm Case.” Australasian Journal of Philosophy 39, 75-81.
  • Watkins, John William Nevill. 1957. “Farewell to the Paradigm-Case Argument.” Analysis 18, 25-33.

f. Oxford Ordinary Language Philosophy

  • Austin, John Langshaw. 1962. How to Do Things With Words. Oxford: Oxford University Press.
  • Austin, John Langshaw. 1964 [1956]. “A Plea for Excuses.” In V. C. Chappell, ed., Ordinary Language. Englewood Cliffs: Prentice-Hall, 41-63.
  • Austin, John Langshaw. 1962. Sense and Sensibilia, ed., G. J. Warnock. Oxford: Clarendon Press.
  • Austin, John Langshaw. 1979. Philosophical Papers, eds., J. O. Urmson and G. J. Warnock. Oxford: Oxford University Press.
  • Cavell, Stanley. 1964 [1958]. “Must We Mean What We Say?” In V. C. Chappell, ed., Ordinary Language. Englewood Cliffs: Prentice-Hall, 75-112.
  • Henson, Richard. 1965. “What We Say.” American Philosophical Quarterly 2, 52-62.
  • McDowell, John. 1994. Mind and World. Cambridge: Harvard University Press.
  • Ryle, Gilbert. 1949. The Concept of Mind. London: Hutchinson.
  • Ryle, Gilbert. 1964 [1953]. “Ordinary Language.” In V. C. Chappell, ed., Ordinary Language. Englewood Cliffs: Prentice-Hall, 24-40.
  • Ryle, Gilbert. 1963 [1957]. “The Theory of Meaning.” In C. Caton, ed., Philosophy and Ordinary Language. Urbana: University of Illinois Press, 128-153.
  • Ryle, Gilbert. 1961. “Use, Usage and Meaning.” Proceedings of the Aristotelian Society, Supplementary Volumes 35, 223-230.
  • Searle, John. (Ed.). 1971. The Philosophy of Language. Oxford: Oxford University Press.
    • Collection of essays on the Oxford Ordinary Language approach.
  • Strawson, Peter Frederick and Grice, Herbert Paul. 1956. “In Defence of a Dogma.” Philosophical Review 65, 141-158.
  • Strawson, Peter Frederick. 1950. “On Referring.” Mind 59, 320-344.
  • Strawson, Peter Frederick. 1959. Individuals: An Essay in Descriptive Metaphysics. London: Methuen.
  • Strawson, Peter Frederick. 1952. Introduction to Logical Theory. London: Methuen.
  • Strawson, Peter Frederick. 2004 [1971]. Logico-Linguistic Papers. Aldershot: Ashgate.

g. Criticism of Ordinary Language Philosophy

  • Campbell, Chares Arthur. 1944. “Commonsense Propositions and Philosophical Paradoxes.” Proceedings of the Aristotelian Society 45, 1-25.
  • Chisholm, Roderick. 1992 [1951]. “Philosophers and Ordinary Language.” In R. Rorty, ed., The Linguistic Turn. Chicago: The University of Chicago Press, 175-182.
  • Devitt, Michael and Sterelny, Kim. 1999. Language and Reality: An Introduction to the Philosophy of Language, 2nd ed. Oxford: Blackwell.
  • Fodor, Jerry and Katz, Jerrold J. 1971 [1963]. “The Availability of What We Say.” In C. Lyas, ed., Philosophy and Linguistics. London: Macmillan, 190-203.
  • Grice Herbert Paul. 1989. Studies in the Way of Words. Cambridge: Harvard University Press.
  • Gellner, Ernest André. 1959. Words and Things: A Critical Account of Linguistic Philosophy and a Study in Ideology. London: Gollancz.
    • A hyperbolic criticism of linguistic philosophies.
  • Lewis, Hywel David. (Ed.). 1963. Clarity is not Enough: Essays in Criticism of Linguistic Philosophy. London: George Allen and Unwin.
    • Early collection of critical essays.
  • Mates, Benson. 1964 [1958]. “On the Verification of Ordinary Language.” In V. C. Chappell, ed., Ordinary Language. Englewood Cliffs: Prentice-Hall, 64-74.
  • Rollins, Calvin Dwight. 1951. “Ordinary Language and Procrustean Beds.” Mind 60, 223-232.
  • Tennessen, Herman. 1965. “Ordinary Language in Memoriam.” Inquiry 8, 225-248.
  • Weitz, Morris. 1947. “Philosophy and the Abuse of Language.” Journal of Philosophy 44, 533-546.
  • Williamson, Timothy. 2007. The Philosophy of Philosophy. Oxford: Blackwell.
  • Woozley, Anthony Douglas. 1953. “Ordinary Language and Common Sense.” Mind 62, 301-312.

h. Contemporary views

  • Borg, Emma. 2004. Minimal Semantics. Oxford: Oxford University Press.
    • Pro-truth-conditional, invariant semantics for linguistic meaning.
  • Cappelen, Herman and Lepore, Ernie. 2005. Insensitive Semantics: A Defense of Semantic Minimalism and Speech Act Pluralism. Oxford: Blackwell.
    • Pro-truth-conditional, invariant semantics for linguistic meaning.
  • Gendler Szabó, Zoltán. (Ed.). 2005. Semantics versus Pragmatics. Oxford: Oxford University Press.
    • Excellent collection of essays targeting the Minimalist/Contextualist debate about linguistic meaning.
  • Hale, Bob and Wright, Crispin. (Eds.). 1997. A Companion to the Philosophy of Language. London: Routledge.
    • Good anthology of relevant essays.
  • King, Jeffrey and Stanley, Jason. 2005. “Semantics, Pragmatics and the Role of Semantic Content.” In Z. Gendler Szabó, ed., Semantics versus Pragmatics. Oxford: Oxford University Press, 111-164.
  • Lycan, William. 1999. The Philosophy of Language: A Contemporary Introduction. New York: Routledge.
  • Recanati, Francois. 2004. Literal Meaning. Cambridge: Cambridge University Press.
    • Thorough discussion of the Minimalist/Contextualist debate, supportive of a moderately Contextualist view about linguistic meaning.
  • Searle, John. 1969. Speech Acts. Cambridge: Cambridge University Press.
  • Searle, John. 1979 [1978]. “Literal Meaning.” In J. Searle, ed., Expression and Meaning. Cambridge: Cambridge University Press, 117-136.
  • Stanley, Jason and Gendler Szabó, Zoltán. 2000. “On Quantifier Domain Restriction.” Mind and Language 15, 219-261.
  • Travis, Charles. 1996. “Meaning’s Role in Truth.” Mind 100, 451-466.
    • A ‘radical’ Contextualist, and anti-Minimalist about linguistic meaning.
  • Travis, Charles. 1999. “Pragmatics.” In B. Hale and C. Wright, eds., A Companion to the Philosophy of Language. London: Routledge, 87-107.

i. Historical and Other Commentaries

  • Hacker, Peter Michael Stephan. 1996. Wittgenstein’s Place in Twentieth-Century Philosophy. Oxford: Blackwell.
    • Thorough historical account of early analytic philosophy, including detailed biographical information on philosophers – for example, who worked with whom, and who was whose pupils/teachers. Reads easily, as a first-hand account.
  • Hanfling, Oswald. (2000). Philosophy and Ordinary Language: The Bent and Genius of Our Tongue. London: Routledge.
    • One of the only modern defenses of Ordinary Language philosophy.
  • Klibansky, Raymond. (Ed.). 1958. Philosophy in the Mid-Century, Volume 2. Florence: La Nuova Italia.
  • Lyas, Colin. (Ed.). 1971. Philosophy and Linguistics. London: Macmillan.
    • Addresses the debate regarding ‘what we say’, and some Oxford Ordinary Language philosophical disputes.
  • Passmore, John Arthur. 1957. “Wittgenstein and Ordinary Language Philosophy.” In J. A. Passmore, A Hundred Years of Philosophy. London: Duckworth.
    • An early account of Ordinary Language philosophy, at a time when it was still in vogue.
  • Quinton, Anthony. 1958. “Linguistic Analysis.” In R. Klibansky, ed., Philosophy in the Mid-Century, Volume 2. Florence: La Nuova Italia.
    • Excellent bibliography.
  • Soames, Scott. 2003. Philosophical Analysis in the Twentieth Century, Volume 2: The Age of Meaning. Princeton: Princeton University Press.
  • Urmson, James Opie. 1956. Philosophical Analysis: Its Development Between the Two World Wars. Oxford: Oxford University Press.
  • Warnock, Geoffrey James. (Ed.). 1960. The Revolution in Philosophy. London: Macmillan.

 

Author Information

Sally Parker-Ryan
Email: sally.pr@sbcglobal.net
U. S. A.

G. E. M. Anscombe (1919—2001)

G.E.M. AnscombeElizabeth Anscombe, or Miss Anscombe as she was known, was an important twentieth century philosopher and one of the most important women philosophers of all time.  A committed Catholic, and translator of some of Ludwig Wittgenstein’s most important work, she was an influential and original thinker in the Catholic tradition and the Wittgensteinian manner. Although she worked in almost every area of philosophy, she is best known to philosophers today for her work on ethics and the philosophy of action. Outside of philosophy she is best known for her conservative views on sexual ethics, which have inspired a number of student organizations, calling themselves the Anscombe Society, promoting chastity and traditional marriage. She is also well known for her opposition to the use of atomic weapons at the end of World War II.

In ethics, her most important work is the paper “Modern Moral Philosophy.” Contemporary interest in virtue theory can be traced directly to this paper, which put forward three theses: that all the major British moral philosophers from Henry Sidgwick on were essentially the same (that is, consequentialists); that the concepts of moral obligation, the use of the word ought with a special moral sense, and related notions, are harmful and should be dropped; and that we should stop doing moral philosophy until we have an adequate philosophy of psychology.

Her work on action, found mostly in her short book Intention, was a step in the direction of such a philosophy.

Table of Contents

  1. Life
  2. The First Person
  3. Causation
  4. Intention
  5. Consequentialism
  6. Moral Obligation
  7. Military Ethics
  8. Sexual Ethics
  9. References and Further Reading
    1. Primary Works
    2. Secondary Works

1. Life

Gertrude Elizabeth Margaret Ancombe was born on March 18, 1919, in Limerick, Ireland. Her parents, Allen Wells Anscombe and Gertrude Elizabeth Anscombe (née Thomas), were British but living in Ireland because her father was serving there as an officer in the British Army. When they returned to Britain he was a schoolteacher, teaching science at Dulwich College in London. Anscombe herself went to Sydenham High School, graduating in 1937. While there she became interested in Catholicism and converted while still a teenager.

She studied classics and philosophy at St. Hugh’s College, Oxford, graduating with a First Class Honors degree in 1941. Later that year she married the philosopher Peter Geach, whom she had met in her first year at Oxford after a mass at Blackfriars. They went on to have seven children.

After another year at St. Hugh’s as a research student she moved to Newnham College, Cambridge, where she had a Research Fellowship. At Cambridge she met Ludwig Wittgenstein and attended his lectures, continuing to do so even after she had moved back to Oxford, to take up a Research Fellowship at Somerville College in 1946. She later had a Teaching Fellowship there until 1970, when she became the Professor of Philosophy at Cambridge University. She remained there until she retired from teaching in 1986.

Wittgenstein died in 1951, having named Anscombe as one of three literary executors of his estate. Her English translation of his Philosophical Investigations was published in 1953.

In 1956, because of President Truman’s having authorized the bombings of Hiroshima and Nagasaki, she publicly, but unsuccessfully, opposed Oxford University’s granting him an honorary degree. This was the beginning of the most fruitful period of her career, perhaps because she was driven by a sense of outrage that a man who had deliberately authorized the bombing of non-combatants could be so honored. Her book-length study of the nature of intentional action was published the following year, followed by the critical “Modern Moral Philosophy” the year after that.

Her inaugural lecture at Cambridge University in 1971 on “Causality and Determination” is now also regarded as something of a classic, and refers back to some points made in Intention.

She died in Cambridge on  January 5, 2001.

2. The First Person

In a typically Wittgensteinian way, Anscombe argued that some metaphysical theses are the result of our being misled by grammar. Her work on the first person singular is a good example of this way of dealing with philosophical problems. In her essay “The First Person,” Anscombe argues that the word I is not typically used to refer to an object, and so it does not refer to a non-physical soul or mind, but neither does it refer to a physical body. The word I is not a name I call myself. It is not a name at all, even though it can appear to be one.

If there is some question about who broke a vase then it is possible to make a mistake about who it was, and to be mistaken even about oneself having done it. For instance, you might think that you nudged it, but come to realize (perhaps after watching a video recording) that, although you came close, it was actually someone else who knocked it over. When we refer to a person we can, then, misidentify the person in question. But if I think to myself “I wonder what’s happening?” then no such misidentification is possible. This cannot be because I refers to my body and my body is always easy for me to identify, because one can misidentify whose body it was that did this or that. Anscombe points out that one could be in state of sensory deprivation and so quite unaware of one’s body (not of the fact that one has a body, of course, but of the body itself—ex hypothesi one’s awareness of one’s body, in this case, is temporarily non-existent). If I refers to anything that cannot be misidentified, in such a way that no mistake or failure of reference is possible, then it seems that René Descartes was right and I can only refer to a non-physical thinking thing, the “thinking that thinks this thought” (Anscombe 1981b, p. 31), which might not be the same thinking as thought any previous thoughts. According to Anscombe this is an absurdity that shows that I cannot be a referring expression at all.

The reason why David Hume sought unsuccessfully for his self (finding instead only a bundle of impressions and ideas) is that there is indeed no self, no thing to which I refers, because I does not refer to anything (not even a bundle). This is why there can be no misidentification: there is no identification at all, so it cannot go wrong. In order to say whether I am standing or not, I do not need (in normal circumstances) to look. According to Anscombe this is because I does not refer to anything I might see (or sense in any other way). Knowledge of what one is doing, like knowledge of one’s opinions, is non-observational. If it referred to an object, therefore, the object in question would have to be one that could be identified without being observed by means of the senses. The only way to avoid Cartesian absurdity, therefore, as Anscombe sees it, is to deny that the first person singular refers to anything at all. It is a word with a use but no reference. Failure to appreciate this grammatical feature, she holds, is what leads into the metaphysical mire of Descartes, Hume, and others who have speculated about the identity of the self.

3. Causation

Like Wittgenstein, Anscombe was concerned about the culture around her. Her work on causation is an attack on a conception of causality that, she says, “helps to form a cast of mind which is characteristic of our whole culture,” (Anscombe, p. 133). In this essay she rejects the then (and perhaps still) dominant view, which comes from Hume, that the cause of some effect must either necessitate it or else be connected to it by some law.  She does not deny that events are caused, but she does want to insist that it is usually possible for things to go awry.  An arsonist might use enough gasoline to burn down a house without the house’s burning down being necessitated by this act.  Something might happen to spoil his plans. And what this something might be cannot be specified in advance or in general, because it might be all kinds of things.  This means that any causal law linking a cause C with an effect E will have to be of the form: If C then E, other things being equal.  Very often other things are not equal, which is why the movement of the planets is relatively easy to predict but the movements of animals, for instance, are impossible to predict.  It is impossible in practice because we never have enough information about the animal’s environment (a squirrel might run by, throwing the animal off its course), brain chemistry (we simply do not know exactly how brains work yet), and so on, but it might also be impossible even in theory, given the effects of events at the quantum level.  These can, after all, spill over into the level of visible objects, since, to give one of Anscombe’s own examples, a Geiger counter could be connected to a bomb so that the bomb went off at some impossible-to-determine time, depending on ionizing radiation.  The explosion would then be caused but not in a way that could, even in principle, be predicted.

Similarly, Anscombe argues, if I contract a disease after having been exposed to it, then it is easy to see what caused my getting sick. But if all I knew was that I had been exposed to the disease then quite possibly no one would be able to tell whether I would become sick. It is much easier to trace an effect back to its cause than it is to read off the supposedly inevitable effects of any potential cause. We can therefore know that one thing caused another without knowing any true law involving a necessary connection between events of one general type and events of another.

It is sometimes said that one cannot observe causation, because we observe events but not the necessity with which we believe them to be connected. Anscombe objects that we do observe drinking, vocalizing, cutting, and breaking, and that these all appear to be kinds of causation. If a cat drinks some milk then the cat’s action caused the milk to leave the saucer. If a tailor cuts some cloth then it seems entirely possible to see the causing of the cloth’s being divided. Anyone who denies this, Anscombe suggests, does so on the basis of a prejudice or philosophical theory about observation and causality. They do not, as they might think, believe in the theory because unbiased reflection on experience tells us that this kind of theory is true.

4. Intention

If every bit of human behavior were determined by causal laws, then it might seem that the difference between intended and unintended results of action could not possibly matter. For if determinism is true, some people think, then we are not free to act one way or another and assigning responsibility for actions makes no sense. In that case, it looks as though only consequences could matter. Anscombe rejects both determinism and consequentialism. Her book Intention aims to shed light on the concept of intention, and hence on (intentional) action, and the difference between intentional, rational action and non-rational behavior. Although not easy to understand, it has been enormously influential. Donald Davidson, for instance, has called it the most important philosophical work on action since Aristotle.

All manner of movements occur in the world, but only some are counted as the behavior of agents.  In turn, only some of this behavior is counted as action.  For instance, I might toss and turn in my sleep, and this would normally be reckoned as human behavior, but no one would think to ask me why I rolled over at some particular time or twitched my leg just so. In a sense these are not things that I did. My leg twitched, my body moved, but I really had no say in the matter and so would have no answer to a question about my reason for moving in these ways. I might be able to explain the cause, but I would be in no better a position than anyone else to do so, unless I happen to be some sort of expert on human physiology. Action is not like this: it does make sense to ask someone why they did what they did.  In asking such a question we are typically asking about their intention, that is, what did they take themselves to be doing and what was their purpose in doing it.  In a sense, then, questions about intention are questions about the meaning of actions.  This sets them apart from questions about causes, since I might not know what caused me to sleep so restlessly but I cannot be so ignorant of my intentions.  I could hypothesize that dehydration caused me to sleep badly, but if I get up to drink some water then it is no hypothesis on my part that I am heading to the kitchen to get something to drink.  Nor is it a prediction about what I expect to happen once I reach the kitchen.  It is a statement of fact about what I am doing right now: going to the kitchen to drink some water.  Other descriptions of my behavior might be equally true.  For instance, that I am putting one foot in front of the other, making the floorboards creak, and so on.  But the statement of my intention, of what I take myself to be doing, is likely to be the most illuminating for anyone who wants to understand what I am doing (which is closely related to the question of why I am doing it).  If I am failing to achieve my goal it might be even more helpful to know what that goal was, since it will not be so clearly visible as it is in the cases in which I do achieve it.

The “class of intentional actions is a sub-class,” according to Anscombe, of “the class of things known without observation,” (Anscombe 2000, p. 14). Intentional actions are ones done for some reason, actions about which it makes sense to ask “Why?” and expect an answer that is not merely causal but explains what significance the action was taken to have for the agent. The intention is not itself a cause because causes (for example, a brick’s striking a window) are distinct from their effects (for example, the window’s breaking), whereas intentional actions are not distinct from the intentions they embody. To see this point more clearly, imagine a climber who loses the will to live and so lets go of the rock and falls to his death. This was intentional, an act of suicide. Now imagine that he simply loses his grip and falls. This is unintentional and not suicide but a tragic accident. Now imagine that he has a momentary suicidal impulse. Shocked by this thought he loses concentration and lets go, falling to his death. This fall was caused by a thought of suicide, perhaps even by an intention to commit suicide, but it was an accident still, caused by a shock rather than carried out deliberately. So intentional actions are not behavior caused by intentions. The intention is a part or an aspect of the act, not a prior event that causes it.

An accidental fall will not be judged morally by anyone, but some people regard suicide as a sin. Similarly, in general, we tend to think of unintentional behavior as largely irrelevant to ethics, while intentional actions are precisely what ethics is often taken to be about. This is one reason why it matters what intention is and how intentional actions are understood. Another is that, since intentional actions are so closely linked to the question “Why?”, understanding intention helps us to understand what goes on around us. Generally people act for reasons, and these reasons have to do with what seems good to the agents in question. Not everything that seems good really is good, of course, but not just anything can even seem good. If someone’s reason for acting is to get all his green books up on a roof then, in knowing this reason, we gain no understanding of why he is behaving as he does. His behavior is as unintelligible as it would have been if we had not been told his reason. So the behavior of our fellow human beings is only intelligible if we can and do relate it to a certain limited range of ideas about what might be regarded as good. We can see here some of the connection that Anscombe believes to exist between metaphysical questions and ethical ones.

Perhaps this explains why intentions matter, but what are intentions? We might think of them as mental objects, states, or events that give rise to certain types of behavior, but Anscombe rejects this view. If an intention were a mental object or event that caused actions in roughly the way that a falling domino causes another domino to fall then it would appear to be quite possible to be ignorant of one’s own intentions. I might try to guess at or hypothesize about the intention that caused me to do this or that, but perhaps only some kind of brain scan would ever settle the matter. And perhaps we are wrong sometimes about our intentions, especially if we forget or have subconscious motivations. Nevertheless it seems implausible to suggest that we do not normally know exactly what our intentions are. We intend to go to the grocery store and, sure enough, that is precisely what we do.

Another problem with the idea that intentions are causes is that there seems to be no reason in theory why what acts as a cause in one person could not do so in another, but this does not appear to be the case with intentions. One cannot intend to do something of which one has no conception, but one could (at least in principle) be caused to do such a thing. An infant cannot intend to open the New York Stock Exchange but, if the opening is done by ringing a bell, then it can be caused to do it, either by moving the baby’s hand or by some chain of events within its brain. It might just on its own intend to ring the bell, but it would not be intending to open the day’s financial dealings. It has no idea that there are such things as financial dealings.

If we want to understand other people’s behavior, then, not only can we not look at the causes of their behavior (since, for one thing, we cannot see inside their brains) but trying to do so would be a mistake. We need to know what they take themselves to be doing, how they understand their actions. And this knowledge does not come from observation of their own behavior. We know without looking what it is that we take ourselves to be doing, what we are trying to achieve, and so on. In this sense we know what we are doing even if in fact something is going wrong and we are not getting done what we mean to be getting done. For instance, someone might intend to write Anscombe’s name on a chalkboard. Imagine that, unbeknownst to her, the board has recently been washed and no chalk will adhere to it. Without looking at what she is writing, she goes ahead and writes “Anscombe” on the board. Or so she thinks. In fact, nothing is being written. In a sense, then, she is not writing at all and if she thinks she is then she is wrong. On the other hand, she is doing something. And the best way to understand what this is would be to ask her and have her answer sincerely, “I am writing Anscombe on the board.” We would then understand why she is holding a piece of chalk and moving her hand in just that way. (If she were to say that she was trying to write Anscombe on the board this might be more accurate, but it would also be misleading. It would suggest that she knew the task would not be easy and was perhaps pushing the chalk harder than normal in order to try to get the chalk to stick to it. But she is not trying in this sense, any more than we ordinarily try to do the things we do. We just do them.) In this sense, then, we know what we are doing because we know our intentions, and we do not have to look and see what we are doing to have this knowledge.

It is possible to act badly because of having a bad intention, of course, but it is also possible, as the example of writing on a wet chalkboard shows, for action to go wrong because of errors in execution. This is part of the point of Anscombe’s famous shopping list example (see Anscombe 2000, p. 56).  A shopping list acts as a kind of expression of what I intend to buy, or of what someone else has asked me to buy. The only kind of mistake I can make in using it (assuming that the list itself is correct) is if I overlook or misread something on the list and thus fail to buy it. This is a mistake in execution. If there is a mismatch between what I buy and what is on the list, in other words, then I have done my shopping badly. It is not that there is some flaw in the list. On the other hand, if someone else follows me and writes down everything I buy, but his list does not match what I buy, then there is a flaw in his list. So his list can be wrong in a way that mine cannot be. If now instead of a list written on paper we think of a list in my head, then we can see that my knowledge of what I am to buy cannot be falsified by how the facts turn out (for example, that I forget to buy tomatoes). That was a mistake in execution, not in intention. Unlike the man following me, I know what I intend to do, know what I am doing, without having to observe my behavior.

5. Consequentialism

Because, as she sees it, actions can be bad and can be known to be bad without observing them or their results, Anscombe rejects a large class of theories about ethics. One of her main contributions to ethics is the introduction of the word consequentialism as a label for these theories, along with an account of their alleged shortcomings. Consequentialism is the denial that there is any significant moral difference between results of action that are brought about intentionally and those that are foreseen but not intended. It might be thought of as the theory that intention is unimportant in ethics. Anscombe seems to have opposed this kind of theory for several reasons, which we will explore below. The word consequentialism is often used as a kind of technical synonym for utilitarianism, but it was coined by Anscombe (in “Modern Moral Philosophy”) precisely to distinguish a certain kind of moral theory from utilitarianism.  She apparently believed that neither Jeremy Bentham nor John Stuart Mill had a coherent moral philosophy, since each relied heavily on what she regarded as a hopelessly simplistic notion of happiness or pleasure.

Her main objection to consequentialism is a moral one. If all that matters is results, then there is no limit to what we might do in order to achieve the best results possible. In order to save the lives of many of our soldiers we might, for instance, murder a bunch of children. This is basically what she believed had been done in Hiroshima and Nagasaki, and it is unthinkable from her moral perspective. Indeed, it would have been unthinkable from the point of view of all major moral philosophers, including utilitarian ones, before Sidgwick. At least so she believes. Why she thinks this is not entirely clear, but Mill has certainly appeared to be a rule-utilitarian to some people, and rule-utilitarians typically defend rules forbidding murder. Perhaps Anscombe read Mill in this kind of way (she does not say). Another possibility is that she regards consequentialism as so unacceptable that it would be uncharitable to read anyone as holding it if their views are at all ambiguous. Mill’s views are certainly open to a variety of interpretations. What is clear is that Anscombe regarded the utilitarianism of Bentham and Mill as fatally flawed because it advocates the greatest happiness of the greatest number without (in her view) adequately specifying what is meant by happiness and without realizing (in her view) that “the greatest happiness of the greatest number” makes no sense (see Anscombe 1981a, p. 129).  She does not fully explain why she thinks this to be the case, but people have wondered whether the concern is, or should be, with the best happiness or the most, and of living people or all living sentient creatures or all future sentient creatures or what, and how one might measure happiness at all. So she might have thought that utilitarianism simply does not name an identifiable theory at all.

Another problem with consequentialism is its ignoring of intention, without which we seemingly cannot make sense of human behavior. This means that, while we can indeed pass judgment on actions in a consequentialist way, we cannot consistently live as if consequentialism were true. We cannot, that is, live our whole lives as if intentions do not matter, even though we can pretend that they do not when deciding what to do or expressing approval or disapproval of actions. Consequentialists then are almost inevitably in bad faith. They pretend to believe what they cannot and do not in fact believe.

6. Moral Obligation

Before “Modern Moral Philosophy” was published, the main kind of ethical theory other than utilitarianism to which philosophers adhered was Kantian deontology, which, in its purest form, says that certain acts are forbidden or permissible, regardless of their consequences. Anscombe questions who or what might be supposed to do the forbidding or permitting in question.  Traditionally (as she sees it) the answer was God.  But many philosophers, even religious ones, do not want to import faith in God into their theories.  So what could be meant by a theory, conceived as independent of faith in God, according to which some acts are allowed or right or even obligatory while others are forbidden or wrong?  One cannot meaningfully obligate oneself, Anscombe believes, and the idea that something like society or the government is doing the allowing here is not what is wanted by people who theorize in this way.  Anscombe’s conclusion is that talk of moral obligation, moral duty, a special moral sense of the word ought, and so on, are in fact meaningless.

This is not to say that all talk of obligation and the rest should be dropped. Indeed, Anscombe writes that we ought not to try to drop such talk.  By this, of course, she means that it would be a bad idea to try to do so.  But by bad here she means that it would not be prudent or sensible.  She does not mean bad in some allegedly special or uniquely moral sense.

It is sometimes thought that Anscombe is saying that only religious believers are entitled to talk or think about moral obligation or what one morally ought to do. This is not the case. Her claim is rather that philosophers often use words such as morally ought in a way that makes no sense. She is not forbidding anything. She quite explicitly is not forbidding the use of the word ought. Nor would she forbid the use of the words morally ought in some situations. For instance, if a vegetarian tells you that you ought not to eat an underdone piece of chicken it might be unclear whether she is speaking about ethics or about food safety, and you might quite reasonably (in Anscombe’s view) ask whether she means ought in a moral sense or just the normal, prudential sense.

What Anscombe objects to is a secular use of religious concepts (not mere words). There is a religious tradition according to which certain kinds of action are commanded and others are forbidden by God. Within this tradition, the human race has an historical relationship with God, in which various promises have been made, covenants agreed to, and so on. It makes sense, therefore, to talk within this tradition of being bound or obliged to do this or that. It makes no sense, however, to think that one is equally bound in just the same way if this tradition is rejected or bracketed, set aside, for philosophical purposes. It is at best misleading, therefore, if anyone means to do philosophy in a religiously non-committal way but still asks what acts are forbidden, sinful, permissible, and so on. One problem with such language is that it seems to imply the very religious framework that is explicitly disavowed by the philosophers in question who use it.

Another is that it is so imprecise. For instance, if an atheist philosopher argues that abortion is permissible not only are we likely to be thrown by her religious-sounding choice of words, but we also do not know whether by permissible she means just, or likely to promote utility, or rational, or what. Anscombe’s argument is that such philosophers ought instead to use words such as just. This way we will have a much better idea what is being said. Judith Jarvis Thomson’s famous defense of abortion, for example, makes clear that she is talking about the justice of abortion, whether it violates the rights of the fetus, not whether it is callous or indecent, say. This is the kind of clarification that Anscombe recommends.

Sometimes, she adds, it will be immediately clear whether what is being said is true or false if we use more precise terms of moral evaluation such as just and unjust. Whether abortion is just is not immediately clear to many people, but the injustice of the judicial execution of those known to be innocent is clear. This is the example that Anscombe uses most often. The suggestion that deliberately killing tens of thousands of innocent non-combatants, including children, would be permissible is a vague one. The suggestion that it would be just is clearly false. The suggestion that it would be useful might be clearly true. If we used the more precise terms just and useful then we could at least see that the debate was between the relative importance of justice and utility. If we insist on using words such as permissible and wrong then we might fail to understand what is at issue. It is largely clarity that Anscombe urges philosophers to strive for.

Her rejection of both consequentialism and obligation-centered deontological ethical theories has been a major reason for the rise of virtue ethics. That being said, it is worth repeating that Anscombe does not reject all talk of moral obligation. For instance, if I make a promise or sign a contract then this brings certain obligations with it. In the case of promising, we might call this a moral obligation, to distinguish it from the kind of legal obligation that a contract might create. This kind of obligation is not absolute in the way that some people think the obligation not to commit murder is, however. Only the person who happens to have made a promise is obligated by it, for one thing. For another, promises can reasonably be ignored in exceptional circumstances. Thirdly, promising itself is a useful but not necessarily essential human practice. It is, Anscombe thinks, only against the background, or within the context, of this kind of practice that saying “I promise to do x” binds the speaker to do x. (In contrast, she regards murder as forbidden to all people in all circumstances.)

This relates to the easily misunderstood notion of what Anscombe calls brute facts. In her essay “On Brute Facts” she writes: “In relation to many descriptions of events or states of affairs which are asserted to hold, we can ask what the ‘brute facts’ were; and this will mean the facts which held, and in virtue of which, in a proper context, such-and-such a description is true or false, and which are more ‘brute’ than the alleged facts answering to that description” (Anscombe 1981a, p. 24). Take the state of affairs that, I assert, you owe me money. The brute facts in such a case would be the ones that make it true (if it is true) that you owe me money. For instance, my having given you money last week and your having promised to pay me back would be brute facts in this case. Anscombe is explicit that the context is relevant and that exceptional circumstances can always make a difference. It looks straightforward that if I loaned you money and you promised to pay it back then you owe me money, but you might not owe me anything if we were both clearly joking when the loan was made, or if I have died and left no family behind, or if the planet is about the be destroyed by meteors, or ….

So brute facts are, by definition, always brute relative to some description of an event or state of affairs. Brute here does not mean absolute as opposed to relative. Furthermore, while brute facts make descriptions true, they do so only other things being equal. Other things can fail to be equal in innumerable, unforeseeable ways, and so obligations of this kind can never be said to be absolute in the sense of being without exception. Nevertheless, in normal circumstances, if you have promised to do something then you really are obliged to do it, just as in chess bishops really do have to move diagonally (if at all) and, in the United States, cars really do have to drive on the right hand side of the road. These obligations are real and important even though the rules might be different (for example, in Great Britain cars drive on the left) and even though, in certain circumstances, they might be ignored (for example, you are rushing to a hospital and no other vehicles are on the road so no one cares what side you drive on, or the world is coming to an end so no one cares about anything much at all). Certain practices have rules and these rules oblige us to behave in certain ways, but a) exceptions can be made within the practices themselves, and b) there is no obligation (although there may be good reason) to engage in these practices in the first place. In this sense the obligation to keep a promise is not an absolute obligation.

This is not to say, however, that there are no absolutes in ethics. Certainly Anscombe believes that murder is never justified. If there is an obligation not to commit murder then it does not stem from our having chosen to engage in some human practice that forbids it. Anscombe might say that we must not murder because God has forbidden it. Or she might regard it as ruled out by considerations of justice. Or by a mystical perception of the value of human life. In “Murder and the Morality of Euthanasia” she writes that, “The prohibition [on murder] is so basic that it is difficult to answer the question as to why murder is intrinsically wrongful” (Anscombe 2005, p. 266). Her use of the word prohibition, however, suggests that she is thinking of murder as something forbidden by God. Given her thoughts on the notion of moral obligation, after all, we might surely ask who else might prohibit it? Whether this speculation about her meaning is right or not, she clearly does regard the intentional killing of the innocent as prohibited, and this is hugely relevant to her thinking about both the ethics of warfare and sexual ethics.

7. Military Ethics

Anscombe’s first philosophical publication was a pamphlet of which she was joint author (with Norman Daniel) protesting at the prospect of the Second World War in 1939. In her view this war was likely to be fought for unjust reasons and with unjust means.  According to her interpretation of the rules and of the statements of the relevant politicians, traditional rules of war would be broken by the British Government if it went to war with Germany.  This was not, of course, a reflection of Anscombe’s attitude toward Nazi Germany.  Some war against that country might have been justified, but not the war that she saw coming, with, for instance, its attacks on civilians.

She continued her support for traditional Christian thinking about military ethics after the war was over. Most notably, she led the protest against Oxford University’s decision to award an honorary degree to the man who ordered the use of atomic weapons against Japan, President Harry S. Truman. In her essay on “War and Murder,” she defends the so-called Doctrine of Double Effect and rejects pacifism.  Despite having such high standards that she opposed even the British fight against the Nazis, Anscombe stops short of all out pacifism because she thinks that one’s moral standards should be high but not too high.  Pacifism calls for no use of violence ever, no matter what, which is an ideal that many people can claim to respect but that very few can live with.  The result, as she sees it, is that they pay lip service to the ideal of pacifism, go to war anyway, and then see no reason to observe any restrictions whatever on how the war is fought.  In this way pacifism actually does harm.

The Doctrine of Double Effect points out that actions can be regarded as having two kinds of foreseen effects: the intended and the not intended (merely foreseen).  It allows actions that have bad foreseen effects so long as these are not intended, so long as the actions themselves are not forbidden, and so long as the likely good consequences of the action outweigh its likely bad consequences.  In any war we can foresee that innocent people will be killed in cases of friendly fire and collateral damage, for example.  And killing the innocent is often regarded as forbidden.  It does not follow, Anscombe argues, that we must be pacifists.  Causing some collateral damage does not make one a murderer as long as one is engaged in a just war, fighting justly, (intentionally) targeting only legitimate military targets, and not launching attacks whose effects are likely to be more bad than good.

Critics of the doctrine sometimes object that one can make an otherwise forbidden act all right by simply redescribing it in one’s mind. For instance, one might claim to be intending to lower enemy morale by destroying a city and merely to foresee that innocent people in the city would be killed. One thing that this ignores, however, is that an intention is not a mental act, like a kind of whispering under one’s breath. In normal circumstances, one does what one intends, so the intention is observable in the physical world. Referees can call intentional fouls without having to be mind-readers. Saying “oops” or “I think I’ll just stretch my leg” in one’s head as one trips an opponent does not make the foul less intentional. So this criticism seems to be misguided. (It is true, though, Anscombe notes, that some people do try to abuse the doctrine by treating intention in this misguided kind of way.)

Perhaps more serious is Jonathan Glover’s objection that blowing up a passenger ferry bound for Nazi-occupied territory with both innocent people and the means for making an atomic bomb on it would have to count as intentional murder, and therefore forbidden, even though the consequences of allowing the ferry to reach its destination might be disastrous (see his Humanity: A Moral History of the Twentieth Century, Yale University Press, 2001, p. 108). The temptation to think like a consequentialist in such cases is rather strong. Anscombe might reply, however, that the actual goal in this case is preventing the Nazis from acquiring atomic weapons. So the deaths of the passengers, though certainly foreseen, are really not what is intended. Hence the sinking of the ferry might well turn out to be permissible after all. Unlike the case of terror bombing, where the desired terror would not have been created without innocent deaths, the ferry could have been sunk without the loss of innocent life (if no one had been on it).

8. Sexual Ethics

Anscombe was a devout Catholic.  She opposed abortion, contraception, gay sex, and gay marriage.  Her view of abortion was not that it was murder but that it was either murder or something very nearly as bad as murder. (Whether it actually is murder depends on whether a fetus is a person or has a soul and, if so, at what stage, which Anscombe regarded as a technical question of little but academic interest.)  It is, she believed, the deliberate destruction of the beginning of a human life. Sex, the means of this beginning, is something that she regarded as naturally associated with shame. Not in the sense that people who have sex ought to be ashamed of themselves or feel guilty, but in the sense that it is the kind of thing that belongs to one’s private life. We would no more have sex casually than we would leave home naked casually. This is because we recognize, however dimly, that sex is, to put it bluntly, a big deal. And this is connected with the fact that sex is how babies are made, and the fact that the life of a baby is a big deal. These connections should not be taken as steps in a logical argument, however, as if we can know by reasoning straightforwardly from the value of human life that casual sex is wrong. In her essay “Contraception and Chastity,” Anscombe says that our knowledge that casual sex dishonors the body is a “mystical perception,” much like the perception that a dead human body is not something one should leave out with the trash (Anscombe 2008, p. 187). She says in this essay also that there is no such thing as casual sex and that everyone knows this. That is, there are no sexual acts that are not significant, and those who pretend otherwise become shallow. She does not claim to be able to prove this though.

Contraception is not quite the same as abortion, but it is bad in a related way, she thinks.  She distinguishes between two kinds of sexual intercourse: the kind that is intended to be non-procreative and the kind that is not so intended.  Any sexual act that never could lead to procreation, such as masturbation, is in the former category, and so is sex using contraception.  Sexual acts that could lead to procreation but that will not because at least one partner is naturally infertile fall in the latter category.  Acts of the first type are abuses of our generative organs, treating as mere vehicles of pleasure the very means to bring new life into the world.  Acts of the second type, on the other hand, are perfectly all right, so long as one does not make a point of only having sex when one knows that pregnancy is impossible, one does not get too addicted to sexual pleasure, and one has sex only within marriage as traditionally defined, so that any children will likely have a father and a mother to take care of them.

In her opinion, gay sex is wrong then in exactly the same way, and for the same reason, that masturbation is wrong.  It is a use of the sexual organs that can never lead to procreation, and thus a kind of insult to life itself.  Gay marriage is a union founded on an agreement to engage in this kind of activity, and is hence unacceptable.

Anscombe suggests that masturbators and gay people are bound to be unhappy, and critics have responded with examples of gay people who seem, on the contrary, to have flourished. This might be a point worth making, but it misses the central claim in her argument. This is that unnatural kinds of sex, those that embody an intention to have sex without the possibility of conception, fail to show the proper regard for life. The real problem this argument faces, whether one supports it or not, is the seemingly inescapable vagueness of the notion of proper regard. This vagueness exists within Anscombe’s beliefs about how much sex married couples should have. They should, she thinks, have some, but not too much. And she struggles to specify how much is too much. They should not be addicted to sex, she apparently thinks, but should “render the marriage debt” to one another (Anscombe 1981a, p. 92). One need not doubt that there is such a thing as proper respect for life, or for sex, in order to doubt how precisely one can make out what exactly falls within the limits of such regard and what does not.

As for gay marriage, similarly, Anscombe argues that only if a marriage is of the kind that could lead to children being brought into the world (that is, if it is a heterosexual marriage, even if one or both partners is known to be infertile) is its beginning an event worthy of ceremony. And, she implies, if its beginning is not an event worthy of ceremony then it is not a proper marriage. It is hard to see exactly how this kind of view can avoid regarding infertile marriages as somehow belonging to a second class. It is also hard to see how one could ever work out exactly which events are worthy of ceremony (and how much, and of what kind) in the first place. Some critics have argued that if Anscombe is right then this or that bad consequence would follow. The problem appears to be more that nothing at all follows with any clarity from her premises, whether one accepts them or not. This is not to say that Anscombe is wrong to believe that ceremony is in order at a wedding. What it is to say is that the perception that ceremony is in order is not the kind of perception that is readily testable or precisely measurable. In a word it is subjective or, as Anscombe sometimes puts it, mystical. When mystical perception is not universal it is hard to use it as the basis for arguments over controversial subjects.

9. References and Further Reading

Anscombe’s translations of, and commentaries on, works by Wittgenstein are certainly important, but will not be listed here. The same goes for her other work in the history of philosophy. The following bibliography is not intended to be comprehensive but rather is meant as an introductory guide.

a. Primary Works

  • Anscombe, G. E. M. Ethics, Religion and Politics: Collected Philosophical Papers Volume III. Oxford: Basil Blackwell, 1981a
    • Includes “Modern Moral Philosophy,” “On Brute Facts,” “War and Murder,” and “Mr Truman’s Degree.”
  • Anscombe, G. E. M. Faith in a Hard Ground: Essays on Religion, Philosophy and Ethics by G. E. M. Anscombe, edited by Mary Geach and Luke Gormally. Exeter, UK: Imprint Academic, 2008.
    • Includes the well known essay “Contraception and Chastity.”
  • Anscombe, G. E. M. Human Life, Action and Ethics: Essays by G. E. M. Anscombe, edited by Mary Geach and Luke Gormally. Exeter, UK: Imprint Academic, 2005.
    • Includes the essay “Does Oxford Moral Philosophy Corrupt Youth?”
  • Anscombe, G. E. M. Intention. Cambridge, MA: Harvard University Press, 2000.
    • Extremely important for understanding contemporary philosophy of action and much of Anscombe’s work generally.
  • Anscombe, G. E. M. Metaphysics and the Philosophy of Mind: Collected Philosophical Papers Volume II. Oxford: Basil Blackwell, 1981b.
    • A good place to start with Anscombe’s work in metaphysics. Includes “The First Person,” “Causality and Determination,” and a short essay on “Intention.”

b. Secondary Works

Some of Anscombe’s work, especially the essays dealing with sexual and military ethics, was written for a general audience. The rest of it, however, can be very hard going, even for professional philosophers. Useful secondary sources include:

  • Diamond, Cora and Jenny Teichman, eds. Intention and Intentionality: Essays in Honour of G. E. M. Anscombe. Brighton, UK: The Harvester Press, 1979.
    • Includes essays on the first person, intention, ethics (including both military and sexual ethics), and other issues addressed by Anscombe.
  • Ford, Anton, Jennifer Hornsby, and Frederick Stoutland, eds. Essays on Anscombe’s Intention. Cambridge, Massachusetts: Harvard University Press, 2011.
  • O’Hear, Anthony, ed. Modern Moral Philosophy. Cambridge: Cambridge University Press, 2004.
    • A collection of essays relating, sometimes indirectly, to Anscombe’s famous essay.
  • Richter, Duncan Anscombe’s Moral Philosophy Lanham, Maryland: Lexington Books, 2011.
    • An introduction to Anscombe’s theoretical and practical work in ethics.
  • Teichmann, Roger, ed. Logic, Cause and Action: Essays in Honour of Elizabeth Anscombe. Cambridge: Cambridge University Press, 2000.
    • A short collection of essays on various aspects of Anscombe’s work.
  • Teichmann, Roger The Philosophy of Elizabeth Anscombe. Oxford: Oxford University Press, 2008.
    • The only book length study of the whole of Anscombe’s work.

 

Author Information

Duncan Richter
Email: richterdj@vmi.edu
Virginia Military Institute
U. S. A.

The Sophists (Ancient Greek)

The sophists were itinerant professional teachers and intellectuals who frequented Athens and other Greek cities in the second half of the fifth century B.C.E. In return for a fee, the sophists offered young wealthy Greek men an education in aretē (virtue or excellence), thereby attaining wealth and fame while also arousing significant antipathy. Prior to the fifth century B.C.E., aretē was predominately associated with aristocratic warrior virtues such as courage and physical strength. In democratic Athens of the latter fifth century B.C.E., however, aretē was increasingly understood in terms of the ability to influence one’s fellow citizens in political gatherings through rhetorical persuasion; the sophistic education both grew out of and exploited this shift. The most famous representatives of the sophistic movement are Protagoras, Gorgias, Antiphon, Hippias, Prodicus and Thrasymachus.

The historical and philological difficulties confronting an interpretation of the sophists are significant. Only a handful of sophistic texts have survived and most of what we know of the sophists is drawn from second-hand testimony, fragments and the generally hostile depiction of them in Plato’s dialogues.

The philosophical problem of the nature of sophistry is arguably even more formidable. Due in large part to the influence of Plato and Aristotle, the term sophistry has come to signify the deliberate use of fallacious reasoning, intellectual charlatanism and moral unscrupulousness. It is, as the article explains, an oversimplification to think of the historical sophists in these terms because they made genuine and original contributions to Western thought. Plato and Aristotle nonetheless established their view of what constitutes legitimate philosophy in part by distinguishing their own activity – and that of Socrates – from the sophists. If one is so inclined, sophistry can thus be regarded, in a conceptual as well as historical sense, as the ‘other’ of philosophy.

Perhaps because of the interpretative difficulties mentioned above, the sophists have been many things to many people. For Hegel (1995/1840) the sophists were subjectivists whose sceptical reaction to the objective dogmatism of the presocratics was synthesised in the work of Plato and Aristotle. For the utilitarian English classicist George Grote (1904), the sophists were progressive thinkers who placed in question the prevailing morality of their time. More recent work by French theorists such as Jacques Derrida (1981) and Jean Francois-Lyotard (1985) suggests affinities between the sophists and postmodernism.

This article provides a broad overview of the sophists, and indicates some of the central philosophical issues raised by their work. Section 1 discusses the meaning of the term sophist. Section 2 surveys the individual contributions of the most famous sophists. Section 3 examines three themes that have often been taken as characteristic of sophistic thought: the distinction between nature and convention, relativism about knowledge and truth and the power of speech. Finally, section 4 analyses attempts by Plato and others to establish a clear demarcation between philosophy and sophistry.

Table of Contents

  1. Introduction
  2. The Sophists
    1. Protagoras
    2. Gorgias
    3. Antiphon
    4. Hippias
    5. Prodicus
    6. Thrasymachus
  3. Major Themes of Sophistic Thought
    1. Nature and Convention
    2. Relativism
    3. Language and Reality
  4. The Distinction Between Philosophy and Sophistry
  5. References and Further Reading
    1. Primary Sources
    2. Secondary Sources
    3. Other Reading

1. Introduction

The term sophist (sophistēs) derives from the Greek words for wisdom (sophia) and wise (sophos). Since Homer at least, these terms had a wide range of application, extending from practical know-how and prudence in public affairs to poetic ability and theoretical knowledge. Notably, the term sophia could be used to describe disingenuous cleverness long before the rise of the sophistic movement. Theognis, for example, writing in the sixth century B.C.E., counsels Cyrnos to accommodate his discourse to different companions, because such cleverness (sophiē) is superior to even a great excellence (Elegiac Poems, 1072, 213).

In the fifth century B.C.E. the term sophistēs was still broadly applied to ‘wise men’, including poets such as Homer and Hesiod, the Seven Sages, the Ionian ‘physicists’ and a variety of seers and prophets. The narrower use of the term to refer to professional teachers of virtue or excellence (aretē) became prevalent in the second half of the fifth century B.C.E., although this should not be taken to imply the presence of a clear distinction between philosophers, such as Socrates, and sophists, such as Protagoras, Gorgias and Prodicus. This much is evident from Aristophanes’ play The Clouds (423 B.C.E.), in which Socrates is depicted as a sophist and Prodicus praised for his wisdom.

Aristophanes’ play is a good starting point for understanding Athenian attitudes towards sophists. The Clouds depicts the tribulations of Strepsiades, an elderly Athenian citizen with significant debts. Deciding that the best way to discharge his debts is to defeat his creditors in court, he attends The Thinkery, an institute of higher education headed up by the sophist Socrates. When he fails to learn the art of speaking in The Thinkery, Strepsiades persuades his initially reluctant son, Pheidippides, to accompany him. Here they encounter two associates of Socrates, the Stronger and the Weaker Arguments, who represent lives of justice and self-discipline and injustice and self-indulgence respectively. On the basis of a popular vote, the Weaker Argument prevails and leads Pheidippides into The Thinkery for an education in how to make the weaker argument defeat the stronger. Strepsiades later revisits The Thinkery and finds that Socrates has turned his son into a pale and useless intellectual. When Pheidippides graduates, he subsequently prevails not only over Strepsiades’ creditors, but also beats his father and offers a persuasive rhetorical justification for the act. As Pheidippides prepares to beat his mother, Strepsiades’ indignation motivates him to lead a violent mob attack on The Thinkery.

Aristophanes’ depiction of Socrates the sophist is revealing on at least three levels. In the first instance, it demonstrates that the distinction between Socrates and his sophistic counterparts was far from clear to their contemporaries. Although Socrates did not charge fees and frequently asserted that all he knew was that he was ignorant of most matters, his association with the sophists reflects both the indeterminacy of the term sophist and the difficulty, at least for the everyday Athenian citizen, of distinguishing his methods from theirs. Secondly, Aristophanes’ depiction suggests that the sophistic education reflected a decline from the heroic Athens of earlier generations. Thirdly, the attribution to the sophists of intellectual deviousness and moral dubiousness predates Plato and Aristotle.

Hostility towards sophists was a significant factor in the decision of the Athenian dēmos to condemn Socrates to the death penalty for impiety. Anytus, who was one of Socrates’ accusers at his trial, was clearly unconcerned with details such as that the man he accused did not claim to teach aretē or extract fees for so doing. He is depicted by Plato as suggesting that sophists are the ruin of all those who come into contact with them and as advocating their expulsion from the city (Meno, 91c-92c). Equally as revealing, in terms of attitudes towards the sophists, is Socrates’ discussion with Hippocrates, a wealthy young Athenian keen to become a pupil of Protagoras (Protagoras, 312a). Hippocrates is so eager to meet Protagoras that he wakes Socrates in the early hours of the morning, yet later concedes that he himself would be ashamed to be known as a sophist by his fellow citizens.

Plato depicts Protagoras as well aware of the hostility and resentment engendered by his profession (Protagoras, 316c-e). It is not surprising, Protagoras suggests, that foreigners who profess to be wise and persuade the wealthy youth of powerful cities to forsake their family and friends and consort with them would arouse suspicion. Indeed, Protagoras claims that the sophistic art is an ancient one, but that sophists of old, including poets such as Homer, Hesiod and Simonides, prophets, seers and even physical trainers, deliberately did not adopt the name for fear of persecution. Protagoras says that while he has adopted a strategy of openly professing to be a sophist, he has taken other precautions – perhaps including his association with the Athenian general Pericles – in order to secure his safety.

The low standing of the sophists in Athenian public opinion does not stem from a single source. No doubt suspicion of intellectuals among the many was a factor. New money and democratic decision-making, however, also constituted a threat to the conservative Athenian aristocratic establishment. This threatening social change is reflected in the attitudes towards the concept of excellence or virtue (aretē) alluded to in the summary above. Whereas in the Homeric epics aretē generally denotes the strength and courage of a real man, in the second half of the fifth century B.C.E. it increasingly became associated with success in public affairs through rhetorical persuasion.

In the context of Athenian political life of the late fifth century B.C.E. the importance of skill in persuasive speech, or rhetoric, cannot be underestimated. The development of democracy made mastery of the spoken word not only a precondition of political success but also indispensable as a form of self-defence in the event that one was subject to a lawsuit. The sophists accordingly answered a growing need among the young and ambitious. Meno, an ambitious pupil of Gorgias, says that the aretē – and hence function – of a man is to rule over people, that is, manage his public affairs so as to benefit his friends and harm his enemies (73c-d). This is a long-standing ideal, but one best realised in democratic Athens through rhetoric. Rhetoric was thus the core of the sophistic education (Protagoras, 318e), even if most sophists professed to teach a broader range of subjects.

Suspicion towards the sophists was also informed by their departure from the aristocratic model of education (paideia). Since Homeric Greece, paideia had been the preoccupation of the ruling nobles and was based around a set of moral precepts befitting an aristocratic warrior class. The business model of the sophists presupposed that aretē could be taught to all free citizens, a claim that Protagoras implicitly defends in his great speech regarding the origins of justice. The sophists were thus a threat to the status quo because they made an indiscriminate promise – assuming capacity to pay fees – to provide the young and ambitious with the power to prevail in public life.

One could therefore loosely define sophists as paid teachers of aretē, where the latter is understood in terms of the capacity to attain and exercise political power through persuasive speech. This is only a starting point, however, and the broad and significant intellectual achievement of the sophists, which we will consider in the following two sections, has led some to ask whether it is possible or desirable to attribute them with a unique method or outlook that would serve as a unifying characteristic while also differentiating them from philosophers.

Scholarship in the nineteenth century and beyond has often fastened on method as a way of differentiating Socrates from the sophists. For Henry Sidgwick (1872, 288-307), for example, whereas Socrates employed a question-and-answer method in search of the truth, the sophists gave long epideictic or display speeches for the purposes of persuasion. It seems difficult to maintain a clear methodical differentiation on this basis, given that Gorgias and Protagoras both claimed proficiency in short speeches and that Socrates engages in long eloquent speeches – many in mythical form – throughout the Platonic dialogues. It is moreover simply misleading to say that the sophists were in all cases unconcerned with truth, as to assert the relativity of truth is itself to make a truth claim. A further consideration is that Socrates is guilty of fallacious reasoning in many of the Platonic dialogues, although this point is less relevant if we assume that Socrates’ logical errors are unintentional.

G.B. Kerferd (1981a) has proposed a more nuanced set of methodological criteria to differentiate Socrates from the sophists. According to Kerferd, the sophists employed eristic and antilogical methods of argument, whereas Socrates disdained the former and saw the latter as a necessary but incomplete step on the way towards dialectic. Plato uses the term eristic to denote the practice – it is not strictly speaking a method – of seeking victory in argument without regard for the truth. We find a representation of eristic techniques in Plato’s dialogue Euthydemus, where the brothers Euthydemus and Dionysiodorous deliberately use egregiously fallacious arguments for the purpose of contradicting and prevailing over their opponent. Antilogic is the method of proceeding from a given argument, usually that offered by an opponent, towards the establishment of a contrary or contradictory argument in such a way that the opponent must either abandon his first position or accept both positions. This method of argumentation was employed by most of the sophists, and examples are found in the works of Protagoras and Antiphon.

Kerferd’s claim that we can distinguish between philosophy and sophistry by appealing to dialectic remains problematic, however. In what are usually taken to be the “early” Platonic dialogues, we find Socrates’ employing a dialectical method of refutation referred to as the elenchus. As Nehamas has argued (1990), while the elenchus is distinguishable from eristic because of its concern with the truth, it is harder to differentiate from antilogic because its success is always dependent upon the capacity of interlocutors to defend themselves against refutation in a particular case. In Plato’s “middle” and “later” dialogues, on the other hand, according to Nehamas’ interpretation, Plato associates dialectic with knowledge of the forms, but this seemingly involves an epistemological and metaphysical commitment to a transcendent ontology that most philosophers, then and now, would be reluctant to uphold.

More recent attempts to explain what differentiates philosophy from sophistry have accordingly tended to focus on a difference in moral purpose or in terms of choices for different ways way of life, as Aristotle elegantly puts it (Metaphysics IV, 2, 1004b24-5). Section 4 will return to the question of whether this is the best way to think about the distinction between philosophy and sophistry. Before this, however, it is useful to sketch the biographies and interests of the most prominent sophists and also consider some common themes in their thought.

2. The Sophists

a. Protagoras

Protagoras of Abdera (c. 490-420 B.C.E.) was the most prominent member of the sophistic movement and Plato reports he was the first to charge fees using that title (Protagoras, 349a). Despite his animus towards the sophists, Plato depicts Protagoras as quite a sympathetic and dignified figure.

One of the more intriguing aspects of Protagoras’ life and work is his association with the great Athenian general and statesman Pericles (c. 495-429 B.C.E.). Pericles, who was the most influential statesman in Athens for more than 30 years, including the first two years of the Peloponnesian War, seems to have held a high regard for philosophers and sophists, and Protagoras in particular, entrusting him with the role of drafting laws for the Athenian foundation city of Thurii in 444 B.C.E.

From a philosophical perspective, Protagoras is most famous for his relativistic account of truth – in particular the claim that ‘man is the measure of all things’ – and his agnosticism concerning the Gods. The first topic will be discussed in section 3b. Protagoras’ agnosticism is famously articulated in the claim that ‘concerning the gods I am not in a position to know either that (or how) they are or that (or how) they are not, or what they are like in appearance; for there are many things that prevent knowledge, the obscurity of the matter and the brevity of human life’ (DK, 80B4). This seems to express a form of religious agnosticism not completely foreign to educated Athenian opinion. Despite this, according to tradition, Protagoras was convicted of impiety towards the end of his life. As a consequence, so the story goes, his books were burnt and he drowned at sea while departing Athens. It is perhaps significant in this context that Protagoras seems to have been the source of the sophistic claim to ‘make the weaker argument defeat the stronger’ parodied by Aristophanes.

Plato suggests that Protagoras sought to differ his educational offering from that of other sophists, such as Hippias, by concentrating upon instruction in aretē in the sense of political virtue rather than specialised studies such as astronomy and mathematics (Protagoras, 318e).

Apart from his works Truth and On the Gods, which deal with his relativistic account of truth and agnosticism respectively, Diogenes Laertius says that Protagoras wrote the following books: Antilogies, Art of Eristics, Imperative, On Ambition, On Incorrect Human Actions, On those in Hades, On Sciences, On Virtues, On Wrestling, On the Original State of Things and Trial over a Fee.

b. Gorgias

Gorgias of Leontini (c.485 – c.390 B.C.E.) is generally considered as a member of the sophistic movement, despite his disavowal of the capacity to teach aretē (Meno, 96c). The major focus of Gorgias was rhetoric and given the importance of persuasive speaking to the sophistic education, and his acceptance of fees, it is appropriate to consider him alongside other famous sophists for present purposes.

Gorgias visited Athens in 427 B.C.E. as the leader of an embassy from Leontini with the successful intention of persuading the Athenians to make an alliance against Syracuse. He travelled extensively around Greece, earning large sums of money by giving lessons in rhetoric and epideictic speeches.

Plato’s Gorgias depicts the rhetorician as something of a celebrity, who either does not have well thought out views on the implications of his expertise, or is reluctant to share them, and who denies his responsibility for the unjust use of rhetorical skill by errant students. Although Gorgias presents himself as moderately upstanding, the dramatic structure of Plato’s dialogue suggests that the defence of injustice by Polus and the appeal to the natural right of the stronger by Callicles are partly grounded in the conceptual presuppositions of Gorgianic rhetoric.

Gorgias’ original contribution to philosophy is sometimes disputed, but the fragments of his works On Not Being or Nature and Helen – discussed in detail in section 3c – feature intriguing claims concerning the power of rhetorical speech and a style of argumentation reminiscent of Parmenides and Zeno. Gorgias is also credited with other orations and encomia and a technical treatise on rhetoric titled At the Right Moment in Time.

c. Antiphon

The biographical details surrounding Antiphon the sophist (c. 470-411 B.C.) are unclear – one unresolved issue is whether he should be identified with Antiphon of Rhamnus (a statesman and teacher of rhetoric who was a member of the oligarchy which held power in Athens briefly in 411 B.C.E.). However, since the publication of fragments from his On Truth in the early twentieth century he has been regarded as a major representative of the sophistic movement.

On Truth, which features a range of positions and counterpositions on the relationship between nature and convention (see section 3a below), is sometimes considered an important text in the history of political thought because of its alleged advocacy of egalitarianism:

Those born of illustrious fathers we respect and honour, whereas those who come from an undistinguished house we neither respect nor honour. In this we behave like barbarians towards one another. For by nature we all equally, both barbarians and Greeks, have an entirely similar origin: for it is fitting to fulfil the natural satisfactions which are necessary to all men: all have the ability to fulfil these in the same way, and in all this none of us is different either as barbarian or as Greek; for we all breathe into the air with mouth and nostrils and we all eat with the hands (quoted in Untersteiner, 1954).

Whether this statement should be taken as expressing the actual views of Antiphon, or rather as part of an antilogical presentation of opposing views on justice remains an open question, as does whether such a position rules out the identification of Antiphon the sophist with the oligarchical Antiphon of Rhamnus.

d. Hippias

The exact dates for Hippias of Elis are unknown, but scholars generally assume that he lived during the same period as Protagoras. Whereas Plato’s depictions of Protagoras – and to a lesser extent Gorgias – indicate a modicum of respect, he presents Hippias as a comic figure who is obsessed with money, pompous and confused.

Hippias is best known for his polymathy (DK 86A14). His areas of expertise seem to have included astronomy, grammar, history, mathematics, music, poetry, prose, rhetoric, painting and sculpture. Like Gorgias and Prodicus, he served as an ambassador for his home city. His work as a historian, which included compiling lists of Olympic victors, was invaluable to Thucydides and subsequent historians as it allowed for a more precise dating of past events. In mathematics he is attributed with the discovery of a curve – the quadratrix – used to trisect an angle.

In terms of his philosophical contribution, Kerferd has suggested, on the basis of Plato’s Hippias Major (301d-302b), that Hippias advocated a theory that classes or kinds of thing are dependent on a being that traverses them. It is hard to make much sense of this alleged doctrine on the basis of available evidence. As suggested above, Plato depicts Hippias as philosophically shallow and unable to keep up with Socrates in dialectical discussion.

e. Prodicus

Prodicus of Ceos lived during roughly the same period as Protagoras and Hippias. He is best known for his subtle distinctions between the meanings of words. He is thought to have written a treatise titled On the Correctness of Names.

Plato gives an amusing account of Prodicus’ method in the following passage of the Protagoras:

Prodicus spoke up next: … ‘those who attend discussions such as this ought to listen impartially, but not equally, to both interlocutors. There is a distinction here. We ought to listen impartially but not divide our attention equally: More should go to the wiser speaker and less to the more unlearned … In this way our meeting would take a most attractive turn, for you, the speakers, would then most surely earn the respect, rather than the praise, of those listening to you. For respect is guilelessly inherent in the souls of listeners, but praise is all too often merely a deceitful verbal expression. And then, too, we, your audience, would be most cheered, but not pleased, for to be cheered is to learn something, to participate in some intellectual activity; but to be pleased has to do with eating or experiencing some other pleasure in the body’ (337a-c).

Prodicus’ epideictic speech, The Choice of Heracles, was singled out for praise by Xenophon (Memorabilia, II.1.21-34) and in addition to his private teaching he seems to have served as an ambassador for Ceos (the birthplace of Simonides) on several occasions.

Socrates, although perhaps with some degree of irony, was fond of calling himself a pupil of Prodicus (Protagoras, 341a; Meno, 96d).

f. Thrasymachus

Thrasymachus was a well-known rhetorician in Athens in the latter part of the fifth century B.C.E., but our only surviving record of his views is contained in Plato’s Cleitophon and Book One of The Republic. He is depicted as brash and aggressive, with views on the nature of justice that will be examined in section 3a.

3. Major Themes of Sophistic Thought

a. Nature and Convention

The distinction between physis (nature) and nomos (custom, law, convention) was a central theme in Greek thought in the second half of the fifth century B.C.E. and is especially important for understanding the work of the sophists. Before turning to sophistic considerations of these concepts and the distinction between them, it is worth sketching the meaning of the Greek terms.

Aristotle defines physis as ‘the substance of things which have in themselves as such a source of movement’ (Metaphysics, 1015a13-15). The term physis is closely connected with the Greek verb to grow (phuō) and the dynamic aspect of physis reflects the view that the nature of things is found in their origins and internal principles of change. Some of the Ionian thinkers now referred to as presocratics, including Thales and Heraclitus, used the term physis for reality as a whole, or at least its underlying material constituents, referring to the investigation of nature in this context as historia (inquiry) rather than philosophy.

The term nomos refers to a wide range of normative concepts extending from customs and conventions to positive law. It would be misleading to regard the term as referring only to arbitrary human conventions, as Heraclitus’ appeal to the distinction between human nomoi and the one divine nomos (DK 22B2 and 114) makes clear. Nonetheless, increased travel, as exemplified by the histories of Herodotus, led to a greater understanding of the wide array of customs, conventions and laws among communities in the ancient world. This recognition sets up the possibility of a dichotomy between what is unchanging and according to nature and what is merely a product of arbitrary human convention.

The dichotomy between physis and nomos seems to have been something of a commonplace of sophistic thought and was appealed to by Protagoras and Hippias among others. Perhaps the most instructive sophistic account of the distinction, however, is found in Antiphon’s fragment On Truth.

Antiphon applies the distinction to notions of justice and injustice, arguing that the majority of things which are considered just according to nomos are in direct conflict with nature and hence not truly or naturally just (DK 87 A44). The basic thrust of Antiphon’s argument is that laws and conventions are designed as a constraint upon our natural pursuit of pleasure. In a passage suggestive of the discussion on justice early in Plato’s Republic, Antiphon also asserts that one should employ justice to one’s advantage by regarding the laws as important when witnesses are present, but disregarding them when one can get away with it. Although these arguments may be construed as part of an antilogical exercise on nature and convention rather than prescriptions for a life of prudent immorality, they are consistent with views on the relation between human nature and justice suggested by Plato’s depiction of Callicles and Thrasymachus in the Gorgias and Republic respectively.

Callicles, a young Athenian aristocrat who may be a real historical figure or a creation of Plato’s imagination, was not a sophist; indeed he expresses disdain for them (Gorgias, 520a). His account of the relation between physis and nomos nonetheless owes a debt to sophistic thought. According to Callicles, Socrates’ arguments in favour of the claim that it is better to suffer injustice than to commit injustice trade on a deliberate ambiguity in the term justice. Callicles argues that conventional justice is a kind of slave morality imposed by the many to constrain the desires of the superior few. What is just according to nature, by contrast, is seen by observing animals in nature and relations between political communities where it can be seen that the strong prevail over the weak. Callicles himself takes this argument in the direction of a vulgar sensual hedonism motivated by the desire to have more than others (pleonexia), but sensual hedonism as such does not seem to be a necessary consequence of his account of natural justice.

Although the sophist Thrasymachus does not employ the physis/nomos distinction in Book One of the Republic, his account of justice (338d-354c) belongs within a similar conceptual framework. Like Callicles, Thrasymachus accuses Socrates of deliberate deception in his arguments, particularly in the claim the art of justice consists in a ruler looking after their subjects. According to Thrasymachus, we do better to think of the ruler/ruled relation in terms of a shepherd looking after his flock with a view to its eventual demise. Justice in conventional terms is simply a naive concern for the advantage of another. From another more natural perspective, justice is the rule of the stronger, insofar as rulers establish laws which persuade the multitude that it is just for them to obey what is to the advantage of the ruling few

An alternative, and more edifying, account of the relation between physis and nomos is found in Protagoras’ great speech (Protagoras, 320c-328d). According to Protagoras’ myth, man was originally set forth by the gods into a violent state of nature reminiscent of that later described by Hobbes. Our condition improved when Zeus bestowed us with shame and justice; these enabled us to develop the skill of politics and hence civilized communal relations and virtue. Apart from supporting his argument that aretē can be taught, this account suggests a defence of nomos on the grounds that nature by itself is insufficient for the flourishing of man considered as a political animal.

b. Relativism

The primary source on sophistic relativism about knowledge and/or truth is Protagoras’ famous ‘man is the measure’ statement. Interpretation of Protagoras’ thesis has always been a matter of controversy. Caution is needed in particular against the temptation to read modern epistemological concerns into Protagoras’ account and sophistic teaching on the relativity of truth more generally.

Protagoras measure thesis is as follows:

A human being is the measure of all things, of those things that are, that they are, and of those things that are not, that they are not (DK, 80B1).

There is near scholarly consensus that Protagoras is referring here to each human being as the measure of what is rather than ‘humankind’ as such, although the Greek term for ‘human’ –hōanthrōpos– certainly does not rule out the second interpretation. Plato’s Theaetetus (152a), however, suggests the first reading and I will assume its correctness here. On this reading we can regard Protagoras as asserting that if the wind, for example, feels (or seems) cold to me and feels (or seems) warm to you, then the wind is cold for me and is warm for you.

Another interpretative issue concerns whether we should construe Protagoras’ statement as primarily ontological or epistemological in intent. Scholarship by Kahn, Owen and Kerferd among others suggests that, while the Greeks lacked a clear distinction between existential and predicative uses of ‘to be’, they tended to treat existential uses as short for predicative uses.

Having sketched some of the interpretative difficulties surrounding Protagoras’ statement, we are still left with at least three possible readings (Kerferd, 1981a, 86). Protagoras could be asserting that (i) there is no mind-independent wind at all, but merely private subjective winds (ii) there is a wind that exists independently of my perception of it, but it is in itself neither cold nor warm as these qualities are private (iii) there is a wind that exists independently of my perception of it and this is both cold and warm insofar as two qualities can inhere in the same mind-independent ‘entity’.

All three interpretations are live options, with (i) perhaps the least plausible. Whatever the exact import of Protagoras’ relativism, however, the following passage from the Theaetetus suggests that it was also extended to the political and ethical realm:

Whatever in any particular city is considered just and admirable is just and admirable in that city, for so long as the convention remains in place (167c).

One difficulty this passage raises is that while Protagoras asserted that all beliefs are equally true, he also maintained that some are superior to others because they are more subjectively fulfilling for those who hold them. Protagoras thus seems to want it both ways, insofar as he removes an objective criterion of truth while also asserting that some subjective states are better than others. His appeal to better and worse beliefs could, however, be taken to refer to the persuasiveness and pleasure induced by certain beliefs and speeches rather than their objective truth.

The other major source for sophistic relativism is the Dissoi Logoi, an undated and anonymous example of Protagorean antilogic. In the Dissoi Logoi we find competing arguments on five theses, including whether the good and the bad are the same or different, and a series of examples of the relativity of different cultural practices and laws. Overall the Dissoi Logoi can be taken to uphold not only the relativity of truth but also what Barney (2006, 89) has called the variability thesis: whatever is good in some qualified way is also bad in another respect and the same is the case for a wide range of contrary predicates.

c. Language and Reality

Understandably given their educational program, the sophists placed great emphasis upon the power of speech (logos). Logos is a notoriously difficult term to translate and can refer to thought and that about which we speak and think as well as rational speech or language. The sophists were interested in particular with the role of human discourse in the shaping of reality. Rhetoric was the centrepiece of the curriculum, but literary interpretation of the work of poets was also a staple of sophistic education. Some philosophical implications of the sophistic concern with speech are considered in section 4, but in the current section it is instructive to concentrate on Gorgias’ account of the power of rhetorical logos.

The extant fragments attributed to the historical Gorgias indicate not only scepticism towards essential being and our epistemic access to this putative realm, but an assertion of the omnipotence of persuasive logos to make the natural and practical world conform to human desires. Reporting upon Gorgias’ speech About the Nonexistent or on Nature, Sextus says that the rhetorician, while adopting a different approach from that of Protagoras, also eliminated the criterion (DK, 82B3). The elimination of the criterion refers to the rejection of a standard that would enable us to distinguish clearly between knowledge and opinion about being and nature. Whereas Protagoras asserted that man is the measure of all things, Gorgias concentrated upon the status of truth about being and nature as a discursive construction.

About the Nonexistent or on Nature transgresses the injunction of Parmenides that one cannot say of what is that it is not. Employing a series of conditional arguments in the manner of Zeno, Gorgias asserts that nothing exists, that if it did exist it could not be apprehended, and if it was apprehended it could not be articulated in logos. The elaborate parody displays the paradoxical character of attempts to disclose the true nature of beings through logos:

For that by which we reveal is logos, but logos is not substances and existing things. Therefore we do not reveal existing things to our comrades, but logos, which is something other than substances (DK, 82B3)

Even if knowledge of beings was possible, its transmission in logos would always be distorted by the rift between substances and our apprehension and communication of them. Gorgias also suggests, even more provocatively, that insofar as speech is the medium by which humans articulate their experience of the world, logos is not evocative of the external, but rather the external is what reveals logos. An understanding of logos about nature as constitutive rather than descriptive here supports the assertion of the omnipotence of rhetorical expertise. Gorgias’ account suggests there is no knowledge of nature sub specie aeternitatis and our grasp of reality is always mediated by discursive interpretations, which, in turn, implies that truth cannot be separated from human interests and power claims.

In the Encomium to Helen Gorgias refers to logos as a powerful master (DK, 82B11). If humans had knowledge of the past, present or future they would not be compelled to adopt unpredictable opinion as their counsellor. The endless contention of astronomers, politicians and philosophers is taken to demonstrate that no logos is definitive. Human ignorance about non-existent truth can thus be exploited by rhetorical persuasion insofar as humans desire the illusion of certainty imparted by the spoken word:

The effect of logos upon the condition of the soul is comparable to the power of drugs over the nature of bodies. For just as different drugs dispel different secretions from the body, and some bring an end to disease and others to life, so also in the case of logoi, some distress, others delight, some cause fear, others make hearers bold, and some drug and bewitch the soul with a kind of evil persuasion (DK, 82B11).

All who have persuaded people, Gorgias says, do so by moulding a false logos. While other forms of power require force, logos makes all its willing slave.

This account of the relation between persuasive speech, knowledge, opinion and reality is broadly consistent with Plato’s depiction of the rhetorician in the Gorgias. Both Protagoras’ relativism and Gorgias’ account of the omnipotence of logos are suggestive of what we moderns might call a deflationary epistemic anti-realism.

4. The Distinction Between Philosophy and Sophistry

The distinction between philosophy and sophistry is in itself a difficult philosophical problem. This closing section examines the attempt of Plato to establish a clear line of demarcation between philosophy and sophistry.

As alluded to above, the terms ‘philosopher’ and ‘sophist’ were disputed in the fifth and fourth century B.C.E., the subject of contention between rival schools of thought. Histories of philosophy tend to begin with the Ionian ‘physicist’ Thales, but the presocratics referred to the activity they were engaged in as historia (inquiry) rather than philosophia and although it may have some validity as a historical projection, the notion that philosophy begins with Thales derives from the mid nineteenth century. It was Plato who first clearly and consistently refers to the activity of philosophia and much of what he has to say is best understood in terms of an explicit or implicit contrast with the rival schools of the sophists and Isocrates (who also claimed the title philosophia for his rhetorical educational program).

The related questions as to what a sophist is and how we can distinguish the philosopher from the sophist were taken very seriously by Plato. He also acknowledges the difficulty inherent in the pursuit of these questions and it is perhaps revealing that the dialogue dedicated to the task, Sophist, culminates in a discussion about the being of non-being. Socrates converses with sophists in Euthydemus, Hippias Major, Hippias Minor, Gorgias, Protagoras and the Republic and discusses sophists at length in the Apology, Sophist, Statesman and Theaetetus. It can thus be argued that the search for the sophist and distinction between philosophy and sophistry are not only central themes in the Platonic dialogues, but constitutive of the very idea and practice of philosophy, at least in its original sense as articulated by Plato.

This point has been recognised by recent poststructuralist thinkers such as Jacques Derrida and Jean Francois-Lyotard in the context of their project to place in question central presuppositions of the Western philosophical tradition deriving from Plato. Derrida attacks the interminable trial prosecuted by Plato against the sophists with a view to exhuming ‘the conceptual monuments marking out the battle lines between philosophy and sophistry’ (1981, 106). Lyotard views the sophists as in possession of unique insight into the sense in which discourses about what is just cannot transcend the realm of opinion and pragmatic language games (1985, 73-83).

The prospects for establishing a clear methodological divide between philosophy and sophistry are poor. Apart from the considerations mentioned in section 1, it would be misleading to say that the sophists were unconcerned with truth or genuine theoretical investigation and Socrates is clearly guilty of fallacious reasoning in many of the Platonic dialogues. In the Sophist, in fact, Plato implies that the Socratic technique of dialectical refutation represents a kind of ‘noble sophistry’ (Sophist, 231b).

This in large part explains why contemporary scholarship on the distinction between philosophy and sophistry has tended to focus on a difference in moral character. Nehamas, for example, has argued that ‘Socrates did not differ from the sophists in method but in overall purpose’ (1990, 13).  Nehamas relates this overall purpose to the Socratic elenchus, suggesting that Socrates’ disavowal of knowledge and of the capacity to teach aretē distances him from the sophists. However, this way of demarcating Socrates’ practice from that of his sophistic counterparts, Nehamas argues, cannot justify the later Platonic distinction between philosophy and sophistry, insofar as Plato forfeited the right to uphold the distinction once he developed a substantive philosophical teaching, that is, the theory of forms.

There is no doubt much truth in the claim that Plato and Aristotle depict the philosopher as pursuing a different way of life than the sophist, but to say that Plato defines the philosopher either through a difference in moral purpose, as in the case of Socrates, or a metaphysical presumption regarding the existence of transcendent forms, as in his later work, does not in itself adequately characterise Plato’s critique of his sophistic contemporaries. Once we attend to Plato’s own treatment of the distinction between philosophy and sophistry two themes quickly become clear: the mercenary character of the sophists and their overestimation of the power of speech. For Plato, at least, these two aspects of the sophistic education tell us something about the persona of the sophist as the embodiment of a distinctive attitude towards knowledge.

The fact that the sophists taught for profit may not seem objectionable to modern readers; most present-day university professors would be reluctant to teach pro bono. It is clearly a major issue for Plato, however. Plato can barely mention the sophists without contemptuous reference to the mercenary aspect of their trade: particularly revealing examples of Plato’s disdain for sophistic money-making and avarice are found at Apology 19d, Euthydemus 304b-c, Hippias Major 282b-e, Protagoras 312c-d and Sophist 222d-224d, and this is not an exhaustive list. Part of the issue here is no doubt Plato’s commitment to a way of life dedicated to knowledge and contemplation. It is significant that students in the Academy, arguably the first higher education institution, were not required to pay fees. This is only part of the story, however.

A good starting point is to consider the etymology of the term philosophia as suggested by the Phaedrus and Symposium. After completing his palinode in the Phaedrus, Socrates expresses the hope that he never be deprived of his ‘erotic’ art. Whereas the speechwriter Lysias presents erōs (desire, love) as an unseemly waste of expenditure (Phaedrus, 257a), in his later speech Socrates demonstrates how erōs impels the soul to rise towards the forms. The followers of Zeus, or philosophy, Socrates suggests, educate the object of their erōs to imitate and partake in the ways of the God. Similarly, in the Symposium, Socrates refers to an exception to his ignorance. Approving of the suggestion by Phaedrus that the drinking party eulogise erōs, Socrates states that ta erōtika (the erotic things) are the only subject concerning which he would claim to possess rigorous knowledge (Symposium, 177 d-e). When it is his turn to deliver a speech, Socrates laments his incapacity to compete with the Gorgias-influenced rhetoric of Agathon before delivering Diotima’s lessons on erōs, represented as a daimonion or semi-divine intermediary between the mortal and the divine. Erōs is thus presented as analogous to philosophy in its etymological sense, a striving after wisdom or completion that can only be temporarily fulfilled in this life by contemplation of the forms of the beautiful and the good (204a-b). The philosopher is someone who strives after wisdom – a friend or lover of wisdom – not someone who possesses wisdom as a finished product, as the sophists claimed to do and as their name suggests.

Plato’s emphasis upon philosophy as an ‘erotic’ activity of striving for wisdom, rather than as a finished state of completed wisdom, largely explains his distaste for sophistic money-making. The sophists, according to Plato, considered knowledge to be a ready-made product that could be sold without discrimination to all comers. The Theages, a Socratic dialogue whose authorship some scholars have disputed, but which expresses sentiments consistent with other Platonic dialogues, makes this point with particular clarity. The farmer Demodokos has brought his son, Theages, who is desirous of wisdom, to Socrates. As Socrates questions his potential pupil regarding what sort of wisdom he seeks, it becomes evident that Theages seeks power in the city and influence over other men. Since Theages is looking for political wisdom, Socrates refers him to the statesmen and the sophists. Disavowing his ability to compete with the expertise of Gorgias and Prodicus in this respect, Socrates nonetheless admits his knowledge of the erotic things, a subject about which he claims to know more than any man who has come before or indeed any of those to come (Theages, 128b). In response to the suggestion that he study with a sophist, Theages reveals his intention to become a pupil of Socrates. Perhaps reluctant to take on an unpromising pupil, Socrates insists that he must follow the commands of his daimonion, which will determine whether those associating with him are capable of making any progress (Theages, 129c). The dialogue ends with an agreement that all parties make trial of the daimonion to see whether it permits of the association.

One need only follow the suggestion of the Symposium that erōs is a daimonion to see that Socratic education, as presented by Plato, is concomitant with a kind of ‘erotic’ concern with the beautiful and the good, considered as natural in contrast to the purely conventional. Whereas the sophists accept pupils indiscriminately, provided they have the money to pay, Socrates is oriented by his desire to cultivate the beautiful and the good in promising natures. In short, the difference between Socrates and his sophistic contemporaries, as Xenophon suggests, is the difference between a lover and a prostitute. The sophists, for Xenophon’s Socrates, are prostitutes of wisdom because they sell their wares to anyone with the capacity to pay (Memorabilia, I.6.13). This – somewhat paradoxically – accounts for Socrates’ shamelessness in comparison with his sophistic contemporaries, his preparedness to follow the argument wherever it leads. By contrast, Protagoras and Gorgias are shown, in the dialogues that bear their names, as vulnerable to the conventional opinions of the paying fathers of their pupils, a weakness contributing to their refutation. The sophists are thus characterised by Plato as subordinating the pursuit of truth to worldly success, in a way that perhaps calls to mind the activities of contemporary advertising executives or management consultants.

The overestimation of the power of human speech is the other theme that emerges clearly from Plato’s (and Aristotle’s) critique of the sophists. In the Sophist, Plato says that dialectic – division and collection according to kinds – is the knowledge possessed by the free man or philosopher (Sophist, 253c). Here Plato reintroduces the difference between true and false rhetoric, alluded to in the Phaedrus, according to which the former presupposes the capacity to see the one in the many (Phaedrus, 266b). Plato’s claim is that the capacity to divide and synthesise in accordance with one form is required for the true expertise of logos. Whatever else one makes of Plato’s account of our knowledge of the forms, it clearly involves the apprehension of a higher level of being than sensory perception and speech. The philosopher, then, considers rational speech as oriented by a genuine understanding of being or nature. The sophist, by contrast, is said by Plato to occupy the realm of falsity, exploiting the difficulty of dialectic by producing discursive semblances, or phantasms, of true being (Sophist, 234c). The sophist uses the power of persuasive speech to construct or create images of the world and is thus a kind of ‘enchanter’ and imitator.

This aspect of Plato’s critique of sophistry seems particularly apposite in regard to Gorgias’ rhetoric, both as found in the Platonic dialogue and the extant fragments attributed to the historical Gorgias. In response to Socratic questioning, Gorgias asserts that rhetoric is an all-comprehending power that holds under itself all of the other activities and occupations (Gorgias, 456a). He later claims that it is concerned with the greatest good for man, namely those speeches that allow one to attain freedom and rule over others, especially, but not exclusively, in political settings (452d). As suggested above, in the context of Athenian public life the capacity to persuade was a precondition of political success. For present purposes, however, the key point is that freedom and rule over others are both forms of power: respectively power in the sense of liberty or capacity to do something, which suggests the absence of relevant constraints, and power in the sense of dominion over others. Gorgias is suggesting that rhetoric, as the expertise of persuasive speech, is the source of power in a quite comprehensive sense and that power is ‘the good’. What we have here is an assertion of the omnipotence of speech, at the very least in relation to the determination of human affairs.

The Socratic position, as becomes clear later in the discussion with Polus (466d-e), and is also suggested in Meno (88c-d) and Euthydemus (281d-e), is that power without knowledge of the good is not genuinely good. Without such knowledge not only ‘external’ goods, such as wealth and health, not only the areas of expertise that enable one to attain such so-called goods, but the very capacity to attain them is either of no value or harmful. This in large part explains the so-called Socratic paradox that virtue is knowledge.

Plato’s critique of the sophists’ overestimation of the power of speech should not be conflated with his commitment to the theory of the forms. For Plato, the sophist reduces thinking to a kind of making: by asserting the omnipotence of human speech the sophist pays insufficient regard to the natural limits upon human knowledge and our status as seekers rather than possessors of knowledge (Sophist, 233d). This critique of the sophists does perhaps require a minimal commitment to a distinction between appearance and reality, but it is an oversimplification to suggest that Plato’s distinction between philosophy and sophistry rests upon a substantive metaphysical theory, in large part because our knowledge of the forms for Plato is itself inherently ethical. Plato, like his Socrates, differentiates the philosopher from the sophist primarily through the virtues of the philosopher’s soul (McKoy, 2008). Socrates is an embodiment of the moral virtues, but love of the forms also has consequences for the philosopher’s character.

There is a further ethical and political aspect to the Platonic and Aristotelian critique of the sophists’ overestimation of the power of speech. In Book Ten of Nicomachean Ethics, Aristotle suggests that the sophists tended to reduce politics to rhetoric (1181a12-15) and overemphasised the role that could be played by rational persuasion in the political realm. Part of Aristotle’s point is that there is an element to living well that transcends speech. As Hadot eloquently puts it, citing Greek and Roman sources, ‘traditionally people who developed an apparently philosophical discourse without trying to live their lives in accordance with their discourse, and without their discourse emanating from their life experience, were called sophists’ (2004, 174).

The testimony of Xenophon, a Greek general and man of action, is instructive here. In his treatise on hunting, (Cynēgeticus, 13.1-9), Xenophon commends Socratic over sophistic education in aretē, not only on the grounds that the sophists hunt the young and rich and are deceptive, but also because they are men of words rather than action. The importance of consistency between one’s words and actions if one is to be truly virtuous is a commonplace of Greek thought, and this is one important respect in which the sophists, at least from the Platonic-Aristotelian perspective, fell short.

One might think that a denial of Plato’s demarcation between philosophy and sophistry remains well-motivated simply because the historical sophists made genuine contributions to philosophy. But this does not entail the illegitimacy of Plato’s distinction. Once we recognise that Plato is pointing primarily to a fundamental ethical orientation relating to the respective personas of the philosopher and sophist, rather than a methodological or purely theoretical distinction, the tension dissolves. This is not to deny that the ethical orientation of the sophist is likely to lead to a certain kind of philosophising, namely one which attempts to master nature, human and external, rather than understand it as it is.

Sophistry for Socrates, Plato and Aristotle represents a choice for a certain way of life, embodied in a particular attitude towards knowledge which views it as a finished product to be transmitted to all comers. Plato’s distinction between philosophy and sophistry is not simply an arbitrary viewpoint in a dispute over naming rights, but is rather based upon a fundamental difference in ethical orientation. Neither is this orientation reducible to concern with truth or the cogency of one’s theoretical constructs, although it is not unrelated to these. Where the philosopher differs from the sophist is in terms of the choice for a way of life that is oriented by the pursuit of knowledge as a good in itself while remaining cognisant of the necessarily provisional nature of this pursuit.

5. References and Further Reading

Translations are from the Cooper collected works edition of Plato and the Sprague edition of the sophists unless otherwise indicated. The reference list below is restricted to a few basic sources; readers interested to learn more about the sophists are advised to consult the excellent overviews by Barney (2006) and Kerferd (1981a) for a more comprehensive list of secondary literature.

a. Primary Sources

  • Aristophanes, Clouds, K.J. Dover (ed.), Oxford: Oxford University Press. 1970.
  • Barnes, J. (ed.). 1984. The Complete Works of Aristotle, New Jersey: Princeton University Press.
  • Diels, H. 1951. Die Fragmente der Vorsokratiker. Berlin: Weidman.
  • Cooper, J.M. (ed.). 1997. Plato: Complete Works. Indianopolis: Hackett.
  • Hudson-Williams. T. 1910. Theognis: Elegies and other elegies included in the Theognideansylloge. London: G.Bell.
  • Phillips, A.A. and Willcock, M.M (eds.). 1999. Xenophon &Arrian, On hunting (Kynēgetikos). Warminster: Aris& Phillips.
  • Sprague, R. 1972. The Older Sophists. South Carolina: University of South Carolina Press.
  • Xenophon, Memorabilia, trans. A.L. Bonnette, Ithaca: Cornell University Press. 1994.

b. Secondary Sources

  • Barney, R. 2006. ‘The Sophistic Movement’, in M.L. Gill and P. Pellegrin (eds.), A Companion to Ancient Philosophy, 77-97. Oxford: Blackwell.
  • Gibert, J. 2003. ‘The Sophists.’ In C. Shields (ed.), The Blackwell Guide to Ancient Philosophy, 27-50. Oxford, Blackwell.
  • Guthrie, W.K.C. 1971. The Sophists. Cambridge: Cambridge University Press.
  • Kerferd, G.B. 1981a. The Sophistic Movement. Cambridge: Cambridge University Press.
  • Kerferd, G.B. 1981b. The Sophists and their Legacy. Wiesbaden: Steiner.
  • Sidgwick, H. 1872. ‘The Sophists’.Journal of Philology 4, 289.
  • Untersteiner, M. 1954. The Sophists.trans. K. Freeman. Oxford: Basil Blackwell.

c. Other Reading

  • Adkins, A. 1960.Merit and Responsibility. Oxford: Clarendon Press.
  • Benardete, S. 1991. The Rhetoric of Morality and Philosophy. Chicago: University of Chicago Press.
  • Bett, R. 1989. ‘The Sophists and Relativism.’Phronesis 34, 139-69.
  • Bett, R. 2002. ‘Is There a Sophistic Ethics?’ Ancient Philosophy, 22, 235-62.
  • Derrida, J. 1981. Dissemination, trans. B. Johnson. Chicago: University of Chicago Press.
  • Grote, G. 1904. A History of Greece vol.7. London: John Murray.
  • Hadot, P. 2004. What is Ancient Philosophy? Cambridge: Cambridge University Press.
  • Harrison, E.L. 1964. ‘Was Gorgias a Sophist?’ Phoenix vol. 18.3.
  • Hegel, G.W.F. 1995. Lectures on the History of Philosophy, trans. E.S. Haldane, Lincoln: University of Nebraska Press (original work published 1840).
  • Irwin, T.H. 1995. ‘Plato’s Objections to the Sophists’. In C.A. Powell (ed.), The Greek World, 568-87. London: Routledge.
  • Jarratt, S. 1991. Rereading the Sophists. Carbondale: Southern Illinois Press.
  • Kahn, Charles. 1983. ‘Drama and Dialectic in Plato’s Gorgias’ in Julia Annas (ed.) Oxford Studies in Ancient Philosophy vol. 1. Oxford: Clarendon Press.
  • Kennedy, G. 1963. The Art of Persuasion in Ancient Greece, London: Routledge and Kegan Paul.
  • Lyotard, J.F. and Thébaud, J-L. 1985.  Just Gaming, trans. W. Godzich. Minneapolis: University of Minnesota Press.
  • McCoy, M. 2008. Plato on the Rhetoric of Philosophers and Sophists.Cambridge: Cambridge University Press.
  • Nehamas, A. 1990. ‘Eristic, Antilogic, Sophistic, Dialectic: Plato’s Demarcation of Philosophy from Sophistry’. History of Philosophy Quarterly, 7, 3-16.
  • Wardy, Robert. 1996. The Birth of Rhetoric: Gorgias, Plato and their successors. London: Routledge.

 

Author Information

George Duke
Email: george.duke@deakin.edu.au
Deakin University
Australia

Wang Chong (Wang Ch’ung) (25—100 C.E.)

Wang Chong (Wang Ch’ung) was an early Chinese philosopher who wrote during the Eastern Han dynasty. He is often interpreted as offering a materialist and skeptical philosophical system.  Wang’s essays on physics, astronomy, ethics, methodology, and criticism are collected in the Lunheng (“Balanced Discussions”), the work for which he is mainly known.  Largely self-taught, Wang demonstrates an encyclopedic knowledge of history and science in his work, and it was primarily as an encyclopedic resource that Wang’s Lunheng was read and preserved in later Chinese history.  The essays of the Lunheng focus on criticism of common views on all areas of philosophy and physics, and on appraisal of traditional philosophical texts.  Although much of Wang’s work is critical, he also develops positive views on a number of important topics, including methodology, the spontaneous workings of heaven and earth, and the concepts of qi (vital essence), ming (destiny), and xing (behavioral characteristics).  Although Wang’s influence was minimal during and immediately after his lifetime and for many years afterward (until a brief period of interest in the late 11th and 12th centuries), there was a resurgence of interest in his work in the 19th and 20th centuries both in China and the West, following the ascendance of scientific materialism in modern thought.  Interest in Wang was generated in this period by (in the West) studies in early Chinese science by figures such as Joseph Needham and Alfred Forke, and (in China) first by the critical movements in the late Qing and later the rise to dominance of the materialist Marxist thought of the Communist Party, which praised and elevated Wang’s thought for its opposition to superstition, materialism, and skepticism.

Table of Contents

  1. Life and Works
  2. Textual Issues and Literary Style
  3. Purpose and Method
    1. On “Creation and Transmission”
    2. Truth/Reality (shi)
  4. Critical Thought
    1. Specific Criticisms of Philosophers
      1. Confucius
      2. Han Feizi
    2. Ghosts, the Supernatural, and Other Superstitions
      1. Ghosts
      2. Talent and Success
  5. Physics and Metaphysics
    1. Qi (Vital Essence/Fluid)
    2. Tian (Heaven)
    3. Astronomy and Physics
      1. Celestial Objects
      2. Heaven and Earth
  6. Ethics
    1. Ming (Destiny)
    2. Xing (Characteristics)
  7. Influence
    1. Influences and Place in Han Dynasty Thought
    2. Later Influence
  8. References and Further Reading

1. Life and Works

Wang Chong was born in the year 27 C.E. (according to his autobiography), in the village of Shangyu in Kuaiji Commandery (modern day Shaoxing, Zhejiang province) along the eastern coast of China.  His birth came in the third year of the reign of the first Eastern Han emperor Guangwu, who restored the Han Dynasty after defeating Wang Mang, the man who had seized power from the Western (or Early) Han and established the short lived “Xin” (New) Dynasty (9-23 C.E.). According to Wang in his autobiographical essay (contained in Lunheng), his family, reaching back to his grandfather Wang Fan (whose son Wang Song was Wang Chong’s father), was comprised of lower class troublemakers, even though it had more respectable origins, with Wang Fan’s father having been a landowner.  Because of their status and behavior, Wang Chong’s family moved a number of times, finally settling in Kuaiji.

In his autobiographical chapter, Wang speaks of his youth being one of straitened circumstances.  He was, however, still able to get an education by reading books while sitting around the stalls of booksellers, and in this way gained an encyclopedic knowledge of history, philosophy, and religion, as evidenced in Lunheng.  Based on the breadth of his knowledge, Wang Chong was (if his claims are taken seriously) one of the greatest autodidacts of early Chinese history.  His self-taught style is evidenced by the uncommon (some might claim awkward) literary style of his writings, which Wang defends in the autobiographical essay contained in Lunheng.

Wang rose to the position of Officer of Merit (gong shi) in Kuaiji, but held this position only briefly, his contrarian spirit no doubt making important enemies for him which led to the demise of his career.  This experience further disenchanted Wang with “common morals and beliefs,” and he went into retirement to write a number of works challenging these common views.  According to Wang, he was inspired to write “On Government” (Zhengwu) to remedy the perceived inadequacy of the imperial government (likely that of Emperor Ming but possibly that of Emperor Zhang), reinvigorating those engaged in governing.  His “Censures on Common Morals” (Jisu jieyi) was written in response to a number of “friends” who supported him while he had position quickly abandoning him once he lost his post.  Wang briefly held another position after this period, as an officer to Dong Qin, the inspector of Yang province, which he eventually resigned.

Also written during this period was “Macrobiotics” (Yangxing shu).  The work for which Wang Chong is known today (and his only extant work), Lunheng (“Balanced Discourses”) is likely a compilation of Wang’s works from this period, composed between 70 and 80 B.C.E., including parts of the above-mentioned works.  Timoteus Pokora and Michael Loewe suggest that Lunheng may initially have been a distinct work containing specifically critical philosophical essays (numbers 16-30 of the present Lunheng) that was later expanded to include Wang’s other extant writings to form a compilation under the same name.  They also suggest the biographical essay of Lunheng (Zi ji) may have been written by someone other than Wang (as its style and reference to Wang suggest).  The received version of Lunheng is based on Yang Wenchang’s 1045 C.E. edition.

In the later part of his life, again reclusive, Wang was requested at the court of the Emperor Zhang (Liu Da, 5th son of the Emperor Ming), on the recommendation of Wang’s friend Xie Yiwu, but declined the invitation on grounds of illness.  This (which must have happened before Zhang’s death in 88 C.E.) is the last account of the events of Wang Chong’s life before his death around 100 C.E.  A memorial was erected to Wang Chong (claiming to mark his tomb) in 1855 and again in 1981 after the original memorial’s destruction, that stands today in Shangyu.

2. Textual Issues and Literary Style

To a reader of Lunheng, it can appear that Wang sometimes contradicts himself, claiming one thing about a certain concept (such as qi, tian, or xing) in one essay that he rejects in another essay.  It should not be assumed on this basis, however, that Wang is inconsistent in his usage of key terms or confused about the concepts he discusses.  Lunheng should be seen as a kind of “collected works” of Wang Chong.  The various essays of the Lunheng are not ordered according to date of construction (it seems to be instead organized by theme), nor is any date noted anywhere in the text.  As a result, there is no way of knowing which essays were written at which points in Wang’s life, which essays were revised from earlier versions, based on alternative copies, and so forth.  Intellectual development and change, however, can be assumed throughout Wang’s career, and that some of the essays of Lunheng are more representative of Wang’s mature thought, and some of them his early thought.  This assumption cannot, of course, undermine or explain away all apparent inconsistency in Wang’s discussions (there is the possibility that he did in fact contradict himself or offer unclear or in some sense confused ideas), nor can it be certain which of the essays in the Lunheng represent which stage of Wang’s intellectual development. But it can be safely assumed that at least some of the inconsistency is due to the nature of the composition of Lunheng.
According to Wang himself, his style is deliberately simple and avoids “flowery language” which often perpetuates “empty” sayings (xu yan).  He argues at length in his essay Dui zuo that simple language and style (like his own) is essential for the project of searching for truth (shi), and that he purposefully says things in a simple and straightforward manner.

3. Purpose and Method

a. On “Creation and Transmission”

Wang is concerned to defend himself against charges of innovation, which was a major controversy in the Han dynasty, arising from the claims of Confucius (almost universally regarded as a sage or the highest sage) that he does not create (zuo), but merely transmits (shu) the ideas of the ancient sages.  This was taken as normative, such that it was read as an injunction for people not to create and instead merely to transmit.  To create was seen as arrogant and taken as tantamount to likening oneself to the sages or claiming superiority over them, which was seen as an unforgivable intellectual error.  A common criticism of literary works in Wang’s own time was to dismiss them on the grounds that they were “creations” (zuo), and thus arrogant and false attempts at innovation and self-aggrandizement by their authors.  Doubtlessly this charge was brought against Wang’s own work, because he feels the need to counter these charges in various essays in Lunheng, most directly and extensively in the essay Dui zuo (“Responses Concerning Creation”)

There, he argues that his work is not a creation, but is rather a “discussion” (lun), in which he considers the claims and arguments of other literary works and subjects them to questions and challenges in order to discover what in them is true, useful, or otherwise acceptable.  A creation, he argues, is something wholly new, and as such there are very few creations.  Almost no literary text counts as a creation, except for the very first invention of written language, as no literary work can wholly be independent and free from influence of the linguistic forms and thought of previous generations.  He further argues that even if his work could be considered a “creation”, it would still not be problematic.  Literary works ought to be appraised not on their faithfulness or lack thereof to the tradition or the views of the ancients, but instead on their truthfulness, usefulness, and correspondence to reality.  If a literary work is full of empty words and falsehoods, it should be rejected, even if conforming to tradition.  Likewise, if a literary work offers truths, it should be accepted, whether it is an innovation or not.  The ancients were not perfect—they were human, were ignorant of a great many things, and had the same tendencies to make mistakes and accept falsehoods that contemporaries do.  If things are merely accepted on the basis of their arising from tradition and the beliefs of the ancients (and conversely reject things not conforming with this standard), posterity is bound to simply perpetuate the mistakes inevitably made by the ancients, and accept the same falsehoods they did.

Wang is not, however, simply a contrarian or iconoclast.  He does think that there are a great many truths that can be learned from the ancients, and that  their teachings should not be rejected completely.  They should, however, be appraised using the methods he suggests of questioning and challenging (wen nan), in order to discover what is acceptable in these teachings.

Much of Wang’s critical material is devoted to various questions to and challenges of the writings and teachings of received and traditional works, as well as common (su) views and folk beliefs.  It is this aspect of Wang’s thought that has received most attention since the resurgence of interest in his work in the late 19th century in China and the west.  Because of this emphasis, Wang has often been labeled a “skeptic” (more common in early work on him than today).  This label, however, is somewhat misleading, given that Wang, as shown in below sections, had quite robust positive positions in metaphysics, ethics, and physical thought.  Wang saw his critical project as in the service of his positive project of obtaining the truth in general.

b. Truth/Reality (shi)

According to Wang his work aims at what he sees as the proper pursuit of literary and philosophical work in general, attainment of or discovery of truth, or reality (shi), and avoidance of falsity/empty words (xu, xu yan).  His method for discovery of truth largely consists in appraising the existing teachings and arguments of other philosophers, scholars, and schools, subjecting them to tests he describes as “questioning” (nan) and “challenging” (wen), standards that Wang in some places seems to take as interchangeable and other places he takes as distinct tools that operate differently.
One of the central features of true (shi) words, according to Wang, is that they are not flowery or ornate (hua), but direct and to the point.  Among other things, the term shi connotes the quality of concreteness.  Flowery or ornate words, on the other hand, are always to some extent empty.  Truth is only captured in simple and efficient language.  Thus, anything overly stylized is in some way an exaggeration, whether a major exaggeration (like words expressing the existence of supernatural beings such as ghosts) or a relatively minor one (attributing sagehood to a person who has merely done some good act).  The express purpose of Wang’s writing is based in appraisal.  Wang says, in the Dui zuo chapter:

“The Lunheng uses precise language and detailed discussion, to reveal and explain the doubts of this generation of common people, to bring to light through debate right and wrong patterns (shi fei zhi li), and to help those who come later clearly see the difference between what is the case and what is not the case.” (Lunheng, Dui zuo pian 84.364.10-11)

4. Critical Thought

a. Specific Criticisms of Philosophers

Although Wang subjects the writings of various philosophers to his questions and challenges in various parts of the Lunheng, his criticisms of two particular philosophers, Confucius and Han Feizi, are representative of his general critical view and method concerning received texts and teachings.

i. Confucius

Wang challenges Confucius on a number of points in the essay Wen kong (“Questioning Confucius”), most of these surrounding various inconsistencies and eccentricities in the Analects.  Although he accepts Confucius as a sage, Wang argues that Confucius did not always know what he was talking about, could be rash, cryptic, irritable, and uncharitable.  All of these features affected Confucius’ teachings, and thus what he says cannot be automatically trusted since they are the words of a sage.  For Wang, there is much in the Analects – for example, passages that reflect the influence of Mengzi or Mencius, which Wang saw as having corrupted the transmission of Confucius’ thought – and ought to be rejected.

ii. Han Feizi

Wang is far less positive about Han Feizi.  In the beginning of his essay Fei han (“Against Han Fei”), he says that he completely rejects Han Feizi’s views, on the basis of what he sees as a basic contradiction between his political theory and his action.  Han Feizi argues that scholars (specifically ru or Confucian scholars) are useless, that they drain the resources of the state while contributing nothing to the maintenance of state power.  For this reason, Han Feizi concludes they ought not to be employed by the state.  Wang points out in this essay that Han Feizi himself is a scholar, and certainly takes his own advice and views to be of benefit to the state.  If so, his claim of the uselessness of scholars is incorrect.  Alternatively, if he is right about the uselessness of scholars, it follows that his own teachings must be useless, and therefore false.  In the rest of the essay, Wang constructs an argument against Han Feizi in defense of the place of virtue and imitation of the sages, which the ru scholars are employed to teach.

b. Ghosts, the Supernatural, and Other Superstitions

In addition to his challenges to specific philosophers and texts, Wang criticizes a number of things he calls “common” or “vulgar” (su) beliefs, traditions, and superstitions, often concerning things such as the existence and agency of supernatural entities such as ghosts, deities, mythical creatures such as dragons, and Heaven itself as a sentient agent.  Among the views he is concerned to dispatch is the view that these supernatural entities have the power to reward and punish people for their actions, which is entrenched in Han society.
Wang attacks a great number of “common” beliefs throughout the Lunheng, including (but not limited to): the view that Heaven rewards and punishes people for their behavior, the view that natural and weather events such as thunder and lightning or earthquakes represent the anger (or other emotion) of Heaven or some other supernatural agent; the view the that the mental states of the ruler (happiness, anger, beneficence and so forth) have some physical effect on the land or weather (such that it is warm outside when the ruler is happy and cold when he’s angry); the view that people in the days of the ancients (not only the sages) were of greater moral ability and had more robust physical statures than contemporary people; and the view that a person’s virtue and talent is linked to (has a causal role in) his professional success and personal fortune.  Wang’s positions against ghosts and against the causal link between talent and success serve as good examples of this aspect of his critical thought.

i. Ghosts

Wang offers a number of arguments against what he sees as the “common” and superstitious belief in ghosts and other paranormal entities.  Perhaps his most sustained (and humorous) consideration of the difficulties with common beliefs about the existence and activities of ghosts comes in his essay Lun si (“Discussion Concerning Death”), in which he presents a number of fatal objections to the ghost hypothesis.
The following are three examples of arguments Wang gives against the common belief in ghosts and their ability to interact with living persons in Lun si:

(1) Argument from physical shape:  The death of a person is the result of the body losing the animating qi (vital essence), and once the qi is separated from the body, the body decays.  All will admit to this.  If this is so, however, and the person’s qi is still existent, how can this qi itself manifest in the form of a physical shape?  It is not a body, it is qi.  But when one sees a ghost, one sees a body.  But if the person has died, they no longer have a body, so where could they get another one?  They cannot take over another living body, which will already possess its own qi.  Thus, the view that people when they die become ghosts is nonsensical.

(2) Argument from population:  If people become ghosts when they die, there should be more ghost sightings than living people, as the number of people who have lived in the past and died is far greater than the number of people now living.  This is not true — ghost “sightings” are rare.  Thus it cannot be that people when they die become ghosts.

(3) Argument from ghostly efficacy:  If a living person is harmed, this person will immediately go to a magistrate and bring a case against the party who harmed them.  If it were the case that people become ghosts when they die and can interact with living humans, every ghostly murder victim would be seen going to a magistrate, telling him the name of the killer and the means of murder, leading him to the body, and so forth.  This is never witnessed (ever).

ii. Talent and Success

Wang is concerned with arguing against the generally accepted view that success is proportionate to talent or virtue and that long life is proportionate to goodness.  Instead, Wang argues, a person’s success and fortune is tied to his destiny (ming), and the length of one’s life is tied to the amount and quality of qi one receives (spontaneously) at birth.  The common view, Wang claims, concerning success is that talent and virtue are determining factors for success, and that one can thus know whether a person is talented and/or virtuous by observing the person’s fortunes.  The high-ranking and powerful are clearly talented and virtuous, while the poor and rejected must lack talent and virtue.
Wang takes aim at this view in a number of essays in Lunheng (one gets the feeling that the special vitriol directed at this particular view is not unrelated to Wang’s own failure to achieve high office and the attendant perceptions or claims about his level of talent).  There are plenty of examples from history, Wang argues, that demonstrate a disconnect between talent and success.  The example of the sage himself, Confucius, suggests a problem with the common view.  No one was more talented than Confucius, Wang argues, yet his career was the very definition of failure.  It often happens that the vicious, duplicitous, and scheming person can rise to great heights in political (or other) power, while a person of genius or moral excellence fails to obtain position at all.  Luck is a greater factor in one’s success than talent.  The possible reasons for the rise of a vicious or untalented person are many.  Sometimes rulers are incompetent, lack time to reflect on their appointments, and are attracted to some irrelevant quality in a person, and so on.

5. Physics and Metaphysics

a. Qi (Vital Essence/Fluid)

Wang’s views of nature and events in the world are grounded in an explanatory system in which all changes are due to the spontaneous movement of qi (vital essence/fluid).  This qi is given forth by tian (heaven), and gives things their unique character.  Wang discusses many different types of qi, and the term is used to discuss such a wide-ranging number of phenomena that it becomes problematic to try to define just what the concept of qi is such that it is narrow enough to capture all of the phenomena Wang discusses.
He attributes all motion, causation, and even human character to qi, with different types of qi responsible for different kinds of event or character.  Tian creates qi, but not in an active and willful manner.  Rather, it is better to think of qi as emanating from tian.  In a number of places, Wang talks of the creation of things by tian as analogous to the creation of new persons through the mixing of sperm and egg (the male and female physical qi), in order to emphasize its spontaneity, or generation without intent or will.
Qi is at the center of Wang’s understanding of creative activity in the world.  He refers to qi to explain every non-agent based phenomenon he considers–such diverse events as the generation of a human, seasonal and temperature changes, physical health and length of life (although he ties this to ming in a way discussed below), and the creation and destruction or transformation of objects in general.  Qi, for Wang, seems to have a general as well as specific meanings, in general referring to a causally efficacious agent of change in entities in the world, and in specific referring to a particular causal qi, such as the (presumably physical) qi of the male and female that results in procreation when mixed together (Alfred Forke intuitively translates this as ‘fluid’), or the psychic qi causing behavioral dispositions (xing).
Qi emanates from or is created by tian (Heaven), although this creation should not be seen as agent creation.  Tian, as described below, creates spontaneously (ziran), and without intention.  Such creation is the paradigm of natural action, creation, destruction, and change, according to Wang.  Even humans, in some sense (described below) are determined in their physical and mental states and behaviors by causal features which happen spontaneously.  Wang is not altogether comfortable with the picture of the cosmos that seems to subsume human action fully in mechanistic nature, and in his account of human character and behavior he attempts to make room for human will or intention in his mechanistic scheme.  In his Ziran essay, he claims that what distinguishes humans from mere mechanistic puppets (ou ren) is the human possession of spontaneous nature/characteristics (xing ziran).  This seems to show Wang thinks of human agency as, in itself, spontaneous.  At the same time, the spontaneous nature of human agency cannot be the same spontaneity evident in the activity of heaven (tian), which should not, according to Wang, be thought of in terms of agency.

b. Tian (Heaven)

Wang argues against a number of “common” views concerning natural events that take such events to be directed by tian, as a divine agent, in response to human actions.  Wang rejects the agency of tian, instead seeing it naturalistically, as a principle generating qi spontaneously and without intention.  Causal efficacy is involved here without will or intention.  Tian has neither eyes nor mouth, hands nor feet (and presumably without a mind).
As is common of concepts in the Lunheng, there is more concentration on what tian is not than what exactly it is.  It is not exactly clear whether Wang thinks of tian as a constructive principle, the cosmos itself, the physical and distant source of qi, or something else completely.  All that he is explicit about is that tian is naturalistic, works spontaneously, and is unlike humans.
Since tian is not a divine agent, and cannot act intentionally, it cannot be the case, contrary the “common” view, that tian can reward people for virtuous action and punish them for vice.  The view of tian as rewarding and punishing agent is the one Wang is most concerned with overturning, and thus most of his explicit discussion of tian in Lunheng is focused on developing arguments against this view.  His specific arguments tend to fall into two categories:  argument from lack of efficacy and argument from lack of tools.
Regarding lack of efficacy, if tian can reward and punish as the common view claims, why can’t tian simply install proper or excellent rulers who will ensure things are done correctly, rather than allowing bad rulers to come to power who then have to be subsequently punished?  In addition, the claim that tian punishes people through seemingly natural events such as striking them by lightning and leaving etchings resembling words describing crimes they are guilty of on their forehead must be false.  Why would tian not be more efficient in its punishment?  And why would it not etch the character on the punished person’s head such that it was clearly legible, and thus could serve as a clear example for others?
Regarding lack of tools, tian has neither mouth nor eyes, neither arms nor legs.  How can tian thus create things willfully, constructing them along human lines?  A sign of things that are created spontaneously (ziran) and without willful intent is that they happen without construction, like a human created in the womb upon a mixture of the physical fluids (qi) of a male and female.  In nature, things are created thus, rather than constructed with arms and tools, so how can it be said that  tian willfully creates?  Wang argues that tian is identifiable neither with a body nor with air (both of which are advanced by some). If tian does have a body, it must be very distant from humans, there are no signs for it (Wang offers the seemingly arbitrary “enormous” number of 60,000 li distant).  Surely, if it is this distant, it cannot interact with mankind or be aware of even mankind’s most explicit actions, let alone secret desires and motivations.
In addition to arguing for the implausibility of the divine agency reading of tian, Wang offers an explanation of the psychology which seems all too willing to see agency as rampant in the natural world.  He argues that because people engaged in corrupting action, it was necessary (for rulers) to institute laws, punishments, incitements to proper action, and rewards.  This was attributed to tian rather than to the ruler, who presumably had an interest in fostering a general belief that an omniscient and completely unconquerable divine entity is responsible for enforcing what amounts to the ruler’s laws, rather than the all too human, and thus vulnerable, ruler himself.

c. Astronomy and Physics

Wang’s positions on astronomy and physics were, following his metaphysical positions, naturalistic (with respect to the dominant views of his day), and Wang rejected a number of popular positions on the workings of the sun, planets, and stars.  The following are some representative examples of his views in this area.

i. Celestial Objects

Wang challenges the views he attributes to the ru scholars concerning the origin and movements of the sun.  They claim, according to Wang, that the sun emerges from and descends into the darkness of the yin physical qi, so that the sun literally “goes out” when it sets, subsumed in the yin.  Wang argues that it is not the case that the sun goes out or becomes dark, just as a fire does not become obscured by the darkness when night falls.
Wang argues that the movements of the sun and the moon are connected to the movements of the stars and planets in general, noticing the regularities in the motions of the sun and moon, and their correlation with other movements and placements in the heavens (movement through the zodiac, the planets along the ecliptic, and so forth).  This makes the sun and moon different from the clouds, for example, which move completely independently from the motions of the stars and planets.
The sun, according to Wang, is of the nature of fire, and also has the principle of motion, due to its qi, which is similar to that of the moon and the planets, which are also in motion, while Earth is stationary.  Concerning solar eclipses, Wang’s position is that the sun eclipses spontaneously, arguing against the view that such eclipses are caused by the moon.
While a number of Wang’s views on celestial objects and motion are opposed to our current understandings, his position on the geometry of celestial objects sounds much more modern.  Wang argues that the sun, moon, planets, and stars are not circular even though they appear to be so.  That they appear so is due to their distance.

ii. Heaven and Earth

Heaven (tian) and Earth (di), according to Wang, began small and through time expanded to their current size, via spontaneous growth.  Because of this, Heaven must be far distant from humans (Wang offers a distance of 60,000 li), and for this reason, among others, cannot be said to interact with human beings.
Concerning climate, Wang’s view is that the elements influence the temperature in different areas, and that in the southern regions fire is dominant, while in the northern regions water is dominant.  Heat is caused by proximity to fire, which explains why the southern regions are warmer than the northern, while proximity to water causes things to become cold, which accounts for the lower temperatures in the north.
Wang’s views concerning the source of rain is surprisingly close to our contemporary understanding, and Wang seems to have had some understanding of the water cycle.

6. Ethics

a. Ming (Destiny)

Ming, according to Wang, is the primary determinant of the outcome of a person’s life.  Whether one is successful in one’s career, one has a difficult or easy life full of catastrophes or fortunate turns, whether one is ill or in good health, dies young or in ripe old age–all of this is due to the quality and type of one’s ming.  There are different ming, according to Wang, concerning different aspects of human life.  Thus, there is a ming governing one’s fortunes, a ming governing the length of one’s life, and a ming concerning the welfare of the state, for example.  Wang sees ming not as a metaphysical entity in itself or a power, but as something like a higher-level concept, based on lower-level individuating features ensuring a certain destiny, most often qi.  The fact that there can be different ming might be understood then as flagging the fact that there are different lower-level properties contributing to or somehow responsible for the ming of the entity in question with respect to the property in question (fortune, length of life, talent, and so forth).
This allows Wang to construe ming in a naturalistically respectable way while countenancing its existence and disagreeing with the “common” view of ming as decreed by a divine heavenly agent.  Examples can be seen in the essay Ming yi.  One’s destiny (concerning all aspects) is given by Heaven (spontaneously, rather than consciously), and insofar as this is a natural quality, the destiny of a person regarding different aspects can be revealed in features of their bodies and actions.  The ming concerning length of life, for example, can be seen by examining the physical features of a person.  Some people are sallow, weakly, and frail, and this is an indication that their ming commits them to a (relatively) short life.  Alternatively, those who appear fit and strong can be seen to have a ming allowing them long and healthy lives.
The obvious problem arises here, of course, that it is often the case that the frail live deep into old age and the strong die young.  In fact, in cases of deaths in war, it will generally only be the strong and fit who are killed, and the frail (who stay home rather than fighting) who are spared.  How can this be squared with Wang’s conception of ming?  Wang argues that there are often competing ming, and that one ming might overcome another.  A key example this is the ming of the state.  The ming of the state trumps the ming of the individual, for reasons Wang is not completely clear about.  Some things he says suggests that the view is that the state is a larger, more important, and integrated entity of which the individual is simply a part, and its ming therefore overcomes that of the individual.  A state at war or in chaos, for example, will be one in which young, robust, and strong individuals will often meet their deaths earlier than their individual ming (the one governing their length of life) would otherwise determine.  The ming of the state, or other ming, that is, can interfere with or make irrelevant the individual ming.
To further explain this, in addition to discussing the different entities and aspects ming can attach to, Wang discusses three different types of ming in Ming yi: zheng (regular), sui (contingent), and zao (incidental).  Although he first seems to define these types of ming in such a way as to suggest that they are essentially modal, later in the essay he connects them to specific qualities of outcome, such that one with a regular ming will enjoy a long life and fortune, while one with incidental ming will have a short and likely miserable life, encountering a multitude of misfortunes.  The different types of ming can overcome one another, just as the ming of the state overcomes that of the individual.  Thus, a contingent ming can cancel an incidental ming and vice versa.  Wang is less than fully clear on how this works.  Although he does leave room for willful human activity to change outcomes in one’s life (contingent ming), sometimes the natural features of a situation are so strong that they cannot be overcome by effort or incident.  One example Wang uses is of the doctor being unable to save a person whose allotted life span is up, no matter how hard he may try or how skilled a doctor he may be.

b. Xing (Characteristics)

While Wang’s use of the term xing is broader than the specifically ethical use (he uses it to refer to physical as well as behavioral characteristics), his interesting and more philosophically relevant use of this term is an ethical one.  When he discusses xing as a concept, Wang seems concerned with its ethical aspects.  Wang explains character, like all other phenomena, as being based on the quantity and quality of qi possessed by the individual.  The individual’s destiny (ming) is also a relevant factor in determining character.  In some places, Wang connects these concepts by holding ming to be the determining factor of what kind and how much qi one receives from Heaven, while in other places he seems to make qi the more fundamental concept in connection with character, and takes one’s type of ming to be based in the type or amount of qi one is born with, and completely independent of characteristics (xing). Thus, one born with abundant and strong qi thereby is destined to live a long life, barring circumstantial events that might cut this life short (such as natural disasters, wars, and so forth. connected to the destiny [ming] of the state or the earth, which can supersede individual destiny).  In a number of chapters, Wang argues that one can have a lofty character and at the same time an unfortunate or calamitous destiny.  Observable facts prove this, Wang claims, as there are many talented and virtuous scholars who live lives of suffering and failure and reach early deaths, while untalented and vicious scholars achieve the heights of fame, fortune, and prosperity.  The same is true of rulers and states–there is no causal connection between virtuous rule and ordered or harmonious society, despite the claims of ru scholars.  This is due in part to the lack of connection between the character of a ruler and his destiny.  If a virtuous king has a calamitous destiny, he will be ignored and non-influential, thus his virtue will not translate to the harmonious functioning of society.  Because, according to Wang, destiny is accorded spontaneously, virtue is impotent to transform it. (Zhi chao)
Human action is only in part due to agency, according to Wang, and behavior is determined to a large extent by the situation in society and the world in general.  Moral conduct, for example, is not (fully) attributable to a person’s substantial characteristics (zhi xing), according to Wang, but is mostly dependent on whether or not there is sufficient food, which in turn depends on whether or not there is drought or flooding, and the general state of the climate and land.  Wang claims that when food is sufficient, people will act consistently with ritual and appropriateness (li yi), and the society will be peaceful and orderly.

7. Influence

a. Influences and Place in Han Dynasty Thought

Rafe de Crespigny argues that Wang may have been influenced by Huan Tan, and thereby the Old Text school, thus making sense of his attack on New Text Confucians (although this is mainly speculative).  Wang’s views on qi, tian, ming, and so forth. are clearly influenced by earlier Han and pre-Han thinkers.  Wang claims influence by Confucius, Mencius, Yang Xiong, Dong Zhongshu, as well as Daoist figures such Laozi, although all of these figures are targets of Wang’s criticisms in various places in Lunheng as well.  Interestingly, some of the same stories and accounts of these thinkers Wang uses in some essays to prove their sagehood are used in other essays to undermine their authority or criticize their views more generally.  If Lunheng is taken as unitary and generally representative (assuming that Wang’s views of these philosophers did not change over time), it has to be concluded that he had an ambivalent reaction to these philosophers, seeing them as in some ways exemplary and praiseworthy, while still having (in some cases fatally undermining) flaws.  Indeed, one of Wang’s positions is that later generations should not make the mistake he sees ru scholars making concerning the sages of the past, in assuming that everything they said or taught can be taken as true or even useful, or assuming that everything they did was virtuous or otherwise proper.  Probably for this reason, among others, Wang’s own influence in the Han itself was negligible.

b. Later Influence

Although Wang’s influence in his own time and directly after was almost negligible, and his Lunheng survived mainly because of its perceived interest as an almost encyclopedic collection of historical, mythological, and literary material from early China, Wang’s work did undergo a surge of interest in the modern period, beginning with Qing scholars in the 19th century, who wrote a number of commentaries on the Lunheng, including Yu Yue, Sun Yirang, Yang Shoujing, Liu Bansui, and later Huang Hui.  The resurgence of interest in Wang Chong’s work was likely due to the critical spirit bubbling in the late Qing and into the Republican period, and was maintained through the period of the rise of Marxist materialism.  The critical and seemingly anti-traditional character of Wang’s thought proved amenable to modern thinkers from the late Qing through today.  Since the late 19th century, there have been a number of commentaries and interpretive studies on Wang Chong’s work, mainly in Chinese, Japanese, and Korean scholarship.  Wang’s work was basically unknown in the West until the late 19th century, and since then there has been some level of interest in and scholarship on Wang’s work, mainly historical and philological, and (to a lesser extent) philosophical.

8. References and Further Reading

The amount of work on Wang Chong in English is limited, and much of what does exist is either translation (Forke), or secondary work dealing with Han thought more generally (Loewe, Czikszentmihalyi).  The following list focuses mainly on English language scholarship, but also includes important Chinese works.  Those with facility in the Chinese language are encouraged to start with the more extensive Chinese sources (Zhou, Liu).

  • Chan, Wing-tsit. A Sourcebook in Chinese Philosophy. Princeton University Press, 1969.
  • Czikszentmihalyi, Mark. Readings in Han Chinese Thought. Indianapolis: Hackett, 2006.
  • De Crespigny, Rafe. A Biographical Dictionary of Later Han to the Three Kingdoms (23-220 AD). Brill, 2007.
  • Forke, Alfred. Lun Heng: Philosophical and Miscellaneous Essays of Wang Ch’ung (Part I and II). Second Edition.  New York: Paragon Book Gallery, 1962.
  • Lin Lixue, Wang Chong.  Taipei: Sanmin Shuju, 1991.
  • Liu Jinming, Wang Chong zhexue de zai faxian (The Rediscovery of Wang Chong’s Philosophy).  Taipei: Wenjin Chubanshe, 2006.
  • Loewe, Michael. Early Chinese Texts: A Biographical Guide. Berkeley: Institute of East Asian Studies, 1994.
  • Loewe, Michael. Faith, Myth, and Reason in Han China. Indianapolis: Hackett, 2005
  • Makeham, John. Name and Actuality in Early Chinese Thought. Albany: SUNY Press, 1994.
  • McLeod, Alexus. “A Reappraisal of Wang Chong’s Critical Method Through the Wenkong Chapter.” Journal of Chinese Philosophy, 34:4 (2007).
  • McLeod, Alexus . “Pluralism About Truth in Early Chinese Philosophy: A Reflection on Wang Chong’s Approach.” Comparative Philosophy, 2:1 (2011).
  • Needham, Joseph. Science and Civilization in Early China, Vol. 3.  Cambridge University Press, 1959.
  • Nylan, Michael. “Han Classicists Writing About Their Own Tradition.” Philosophy East and West, 47:2 (1997).
  • Puett, Michael.  “Listening to Sages: Divinations, Omens, and the Rhetoric of Antiquity in Wang Chong’s Lunheng.” Oriens Extremis, 45 (2005-2006): 271-281.
  • Zhou Guidian, Xu shi zhi bian: Wang Chong Zhexue de zong zhi (The Distinction Between Truth and Falsity: The Purpose of Wang Chong’s Philosophy).  Beijing: Renmin Chubanshe, 1994
  • Zufferey, Nicolas, Wang Chong (27-97?): Connaissance, politique et verite en Chine ancienne. Bern: Peter Lang, 1995.

 

Author Information

Alexus McLeod
Email: gmcleod1@udayton.edu
University of Dayton
U. S. A.

Gaudapada (c. 500 C.E.)

http://commons.wikimedia.org/wiki/File%3AShri_Gaudapadacharya_Statue.jpgGauḍapāda is one of the early and most reputed philosophers of the Vedānta school in the Indian system of thought, who is believed to have lived roughly during 500 C.E. In the spiritual lineage, Gauḍapāda is regarded as the grand preceptor of Śaṅkaracarya [8th c. C.E.], the systematizer of Advaita Vedānta. Gauḍapāda is best known for his analytical exposition on the tenets of Advaita Vedānta that provided a firm ontological grounding to Vedānta philosophy. Gauḍapāda’s expository interpretation of the Upaniṣadic literature in the light of logical reasoning is a critical apparatus of epistemological exposition in the Advaita tradition.

According to Gauḍapāda’s thesis, the ultimate ontological reality is the pure consciousness, which is bereft of attributes and intentionality. The world of duality is nothing but a vibration of the mind (manodṛśya or manaspandita). The pluralistic world is imagined by the mind (saṁkalpa) and this false projection is sponsored by the illusory factor called māyā. The origination of the individual soul, which experiences the world of duality, is figurative. The finitude of the individuality of the soul is caused due to nescience (avidyā), while in reality its nature is identical with the ultimate soul – pure consciousness. The knowledge of non-difference between the individual and the supreme soul alone leads to liberation.

Gauḍapāda’s influence has probably been most far-reaching in the development of Advaita Vedānta through the ages. He is well-known for his conception of ‘contact-less contemplation’ (asparśa yoga) a key soteriological notion of Advaita Vedānta. More famous is his doctrine of non-origination (ajāti-vāda), with which he establishes the eternality and non-duality of consciousness. The philosophy of Gauḍapāda may be characterized as absolute non-dualism and establishes this doctrine both by the method of affirmation and negation (adhyāropa and apavāda). He explains the doctrine of advaita-vāda using illustrations such as “quenching of fire-brand” (alātaśānti) and the phantasmagoric city (gandharva-nagara) to systematically expound the falsity of the world.

Table of Contents

  1. Life and Works of Gauḍapāda
  2. An Overview of Gauḍapāda’s Māṇdūkya kārikā
  3. Gauḍapāda’s Onto-theology
  4. Metaphysics
    1. Theory of Non-origination (ajāti vāda)
    2. Contact-less Contemplation (asparśa yoga)
  5. Phenomenology of Consciousness – Quenching of Fire-brand alāta śānti
  6. References and Further Reading
    1. Primary References
    2. Secondary Sources

1. Life and Works of Gauḍapāda

 

Within the Advaita tradition, Gauḍapāda is regarded as the disciple of the legendary sage śukha and is the teacher of Govinda bhagavadpāda, who is śaṅkarācārya’s direct preceptor. śaṅkara, in his works, exhibits extreme reverence to Gauḍapāda. Gauḍapāda is referred to by the terms sampradāyavit – knower of the tradition, paramaguru – grand preceptor, ‘vddha ācārya’ – ancient preceptor, and so on. All that is known about Gauḍapāda is mostly derived from his name. The term ‘Gauḍa’, according to some scholars, indicates his geographical origin, which is the region of Bengal. Alternatively, we find some references to Gauḍapāda by the term ‘Gauācārya’ – a compound word which means the ‘teacher of the Gauḍa’. Here again the term ‘Gauḍa’ clearly denotes a place and is not a proper name. Also, Sureśvarācārya (a direct disciple of śaṅkara), in his work Naikarmya Siddhi IV.44, refers him as ‘Gaua. From a 13th century prolific glossator, ānandagiri, we gather that Gauḍapāda spent some time in Badrikāśrama absorbed in deep meditation. Another legend about Gauḍapāda, narrated by a 17th c. advaitin, informs us that there was a place near a river Hīraravati in Kurukshetra (the northern region of today’s Bengal), a place where some Gauḍa people lived. According to this note, the term ‘Gaua’ connotes a specific ethnic group belonging to a particular geographical origin. It was in this place the ācārya was absorbed in meditation and hence the name Gauḍapādācārya. Apart from these abstract conjectures on the life of Gauḍapāda, his dates are also not clearly established. From the references from the Buddhist writers who cite Gauḍapāda as the source of substantial evidence, some scholars attempt to give a rough idea on Gauḍapāda’s date. Vidhushekhara Bhattacarya and T. M. P. Mahadevan bring to our notice that three Buddhist writers, namely, Bhavaviveka, Santaraksita and Kamalasila have cited Gauḍapada’s kārikā-s in their works. Karl Potter suggests that Bhavaviveka is the younger contemporary of Dharmapala, who according to early Chinese travel accounts seems to have flourished during 5th c. C.E From this information we may fix Gauḍapada’s date not later than 5th c. C.E. A few other scholars fix Gauḍapāda’s date in accordance to śaṅkara’s date, which then would push his date further to 6th c. C.E. Some other scholars bring to our notice that Gauḍapāda himself cites some Buddhist views of Nāgārjuna and Asanga, with which we could fix the upper limit to 4th c. C.E.

All the scholars agree that Gauḍapāda’s most prominent work, is his metrical commentary on the Mādūkya Upaniad called the Mādūkya kārikā. It is otherwise called Gauḍapādīya or Gauḍapāda kārika. Thanga Swamy and Tandalam Narayana Swamy Iyer indicate that there is a commentary on the Nsimha Uttara Tāpini Upaniad authored by Gauḍapāda. A commentary (bhāya) on the Sāmkhya kārikā of īśvara Krsna is attributed to Gauḍapāda. There is yet another commentary – a vtti on the Uttara gīta is also attributed to Gauḍapāda. In the tantric tradition, works like the Durgāsaptasati, Subhagodaya stuti and śri Vidyāratna Sūtra’s authorship is ascribed to Gauḍapāda. These works are supposedly on the śri Vidyā tradition.  Some scholars maintain that there are multiple Gauḍapāda-s who belong to different times and places while the Mādūkya kārikā is the only work of Gauḍapāda who is śaṅkara’s grand preceptor.

2. An Overview of Gauḍapāda’s Māṇdūkya kārikā

 

A kārikā is usually a crisp condensation of a subject matter or an explication of a specific doctrinal position. The Mādūkya kārikā is a metrical commentary on the Mādūkya Upaniad, which belongs to the Atharva Veda.  The Gauḍapāda kārikā seems to be a collection of terse aphorisms consolidated under different topics of Advaita Vedānta. The kārikā is pedagogically instructive in its tone. Traditionally, the Mādūkya kārikā is regarded as an exhaustive manual for the fundamentals of Advaita Vedānta and hence called Upadeśa grantha. Gauḍapāda’s kārikā has 215 verses distributed in four chapters. The relation between the Mādūkya Upaniad and the kārikā-s remains abstract. The four chapters are namely, a. āgama prakaraa – the chapter regarding the scriptures consisting of 29 verses b. Vaitathya prakaraa – the chapter regarding illusion consisting of 38 verses c. advaita prakaraa – the chapter on non-duality constituting 48 verses and d. alātaśanti prakaraa – the chapter on the fire-brand comprising of 100 verses. There are some traditional views, which consider the 29 verses in the first chapter of the kārikā as the Upanisad itself. The main purport of these four chapters of the kārikā is to delineate the quintessence of Vedāntic content as commenced in the Upanisad. The first chapter is an exposition of the Upanisadic content mainly to describe the nature of the absolute ontological being. Expounding upon the states of psycho-physical experiences (waking, dream and profound sleep) as primary constituents of metempsychic existence, the kārikā discusses various positions on the theories of creation. Based on the Upanisadic cohort, the kārikā, in this chapter, attempts to initiate the Advaitic position that the template of creation is temporally apparent and ultimately unreal. The second chapter of the kārikā proposes to logically establish the theory of illusion. The rationality of the third chapter of the kārikā is to firmly establish the position of non-duality (advaita) by the method of methodical assertion and negation (adhyāropa and apavāda). Finally, the objective of the fourth chapter mainly seeks to explicate the notion of the ‘contactless yoga’ (asparśa) to assert the theory of non-origination (ajāti) of the eternal soul as expounded in the third chapter. The refutation of the creation theories remains to be the prime focus of all the four chapters.

There is an intense controversy in modern scholarship over the correct interpretation of the philosophy and the structure of Mādūkya kārikā. Vidhushekhara Bhattacarya advocates that the four chapters do not constitute a unitary text of the Mādūkya kārikā. According to Bhattacarya, the four chapters of the Mādūkya kārikā are four independent treatises and were later consolidated into one title called āgamaśāstra. He also observes that the first chapter of the Mādūkya kārikā does not systematically expound the prose content of the Mādūkya Upaniad and this led Bhattacarya to conclude that the first chapter of the kārikā predates the  Upaniadic content.  Owing to copious references to ‘Buddha’ in the fourth chapter (IV.19, 42,80, 88, 98, 99) and for the claim that the term ‘alātaśānti’ is a peculiar to Buddhists, Bhattacarya advocates that Mādūkya kārikā is more inclined to Buddhist philosophy than to Vedānta. However, Richard King in his detailed analysis on the date and authorship of the text rejects the Bhattacarya’s hypothesis, while he arrives at a conclusion that the final or the fourth chapter (the alātaśanti prakaraa) is a later text composed perhaps for a different audience by some other author who is heavily influenced by Gauḍapāda. According to King, the fourth chapter profusely adopts Buddhist terminologies especially from the Mādhyamaka and the Yogācāra philosophical traditions. Richard King also shows that the prominent Advaitins (beginning from 8th to 17th C.E) completely omit any reference to the fourth chapter in their respective works. King also contends that the first three chapters of the Mādūkya kārikā were linked by the śaṅkarite tradition by the 8th century of the Common Era and was eventually attributed to the author who bore the title ‘Gaua’.

3. Gauḍapāda’s Onto-theology

 

The sacred syllable OM, also known as praava is regarded as the absolute being. Gauḍapāda suggests that the structure of the sacred syllable has linguistic connections to, and homologically implies, onto-theological connotations. The kārikā of the āgama prakaraa begins with the appraisal of the method of contemplation of the praava. Gauḍapāda regards OM as the sound from which the entire creation springs forth. OM is the root for all speech. Gauḍapāda suggests that the sonic praava is discerned with its four fold linguistic measures (mātra-s) representing the gradational states of consciousness. The four mātra-s are  a, u, m & the OM. According to the phonetic rules of Sanksrit, the first two mātra-s, ‘a’ & ‘u’ combine to render a diphthong ‘o’ resulting in the sonic OM. Each of these phonetic elements is homologous to the states of experience of the individual soul. The sound ‘a’ of the praava represents the waking state (jāgrat), which Gauḍapāda calls the all pervasive, external, universal consciousness known by the term ‘āpti’. In this state, the individual soul bears the name viśva – who is the enjoyer of the gross objects (sthūla bhuk). Secondly, the phonetic element ‘u’ represents the dream state in which the individual soul becomes the enjoyer of the internal objects (antaprajña) and is called the sūkma bhuk. In this state the soul bears the name ‘taijasa’. Gauḍapāda refers to the nature state of the internal consciousness by the term ‘utkara’ meaning ecstasy. The third state is of profound sleep (suupti) and is represented by the sound ‘m’. The individual soul in profound sleep is the enjoyer of bliss (ānanda bhuk). The profound sleep, as Gauḍapāda describes, is a state of intense consciousness in its causal state in which the gross and subtle state of objective experiences get dissolved (laya). Finally, the fourth state is known as the turīya and is absolutely transcendental to all the phenomenal states of apparent realities. The fourth state  is measureless (amātra) and is devoid of all attributes whatsoever. This turīya, as Gauḍapāda conveys, is non-dual (advaita), the reality of Lord-hood (īśāna), the seer of everything (sarva dk). It is in this state, as Gauḍapāda in kārikā I.17 points out, all the phenomenal realities of the world would cease (prapañcopaśamam) to have any existence. All the dualities are merely sponsored by the indiscernible factor of māyā and in reality they do not exist at all.

Gauḍapāda identifies this fourth state of the absolute attributeless Being – the praṇava and the phonetic components of praṇava with the state of individual experience relegated in different gradations of consciousness. The realization of turīya as the attributeless consciousness is the real awakening from the state of profound sleep. The awakening is accomplished by contemplating on the praṇava and this is called the praṇava yoga. Apophatically, the praṇava  yoga is the final salvific process and Gauḍapāda considers it to be an onto-soteriological guarantee for the emancipation of the individual soul.

4. Metaphysics

a. Theory of Non-origination (ajāti vāda)

The fulcrum of Gauḍapāda’s philosophy of non-duality is the theory of non-origination known as the  ajāti vāda in Sanskrit. The theory of non-origination is constructed on the fundamental premise that ‘nothing is ever born, nothing is created whatsoever and there is no transactional reality at any rate’. The phenomenal reality is figurative and is imagined upon the Self  by its own magical power called māyā. In the second and the third chapter of the kārikā, Gauḍapāda discusses this theory in detail. Gauḍapāda primarily adopts the logical method of superimposition and subsequent negation (adyāropa-apavāda) to establish the concept of non-origination of the Self. The Self is the only non-dual reality and whatever exists apart from that reality is logically reduced as unreal and is subsequently negated to absolute non-existence.

The doctrine of ajāti vāda – the theory of non-origination aims at dismantling all the theories of creation in order to suggest that there is no creation that has ever occurred. Gauḍapāda’s logical postulation is that when the Self is the only reality that remains eternal, whatever it is that seems to exist apart from the non-dual self must be unreal and hence non-existent. Gauḍapāda in the kārikā I.17 maintains the premise that ‘if the world ever existed then it would at some point cease to exist. But since the Self alone is the eternal existence, the phenomenal world is known to be absolute non-existence only’. Gauḍapāda also points out that the creation has no purpose in any metaphysical sense. Creation cannot serve the purpose of any experience to the divine Being since the Upaniṣadic import insists that the ultimate being is ever-accomplished and it transcends all phenomenal relations. Secondly, purpose of creation cannot be taken as the God’s sport or the divine play (līla) since it is an unwelcome position to suppose that the cosmogenically omnipotent God has some desire to be accomplished.

Gauḍapāda introduces the concept of non-origination in the vaitathya prakaraṇa where he aims to prove the falsity of the phenomenal world. He maintains that the existence of conventional mundane reality of the material world is an apparatus or the means (upāya) to apprehend the absolute non-dual being. In kārikā II.31, Gauḍapāda points out that the existence of the world is false; just as a city that exists in the sky (gandharva nagara), so does the whole universe upon the Self. Likewise, the modifications of material reality in terms of creation, subsistence and dissolution are merely imagined upon the Self. Gauḍapāda also uses the illustration of dream to posit that just as the dream vanishes to non-existence once the individual returns to the waking state; so does the world cease to exist once the reality of the absolute is known. Gauḍapāda insists on the point that there exists neither the dream nor the waking and hence the universe never existed at all upon the unborn Self. Gauḍapāda also uses the analogy of rope-snake in this context. The kārikā II.17 states that ‘as a rope whose nature has not been well known is imagined in the dark like a snake, so also is the pattern of duality imagined being manifested from the unborn Self’. The final illustration that Gauḍapāda employs can be noted from the kārikā III.8 that says ‘Just as the sky is seen by the ignorant young boys as being covered by the dust etc., so does the Self in being associated with the impurities of mundane transformations’ (yathā bālāna gagana malina malai). Origination (jāti) is a magical projection (vivarta) of the Self and is operative only through māyā (sato hi māyayā janma – GK.III.27.) The Self that is bereft of any transformation in terms of origination and so forth, by its own innate nature is self-established (svastha), tranquil (śānta), self-effulgent (sakd vibhāta), nameless and formless (anāmaka, arūpaka).

b. Contact-less Contemplation (asparśa yoga)

 

The third chapter of Mādūkya kārikā, introduces the notion of ‘contact-less contemplation’ (asparśa yoga). According to Gauḍapāda, asparśa yoga is a transcendental mental state in which the mind is stripped from all desires and afflictions. Sparśa in Sanskrit means contact. In this context, it is the contact with the sense organs that results in the identification of Self with the non-Self causing bondage. Asparśa is the counter state in which there no contact with the sense organs (sarva abhilāpa vigatah; sarva cintā samutthita III.37) and the function of the mind in material sense is nullified. The ephemeral realities in multitude names and forms, those that are movable and immovable and so on, are perceived only by the mind (manodṛśya) causing desires, disappointments, pleasure, pain and so on. Once the mind is nullified, the duality does not exist. When mind is pure, the Self dwells in the supra-sensible state of tranquillity. Gauḍapāda, in the kārikā IV.2, offers salutations to the transcendental state of asparśa stating that this yogic state is free from all mundane relations in the nature of highest bliss, free from any dispute or doubt and that which is well established in the Vedic scriptures. ‘Those who perceive the contact of the consciousness with the external objects, may as well see footmarks in the open space’ (kārikā IV.28). Control of mind, according to Gauḍapāda, is the key to accomplish this state of asparśa. The mind when under complete control (manonigraha) through the ability to discriminate between the eternal Self and the ephemeral non-Self, in Gauḍapāda’s opinion, is equated with the nature of mind in the state of profound sleep. Gauḍapāda calls this state of non-mind ‘amanībhāva’.

5. Phenomenology of Consciousness – Quenching of Fire-brand alāta śānti

 

The Advaita philosophy holds the position that the consciousness is attributed with the functionality of perception only with regard to the waking state wherein the objectivity is merely projected and thus appears in various names and forms. This figurative intentionality of consciousness is merely a mental simulation caused by the apparent conjugation of Self and the non-self. The objectivity provided by the mind attributes the intentionality to the consciousness. Thus consciousness acquires varied degrees of functionality in terms of intentional acts such as perception, memory, imagination and the like. In reality, however, suspending the objective world constituting the universals and particulars, the phenomenological residuum is the pure supra-Consciousness that does not stand in any causal relation with the objective entities; nor does it have any intentionality and hence is apodictically transcendental.  Though the consciousness is the substratum for all cognitive experiences that precipitate out of subject-object interactions, it in ‘actuality’ remains untouched by any of these transactions.

Gauḍapāda uses the simile called ‘fire-circle’ (alāta cakra) in order to explain the onto-phenomenology of consciousness. When a stick with a fire tip is waved (alāta spandita) during the night, it forms different appearances in accordance to the movement of the fire-brand and so does the vibration of the consciousness that appears to exist in terms of known, knower and the like, (grahaa-grāhaka) in accordance to the nature of limiting adjuncts (kārikā IV.47). Just as the same fire-brand when not in motion is free from all appearances, the consciousness too when not vibrated remains in its true intrinsic nature is free from all names and forms. Gauḍapāda insists that, even when the fire-brand is in motion the appearances that seem to exist do not come from anywhere and they do not go anywhere. Appearances do not originate from the fire-brand and they do not dissolve into it. There is no causal relation between the resultant products of appearances with the seeming cause. Similarly, the entire universe that exist in pairs of dualities are not products of consciousness and nor is the consciousness a product of the physical universe. The existence of cause-effect result, according to Gauḍapāda , is a mental pre-occupation (phala-āveśa) which is a mere projection (phala-udbhavah). In the domain of ignorance these mental pre-suppositions manifest as multi-fold appearances, which is purely due to concealment (samvtya – samvaraa) of the nature of absolute self as pure consciousness.

6. References and Further Reading

a. Primary References

  • Gauḍapāda, ‘sagauapāda māūkya kārikā atharvavedīya māūkyopaniad: with śaṅkarācārya’s bhāya & ānandagiri’s tīka’, Ed. by Vinaya Ganesa Apte, Anandasrama Press, 1936.
  • Gauḍapāda, ‘Sākhya kārikā: commentary of Gauḍapāda – Iśvara ka’, Mainkar Tryambak Govind, Poona Oriental Book Agency, 1964.
  • Gauḍapāda, ‘māūkya kārikā’, Swami Gambhirananda Trans., Ramakrishna Mutt, Trichur, 1987.
  • śaṅkarācārya, ‘Prasthāna traya bhāya: māūkya kārikā bhāya’, Vol.II, V.Panoli Trans., Mathrubhumi Grandhavedi Publication, Calicut, 2006.

b. Secondary Sources

  • Mahadevan T.M.P, ‘Gauḍapāda: A study in early Vedānta’, University of Madras, Madras, 1960.
  • Vidhushekhara Bhattacarya, ‘āgamaśāstra of Gauḍapāda’, University of Calcutta, Calcutta, 1943.
  • Douglas Fox, ‘Dispelling Illusion: Gauḍapāda’s Alātaśānti with an introduction’, SUNY, New York, 1993.
  • Colin A. Cole, ‘A Study of Gauḍapāda’s māūkya kārikā’, Motilal Banarsidass, Delhi, 2004.
  • Natalia Isayeva, ‘From Early Vedānta to Kashmir Shaivism: Gauḍapāda, Bhathari & Abhinavagupta’, SUNY, New York, 1995.
  • Richard King, ‘Early Advaita Vedānta and Buddhism’, SUNY, New York, 1995.

 

Author Information

Devanathan Jagannathan
University of Toronto
Canada

Wuxing (Wu-hsing)

The Chinese term wuxing (wu-hsing, “five processes” or “five phases”) refers to a fivefold conceptual scheme that is found throughout traditional Chinese thought.  These five phases are wood (mu), fire (huo), earth (tu), metal (jin), and water (shui); they are regarded as dynamic, interdependent modes or aspects of the universe’s ongoing existence and development.    Although this fivefold scheme resembles ancient Greek discourse about the four elements, these Chinese “phases” are seen as ever-changing material forces, while the Greek elements typically are regarded as unchanging building blocks of matter.  Prior to the Han dynasty, wuxing functioned less as a school of thought and more as a way of describing natural processes hidden from ordinary view.  During the period of the Han dynasty (202 B.C.E.-220 C.E.), wuxing thought became a distinct philosophical tradition (jia, “family” or “school”).  Since that time, the wuxing system has been applied to the explanation of natural phenomena and extended to the description of aesthetic principles, historical events, political structures, and social norms, among other things.  Cosmology, morality, and medicine remain the chief arenas of wuxing thought, but virtually every aspect of Chinese life has been touched by it.  As such, wuxing has come to be inseparable from Chineseness itself and belongs to no single stream of classical Chinese philosophy.

Table of Contents

  1. Meanings of Wuxing
  2. Origins of Wuxing
  3. Wuxing Before the Han Dynasty
  4. Wuxing During the Han Dynasty and After
  5. References and Further Reading

1. Meanings of Wuxing

When seeking to understand the wuxing system, we encounter multiple uses of this term in pre-Han and Han sources that may signal the need for more than one translation from Chinese into any differing target language.  We may ask, are we speaking about five elements, five phases, five movements, five actions, or something altogether different?  The truth is that, depending on the use and context, any one of these might be an appropriate translation.

It has become routine in recent decades to insist that, in its cosmological uses, wuxing should be rendered into English as “five phases” rather than “five elements”, and to make a deliberate distinction between the role of these five in Chinese cosmology and the notion of the four elements in Greek thought, according to which the Greek notions of earth, air, fire, water are generally thought to represent actual fixed material substances.  Sometimes wuxing has been translated into English as “five elements”, but when we actually watch the work that xing does in the Chinese language, it is used to describe movement (e.g. walking), alteration, changing states of being, permutations or metamorphoses.  To back translate, then, the Chinese conception of “element” is quite different from the Western one, in that it does not imply a fixed substantial essence that remains unchanged and constitutes the discrete difference between one object and all others. Whereas the four elements in Western Greek thought were understood as the basic building blocks of matter, the Chinese, by contrast, viewed objects as ever-changing and moving forces or energies of five sorts.  These five phases work interactively and have identifiable correlations that instantiate both objects and natural processes as we know them.

2. Origins of Wuxing

Although not developed into its present form until the Han dynasty, the origins of wuxing extend far back into the earliest records of Chinese intellectual history.  In the Shang dynasty (1600-1046 B.C.E.), oracle bone inscriptions (used in divination rituals to predict and discern outcomes in nature and human affairs) rely on the number five.  Typically, this is the pattern of four around a center, where the four represent the cardinal directions expressed in the territories around the central area in which the ruler resides and from which he governs.  But this pattern of five is not yet any comprehensive theory or cosmology, and there is no evidence of belief that some five phases or elements interpenetrate and mutually influence each other correlatively.  However, there are already, in very rough form, associations of the territories with directions, colors, spirits, and proper rituals that are suggestive of the later correlational developments in Han wuxing thought.  For example, in the West an ox of a certain color must be sacrificed at a specified time of a year in order to insure an auspicious future.  Accordingly, even in the Shang there is fragmentary evidence that the number five is of explanatory significance, and there is some preliminary correlative association between territories, colors, rituals, and deities.

3. Wuxing Before the Han Dynasty

Between the Shang and Han dynasties, a number of texts were compiled that collectively shed light on the development of what became wuxing thought.  Chief among these are some of the “Five Classics” alleged to have been written during the Zhou dynasty (1045-256 B.C.E.) and later enshrined as the earliest Confucian canon, although portions of some or all of these texts may well reflect the concerns and contexts of later rather than earlier periods: Shijing (Classic of Poetry), Shujing (Classic of History), Liji (Record of Ritual), Yijing (Classic of Changes), and Chunqiu (Spring and Autumn Annals) with its commentary, Zuozhuan (Chronicles of Zuo).  Despite the uncertain dating, it can be assumed that these texts contain a substantial amount of material that is traceable to the pre-Qin (pre-221 B.C.E.) period and even reaching back to Confucius’s era or before.

In Zuo Zhuan’s record on the 27th year of the reign of Duke Xiang (590-573 B.C.E.), the text says: “Heaven has produced the five elements which supply humankind’s requirements, and the people use them all.  Not one of them can be dispensed with.”  Although English translations of this passage usually say “five elements” and we would expect the Chinese text to say wuxing, actually the text uses wu cai (“five materials” as in “raw materials”).  Accordingly, we may have here good evidence for the antiquity of this passage, because there is no reformatting of the passage to use the character xing as later scholars (who edited these texts into their final form) interested in fostering the wuxing cosmology might have been presumed to have done.  The text is saying that life depends on the ability of the people to understand and use the five raw materials of reality, but it is probably not drawing any significant distinction between xing and cai.

In the 7th year of the reign of Duke Wen (626-609 B.C.E.), the text says: “Water, fire, metal, wood, earth, and grains are called the six natural resources (or treasures) (liu fu).”  The character fu is used for the treasures of nature; the natural resources for life.  This list of six such resources contains the wuxing as we see them in later works, but with the addition of the grains.  Again, we might infer that the text may record authentically pre-Han material and it may reflect rather accurately the fact that the pattern of five as the number of elements had not yet been firmly established in the time of the Zuo Zhuan.

In its remarks on Duke Zhao, 1st year, the Zuo Zhuan says Heaven generates the five tastes (wu wei – sour, sweet, salty, bitter and acrid), five colors (wu se – green, yellow, black, red, and white), and five sounds (wu sheng – corresponding to the Western musical tones mi, so, do, re, and la).  In the passage on Duke Zhao’s 25th year, tastes, colors, and sounds are a result of the wuxing. The wuxing are understood as expressions of Heaven’s patterns (jing), and the character for patterns is the same one later used for the qi (vital energy) meridian lines in the body traced by practitioners of traditional Chinese medicine, suggesting that the wuxing are to Heaven as the qi meridians are to our bodies.

The Zuo Zhuan does not provide an account of correlation and intermingling of the five elements such as we see in later works.  Instead, it puts forward a teaching about five officials (wu guan) who exercise their will in order to arrange the xing into phenomenal reality.  In the material on the Duke of Zhao’s 29th year, the striking question is posed, “Why are there no more dragons?”  The answer provided for the absence of dragons is that each element is directed by its own official, but if the official neglects his task or the persons on earth distort or mismanage the five elements which are the patterns of earth, animals that depend on the order of these patterns will hide and stop reproducing correctly.  The species will disappear.  These officials are presented as spirits or deities which require veneration and offerings to be made to them.  The text gives the name of each official and the element over which he has charge.

The Shujing is a collection of documentary materials related to the ancient history of China.  The fragments that survive are a mixture of myth and history.  The earliest five chapters reach back to the legendary sage emperors Yao and Shun (c. 2400 B.C.E.?), and the last 32 chapters cover the period of the Zhou dynasty down to Duke Mu of Qin (r. 660-621 B.C.E.).  In this work, the chapter entitled Hong Fan (“Comprehensive Order” or “The Order of Everything”) provides an account of how society should follow the patterns of Earth and Heaven.  The first of the nine sections of this chapter is devoted to the wuxing system, indicating that it must be understood before the remaining eight sections can be grasped.  The chapter is constructed in the style of a dialogue between Wu Wang and a sage.  Wu states that he knows human society and that government and relationships must follow the patterns of Heaven, but he wonders how to fully grasp these patterns.  The sage tells him that whenever the wuxing are in disorder, the constant norms of Heaven will disappear and chaos will follow.

We notice now that human behavior can contribute to the harmonious operation of nature, or disrupt it causing chaos and disorder. The moral patterns for humanity and those of the natural cosmos are all interconnected and correlated.  For the first time, each of the elements has its nature more fully explained: water moistens and descends (run xia); fire burns and ascends (yan shang); wood bends and straightens (qu zhi); metal yields and changes (cong ge); earth receives and gives (jia se), such as through seeds and crops.  While fire and water are presented as opposites, wood and metal are not.  Perhaps more interestingly, we notice the correlational mechanisms of the system becoming more obvious.  The five elements are tied to the five tastes: that which moistens and descends produces saltiness; that which burns and ascends produces bitterness; that which bends and straightens produces sourness; that which yields and changes produces pungency; that which seeds and gives crops produces sweetness.  The five elements are correlated to the five ways or powers of a human being: appearance, speech, sight, hearing, and thinking.

Hong Fan does not spell out how the correlations work, only that they exist.  Likewise, in sections two and eight of this chapter, the five elements and the five conducts (also called wuxing) are related.  The sections say that if humans do not behave in the proper manner, they throw the five elements out of harmonious operation, illness and weakness arise in the body and disorder shows up in nature and the human world of history.  But the chapter does not make a direct correlation to explain how an individual element produces an action, as it does when commenting on the five tastes.  Still, the obvious point of a chapter entitled “The Order of Everything” is that a ruler who is not able to order these processes will throw all things into chaos, and even the rains will not come on time.

In Liji, the number of five-set processes of arrangement and change is sixty-two.  These are used as explanations for matters including not only politics, family, and medicine, but colors, seasons, plants, planets, and rituals for performing various actions.  Consider that in wearing ritual vestments of green and eating from vessels of wood (not metal), the sovereign could promote the powers of spring because the associations of the wuxing with various correlates sometimes make some sense (wood, green, spring; or fire, red, summer).

Later, during the Warring States period (403-221 B.C.E.), there is evidence of intellectual activity that explicitly concerned wuxing thought as a comprehensive system.  According to the Records of the Historian by Sima Qian (145–90 B.C.E.), beginning in the reign of King Wei (358–320 B.C.E.) and continuing during the reign of King Xuan (319–309 B.C.E.), an intellectual exchange was fostered by convening scholars in the capital city of Linzi next to the Ji Gate, which gave its name to what became known as the Jixia Academy.  Figures named as master teachers in this place include Zou Yan (305–240 B.C.E.), who is considered the systematizer of wuxing cosmology; Zhuang Zhou (Zhuangzi, c. 365–290 B.C.E.), an early Daoist thinker; and both Mengzi (“Mencius,” c. 372–289 B.C.E.) and Xunzi (Hsün-tzu, c. 310-220 B.C.E.), who are among the first interpreters of Confucius’s thought.  If all this is taken as accurate, it is possible that the careers of Mengzi, Zhuang Zhou and Zou Yan could have overlapped at Jixia, and Xunzi might have been there at the same time as a young student before later returning as a master himself.  We are likely on safe ground in concluding that wuxing thought was a subject of the exchanges and debates of figures at Jixia.  There are passages even in the so-called “Inner Chapters” of the Zhuangzi which seem to have wuxing cosmological assumptions underlying them (for example, chapters 2, 6, and 7).

Xunzi is very critical of wuxing explanations and the teachers who are using “ancient lore” to “concoct their new theory” called wuxing.  He calls the theory perverse and bizarre and characterizes it as obscure and impenetrable nonsense.  He is particularly critical of the stream of Confucian thought, found in the tradition of Mengzi, which has appropriated these ideas but is oblivious to where it all goes wildly wrong (Xunzi 16/6/10; Ames and Hall, pp. 137-38).  Xunzi is not making a distinction between wuxing as a cosmological theory and wuxing as a moral doctrine, evidence of which may be seen in the Wuxing pian (Five Modes of Proper Conduct), a text discovered in the tomb of “the tutor of the Eastern palace” at Guodian in China’s Hubei province in 1993, which dates to 300 B.C.E..  Despite Xunzi’s criticims, a wuxing system was growing and extending itself from cosmology to morality, aesthetics, medicine, and so forth.

4. Wuxing During the Han Dynasty and After

During the Han dynasty, one of the most fundamental texts containing material on wuxing theory was the Huainanzi (The Masters of Huainan, 139 B.C.E.).  This text says: “The natural qualities of Heaven and Earth do not exceed five.  The sage is able to use wuxing correctly in order to govern without waste.”  The Huainanzi shows the move to standardize the number five.  It continues to draw out the correlations between wuxing in cosmology and morality, and it extends the medical implications of the system.  Sages who know what to do with the wuxing are able to rule the country, heal patients, and manage the transformations of life and longevity.  It seems that this text conflates Daoist notions of immortals (xian) with those who possess the skill necessary to master the five elements.

Han thinkers used the system to account for an ordered sequence or cycle of change.  For example, in the “mutual production” (xiangsheng) series, wood produced fire, fire produced earth, earth produced metal, metal produced water, and water produced wood.  In the “mutual conquest” (xiangke) series, wood conquered earth, metal conquered wood, fire conquered metal, water conquered fire, and earth conquered water.  If a ruling dynasty’s emblem was water, one might anticipate it being overcome by a dynasty whose emblem was earth.  This schema was appropriated as the Han was thought to rule under the red phase of fire, and their most formidable revolutionary challengers employed this ideology in constructing their movement and its symbols, such as the rebel movement known as the Yellow Turbans (184 C.E.), which attempted to exploit the ideas that red would be conquered by yellow and fire by water.

Although most of its ideas are already evident in the Huainanzi,  the Chunqiu fanlu (Luxuriant Dew of the Spring and Autumn Annals) traditionally ascribed to Dong Zhongshu (179-104 B.C.E.), is a sustained effort to incorporate the wuxing system into Confucian thought, even connecting it to the Confucian five relationships of filiality.  This application was continued in the work of Yang Xiong (53 B.C.E.-18 C.E.), whose text Tai Xuan (The Supreme Mystery, c. 2 B.C.E.) represents an example of Confucian syncretism and appropriation of the wuxing cosmology.  In Baihu tongyi (Comprehensive Discussions in White Tiger Hall, c. 80 C.E.), the record of state-sponsored debates held in 58 C.E., the following explanation for the way a mature son should remain with his parents while a daughter should leave home is given:  “The son not leaving his parents models himself on what?  He models himself on fire that does not depart from wood.  The daughter leaving her parents models herself on what?  She models herself on water which by flowing departs from metal.”

Not all Confucian thinkers accepted the wuxing cosmology or its extended explanatory devices, however.  Wang Chong (27-100 C.E.) was a critic of the theory in its broadest forms, and of the application of it in the realms of natural and physical phenomena, morality, and political history.  In his Critical Essays (Lunheng), he used argument, sarcasm, and what we would call empirical evidence, to criticize the work of Dong Zhongshu and attempt to debunk the evidential basis for the wuxing system.

By the first century B.C.E., Huangdi Neijing (The Yellow Emperor’s Inner Classic), arguably the most significant of the classical Chinese documents on wuxing as related to medicine, attained its final form.  It most likely developed in a lineage of teachers associated with what is now called Huang-Lao (“Yellow Emperor-Laozi”) Daoism, which also influenced portions of the Zhuangzi.  The work has two parts.  The first is the Suwen (Basic Questions), devoted to the wuxing foundation of Chinese medicine and the diagnostic methods for ailments, and the second is the Lingshu (Spiritual Pivots), which is largely concerned with very technical and thorough explanations of acupuncture.  Lingshu 24 has the Yellow Emperor say that the qi energy meridians of the body (jing mai) are divided according to the wuxing and these lines convey energy to the five organs (wu zang) of the body.  The Suwen relies largely on the “mutual conquest” series as the preferred explanatory language for medical ailments and their remedies.  In thinking of the wuxing system related to the body, we must always remember that, in traditional Chinese thought, the body is a microcosm of the universe that recapitulates the patterns of the macrocosm (i.e. Heaven and Earth).  A disease considered energetic or fiery could be overcome by a medicine correlated with cooling associated with water.  Likewise, since wood xing suffuses throughout the spleen and also gives rise to sour flavor, then eating sour foods will increase the wood internally and strengthen the spleen.  Wood is also correlated with the color blue-green, the spring season, the direction east, and the musical note jue (Western mi), and can be increased or conquered based on these correlations.

Medical understandings of wuxing have been applied to non-philosophical arenas, such as astrology.  Chinese astrology relies heavily upon wuxing notions.  Each astrological or zodiac sign is ruled by one or more of the five elements and its yin or yang energies.  According to the lore of Chinese astrology, the signs and energies we are born under impact our entire lives and our personalities.  For example, being born under the wood sign means one is influenced by yang energy.  Such a person is said to be strong and self-reliant.  He is associated with the East, the astrological signs of the Tiger, Rabbit, and Dragon, and the spring season; his health is governed by the condition of his liver and gallbladder; and he both favors and prospers under the colors blue and green.  Similar explanations and prognostications are given for the other four of the five xing as well.

Both military and literary texts in traditional China have incorporated the wuxing system.  The Liu Tao (Six Strategies, also known as Tai Gong’s Six Strategies [for conducting war]), is a well-known tactical manual of ancient China.  It asserts that, by knowing the enemy’s posture with respect to wuxing, one can then, through the “mutual conquest” series, know how to select the attacking phase to defeat him.  Novels such as Xiyou ji (Journey to the West, 16th century C.E.) present main characters in five-phase terms, and the structure of Hong Lou Meng (Dream of the Red Chamber, 18th century C.E.) may be described in terms of wuxing, as Andrew Plaks has shown.

Beyond the world of Chinese texts, traditional Chinese visual arts have embraced wuxing, including the style of painting known by that very name.  This style is a synthesis of traditional landscape painting with wuxing cosmology.  Wuxing painting has a total of five brush strokes, five movements, and five types of composition, each corresponding to the five elements.  The goal of such painting is to create an image harmoniously balanced, often depicting a landscape, but even when not doing so, nevertheless playing on the connection between objects or directions and wuxing.

As wuxing thought has continued to become ever more labyrinthine, the five elements have been incorporated into many arenas of Chinese life, from the way space is arranged (fengshui) to the art of cooking (sweets, sours, bitters, etc).  Having become a distinct philosophical tradition (jia, “family” or “school”) during the Han, wuxing gradually developed into a conceptual device that is used to explain not only cosmology, morality, and medicine, but virtually every aspect of Chinese life and thought.  As such, wuxing has come to be inseparable from Chineseness itself and belongs to no single stream of classical Chinese philosophy.

5. References and Further Reading

  • Ames, Roger T. and David L. Hall, trans.  Focusing the Familiar: A Translation and Philosophical Interpretation of the Zhongyong. Honolulu: University of Hawaii Press, 2001.
  • Bodde, Derk.  Chinese Thought, Society, and Science: The Intellectual and Social Background of Science and Technology in Pre-Modern China.  Honolulu: University of Hawaii Press, 1991.
  • Graham, A.C.  Yin-Yang and the Nature of Correlative Thinking.  IEAP Occasional Paper and Monograph Series, No. 6. Singapore: Institute of East Asian Philosophies, 1986.
  • Henderson, John.  “Wuxing (Wu-hsing): Five Phases” in Antonio S. Cua, ed. Encyclopedia of Chinese Philosophy. New York: Routledge, 2003, 786-88.
  • Major, John S., et. al., trans.  The Huainanzi: A Guide to the Theory and Practice of Government in Early Han China. New York: Columbia University Press, 2010.
  • Needham, Joseph.  Science and Civilisation in China. Vol. 2, History of Scientific Thought. Cambridge: Cambridge University Press, 1956.
  • Plaks, Andrew H.  Archetype and Allegory in the Dream of the Red Chamber. Princeton: Princeton University Press, 1976.
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Author Information

Ronnie Littlejohn
Email: ronnie.littlejohn@belmont.edu
Belmont University
U. S. A.

Feminism and Race in the United States

This article traces the history of U.S. mainstream feminist thought from an essentialist notion of womanhood based on the normative model of middle-class white women’s experiences, to a recognition that women are, in fact, quite diverse and see themselves differently. It begins with the question of the social construction of gender and the mainstream feminist assumption that ‘woman’ means middle class white woman. The challenge to this assumption is then posed by women of color, poor women, immigrants, lesbians and women in the ’third world.” Section Three presents the various forms of inclusion of black women within mainstream feminist frameworks. Following that is a discussion on the construction of whiteness, the privileges that race afford white women, and feminist strategies to overcome racism within mainstream feminism. Section Five reviews the struggles of Latina and Asian American women, the specific questions of identity they confront, and how these relate to mainstream feminism. Section Six discusses the challenges posed to U.S. mainstream feminism by third world feminists.

Feminists in the U.S. have worked arduously to address the question of difference among women, together with what unites women in common contexts of struggle.  The focus on difference, as well as identity, however, often overlooks the actual lives of many women of color who struggle not so much with how to disabuse themselves of a certain identity, but with how to establish one in the first place.  Concentrating on identity and difference, either by working to obliterate or represent it, also tends to the neglect of power relations that establish, hold apart, and bring together such differences in the first place.

This article further explores how sexism and racism are structural problems endemic to American culture. As such, they need to be addressed systematically, along with class and all other systems of domination. The structural aspect is evident in the ease by which biological racism morphs into cultural racism, spawning condescending and racist attitudes toward third world women, and a blindness of “first world” complicity in third world oppressions. As Audre Lorde has made clear, “the master’s tools will never dismantle the master’s house.” The conclusion explores how feminists unite to struggle against systems of domination and exploitation, and work to give up privileges bequeathed by these systems, admittedly an uncomfortable proposition for those benefiting from power, to dismantle the “master’s house” and the multitude of oppressions that it sustains.

Table of Contents

  1. Introduction
  2. Are All Women the Same?
  3. Mainstream Feminism and African American Women in the United States
  4. White Privilege and the Question of Racism in U.S. Mainstream Feminism
  5. Chicana/Latina and Asian American Women and U.S. Mainstream Feminism
  6. Third World Feminisms and Mainstream Feminism in the U.S.
  7. Conclusion: “There is No Hierarchy of Oppressions”
  8. References and Further Reading

1. Introduction

The question of difference has been central to U.S. feminism since the inception of a women’s movement in the United States.  When Sojourner Truth, a black woman, walked into the predominately white Women’s Convention in Akron, Ohio in 1851, three years after the first Women’s Rights Convention in Seneca Falls, New York, jaws dropped. Not a sound could be heard.  Truth was an imposing woman.  She stood almost 6 feet tall and bore the scars of brutal beatings, the sale of her children, and the loss of her own parents while she was sold off into slavery.  Surrounded by affluent, educated white women and their gentlemen supporters, her presence at first stirred fear, but eventually gave rise to awe. The white women at the conference didn’t want to muddy their struggle and demands for women’s rights with the uncomfortable subject of race and the rights of colored folk, despite their debt to Fredrick Douglass’ efforts to keep the controversial issue of women’s suffrage central at the first Convention in Seneca Falls. Yet, when Truth rose to enter into the conversation, her words, collected under the title “Ain’t I a Woman,” not only drew strong admiration, but presaged what would come to be the fundamental question of Western feminism: What exactly is a woman?

In the speech titled “Ain’t I a Woman,” Truth reveals the contradictions inherent to the use and meaning of the term woman, and exposes the political, economic, and cultural assumptions underlying its use.  Taking the platform at the Convention in Ohio, she spoke out against the declarations of several men. They believed that women were to refrain from strenuous work, both physical and mental, so to better fulfill their “womanly nature.” But Truth knew nothing of this so-called nature that they espoused and engendered. What she knew was toil and work as arduous as any man could endure.

That man over there says that women need to be helped into carriages, and lifted over ditches, and to have the best place everywhere. Nobody ever helps me into carriages, or over mud-puddles, or gives me any best place! And ain’t I a woman?  Look at me! Look at my arm! I have plowed, and planted, and have gathered into barns, and no man could head me! And ain’t I a woman? I could work as much, and eat as much as man – when I could get it – and bear the lash as well! And ain’t I a woman? I have borne thirteen children and seen most all sold off to slavery, and when I cried out with a mother’s grief, none but Jesus heard me! And ain’t I a woman?   (Truth, 2009).

Almost one hundred years later, Truth’s questioning can be heard in Simone de Beauvoir’s challenge to claims that the meaning of womanhood is self-evident.  In her groundbreaking and canonical work The Second Sex (1949, 1st English trans., 1953), Beauvoir set the course for the subsequent study of the “woman question” in the West by putting the issue of gender into focus. Responding to male discontentment that French women were losing their femininity and were not as “womanly” as they believed Russian women to be, Beauvoir wondered if one is born a woman or whether, in fact, one must become a woman through various socialization and indoctrination processes. This critical perspective led her to challenge the usefulness of the category of woman altogether and to ask whether it was, in fact, helpful as a term representing all the experiences of the so-called members of the “second sex.”  Perhaps nothing better illustrates Beauvoir’s concerns regarding the legitimacy and effectiveness of the category of “woman” than the development of white, U.S. mainstream feminist thought in relation to challenges posed by women of color, the poor, lesbians, immigrants, and women from “third world” nations.   In making their voices heard, these marginalized women expanded feminist thinking by showing that ideologies of womanhood had just as much to do with race, class, and sexuality, as they had to do with sex.

2. Are All Women the Same?

Feminists in the U.S. have set out to identify, expose, and subvert the longstanding gender stereotypes that have been used to dominate and subordinate women.  Central to any theory of feminism, then, is how terms like “woman,” “female,” and “feminine” are construed or misconstrued.  The pioneer women in the U.S. suffragist movement spoke of and fought for women’s rights, using the term woman to signify all women.  What they failed to recognize was that their notion of womanhood was modeled on the experiences and problems of a small percentage of females who, like them, were almost exclusively white, middle-class, and relatively well-educated.  However, the assumption that middle-class white women’s experiences represented all women’s experiences was not only made by the early Suffragists, but continued to shape the ideal of womanhood well into the second wave of the American feminist movement and beyond.

In The Problem That Has No Name, a book that helped usher in the second wave of feminism in the U.S., Betty Friedan exposed the hidden frustrations of women who had bought into the “mystique of feminine fulfillment” (2001:24). Trading in their career ambitions for the promised bliss of marriage, motherhood, and domesticity, many women instead found themselves trapped and isolated behind white picket fences in what Friedan described as the “housewife’s syndrome.”  But, what Friedan also failed to recognize was that this syndrome affected only a certain minority of women— namely, those who were white, middle-class, and often highly educated, like herself.   She did not realize that the binary and complimentary gender divisions she assumed, woman as breadmaker and man as breadwinner, were built upon a racialized patriarchy that excluded women of color, the poor, and immigrants from this “mystique of femininity.”   It was these women who would be called upon to leave their children and homes to care for the children and homes of the white women who had successfully “liberated” themselves from domesticity to voluntarily enter into the work force.

Discounting the lives of women of color by assuming that the experiences of white women were representative of the lives of all women, Friedan imagines a unity among women’s experiences that simply does not exist.  According to bell hooks, this ideal of gender solidarity is built upon an assumption of sameness that is supported by the idea that there exists a common oppression of patriarchy around which women must rally.  “The idea of ‘common oppression’ was a false and corrupt platform disguising and mystifying the true nature of women’s varied and complex social reality” (1984:44). This complexity is especially disclosed in the lives of women of color who must contend with multiple and overlapping forms of oppressions–including oppression by white women, who fail to acknowledge the different struggles confronting women who are not like them.

Mainstream feminist thought continues to grapple with the interrelations between gender and race, as well as class, colonialism, imperialism, and issues of sexual orientation in what might arguably be called a third wave of feminism in the U.S..  More importantly, the critiques of women who have suffered the most from sexist societies — women of color, the poor, third world women — are now at the forefront of a contemporary, progressive feminist politics.  Thus, to understand the current contours of mainstream feminist thought in the U.S. and the question of race, one must look at how feminist theory and practice have addressed differences among women, and the specific ways that differences within women’s lives have shaped their relationships to mainstream U.S. feminism.

3. Mainstream Feminism and African American Women in the United States

Feminist theorists have addressed the relationship of race and feminism in at least two different ways. One approach is to view race as integral to gender and explore the ways in which gender identity is constructed in relation to race, and how racial identity is equally constructed in relation to gender.  The other follows a method whereby the voices of women of color are added to the conventional curriculum in a sort of separate but equal manner. This latter approach has been called the “additive” approach. Because it simply adds the voices of those historically excluded from the mainstream feminist canon, but does not examine the constitution of these voices within the contexts of power that have given rise to them, it carries the risk of essentializing gender and race, or assuming these categories to be fixed and timeless.

With respect to the former, Jacquelyn Dowd Hal highlights the interconnections of race and gender in her discussion of lynching. Hal shows that lynching was not only used to enforce labor contracts, maintain racial etiquette and the socio-economic status quo, but was also effective in re-inscribing gender roles among whites. White men cast themselves as protectors of white women, sheltering them from the presumed threat of black male sexual prowess, while simultaneously securing white women’s adherence to ideals of chastity and femininity (Brooks-Higginbootham, 1989: 132).  These ideals were further re-inscribed by white women in their perceptions and accusations regarding black male sexuality.  Ida B. Wells had made the same observation, arguing that white men maintained their ownership over white women’s bodies by using them as the terrain for lynching black males (Carby, 1986: 309). It comes as little surprise, then, that by joining anti-lynching campaigns white women were not only defending black males, but simultaneously reacting against Southern chivalry and their roles as fragile sex objects (Brooks-Higginbootham, 1989: 133).

The more popular approach to the question of race and feminism, however, seems to have been the “additive” approach.  In “Toward a Black Feminist Criticism” (1977), Barbara Smith embarks on a journey that she states no man or woman has gone on before: documenting black women’s experience and culture while providing black women with a resource for reading about their lives. “It is galling that ostensible feminists and acknowledged lesbians have been so blinded to the implications of any womanhood that is not white womanhood and that they have yet to struggle with the deep racism in themselves that is at the source of this blindness” (Carby, 1992: 158).  Smith believes that it is necessary both to retrieve the writings of black women and to place them before black feminist literary critics who are able to interpret these writers experiences.  She argues that black women writers share a singular tradition of styles, themes and aesthetics that are rooted in a shared culture of oppression.  Furthermore, she believes that these themes are expressed in a uniquely black woman’s language that is accessible only to black feminist literary critics who simply need turn inwards, or towards their own lived experiences, in order to decipher the messages told by black women writers (Carby, 1992:164). With her novel idea of an “identity politics,” Smith went on to form the black lesbian feminist Combahee River Collective in Boston.

“The Combahee River Collective Statement” (1986), along with This Bridge Called My Back, Writings by Radical Women of Color, published two years earlier, gave voice to women of color and served as the primary texts from which white women and women of color would draw in discussions of race and gender.  In the Combahee Statement, the Collective explained their need to organize and come together as black women into a movement for black women. “We realize that the only people who care enough about us to work consistently for our liberation is us.  Our politics evolve from a healthy love for ourselves, our sisters, and our community, which allows us to continue our struggle and our work” (1995: 21-22). Black-only movements worked to raise the self-esteem of black women and address specific problems confronting all black people. Angela Davis also describes how, despite the sexist and heterosexist elements of the Black Nationalist Movement, it gave her a framework within which to understand herself as beautiful and valuable. In addition, Black Nationalism also served to counter racist images of African-Americans by providing positive images of Africa.  “I was able to construct a psychological space within which I could ‘feel good about myself.’ I could celebrate my body (especially my nappy hair, which I always attacked with a hot comb in ritualistic seclusion), my musical proclivities and my suppressed speech patterns, among other things…This distanced me from the white people around me while simultaneously rendering controllable the distance I had always felt from them” (1992:319).

Patricia Hill Collins invokes the notion of a shared black women’s language and highlights a common tradition that reaches back to the idea of an “African consciousness.” However, she cautions against carving out a uniquely black female voice, or category of experience, for fear of sliding into an essentialist perspective which may, ultimately, be counterproductive. She recognizes that identifying a black feminist thought problematically assumes that “being Black and/or female generates certain experiences that automatically determine the variants of a Black and/or feminist consciousness” (1991:21). Still, Collins maintains that black women have certain perspectives that arise out of a shared experience, along with a different relation to knowledge production that give rise to a uniquely “black feminist standpoint” (1991:21-22).

Collins draws on the mainstream feminist strategy of “standpoint theory” that Nancy Hartsock helped develop out of Karl Marx’s insight that the material conditions of existence structure one’s lived experiences,. A standpoint theory argues that the place from which one stands influences the perspective or view that one has of the world; and, further, that those who are most oppressed are able to provide a broader and clearer perspective on the whole of society and societal relations (Hartsock, 1999).  Collins believes that any black feminist standpoint must take into account white domination, the concomitant struggle for self-definition, and the Afrocentric worldview that helps blacks cope with racial domination. This Afrocentricism, Collins claims, existed prior to,and is independent of, racial oppression. Moreover, it has given rise to traditions of storytelling and narrative that value concrete, lived experience, as well as black women’s community and sisterhood (1991:206, 212). Collins’ version of standpoint feminism, therefore, focuses on concrete lived experiences that have their roots in African oral traditions, black families, churches, and other black organizations.

But even the idea of this mitigated account of an essential black female identity does not sit well with many black women. For example, Hazel Carby sees the idea of black feminist criticism, as well as any notion of a specifically black feminist consciousness, as a problem and not a solution. She traces this problem to the processes whereby one finds academic legitimation by aiming to fit into certain allotted slots that are open for discussions of racial and gender identity within mainstream curricula.  Carby advocates the need to examine racism and sexism not as trans-historical and essentialist categories, but as historical practices which are enmeshed with evolving sets of social, political, and economic practices that function to maintain power in a given context and society (1989:18).  Any emphasis on the elaboration of standpoint theory, Carby claims, sanctions the segregation and ghettoization of race and gender, while simultaneously positing white women as a normative standard (1992:193 ).

Moreover, Carby believes that this supplemental approach, which consists simply in adding the experiences and writings of women of color to the established mainstream feminist canon, will not solve the problems of “exclusion” from mainstream feminism, but will instead further reify differences.  Joan Scott echoes these remarks and cautions women against relying on an uncritical deployment of experience to tell their stories.  By assuming experience to be self-evident and transparent, one naturalizes difference and leaves unexamined the constitutive mechanisms according to which people’s experiences have been historically constructed by relational webs of power and multiple oppressions (1991: 25-26).   These mechanisms are structural and institutional. They are therefore more difficult to identify and eradicate. To adequately address the root causes of racism in the feminist movement, women must therefore acknowledge that any attempt to universalize their experiences colludes, not only with ideologies of white womanhood, but also with the dominant and privileged white male norms.  The prominence given to white women’s experience, Carby points out, is no accident. “White women are made visible because they are the women that white men see” (1986: 302). Taking into account the historical and political contexts that define gender reveals the racial constructions that structure both the lives of whites and people of color.

Many black women, especially those excluded from the earlier Suffragist movement, went even further and drew an explicit link between imperialism, racism, and patriarchy. This link was cemented at the 1893 World’s Columbian Exposition in Chicago, where a group of black women who had thought they were there to represent the lives of American women, were instead made part of exhibits featuring “exotic” peoples, which further fed into racist stereotypes and fears (Carby, 1986).  Subsequently, these women came to recognize the need to form their own national organizations.  In 1896, a number of black women’s groups merged into the National Association of Colored Women (NACW), headed by Josephine Ruffin and Mary Church Terrell. Its members included Harriet Tubman, Frances E.W. Harper, and Ida Bell Wells-Barnett. Harper and Anna J Cooper, the fourth African American woman to earn a Doctorate in the U.S., saw an inseparable link between imperialism, domestic racial oppression, and unrestrained patriarchal power. Cooper writes in A Voice from the South: By A Woman from the South (1892):

“Whence came this apotheosis of greed and cruelty? Whence this sneaking admiration we all have for bullies and prizefighters?  Whence the self-congratulation of ‘dominant’ races, as if ‘dominant’ meant ‘righteous’ and carried with it a title to inherit the earth? Whence the scorn of so-called weak or unwarlike races and individuals, and the very comfortable assurance that it is their manifest destiny to be wiped out as vermin before the advancing civilization?” (Carby, 1986:305).

Cooper’s observations came 40 years after Arthur de Gobineau declared in The Inequality of Races, that, indeed, Africans were “incapable of civilization” because they did not have the drive or ambition to conquer their neighbors, but rather lived “side by side in complete independence of each other” (Bernasconi, 2000:47). It was this conquering drive that Gobineau argued marked European civilization as advanced in contrast to the backwardness of Africans, who practiced living in harmonious co-existence with their neighbors.

In recognition of the advantages that race has conferred upon white women, many feminists have embarked upon analyses of race and gender that moves towards an acknowledgment of white privilege and racial injustice. Feminists have also worked to develop strategies for addressing white racism and identifying power differentials between women, between men, and among white women and men of color.

4. White Privilege and the Question of Racism in U.S. Mainstream Feminism

In 1988, inspired by the model of how men gain advantage from women’s disadvantage, Peggy McIntosh began to document some of the ways in which white women have benefited from racism.  Having observed how men were taught not to recognize their male privilege, McIntosh explored some of the unconscious avenues that allow white women not to recognize their “unearned skin privilege” (2008:63). “[W]hites are taught to think of their lives as morally neutral, normative, and average, and also ideal, so that when we work to benefit others, this work is seen as work that will allow ‘them’ to be more like ‘us’” (2008:63). Positioning whites as the norm is seen by Anna Stubblefield as pivotal to securing the superiority of whites. “The ideology of white supremacy is that whiteness sets the standard—whiteness is normative—such that anything that is symbolic of or associated with blackness is therefore deviant”  (2005:74).

McIntosh describes how she was taught to view racism as prejudice or bigotry, and to subscribe discriminatory acts of cruelty to isolated individuals, rather than to acknowledge “invisible systems conferring racial domination on my group from birth” (2008:68). She lists the unearned advantages that come from being a member of the dominant group, such as the comfort that comes from being in situations that reflect the worldview, values, and ideals of whites. White privilege ranges from the confidence white parents have that their children will receive educational materials highlighting the accomplishments and contributions of their race, to not attributing acts of injustice to racial prejudices, and not having to stand as a representative for one’s particular racial group. Marilyn Frye further discusses the privilege that whites have to define or determine how others will see them. More specifically, she contrasts the images and ideals that whites have of themselves with the ways in which they are viewed by men and women of color to underscore the disparity in perceptions (2001:85).  Because whites are taught that they are moral, honest, and fair, they believe that they alone are capable of and responsible for teaching others about what is right and wrong. This confidence is built upon a body of established Western principles, codes, and rules that presume to guarantee the correctness of their moral judgments. However, these self-descriptions of the dominant racial group are not shared by the majority of people of color who view many whites as behaving arbitrarily, or in a self-serving, violent, and often oppressive ways.

In “The Whiteness Question” (2005), Linda Alcoff argues that the key to overcoming racism lies in a confrontation with the “psychic processes of identity formation[.]”  Tracing the origins of whiteness to domination and exploitation, Alcoff asserts that “whiteness” is inseparable from the subjection, denigration, objectification, and repudiation of those who are perceived as non-white. “The very genealogy of whiteness was entwined from the beginning with a racial hierarchy, which can be found in every major cultural narrative from Christopher Columbus to Manifest Destiny to the Space Race and the Computer Revolution”  (2005). Before the concept of race originated in the 16th century, various populations of people identified and structured their communities in varieties of ways that did not include reference to skin color.  The origins of the category of race are, indeed, the origins of European expansion and oppression against Africans, Asians, indigenous peoples in the Americas and Australia, and even Muslims.  According to G.W.F. Hegel, it is only Europeans, or, more precisely, Christians who are able to attain the highest level of reason and spirituality by distancing themselves from the “absolute” through rationality.   Africans are not able to actualize these higher mental and spiritual faculties because they fetishize the absolute by objectifying it in relics that they then toss away when their fetish fails to come to their aid.  Muslims too, while successful at raising God above the level of the sensuous, are nevertheless unable to bring God back down to earth and unite the universal with the concrete, and therefore are unable to attain self-conscious reason (Bernasconi, 2000).

Alcoff, therefore, concludes that white collective self-esteem and identity are rooted in forms of white supremacy. Thus, to break free from racist ideology may not be such an easy task for whites, as it threatens the very foundations of their pride and self-love. This threat arises from the acknowledgement that historical achievements, and the legacy of cultural resources from which a white identity is drawn, are steeped in practices of racial oppression and domination. Consequently, relinquishing racism means not only giving up the actual privileges and benefits that are associated with being white, but may involve shunning one’s ties to a cultural history upon which white personal esteem and sense of self are grounded.  Feelings of hysteria, shame, and anxiety often accompany this break.  Yet, belonging to a history is crucial to one’s esteem and identity. Alcoff, therefore, suggests a form of “white double consciousness” that moves from a recognition of practices of domination, exploitation, and discrimination to “a newly awakened memory of the many white traitors to white privilege who have struggled to contribute to the building of an inclusive human community. The Michelangelos stand beside the Christopher Columbuses, and Michael Moores next to the Pat Buchanans” (2005).

The interrelationship between white identity and white supremacy has lead some anti-racist whites, most notably Noel Ignatiev, to go further and to call for the overall abolition of the white race: “Treason to whiteness is loyalty to humanity” (1997). Marilyn Frye similarly advocates a disassociation from “whiteness” by calling for whites to opt out of the club she calls “whiteliness” (2001: 85). The very conditions for disclaiming whiteness, a disclaiming of identity that some women of color point out is possible only for whites, rests in the understanding that race is something socially constructed.  Frye explains that being white “is like being a member of a political party, or a club, or a fraternity—or being a Methodist or a Mormon” (2001:85).

The possibility of relinquishing “whiteliness,” therefore, involves a recognition of its contingency, and depends upon the repudiation of practices that arise from enacting, embodying and animating whiteness. Transforming consciousness is one step toward eliminating whiteliness.  However, Frye and McIntosh are clearly aware that reflection and reorientation address only a fraction of the problems associated with race, since most of these are stubbornly structural and institutional. Still, Linda Gordon fears that a failure to begin addressing these difficult problems merely contributes towards legitimating more of the same—whites talking only about themselves (1991).

Sarita Srivastava is similarly unhappy with the direction that discussions of race have taken insofar as they tend toward white self-examination and constructions of whiteness. When analysis of race and racism occurs in feminist organizations, the emphasis, she finds, often falls on white guilt rather than organizational change. This results in self-centered strategies by whites to correct their moral self-image, an image that sustains inequalities, and, Srivastava argues, is rooted in the very foundations of feminism, imperialism, and nationalism that are the target of change.(2005: 36). Rather than work directly to alter the order of racial oppression, white women instead strive to empathize with the victims. Empathy serves to underscore white women’s “goodness,” and transforms the essentially socio-political nature of the problem to a more personal one. This practice further reinforces decades of racist and colonialist practices by validating white women’s moral authority and their belief that they have somehow been entrusted with the responsibility to educate and liberate those less civilized (2005: 44). Thus, Srivastava argues that white women fail to genuinely confront their own racism by focusing on their guilt and, in doing so, maintain power inequities.  She quotes a woman of color’s frustration over white women’s refusal to look at their racism during political discussions on the topic of race.  “The indignant response, anger, the rage that turns to tears, the foot stomping, temper tantrum, which are very typical responses [to being called racist]. Every single organization that I have been in, every single one. So I realized that it wasn’t about me…after awhile [laughter]” (2005: 42-43).

Alcoff further shows how white feminists distance themselves from a serious critique of racism by focusing on behavior modification, rather than challenging oppressive institutional structures and calling for wealth redistribution.  In her analysis of Judith Katz’s White Awareness: Handbook for Anti-Racism Training (Katz 1978), Alcoff describes Katz’s depiction of how she came to terms with the depth of her own racism as a painful, demoralizing process that threatened her self-trust.  While Katz warns against wallowing in white guilt, she nonetheless links anti-racism to psychological liberation while, at the same time, distancing herself from the workings and mechanisms of racist practices that are endemic to the culture. The focus on difference and overcoming of difference, either by obliterating or representing it, tends to neglect the power relations that establish, hold apart, and bring together such differences in the first place. Concentrating on identity and difference also overlooks the actual lives of many women of color who struggle, not so much with how to disabuse themselves of a certain identity, but, to the contrary, with how to establish an identity in the first place.

5. Chicana/Latina and Asian American Women and U.S. Mainstream Feminism

Struggling to negotiate and come to terms with an identity, many women of color are not as eager as white women to give up their racial or ethnic distinctiveness. “To be oppressed,” Norma Alarcon explains, “means to be disenabled not only from grasping an ‘identity’, but also from reclaiming it” (1995:364).  Moreover, specific histories of oppressions have positioned women differently with regard to gender roles and the family.  Cherrie Moraga describes how Latina women’s relationships to ideals of gender and motherhood have been uniquely shaped by colonization. Accompanying European expansion and colonization, was the concomitant threat of genocide. The fear of extinction strengthened the commitment to traditional family ideals and roles, such as encouraging women to be pregnant and assuming males at the head of the household.  “At all costs, la familia must be preserved…We believe the more severely we protect the sex roles with the family, the stronger we will be as a unity in opposition to the anglo threat” (1995:181). Consequently, Moraga explains, Latina feminists’ relation to gender roles and the structure of the family confront a very particular kind of resistance.  While mainstream feminists are challenging traditional sex roles of men and women, some Latina feminists, due to their certain histories of colonization, seek to preserve these roles.  Thus, Latina women’s concerns are often foreign to, and often in direct opposition to, mainstream white feminists who seek to abolish or overcome conventional forms of gender identity, especially within the family.

U.S. immigration policies and discriminatory practices against Asian Americans have also sometimes lead to the embracing of gender ideals among Asian American women that are in opposition to the ideals of many white feminists in the U.S..  Ester Ngan-Ling Chow shows how racism, colonialism, and imperialism have worked to position Asian American women differently toward Asian American men, feminism, and Westernization.  Addressing the apparent lack of feminist consciousness and activism in Asian American women, she attributes this deficit to ethnic pride and solidarity with Asian American men to end racial discrimination against Asians in the U.S..  Asian American men, for example, often view Asian American women’s engagement with mainstream U.S. feminism as a threat to the Asian American community.  Chow also points to specific Asiatic values of obedience, filial duty, loyalty, fatalism, and self-control that encourage forms of submissiveness among Asian American women that are incompatible with American values of individualism and self-assertiveness.  The force of traditional Asian values contributes to the particularity of Asian American women’s struggles, and work to distance their struggle from the concerns of the mainstream, white feminist movement. These differences, among others, are why Chow states: “The development of feminist consciousness for Asian American women cannot be judged or understood through the experience of White women” (1991:266).

Yen Le Espiritu further discusses the complexities surrounding the intersections of race, class, and gender confronting Asian American women.  Regrettably, some Asian American women find themselves victims of the discrimination faced by Asian American men.  Among other things, Espiritu writes, racial ideology defines Asian American men as feminine and weak—a rendering that incidentally works to confirm the notion that manhood is white.  Frustrated also by the higher value placed on Asian American women’s employability, some Asian American men try to assert their power by physically abusing the women and children in their lives.  Breathing humor into these problems of physical abuse, Espiritu draws upon a joke that gets a laugh from both men and women. “When we get on the plane to go back to Laos, the first thing we will do is beat up the women!’” (Espiritu, 1997: 136). Despite the discriminations Asian American women endure within their community, they too often find it difficult to juggle between the desire to expose male privilege, and the desire to unite with men in their shared struggle against prejudice and discrimination.

Gloria Anzaldua describes the particular ways that a feminist consciousness is developed by Latina women who many times find themselves struggling to arrive at a positive image of themselves.  She explains how an internalization of racism and colonialist mentality has given rise to shame, self-hatred, and abuse of other Latina women in various communities. Self-hatred and the hatred one has towards others like oneself are further ignited by jostling for the limited positions of superiority that are open to women of color.  Here is where ethnic and cultural identity begin to be conflated with race and purported biological distinctions.  In the early phases of colonialism, European colonizers flexed their powers overtly in order to destroy the fabric, legal codes, cultural systems, mannerisms, language and habits of the colonized under the guise of civilizing the “savage natives.”  Slowly, local inhabitants internalized Western values, attitudes, and ways of life, including racialized thinking that resulted in a desire for some Latin Americans to become more white and reject their indigenous cultures.  “Like them we try to impose our version of ‘the ways things should be’, we try to impose one’s self on the Other by making her the recipient of one’s negative elements, usually the same elements that the Anglo projected on us” (1995: 143).

More graphically, Anzaldua alludes to how the “forced cultural penetration” of rape has, so to speak, inseminated white values into the bodies of women of color (1995:143). A Latina woman with lighter skin who does not speak the language of her ancestors is often held suspect by other Latina women and cast out of the community.  Anzaldua attributes this exclusionary practice to an “internalized whiteness that desperately wants boundary lines (this part of me is Mexican, this Indian)[.]” (1995: 143). In opposition to the Enlightenment fantasy of a uniform and self-contained subject, Anzaldua introduces the concept of “mestiza consciousness,” a consciousness of the Borderlands that captures the multiplicity and plurality of Latina consciousness. “From this racial, ideological, cultural and biological cross-pollinization, an ‘alien’ consciousness is presently in the making—a new mestiza consciousness, una conciencia de mujer” (2008: 870). Writing primarily in English but peppering her discussion of mestiza consciousness with phrases in Spanish, Anzaldua puts the non-Spanish reader in an uncomfortable position, paralleling the discomfort felt by many immigrants who are confronted with a language they don’t understand.  In this way, Anzaldua describes and invokes an appreciation of the inner conflict that those straddling two or more cultures, languages, and value systems experience.  She provides a provocative illustration of warring cultures that produce in their subjects a “psychic restlessness” (2008).

The notion of a splintered personality brought on by a collision of cultures is also addressed by Alcoff, who proposes a positive reconstruction of mixed race identities whereby one finds comfort in ambiguity and a contentment with living the “gap” (2000:160). “I never reach shore: I never wholly occupy either the Angla or the Latina identity.  Paradoxically, in white society I feel my Latinness, in Latin society I feel my whiteness, as that which is left out, an invisible present, sometimes as intrusive as an elephant in the room and sometimes more as a pulled thread that alters the design of my fabricated self” (2000:160).

Maria Lugones gives a phenomenological description of what it is like to shift between identities as a person of mixed race or a hyphenated identity.  When voluntarily embraced, she calls this practice of shifting identities “world traveling.”  “Those of us who are ‘world’- travelers have the distinct experience of being different in different ‘worlds’ and ourselves in them” (1995: 396). Lugones’ concept of world traveling arose out of her awareness of the different levels of comfort she experiences in embodying different identities in distinct worlds. In some worlds, Lugones observes she is more playful and not overly concerned with how others view her. However, while inhabiting a world in which her identity is constructed negatively, or strictly on the basis of her ethnicity, she finds she is less playful and may even begin to animate self-defeating stereotypes.

Shifting in and out of various worlds, Lugones advocates a strategy whereby women attempt to empathize with each other by trying to stand in one another’s shoes. Laurence Thomas, to the contrary, warns against such a strategy that asks people who are so differently positioned within society to try to identify with each other’s experiences. Instead, he introduces the model of “moral deference”: “the act of listening that is preliminary to bearing witness to another’s moral pain, but without bearing witness to it” (1986: 377). In this stance, the one suffering has the platform and the one listening, who does not inhabit the same socially constituted identity, cedes the platform by recognizing the incommensurability of his or her experience of the other’s pains and struggles. It is this respect – rooted in an acknowledgment of the irreducibility of lived experience—that is at the heart of Third World Women’s appeal to Western Feminists.

6. Third World Feminisms and Mainstream Feminism in the U.S.

Significantly, the concerns raised by women of color in the U.S. are almost identically replayed by third world women, in what might be called a shift from biological to cultural racism.  However, instead of fighting against a cultural norm of white womanhood, third world feminists are fighting to assert their difference in opposition to a monolithic and dominant notion of Western feminism that is increasingly gaining legitimacy by controlling how women in the third world are represented.

Chandra Talpade Mohanty raises awareness of the impact of Western Scholarship on third world women “in a context of a world system dominated by the West[.]” (1991:53).  She encourages Western feminist scholarship to situate itself within the current Western hegemony over the production, publication, distribution, and consumption of information, and to examine its role within this context (1991:55).   In her analysis of the representations of third world women in nine texts in the Zed Press “Women in the Third World” series, Mohanty finds that in almost all these texts women are monolithically represented as victims of an unchanging patriarchy. These representations uproot women from their lived situations and the practices that shape, and are shaped by them. “The crucial point that is forgotten is that women are produced through these very relations as well as being implicated in forming these relations” (1991:59).

When women’s lives and struggles are not historically and locally situated, they are robbed of their political agency.  Those, then, writing about third world women “become the true ‘subjects’ of this counterhistory” (1991:71).  Western scholarship must, therefore, recognize the ethnocentric universalism it assumes in encoding and representing all third world women as victims of an ahistorical and decontextualized notion of patriarchy that results in a homogenous notion of the oppressed third world women. Only when feminist thinkers examine their role within Western dominations can genuine progress be made.

Uma Narayan highlights the facticity of women’s historical situations in her exposition of the particularities that women in the third world confront in participating in a feminist movement.  Because of the histories of colonialism and imperialism, suspicions against feminist movements as possible instruments of colonial domination surround attempts made by women to organize for change. Specifically, Narayan explores how the term Westernization is used to silence critiques by third world feminists regarding the status and treatment of women in their communities.  Ironically, it is Western educated and assimilated men in the third world that are spearheading these attacks against third world feminists by accusing them of disrespecting their culture and embracing Western values and customs. Narayan rejects the implication that feminism is foreign to the third world, noting that historical and political circumstances that raise awareness of women’s oppression give rise to a feminist consciousness that is organic to third world women’s lives.

Minoo Moallem locates a “feminist imperialism” in Western women’s desire to  enlighten third world women to the civilizing project of the West, wherein first world women become the norm and third world women get constructed as a singular, non-Western other (2006).   Elora Shehabuddin identifies a feminist imperialism in Western women’s attempt to position themselves as the saviors of Muslim women, thereby ignoring women’s voices fighting to make change within the Muslim world  “In presenting change in the Muslim world as possible only with the intervention from the United States—either by force through the violent eradication of oppressive Muslim men or the less dramatic support of ‘moderate’ Muslim groups and individuals—these writers foreclose the possibility of change from within Muslim societies” (2011: 121).

Ignoring the racism inherent in colonialist narratives documenting the oppression of Muslim women by Muslim men, Shehabuddin points out, Western feminists are content to draw on stories of abuse by a few vocal “Muslim escapees” as representative of the victimization of all Muslim women.  What seems to be the primary concern of these Western feminists is not the actual lives of women in the Muslim world, but the assertion of their own moral authority, exercised in presumably righting the sexism in the Islamic world.   In this way, Western feminists repeat and redirect their racism and condescension toward Muslim women and third world women in general, while conveniently avoiding the sexism and oppression in their own backyards.  The remedy to cultural racism is an acknowledgement of it and a commitment to displace Eurocentricism by actually listening to women’s experiences, and engaging women in the hopes of opening up a dialogue.  Shehabuddin writes: “In the end, the only way to find out ‘what Muslim women want’ is to listen to them, not by assuming their needs and concerns are self-evident because they identify as Muslims and not by taking a small group of vocal, articulate individuals—whose opinions on issues like Israel and the war on terror are more acceptable—as the representative and authentic voices” (2011: 132).

7. Conclusion: “There is No Hierarchy of Oppressions”

The history of U.S. feminist thought has evolved from an essentialist notion of womanhood based on the normative model of middle-class white women’s experiences to a recognition that women are, in fact, quite diverse and see themselves differently. “The real problem of feminism,” states Elizabeth Spellman, “is how it has confused the condition of one group of women with the condition of all women” (1988:15 ). In assuming that the experiences of middle-class white women represented the lives of all women, a false unity and solidarity among women was presupposed. Taking account of the multiple and overlapping forms of oppression that many women, especially women of color and third world women must negotiate, reveals the complexity and diversity of women’s lives.  Women of color in the U.S., for example, not only define themselves in a struggle against white men and men of color, but also in resistance to white women.  The same holds for third world women who find themselves fighting against the omission of their experiences and the overarching assumptions made by “first world” feminists regarding their needs and the forms of subordination they confront.  Moving away from a monolithic notion of woman, U.S. feminist theory and practice engages difference by focusing on context-specific positionings of women in relation to other constantly changing categories. But some women worry that without a commonality uniting women the power to make changes will be lost.

To address the complexity of the multitude of oppressions confronting women, Mohanty suggests a model based on “imagined communities of women” organized by “the way we think about race, class, and gender—the political links we choose to make among and between struggles” (1991:4). In these communities, political alliances are formed not by a person’s race or sex, but on the basis of “common contexts of struggle against specific exploitative structures[.]” (1991:7) Today, U.S. mainstream feminism is engaged with recognizing diversity and forming cross-cultural coalitions against injustices. The recognition of difference, however, is not complete without a further commitment to making institutional change.

Like sexism, racism is a problem that is structural and endemic to American culture and needs to be addressed systematically, along with class and all other systems of domination.  As Robert Bernasconi notes, “Personal attitudes are not the main source of the problem and they cannot provide the solution” (2005: 20).  The structural aspect is evident in the ease by which biological racism morphs into cultural racism, spawning condescending and racist attitudes toward third world women and a blindness of first world complicity in various forms of third world oppressions.  Indeed, as Audre Lorde has made clear, “the master’s tools will never dismantle the master’s house.”   However, by waging struggles against systems of domination and exploitation and assuming responsibility to actively give up the privileges bequeathed by these systems, admittedly an uncomfortable proposition, U.S. feminists embark upon dismantling the master’s house and the multitude of oppressions that it sustains.

Still, a change in personal attitudes does go a long way. When mainstream feminists recognize the interconnections between gender, race, nationalism and class, Espiritu writes, “then they can better work with, and not for, women (and men) of color” (Espiritu, 1997: 140).  In sum, feminists in the U.S. have worked arduously to address the question of difference among women, as well as what unites women in common contexts of struggle.   In the early twentieth century, Emma Goldman wrote of the significance of recognizing and respecting differences, while at the same time working together in spite of these differences to challenge institutional inequalities that prevent individuals from living together in a free society.  Goldman laid out a vision for a way forward that goes beyond the mere tolerance of difference when she said: “The problem that confronts us today and which the nearest future is to solve, is how to be one’s self and yet in oneness with the others, to feel deeply with all human beings and still retain one’s own characteristic qualities” (1973: 509).

8. References and Further Reading

  • Alarcon, N.,  “The Theoretical Subject(s) of This Bridge Called My Back and Anglo-American Feminism” in Making Face, Making Soul/Haciendo Caras: Creative and Critical Perspectives by Feminists of Color, (ed.) Anzaldua, G., Aunt Lute Books, 1995.
  • Alcoff, L., “Chapter 9: The Whiteness Question”  Linda Martin-Alcoff, 2005.
  • Alcoff, L., The Idea of Race, (eds.) Bernasconi, R. and Lott,T., Indianapolis: Hackett Publishing, 2000.
  • Anzaldua, G., “La Conciencia de la Mestiza/Towards a New Consciousness,” in The Feminist Philosophy Reader, (eds.) Bailey, A. and Cuomo, C., New York: McGraw Hill, 2008.
  • Anzaldua, G., “En Rapport, In Opposition: Cobrando cuentas a las neustras,” in Making Face, Making Soul/Haciendo Caras: Creative and Critical Perspectives by Feminists of Color, (ed.) Anzaldua, G., Aunt Lute Books, 1995.
  • Bernasconi, R. “Waking up White and in Memphis” in White on White/Black on Black (ed.) Yancy, G., Rowman & Littlefield Publishers, Inc., 2005.
  • Brooks-Higginbotham, E., “The Problem of Race in Women’s History,” in Coming to Terms: Feminism, Theory, Politics, (ed.) Weed, E., New York: Routledge, 1989.
  • Carby, H., “On the Threshold of Woman’s Era: Lynching, Empire, and Sexuality in Black Feminist Theory,” in Race, Writing and Difference, (ed) Gates, H.L, University of Chicago Press: Chicago, 1986.
  • Carby, H., “The Multicultural Wars,” in Black Popular Culture, (ed.) Dent, G., Bay Press: Washington, 1992.
  • Carby, H. Reconstructing Womanhood: The Emergence of the Afro-American Woman Novelist, U.S.A: Oxford University Press, 1989
  • Collins, P.H., Black Feminist Thought, New York: Routledge, 1991.
  • Combahee River Collective, “A Black Feminist Statement The Combahee River Collective” in Words of Fire: An Anthology of African-American Feminist Thought, (ed) Guy-Sheftall, B., New Press, 1995.
  • Davis, A., “Black Nationalism: The Sixties and the Nineties,” in Black Popular Culture, (ed.) Dent, G., Bay Press: Washington, 1992.
  • Espiritu, Yen Le, “Race, Class and Gender in Asian America” in Making More Waves: New Writings by Asian American Women, eds. Elaine H. Kim, Lilia V. Villanueva, and Asian Women United of California, Beacon Press Books: Boston, 1997.
  • Friedan, B. The Feminine Mystique, New York: Dell Publishing Inc., 1974.
  • Frye, M., “White Woman Feminist 1983-1992,” in Race and Racism, (ed.), B. Boxill, U.S.A: Oxford University Press, 2001.
  • de Gobineau, A., “The Inequality of Human Races,” in The Idea of Race (eds.) Bernasconi, R. and Lott, Indianapolis: Hackett Publishing, 2000.
  • Goldman, E. “The Tragedy of Woman’s Emancipation,” in The Feminist Papers: From Adams to de Beauvoir, (ed.) Ross, A. S., Boston: Northeastern University Press, 1973.
  • Gordon, L., “On Difference,” Genders 10, Spring 1991.
  • Grande, S., “Whitestream Feminism and the Colonialist Project: A Review of Contemporary Feminist Pedagogy and Praxis,” Educational Theory, Summer 2003,Volume 53, Number 3.
  • Hartsock, Nancy, The Feminist Standpoint Revisited, And Other Essays (Basic Books, 1999), pp. 105-133.
  • Hooks, b., Feminist Theory: From Margin to Center, Boston: South End Press, 1984.
  • Ignatiev, N., “The Point Is Not To Interpret Whiteness But To Abolish It” in Race Traitor, ed. Noel Ignatiev, 1997.
  • Lorde, A. “The Master’s Tools Will Never Dismantle the Master’s House,” in This Bridge Called My Back: Writings by Radical Women of Color, (eds.) Moraga, C. and Anzaldua, Kitchen Table- Women of Color Press, 1984.
  • Lorde, A. “There is No Hierarchy of Oppressions,” Illvox, May 12, 2008.
  • Lugones, M. “Playfulness, ‘World’-Travelling, and Loving Perception” in Making Face, Making Soul/Haciendo Caras: Creative and Critical Perspectives by Feminists of Color, (ed.) Anzaldua, G., Aunt Lute Books, 1995.
  • McIntosh, P., “White Privilege and Male Privlege,” in The Feminist Philosophy Reader, (eds.) Bailey, A. and Cuomo, C., New York: McGraw Hill, 2008.
  • Moallem, M., “Feminist Scholarship and the Internationalization of Women’s Studies,” Feminist Studies 32, no. 2 (Summer 2006) 334
  • Mohanty, C. “Introduction: Cartographies of Struggle: Third World Feminism and the Politics of Feminism” in Third World Women and the Politics of Feminism, (eds.) Mohanty, C., Russo, A., Torres, L., Indiana University Press, 1991.
  • Mohanty, C., “Under Western Eyes: Feminist Scholarship and Colonial Discourses” in Third World Women and the Politics of Feminism, (eds.) Mohanty, C., Russo, A., Torres, L. (eds.) Indiana University Press, 1991.
  • Moraga, C., “From a Long Line of Vendidas: Chicanas and Feminism” in Making Face, Making Soul/Haciendo Caras: Creative and Critical Perspectives by Feminists of Color, (ed.) Anzaldua, G., Aunt Lute Books, 1995.
  • Narayan, U., “Contesting Cultures: ‘Westernization,’ Respect for Cultures and Third-World Feminists,” in The Second Wave: A Reader in Feminist Theory, (ed.) Nicholson, L., New York:Routledge,1997.
  • Ngan Ling Chow, E., “The Development of Feminist Consciousness Among Asian American Women,” in The Social Construction of Gender, (eds.) Lorber, J. and Farrel, S. Sage Publications, 1991.
  • Scott, J., “The Evidence of Experience,” Critical Inquiry 17, 4 (Summer 1991)
  • Shehabuddin, E., “Gender and the Figure of the ‘Moderate Muslim’: Feminism in the Twenty-first Century,’ in Judith Butler and Elizabeth Weed, eds. The Question of Gender: Joan W. Scott’s Critical Feminism (Indiana University Press, 2011).
  • Spelman, E., Inessential Woman: Problems of Exclusion in Feminist Thought, Beacon Press: Boston, 1988.
  • Srivastava, S., “You’re calling me a racist? The Moral and Emotional Regulation of Antiracism and Feminism,” Signs the Journal of Women in Culture and Society, 2005, vol 31, no. 1  (30, 44, 42-43)
  • Stubblefield, A., “Meditations on Postsupremacist Philosophy” in White on White/Black on Black, G. Yancy (ed.), New York: Rowman &Littlefield, 2005.
  • Thomas, L., Moral Deference, 1998.
  • Truth, S., “Ain’t I A Woman? December 1851,” Internet Modern History Sourcebook, (ed.) Paul Halsal (March 2009).

 

Author Information

Sharin N. Elkholy
Email: elkholys@uhd.edu
University of Houston – Downtown
U. S. A.

Marsilio Ficino (1433—1499)

FicinoMarsilio Ficino was a Florentine philosopher, translator, and commentator, largely responsible for the revival of Plato and Platonism in the Renaissance. He has been widely recognized by historians of philosophy for his defense of the immortality of the soul, as well as for his translations of Plato, Plotinus, and the Hermetic corpus from Greek to Latin. Ficino is considered the most important advocate of Platonism in the Renaissance, and his philosophical writings and translations are thought to have made a significant contribution to the development of early modern philosophies.

The Platonic Theology is Ficino’s most original and systematic philosophical treatise. It is a lengthy and encyclopedic defense of the immortality of the soul against what he considered the growing threats of Epicureanism and Averroism. While arguing for immortality, Ficino articulates those positions that are most characteristic of his philosophy. He first provides his own restructuring of the Neoplatonic hierarchy of being. This metaphysical structure is used to ensure the dignity and immortality of the soul by situating it at a privileged midpoint between God and prime matter. However, this hierarchy also has negative consequences for the qualitative character of human existence on account of the soul’s proximity to matter. Finally, the Platonic Theology lays down the basic principles of Ficino’s animistic natural philosophy, according to which a World Soul is imminent in the material world, imparting motion, life, and order.

In addition to the Platonic Theology, Ficino also composed extensive commentaries on Plato and Plotinus, wrote a practical medical treatise, and carried on a voluminous correspondence with contemporaries across Europe. There are noteworthy elements in his writings that are less traditional and orthodox by some contemporary philosophical standards. For example, he was deeply influenced by the Hermetic tradition, and describes a species of knowledge, or natural magic, that draws down the intellectual and moral virtues of the heavens to the terrestrial world. Ficino also endorses an ancient theological tradition that included, to name a few, Hermes Trismegistus, Pythagoras, and Orpheus among its ranks. He held that this pagan tradition espoused a pious philosophy that in fact presaged and confirmed Christianity.

Table of Contents

  1. Biography
  2. The Platonic Academy of Florence
  3. The Ancient Theology and Pious Philosophy
  4. Platonic Theology
    1. Metaphysics
    2. Epistemology
    3. The Dignity of Humanity and the Human Condition
    4. The Immortality of the Soul
  5. Ethics and Love
  6. Legacy
  7. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Biography

Marsilio Ficino was born in Figline, not far from Florence, in 1433. He was the son of a physician, and Cosimo de’Medici—one of the richest and most powerful patrons of the fifteenth century—was among his father’s patients. While the precise details of his early life and education remain largely unclear to us today, it can safely be said that he studied Scholastic philosophy and medicine at the University of Florence, and that he was exposed to the burgeoning educational movement of Italian Humanism. Ficino’s earliest philosophical writings are largely Scholastic in their consideration of metaphysical, logical, and natural philosophical questions. In particular, Thomas Aquinas had a strong influence on significant aspects of his early thought, and this influence is thought to have persisted in his later philosophical writings.

The biographical contours of Ficino’s early life become clearer in the 1450s. He lectured on Plato’s Philebus; he also taught for a short time at the university in Florence, and privately as a tutor. As a young man Ficino fell under the influence of the Roman poet Lucretius. A manuscript copy of his didactic Epicurean poem, On the Nature of Things, was rediscovered in a monastery in 1417. After its recovery the poem was copied, disseminated, and eventually found its way into print and vernacular languages. Ficino was among the first generation of philosophers with direct access to the actual text of On the Nature of Things, which is thought to have played an important role in the development of early modern philosophy and science. During the late 1450s, Ficino composed a short commentary on Lucretius, the first since antiquity, as well as a treatise on pleasure. In this treatise he praises the Epicurean definition of pleasure as the removal of pain from the body and disturbance from the soul, and argues that Epicureanism is superior to the vulgar hedonism of someone like Aristippus. Ficino suggests that he experienced an intellectual or spiritual crisis during this time, and as a result ultimately rejected Epicurus and Lucretius as incompatible with deeply held philosophical and religious commitments. In a letter, Ficino reports that he burned his youthful commentary on Lucretius. Despite this Epicurus and Lucretius left an enduring stamp on Ficino’s thought that is visible in the mature philosophical writings, and historians of Renaissance philosophy are still assessing this influence today.

During the 1450s Ficino began to study Greek. In time, his knowledge of classical Greek culminated in one of his most lasting philosophical and scholarly achievements and contributions—his translation of Plato’s complete works into Latin. In 1462, Cosimo de’Medici commissioned Ficino to translate a manuscript copy of Plato’s extant writings. Around the same time, Cosimo also gave him the proceeds from a small property, as well as a villa in Careggi, not far from Florence. The conditions of the 1460s provided Ficino with the perfect opportunity to fully dedicate himself to translating Plato’s complete writings into Latin. His edition marked the first time that Plato’s extant corpus was translated into a Western language. Ficino’s work on Plato, however, was quickly interrupted when Cosimo requested that he also translate the Corpus Hermeticum into Latin. At the time, the Hermetic corpus was believed by many to be an ancient collection of theological writings that contained sacred wisdom. It was, however, written in the early years of Christianity. In 1464, Ficino read his translations of Plato’s dialogues to Cosimo as the aging patron lay dying.

In the late 1460s, after completing his translation of Plato, Ficino started working on his Platonic Theology: On the Immortality of the Soul. This book was finished in 1474, but it did not find its way into print until 1482. The Platonic Theology is Ficino’s longest and most systematic philosophical work. In 1473, he was ordained a priest, and after completing his Platonic Theology, dedicated himself primarily to translation, commentary, and correspondence. During this time Ficino also wrote the bulk of his commentaries on Plato’s dialogues. The last two decades of Ficino’s life were especially productive. In the 1480s, he translated the Enneads of the second-century Neoplatonist Plotinus, and also wrote commentaries on them. An edition of Plotinus was published in 1492. During this time Ficino completed his Three Books on Life, a medical and astrological treatise. After its 1489 publication it became one of his most popular and influential books. The third book presents Ficino’s theory of natural magic, which has since become the definitive Renaissance consideration of the subject.

Throughout his life Ficino carried on a steady correspondence with philosophers, poets, and politicians across Europe. This choice of philosophical expression shows the influence that Humanism had on him. In many letters, Ficino clarifies his understanding of certain Platonic concepts, such as poetic furor; but on a whole his correspondence is not strictly philosophical in nature, at least not by academic standards today. Even so, it contains information that is central to an accurate appreciation of his thought. Ficino conceived of philosophy as a way of life that purified and prepared those who practice it correctly for a life well lived. Ficino’s correspondence contains a good deal of practical advice, and he is often found giving counsel on how to cope with the deaths of children, spouses, and friends, or on how to extend one’s life; he also lends sundry medical advice, and even discusses the astrological placement of planets that contribute to one’s character traits. The letters serve both to clarify the content of his philosophy, as well as to shed a different light on what he perceived his role to be as a philosopher and an advocate of Platonism. These sources teach us that Ficino did not define philosophy narrowly. Instead, he saw himself as a doctor of sorts that was concerned with questions that concerned the health of bodies, minds, and souls. This practical concern is clearly displayed in his correspondence, and his Three Books on Life. Ficino edited and published his correspondence in 1494. He died in 1499.

2. The Platonic Academy of Florence

In the fourteenth century, the poet and Humanist Francesco Petrarch praised Plato as the prince of philosophers. In so doing, Petrarch turned to Plato as an antidote to Scholastic Aristotelianism, which at the time dominated the medieval university curriculum. During the Middle Ages the bulk of Plato’s dialogues—except for the Phaedo, Meno, and parts of the Parmenides and Timaeus—were inaccessible to Western philosophers because they were not available in Latin. Consequently, knowledge of Plato’s philosophy at this time was largely indirect and incomplete. Following Petrarch’s lead, early fifteenth-century Humanists (such as Leonardo Bruni) saw the importance of studying classical Greek, and they translated, among other things, a handful of Plato’s dialogues into Latin.

Ficino’s translation represents the fulfillment of these early Humanist aspirations for a Latin edition of Plato. It is difficult to overstate the significance of this achievement, or the impact that it had on the development of early modern philosophies. His Latin translation of Plato enriched the sources available to philosophers in the West, and thereby changed the form and content of philosophy. Ficino largely finished his translation of Plato’s complete works in the 1460s, but they did not appear in print until 1484. The first edition included Ficino’s short descriptions or summaries of what he considered the key arguments of the dialogues; a 1494 edition was expanded to include his lengthy commentaries on Plato’s Symposium, Philebus, Phaedrus, Timaeus, Parmenides, Sophist, and Republic Book VIII. Eventually Ficino’s commentary on the Symposium—an unorthodox dialogue itself loosely inspired by the original—became one of his most popular and influential treatments of Plato. In it he identified Plato’s theory of love with Christian love, and argued that the proper love of another person is in fact preparation for the love of God. He invented the phrase Platonic love, and his interpretation was especially influential in the sixteenth century. His Timaeus commentary is significant because it represents the first consideration of the dialogue in its entirety since antiquity; medieval philosophers only had access to roughly half of the dialogue, and Calcidius’ commentary was necessarily truncated. Ficino’s translations of Plato’s complete works went through many printings and were used by philosophers and scholars for centuries. They continue to be recognized for their precision and fidelity to the original Greek.

Through his translations and commentaries, as well as his Platonic Theology, Ficino played a central role in the Renaissance revival of Platonism. In the second half of the fifteenth century, he stood at the center of a group of intellectuals that were drawn specifically to Plato and Platonism, and more generally to classical antiquity. As a result of his advocacy, historians of Renaissance philosophy for a long time thought that Ficino founded and headed a formal Platonic Academy in Florence that was inspired by Plato’s school in ancient Athens. However, the precise nature of Florence’s Academy remains unclear today, and some are skeptical that any such academy ever really existed. It seems unlikely that Ficino headed a formal educational institution in any real sense. More plausible is the hypothesis that Ficino’s occasional reference to the revival of Plato’s academy in Florence actually designated the presence of a manuscript copy of Plato’s dialogues in Florence, to Plato’s teachings and philosophy, and his own efforts to revive Plato in Florence through his translations and commentaries. Whether or not Ficino actually headed a Platonic Academy in Florence, he was nonetheless instrumental as an advocate of Platonism during the Renaissance.

3. The Ancient Theology and Pious Philosophy

Ficino’s philosophy is indebted to a wide variety of philosophical sources and traditions. Although his thought is eclectic, he does not generally seek to bring distinct and apparently incompatible views into accord or harmony with one another. His work is generally a blend of traditional philosophies, both ancient and medieval, and ideas that are drawn from the less-orthodox Neoplatonic and Hermetic traditions. The influences of Platonism, Neoplatonism, and Scholasticism are particularly prominent.

Like many of his contemporaries, Ficino believed that Hermes Trismegistus was an ancient Egyptian theologian and philosopher of sacred and divine wisdom. In the preface to his translation of the Corpus Hermeticum, Ficino explains that Hermes “foresaw the ruin of the old religion, the rise of the new faith, [and] the coming of Christ.”  In fact, Ficino believed in a single ancient theological tradition (prisca theologia) that stretched back to Hermes in ancient Egypt and included Pythagoras, Orpheus, Philolaus, and Plato, to name a few, among its ranks. This ancient tradition, he argues, espoused a pious philosophy (pia philosophia) in which religious and philosophical truths coincide. The advent of Christianity brought about the fullest and clearest expression of this pious philosophy, though vestiges of it can be found much earlier. Over the course of the history of philosophy, according to Ficino, the fortune of the pious philosophy has waxed and waned, and there are periods during which it is hardly present at all. He considered Plato an especially effective advocate of the pious philosophy; in the preface to the Platonic Theology, he explains that no matter what subject Plato discusses “he quickly brings it round, and in a spirit of utmost piety, to the contemplation and worship of God.”

4. Platonic Theology

The Platonic Theology is Marsilio Ficino’s philosophical magnum opus. Its overall aim is to defend the immortality of the soul, and to this end Ficino avails himself of a wide variety of arguments. For Ficino, this question is at the heart of human self-interest and well-being. In the first chapter, he argues that if human beings were merely mortal, then there would be “no animal more miserable than man.”  Ficino’s core argument is that the natural human desire for immortality must be vindicated by an afterlife. Were it not, this desire would be empty, vain, and this would call into question both the perfection of nature and God’s wisdom and goodness.

While arguing for the soul’s immortality Ficino elaborates on many of those positions and arguments that are distinctive of his philosophy. He presents and defends the basic principles of his metaphysics. While he is deeply indebted to earlier metaphysical traditions, especially the Neoplatonic and Scholastic traditions, elements of these traditions are generally adapted to his own philosophical aims and purposes. Ficino also presents his case for the inherent dignity of humanity. This defense depends in large part on his own restructuring of the Neoplatonic hierarchy of being, according to which the soul is located centrally between God and matter. The soul’s metaphysical position also ensures its immortality. Ficino argues that the soul’s troubled psychological condition is an unfortunate side effect of this hierarchy. He detects a disconnect between the soul’s divinity and the sundry demands and problems that the body causes for it. While the soul is immortal and occupied a privileged place on the great chain of being, its psychological condition is one of exile, longing, and confusion regarding its own nature. Finally, Ficino argues for his vitalistic natural philosophy according to which matter requires the presence of something incorporeal—namely soul—for it to be substantial and real.

The Platonic Theology is a rich and challenging book. Its structure and content may produce confusion and frustration in some contemporary readers. There is an overarching logical structure to the book, but Ficino chooses not to clearly state many of his central assumptions and themes, and the route he takes to his conclusions can often appear circuitous. Ficino frequently utilizes metaphysical and epistemological assumptions, but he does not in every case define or defend them. This is not to say, however, that his views are merely asserted or that his reasoning is flawed in some significant way. Many of his assumptions are generally embedded in earlier philosophical traditions, and thus his views and arguments have to be placed in the proper historical context in order to be appreciated for their rigor and coherence. Ficino thought that philosophy done properly required an ongoing conversation with ancient philosophies. A familiarity with earlier philosophies is therefore necessary in order to fully appreciate and assess the arguments of the Platonic Theology.

a. Metaphysics

Ficino’s metaphysics is a blend of elements drawn from Platonism, Neoplatonism, and medieval Scholasticism. Broadly speaking, he maintains a Platonic division between the intelligible and sensible realms or between being and becoming. Throughout the Platonic Theology, he is found employing the hylomorphic terminology of the Scholastics in his detailed analysis of the nature of things. Ficino embraces and uses the metaphysical hierarchy developed by the Neoplatonist Plotinus, according to which the progressive levels of being emanate from a single source.

In the preface, Ficino explains that a central aim of the Platonic Theology is to demonstrate to materialist philosophers that matter is less real than those incorporeal entities (such as souls and forms) that transcend the senses. To accomplish this aim Ficino relies primarily on Plato’s dialogues, because in his estimation they most successfully demote the reality of the material world, while at the same time grounding and elevating the metaphysical priority of souls and forms. Furthermore, he believes that Platonism provides the most solid philosophical foundation for Christianity. Throughout the Platonic Theology, Ficino embraces the metaphysical distinction, prominent in Plato’s dialogues, between being and becoming or between the intelligible and sensible realms. He argues that the former is more real than the latter, and is therefore more worthy of our enduring attention, devotion, and study. Along these lines he maintains that forms are the perfect archetypes of all material things and exist unchangeably in the divine mind. They are in fact the genuine cause of the sensible qualities and properties of the material world. By contrast, the world of matter is shadowy and deceptive. It engenders confusion and imprisons the minds of many people.

Ficino’s metaphysics is overwhelmingly Platonic. But his theory of material substances is indebted to Scholasticism for many of its most salient features. While Ficino’s philosophy is clearly otherworldly—in the sense that he maintains the existence and metaphysical priority of realities apart from the material world—this does not prevent him from speculating about the metaphysics of matter and body in the early books of the Platonic Theology. In fact, he believes that doing so is in keeping with the broader aims of the book. By and large, Ficino analyzes material substances along traditional hylomorphic lines, according to which they are constituted by three principles: matter, form, and privation. Matter functions as the passive substrate of the forms that are active in making something what it is, and privation is what a substance can potentially become. The matter of a thing is relative to the level of organization under consideration; the matter of a statue is marble, but the marble itself is not without its own form and matter. When all qualities, both substantial and accidental, are stripped from a substance there is at bottom a single formless prime matter that is one and the same for all things. He holds that prime matter exists in a chaotic and confused state of potency. For Ficino, it is something that is ontologically basic and epistemically impenetrable. It is therefore difficult, if not impossible, to say anything directly about it other than that it must exist as the substratum of form. Here Ficino is echoing Plotinus who compared understanding matter to the eye seeing darkness.

Even though Ficino employs the basic terms of the Scholastics, he makes significant modifications to this framework. These changes are consistent with his broader philosophical commitments and the overall objectives of the Platonic Theology. First, it is noteworthy that he embraces a theory of seminal reasons, according to which seeds are spread throughout matter, and are the cause of things coming to be at appointed times. Unlike the Scholastics, Ficino judges that the qualities or properties of material things are protean, not self-sufficient, unstable, and parasitic on incorporeal forms for any reality and causal efficacy in the world of matter. Here his underlying Platonism becomes apparent. Ficino says that material forms are corrupted and contaminated when they are embedded in the “bosom” of matter. He poetically describes material qualities as “mere shadows that come and go like the reflections of lofty trees in a rushing stream”  (I.III.15). Ficino sees the basic elements of the world as existing in a constant and chaotic state of change, and he holds that whatever stability they exhibit is on account of their cause, that is, their incorporeal archetypes. According to Ficino, this is not merely true of the elements, but of all qualities of material things across the board, both those that are substantial and those that are accidental. In this way, Ficino traces back all of the qualities of this world to something eternal and incorporeal as their cause, and this is the basic unit of reality for him. He accepts a metaphysical principle that there is a first in each genus (primum) that is the fullest and most perfect expression of any particular species quality. It does not include anything that does not properly belong to that genus. The first in each genus is ultimately the cause of every particular expression of that quality. Ficino, therefore, demotes the reality of material forms or qualities while at the same time buttressing the reality of incorporeal forms. Although he analyzes material substances along hylomorphic lines, he at the same time alters this framework in an effort to ground his Platonic metaphysics, and ultimately the immortality of the soul.

There are prominent Neoplatonic elements at the core of Ficino’s metaphysics. He inherited from Plotinus a particular approach to metaphysics that is a hierarchical superstructure, with distinct levels or hypostases, all of which draw their being from an overflowing singular source. The source of all being is the One for Plotinus and God for Ficino. He considers all being to be a progressive emanation from the divine, and although each hypostasis is distinct, what is above serves as a dynamic bridge to what is below. Everything in Ficino’s cosmos has its own unique place and degree of perfection, beginning with God at the summit and descending through the celestial spheres, angels, and souls, all the way down to the elements of the terrestrial sphere. In it there is nothing that is vain or superfluous, and Ficino thinks that everything is drawn to its good or end by a natural appetite.

Ficino generally recognizes five distinct levels of reality. But he at times changes the precise arrangement and structure of the hypostases of this hierarchy. At the top of the hierarchy is God, which is the source of all being and perfection. The first hypostasis that God produces is angelic mind. It contains the archetypes and forms of all things in a timeless and immutable state. These forms are the essences of all possible entities, and they are responsible for the qualities and properties of material things. Next in this progression comes the rational soul, which imparts motion and vitality to the cosmos. Ficino posits a World Soul (anima mundi) that is immanent in all of nature, and individual souls that animate sundry entities in the world, including the celestial spheres, living creatures, and even the elements. Mind is eternal and unmoving; soul is likewise eternal, but differs because it is in a perpetual state of motion. Soul stands at the metaphysical node or bond between what is above and below; while it is drawn to forms and the divine above, it is responsible for the governance of what comes below. Beneath rational soul is the hypostasis of quality, which is representative of the material forms found in nature. The patterns of qualities are grounded in the second hypostasis, mind; the source of its motion and alteration comes from soul. Finally, the hierarchy of being is extinguished with the lowest level of reality—body or corporeal matter. Ficino defines body as matter that is extended in length, breadth, and depth. It functions as the bearer of qualities, but contributes nothing of its own to the nature of things.

Even though Ficino generally marks a distinction between being and becoming, or between the incorporeal and corporeal, he is no simple dualist. His view of soul, and the role that it plays in the material world, is fundamentally different from, for example, the strict dualism of the seventeenth-century philosopher René Descartes. Matter and soul are entirely distinct from one another, according to Descartes, and these two basic substances share no qualities in common. In his treatise on physics, The World, Descartes distinguishes himself from earlier approaches to natural philosophy when he explains that he uses the word “nature” to “signify matter itself,” and not “some goddess or any other sort of imaginary power” (AT XI 37). According to Descartes, a natural philosopher does not need to appeal to anything other than matter in order to properly explain the natural world. On the contrary, according to Ficino, the material world is not something that can be adequately explained by turning to matter and motion alone; nature is an active power that suffuses matter and provides it with its life, activity, and order. On this account, nature is a dynamic force operating on material things from within, and this is the proper or genuine cause of things changing, as well as their generation and corruption. Soul, therefore, has a paramount role to play in Ficino’s natural philosophy.

Like Plato and his Neoplatonic interpreters, Ficino makes competing claims about the relative goodness of the material world. In his Timaeus, Plato argues that the sensible world is on a whole good and beautiful because it is modeled on eternal forms. In other dialogues, such as the Phaedo and Republic, the sensible world is a shadowy and deceptive prison. Plotinus recognizes this tension in Plato and comments on it in his Enneads. Ficino inherits this ambiguity about the goodness of the world, even if negative appraisals are more frequent and prominent in the Platonic Theology than positive ones. Like Plato, Ficino asserts that the creator is a benevolent and wise architect, and that these qualities are reflected in God’s creation; however, he also maintains that the world of matter is shadowy, evil, and to some degree unreal. Furthermore, Ficino blames matter and body for the mind’s tendency to be confused and deceived about what is real and good. On a whole, therefore, Ficino’s overall assessment of the material world—at least as far as the human condition is concerned—is negative.

In his metaphysics, Ficino is not drawn to austere and desert-like frameworks, and he was not reductionistic in his thinking. As such, he belongs to a tradition of metaphysicians, including the seventeenth-century Platonist G. W. Leibniz, that embrace a rich and expansive ontology. Ficino lays out a tapestry of entities that comprise the world. In nature alone he countenances the existence of matter, qualities, and a cavalcade of souls, including a World Soul, that impart motion and vital powers to all aspects of the material world. Ficino claims that nature is in fact replete with souls; there are souls that belong to the elements, to non-human animals, as well as a soul that is responsible for the growth of rocks and trees from the earth’s surface.

b. Epistemology

In the Platonic Theology, Ficino does not address epistemological issues as directly or with the same degree of frequency as he does metaphysical ones. Nonetheless, the broad contours of a view can be sketched by paying close attention to the occasional discussion of the origin, nature, and value of knowledge. Throughout this work Ficino makes scattered remarks about the mind’s capabilities, what exactly it apprehends when it knows, and the effect that knowledge has on those who possess it. Generally these comments arise when Ficino is either discussing the nature and powers of the human mind and distinguishing them from the body, or when he speculates about the divine mind and draws a comparison with finite minds.

Ficino holds that knowledge is rooted in forms, not matter. However, the metaphysics of matter described above has certain implications for what exactly stands as the object of knowledge. He argues that the degradation of forms in matter requires that the mind grasps something other than sensible forms when it knows. If it did not, he argues, then knowledge would not be stable and fixed; instead, it would vary and change as the qualities of material things do. Rather, when the mind knows it apprehends intelligible forms, and not the sensible forms that include the individual traits that are distinctive of particular objects. These forms are stable and unchanging, and as such Ficino claims that they produce stable and unchanging knowledge.

Knowledge does not, according to Ficino, come about in stages, or as a result of a gradual process. The mind does not take gradual steps and build upon its experiences to arrive at universals. On the contrary, he describes knowledge as coming about in an instantaneous flash, and not in a progressive or abstractive manner. Ficino claims that philosophical reflection on the nature of things prepares and purifies the mind of falsehood until it is ready to receive the clarity of truth. This arrival is simple and immediate. Ficino explains that “speculative virtue does not proceed stage by stage from one part of itself to another, but blazes forth wholly and suddenly” (VIII.III.6). Ficino even holds that intelligible forms are distinct from, and discontinuous with, sensible forms, even if our experience of particular material things can be the root cause of the mind’s coming to know something. Furthermore, he makes some interesting suggestions about the existence of primary truths that contain other truths within them, and he claims that the knowledge of one primary truth can elicit knowledge of others. While Ficino mentions that such primary truths exist, he does not elaborate as to what exactly these truths are or what one would look like.

There are several Platonic epistemic themes that are prominent in the Platonic Theology. Ficino maintains that the mind is nourished by truth, and he sees it as edifying of the overall condition of the human soul. He also claims that there is much to recommend the Platonic doctrine of reminiscence, even if he rejects the transmigration of souls as heretical. Also, his description of learning calls to mind Plato’s Theaetetus, where Socrates describes himself as a midwife of sorts. In this vein, Ficino holds that the mind already has within itself the intelligible forms that it will, if it is diligent, come to know, or remember. These forms exist latently in the mind, and learning is a process of drawing out from the mind what is, in a certain sense, already there.

c. The Dignity of Humanity and the Human Condition

The metaphysical hierarchy outlined in the above section on metaphysics has significant philosophical consequences for both the dignity of the rational soul, and the qualitative character of the human condition. Ficino argues that the soul’s location on the chain of being lends to it a privileged position on the hierarchy of being, and is therefore responsible for its dignity and uniqueness. In different contexts Ficino changes the precise structure of this pentadic hierarchy, but the soul’s centrality is a consistent theme. This is an alteration of Plotinus’ original hierarchy and ensures the soul’s dignity and immortality. The soul is situated at the precise center of the hierarchy standing midway between God above and matter below. Ficino explains the structure of his metaphysics in the following way:

We would do well to call soul the third and middle essence, as the Platonists do, because it is the mean for all and the third from both directions. If you descend from God, you will find soul at the third level down; or at the third level up, if you ascend from body.

In the same chapter he continues:

But the third essence set between them is such that it cleaves to the higher while not abandoning the lower; and in it, therefore the higher and the lower are linked together… So by a natural instinct it ascends to the higher and descends to the lower. In ascending it does not abandon the things below it; in descending, it does not relinquish the things above it. (III.II.1-2)

The soul is the “fitting knot” or “node” that binds the upper half of the hierarchy with the lower. On account of its place in the hierarchy, Ficino explains that the soul is at one and the same time drawn to what is above, as well as responsible for the governance of nature below. Further, Ficino thinks that it shares some properties in common with what is above and below, and as a result it is perfectly well-suited to serve as the bridge between the upper and the lower halves of the hierarchy. The soul is eternal and immortal because it shares in divinity above. It also suffuses all of nature and lends to its motion and vitality. Ficino sees the soul as charged with the governance of the material world, and is intimately responsible for its potential well-being. This is a unique and privileged metaphysical role for it. He argues that the soul is not connected to any distinct part of the body, but communicates its life-giving power throughout.

The soul’s centrality in the great chain of being ensures its dignity and immortality. However, it is also responsible for its wretchedness and depravity. The soul’s proximity to the body has a negative effect on its ability to truly appreciate its own nature and immortality. Individual souls are by and large overwhelmed with the governance of their bodies, and the material world assaults them with violent motions and sensations. As a result the soul may fail to recognize its own nature and divinity. The conditions of embodiment also frustrate its search for truth. Metaphysically speaking, it functions as the node between the upper and the lower, but in practice it is wedded so tightly with matter that it naturally, Ficino believes, comes to the conclusion that it is not distinct from it. This is the cause of the common sense materialism that most people uncritically accept, and that says something is not real unless it is a body. A pivotal consequence of this situation is that the soul forgets its own privileged nature and divinity, and in many cases concludes that it is nothing distinct from matter. Thus, there is a disconnect in Ficino’s philosophy between the metaphysical nature of the soul, and its subjective experience when joined with matter. This is the cause, according to Ficino, of the wretchedness of the human condition, which is characterized by a certain confusion regarding what is real and worthy of its pursuit.

d. The Immortality of the Soul

The primary aim of the Platonic Theology is of course to demonstrate the immortality of the soul. Ficino provides a plurality of arguments across the eighteen books of this work. He argues that the soul’s immortality is a consequence of its position on the metaphysical hierarchy. He also provides arguments that rest upon the metaphysical and epistemological foundations of the Platonic Theology. Still other arguments are polemical and aim at refuting relevant and uneliminated alternatives, such as the positions of Epicurus and Averroes. Epicurus and Averroes—with the former denying immortality, and the latter claiming that it was one and the same for all—were growing in popularity in some academic circles in fifteenth-century Italy.

First and foremost, Ficino argues that the natural appetite for immortality entails post-mortem existence for the soul. He starts with the assumption that our primary goal is to ascend to a spiritual union with God, and he holds that this is a basic and natural desire shared and acted on by most human beings. If these efforts were to go unfulfilled, Ficino concludes that they would be otiose, vain, and even perverse. Perhaps more importantly, this would stand in direct violation of the perfection of nature and the wisdom of God. Thus, Ficino concludes that the natural desire for immortality must be vindicated in an actual afterlife.

In addition, in the Platonic Theology Ficino puts forward two prominent argument types that draw upon the nature and powers of the human mind, and on his theory of matter and body. He aims to show that the rational powers of the soul all support immortality and that these essential functions are in no way dependent upon matter and body. He argues that there is a correspondence or likeness between incorporeal entities and the soul. The intellect knows best when it does not depend upon the body or the senses whatsoever, and instead experiences an immediate union with forms. Ficino says that “when the soul despises corporeals and when the senses have been allayed and the clouds of phantasmata dissipated … then the intellect discerns truly and is at its brightest” (IX.II.2). Ficino takes this as evidence that the soul did not originate with the body. Instead, he argues that the soul is ineluctably drawn to things divine, and its union with incorporeals comes most naturally to it. He says that the soul was born for the contemplation of things divine, and through them it is enriched and perfected. Both the soul’s correspondence to incorporeals and the pull that they have on it are indicative of its underlying nature—like things incorporeal, it is immortal.

Ficino also aims to show that there are dissimilarities between the soul and matter. He argues that the essential functions of the mind are distinct from the body, and further that body cannot in any way give rise to them. These arguments aim to refute materialists who think that matter can give rise to the soul’s essential functions. Ficino argues that the soul’s most important operations are inconsistent with the basic conditions of corporeality. In fact, the body, the senses, and the passions all conspire to impede and frustrate the soul in its search for knowledge and goodness. Much like Plato in the Phaedo, Ficino argues that the soul’s overall condition improves the farther it is removed from the material world, and the soul knows best when it does not draw upon the senses. These dissimilarities establish, Ficino thinks, the soul’s essential otherness from matter and body. Ficino’s metaphysics of matter is also tailored to provide support for immortality. He provides what he calls a “Platonic” definition of body, according to which it is composed of matter and extension. Both matter and extension are passive and inert, and cannot give rise in any way to the essential functions of the soul. Therefore, Ficino concludes that it is only on account of the presence of something incorporeal, namely forms and souls, that material things are at all substantial.

5. Ethics and Love

Ficino did not compose a systematic treatise on ethics. Nonetheless, his familiarity with classical Greek philosophy means that ethical considerations are central to many of his philosophical works, and he often comes around to discussing human virtues and well-being. Ficino does not generally place an emphasis on the rightness of actions, or on duties or obligations for that matter. Instead, he focuses on the health and development of the whole person, which is consistent with what is today called virtue ethics. Ficino marks the traditional distinction between intellectual and moral virtues. The speculative virtues concern, for instance, the understanding of things divine, the knowledge of nature, and the craftsman’s ability to produce artifacts. This species of virtue is acquired through learning and speculation, and it is characterized by an intellectual state of clarity. The moral virtues come about through custom and habit, and their domain is human desires and appetites. Ficino holds that the end of moral virtues is to purify the soul and to ultimately release it from the sometimes overwhelming demands made by the body. Thus, moral virtue produces a state of soul that governs desires and appetites so that they do not take control of the soul, thereby leading to an incontinent or intemperate character. In the end, both the speculative and moral virtues are consistent with Ficino’s broader aspirations as a Christian Platonist. For him the virtues are prerequisites that prepare the soul for its inner ascent up the hierarchy of being, ultimately uniting it with God.

Ficino’s theory of love plays a central role in his ethics. He defines love as the desire for beauty. Love originates with God, and it is the link or bond that all things share in common. Here Ficino follows the patterns left by Plato and Plotinus. Beautiful things ignite or inspire the soul with love. When an individual thing is loved properly, the soul ascends progressively from love of the particular to the universal. The lover, therefore, turns inwardly to the soul from the corporeal world, and thus ultimately finds its end in God. However, it is possible for the soul to love improperly and become fixated on beautiful objects. This results in a life of confusion and wretchedness. Thus, for Ficino, the proper application of love lies at the heart of human happiness.

6. Legacy

Ficino left an enduring impression on the history of Western philosophy. His philosophical writings, and his translations of Platonic and Hermetic texts, exercised both a direct and indirect influence on the form and content of philosophy in subsequent centuries. The Platonic Theology was instrumental in elevating the defense of the immortality of the soul to philosophical prominence in the early modern period. It contributed to the Lateran Council of 1512 requiring philosophers to defend the immortality of the soul and the existence of God. In the letter of dedication to his Meditations on First Philosophy, Descartes refers to the Lateran Council to explain, in part, the proofs of God’s existence and immortality found therein. Ficino’s influence can also be seen in many of the most noteworthy philosophers of the sixteenth century, most notably Giordano Bruno, and Francesco Patrizi da Cherso, who held a chair of Platonic philosophy at the University of Ferrara. He indirectly influenced generations of philosophers who encountered Platonism and Hermeticism through his translations and commentaries.

The fortune of Ficino’s philosophical legacy has waxed and waned over the centuries. His influence on intellectual life in the sixteenth century was especially strong, but his brand of Christian Platonism was certainly not without its critics in subsequent centuries. The sixteenth-century theologian and historian Johannes Serranus criticized Ficino’s mode of translating and commenting on Plato’s dialogues, which he thought lacked clarity, brevity, and precision. The self-proclaimed Platonist G. W. Leibniz complains that Ficino’s definitions lack the rigor of Plato’s, and he says that his Neoplatonism incorporates too many pagan elements and is therefore prone to heresy. In his Lectures on the History of Philosophy, G. W. F. Hegel gives Ficino a minor and subordinate role to play in the development of modern philosophy. Hegel argues that Ficino’s revival of Platonic philosophy was ultimately a misguided and childish fascination with a dead philosophy. Perhaps more importantly, however, is the fact that Ficino’s philosophy stands in stark contrast to the methods and explanations employed by the new science in the seventeenth century. Hobbes and Descartes, for example, wanted to explain nature in purely materialistic and mechanical terms. The new philosophy and science, therefore, repudiates the vital core of Ficino’s metaphysics, especially his belief in a World Soul and his vitalistic natural philosophy. Hobbes outright rejects an incorporeal soul, and Descartes completely expels it from nature. Both philosophers, therefore, aspired to explain nature in such a way that it did not include many of the core features of the Ficino’s thought.

For a longtime Ficino remained a marginal figure and a footnote in histories of philosophy. It was not until nearly the middle of the twentieth century, when Paul Oskar Kristeller published his seminal book, The Philosophy of Marsilio Ficino, that historians of philosophy started to re-examine and reconsider Ficino’s importance to the history of Renaissance and early modern philosophies. Kristeller’s book examined the formal structure of Ficino’s philosophy, and he painted a picture of a sophisticated and systematic metaphysician. More recently a number of articles and books have been published on other aspects of Ficino’s thought. Since Kristeller, later scholars—such as D. P. Walker, Frances Yates, and Michael J. B. Allen—have focused less on the systematic and formal philosophy, and more on the magical and creative elements of Ficino’s thought. The critical examination of Ficino, and an assessment of his influence, continues today.

7. References and Further Reading

a. Primary Sources

  • Ficino, Marsilio. Opera Omnia. 2 vols. Basel, 1576.
  • Ficino, Marsilio. The Letters of Marsilio Ficino. Trans. The Language Department of the London School of Economics. 8 vols. London: Shepheard-Walwyn Ltd., 1975-2010.
  • Ficino, Marsilio. The Philebus Commentary. Ed. and trans. Michael J. B. Allen. Berkeley and Los Angeles:  University of California Press, 1975.
  • Ficino, Marsilio. Commentaries on Plato’s Symposium on Love. Trans. Sears Jayne. Dallas: Spring Publications, 1985.
  • Ficino, Marsilio. Three Books on Life. Ed. and trans. Carol Kaske and John Clark. Tempe, Arizona: MRTS, 1998.
  • Ficino, Marsilio. Platonic Theology. Trans. Michael J. B. Allen, and ed. James Hankins. 6 vols. Cambridge: The I Tatti Renaissance Library, Harvard University Press, 2001-2006.
  • Ficino, Marsilio. Commentaries on Plato: Phaedrus and Ion. Cambridge: The I Tatti Renaissance Library, Harvard University Press, 2008.
  • Ficino, Marsilio. All Things Natural: Ficino on Plato’s Timaeus. Trans. Arthur Farndell. London: Shepheard-Walwyn Ltd., 2010.
  • Kristeller, Paul Oskar. Supplementum Ficinianum. 2 vols. Florence: Olschki, 1938.

b. Secondary Sources

  • Allen, Michael J. B. Icastes: Marsilio Ficino’s Interpretation of Plato’s Sophist. Berkeley and Los Angeles:  University of California Press, 1989.
    • A translation of Ficino’s Sophist commentary and discussion of his ontology.
  • Allen, Michael J. B. Synoptic Art: Marsilio Ficino and the History of Platonic Interpretation. Florence: Olschki, 1998.
    • Ficino’s philosophy and the history of later Platonism.
  • Celenza, Christopher. “Pythagoras in the Renaissance: The Case of Marsilio Ficino.” Renaissance Quarterly 52 (1999): 667-711.
    • A study of Ficino’s appropriation of classical Greek philosophy.
  • Collins, Ardis. B. The Secular is Sacred: Platonism and Thomism in Ficino’s Platonic Theology. The Hague: Nijhoff, 1974.
    • An examination of Ficino’s debt to Aquinas, especially the Summa Contra Gentiles.
  • Copenhaver, Brian P. and Charles Schmitt. Renaissance Philosophy. Oxford: Oxford University Press, 1992.
    • A detailed and exhaustive study of Renaissance philosophy with a significant discussion of Ficino’s thought.
  • Field, Arthur. The Origins of the Platonic Academy of Florence. Princeton: Princeton University Press, 1988.
    • A study of the social and intellectual role that the Platonic Academy of Florence.
  • Kristeller, Paul Oskar. The Philosophy of Marsilio Ficino. New York: Columbia University Press, 1943.
    • The authoritative guide to Ficino’s formal philosophy.
  • Hankins, James. Plato in the Italian Renaissance. 2 vols. Leiden: Brill, 1989.
    • The definitive examination of the Renaissance revival of Plato. A complete examination of the Renaissance revival of Plato not limited to Ficino.
  • Snyder, James G. “The theory of materia prima in Ficino’s Platonic Theology.” Vivarium 46 (2008): 192-221.
    • A study of the metaphysics and epistemology of Ficino’s theories of prime and corporeal matter.
  • Snyder, James G. “Marsilio Ficino’s Critique of the Lucretian Alternative.”  Journal of the History of Ideas 72 (2011): 165-181.
    • An examination of Ficino’s critique of Epicurean materialism.
  • Walker, D. P. Spiritual and Demonic Magic: From Ficino to Campanella. London: The Warburg Institute, 1958.
    • An examination of Ficino’s theory of natural magic.
  • Yates, Frances A. Giordano Bruno and the Hermetic Tradition. Chicago: University of Chicago Press, 1964.
    • Examination of Ficino’s natural magic and the influence it had on Bruno.

Author Information

James G. Snyder
Email: james.snyder@marist.edu
Marist College
U. S. A.

Knowledge

Philosophy’s history of reflection upon knowledge is a history of theses and theories; but no less of questions, concepts, distinctions, syntheses, and taxonomies. All of these will appear in this article. They generate, colour, and refine these philosophical theses and theories about knowledge. The results are epistemological — philosophical attempts to understand whatever is most fundamentally understandable about the nature and availability of knowledge. We will gain a sense of what philosophers have thought knowledge is and might be, along with why some philosophers have thought knowledge both does not and could not exist.

Thus, we will examine some of the general kinds or forms of knowledge that epistemologists have thought it important to highlight (section 1), followed by the idea of knowledge as a kind or phenomenon at all (section 2). Knowledge seems to be something we gain as we live; how do we gain it, though? That will be our next question (section 3), before we ask whether our apparently gaining knowledge is an illusion: might no one ever really gain knowledge (section 4)? Answers to these questions could reflect finer details of knowledge’s constituents (section 5), including the standards involved in knowing (section 6). The article ends by asking about the fundamental point of having knowledge (section 7).

Table of Contents

  1. Kinds of Knowledge
    1. Knowing by Acquaintance
    2. Knowledge-That
    3. Knowledge-Wh
    4. Knowing-How
  2. Knowledge as a Kind
  3. Ways of Knowing
    1. Innate Knowledge
    2. Observational Knowledge
    3. Knowing Purely by Thinking
    4. Knowing by Thinking-Plus-Observing
  4. Sceptical Doubts about Knowing
  5. Understanding Knowledge?
    1. The Justified-True-Belief Conception of Knowledge
    2. Not the Justified-True-Belief Conception of Knowledge?
    3. Questioning the Gettier Problem
  6. Standards for Knowing
    1. Certainty or Infallibility
    2. Fallibility
    3. Grades of Fallibility
    4. Safety and Lucky Knowing
    5. Mere True Belief
    6. Non-Factive Conceptions
  7. Knowing’s Point
  8. References and Further Reading

1. Kinds of Knowledge

We talk of knowledge: all of us do; philosophers do. But what is knowledge? We can best answer that potentially complex question in several stages. Let us begin by considering whether there are different kinds of knowledge. Epistemologists have contemplated at least the following general possibilities.

a. Knowing by Acquaintance

Your knowing a person, it seems, involves direct interaction with him or her. Otherwise, at most, you should claim only that it is almost as if you know him or her: ‘I’ve seen and heard so much about her that I feel like I know her. I wonder whether I’ll ever meet her — whether I will ever actually know her.’ Without that meeting, you could well know facts about the person (this being a kind of knowledge to be discussed in section 1.b). Nonetheless, could you know facts about a person without ever meeting him or her? If so, there could well be a kind of knowledge which is different to knowing a fact; maybe knowing a thing or entity (such as a person) is distinct from knowing a fact about that thing or entity.

Bertrand Russell (1959 [1912]: ch. 5) famously distinguished between knowledge by description and a quite particular kind of knowledge by acquaintance. He allowed there to be a form of acquaintance that was immediate and unquestionable, linking one with such things as abstract properties and momentary sensory items passing before one’s mind: you can be acquainted with the abstract property of redness, as well as with a specific patch of redness briefly in your visual field. Knowledge by description was the means by which, in Russell’s view, a person could proceed to know about what he or she had not experienced directly. We formulate definite descriptions (‘the third man listed in the current Sydney residential phonebook’) and indefinite ones (‘a man listed in the current Sydney residential phonebook’). With these, we can designate individuals with whom we have not interacted. Then we can formulate claims using such descriptions. Some of these claims could be knowledge. Thus, we may open up for ourselves a world of knowledge beyond what is revealed by our immediate experiences.

b. Knowledge-That

Most philosophical discussion of knowledge is directed at knowledge-that — such as knowledge that kangaroos hop, knowledge that koalas sleep most of the time, knowledge that kookaburras cackle, and the like. This is generally called propositional knowledge (a proposition that such-and-such is so is the object of the knowledge), declarative knowledge (the knowledge’s object is represented by a declarative sentence: ‘Such-and-such is so’), or knowledge-that (the knowledge is represented in the form ‘that such-and-such is so’). Knowledge by description (mentioned in section 1.a) would be one form that could be taken by knowledge-that: some known propositions include descriptions; but not all do. In principle, knowledge-that is the kind of knowledge present whenever there is knowledge of a fact or truth — no matter what type of fact or truth is involved: knowledge that 2 + 2 = 4; knowledge that rape is cruel; knowledge that there is gravity; and so on. When philosophers use the term ‘know’ unqualifiedly, knowledge-that is standardly what they mean to be designating. (It will therefore be the intended sense throughout most of this article.)

c. Knowledge-Wh

But should knowledge-that receive such sustained and uninterrupted focus by philosophers? After all, there is a far wider range of ways in which we talk and think, using the term ‘know’. Here are some of them (collectively referred to as knowledge-wh):

knowing whether it is 2 p.m.; knowing who is due to visit; knowing why a visit is needed; knowing what the visit is meant to accomplish; knowing how that outcome is best accomplished; and so forth.

How should these be understood? The usual view among epistemologists is that these are specific sorts of knowledge-that. For example, knowing whether it is 2 p.m. is knowing that it is 2 p.m., if it is; and knowing that it is not 2 p.m., if it is not. Knowing who is due to visit is knowing, for some specified person, that it is he or she who is due to visit. Knowing what the visit is meant to accomplish is knowing, for some specified outcome, that it is what the visit is meant to accomplish. Knowing how that outcome is best accomplished is knowing, for some specified description of how that outcome could be accomplished, that this describes the best way of accomplishing that outcome. And so on.

Still, not everyone will assess these examples in quite that way. Note a variation on this theme that is currently being developed. Called contrastivism, its basic idea is that (perhaps always; at least sometimes) to know is to know this rather than that. (For different versions, see Schaffer 2005; 2007; Morton 2011.) One’s knowing, understood contrastively, is explicitly one’s knowing one from among some understood or presumed bunch of possible alternatives. The word ‘explicitly’ is used here because one would know while acknowledging those alternatives. Consider the example of knowing-who. On contrastivism, you could know that it is Fred rather than Arjuna and Diego who is due to visit; and this might be the only way in which you know that Fred is due. ‘Who is due?’ ‘Fred, as against Arjuna or Diego.’ Your knowing-who would not be simply your knowing, of Fred, that it is he who is due to visit. Your knowing-who would be your knowing that it is Fred as against Arjuna or Diego who is due to visit. This remains propositional knowledge, nonetheless.

d. Knowing-How

Gilbert Ryle (1971 [1946]; 1949) made apparent to other philosophers the potential importance of distinguishing knowledge-that from knowledge-how. The latter is not (thought Ryle) one’s knowing how it is that something is so; this, we noted in section 1.c, is quite likely a form of knowledge-that. What Ryle meant by ‘knowing how’ was one’s knowing how to do something: knowing how to read the time on a clock, knowing how to call a friend, knowing how to cook a particular meal, and so forth. These seem to be skills or at least abilities. Are they not simply another form of knowledge-that? Ryle argued for their distinctness from knowledge-that; and often knowledge-how is termed ‘practical knowledge’. Is one’s knowing how to cook a particular meal really only one’s knowing a lot of truths — having much knowledge-that — bearing upon ingredients, combinations, timing, and the like? If Ryle was right, knowing-how is somehow distinct: even if it involves having relevant knowledge-that, it is also something more — so that what makes it knowledge-how need not be knowledge-that. [For more on this issue, see, for example, Bengson and Moffett 2012). Might knowledge-that even be a kind of knowledge-how itself, so that all instances of knowledge-that themselves are skills or abilities (for example, Hetherington 2011a: ch. 2)?]

2. Knowledge as a Kind

Section 1 shows how there might be different kinds of knowledge. We will now focus on one of them — knowledge-that. What kind of thing is such knowledge? In particular, is it a natural kind — a naturally occurring element in the scientifically describable world? Alternatively, is knowledge at least partly a conventional or artifactual kind — a part of our practices of judging and evaluating, possessing a socially describable nature?

The former idea portrays knowledge as an identifiable and explanatory aspect of what it is for beings relevantly like us to function as a natural component of a natural world. We have beliefs, some of which help us to achieve our aims by telling us how not to ‘bump into’ the world around us. We can ‘fit into’ — by ‘finding our way within’ — the world by using beliefs. Is that because these beliefs are knowledge? Is that part of why humans as a natural kind (if this is what we are) have prospered so markedly? In introducing epistemologists to the idea of what he called a naturalized epistemology, W. V. Quine (1969) recommended that philosophy conceive of us in psychological terms, so that when it seeks to understand us as reasoning, as believing, and as rational, it does not do this in terms distinct from those scientific ways of describing our psychological and physical features. Hilary Kornblith (2002) continues that theme: in effect, we know as other animals do — limitedly but reliably, thanks to our roles as sensing and believing beings operating within the world’s natural order. There would be natural laws, say, or at least natural regularities — scientifically formulable ones, we may hope — about how we know.

In contrast, we may feel that knowing is a distinctively conventional accomplishment. It might consist of socially constituted and approved patterns — not thereby natural laws or regularities admitting of scientific description — in aspects of how we interact with other people. Perhaps we can collectively choose what to count as knowledge. Perhaps that is all there is to knowing. Such a view could even say that this is how knowledge differs from belief: beliefs happen to or within us; knowledge we shape from beliefs. And we might do this deliberatively, subjecting ourselves and others to social norms of inquiry, responding to other people and their concepts, aims, and values. As civilizations expand and mutate, could knowing change not only its content (that is, what is known), but its basic nature (for example, how the knowing occurs and even what in general is required for it to occur)? Different social arrangements would bring into being different ways of thinking and acting, new aims and values. In that sense, possibly knowledge is an artefact, created by us in social groupings, used by us in those same groupings — often wittingly and deliberately so. In short, maybe knowing is a matter of functioning in socially apt ways. Barry Allen (2004) is one who argues for an artifactual interpretation of knowing’s nature.

The rest of this article will remain neutral between these two broad ideas. Some of the suggestions to be considered will be more appropriate (and clearly so) for one than the other of the two. But in general the article’s aim will be to display, not to favour.

3. Ways of Knowing

To say the least, not everyone knows everything, not even everything that in principle is knowable. Individual instances of knowledge come to individual people at individual times, remaining in place for varying — individual — lengths of time. So it is right to ask how it is that individual cases of knowledge reach, or are acquired by, people; along with how it is that these cases of knowledge are then retained by people. In what broadly characterisable ways do people gain and maintain their knowledge? In practice, philosophers do not treat that as a question about the ineliminable specificities of each person, each moment, and each particular piece of knowledge. It is treated as a question about general ways and means of coming to know a specific fact or truth.

Over the centuries, these have been some of the more philosophically pondered forms of answer to that question:

  • Some or all knowledge is innate. (And then it is remembered later, during life.)
  • Some or all knowledge is observational.
  • Some or all knowledge is non-observational, attained by thought alone.
  • Some or all knowledge is partly observational and partly not — attained at once by observing and thinking.

The rest of this section will consider these in turn.

a. Innate Knowledge

If some instances of knowledge accompany a person into life, how will they reveal themselves within his or her life? How would the person, or indeed anyone else, know that he or she has this innate knowledge? It could depend on what is being known innately — the subject matter of this knowledge with which the person has been born.

For example, if people begin life already knowing some grammatical rules (an idea famously due to Noam Chomsky: see Stich 1975, ch. 4), this innate knowledge would be shown in subsequent speedy, widespread, and reliable language-learning by those involved. These instances of people learning so readily and predictably would be actions expressing some knowledge-how. But (as section 1.d acknowledged) such manifestations of knowledge-how might actually reflect the presence within of knowledge-that.

Or consider another possible example: knowledge of some mathematics and some logical principles. Seemingly, Plato (in the Meno, one of his dialogues) accorded people this sort of innate knowledge; as did Leibniz, in his New Essays. (For excerpts from Plato and from Leibniz, see Stich 1975, ch. 2.) Plato presented us with a story of a slaveboy, lacking education, whom Socrates brought, via minimal questioning, to a state of remembering some geometrical knowledge.

Naturally, it could be difficult to ascertain that any particular knowledge is genuinely innate. Knowledge which is not innate, but which is acquired especially easily, seemingly effortlessly, might nonetheless feel innate. And (as section 1.d also acknowledged) even when an action, such as of language-learning, is manifesting knowledge-how, there remains a philosophical question as to whether that action is reflecting knowledge-that already existing within, dormant until activated. The answer to that question might be that there is only knowledge-how present — without owing its existence to some related prior knowledge-that. (As ever throughout this article these possibilities are suggested for continued consideration, not as manifestly decisive refutations.)

b. Observational Knowledge

One of epistemology’s perennially central topics has been that of observational knowledge. Let us consider a few of the vast number of philosophical questions that have arisen about such knowledge.

Can there be purely or directly observational knowledge? When you observe a cat sleeping in front of you, do you know observationally — and only observationally — that the cat is sleeping there? Observation is occurring; and you do not consciously ‘construct’ the knowledge. Still, is there a perceptual experience present, along with some conceptual or even theoretical knowledge (for example, that cats are thus-and-so, that to sleep is to do this-and-not-that, and so forth)? Otherwise, how could your experience constitute your knowing this-content-rather-than-another? Is conceptual knowledge what gives knowledgeable content to your observational experience? Is this so, even for experiences that are as simple as you can imagine having?

Can there be foundational observational knowledge? Wilfrid Sellars (1963) engaged famously with this question, confronting what he called the myth of the given. Part of the traditional epistemological appeal of the idea of there being purely or directly observational knowledge was the idea that such knowledge could be foundational knowledge. It would be knowledge given to us in experiences which would be cases of knowledge, yet which would be conceptually simple. Sellars argued, however, that they would not be conceptually so simple.

For example, imagine knowing observationally that here is something white. This would possibly be as simple, in conceptual terms, as observational knowledge could be for you. Nevertheless, even here the question remains of whether you are applying concepts (such as of being here, of being something, and of being white); and if you are doing so, of whether you must be able to know that you are using them correctly. Would you need to find even simpler observational experiences, via which you could know what these concepts involve? If so, the other experience — knowing observationally that here is something white — would not have been foundational. That is, it would not have amounted to a basic piece of knowledge, upon which other pieces of knowledge can be based and which need not itself be based upon other pieces of knowledge.

How much observation is needed for observational knowledge? When you look at what appears to be a cat, for how long must you maintain your gaze if you are to know that you are seeing a cat? Do you need also to walk around it, still looking at it, scrutinising it from different angles, if you are to know that you are seeing a cat? And what of your other senses? Could the animal’s sounding or smelling like a cat, for example, be needed if the knowledge in question is to be yours? There is a more general question behind those ones: What standard must observational knowledge meet? You are using, it seems, observational evidence; what standard must it meet, if it is to be giving you observational knowledge? (And that sort of question will arise about all evidence and all knowledge. That will become apparent as this article proceeds.)

[For a range of readings on observational knowledge, see Dancy 1988.]

c. Knowing Purely by Thinking

When philosophers ask about the possibility of some knowledge’s being gained purely by thinking — by reflection rather than observation —  they are wondering whether a priori knowledge is possible. Historically, those who believe that some such knowledge is possible are called rationalists about knowledge. (Empiricists, in contrast, believe that all knowledge is observational in its underlying nature, even when it might not seem so. This is the belief that all knowledge is a posteriori — present only after some suitably supportive observations are made.) As was done for observational knowledge in section 3.b, this section mentions a few of the multitude of questions that have arisen about a priori knowledge — knowledge which would be present, if it ever is, purely by thinking, maybe through an accompanying rational insight.

How would there be a priori knowledge? It is difficult, to say the least, for us ever to know that a piece of putative knowledge would not be at all observational, so that it would be gained purely by thought or reflection. We talk of pure mathematics, for example, and our knowledge of it. Consider the content of the sentence, ‘2 + 2 = 4.’ It could be applied to physical objects; nonetheless, we might deny that it is at all about such objects. But then we must explain how we know that we are using thought alone in knowing that 2 + 2 = 4, rather than knowing this mathematical truth in a way which is simply much less directly observational. Would we know it, for instance, partly by knowing how to interpret various physical representations which we would observe — numerals (‘2’ and ‘4’) and function signs (‘+’ and ‘=’)? If this is even part of how we know that 2 + 2 = 4, is the knowledge at least not purely a result of thought rather than observation?

[On related issues, see Quine’s ‘Two Dogmas of Empiricism’, in Moser 1987, a collection with many readings relevant to this section.]

Could a priori knowledge be substantive? It might be thought that pure reflection — and hence a priori knowledge — is possible when the truths being known are especially simple, even trivial. ‘All bachelors are unmarried’ is true, yet trivial: it is uninformative for anyone who understands at all the concept of a bachelor. ‘There is more than one infinity’ is true yet not trivial: it is informative for some who understand at all the concept of an infinitude. If ‘There is more than one infinity’ is knowable by thought alone, that would be substantive a priori knowledge. But if only truths like ‘All bachelors are unmarried’ are knowable purely by thinking, maybe there cannot be substantive a priori knowledge. So, which is it to be? (If we reply that it depends upon what a particular a priori known truth is about, we return to the previous paragraph’s question about knowledge gained purely by thinking. Alternatively, if we reply that it depends upon which standard is being met — such as when understanding a specific concept like that of bachelorhood or of infinitude, so as to gain knowledge from it — this takes us to the next paragraph’s question.)

[Classically, the issue of whether there can be substantive a priori knowledge was posed by Immanuel Kant, in his eighteenth-century Critique of Pure Reason (2007 [1781/1787] — as the question of whether there can be synthetic a priori knowledge.]

What standard would a priori knowledge have to satisfy? If there could be a priori knowledge, is it clear what standard it would need to have satisfied? There have long been philosophers for whom part of the appeal in the idea of a priori knowledge is the presumption that it would be infallible. That is, it would satisfy a conclusive — in effect, a perfect — evidential standard. It would do this because a capacity for pure thought, undistracted by observed contingencies within this world, would be what has provided the a priori knowledge. However, some recent epistemologists (for example, BonJour 1998) regard that picture as overly optimistic. The one person is both observing and thinking; and if we expect fallibility to be part of how she observes, maybe we should expect fallibility likewise when she is thinking. Is it simply obvious that when we are not observing, only thinking, we are more — let alone perfectly — reliable or trustworthy in our views? Or do we also think only imperfectly? Perhaps we need observations as ‘checks’ on what could otherwise become thoughts ‘floating free’ in our minds. Yet maybe, even so, these ‘checks’ remain imperfect. To think without observing might not be to improve dramatically, if at all, the use of one’s mind.

d. Knowing by Thinking-Plus-Observing

And so again we meet the question of the extent to which, in one way or another, we are vulnerable when trying to gain whatever knowledge we can. Of course, we might claim that we are only vulnerable when focussing just on observation or on reflection — ignoring the other. Surely (it will be suggested), much or even all of our knowledge is a mixture — both observational and reasoned. Is that how we will stride forward as knowers?

Optimism replies, ‘Yes. Possibly there are philosophical limits upon the effectiveness of observation by itself and of reason by itself. Still, to combine them is to overcome those limits, or at least enough of them.’ In response to which, less-than-optimism counsels, ‘Maybe not. If each of observation and reflection has limitations of its own, a combination of them might compound those weaknesses. The result could be a blurring of the two, so that we would never know whether, on a particular occasion, weakness in one — in the observing or in the reflecting — is weakening the whole.’ Which of those alternatives is right? Optimism? Less-than-optimism?

That depends. We should now consider an epistemologically classic doubt about people’s abilities ever to gain knowledge.

4. Sceptical Doubts about Knowing

From the outset of philosophical thinking about knowledge, doubts have never been far away: do we really know what we think we know? And that question was not meant merely to ask whether sometimes we are mistaken in claiming a particular piece of knowledge. The philosophical concern was more pressing: do we ever know what we think we know? Even when lacking all views on whether we know, could we always fail to know? Is knowledge an attainment forever beyond us — all of us, everyone, all of the time?

That question confronts us with a radical sceptical possibility. Possibilities that are less radical but still possibly disturbing, and less widely sceptical but still sceptical, have also been discussed. Is there no knowledge of a physical world? Is there no scientific knowledge? Is there no knowledge of moral truths? Is there no knowledge of the future? And so it goes. Let us now examine one of these. It is one of philosophy’s most famous non-radical sceptical arguments — a scepticism about external world knowledge. (It is sceptical, partly because it denies something otherwise accepted by almost everyone: sceptical denials are surprising in that sense.) Here is how it unfolds.

If there is observational knowledge (section 3.b), it is knowledge of what philosophers generally call the external world. By this, they mean to designate the physical world, regarded as something with an existence and nature distinct from (and perhaps, or perhaps not, represented accurately in) any individual’s beliefs as to its existence and nature. Those beliefs could be true because there is a physical world with a nature matching what the beliefs attribute to it. Equally, however, the beliefs could be false because there is no physical world quite, or even at all, as the beliefs claim it to be. And if the beliefs are false, the usual philosophical moral to be drawn would be that they are not knowledge. (Knowledge is only of truths or facts: see section 6.f.)

Still, do we ever have reason to regard all of our beliefs about the physical world as actually false? Perhaps not consciously so, while ever in fact we have the beliefs; for part of having a belief is some sort of acceptance of its content as true, not false. Nevertheless, maybe one can have a belief while accepting that one cannot know quite how one has gained that belief. And this is significant because there are ways of having a belief which — even without guaranteeing the belief’s being false — would be incompatible with the belief’s being knowledge. For instance, even if one feels as though a particular belief has been formed via careful reasoning, perhaps ultimately that belief is present largely because one wants it to be. And one might concede this, even if reluctantly, as a possibility about oneself. More generally, therefore, maybe one could have a belief while also accepting one’s not quite being able to know that one has not gained it in a way which is wholly unsuitable for its being knowledge.

In theory, there are many possible knowledge-precluding ways of gaining a particular belief. Here are a few generically described ways:

  • Sometimes, your individual sensing or thinking might be only yours, in the worrying sense that it could be misleading on the particular topic of your belief, more so than other people’s sensing or thinking would be on that same topic.
  • Sometimes, anyone’s sensing is only human, in the sense that it could be misleading about aspects of the world which other animals sense more accurately.
  • Human reasoning is also only ever human in the sense that (as Christopher Cherniak has explained: 1986) even some seemingly simple assessments could be computationally beyond our capacities. There is only so much that any person’s brain can do with so much data. Even checking for something as familiar as consistency between many of one’s beliefs is an extremely complex task. This is not necessarily because consistency in itself is always complex. It is because there is too much checking to do, given the need to evaluate every possible combination from among one’s beliefs.

Sceptical arguments could be generated from those and from comparable possibilities.

One historically prominent suggestion — philosophers usually attribute its most influential form to Descartes (1911 [1641]), in his ‘Meditation I’ — directs us to the phenomenon of dreaming. Suppose that you feel as though you are sensing, in a normal way, a cat’s sitting in front of you. But suppose that this experience is actually present as part of your dreaming, not as part of using your senses in a normal way. There seems to you to be a cat; the circumstance feels normal to you; even so, in fact you are asleep, dreaming. Presumably, therefore, your feeling or experience at this time is not providing you with knowledge right now of the cat’s presence.

Now, could that be how it is on every occasion of your feeling there to be a cat in front of you? Indeed, we can generalise that question, to this philosophical challenge: Whenever you seem to be having a sensory experience about the world around you, can you know that you are not dreaming at that time? And this question is a challenge, not only a question, because it might not be clear how you could have that knowledge of not dreaming at that time. Any evidence you mention in support of the contention that you are not dreaming will be the same sort of evidence as that which has just been questioned. Imagine thinking to yourself, ‘I remember waking up this morning. I feel awake still. I feel so awake.’ You thereby feel as though you are mentioning some good evidence, reflecting decisive non-dreaming experiences. But your having that feeling could itself be present as part of your dreaming; and if it is, then it is not knowledge. So, any such experience on your part of reaching for apparently good evidence, of bringing to mind how awake you feel, will merely be more of the same. That is, it will be just another instance of the same sort of experience as was being questioned in the first place; and it will be no less vulnerable to the possibility of merely being part of a more or less extended moment of dreaming by you. Your citing these further experiences thus provides no new form of evidence which is somehow above suspicion in this context of questioning the apparently observational evidence (the suspicion, remember, of possibly being an experience produced as part of a dreaming experience).

Then the sceptical conclusion follows swiftly. If you never know that your apparent experiences of the physical world around you are not present as part of your dreaming while asleep, you never know that what feels to you like a normally produced belief about the world is not present as part of an experience which precludes that you are thereby having a belief at this time which is knowledge. Accordingly, for all that you do know about yourself at that time, you fail to have knowledge of your surroundings. In that sense, you might not have knowledge of the physical world around you. Do your apparent beliefs about the world fail in that way to be knowledge? Indeed so, concludes the sceptical reasoning: if (for all that you do otherwise know about them) they might not be knowledge, then they are not sufficiently well supported by you to actually be knowledge.

[On external world scepticism in particular, see Stroud (1984: ch. 1). On scepticism and dreaming, see Sosa (2007: ch. 1). On sceptical reasoning in general, see DeRose and Warfield 1999.]

5. Understanding Knowledge?

There are various possible ways of seeking philosophical understanding of a phenomenon. One such approach involves attempting to understand the phenomenon in terms of other phenomena. If one can do this exhaustively and with full precision, one might even attain a definition of the phenomenon. Sometimes that method is called the search for an analytic reduction of the phenomenon in question. (It is also often described as analysing the concept of that phenomenon. But the associated aim should thereby be to understand the phenomenon itself: hopefully, we would understand X by having a full and precise understanding of what it takes for something to satisfy the concept of X.) That approach has dominated epistemology’s efforts over the past fifty or so years to understand knowledge’s nature.

a. The Justified-True-Belief Conception of Knowledge

In 1963, a short paper was published which highlighted — while questioning strikingly — a way of trying to define knowledge. Section 5.b will present the question raised by that paper. Right now, we should have before us a sense of what it questioned — which was a kind of view that has generally been called the justified-true-belief conception of knowledge.

That conception was usually presented as a definition. The thinking behind it took this form:

Consider someone’s knowing that such-and-such is the case. This instance of knowing amounts, by definition, to the person’s having a true and well justified belief that such-and-such is the case.

So, three distinct phenomena are identified (even if only in a generic way), before being combined. And that combination is being said to be what any — and only any — case of knowledge exemplifies. Knowledge is a belief; but not just any belief. Knowledge is always a true belief; but not just any true belief. (A confident although hopelessly uninformed belief as to which horse will win — or even has won — a particular race is not knowledge, even if the belief is true.) Knowledge is always a well justified true belief — any well justified true belief. (And thus we have the justified-true-belief conception of knowledge.)

What does ‘justified’ mean? That is a substantial topic in its own right, but it is not the topic of this article. Still (for illustration only), here are two possible forms that justification can take within knowledge:

Evidence. Often, you have evidence — supportive experiences and views, consciously held — which, overall, favours your belief that such-and-such is the case. This evidence is thereby justification for or towards your belief’s being true. (On justification as evidence, see Conee and Feldman 2004.)

Reliability. Often, you have formed your belief that such-and-such is the case in a way which was likely to have led you to form a true belief. This reliability is thereby justification for or towards your belief’s being true. (On reliability as justification, see Goldman 1979.)

Must such justification — be it favourable evidence or be it reliability in belief-formation — be perfect support for or towards the belief’s being true? Section 6.a will discuss that idea; the usual answer is ‘No, perfection is not needed.’ At the very least, that answer was part of the underpinning to the famous 1963 questioning of the justified-true-belief conception of knowledge.

[Epistemology textbooks standardly present some version of a justified-true-belief conception of knowledge: for example, Chisholm 1989; Hetherington 1996; Feldman 2003; Morton 2003; Zagzebski 2009.]

b. Not the Justified-True-Belief Conception of Knowledge?

Edmund Gettier’s 1963 article had a dramatic epistemological impact — as immediately so as is possible within philosophy. Almost all epistemologists, at the time and since, have agreed that Gettier disproved the justified-true-belief conception of knowledge. How so?

He proposed two supposed counterexamples to the claim that a belief’s being true and well justified is sufficient for its being knowledge. In each of his imagined cases, a person forms a belief which is true and well justified, yet which — this is the usual view, at any rate — is not knowledge. (These situations came to be known as Gettier cases, as did the many subsequent kindred cases.) For instance, in Gettier’s first case a person Smith forms a belief that the person who will get the job has ten coins in his pocket. Smith’s evidence is that the company president told him that Jones would get the job, and that Smith has counted the coins in Jones’s pocket. Is Smith’s belief true? Yes, it is; but only because he himself will get the job and because he himself has ten coins in his pocket — two facts of which he is actually unaware.

Why is a belief like Smith’s not knowledge? Many theories have been proposed, as to why such beliefs (Gettiered beliefs, as they have come to be called) are not knowledge. Collectively, this post-Gettier theorising has generated another independently large epistemological topic — the Gettier problem. But none of those theories are favored here because epistemology as a whole has not favored one. There has been widespread agreement only on Gettier cases being situations from which knowledge is absent — not on why or how the knowledge is absent.

[For an extensive exposition of the first twenty years of epistemology’s engagement with the Gettier problem, including a range of theories that were proposed as to why Gettiered beliefs are not knowledge, see Shope 1983. For recent accounts, see Lycan 2006 and Hetherington 2011b.]

c. Questioning the Gettier Problem

A few forms of doubt have been advanced about the potency of Gettier’s challenge. Such doubts, if correct, could allow philosophers to return to a view — a pre-Gettier view — of knowledge as being some sort of justified true belief. Let’s consider two of those forms of doubt.

A more varied range of intuitions is needed. In reacting to Gettier’s own two cases and to the many similar ones that have since appeared, epistemologists have continually relied on its being intuitively clear that the cases’ featured beliefs are not instances of knowledge. In response to case after case, epistemologists say that ‘intuitively’ the belief in question — the Gettiered belief — is not knowledge.

Yet that sort of reaction has begun to be questioned by some work that initiated what has since become known as experimental philosophy. Rather than continuing to rely only on what epistemologists and their students would say about such thought-experiments, Jonathan Weinberg, Shaun Nichols, and Stephen Stich (2001) asked a wider range of people for their intuitive reactions, including to some Gettier cases. This wider range included people not affiliated with universities or colleges, along with more people of a non-European ancestry. And the results were at odds with what epistemological orthodoxy would have expected. For example, interestingly more respondents of a Subcontinental ancestry (Indian, Pakistani, Bangladeshi) than ones of a Western European ancestry replied that the Gettiered beliefs about which they were being asked are instances of knowledge.

This does not prove that Gettiered beliefs are knowledge, of course. But it complicates the epistemological story: to whom — to whose intuitions, if to any — should we be listening here? Some philosophers are beginning to wonder whether such a result should even undermine their confidence in knowledge’s being something more than a justified true belief — in particular, its being a non-Gettiered justified true belief.

[For discussions of the nature and role of intuitions within philosophy, see DePaul and Ramsey 1998. On intuitions and epistemology, see Weinberg 2006.]

The need to be fallibilist in assessing the knowledge’s absence. Gettier introduced his challenge (section 5.b) as concerning precisely what knowledge is if its justification component is not required to be producing infallibly good support for or towards the belief’s being true. Section 6 will focus upon a range of possible standards that knowledge could be thought to need to meet. Fallibilism is one of them; for now, we need note only that it functions explicitly within Gettier’s challenge as a constraint upon knowledge.

For example, in Gettier’s first case Smith’s evidence (the company president’s testimony, and Smith’s counting the coins in Jones’s pocket) justifies only fallibly his final belief (that the person who will get the job has ten coins in his pocket). By this, Gettier meant that the evidence does not logically mandate or entail the belief’s being true: the belief could have been false, even given that evidence’s being true. In fact, the belief is true. But how is it made true? It is made true, we saw, not by aspects of Jones, but by aspects of Smith himself — none of which are noticed by his evidence. Accordingly, the fallibility within the case amounts to a ‘gap’ of logic or information between the evidence-content’s being true and the final belief’s truth. This gap allows the case’s final belief to be true because of something other than what is reported in the evidence. And so that final belief is not knowledge.

Yet here is a counter-challenge (described more fully in Hetherington 2011c). When thinking that the case’s final belief is not knowledge, could epistemologists unwittingly have been applying a higher standard to the case than a fallibilist one? Is it possible that to deny Smith this knowledge is to assume, even if not deliberately, an infallibilist standard instead? It will not feel to an epistemologist as if this is happening. Yet could it be, even so? How would an epistemologist know that an infallibilist standard is not what is being applied, even if only implicitly and even if she is claiming explicitly to be applying a fallibilist standard? Ultimately, epistemologists have relied on appeals to intuition as a way of monitoring their more theoretical interpretations of Gettier cases. And (as we found a moment ago) there is a question about how decisive that is as a way of knowing exactly what epistemological moral to take from the cases.

Here is an alternative possible fallibilist interpretation of Gettier’s case about the job and the coins. Although there is a ‘gap’ of logic or information between what Smith’s evidence and reasoning claims to tell him about directly (that is, aspects of Jones) and how his final belief is made true (that is, by aspects of Smith himself), some such ‘gap’ is sometimes to be expected whenever a merely fallibilist standard for knowing is at stake. So (continues this interpretation), if the presence of a fallibilist standard was the only shortcoming in the case, we should not dismiss the belief as failing to be knowledge; for that would be simply an infallibilist dismissal of the belief.

We must acknowledge, however, that something more than mere fallibility is present within the case: only through some actual oddity does Smith’s true belief (the final belief) eventuate within the case. Hence, the question is one of whether that combination — the fallibility and the oddity — should be allowed by fallibilism as being knowledge nonetheless. Of course knowledge would rarely, even at most, be fallibly present in such an odd way; could it ever be, though? Normally it would not be; abnormally, however, could it be? So, could there be knowledge like this? Might a Gettiered belief be knowledge? Even if it is rare, is it possible?

Some epistemologists have argued that what such cases show is the need for the justification within a belief’s being knowledge somehow to guarantee the truth of the belief (for example, Zagzebski 1994). But we should ask whether this is evading rather than solving Gettier’s challenge. (Howard-Snyder, Howard-Snyder, and Feit argue that it is also not needed for solving Gettier’s challenge: 2003.) That question arises because Gettier is challenging only justified-true-belief conceptions of knowledge which include a fallibilist form of justification. Our correlative aim, if we accept the usual reading of Gettier cases, should be to formulate a satisfactory conception of that form of knowledge.

[On the nature of fallibilism, see Hetherington (2005) and Dougherty (2011).]

6. Standards for Knowing

Many philosophical questions about knowledge (its nature and availability) may be treated as questions about standards. We expect knowledge to amount to something, to be an improvement in some respect upon various forms of non-knowledge. (Why is that so? Section 7 will discuss what knowledge is for, hence why it should meet any particular standard.) Section 5 ended by asking about knowledge and infallibilism; we may now consider a wider range of possible standards, beginning with infallibility, which have at times been placed by epistemologists and others upon knowing.

a. Certainty or Infallibility

There is a recurring temptation, often felt by philosophers and non-philosophers alike, to impose some kind of infallibilist standard upon knowing. This can even feel intuitive to the person applying the standard. One version of that temptation talks of certainty — not necessarily a subjectively experienced sense of certainty, but what is usually termed an epistemic kind of certainty. The latter amounts to the certainty’s being a rationally inviolable and unimprovable form of justificatory support, regardless of whether it feels so perfect. (It could also be experienced as certainty. That would not be the important aspect of its being part of the knowing, though.)

Why would one adopt such a demanding view of knowledge? Perhaps because the alternative could feel too undemanding. Consider the apparent oddity of claims like this:

I do know that I’m looking at a dingo, even though I could be mistaken.

(One could talk in that way because one might implicitly be thinking, ‘My evidence isn’t perfect.’) Is that concessive knowledge-attribution, as it is often called, a contradiction? If it is, perhaps knowing is incompatible with possibly being mistaken; in which case, knowledge does have to involve an epistemic certainty. What epistemologists in general regard as the most famous advocacy of knowing’s including such certainty was by Descartes, again in his ‘Meditation I’ (1911 [1641]).

Of course, there remains the possibility that knowing is merely incompatible with saying or thinking that one is possibly mistaken — not with the fact of one’s possibly being mistaken. This is why the oddity of concessive knowledge-attributions might not entail knowledge’s including certainty or infallibility. The matter is currently being debated (for example, Dougherty and Rysiew 2009).

b. Fallibility

The spectre of a sceptical conclusion is the most obvious philosophical concern about requiring knowledge to satisfy an infallibilist standard. If knowledge is like that, then how often will anyone succeed in actually having some knowledge? Rarely, if ever (is the usual reply). For people’s imperfections in their attempts to know (see the examples highlighted early in section 4) will be incompatible with the success of those attempts — if perfection is required for such success. Anyone who accepts infallibilism about some or all knowledge must confront the question of whether he or she wants thereby to deny that any such knowledge is ever actually attained. (Descartes wished not to be a sceptic, for example, even as he allowed that some knowledge, if it was to be present, would have to be certain.)

So there is a key choice, between infallibility and fallibility, in what standard we are to require of knowing. To demand infallibility is to court the danger of scepticism. Again, though (as section 6.a acknowledged), settling for fallibility may seem overly accommodating of the possibility of mistake. This is a substantial choice to make in thinking philosophically about knowledge. Most epistemologists profess not to be infallibilists. They aim to understand knowing as needing only to satisfy a fallibilist standard. Think of everyday situations in which people attribute knowledge: ‘I know that you are a good person. And I know that you are sitting down.’ The knowledge being attributed is not being thought to involve infallibility. Nonetheless, we do claim or attribute knowledge casually yet literally, all day, every day. In practice, we are fallibilists in that respect. (Still, in practice we also often could have infallibilist moments: ‘You’re not sure? Then you don’t know.’ The situation is complex. Maybe we are not always consistent about this.)

c. Grades of Fallibility

What any fallibilist could helpfully do, therefore, is to ascertain which standard of fallibility is the minimum one that must be met by any instance of knowing. So far, the discussion has been about fallibility, not different standards of fallibility. But in theory the latter way of talking is available. After all, fallibility is merely an absence of infallibility; and there might be many possible standards available to be met, each of which would fall short to some or another extent of the absolute achievement constituted by infallibility. Consider three ideas that have been proposed.

Animal knowledge; reflective knowledge. Maybe we can distinguish between a kind of knowledge which involves some sort of reliability (see section 5.a above), and one which adds to that reliability an appropriately aware reflectiveness about that reliability. Sosa (2009) describes this as a distinction between animal knowledge and reflective knowledge; and he regards the latter as a better way of knowing a truth. In principle, each kind of knowledge can be fallible (although an infallibilist, such as Sosa himself, can also accept the distinction). What matters for the present discussion is that you could know a particular truth, such as that you are tired, in either an animal way or a reflective way. But your reflective knowledge of being tired will be a better grade than your animal knowledge of being tired. The reflectiveness would improve your epistemic relationship to the fact of your being tired. Nevertheless, that relationship would remain one of knowing. So the knowing would improve as knowledge of the particular fact of your being tired. You would know that fact less fallibly, by knowing it more reflectively.

Knowledge-gradualism. That talk of improving the knowing should be suggestive for a fallibilist. Maybe we can allow there to be many grades or degrees of fallibility — reflecting, for instance, the multiply varied extents to which evidence can support a belief well. Think of a body of observational data: your belief could receive improved support if the data proceeded to be supplemented by further corroborative observations. Similarly, think of hearing expert testimony — and then more of it, by even better experts — in support of a thesis. The idea of improving one’s evidence, or one’s reliability in attaining true beliefs, is perfectly compatible with already having good support for a particular belief. A belief could be more, or it could be less, fallibly supported — yet well supported all the while.

Then we might also say that the knowledge itself is improved. The belief would already be knowledge, with there being good enough justificatory support for it. But its quality as knowledge of the particular truth in question would correspond to the degree or grade of its fallibility, such as of the fallibility in its justification component. And this degree or grade could improve, as the fallibility is lessened by the improvement in the justificatory support. For example, you know better that it is raining, if you see that it is and you feel its doing so. You still know — but less well — that it is raining, if you only see that it is. In each case, your knowledge is fallible; it remains knowledge, though. [For more on this idea, see Hetherington (2001; 2011a). See Hetherington (2011a: sec. 2.7) on others who have accepted it.

Contextualism. In recent years, contextualism has attracted much philosophical attention, especially within epistemology (for example, Cohen 1986; 1991; DeRose 1999; 2009; Lewis 1996). It is a way of claiming to understand the truth-conditions of utterances or thoughts, particularly of knowledge-attributions or knowledge-denials. And it is often thought to accommodate the existence of different standards for knowledge-attributions. It has mainly focussed on this sort of comparison:

  • In an ‘everyday’ conversational context, when she is asked whether you know that dingoes exist, your friend may well say of you that you do.
  • In a conversational context where sceptical possibilities are being taken seriously, when she is asked that same question, your friend may well deny that you know that dingoes exist.

This disparity, according to contextualism, reflects different standards (or something similar) being applied within the respective contexts. A lower and more accommodating standard for applying the term ‘knows’ to you is presumed within the everyday context; not so in the sceptically-aware context.

Note that contextualism, as a kind of theory of knowledge-attributions or knowledge-denials, is not directly a kind of theory of knowing. It is a theory directly about language use and meaning (specifically, occasions of talking or thinking while using the word ‘knows’ and its cognates); in that sense, it is not directly about knowing as such. Contextualism is mentioned here because some epistemologists (for example, Stanley 2005) have thought that if we were to countenance there being different grades of (fallible) knowing, this is how we would have to do so. Such a thought is mistaken, though, even if we regard contextualism as indirectly a theory of knowing. For we have already met two approaches that are directly about knowing (animal/reflective knowledge, and knowledge-gradualism) while also accepting the possibility of there being different grades of fallible knowing.

d. Safety and Lucky Knowing

Even if we accept that knowledge can be fallible (section 6.b) and even if we accept that there can be different grades of (fallible) knowledge (section 6.c), we might still be concerned about the possibility of being too generous in according people knowledge. (The concern would be about the possibility of generosity’s triumphing over accuracy.) In particular, some epistemologists (for example, Prichard 2005) will insist that a moral to be learnt from the Gettier problem (section 5.b above) is that (fallible) knowledge is never present when some kinds of luck are involved in the presence of that true belief, given that justification. In this respect, can there be lucky knowledge — accurate and justified, but only luckily accurate (even given that justification)? Epistemologists usually deny that knowledge could be like that. Recently, their denial has tended to take the form of specifying that knowledge has to be safe — a condition failed, we are then told, by those beliefs found within Gettier cases:

Safety. A true belief is safely formed just in case, given how it has been formed, it would have been formed only if true.

But is that sort of condition really failed in Gettier cases? This depends on how we describe the way, within a given Gettier case, in which the final true belief has been formed. For example, it would be natural to say that in Gettier’s own first case (section 5.b above), Smith forms his belief — that the person who will get the job has ten coins in his pocket — by listening to the company president and by counting coins in Jones’s pocket. Yet to form that belief on that basis is to proceed in a way that was likely to yield not only Smith’s same belief, but its being true. Hence, Safety does not obviously tell us why Smith’s belief — by being unsafely formed — is not knowledge.

Instead of Safety, therefore, what the epistemologically usual interpretation needs to require is something a little more complicated, along these lines:

Safety+. A true belief is safely formed just in case, given how it has been formed and given the surrounding circumstances in which it has been formed, it would have been formed only if true.

Does that show us why the usual interpretation of Gettier cases is correct? We should consider two possible answers to this question.

Yes, it does.’ The usual interpretation might say that Smith’s surrounding circumstances include the facts that he himself will get the job and that he himself has ten coins in his pocket — facts of which Smith is ignorant. He has formed his belief (that the person who will get the job has ten coins in his pocket) on the basis only of evidence about Jones — none of which describes how Smith’s belief is in fact made true (by facts about Smith). And in general a belief is formed unsafely if it is formed by overlooking facts that make the belief true. Thus, given how Smith’s belief is formed, it was likely not to be formed as true. This explains why the belief is not knowledge.

No, it does not.’ We might say instead that, although Smith’s circumstances (which include the facts, overlooked by him, that he himself will get the job and that he himself has ten coins in his pocket) are odd, in fact they render even more likely his forming the same final belief along with the belief’s being true. After all, those circumstances now include the details constituting that final belief’s being true — the details of how it is true, details about Smith himself. So (on this alternative interpretation), Smith’s final belief is not formed unsafely. The belief’s failing to be knowledge (if it does fail to be) is therefore not explained by its being formed unsafely.

As the preceding two paragraphs show, competing interpretive possibilities exist here. It might be advisable, then, for us to be cautious about embracing the idea that an anti-luck condition like Safety or even Safety+ impels us towards the usual interpretation of Gettier cases. Those conditions might not reveal the impossibility of lucky knowledge, at least not on the basis of Gettier cases. [For debate on this, see Pritchard 2012 and Hetherington 2012.]

e. Mere True Belief

Section 5.a assumed that knowledge is at least a justified true belief. Gettier’s challenge, in section 5.b, was to knowledge’s never needing to be anything more than a justified true belief. But must knowledge be even as much as a justified true belief? In this section and the next, we will encounter a few epistemologically heterodox ways in which people have sometimes regarded knowledge, in principle at any rate, as able to be less than a justified true belief.

Here is one of those ways of drastically lowering the standard required for knowing:

Knowledge need not be anything beyond a true belief.

On that suggestion (for example, Sartwell 1991; 1992), justification — be it good evidence; be it good reliability; be it both or neither — is not needed as part of knowing. Accordingly, even when justification is in fact present and supporting a particular true belief, it was never needed for the mere presence of knowledge. This is because the belief, by being true, would be knowledge anyway, irrespectively of whether there was also justification supporting the truth of the belief. (What does the justification do in such a case? Even if it was not needed for the knowledge’s mere presence, could its presence improve the knowing? That is, could it strengthen the knowing’s grade? This would exemplify section 6.c’s idea of knowledge-gradualism.)

Might that be how knowledge is? Few epistemologists will accept so, although developed arguments against that picture are also few. The standard form of argument is an appeal to normality of linguistic usage, even intuitions: ‘Intuitively, knowledge is something more than only a true belief. Otherwise, every confident and lucky guess is knowledge!’ Is that sort of point decisive? Section 5.c raised the question of how much we should credit ourselves with having a faculty of intuitive insight into knowledge’s nature. Moreover, Alvin Goldman (1999) shows how, if we allow a weak sense of knowledge (whereby such knowledge is required only to be at least a true belief), we can still accommodate how people in many fields of inquiry and policy beyond philosophy purport to talk — apparently constructively, within those fields — of knowledge.

f. Non-Factive Conceptions

When people talk casually of knowledge, sometimes they reflect a non-factive conception of it. (Philosophers almost never talk in this way of knowledge, but at times others do.) Any non-factive conception of knowledge allows this idea:

Knowledge need not be even a true belief. (Even if it is always a belief or something related, truth is not essential for knowing.)

Here are two ways of expanding upon that idea.

Mere socially justified belief. Maybe being socially justified is enough to make a belief knowledge. That is, what most people within a particular social grouping would accept is thereby knowledge for that grouping; and knowledge would only ever be knowledge for some or another grouping, and in such a way.

Mere professionally justified belief. Some such social groupings are also professional groupings (for example, of physicists, of physicians, of high school teachers, of carpenters, and so forth). Within that kind of social grouping, being widely accepted is enough to make a belief knowledge.

Those proposals share the idea that nothing beyond acceptance within a designated group need be expected of a view if it is to be knowledge. Insisting on truth as an additional condition of the view’s being knowledge would be needless (according to these non-factive conceptions of knowledge), perhaps because any attempt within a group to ascertain whether the accepted view is true would itself need to be accepted within the group. Such acceptance would remain paramount in practice. (We might even want to say that truth is thereby being ascertained, precisely because truth is whatever is accepted widely by one’s fellow speakers and peers. For an influential instance of that pragmatist approach to conceiving of knowledge and truth, see Rorty 1979. But it is far from clear that many classical pragmatists would share that approach: see Bernstein 2010.)

Of course, we may also wonder whether those ways of talking of justification are too lenient in what they allow to be knowledge. The key question is that of whether a group could be not only mistaken in a shared belief, but even unreliable in how they form and try to support it. If so, could that belief actually be unjustified, no matter that the group’s members take it to be justified? This would be so, if justification is a kind of actual reliability (section 5.a) in being correct — reliability which even an entire group might therefore lack when sharing a particular belief.

Yet some people (even if probably no epistemologists) might wish to understand knowledge in an even more deflationary way. Here are two such approaches:

Mere sincere belief. Is it enough — for knowledge — that a person sincerely believes something to be so? Yes.

Mere sincere feeling. Is it enough — for knowledge — for a person to feel something to be so? Yes.

Suppose someone claims to have a specific piece of knowledge. Yet when asked for supporting evidence, she provides none. No matter; she claims anyway to have the knowledge: ‘I really do believe it. I sincerely feel it to be so. That’s enough for knowledge, isn’t it?’

Well, is it? Often the dictates merely of manners or friendliness dictate our not engaging critically with such claims of knowledge. So as to be polite, for example, you refrain from telling someone that his or her claim, made carefully to you, is insufficiently justified and hence is not knowledge. But epistemology professes to focus more upon accuracy and knowledge than cheeriness and decorum. Could you unwittingly be condescending or patronising, indeed, when forbearing to assess critically whether the other person really knows? To allow his or her mere claim or belief — simply because he or she feels it sincerely — to be knowledge is possibly to trivialise the notion of knowledge. Even if this is done with the intention of respecting the person (by not questioning him or her critically), the result could be to trivialise or somehow to lessen the status of the person in that setting. This is because the person would not be being treated as someone whom there is even a point in subjecting to a higher standard (such as of being genuinely justified or definitely correct). Think of how proper it could be to adopt this undemanding approach if the person was a child, or was otherwise mentally incapable of appreciating and striving to meet the higher standard. Equally, therefore, think of how improper it would be to do this if the person is not incapable of such an aim and effort — such as if he or she is a cognitively capable adult.

7. Knowing’s Point

With those reflections, we reach the question of what knowing is for. If we are to understand what knowledge is (what kind of thing it is; what its components or features are), along with whether and how it is available to us, we should reflect upon what role knowing would play within the lives of knowers. One way of doing so is to confront the question of what value there is in knowing — its inherent value, if there is any. Jonathan Kvanvig (2003) calls this the value problem within epistemology.

That issue first appeared in Plato’s Meno, as the question of how knowledge is more valuable than merely true belief. How is it more valuable, if it is, for you to know that you are hungry than merely to believe accurately that you are hungry? That question is not intended to be only or even about subjective value, such as about how grateful or pleased you may be, in a given case, to have knowledge rather than something lesser. The question concerns whatever value knowing has for a person, even if he or she does not realise that the value is present. Briefly consider a few possible ways of trying to answer that question.

Virtue epistemology. We might regard knowing as a person’s having manifested various virtues of an intellectual nature. These could be more, or they could be less, narrowly characterised. For example, an intellectual virtue may involve a cognitive faculty that is intellectually reliable (this phenomenon was mentioned in section 5.a); or, less narrowly, an intellectual virtue can reflect more of one’s being generally solicitous and respectful towards truth. And one’s manifesting such virtues would be a personal achievement. It would reflect well in general, to some non-trivial extent, upon one as an inquirer. In this sense, knowing could be an inherent part of personal development. In knowing, is one better as a person (all else being equal)? [For instances of this way of thinking, see Zagzebski 1996; Sosa 2007; Greco 2010.]

Reliable informants. Anyone with knowledge is potentially helpful to others, by being — inherently so — a reliable source of information. In a similar but restricted way, so too is a thermometer (Armstrong 1973: ch. 12); and, realising this, we create thermometers expressly for that purpose. Do we regard knowers analogously, primarily as reliable repositories of information for others? And do we create knowers likewise, when interpreting people as knowers? See section 2 above for the idea of knowledge as an artefact, created socially to serve conventionally significant purposes. In this sense, is knowing an inherent part of how people function socially? And is that valuable in itself? [On the idea of knowers as reliable informants, see Craig 1990. On knowing via testimony, see Coady 1992 and Lackey 2008.]

Usefulness. Knowledge can be used in various ways, some of which could well contribute significantly to the functioning of our lives. And this might be an intrinsic feature of knowing. That is, part — not just a consequence, but a part — of your knowing a specific truth could be that truth’s mattering to your life. You would not know it to be true simply by caring about its being true, for instance: wishful thinking is not knowing. But the importance to your life of that truth might affect what justificatory standard would need to be met, if you are to know it to be true. In this sense, perhaps satisfying some of one’s practical aims or needs is an inherent part of each case of one’s knowing. Equally, perhaps part of any knowing’s value is thereby its inherently satisfying some personal aims or needs. [For a later version of this idea, sometimes called pragmatic encroachment within knowing, see Fantl and McGrath 2009.]

A normative standard for assertions and other actions. Might knowledge (irrespective of whatever else exactly it is or does) function as a normative standard for much that we do? For example, maybe assertion is apt only when expressing or reflecting knowledge. Perhaps even a much wider range of actions is apt only when they are expressing or reflecting knowledge. In this sense, possibly knowing is an inherent contributor to our living as we should — so that we are performing various actions, such as assertion, only when our doing so is apt. [For these ideas about knowledge’s functioning as a normative standard, see Williamson 2000. On Williamson’s epistemology, see Greenough and Pritchard 2009.]

And thus we have a few possible proposals as to knowing’s possible point, bearing upon what knowledge’s inherent value could be. We might blend some or all of them with ideas from earlier in the article, ideas bearing upon knowing’s nature. Some of those combinations will be more natural than others; unless, of course, none of them will be even a little natural. We should not forget the possibility of knowing’s failing to have a point or value in itself. Maybe it will lack, at any rate, all value beyond whatever value is inherent in the presence of a true belief — in one’s being correct at all in a belief about something at all.

Let’s close with another idea, touching upon those others:

Existing with value. Perhaps there are few, if any, particular facts which one needs to know in order to exist. But imagine existing while knowing nothing. (Maybe this would reflect a combination of circumstances. First, possibly some of your beliefs would be false. Second, if knowledge is more than true belief — something questioned in section 6.e — then perhaps you would have true beliefs which fail in a further way to be knowledge. Third, presumably some truths escape your attention altogether.) Quite possibly, we would regard such an existence — wholly empty of knowing — as somehow devalued, somehow failing. Bear in mind that there could still be actions and opinions aplenty within your life; but (given the imagined scenario) never would there be knowledge either in them or guiding them. And if such an existence would be a failure to that extent, then perhaps the inherent point or value in knowing a particular truth is the point or value in knowing at all — with this being, in turn, some more or less substantial part of the point or value in living at all.

That proposal is highly programmatic. It would make knowing’s value personal, in an existential way. It would be one’s existing’s having a value which it would otherwise lack (if it was not to include knowing). Hopefully, there are other potential sources of value within a life. But maybe knowing is one aspect of living with value. Without knowing, possibly one’s living lacks part of its possible point — regardless of how, more specifically and fully, we describe that point.

This suggestion, although vague, is substantive enough to imply that if one was to know nothing then to a correlative extent (however far that extent reaches) one would not be alive in a valuable way. To that same extent, one’s living at all would be devalued inherently. (One might not feel or notice its being so. But it would in fact be so.) Hence, the suggestion has the following explanatory implication, for a start. It could help to illuminate why sceptical doubts (such as in section 4) have been a part of philosophy for so long. That could also be why such doubts should remain present within philosophy, at least as hovering dangers to be defused if possible — and also, if ever defused, to remind us of dangers thereby past. In effect, sceptical doubts question whether our lives, no matter what else we do or accomplish within these, are imbued with as much value as we would otherwise assume to be ours. This threat does not make the sceptical doubts correct, but it might cloak them with a living potency, an existential urgency. It does remind us of why the alternative should be sought: Knowing would be our protection against that potential emptiness within our lives.

8. References and Further Reading

  • Allen, Barry. 2004. Knowledge and Civilization. Boulder: Westview Press.
  • Armstrong, D. M. 1973. Belief, Truth and Knowledge. Cambridge: Cambridge University Press.
  • Bengson, John and Moffett, Marc A. (Eds.). 2012. Knowing How: Essays on Knowledge, Mind, and Action. Oxford: Clarendon Press.
  • Bernstein, Richard B. 2010. The Pragmatic Turn. Cambridge: Polity.
  • BonJour, Laurence. 1998. In Defense of Pure Reason: A Rationalist Account of A Priori Justification. Cambridge: Cambridge University Press.
  • Cherniak, Christopher. 1986. Minimal Rationality. Cambridge: The MIT Press.
  • Chisholm, Roderick M. 1989. Theory of Knowledge. 3rd ed. Englewood Cliffs: Prentice Hall.
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Author Information

Stephen Hetherington
Email: s.hetherington@unsw.edu.au
University of New South Wales
Australia

Philosophy of History

History is the study of the past in all its forms. Philosophy of history examines the theoretical foundations of the practice, application, and social consequences of history and historiography. It is similar to other area studies – such as philosophy of science or philosophy of religion – in two respects. First, philosophy of history utilizes the best theories in the core areas of philosophy like metaphysics, epistemology, and ethics to address questions about the nature of the past and how we come to know it: whether the past proceeds in a random way or is guided by some principle of order, how best to explain or describe the events and objects of the past, how historical events can be considered causally efficacious on one another, and how to adjudicate testimony and evidence. Second, as is the case with the other area-studies, philosophy of history investigates problems that are unique to its subject matter. History examines not what things are so much as how they came to be. History focuses on the unique rather than the general. Its movers are most often people who act for a variety of inner motives rather than purely physical forces. Its objects are no longer observable directly, but must be mediated by evidence. These problems and many more that are specific to the past have been studied and debated for as long as philosophy itself has existed.

This article presents the history of philosophy of history from Ancient Greece to the present, with particular emphases on the variety of 19th century philosophy of history and on the divide between continental and Anglophone or analytic philosophy of history in the 20th century.

Table of Contents

  1. Ancient through Medieval
  2. Humanism through Renaissance
  3. Enlightenment through Romanticism
  4. 19th Century Teleological Systems
  5. 19th Century Scientific Historiography
  6. 19th Century Post-Kantian Historiography
  7. 20th Century Continental
  8. 20th Century Anglophone
  9. Contemporary
  10. References and Further Reading
    1. Classical Works in English Translation
    2. Prominent Scholarship and Collections

1. Ancient through Medieval

 

The attempt to derive meaning from the past is as old as culture itself. The very notion of a culture depends upon a belief in a common history that members of that culture recognize themselves as meaningfully sharing. Whether it be an interpretation of events as products of divine intervention or whether it be the secular uniting of families or of nations, history has always been a sort of glue for a culture’s fabric.

Arguably the first scientific philosophy of history—which is characterized by an attempt to be non-biased, testimony-based, comprehensive, and unencumbered by grand predictive structures— was produced by the father of history, Herodotus (c. 484-425 BCE). The word ‘history’ derives from his usage of historía to define his ‘inquiries’ or ‘researches’: “Herodotus of Halicarnassus, his inquiries are here set down to preserve the memory of the past by putting on record the marvelous achievements both of the Greek and non-Greek peoples; and more particularly, to show how the two races came into conflict” (Herodotus, Histories I.1,1). To attain his comprehensive characterization of the Greek and non-Greek worlds, Herodotus’ research depended on the often fabulous oral traditions of his predecessors. But what he sacrifices in confirmable fact he makes up for in the descriptive vividness of everyday life. All stories, however preposterous, are recorded without moral judgment since they each reflect the beliefs of a time and of a people, all of which are worth knowing.

While Greece and Rome produced a number of important historians and chroniclers, none were more comprehensive or more influential than Thucydides (c.460-c.395 BCE). Like Herodotus, Thucydides viewed history as a source of lessons about how people tended to act. And like him, too, Thucydides was concerned with how methodological considerations shaped our view of the past. However, Thucydides was critical of Herodotus for having failed to carry out a sufficiently objective account. “To hear this history told, insofar as it lacks all that is fabulous, shall perhaps not be entirely pleasing. But whoever desires to investigate the truth of things done, and which according to the character of mankind may be done again, or at least approximately, will discover enough to make it worthwhile” (Thucydides, The Peloponnesian War I, 22). To remedy Herodotus’ uncritical record, first, Thucydides restricted his inquiry to the main actors of the Peloponnesian War: the generals and governors who decided what was to be done rather than the everyday people who could only speculate about it. The lesson to be learned was not the sheer diversity of cultural behaviors but the typological character of agents and their actions, which was to serve as a sort of guide to future conduct since they were likely to repeat themselves. Second, Thucydides treated his evidence with overt skepticism. He claims to not accept hearsay or conjecture, and to admit only that which he had personally seen or else had been confirmed by multiple reliable sources. Thucydides was the first to utilize source criticism in documentary evidence. The lengthy and eloquent speeches he ascribes to various parties are preserved only under the promise that they follow as closely as possible the intention of their alleged speaker.

With the waning of classical antiquity came the decline of the scientific paradigm of history. The religious practice of sacred-history in the Judeo-Christian and Islamic worlds, though often interpreting the same key events in very different ways, share common meta-historical principles. The past is not studied for the sake of disinterested truth, but in the hope of attaining a glimpse of the bond between the divine plan and a given people’s course in the world. In that sense, many non-fundamentalist historians of each faith regard their sacred texts as meaningful documents meant for consideration in the light of the present and what its authors believe to be our common future. Under the surface chronicle of events like floods, plagues, good harvests, or benevolent rulers is seen a moral and spiritual lesson provided by god to his people, which it is the historian’s task to relate. As the Qur’an makes clear, “In their history, there is a lesson [‘ibra] for those who possess intelligence” (Qu’ran 12:111).

The most reflective of the early medieval historiographers is doubtless Augustine (354-430). In opposition to Thucydides’ aim to show the repeatability of typical elements from the past, Augustine’s emphasized the linearity of history as a part of the Christian eschatology, the necessary unfolding of God’s eternal plan within a temporally-ordered course of history. His City of God (413-26) characterizes lives and nations as a long redemption from original sin that culminates in the appearance of Christ. Since then, history has been a record of the engaged struggle between the chosen elect of the City of God and the rebellious self-lovers who dwell in the City of Men. Because time is linear, its key events are unique and inviolable: the Fall of Adam, the Birth and Death of Jesus, and the Resurrection all move history along to the Final Judgment with infallible regularity.

Sacred-history thus tends to provide an overarching narrative about the meaning of human existence, either as a tragedy or a statement of hope in a redeemed future. Besides its canonical status throughout much of the Medieval world, its influence manifestly stretches over the hermeneutical tradition as well as the teleological philosophers of history of the Nineteenth Century.

2. Humanism through Renaissance

Petrarch’s (1304-1374) De secreto conflict curarum mearum (c.1347-c.1353) argued that secular intellectual pursuits, among them history, need not be spiritually hazardous. His circle of followers recovered and restored a mass of ancient texts the likes of which the previous millennium had not imagined, among them the histories of Cicero, Livy, Tacitus, and Varro. At the beginning of the 15th century, humanist universities expanded from their scholastic core to include rhetoric, poetry, and above all, history. And with their greater concern for the things and people of the natural world came an increasing focus on political history rather than grand religious narratives. Accordingly, the common focal point was not the Resurrection of Christ, but the fall of Rome. And here the lesson of history was not a consistent moral decline, but a hope that understanding Ancient models of social and political life would make room for a sort of secular golden age.

With the new focus on human affairs, there came an increased attention to written records and natural evidence. Armed with newly unlocked troves of secular literary artifacts, the works of Leonardo Bruni (c.1370-1444) and Flavio Biondo (1392-1463) contain the first forays into modern source criticism and demands for documentary evidence. And for Bruni’s History of the Florentine People (1415-39), the story to be told was neither a spiritual nor a moral one, but a natural history of the progress of political freedom in Florence.

Though less nationalistic than these, Desiderius Erasmus, too, demanded that historians trace their sources back to the originals, not just in government documents but in cultural artifacts as well. And that meant investigating the religious spirit of sacred history with the tools of Renaissance humanism. His Latin and Greek translations of the New Testament are monuments of scholarly historiography, and became instrumental for the Reformation. History, for Erasmus, became a tool for critiquing modern misinterpretations and abuses of the once noble past and a means for uncovering the truth about long-misunderstood people, ideas, and events.

But although previous writers of history were reflective about their enterprise, the first to merit the name Philosopher of History is Giambattista Vico (1668-1744). He is the first to argue for a common historical process that guides the course of peoples and nations. In the Scienza Nuova, he writes:

Our Science therefore comes to describe at the same time an ideal eternal history traversed in time by the history of every nation in its rise, progress, maturity, decline, and fall. Indeed we go so far as to assert that whoever mediates this Science tells himself this ideal eternal history only so far as he makes it by that proof, ‘it had, has, and will have to be’. For the first indubitable principle above posited is that this world of nations has certainly been made by men, and its guise must therefore be found within the modifications of our own human mind. And history cannot be more certain than when he who creates the things also describes them. (Vico 1948, 104)

Vico’s philosophy of history follows from his epistemological postulate that to know something fully required understanding how it came to be. The true is precisely that which has been made, expressed in his Latin as Verum esse ipsum factum. Since natural objects were not made by the scientists who study them, their nature must remain to some degree mysterious. But human history, since its objects and its investigators are one and the same, has in principle a methodological advantage. That division between the natural sciences and human sciences was in conscious contradistinction to Descartes’ methodological universalism; and it would become crucial for 19th century Post-Kantian philosophers of history and, later, for the British Idealists.

Vico also suggests that the cultured minds of his day were of a different order than those of their primitive ancestors. Whereas his 18th century thinkers form abstract concepts and universal propositions, to the primitive individual images and sounds directly indicate the real things to which they refer. While for Post-Kantian philosophers lightning is a symbol or metaphor for Zeus, to Vico’s poetic imaginers the lightning really is Zeus. To perfectly reconstruct both their mentality and their history by the principles of rationalist science or enlightenment historiography  is impossible. A new science of the imagination is required, one that can symbolically recapture past people’s forms of thoughts and re-embody their emotions.

Because of these epistemological views, Vico is the first to posit distinct epochs of history in which all nations evolve due to an overarching scheme of logic. Each stage of a nation’s development produces a newly-believed system of natural law, use of language, and institution of government. It is ‘providence’ that causes the transition in every nation from an Age of Gods, wherein people believe themselves directly governed by divine signs and spoke only in a direct object language, to an Age of Heroes wherein aristocrats hold commoners in thrall by their natural superiority and speak in metaphoric images, and then to an Age of Men, wherein people communicate with abstract generalities and assume both a general equality in their social associations and an abstract notion of justice by which they are governed. It is our fate as human beings in every nation to live out this ‘corso’ of history, this progression of mental capacities from fantasia to riflessione.

Ultimately the ideal epoch of reason and civilization is never reached. At our most civilized, history circles back upon itself in a ‘ricorso’ to a ‘second barbarism’. Here in this barbarism of reflection, aided by civil bureaucracy, deceitful language, and cunning reason, our passions are unrestrained by the manners and customs prominent in the Ages of Gods or Heroes to the point that civil society collapses upon itself before returning to a second cycle of history.

3. Enlightenment through Romanticism

In contrast to Vico’s pessimism, the philosophy of history in the 18th century is continuous with the Enlightenment ideals of moral progress and the power of reason. Voltaire’s (1694-1778) Essay on the Customs and the Spirit of the Nations (1756), wherein the phrase ‘philosophy of history’ is supposed to have been coined, was the first attempt since Herodotus to write a comprehensive history of world culture in a non-Christian and non-teleological framework. Social and cultural history replaced military and political history with a trans-religious and trans-European tenor intended to showcase the spiritual and moral progress of humanity. To further rid Europe of what he considered Christian biases, on display especially in the modern eschatology of Jacques Bénigne Bossuet (1627-1704), Voltaire was the first major modern thinker to stress Arab contributions to world culture. In keeping with the Enlightenment, he believed that the best remedy for intolerance and prejudice was simply the truth, something which is best discovered by the objective historian working with original documents, never by the ideologue repeating the dicta of authorities. But for his apologies for non-biased historiography, Voltaire betrays rather clearly the ideals of his age. Differences between the Christian eschatological worldview and his own age’s rationalist science are regarded summarily as improvements, whereas the medieval destruction of the ancient clearly represents decline. The age of reason is, for Voltaire, the standard by which other eras and peoples are to be judged, though few could be said to have reached.

Antoine-Nicolas de Condorcet (1743-1794) openly embraced Enlightenment progressivism. Like Voltaire, his Sketch for a Historical Picture of the Progress of the Human Mind (published posthumously in 1795) viewed the past as a progress of reason, but was more optimistic about the inevitable progress of liberal ideals such as free speech, democratic government, and the equity of suffrage, education, and wealth. The point of history was not only a description of this progress. Because the progress is lawful and universal, history is also predictive and, what is more, articulates a duty for political institutions to work toward the sort of equalities that the march of history would bring about anyway. The historian is no mere critic of his time, but also a herald of what is to come. Widely influential on the French Revolution, Condorcet also made a significant impression on the systematizing philosophies of history of Saint-Simon, Hegel, and Marx, as well as laid the first blueprints for systematic study of social history made popular by Comte, Weber, and Durkheim.

Less revolutionary was Immanuel Kant’s (1724-1804) Idea of a Universal History from a Cosmopolitan Point of View (1784). Kant begins from the Enlightenment view of history as a progressive march of reason and freedom. But given his epistemology he could not presume, as did Voltaire and Condorcet, that the teleological progression of history was empirically discernible within the past. It is not a demonstrable fact, but a necessary condition for the meaningfulness of the past to posit teleological progress as a regulative idea that allows us to justify the many apparent evils that have sprung up within history despite the overall benevolent character of creation. The wars, famines, and natural disasters that pervade history should be seen as nature’s instruments, guiding people into the kinds of civil relationships that eventually maximize freedom and justice. History reveals human culture as the means by which nature accomplishes its state of perpetual peace in all the spiritual pursuits of mankind.

Johann Gottfried Herder (1744-1803) was key in the general turn from Enlightenment historiography to the romantic. His Ideas toward a Philosophy of History of Humanity (1784-91) echoes Vico’s contention that there is no single faculty of human reason for all peoples at all times, but different forms of rationality for various cultures as determined by their particular time and place in the world. Accepting Vico’s notion of necessary development, he nevertheless rejects the Enlightenment emphasis on rationality and freedom as its measures. Herder also discards the Enlightenment tendency to judge the past by the light of the present, irrespective of how rational we consider ourselves today. This results from his fundamental conviction that each national culture is of equal historical value. The same inner vitalism of nature guides all living things on the regular path from birth to death. Just as childhood and old age are essential to the development of the person, are valuable in their own right, and thus should not be judged as somehow inferior from the standpoint of adulthood, so too a nation’s character is of inviolable worth and essential to the development of the whole.

Herder not only rejected Kant’s Enlightenment universalism, but also the epistemological means by which an understanding of ancient people can be reached. It was clear that there could be no empirical proof or rationalist demonstration of the organic pattern of the development Herder finds. Nor, however, should we posit teleological progress as a merely regulative principle of reason. The sense for past people and cultures is not itself communicated whole and entire through their documents in such a way that would be open to historical analysis or source criticism. The historian only apprehends the real spirit of a people through a sympathetic understanding – what Herder calls Einfühlen— of their inner life by analogy with her own. The historian ‘feels her way into’ a people and an age, in order to try to sympathetically apprehend why they made the choices they did.

Romantic historiographers were strongly guided by Herder’s idea that the definition of a people lay more in its inner spirit than its legal borders. The fairy tales of the Grimm brothers (1812), as much as the nationalistic histories of Macaulay (1800-1859), the Wilhelm Tell (1804) saga of Friedrich Schiller (1759-1805), J.W.v. Goethe’s (1749-1832) Goetz von Berlichingen (1773), the transcription of the Beowulf epic (1818), and the surge of histories asserting the sanctity of minority Russio-slavic cultures like the Estonian Kalevipoeg (1853) or the Armenian Sasuntzi Davit (1873) each sought to revitalize and unify present culture under the banner of a shared past. The Romantics followed Herder, too, in their belief that this national character was not discernible solely by meticulous analysis of documents and archival records. The historian must have an overarching sense of the course of history of a people, just as the dramaturge reveals the unity of a character through each individual episode. Hardly a bare chronicle of disconnected facts, the narratives historians tell about the past should communicate a sense of spirit rather than objective information. And only those who ‘breathe the air of a people or an age’ have the proper sort of sympathetic understanding to interpret it correctly. The potential abuses of historiography, to which this nationalistic romanticism lends itself, had a decisive impact on the three main streams of philosophy of history in the 19th century.

4. 19th Century Teleological Systems

The name of G.W.F. Hegel (1770-1831) is nearly synonymous with philosophy of history in two senses, both captured by his phrase, “The only thought which philosophy brings with it, in regard to history, is the simple thought of Reason—the thought that Reason rules the world, and that world history has therefore been rational in its course” (Hegel 1988, 12f). History unfolds itself according to a rational plan; and we know this precisely because the mind which examines it unfolds itself from the first inklings of sense-certainty to absolute knowing in a regular teleological pattern. The same process that governs the movement of history also governs the character of the philosophical speculation inherent in that moment of history. And at the present epoch of philosophical speculation we are capable of understanding the entire movement of history as a rational process unfolding an ever greater awareness of rational freedom. A true account of the whole of reality, which is itself the sole endeavor of philosophy, must consider everything real as real insofar as it can be comprehended by reason as it unfolds within its necessary historical course. Reason is, for Hegel, the real. Both are understood as historical.

Hegel’s lecture series on the Introduction to the Philosophy of History (published posthumously in 1837) is a sort of secular eschatology, wherein the course of reality is considered a single epochal evolution toward a providential end. This is cognized by an increasingly unfolding awareness according to that same plan. As he demotes religion to a subservient place to absolute knowing in his Phenomenology of Spirit (1807), so too does Hegel replace the sacred-history conception of grace with the phenomenological unfolding of reason.

Hegel’s view of the common structural unveiling of reason and history leads to specific consequences for his teleological historiography. Reason consists in both the awareness of contradiction and its sublimation by means of the speculative act of synthesis which results in an increased self-recognition. Analogously, the development of history consists in a progressive structure of oppositions and their necessary synthetic sublimations which leads to an ever increasing self-awareness of freedom. That necessary movement is illustrated in his account of three distinct epochs of world history. In the ancient orient, only the despot is free; his freedom consists only in the arbitrary savagery of his will. The people are held in bondage by the identity of state and religion. The opposition of the despot and his subjects is to some degree overcome by the classical Greek and Roman recognition of citizenship, under which the free individual understands himself to be bound by honor over and above the laws of the state. Still, the great many in the classical world are still un-free. It is only in the intertwining of the Christian recognition of the sanctity of life and the modern liberal definition of morality as inherently intersubjective and rational that guarantees freedom for all. “It was first the Germanic Peoples, through Christianity, who came to the awareness that every human is free by virtue of being human, and that the freedom of spirit comprises our most human nature” (Hegel 1988, 21).

The critics of Hegel have been as passionate as his disciples. Of the former we may count Thomas Carlyle (1795-1881) and the historical school at Basel: J.J. Bachofen (1815-1887), Jacob Burckhardt (1818-1897), and a younger Friedrich Nietzsche (1844-1900). What unites them is a shared belief that historiography should highlight rather than obscure the achievements of individuals under the banner of necessary rational progress, a general ridicule of any historical process which brings about providential ends in the face of overwhelming global suffering, an anti-statist political stance, and a disavowal of progress as coextensive with the expansion of social welfare, intellectualism, and utility. Past epochs were not merely some preparatory ground on the way to the comfortably modern Hegelian or Marxist state, but stand on their own as inherently superior cultures and healthier models of culture life. For Bachofen and Nietzsche, this meant the ancient Greeks, for Burckhardt the aristocrats of the Italian Renaissance. So too ought the remarkable individuals of these eras be seen as fully-willed heroes rather than as Hegelian ‘world-historical individuals’ who appear only when the world process requires a nudge in the direction that providence had already chosen apart from them.

Of the latter group, we may count his disciples both on the left and the right, and prominent theorists of history like Ludwig Feuerbach (1804-1872), David Friedrich Strauss (1808-1874), Eduard von Hartmann (1842-1906), Max Stirner (1806-1856), Georg Lukács (1885-1971), Arnold Toynbee (1889-1975), Herbert Marcuse (1898-1979), Alexandre Kojève (1902-1968), and Theodor Adorno (1903-1969). Most recently the general outline of Hegel’s philosophy of history has been adopted in Francis Fukuyama’s (1952—) controversial The End of History (1992).

But without question the most important philosophical engagement with Hegel’s historiography is that of Karl Marx (1818-1883), whose own account of the past is often considered a sort of ‘upside-down’ version of Hegel’s Weltprozess. Even while Marx maintains Hegel’s belief in dialectical progress and historical inevitability, he supplants his speculative method with a historical materialism that views the transitions of epochs in terms of the relationship between production and ownership. Marx’s account of the past has obviously had pervasive political and economic influences; but his philosophy of history has also won many modern and contemporary adherents among a wide number of practicing historians, who regard material conditions as opposed to motivational conditions, as sufficient for historical explanation.

5. 19th Century Scientific Historiography

 

 

Perhaps the most common complaint against the Hegelians was that their speculative systems overlooked the empirical facts of history. This explains to some degree the partition, new to the 19th century, between philosophers of history and practicing historians, who were themselves often quite reflective on the philosophical issues of their discipline. Friedrich August Wolf (1759-1824), the first to enter the ranks of the German academy as a classical philologist, was exemplary in this respect. Though more focused on religious and romantic historians, Wolf rejected teleological systems generally by his demand that interpretation be grounded in the combination of a comprehensive sense for the contextual whole of a particular epoch and rigorous attention to the details of textual evidence. Wolf’s 1795 Prolegomena zu Homer is a landmark in source criticism and the first modern attempt to treat history as a genuine science.

While the Romantic historians tried to coopt the intuitive and holistic aspects of Wolf, the influence of his methodological rigor was shared by two rival schools of thought about the possibility of knowledge in antiquity: the Sprachphilologen and the Sachphilologen. J.G.J. Hermann (1772-1848), led the Sprachphilologen in Leipzig along with his followers Karl Lachmann (1793-1851) and Moritz Haupt (1808-1874). For them, knowledge of antiquity concerns principally its verifiability conditions. Since any claim about what Plato, Euripides, or Caesar ‘meant’ requires an evidenced demonstration of their actual words, the philologist’s task should be concerned principally with affixing an as-perfect-as-possible edition of their text. In the 21st century, the legacy of Sprachphilologie can be seen in the tradition of a ‘critical edition’ of an author’s work. The Sachphilologen accepted the demand for critical rigor, but rejected that our knowledge of antiquity should be restricted to written texts. August Boeckh (1785-1867), F.G. Welcker (1784-1868), and Karl Otfried Müller (1797-1840) took seriously the critical methods of Wolf, but cast a wider net in order to incorporate the artifacts, art, and culture. If rigorous proof was sacrificed thereby, then it was repaid by a more comprehensive sense of the genuine life of antiquity. Although sometimes underappreciated by historians of historiography, this debate gave rise to two sets of pervasively influential fields: Sprachphilologie’s demand for rigorous evidence was a forerunner of ‘scientific’ historiography in the mid-19th and 20th centuries; Sachphilologie’s holism laid the groundwork for serious work in archeology, anthropology, numismatics, epigraphy, and a number of other historical disciplines.

What Wolf did for philology, Leopold von Ranke (1795-18860) did for historiography generally. Although arguably exaggerated, his famous claim that historians should not interpret the past subjectively but re-present it wie es eingentlich gewesen ist, or ‘as it really was’, became the rallying cry for practicing historians to reject both the Hegelian system building and the Romantic narratives. And where Wolf sought the scientific character of history in the demonstrability of its evidence, Ranke and propagators such as Heinrich von Sybel (1817-1895) sought it in the disinterested character of its researchers. The historian should be like a clear mirror of the past, absent the biases, political aims, and religious zealotry that distort the image of the real and genuine past. In opposition to the Hegelian and Marxist ranking of ages according to some a priori criterion, Ranke sided with Herder in believing ‘every age is next to God’. To prevent prejudice and hasty generalizations, the historian must not settle for hearsay, but work intensively with official documents and archival records.

In the 20th century, however, and by figures as diverse as E.H. Carr (1892-1982) and Walter Benjamin (1892-1940), Ranke’s hope for empirical objectivity had been characterized as naïvely realist or else as an ironic example of how Western, Christian, economically privileged, and male perspectives masquerade as objectivity. The French Annales School, led by Fernand Braudel (1902-1985), sought to meet these challenges while restoring the Rankean vision of objective historiography.

The mid-1800’s saw another group of historical theorists emerge who were concerned principally to show that the scientific character of historiography concerned its use of the same logic of explanation utilized by the natural scientists. Auguste Comte (1798-1857), founder of positivism, considered history to be a sort of ‘social physics’, which limited explanation to relations among observable phenomena. Any claims to apprehend the ‘real essences’ behind the empirical data was prohibited as a foray into speculative metaphysics. Through empirical inquiry alone we can discover the natural laws that govern historical change. Henry Thomas Buckle’s (1821-1862) History of Civilization in England (1857) made clear that these laws could neither be divined philosophically nor with theological suppositions about divine providence, but could be described statistically in keeping with the empirical methods of the natural sciences.

The most comprehensive advance in the logic of historical inquiry came at this time from John Stuart Mill (1806-1873). Even while he rejected Jeremy Bentham’s (1748-1832) overly reductive hypothesis that all humans are guided simply by pleasure and pain, he maintained the possibility of discovering behavioral laws that would allow us to deduce the meaning of particular actions and predict the future with at least some degree of certainty:

[T]he uniformities of co-existence obtaining among phenomena which are effects of causes, must (as we have so often observed) be corollaries from the laws of causation by which these phenomena are really determined. […] The fundamental problem, therefore, of the social science, is to find the laws according to which any state of society produces the states which succeeds it and takes its place. (Mill 1843, 631)

Despite constraining their explanations to the empirical, many positivists held the belief that history was progressing as a necessary lawful order in terms of both its moral and intellectual development. Comte’s “law of three stages,” for example, held that the human mind and by extension the cultural institutions that result from it follow a strict progression from a ‘theological’ view of things, to the ‘metaphysical’, and finally to the ‘scientific’. Critics have charged that Comte is in this way little better than Hegel in positing an overarching structure to events and a certain zealotry about human progress. Nevertheless, Comte’s insistence that empirical laws are deducible from and predictive of human behavior has had decisive influence in the development of sociology and social psychology, especially in the writing of Émile Durkheim (1858-1917) and Max Weber (1864-1920), as well as upon 20th century explanatory positivism.

6. 19th Century Post-Kantian Historiography

 

Also in conscious opposition to the Hegelians stood the Post-Kantians Wilhem Dilthey (1833-1911), William Windelband (1848-1915), and Heinrich Rickert (1863-1936). Their shared exhortation – ‘back to Kant!’– involved the recognition, absent in both the practicing historians and in the positivists, that knowledge was necessarily mediated by the pre-given structures of the subject of knowing.

Dilthey’s lifelong and never-finalized project was to provide for the ‘human sciences’ – Geisteswissenschaften – what Kant had for metaphysics: a programmatic schemata of the possible logical forms of inquiry such that the necessarily true could be separated from both the arbitrary and the speculative. This involved his supposition that all expressed historical agency is a manifestation of one of three classes of mental states: judgments, actions, and expressions of experience. To understand the working of history is to understand how this trio – described as an inner Lebenszusammenhang – is exercised in all the empirically observable features of the human world. An advantage over the natural scientist’s explanation of physical objects, this descriptive understanding is aided by the analogies we might draw with the understanding of our own inner experiences. We have an inherent sort of sympathetic awareness of historical events since the agents involved in them are psychologically motivated in ways not wholly dissimilar to ourselves.

Windelband took up Dilthey’s suggestions about the differences between history and other sciences on the question of values to forge his own methodological distinction between erklären and verstehen, explanation and understanding. The biggest difference was not just that history involved values, but that the very means by which we come to our knowledge about the past differs from that by which we explain objects external to us. Science deals in invariable laws, in generalities, and considers its individual objects only insofar as they are instances of their classes. For the historian, however, it is the particular that requires examination: Caesar not as an instance of some general rule about how emperors behave, but as a unique, unrepeatable phenomenon distinct from Alexander, Charlemagne, and Ying Zheng. And from particulars alone general laws cannot be formed. In this way, history is ideographic and  descriptive rather than nomothetic or law-positing, and as such, more concerned to describe and understand than to explain.

Heinrich Rickert accepted Windelband’s methodological distinction as well as Dilthey’s attempt to provide the outlines of a distinctively historical logic. But Rickert stressed, more than they, the psychological dimension of historiography. What an historian held as interesting, or what they choose to present of the practical infinity of possible historical inquiries, was not a matter of reason but a psychology of value. And because historiography was value-driven, any attempt to excise its subjective foundation was not only unwarranted but impossible. These practical interests do not force history to resolve into a merely relativistic narrativity, Rickert thought, since human nature was sufficiently uniform to allow for inter-subjectively compelling accounts even if there is never proof in the positivist sense.

The direct influence of post-Kantian philosophy of history is not as pronounced as the teleological or scientific. But the notion that history is a unique sort of inquiry with its own methodology, logic of explanation, and standards of adjudication has been echoed in various ways by figures from Benedetto Croce (1866-1952) and Georg Simmel (1858-1918), to R. G. Collingwood (1889-1943) and Michael Oakeshott (1901-1990); so too has Dilthey’s search for the cognitive and psychological conditions for historical inquiry been taken up by Ernst Cassirer (1874-1945) and by the Frankfurt School of Critical Theory. The hermeneutics of Hans-Georg Gadamer (1900-2002) are in some respects a critical engagement with the Post-Kantian attempt to recover the past as it was apart from the ‘historically conditioned consciousness’ (wirkungsgeschichtliches Bewußtsein) that predetermines our approach to particular texts and, ultimately, the past as a whole.

7. 20th Century Continental

As diverse as continental philosophy has been, it would not be an unwarranted generalization to say that all thinkers and schools have in one way or another been focused on history. And they have mostly been so in terms of two distinct conceptual foci: historicity and narrativity.

It was Nietzsche’s On the Uses and Disadvantages of History for Life (1874) that first called into question not just how we could obtain knowledge of the past, but whether and to what extent our attempt to know the past is itself a life-enhancing or life-enervating activity. As human beings, we are unique in the animal world insofar as we are constantly burdened with our pasts as well as our futures, unable to forget those incidents which it would be otherwise preferable to bury on the one hand, and unable to ignore what must become of us on the other. History is not just something we study objectively, but an experience through which we must live and by which we seemingly without conscious control burden ourselves for a variety of psychological reasons.

Martin Heidegger’s (1889-1976) Being and Time (1927) attempts to give a comprehensive analysis to this experience. His overarching project is to answer the question ‘what is Being?’ But in doing so, he recognizes that the truth about Being, that is, our openness to the question of Being, has been gradually covered over in the history of philosophy. From the Presocratics, when the question of the meaning of being was at its most open, to the nihilistic academic age of the 20th century, philosophical history becomes a history of the meaning of Being. The end of philosophy, wherein the specialized sciences have entirely preoccupied themselves with particular beings while summarily ignoring Being itself, beckons a new and intrinsically historical engagement. Accordingly, Heidegger’s own historiography of philosophy is a working-back from this modern dead-end in the hopes of reopening the question of Being itself.

Heidegger’s historiography is, however, more than just an academic recitation of what various other philosophers have said. Human beings, what Heidegger famously terms Dasein, are characterized above all by their ‘being there’ in the world, their ‘thrown-ness’ in existence, which entails as it did for Nietzsche their relation to Being itself in terms of both their pasts and their existential march toward the common future horizon: death. The self as Dasein is constantly engaged in the project of coming out of its past and moving into its future as the space of possibilities in which alone it can act. As such an inextricable part of the human person is its historical facticity.

The existential dimension of Heidegger’s conception of historicity had a profound influence on figures like Martin Buber (1878-1965), Karl Jaspers (1883-1969), Hannah Arendt (1906-1975), Emmanuel Levinas (1906-1995), Jan Patočka (1907-1977), and Paul Ricouer (1913-2005). Jean Paul Sartre (1905-1980), in particular, focused on the existential aspects of the past, which he conceives in terms of a blend of the Marxist material conditions for human action and a quasi psycho-analytic unfolding of the phenomenological self. Man is an historical praxis, for Sartre, a continual project that is both being produced by its past and producing its future in a way that will determine that future person’s possibilities and limits. Sartre’s well-known conception of authenticity is intrinsically historical insofar as it involves the recognition of our personal freedom in the context of the material conditions history imposes upon us. Albeit in less existential terms, the Frankfurt School also founded their view of the subject and of the world in a combination of Marxist materialist historiography and psycho-analysis.

 

In the latter decades of the 20th century, continental philosophy of history turned its attention to epistemological questions about historical narrative. Again Nietzsche’s reflections on history are a crucial influence, especially his contention that truth is no straightforward or objective correspondence between the world and the proposition but a historically contingent outcome of the continuous struggle between the interests of interpreters. As such, philosophy must concern itself with an historical investigation of how these truth practices function within and against the backdrop of their historical facticities.

Michel Foucault (1926-1984) characterized his own project as the historical investigation of the means of truth production. His earlier work is characterized by what he calls ‘archeology’. His History of Madness (1961) begins a series of works that denies a single fixed meaning for phenomena, but undertakes to show how meaning transmogrifies over time through a series of cultural practices. In The Order of Things (1966), archeology is characterized as a description of the transitions between cultural discourses in a way that highlights their structural and contextual meaning while undermining any substantive notion of the author of those discourses. Foucault’s later work, though he never repudiates his archeological method, is characterized as a ‘genealogy’. The effort, again roughly Nietzschean, is to understand the past in terms of the present, to show that the institutions we find today are neither the result of teleological providence nor an instantiation of rational decision making, but emerge from a power play of discourses carried over from the past. This does not mean that history should study the ‘origins’ of those practices; on the contrary it denies the notion of origin as an illegitimate abstraction from what is a continuous interaction of discourses. History should instead concern itself with those moments when the contingencies of the past emerge or descend out of the conflict of its discourses, with how the past reveals a series of disparities rather than progressive steps.

The conception of history as a play of power-seeking discursive practices was reflected back upon the practices of the historian. A row of postmodern philosophers such as Roland Barthes (1915-1980), Paul de Man (1919-1983), Jean-François Lyotard (1924-1988), Gilles Deleuze (1925-1995), Philippe Lacoue-Labarthe (1940-2007), and Jacques Derrida (1930-2004) came to view not just the events of history but also the writing of history to be necessarily colored by power-based subjectivity. This power play crystallizes in the meta-narrative structures grafted upon the world by the philosophers of history. Indeed, Lyotard’s The Postmodern Condition (1979) characterizes the entire postmodern project as “incredulity toward meta-narratives” (Lyotard 1984, xxiv). With respect to philosophy of history, this entails rejecting both the grand Hegelian ‘master discourse’ about progress and also the Enlightenment categories of generalization from which moral lessons are supposed to be derivable. Rather than a dialectical logic that would seek unity among past events, the postmodern condition drives us to see the disjointedness, dissimilarity, and diversity of events and people.

Lyotard’s rejection of traditional unities leads a contemporary postmodernist like Jean-Luc Nancy (1940-) to refocus history on smaller-scale and self-enclosed ‘immanent’ communities like brotherhoods or families rather than on society writ-large. Required for that is a new way of writing history that embraces a multiplicity of perspectives and standards of judgment, and, by extension, a willingness to embrace the plurality of moral and political lessons that can be drawn absent conviction in a single correct narrative. Postmodern theory was influential, for but one example, in the post-colonialism of Edward Said’s (1935-2003) Orientalism (1978), which became prominent for its attempt to open a discursive space for competing non-dominant narratives by the so-called ‘sub-altern’ other. Standpoint narratives, exercises in ‘cultural memory’, and oral history have lately won increasing popularity.

8. 20th Century Anglophone

Like analytic philosophy generally, analytic philosophy of history is partly characterized by its Anglophone heritage and partly by a propensity to treat individual problems rather than offering comprehensive interpretations of reality. The major difference between analytic and continental philosophy of history concerns the former’s almost exclusive focus on epistemological issues of historiography and a general indifference toward questions of historicity.

Anglophone philosophy of history is also marked by its conscious self-distancing from the teleological systems of the Hegelians. There were essentially two reasons for this, one political and one epistemological, brought to eloquent expression in Karl Popper’s (1902-1994) The Open Society and Its Enemies (1945) and The Poverty of Historicism (1957). Concerning the former, Popper charged that the ideological impetus for the totalitarian regimes of the previous hundred years was their shared belief in a national or religious destiny that was both guaranteed and justified by a grand historical process. Whether Bismarck, Communism, Fascism, or Nazism, all were confident that history was inexorably marching toward a global regime that would guarantee their way of life and justify the actions taken in their name. The Anglophone tradition was inspired to deny the grand teleological narrative partly as a political aversion to this way of thinking. Epistemologically, Popper’s ‘falsifiability’ criterion of positive knowledge also targeted the teleological systems of the 19th century. Largely accepting Bertrand Russell’s (1872-1970) natural ontology, he argued that the teleologists began from non-falsifiable assumptions about metaphysical processes, which ignored the empirical facts of the past for the sake of positing what they thought the past must have been. The focus of philosophy of history in the Anglophone world after Popper turned away from attempts to provide grand narratives in order to deal with specific meta-historical problems.

One problem, carried over from the 19th century scientific philosophers of history, was the logic of historical explanation. Similar to their positivist counterparts, the earlier analytics held explanations to be justified insofar as they were able to render historical events predictable by means of deducing their particulars under a general law. The most well-known expression comes from C.G. Hempel (1905-1997). “Historical explanation, too, aims at showing that the event in question was not a ‘matter of chance’, but was to be expected in view of certain antecedent or simultaneous conditions. The expectation referred to is not prophecy or divination, but rational scientific anticipation which rests on the assumption of general laws” (Hempel 1959, 348f). The logic itself is straightforward: “The explanation of the occurrence of an event of some specific kind E at a certain place and time consists, as it is usually expressed, in indicating the causes or determining factors of E” (Ibid, 345). In this respect, the logic of historical explanation is no different from the logic of scientific explanation. And while they may be more difficult to locate, once the laws of historical change have been discovered by psychology, anthropology, economics, or sociology, the predictive force of historiography should theoretically rival that of the natural sciences.

Hempel’s confidence came under attack from those like Popper who thought that history could not offer absolute regularities and maintained that predictions were never inviolable but at best probable ‘trends’. Attack also came from R.G. Collingwood, who denied the existence of covering laws in history and accordingly the applicability of scientific explanatory mechanisms. For him, as well as for Michael Oakeshott, history is a study of the uniqueness of the past and not its generalities, and always for the sake of understanding rather than proving or predicting. In agreement with Aristotle, Oakeshott believes, “the moment historical facts are regarded as instances of general laws, history is dismissed” (Oakeshott 1933, 154). It is the particular, especially the particular person, that history studies, and as such the attempt to predict their behavior nomothetically is not only impossible but misunderstands the very reason for historical inquiry in the first place.

Contrary to Aristotle, the unscientific character of history for Collingwood and Oakeshott renders it no less-worthy a course of study. Indeed, following the Post-Kantian 19th century philosophers of history and ultimately Vico, they thought the past proves itself more intelligible precisely because the objects under investigation can be understood from the ‘inside’ rather than explained from a standpoint outside the object. The proper task of history, Collingwood thought, was not to address mere general naturalistic events but the rationality of specific actions. A mass migration can be studied by the sociologist, the geographer, or the volcanologist from the ‘outside’ as a natural event. What marks the historian, by contrast, is her interest in the actions of the migrating individuals in terms of their intentions and decisions. While this may not be recorded in any palpable evidence, Collingwood was consistent with Herder in thinking that the historian must attempt to ‘get inside the head’ of the agents being investigated under the presumption that they typically make similarly reasonable choices as she would in the same situation. Collingwood’s advocation of a sort of empathic projection into the mind of past agents has been criticized as armchair psychologism. It would be difficult to deny, however, that many working historians adopt Collingwood’s intuitivism rather than the Hempelian nomothetic deduction.

In the latter half of the 20th century, a number of explanatory theories were proposed which walk a middle line between the nomothetic and idealist proposals. W.H. Walsh (1913-1986) returned to William Whewell’s (1794-1866) conception of ‘colligation’ type explanations as a way of making the past intelligible. Here the effort is neither to demonstrate nor to predict, but to bring together various relevant events around a central unifying concept in order to make clear their interconnections:

What we want from historians is […] an account which brings out their connections and bearing on one another. And when historians are in a position to give such an account it may be said that they have succeeded in ‘making sense of’ or ‘understanding’ their material. (Walsh 1957, 299)

In this way, Walsh’s meta-theory sides neither with the ‘scientific’ philosophers of history of either the Comteian or Hempelian variety nor with the British idealists, but maintains that the explanatory force of historiography rests in its narrativity. Just as the pedagogical value of a narrative is not reducible to what it can demonstrate, so the value of history rests in its ability to make sense of various features of the lives and times of others.

William Dray (1921-2009), too, argued that historical explanation does not require the sufficient conditions for why something happened, but only the necessary conditions for describing how what did happen could possibly have happened. For example, if an historian accounts for the assassination of a king in terms of his unpopular policies and dishonest court, then this explains ‘how’ his assassination could possibly have occurred without relying on a Hempelian deduction from some suppositional law that claims all kings with unpopular policies and dishonest courts will necessarily be assassinated.

A second problem addressed by 20th century Anglophone philosophers of history concerned the nature and possibility of objectivity. While all would agree with Ranke that historiography should endeavor to expunge overt biases and prejudices, the question remains to what extent this could or even should be done. Carl Becker (1873-1945) was perhaps the first Anglophone thinker to take up Croce’s claim that all history is ‘contemporary’ in the sense of being written necessarily from the perspective of present-day interests. Along these lines Charles Beard (1874-1948) had a series of arguments against the Rankean ideal of objectivity. Historiography cannot observe its subject matter since by definition what is in the past is no longer in the present; evidence is always fragmentary and never controllable the way a scientific experiment can control its variables; historians impose structures that the events themselves do not have; and their accounts are selective in ways that betray the historians’ own interests. Nevertheless, Beard would not come to endorse the sort of relativistic narrativism of his post-modern continental counterparts.

It certainly seems true to say that historians select – insofar as a map is itself not the road – and that their selection is a matter of what they personally esteem worth discussing, whether on the level of their general topic or in terms of which causes they consider relevant within an explanation. But selectivity of itself does not imply prejudice; and a careful reader is more often than not able to distinguish overtly prejudiced accounts from one whose selections are balanced and fair. Moreover, the fact that they are selective would not serve as a prima facie principle of discernment between historians and scientists, since the latter are every bit as selective in the topics under their purview. Even if science and historiography choose their inquiries as a matter of personal interest, both operate under norms to be impartial, to use only reputable evidence, and to present ‘the whole truth’, even should it call into question their hypotheses.

Isaiah Berlin (1909-1997) considered the problem of historiographical objectivity from the perspective of the objects written about rather than exclusively the writer. While the scientist has little emotional commitment to the chemicals or atoms under examination, historians often have strong feelings about the moral consequences of their subjects. The choice between historical designations like ‘terrorist’ and ‘freedom fighter’, ‘sedition’ and ‘revolution’, or ‘ruler’ and ‘tyrant’ are normatively connotative in a way that scientific descriptions can easily avoid. Yet to write about the holocaust or slavery in a purposefully detached way misses the intensely personal character of these events and thus fails to communicate their genuine meaning, even if doing so detracts from their status as objective records in a way scientific history would disallow. Historians justifiably maintain “that minimal degree of moral or psychological evaluation which is necessarily involved in viewing human beings as creatures with purposes and motives (and not merely as causal factors in the procession of events)” (Berlin 1954, 52f). What precisely that minimal degree is, however, and how a working historian can navigate moral gray areas without falling back into inherited biases, remains difficult to account for.

Beard’s contentions about the possibility of objectivity led some philosophers of history to wonder whether the past was something that existed only in the mind of the historian, if, in other words, the past was constructed rather than discovered. For a constructivist like Leon Goldstein (1927-2002), this does not imply an ontological anti-realism wherein none but perceptible objects are considered real. For Goldstein, it would be senseless for historians to doubt that the world they study ever existed; constructivists are equally constrained by evidence as their objectivist counterparts. And for both the evidence with which the historian works concerns a genuinely past state of affairs outside their own minds. The meaningfulness of that evidence –what the evidence is evidence ‘of’— is, for the constructivist, only imbued by the mind of the historian who considers it. A Roman coin is a piece of evidence dating from a certain era and can provide evidence ‘of’ that era’s monetary policy and trade. But that coin is also evidence ‘of’ the natural environment of every single moment it was buried in the ground thereafter, providing evidence, if one were so interested, in the corrosive effects of the acidity levels near the banks of the Tiber. What that evidence is evidence ‘of’ depends upon the mind of the historian who utilizes it to construct a meaningful account in accord with her interests. Were the viewer of the coin wholly oblivious to either Rome or the natural environment, the coin would not cease to exist, of course; but it would cease to evidence either of these topics. In that sense at least, even non-postmodern Anglophone philosophers of history admit the necessarily interpretive and constructive aspects of historiography. Peter Novick (1934-) and Richard Evans (1947-) have recently taken up the limits of constructivism on behalf of professional historians.

How causes function within historical accounts was the third major question for 20th century Anglophone philosophers of history. Historians, like most people, tend to treat causal terms like ‘influenced’, ‘generated’, ‘brought about’, ‘led to’, ‘resulted in’, among others, as unproblematic diagnostics to explain how events come about. For philosophers generally and for philosophers of history specifically, causation presents a multifaceted set of problems. According to the positivist theory of explanation, an adequate causal account explicates the sum total of necessary and sufficient conditions for an event to take place. This ideal bar is acknowledged as having been set too high for practicing historians, since there is perhaps a near infinity of necessary causes for any historical event. That the assassination of Archduke Ferdinand was a cause of the First World War is clear; but necessary, too, was an indescribably myriad set of other economic, social, political, geographical, and even personal factors that led to such a wide-reaching and complex phenomenon to take place precisely as it did: had Gavrilo Princip not associated with the Young Bosnian movement, had gravity failed that day causing bullets to float harmlessly upward, had the Austro-Hungarian alliance not held the southern Slavic provinces, had Franz Ferdinand decided to stay at home on June 28th, 1914 – were any of these conditions actual, the course of history would have been altered. Thus, their contraries were necessary for having produced the exact outcome that obtained. Because it would be quite impossible, if not ridiculous, for an historian to attempt to record all of these, he must admit that his explanation fails to satisfy the positivist criterion and therefore remains only a partial one –an ‘explanation sketch’ in Hempel’s phrasing.

R.G. Collingwood was again influential in overturning the positivist view by distinguishing causes and motives. Physical causes such as properly working guns or the presence of gravity are necessary for assassination in a strictly physical sense. But no historian would bother mentioning them. Only motives, the reasons agents have for conducting their actions, are typically referenced: what motives Princip had for firing and what motives the leaders of Germany, France, and Russia had to mobilize their armies. A proper explanation, for Collingwood, involves making clear the reasons why the key actors participated in an event as they did.

While Collingwood’s theory is intuitively suggestive and matches rather well the character of most historical accounts, some philosophers have noted shortcomings. One is that Collingwood presumes a freedom of choice that relies upon an outmoded notion of cognitive agency. The same reasons that are purported to have been causally efficacious are often enough retrospective justifications supplied by agents who in reality acted without conscious deliberation. Second, even if freedom of choice is presumed, transparency about an agent’s motives cannot be. Collingwood often appeals to a particular motive as what a reasonable being would elect to do in a certain situation. Yet those standards of reasonability more often betray the historian’s own projection than anything psychologically demonstrable. The third is that, as historians themselves often note, many actions do not result from the motives of their agents but from the confluence of several motives whose outcome is unpredictable. The motive for Princip’s assassination was not to start a world-wide conflict anymore than Robert E. Lee’s capture of John Brown at Harper’s Ferry was intended to begin the American Civil War. Both actions were nevertheless crucial causes of consequences whose main actors could not have foreseen them, much less have willed.

Following the conception of causation in legal theory promulgated by H.L.A. Hart (1907-1992) and Tony Honoré (1921-), some philosophers consider a proper causal ascription in history to amount to a description of both intention and abnormality. Just as in legal cases, where conditions in history are normalized the abnormal or untypical decision or event is assigned responsibility for what results. In our example of the causes of WWI, the long history of constant political bickering between the great powers was of course part of the story, but the assassination of the Archduke is assigned responsibility since it stands so untypically out of its context.

The shift in thinking about historical causes as metaphysical entities which bring about change themselves to a set of epistemological grounds that explain why change occurred has led some recent philosophers to adopt David Lewis’s (1941-2001) notion of counterfactuals. “We think of a cause as something that makes a difference, and the difference it makes must be a difference from what would have happened without it. Had it been absent, its effects ─ some of them, at least, and usually all ─ would have been absent as well” (Lewis 1986, 161). Counterfactuals had long been employed by historians in the commonsense way that ascribes sufficient cause to that object or event whose consequence could not have happened without it, in the form ‘were it not for A, B never would have occurred’ or ‘No B without A’. To adapt our previous example, one might justifiably think the assassination of Archduke Ferdinand was the sufficient cause of WWI if and only if one thinks WWI would not have happened in its absence. Yet whereas counterfactuals are easily enough tested in science by running multiple experiments that control for the variable in question, the unrepeatability of historical events renders traditional counterfactual statements little more than interesting speculations. To ask how Rome would have developed had Caesar never crossed the Rubicon may be a fascinating thought experiment, but nothing remotely verifiable since a contrary-to-fact conditional is by definition unable to be tested given only one course of facts. Lewis would revise this traditional notion of counterfactuals to include the semantics of maximally similar possible worlds, wherein two worlds are supposed entirely identical save for one alteration which brings about the event in question. Under the previous description of the necessary conditions for WWI, Franz Ferdinand’s assassination was considered a necessary condition. Lewis’s revised version instead presents two maximally similar worlds, world ‘A’ where the assassination takes place and world ‘B’ which is identical in all respects except that the assassination does not take place. Under this model, it is at best debatable whether war would not have broken out anyway in world ‘B’ given the highly charged political atmosphere in Europe at that time. And as such we are invited to question whether assigning the assassination a causal role is justified.

9. Contemporary

Characterized by its criticism of the 20th century Anglophone attempts to epistemologically ground historical explanation, objectivity, and causation as universal functions of logic, the Postmodern legacy in philosophy of history has been taken up by three contemporary theorists in particular: Hayden White (1928-), Frank Ankersmit (1945-), and Keith Jenkins (1943-). Each maintains that the analysis of these epistemological issues wrongly circumvents questions about interpretation and meaning, and each considers the search for once-and-for-all demonstrations an attempt to avoid the relativistic character of historical truth. Hayden White inaugurated this ‘linguistic turn’ in historiography with his Meta-History: The Historical Imagination in Nineteenth-Century Europe (1979). By focusing on the structures and strategies of historical accounts, White came to see historiography and literature as fundamentally the same endeavor. Historians, like fiction writers, wrote according to a four-fold logic of emplotment, according to whether they saw their subject matter as a romance, tragedy comedy, or satire. This aim stems from their political ideology – anarchist, radical, conservative, or liberal respectively – and is worked out by means of a dominant rhetorical trope – metaphor, metonymy, synecdoche, or irony respectively. Representative philosophers – Nietzsche, Marx, Hegel, and Croce – and representative historians – Michelet, Tocqueville, Ranke, and Burckhardt – are themselves tied to these modes of emplotment. While White’s architectonic has come under criticism as being both overly reductive in its structure and a warrant for relativism, other theorists have taken up his banner.

Among these, Frank Ankersmit endorses the general outline of White’s narrativism, while stressing the constructivist aspect of our experience of the past. There is no ‘ideal narratio’ for Ankersmit, because ultimately there is no ontological structure onto which the single ‘correct’ narration can be correspondentially grafted. Alongside Gianni Vattimo (1936-), Sande Cohen (1946-), and Alan Munslow (1947-), Keith Jenkins takes White’s anti-realism in a decidedly deconstructionist fashion. Jenkins exhorts an end to historiography as customarily practiced. Since historians can never be wholly objective, and since historical judgment cannot pretend to a correspondential standard of truth, all that remains of history are the congealed power structures of a privileged class. In a statement that summarizes much of contemporary historical theory, Jenkins concludes the following:

[Historiography] now appears as a self-referential, problematic expression of ‘interests’, an ideologically-interpretive discourse without any ‘real’ access to the past as such; unable to engage in any dialogue with ‘reality’. In fact, ‘history’ now appears to be just one more ‘expression’ in a world of postmodern expressions: which of course is what it is. (Jenkins 1995, 9)

Although 21st century philosophy of history has widened the gap between practicing historians and theorists of history, and although it has lost some of the popularity it enjoyed from the early-19th to mid-20th century, it will remain a vigorous field of inquiry so long as the past itself continues to serve as a source of philosophical curiosity.

10. References and Further Reading

a. Classical Works in English Translation

  • Herodotus, Histories (c.450BCE-c.420BCE), translated by J. Marincola (London, 1996).
  • Thucydides, History of the Peloponnesian War (431BCE), translated by R. Warner (London, 1972).
  • Augustine of Hippo, The City of God (c. 422), translated by R.W. Dyson (Cambridge, 1998).
  • J. B. Bossuet, A Universal History (1681) (London, 1778).
  • G. Vico, The New Science (1725), translated by Bergin & Fisch (Ithaca, NY, 1948).
  • C. Montesquieu, The Spirit of the Laws (1748), translated by T. Nugent (London, 1902).
  • F.M.A. Voltaire, “Historiography” and “History” in his Philosophical Dictionary (1764), volume IV, translated by J. Morley (London, 1824).
  • J.G. Herder, Outlines of a Philosophy of the History of Man (1781), translated by T. Churchill (London, 1803).
  • I. Kant, “The Idea of a Universal Cosmo-Political History” (1784), translated by W. Hastie, in Eternal Peace and Other International Essays (Boston, 1914).
  • E. Burke, Reflections on the Revolution in France (1790) (London: 1940).
  • A.N. Condorcet, Sketch for a Historical Picture of the Progress of the Human Mind (1795), translated by J. Barraclough (London, 1955).
  • G.W.F. Hegel, Introduction to the Philosophy of History (1837), translated by L. Rauch (Indianapolis: Hackett Publishing, 1988).
  • T. Carlyle, On Heroes, Hero-Worship, and the Heroic in History (1841), in The Works of Thomas Carlyle, edited by H. Traill (New York, 1896-1901).
  • J.S. Mill, A System of Logic (1843), in Collected Works, edited by J. Robson (Toronto, 1963-91).
  • A. Comte, The Positive Philosophy of Auguste Comte (1853), 2 vols., translated by H. Martineau (London, 1893).
  • H.T. Buckle, History of Civilization in England (1864), 3 vols. (London, 1899).
  • J. Burckhardt, Judgments on History and Historians (compiled from 1860’s-1880’s), translated by H. Zohn (Boston, 1958).
  • F. Nietzsche, On the Uses and Disadvantages of History for Life (1874), translated by P. Preuss (Indianapolis, 1980).
  • W. Dilthey, Introduction to the Human Sciences (1883), translated by Makkreel & Rodi (Princeton, 1991).
  • F. Nietzsche,  On the Genealogy of Morals (1887), translated by Clark & Swensen (Indianapolis, 1998).
  • W. Windelband, An Introduction to Philosophy (1895), translated by J. McCabe (London, 1921).
  • H. Rickert, Science and History: A Critique of Positivist Epistemology (1899), translated by G. Reisman (New York, 1962).
  • B. Croce, Theory and History of Historiography (1916), translated by D. Ainslie (London, 1921).
  • O. Spengler, The Decline of the West (1923), 2 vols., translated by C.F. Atkinson (New York, 1947).
  • M. Oakeshott, Experience and Its Modes (Cambridge, 1933).
  • A. Toynbee, A Study of History, 10 vols. (Oxford, 1934-54).
  • B. Croce, History as the Story of Liberty (1938), translated by S. Sprigge (London, 1941).
  • M. Mandelbaum, The Problem of Historical Knowledge (New York, 1938).
  • C. Hempel, “The Function of General Laws in History (1942),” in Theories of History, edited by P. Gardiner (New York/London, 1959), 344-356.
  • K. Popper, The Open Society and Its Enemies, 2 vols. (1945).
  • R. Collingwood, The Idea of History (Oxford, 1946).
  • K. Popper, The Poverty of Historicism (London, 1957).
  • B. Russell, Understanding History (New York, 1957).
  • K. Popper, The Logic of Scientific Discovery (New York, 1959).
  • H.G. Gadamer, Truth and Method (1960), translated by Weinsheimer & Marshall (New York, 1989).
  • E.H. Carr, What is History? (New York, 1961).
  • A. Danto, Analytical Philosophy of History (Cambridge, 1965).
  • C. Hempel, Aspects of Scientific Explanation (New York, 1965).
  • W. Dray, Philosophical Analysis and History (New York, 1966).
  • G. Elton, The Practice of History (London, 1969).
  • M. Foucault, The Archeology of Knowledge (New York, 1972).
  • H. White, Meta-history: The Historical Imagination in Nineteenth-century Europe (Baltimore, 1973).
  • E. Said, Orientalism (New York, 1978).
  • J.F. Lyotard, The Postmodern Condition: A Report on Knowledge (1979), translated by Bennington & Massumi (Minneapolis, 1984).
  • P. Ricoeur, Time and Narrative (1983-5), 3 vols., translated by McLaughlin & Pellauer (Chicago, 1984-8)
  • P. Novick, That Noble Dream: The ‘Objectivity Question’ and the American Historical Profession (Cambridge, 1988).
  • K. Jenkins, Re-Thinking History (London, 1991).
  • R. Evans, In Defense of History (London, 1999).
  • F. Ankersmit, Historiographical Representation (Stanford, 2001).

b. Prominent Scholarship and Collections

  • R. Aron, Introduction to the Philosophy of History, translated by G. Irwin (Westport, CT, 1976).
  • C. Bambach, Heidegger, Dilthey, and the Crisis of Historicism (Ithaca, NY, 1995).
  • C. Becker, Everyman his own Historian (New York, 1935).
  • I. Berlin, Historical Inevitability (New York, 1954).
  • I. Berlin, Vico and Herder: Two Studies in the History of Ideas (New York, 1976).
  • M. Bloch, The Historian’s Craft, translated by P. Putnam (New York, 1953).
  • E. Breisach, Historiography: Ancient, Medieval, and Modern (Chicago, 1983).
  • E. Breisach, On the Future of History: The Postmodernist Challenge and its Aftermath (Chicago, 2003).
  • J. Bury, The Idea of Progress (London, 1920).
  • D. Carr, Time, Narrative, and History (Bloomington, IN, 1986).
  • D. Chakrabarty, Provincializing Europe: Postcolonial Thought and Historical Difference (Princeton, NJ, 2000).
  • R. D’Amico, Historicism and Knowledge (New York, 1989).
  • W. Dray, Laws and Explanation in History (London, 1957).
  • W. Dray, Philosophy of History (Englewood Cliffs, NJ, 1964).
  • M. Dummett, Truth and the Past (New York, 2006).
  • E. Fryde, Humanism and Renaissance Historiography (London, 1983).
  • M. Fulbrook, Historical Theory (London, 2002).
  • P. Gardiner, The Nature of Historical Explanation (Oxford, 1952). (ed.) The Philosophy of History (Oxford, 1974).
  • C. Geertz, The Interpretation of Culture (New York, 1973).
  • L. Goldstein, Historical Knowing (Austin, TX, 1976).
  • L. Gossman,Basel in the Age of Burckhardt (Chicago, 2000).
  • L. Gossman, Between History and Literature (Cambridge, MA, 1990).
  • A. Grafton, The Footnote: A Curious History (London, 1997).
  • I. Hacking, Historical Ontology (Cambridge, MA, 1990).
  • E. Hobsbawm, On History (London, 1998).
  • G. Iggers, The German Conception of History (Hanover, NH, 1968).
  • G. Iggers, Historiography in the Twentieth Century (Middleton, CT, 1997).
  • K. Jenkins, On ‘What is History?’ (London, 1995). (ed.), The Postmodern History Reader (London, 1997).
  • H. Kellner, Language and Historical Representation (Madison, WI, 1989).
  • P. Kosso, Knowing the Past (Amherst, NY, 2001).
  • D. La Capra, History and Criticism (Ithaca, NY, 1985).
  • D. La Capra, Rethinking Intellectual History (Ithaca, NY, 1983).
  • K. H. Lembeck (ed.), Geschichtsphilosophie (Freiburg, 2000).
  • D. Lewis, Philosophical Papers: Volume II (Oxford, 1986).
  • K. Löwith, Meaning in History (Chicago, 1948).
  • G. Lukács, History and Class Consciousness: Studies in Marxist Dialectics, translated by R. Livingstone (Cambridge, MA, 1971).
  • K. Mannheim, Ideology and Utopia (London, 1936).
  • K. Marx & F. Engels, Karl Marx: Selected Writings in Sociology and Social Philosophy, edited by Bottomore & Rubel (London, 1956).
  • A. Marwick, The New Nature of History: Knowledge, Evidence, Language (London, 2001).
  • F. Meinecke, Historicism: The Rise of a New Historical Outlook, translated by J. Anderson (London, 1972).
  • L. Mink, Historical Understanding (Ithaca, NY, 1987).
  • A. Momigliano, The Classical Foundations of Modern Historiography (Berkeley, CA, 1990).
  • A. Munslow, The Routledge Companion to Historical Studies (London, 2000).
  • J. Patočka, Heretical Essays in the Philosophy of History, translated by E. Kohák (Chicago, 1996).
  • L. Pompa, Human Nature and Historical Knowledge (Cambridge, 1990).
  • H. Putnam, Reason, Truth, and History (Cambridge, 1981).
  • L.v. Ranke, The Theory and Practice of History, edited by Iggers & Moltke (Indianapolis, 1973).
  • G. Roberts, The History and Narrative Reader (London, 2001).
  • F. Rosenthal, History of Muslim Historiography (Leiden, 2nd Edition, 1968).
  • J. Rüsen, Grundzüge einer Historik (Göttingen, 1986).
  • B. Southgate, Postmodernism in History: Fear or Freedom? (London, 2003).
  • F. Stern (ed.), The Varieties of History: from Voltaire to the Present (London, 1970).
  • A. Tucker, Our Knowledge of the Past: A Philosophy of Historiography (Cambridge, 2004).
  • W. Walsh, An Introduction to Philosophy of History (New York, 1976).
  • W. Walsh, “‘Meaning’ in History,” in Theories of History, edited by P. Gardiner (New York/London, 1957), 296-307.
  • M. White, Foundations of Historical Knowledge (New York, 1965).
  • R. Young, White Mythologies: Writing History and the West (London, 1990).
  • J. Zammito, A Nice Derangement of Epistemes: Post-positivism in the Study of Science from Quine to Latour (Chicago, 2004).

 

Author Information

Anthony K. Jensen
Email: Anthony.jensen@lehman.cuny.edu
City University of New York / Lehman College
U. S. A.

Phenomenology and Natural Science

Phenomenology provides an excellent framework for a comprehensive understanding of the natural sciences. It treats inquiry first and foremost as a process of looking and discovering rather than assuming and deducing. In looking and discovering, an object always appears to a someone, either an individual or community; and the ways an object appears and the state of the individual or community to which it appears are correlated.

To use the simplest of examples involving ordinary perception, when I see a cup, I see it only through a single profile. Yet to perceive it as real rather than a hallucination or prop is to apprehend it as having other profiles that will show themselves as I walk around it, pick it up, and so forth. No act of perception – not even a God’s – can grasp all of a thing’s profiles at once. The real is always more than what we can perceive.

Phenomenology of science treats discovery as an instrumentally mediated form of perception. When researchers detect the existence of a new particle or asteroid, it assumes these will appear in other ways in other circumstances – and this can be confirmed or disconfirmed only by looking, in some suitably broad sense. It is obvious to scientists that electrons appear differently when addressed by different instrumentation (for example, wave-particle duality), and therefore that any conceptual grasp of the phenomenon involves instrumental mediation and anticipation. Not only is there no “view from nowhere” on such phenomena, but there is also no position from which we can zoom in on every available profile. There is no one privileged perception and the instrumentally mediated “positions” from which we perceive constantly change.

Phenomenology looks at science from various “focal lengths.” Close up, it looks at laboratory life; at attitudes, practices, and objects in the laboratory. It also pulls back the focus and looks at forms of mediation – how things like instruments, theories, laboratories, and various other practices mediate scientific perception. It can pull the focus back still further and look at how scientific research itself is contextualized, in an environment full of ethical and political motivations and power relations. Phenomenology has also made specific contributions to understanding relativity, quantum mechanics, and evolution.

Table of Contents

  1. Introduction
  2. Historical Overview
  3. Science and Perception
  4. General Implications
    1. The Priority of Meaning over Technique
    2. The Priority of the Practical over the Theoretical
    3. The priority of situation over abstract formalization
  5. Layers of Experience
    1. First Phase: Laboratory Life
    2. Second Phase: Forms of Mediation
    3. Third Phase: Contextualization of Research
  6. Phenomenology and Specific Sciences
    1. Relativity
    2. Quantum Mechanics
    3. Evolution
  7. Conclusion
  8. References and Further Reading

1. Introduction

Phenomenology provides an excellent starting point, perhaps the only adequate starting point, for a comprehensive understanding of the natural sciences: their existence, practices, methods, products, and cultural niches. The reason is that, for a phenomenologist, inquiry is first and foremost a question of looking and discovering rather than assuming and deducing. In looking and discovering, an object is always given to a someone – be it an individual or community – and the object and its manners of givenness are correlated. In the special terminology of phenomenology, this is the doctrine of intentionality (for example, see Cairns 1999). This doctrine has nothing to do with the distinction between “inner” and “outer” experiences, but is a simple fact of perception. To use the time-honored phenomenological example, even when I see an ordinary object such as a cup, I apprehend it only through a single appearance or profile. Yet for me to perceive it as a real object – rather than a hallucination or prop – I apprehend it as having other profiles that will show themselves as I walk around it, pick it up, and so forth, each profile flowing into the next in an orderly, systematic way. I do more than expect or deduce these profiles; the act of perceiving a cup contains anticipations of other acts in which the same object will be experienced in other ways. That’s what gives my experience of the world its depth and density. Perhaps I will discover that my original perception was misled, and my anticipations were mere assumptions; still, I discover this only through looking and discovering – through sampling other profiles. In science, too, when researchers propose the existence of a new particle or asteroid, such a proposal involves anticipations of that entity appearing in other ways in other circumstances, anticipations that can be confirmed or disconfirmed only by looking, in some suitably broad sense (Crease 1993). In ordinary perception, each appearance and profile (noema) is correlated with a particular position of the one who apprehends it (noesis); a change in either one (the cup turning, the person moving) affects the profile apprehended. This is called the noetic-noematic correlation. In science, the positioning of the observer is technologically mediated; what a particle or cell looks like depends in part on the state of instrumentation that mediates the observation.

Another core doctrine of phenomenology is the lifeworld (Crease 2011). Human beings, that is, engage the world in different ways. For instance, they seek wealth, fame, pleasure, companionship, happiness, or “the good”. They do this as children, adolescents, parents, merchants, athletes, teachers, and administrators. All these ways of being are modifications of a matrix of practical attachments that human beings have to the world that precedes any cognitive understanding. The lifeworld is the technical term phenomenologists have for this matrix. The lifeworld is the soil out of which grow various ways of being, including science. Understanding photosynthesis or quantum field theory, for instance, is only one – and very rare – way that human beings interact with plants or matter, and not the default setting. Humans have to be trained to see the world that way; they have to pay a special kind of attention and pursue a special kind of inquiry. Thus the subject-inquirer (again, whether individual or community) is always bound up with what is being inquired into by practical engagements that precede the inquiry, engagements that can be altered by and in the wake of the inquiry. It is terribly tempting for metaphysicians to “kick away the ladder of lived experience” from scientific ontology as a means to gain some sort of privileged access to the world that bypasses lifeworld experience, but this condemns science to being “empty fictions” (Vallor 2009).

The aim of phenomenology is to unearth invariants in noetic-noematic correlations, to make forms or structures of experience appear that are hidden in ordinary, unreflective life, or the natural attitude. Again, the parallel with scientific methodology is uncanny; scientific inquiry aims to find hidden forms or structures of the world by varying, repeating, or otherwise changing interventions into nature to see what remains the same throughout. Phenomenologists seek invariant structures at several different phases or levels – including that of the investigator, the laboratory, and the lifeworld – and can examine not only each phase or level, but the relation of each to the others. Over the last hundred years, this has generated a vast and diverse body of literature (Ginev 2006; Kockelmans & Kisiel 1970; Chasan 1992; Hardy and Embree 1992; McGuire and Tuchanska 2001; Gutting 2005).

2. Historical Overview

Phenomenology started out, in Husserl’s hands, well-positioned to develop an account of science. After all, Husserl was at the University of Göttingen during the years when David Hilbert, Felix Klein, and Emmy Noether were developing and extending the notion of invariance and group theory. Husserl not only had a deep appreciation for mathematics and natural science, but his approach was allied in many key respects with theirs, for he extended the notion of invariance to perception by viewing the experience of an object as of something that remains the same in the flux of changing sensory conditions produced by changing physical conditions. This may seem far-removed from the domain of mathematics but it is not. Klein’s Erlanger program viewed mathematical objects as not representable geometrically all at once but rather in definite and particular ways, depending on the planes on which they were projected; the mathematical object remained the same throughout different projections. In an analogous way, Husserl’s phenomenological program viewed a sensuously apprehended object as not given to an experiencing subject all at once but rather via a series of adumbrations or profiles, one at a time, that depend on the respective positioning of subject and object. The “same” object – even light of a certain wavelength – can look very different to human observers in different conditions. What is different about Husserl’s program, and may make it seem removed from the mathematical context, is that these profiles are not mathematical projections but lifeworld experiences. What remained to be added to the phenomenological approach to create a fuller framework for a natural philosophy of science was a notion of perceptual fulfillment under laboratory conditions, and of the theoretical planning and instrumental mediation leading to the observing of a scientific object. The “same” structure – for example, a cell – will look very different using microscopes of different magnification and quality, and phenomenology easily provides an account for this (Crease 2009).

Despite this promising beginning, many phenomenologists after Husserl turned away from the sciences, sometimes even displaying a certain paternalistic and superior attitude towards them as impoverished forms of revealing. This is unwarranted. Husserl’s objection to rationalistic science in the Crisis of the European Sciences was after all not to science but to the Galilean assumption that the ontology of nature could be provided by mathematics alone, bypassing the lifeworld (Gurwitsch 1966, Heelan 1987). And Heidegger’s objection, in Being and Time, most charitably considered, was not to theoretical knowledge, but to the forgetting of the fact that it is a founded mode in the lifeworld, to be interpreted not merely as an aid to disclosure but as a special and specialized mode of access to the real itself. Others to follow, including Gadamer and  Merleau-Ponty, for various reasons did not pursue the significance of phenomenology for natural science.

Science also lagged behind other areas of phenomenological inquiry for historical reasons. The dramatic success of Einstein’s theory of general relativity, in 1919, brought “a watershed for subsequent philosophy of science” that proved to be detrimental to the prospects of phenomenology for science (Ryckman 2005). Kant’s puzzling and ambiguous doctrine of the schematism – according to which intuitions, which are a product of sensibility, and categories, which are a product of understanding, are synthesized by rules or schemata to produce experience – had nurtured two very different approaches to the philosophy of science. One, taken by logical empiricists, rejected the schematism and treated sensibility and the understanding as independent, and the line between the intuitive and the conceptual as that between experienced physical objects and abstract mathematical frameworks. The empiricists saw these two as linked by rules of coordination that applied the latter to the former. Such coordination – the subjective contribution of mind to knowledge – produced objective knowledge. The other, more phenomenological route was to pursue the insight that experience is possible only thanks to the simultaneous co-working of intuitions and concepts. While some forms and categories are subject to replacement, producing a “relativized a priori” (my conception of things like electrons, cells, and simultaneity may change) such forms and categories make experience possible. Objective knowledge arises not by an arbitrary application of concepts to intuitions – it is not just a decision of consciousness – but is a function of the fulfillment of physical conditions of possible conscious experience; scientists look at photographic plates or information collected by detectors in laboriously prepared conditions that assure them that such information is meaningful and not noise. Husserl’s phenomenological approach to transcendental structures, though, must be contrasted with Kant’s, for while Kant’s transcendental concepts are deduced, Husserl’s are reflectively observed and described. However, following the stunning announcement of the success of general relativity in 1919, which seemed to destroy transcendental assumptions about at least the Euclidean form of space and about absolute time, logical empiricists were quick to claim it vindicated their approach and refuted not only Kant but all transcendental philosophy. “Through Einstein … the Kantian position is untenable,” Schlick declared, “and empiricist philosophy has gained one of its most brilliant triumphs.”  But the alleged vanquishing of transcendental philosophy and triumph of logical empiricism’s claims to understand science was due to “rhetoric and successful propaganda” rather than argument (Ryckman 2005). For as other transcendental philosophers such as Ernst Cassirer, and philosophically sophisticated scientists such as Hermann Weyl, realized, in making claims about the forms of possible phenomena general relativity called for what amounted to a revision, rather than a refutation, of Kant’s doctrine; how we may experience spatiality in ordinary life remains unaffected by Einstein’s theory. But the careers of both Cassirer and Weyl took them away from such questions, and nobody else took their place.

3. Science and Perception

One way of exhibiting the deep link between phenomenology and science is to note that phenomenology is concerned with the difference between local effects and global structures in perception. To use the time-honored example of perceiving a cup through a profile again: Grasping it under that particular adumbration or profile is a local effect, though what I intend is a global structure – the phenomenon – with multiple horizons of profiles. Phenomenology aims to exhibit how the phenomenon is constituted in describing these horizons of profiles. But this of course is closely related to the aim of science, which seeks to describe how phenomena (for example, electrons) appear differently in different contexts – and even, in the case of general relativity, incorporates a notion of invariance into the very notion of objectivity itself (Ryckman 2005). An objective state of affairs, that is, is one that has the same description regardless of whether the frame of reference from which it is observed is accelerating or not.

In science, however, perceiving (observing) is mediated by theory and instruments. Thanks to theories, the lawlike behavior of scientific phenomena (for example, how electrons behave in different conditions) is represented or “programmed” and then correlated with instrumental techniques and practices so that a phenomenon appears. The theory (for example, electromagnetism) thus structures both the performance process thanks to which the phenomenon appears, and the phenomenon itself. Read noetically, with respect to production, the theory is something to be performed; read noematically, with respect to the product, it describes the object appearing in performance. A theory does not correspond to a scientific phenomenon; rather, the phenomenon fulfills or does not fulfill the expectations of its observation raised by the theory. Is this an electron beam or not?  To decide that, its behavior has to be evaluated. Theory provides a language that the experimenter can use for describing or recognizing or identifying the profiles. For the theorist, the semantics of the language is mathematical; for the experimenter, the semantics are descriptive and the objects described are not mathematical objects but phenomena – bodily presences in the world. Thus the dual semantics of science (Heelan 1988); a scientific word (such as ‘electron’) can refer to both an abstract term in a theory and to a physical phenomenon in a laboratory. The difference is akin to that between a ‘C’ in a musical score and a ‘C’ heard in a concert hall. Conflating these two usages has confused many a philosopher of science. But our perception of the physical phenomenon in the laboratory has been mediated by the instruments used to produce and measure it (Ihde 1990).

By adding theoretical and experimental mediation to Husserl’s account of what is “constitutive” of perceptual horizons (Husserl 2001, from where the following quotations are taken except where noted), one generates a framework for a phenomenological account of science. To grasp a scientific object, like a perceptual object, as a presence in the world, as “objective,” means, strangely enough, to grasp it as never totally given, but as having an unbounded number of profiles that are not simultaneously grasped. Such an object is embedded in a system of “referential implications” available to us to explore over time. And it is rarely grasped with Cartesian clarity the first time around, but “calls out to us” and “pushes us” towards appearances not simultaneously given. A new property, for example parity violation, is detected in one area of particle physics – but if it shows up here it should also show up there even more intensely and dramatically. Entities, that is, show themselves as having further sides to be explored, and as amenable to better and better instrumentation. Phenomena even as it were call attention to their special features – strangeness in elementary particles, DNA in cells, gamma ray bursters amongst astronomical bodies – and recommends these features to us for further exploration. “There is a constant process of anticipation, of preunderstanding.”  With sufficient apprehension of sampled profiles, “The unfamiliar object is … transformed …into a familiar object.”  This involves development both of an inner horizon of profiles already apprehended, already sampled, and an external of not-yet apprehended profiles. But the object is never fully grasped in its complete presence, horizons remain, and the most one can hope for is for a thing to be given optimally in terms of the interests for which it is approached. And because theory and instruments are always changing, the same object will always be grasped with new profiles. Thus, Husserl’s phenomenological account readily handles the often vexing question in traditional philosophy of science of how “the same” experiment can be “repeated.”  It equally readily handles the even more troublesome puzzle in traditional approaches of how successive theories or practices can refer to the same object. For just as the same object can be apprehended “horizontally” in different instrumental contexts at the same time, it can also be apprehended “vertically” by successively more developed instrumentation. Husserl, for instance, refers to the “open horizon of conceivable improvement to be further pursued” (Husserl Crisis #9a). Newer, more advanced instruments will pick out the same entity (for example, an electron), yield new values for measurements of the same quantities, and open up new domains in which new phenomena will appear amid the ones that now appear on the threshold. Today’s discovery is tomorrow’s background.

The basic account of perception given above has been further elaborated in the context of group theory by Ernst Cassirer in a remarkable article (Cassirer 1944). Cassirer extends the attempts of Helmholtz, Poincaré and others to apply the mathematical concept of group to perception in a way that makes it suitable to the philosophy of science. Group theory may seem far from the perceptual world, Cassirer says. But the perceptual world, like the mathematical world, is structured; it possesses perceptual constancy in a way that cannot be reduced to “a mere mosaic, an aggregate of scattered sensations” but involve a certain kind of invariance. Perception is integrated into a total experience in which keeping track of “dissimilarity rather than similarity” is a hallmark of the same object. The cup is going to look different as the light changes and as I move about it. “As the particular changes its position in the context, it changes its “aspect.”  Thus, Cassirer writes, “the ‘possibility of the object’ depends upon the formation of certain invariants in the flux of sense-impressions, no matter whether these be invariants of perception or of geometrical thought, or of physical theory. The positing of something endowed with objective existence and nature depends on the formation of constants of the kinds mentioned …. The truth is that the search for constancy, the tendency toward certain invariants, constitutes a characteristic feature and immanent function of perception. This function is as much a condition of perception of objective existence as it is a condition of objective knowledge.”  The constitutive factor of objective knowledge, Cassirer concludes, “manifests itself in the possibility of forming invariants.”  Again, one needs to flesh out such an approach with account of fulfillment as mediated both theoretically and practically.

4. General Implications

The above, it will be seen, has three general implications for philosophy of science:

a. The Priority of Meaning over Technique.

In contrast to positivist-inspired and much mainstream philosophy of science, a phenomenological approach does not view science as pieced together at the outset from praxes, techniques, and methods. Praxes, techniques, and methods – as well as data and results – come into being by interpretation. The generation of meaning does not move from part to whole, but via a back-and-forth (hermeneutical) process in which phenomena are projected upon an already-existing framework of meaning, the assumptions of which are at least partially brought into question, and by this action further reviewed and refined within the ongoing process of interpretation. This process is amply illustrated by episode after episode in the history of science. Relativity theory evolved as a response to problems and developments experienced by scientists working within Newtonian theory.

b. The Priority of the Practical over the Theoretical

The framework of meaning mentioned above in terms of which phenomena are interpreted is not comprised merely of tools, texts, and ideas, but involves a culturally and historically determined engagement with the world which is prior to the subject and object separation. On the one hand, this means that the meanings generated by science are not ahistorical forms or natural kinds that have a transcendent origin. On the other hand, it means that these meanings are also not arbitrary or mere artifacts of discourse; science has a “historical space” in which meanings are realized or not realized. Results are right or wrong; theories are adjudicated as true or false. Later, as the historical space changes, the “same” theory (or more fully developed versions thereof) may be confirmed by different results inconsistent with previous confirmations of the earlier version. What a “cell” is may look very different depending on the techniques and instruments used to apprehend it, but what is happening is not a wholesale replacement of one picture or theory by another, but expanding and evolving knowledge (Crease 2009).

c. The Priority of the Practical over the Theoretical

Truth always involves a disclosure of something to someone in a particular cultural and historical context. Even scientific knowledge can never completely transcend these culturally and historically determined involvements, leaving them behind as if scientific knowledge consisted in abstractions viewed from nowhere in particular. The particularity of the phenomena disclosed by science is often disguised by the fact that they can show themselves in many different cultural and historical contexts if the laboratory conditions are right, giving rise to the illusion of disembodied knowledge.

5. Layers of Experience

These three implications suggest a way of ordering the kinds of contributions that a phenomenology can make to the philosophy of science. For there are several different phases – focal lengths, one might say – at which to set one’s phenomenology, and it is important to distinguish between them. The focal length can be trained within the laboratory on laboratory life, and investigate the attitudes, practices, and objects encountered in the laboratory. These, however, are nested in the laboratory environment and in the structure of scientific knowledge, which is their exterior expression. Another phase concerns the forms of mediation, both theoretical and instrumental, and how these contextualize the phase just mentioned of attitudes, practices, and objects, and how these are related to their exterior. This phase is nested in turn in another kind of environment, the lifeworld itself, with its ethical and political motivations and power relations. The contributions of phenomenology to the philosophy of science is first of all to describe these phases and how they are nested in each other, and then to describe and characterize each. A philosophical account of science cannot begin, nor is it complete, without a description of these phases.

a. First Phase: Laboratory Life

One phase has to do with specific attitudes, practices, or objects encountered by a researcher doing research in the laboratory environment – with the phenomenology of laboratory perception. Inquiry is one issue here. Conventional textbooks often treat the history of science as a sequence of beliefs about the state of the world, as if it were like a series of snapshots. This creates problems having to do with accounting for how these beliefs change, how they connect up, and what such change implies about continuity of science. It also rings artificial from the standpoint of laboratory practice. A phenomenological approach, by contrast, considers the path of science as rather like an evolving perception, as a continual process that cannot be neatly dissected into what’s in question and what not, what you believe and what you do not. Affects of research is another issue. The moment of experience involves more than knowledge, global or local, more than iterations and reiterations. Affects like wonder, astonishment, surprise, incredulity, fascination, and puzzlement are important to inquiry, in mobilizing the transformation of the discourse and our basic way of being related to a field of inquiry. They indicate to us the presence of something more than what’s formulated, yet also not arbitrary. When something unexpected happens, it is not a matter of drawing a conceptual blank. When something unexpected and puzzling happens in the lab, it involves a discomfort from running into something that you think you should understand and you do not. Taking that discomfort with you is essential to what transformations ensue. Other key issues of the phenomenology of laboratory experience include trust, communication, data, measurement, and experiment (Crease 1993). Experiment is an especially important topic. For there is nothing automatic about experimentation; experiments are first and foremost material events in the world. Events to not produce numbers – they do not measure themselves – but do so only when an action is planned, prepared, and witnessed. An experiment, therefore, has the character of a performance, and like all performances is a historically and culturally situated hermeneutical process. Scientific objects that appear in laboratory performances may have to be brought into focus, somewhat like the ship that Merleau-Ponty describes that has run aground on the shore, whose pieces are at first mixed confusingly with the background, filling us with a vague tension and unease, until our sight is abruptly recast and we see a ship, accompanied by release of the tension and unease (Crease 1998). In the laboratory, however, what is at first latent in the background and then recognized as an entity belongs to an actively structured process. We are staging what we are trying to recognize, and the way we are staging it may interfere with our recognition and the experiment may have to be restaged to bring the object into better focus.

b. Second Phase: Forms of Mediation

Second order features have to do with understanding the contextualization of the laboratory itself. For the laboratory is a special kind of environment. The laboratory is like a garden, walled off to a large extent from the wider and wilder surrounding environment outside. Special things are grown in it that may not appear in the outside world, but yet are related to them, and which help us understand the outside world. To some extent, the laboratory can be examined as the product or embodiment of forms discursive formations imposing power and unconditioned knowledge claims (Rouse 1987). But only to a limited extent. For the laboratory is not like an institution in which all practices are supposed to work in the same way without changing. It thus cannot be understood by studying discursive formations of power and knowledge exclusively; it is unlike a prison or military camp. A laboratory is a place designed to make it possible to stage performances that show themselves at times as disruptive of discourse, to explore such performances and make sure there really is a disruption, and then to foster creation of a new discourse.

c. Third Phase: Contextualization of Research

A third phase has to do with the contextualization of research itself, with approaches to the whole of the world, and with understanding why human beings have come to privilege certain kinds of inquiry over others. The lifeworld – a kind of horizon or atmosphere in which we think, pre-loaded with powerful metaphors and images and deeply embedded habits of thought – has its own character and changes over time. This character affects everyone in it, scientists and philosophers who think about science. The conditions of the lifeworld can, for instance, seduce us into thinking that only the measurable is the real. This is the kind of layer addressed by Husserl’s Crisis (Husserl 1970), Heidegger’s “The Question Concerning Technology,” (Heidegger 1977) and so forth. The distinction between the second and third phases thus parallels the distinction in sociology of science between micro-sociology and macro-sociology.

6. Phenomenology and Specific Sciences

Phenomenology has also been shown to contribute to understanding certain features or developments in contemporary theories which seem of particular significance for science itself, including relativity, quantum mechanics, and evolution.

a. Relativity

Ryckman (2005) highlights the role of phenomenology in understanding the structure and implications of general relativity and of certain other developments in contemporary physics. The key has to do with the role of general covariance, or the requirement that objects must be specified without any reference to a dynamical background space-time setting. Fields, that is, are not properties of space-time points or regions, they are those points and regions. The result of the requirement of general covariance is thus to remove the physical objectivity of space and time as independent of the mass and energy distribution that shapes the geometry of physical space and time. This, Ryckman writes, is arguably its “most philosophically significant aspect,” for it specifies “what is a possible object of fundamental physical theory.”  The point was digested by transcendental philosophers who could understand relativity. One was Cassirer, who saw that covariance could not be treated as a principle of coordination between intuitions and formalisms, and thus was not part of the “subjective” contribution to science, as Schlick and his follower Hans Reichenbach were doing. Rather, it amounted to a restriction on what was allowed as a possible object of field theory to begin with. The requirement of general covariance meant that relativity was about a universe in which objects did not flit about on a space-time stage, but were that stage. Ryckman’s book also demonstrates the role of phenomenology in Weyl’s classic treatment of relativity, and in his formulation of the gauge principle governing the identity of units of measurement. Phenomenology thus played an important role in the articulation of general relativity, and certain concepts central to modern physics.

b. Quantum Mechanics

Phenomenology may also contribute to explaining the famous disparity between the clarity and correctness of the theory and the obscurity and inaccuracy of the language used to speak about its meaning. In Quantum Mechanics and Objectivity (Heelan 1965) and other writings (Heelan 1975), Heelan applies phenomenological tools to this issue. His approach is partly Heideggerian and partly Husserlian. What is Heideggerian is the insistence on the moment prior to object-constitution, the self-aware context or horizon or world or open space in which something appears. The actual appear­ing (or phenomenon) to the self is a second moment. This Heelan analyses in a Husserlian way by studying the intentionality structure of object constitution and insisting on the duality therein of its (embodied subjective) noetic and (embodied objective) noematic poles. “The noetic aspect is an open field of connected scientific questions addressed by a self-aware situated researcher to empirical experience; the noematic aspect is the response obtained from the situated scientific experiment by the experiencing researcher. The totality of actual and possible answers constitutes a horizon of actual and possible objects of human knowledge and this we call a World.”  (Heelan 1965, x; also 3-4). The world then becomes the source of meaning of the word “real,” which is defined as what can appear as an object in the world. The ever-changing and always historical laboratory environment with all its ever-to-be-updated instrumentation and technologies belongs to the noetic pole; it is what makes the objects of science real by bringing them into the world in the act of measurement. Measure­ment involves “an interaction with a measuring instrument capable of yielding macroscopic sensible data, and a theory capable of explaining what it is that is measured and why the sensible data are observable symbols of it” (Heelan 1965, 30-1). The difference between quantum and classical physics does not lie in the intervention of the observer’s subjectivity but in the nature of the quantum object: “[W]hile in classical physics this is an idealised normative (and hence abstract) object, in quantum physics the object is an individual instance of its idealised norm” (Heelan 1965, xii). For while in classical physics deviations of variables from their ideal norms are treated independently in a statistically based theory of errors, the variations (statistical distribution) of quantum measurements are systematically linked in one formalism. The apparent puzzle raised by the “reduction of the wave packet” is thus explained via an account of measurement. In the “orthodox” interpretation, the wave function is taken to be the “true” reality, and the act of measurement is seen as changing the incoming wave packet into one of its component eigen functions by an anonymous random choice. The sensible outcome of this change is the eigenvalue of the outgoing wave function which is read from the measuring instrument. (An eigen function, very simply, is a function which has the property that, when an operation is performed on it, the result is that function multiplied by a constant, which is called the eigenvalue.) The agent of this transformation is the human spirit or mind as a doer of mathematics. Heelan also sees this process as depending on the conscious choice and participation of the scientist-subject, but through a much different process. The formulae relate, not to the ideal object in an absolute sense, apart from all human history, culture, and language, but to the physical situation in which the real object is placed, yielding a particular instance of an ensemble or system that admits of numerous potential experimental realizations. The reduction of the wave packet then “is nothing more than the expression of the scientist’s choice and implementation of a measuring process; the post-measurement outcome is different from the means used to prepare the pure state” prior to the implementation of the measurement (Heelan 1965, 184). The wave function describes a situation which is imperfectly described as a fact of the real world; it describes a field of possibilities. That does not mean there is more-to-be-discovered (“hidden variables”) which will make it a part of the real world, nor that only human participation is able to bring it into the real world, but that what becomes a fact of the real world does so by being fleshed out by an instrumental environment to one or another complementary presentations. Heelan’s work therefore shows the value of Continental approaches to the philosophy of science, and exposes the shortcomings of approaches to the philosophy of science which relegate such themes to “somewhere between mysticism and crossword puzzles” (Heelan 1965, x).

c. Evolution

One of the ­most significant discover­ies of 20th century phe­nomenology was of what is variously called em­bodiment, lived body, flesh, or animate form, the experiences of which are that of a unified, self-aware being, and which cannot be understood apart from reflection on con­crete human experience. The body is not a bridge that connects subject and world, but rather a primordial and unsurpassab­le unity productive of there being persons and worlds at all. Husserl was aware even of the significance of evolution and move­ment. His use of the expression “animate organism” betrays a recognition that he was discussing “something not exclusive to humans, that is, something broader and more funda­mental than human animate organism” (Sheets-Johnstone 1999, 132); thus, a need to discuss matters across the evolutionary spec­trum. Failing to examine our evolutionary heritage, in fact, means misconceiving the wellsprin­gs of our humanity (Sheets-Johnstone 1999). Biologists who developed phenomenological treatments of animal behavior include von Uxhull, to whom Heidegger refers in the section on animals in Fundamental Concepts of Metaphysics, and Adolph Portmann, both of whom discussed the animal’s umwelt. And Sheets-Johnstone has emphasized that phenome­nology needs to ­examine not only the ontogenet­ic dimension B infant behavior B but also the phylogenetic one. ­­­­­­If we treat human animate form as unique we shirk our phenomenologic­al duties and end up with incomplete and distorted accounts containing implicit and unexamined notions. “[G]enuine understandings of consciousness demand close and serious study of evolution as a history of animate form” (Sheets-Johnstone 1999, 42).

7. Conclusion

Developing a phenomenological account of science is important for the philosophy of science insofar as it has the potential to move us beyond a dead-end in which that discipline has entrapped itself. The dead-end involves having to choose between: on the one hand, assuming that a fixed, stable order pre-exists human beings that is uncovered or approximated in scientific activity; and on the other hand, assuming that the order is imposed by the outside. Each approach is threatened, though in different ways, by the prospect of having to incorporate a role for history and culture. Phenomenology is not as threatened, for its core doctrine of intentionality implies that parts are only understood against the background of wholes and objects against the background of their horizons, and that while we discover objects as invariants within horizons, we also discover ourselves as those worldly embodied presences to whom the objects appear. It thus provides an adequate philosophical foundation for reintroducing history and culture into the philosophy of the natural sciences.

8. References and Further Reading

  • Babich, Babette, 2010. “Early Continental Philosophy of Science,” in A. Schrift, ed., The History of Continental Philosophy, V. 3, Durham: Acumen, 263-286.
  • Cairns, Dorion, 1999. “The Theory of Intentionality in Husserl,” ed. by L. Embree, F. Kersten, and R. Zaner, Journal of the British Society for Phenomenology 32: 116-124.
  • Cassirer, E. 1944. “The Concept of Group and the Theory of Perception,” tr. A. Gurwitsch, Philosophy and Phenomenological Research, pp. 1-35.
  • Chasan, S. 1992. “Bibliography of Phenomenological Philosophy of Natural Science,” in Hardy & Embree, 1992, pp. 265-290.
  • Crease, R. 1993. The Play of Nature. Bloomington, IN: Indiana University Press.
  • Crease, R. ed. 1997. Hermeneutics and the Natural Sciences. Dordrecht: Kluwer.
  • Crease, R. 1998. “What is an Artifact?”  Philosophy Today, SPEP Supplement, 160-168.
  • Crease, R. 2009. “Covariant Realism.”  Human Affairs 19, 223-232.
  • Crease, R. 2011. “Philosophy Rules.”  Physics World, August 2011.
  • Ginev, D. 2006. The Context of Constitution: Beyond the Edge of Epistemological Justification. Boston: Boston Studies in the Philosophy of Science.
  • Gurwitsch, A. 1966. “The Last Work of Husserl,” Studies in Phenomenology and Psychology, Evanston: Northwestern University Press, 1966, pp. 397-447.
  • Gutting, G. (ed.). 2005  Continental Philosophy of Science. Oxford: Blackwell.
  • Hardy, L., and Embree, L., 1992. Phenomenology of Natural Science. Dordrecht: Kluwer.
  • Heelan, P. 1965. Quantum Mechanics and Objectivity. The Hague: Nijhoff.
  • Heelan, P. 1967. Horizon, Objectivity and Reality in the Physical Sciences. International Philosophical Quarterly 7, 375-412.
  • Heelan, P. 1969. The Role of Subjectivity in Natural Science, Proc. Amer. Cath. Philos. Assoc. Washington, D.C.
  • Heelan, P. 1970a. Quantum Logic and Classical Logic: Their Respective Roles, Synthese 21: 2 – 33.
  • Heelan, P. 1970b. Complementarity, Context-Dependence and Quantum Logic. Foundations of Physics 1, 95-110.
  • Heelan, P. 1972. Toward a new analysis of the pictorial space of Vincent van Gogh. Art Bull. 54, 478-492.
  • Heelan, P. 1975. Heisenberg and Radical Theoretical Change. Zeitschrift für allgemeine Wissenchaftstheorie 6, 113-136, and following page 136.
  • Heelan, P. 1983. Space-Perception and the Philosophy of Science. Berkeley: University of California Press.
  • Heelan, P. 1987. “Husserl’s Later Philosophy of Science,” Philosophy of Science 54: 368-90.
  • Heelan, P. 1988. “Experiment and Theory: Constitution and Reality,” Journal of Philosophy 85, 515-24.
  • Heelan, P. 1991. Hermeneutical Philosophy and the History of Science. In Nature and Scientific Method: William A. Wallace Festschrift, ed. Daniel O. Dahlstrom. Washington, D.C.: Catholic University of America Press, 23-36.
  • Heelan, P. 1995 An Anti-epistemological or Ontological Interpretation of the Quantum Theory and Theories Like it, in Continental and Postmodern Perspectives in the Philosophy of Science, ed. by B. Babich, D. Bergoffen, and S. Glynn. Aldershot/Brookfield, VT: Avebury Press, 55-68.
  • Heelan, P. 1997. Why a hermeneutical philosophy of the natural sciences? In Crease 1997, 13-40.
  • Heidegger, M. 1977. The Question Concerning Technology, tr. W. Lovitt. New York: Garland.
  • Husserl, E. 1970. The Crisis of European Sciences and Transcendental Phenomenology, tr. D. Carr. Evanston: Northwestern University Press.
  • Husserl, E. 2001. Analyses Concerning Passive and Active Synthesis: Lectures on Transcendental Logic, tr. A. Steinbock. Boston: Springer.
  • Ihde, D. 1990. Technology and the Lifeworld. Bloomington: Indiana University Press.
  • Kockelmans, J. and Kisiel, T., 1970. Phenomenology and the Natural Sciences. Evanston: Northwestern University Press.
  • Mcguire, J. and Tuschanska, B. 2001. Science Unfettered: A Philosophical Study in Sociopolitical Ontology. Columbus: Ohio University Press.
  • Michl, Matthias, Towards a Critical Gadamerian Philosophy of Science, MA thesis, University of Auckland, 2005.
  • Rouse, J. 1987. Knowledge and Power: Toward a Political Philosophy of Science. Ithaca: Cornell University Press.
  • Ryckman, T. 2005. The Reign of Relativity: Philosophy in Physics 1915-1925. New York: Oxford.
  • Seebohm, T. 2004. Hermeneutics: Method and Methodology. Springer.
  • Sheets-Johnstone, M. 1999. The Primacy of Movement. Baltimore: Johns Benjamins.
  • Ströker, Elisabeth 1997. The Husserlian Foundations of Science. Boston: Kluwer.
  • Vallor, Shannon, 2009. “The fantasy of third-person science: Phenomenology, ontology, and evidence.”  Phenom. Cogn. Sci. 8: 1-15.

 

Author Information

Robert P. Crease
Email: rcrease@notes.cc.sunysb.edu
Stony Brook University
U. S. A.

Philosophy of Technology

Like many domain-specific subfields of philosophy, such as philosophy of physics or philosophy of biology, philosophy of technology is a comparatively young field of investigation. It is generally thought to have emerged as a recognizable philosophical specialization in the second half of the 19th century, its origins often being located with the publication of Ernst Kapp’s book, Grundlinien einer Philosophie der Technik (Kapp, 1877). Philosophy of technology continues to be a field in the making and as such is characterized by the coexistence of a number of different approaches to (or, perhaps, styles of) doing philosophy. This highlights a problem for anyone aiming to give a brief but concise overview of the field because “philosophy of technology” does not name a clearly delimited academic domain of investigation that is characterized by a general agreement among investigators on what are the central topics, questions and aims, and who are the principal authors and positions. Instead, “philosophy of technology” denotes a considerable variety of philosophical endeavors that all in some way reflect on technology.

There is, then, an ongoing discussion among philosophers, scholars in science and technology studies, as well as engineers about what philosophy of technology is, what it is not, and what it could and should be. These questions will form the background against which the present article presents the field. Section 1 begins by sketching a brief history of philosophical reflection on technology from Greek Antiquity to the rise of contemporary philosophy of technology in the mid-19th to mid-20th century. This is followed by a discussion of the present state of affairs in the field (Section 2). In Section 3, the main approaches to philosophy of technology and the principal kinds of questions which philosophers of technology address are mapped out. Section 4 concludes by presenting two examples of current central discussions in the field.

Table of Contents

  1. A Brief History of Thinking about Technology
    1. Greek Antiquity: Plato and Aristotle
    2. From the Middle Ages to the Nineteenth Century: Francis Bacon
    3. The Twentieth Century: Martin Heidegger
  2. Philosophy of Technology: The State of the Field in the Early Twenty-First Century
  3. How Philosophy of Technology Can Be Done: The Principal Kinds of Questions That Philosophers of Technology Ask
  4. Two Exemplary Discussions
    1. What Is (the Nature of) Technology?
    2. Questions Regarding Biotechnology
  5. References and Further Reading

1. A Brief History of Thinking about Technology

The origin of philosophy of technology can be placed in the second half of the 19th century. But this does not mean that philosophers before the mid-19th century did not address questions that would today be thought of as belonging in the domain of philosophy of technology. This section will give the history of thinking about technology – focusing on a few key figures, namely Plato, Aristotle, Francis Bacon and Martin Heidegger.

a. Greek Antiquity: Plato and Aristotle

Philosophers in Greek antiquity already addressed questions related to the making of things. The terms “technique” and “technology” have their roots in the ancient Greek notion of “techne” (art, or craft-knowledge), that is, the body of knowledge associated with a particular practice of making (cf. Parry, 2008). Originally the term referred to a carpenter’s craft-knowledge about how to make objects from wood (Fischer, 2004: 11; Zoglauer, 2002: 11), but later it was extended to include all sorts of craftsmanship, such as the ship’s captain’s techne of piloting a ship, the musician’s techne of playing a particular kind of instrument, the farmer’s techne of working the land, the statesman’s techne of governing a state or polis, or the physician’s techne of healing patients (Nye, 2006: 7; Parry, 2008).

In classical Greek philosophy, reflection on the art of making involved both reflection on human action and metaphysical speculation about what the world was like. In the Timaeus, for example, Plato unfolded a cosmology in which the natural world was understood as having been made by a divine Demiurge, a creator who made the various things in the world by giving form to formless matter in accordance with the eternal Ideas. In this picture, the Demiurge’s work is similar to that of a craftsman who makes artifacts in accordance with design plans. (Indeed, the Greek word “Demiourgos” originally meant “public worker” in the sense of a skilled craftsman.) Conversely, according to Plato (Laws, Book X) what craftsmen do when making artifacts is to imitate nature’s craftsmanship – a view that was widely endorsed in ancient Greek philosophy and continued to play an important role in later stages of thinking about technology. On Plato’s view, then, natural objects and man-made objects come into being in similar ways, both being made by an agent according to pre-determined plans.

In Aristotle’s works this connection between human action and the state of affairs in the world is also found. For Aristotle, however, this connection did not consist in a metaphysical similarity in the ways in which natural and man-made objects come into being. Instead of drawing a metaphysical similarity between the two domains of objects, Aristotle pointed to a fundamental metaphysical difference between them while at the same time making epistemological connections between on the one hand different modes of knowing and on the other hand different domains of the world about which knowledge can be achieved. In the Physics (Book II, Chapter 1), Aristotle made a fundamental distinction between the domains of physis (the domain of natural things) and poiesis (the domain of non-natural things). The fundamental distinction between the two domains consisted in the kinds of principles of existence that were underlying the entities that existed in the two domains. The natural realm for Aristotle consisted of things that have the principles by which they come into being, remain in existence and “move” (in the senses of movement in space, of performing actions and of change) within themselves. A plant, for instance, comes into being and remains in existence by means of growth, metabolism and photosynthesis, processes that operate by themselves without the interference of an external agent. The realm of poiesis, in contrast, encompasses things of which the principles of existence and movement are external to them and can be attributed to an external agent – a wooden bed, for example, exists as a consequence of a carpenter’s action of making it and an owner’s action of maintaining it.

Here it needs to be kept in mind that on Aristotle’s worldview every entity by its nature was inclined to strive toward its proper place in the world. For example, unsupported material objects move downward, because that is the natural location for material objects. The movement of a falling stone could thus be interpreted as a consequence of the stone’s internal principles of existence, rather than as a result of the operation of a gravitational force external to the stone. On Aristotle’s worldview, contrary to our present-day worldview, it thus made perfect sense to think of all natural objects as being subject to their own internal principles of existence and in this respect being fundamentally distinct from artifacts that are subject to externally operating principles of existence (to be found in the agents that make an maintain them).

In the Nicomachean Ethics (Book VI, Chapters 3-7), Aristotle distinguished between five modes of knowing, or of achieving truth, that human beings are capable of. He began with two distinctions that apply to the human soul. First, the human soul possesses a rational part and a part that does not operate rationally. The non-rational part is shared with other animals (it encompasses the appetites, instincts, etc.), whereas the rational part is what makes us human – it is what makes man the animal rationale. The rational part of the soul in turn can be subdivided further into a scientific part and a deductive or ratiocinative part. The scientific part can achieve knowledge of those entities of which the principles of existence could not have been different from what they are; these are the entities in the natural domain of which the principles of existence are internal to them and thus could not have been different. The deductive or ratiocinative part can achieve knowledge of those entities of which the principles of existence could have been different; the external principles of existence of artifacts and other things in the non-natural domain could have been different in that, for example, the silver smith who made a particular silver bowl could have had a different purpose in mind than the purpose for which the bowl was actually made. The five modes of knowledge that humans are capable of – often denoted as virtues of thought – are faculties of the rational part of the soul and in part map onto the scientific part / deductive part dichotomy. They are what we today would call science or scientific knowledge (episteme), art or craft knowledge (techne), prudence or practical knowledge (phronesis), intellect or intuitive apprehension (nous) and wisdom (sophia). While episteme applies to the natural domain, techne and phronesis apply to the non-natural domain, phronesis applying to actions in general life and techne to the crafts. Nous and sophia, however, do not map onto these two domains: while nous yields knowledge of unproven (and not provable) first principles and hence forms the foundation of all knowledge, sophia is a state of perfection that can be reached with respect to knowledge in general, including techne.

Both Plato and Aristotle thus distinguished between techne and episteme as pertaining to different domains of the world, but also drew connections between the two. The reconstruction of the actual views of Plato and Aristotle, however, remains a matter of interpretation (see Parry, 2008). For example, while many authors interpret Aristotle as endorsing the widespread view of technology as consisting in the imitation of nature (for example, Zoglauer, 2002: 12), Schummer (2001) recently argued that for Aristotle this was not a characterization of technology or an explication of the nature of technology, but merely a description of how technological activities often (but not necessarily) take place. And indeed, it seems that in Aristotle’s account of the making of things the idea of man imitating nature is much less central than it is for Plato, when he draws a metaphysical similarity between the Demiurge’s work and the work of craftsmen.

b. From the Middle Ages to the Nineteenth Century: Francis Bacon

In the Middle Ages, the ancient dichotomy between the natural and artificial realms and the conception of craftsmanship as the imitation of nature continued to play a central role in understanding the world. On the one hand, the conception of craftsmanship as the imitation of nature became thought of as applying not only to what we would now call “technology” (that is, the mechanical arts), but also to art. Both were thought of as the same sort of endeavor. On the other hand, however, some authors began to consider craftsmanship as being more than merely the imitation of nature’s works, holding that in their craftsmanship humans were also capable of improving upon nature’s designs. This conception of technology led to an elevated appreciation of technical craftsmanship which, as the mere imitation of nature, used to be thought of as inferior to the higher arts in the Scholastic canon that was taught at medieval colleges. The philosopher and theologian Hugh of St. Victor (1096-1141), for example, in his Didascalicon compared the seven mechanical arts (weaving, instrument and armament making, nautical art and commerce, hunting, agriculture, healing, dramatic art) with the seven liberal arts (the trivium of grammar, rhetoric, and dialectic logic, and the quadrivium of astronomy, geometry, arithmetic, and music) and incorporated the mechanical arts together with the liberal arts into the corpus of knowledge that was to be taught (Whitney, 1990: 82ff.; Zoglauer, 2002: 13-16).

While the Middle Ages thus can be characterized by an elevated appreciation of the mechanical arts, with the transition into the Renaissance thinking about technology gained new momentum due to the many technical advances that were being made. A key figure at the end of the Renaissance is Francis Bacon (1561-1626), who was both an influential natural philosopher and an important English statesman (among other things, Bacon held the offices of Lord Keeper of the Great Seal and later Lord Chancellor). In his Novum Organum (1620), Bacon proposed a new, experiment-based method for the investigation of nature and emphasized the intrinsic connectedness of the investigation of nature and the construction of technical “works”. In his New Atlantis (written in 1623 and published posthumously in 1627), he presented a vision of a society in which natural philosophy and technology occupied a central position. In this context it should be noted that before the advent of science in its modern form the investigation of nature was conceived of as a philosophical project, that is, natural philosophy. Accordingly, Bacon did not distinguish between science and technology, as we do today, but saw technology as an integral part of natural philosophy and treated the carrying out of experiments and the construction of technological “works” on an equal footing. On his view, technical “works” were of the utmost practical importance for the improvement of the living conditions of people, but even more so as indications of the truth or falsity of our theories about the fundamental principles and causes in nature (see Novum Organum, Book I, aphorism 124).

New Atlantis is the fictional report of a traveler who arrives at an as yet unknown island state called Bensalem and informs the reader about the structure of its society. Rather than constituting a utopian vision of an ideal society, Bensalem’s society was modeled on the English society of Bacons” own times that had become increasingly industrialized and in which the need for technical innovations, new instruments and devices to help with the production of goods and the improvement of human life was clearly felt (compare Kogan-Bernstein, 1959). The utopian vision in New Atlantis only pertained to the organization of the practice of natural philosophy. Accordingly, Bacon spent much of New Atlantis describing the most important institution in the society of Bensalem, Salomon’s House, an institution devoted entirely to inquiry and technological innovation.

Bacon provided a long list of the various areas of knowledge, techniques, instruments and devices that Salomon’s House possesses, as well as descriptions of the way in which the House is organized and the different functions that its members fulfill. In his account of Salomon’s house Bacon’s unbridled optimism about technology can be seen: Salomon’s House appears to be in the possession of every possible (and impossible) technology that one could think of, including several that were only realized much later (such as flying machines and submarines) and some that are impossible to realize. (Salomon’s House even possesses several working perpetuum mobile machines, that is, machines that once they have been started up will remain in motion forever and are able to do work without consuming energy. Contemporary thermodynamics shows that such machines are impossible.) Repeatedly it is stated that Salomon’s House works for the benefit of Bensalem’s people and society: the members of the House, for example, regularly travel through the county to inform the people about new inventions, to warn them about upcoming catastrophic events, such as earthquakes and droughts the occurrence of which Salomon’s House is been able to forecast, and to advise them about how they could prepare themselves for these events.

While Bacon is often associated with the slogan “knowledge is power”, contrary to how the slogan is often understood today (where “power” is often taken to mean political power or power within society) what is meant is that knowledge of natural causes gives us power over nature that can be used for the benefit of mankind. This can be seen, for instance, from the way Bacon described the reasons of the Bensalemians for founding Salomon’s House: “The end of our foundation is the knowledge of causes, and secret motions of things; and the enlarging of the bounds of human empire to the effecting of all things possible.” Here, inquiry into “the knowledge of causes, and secret motions of things” and technological innovation by producing what is possible (“enlarging of the bounds of human empire to the effecting of all things possible”) are explicitly mentioned as the two principal goals of the most important institution in society. (It should also be noted that Bacon himself never formulated the slogan “knowledge is power”. Rather, in the section “Plan of the Work” in the Instauratio Magna he speaks of the twin aims of knowledge – Bacon’s term is ‘scientia” – and power – “Potentia” – as coinciding in the devising of new works because one can only have power over nature when one knows and follows nature’s causes. The connection between knowledge and power here is the same as in the description of the purpose of Salomon’s House.)

The improvement of life by means of natural philosophy and technology is a theme which pervades much of Bacons’ works, including the New Atlantis and his unfinished opus magnum, the Instauratio Magna. Bacon saw the Instauratio Magna, the “Great Renewal of the Sciences”, as the culmination of his life work on natural philosophy. It was to encompass six parts, presenting an overview and critical assessment of the knowledge about nature available at the time, a presentation of Bacon’s new method for investigating nature, a mapping of the blank spots in the corpus of available knowledge and numerous examples of how natural philosophy would progress when using Bacon’s new method. It was clear to Bacon that his work could only be the beginning of a new natural philosophy, to be pursued by later generations of natural philosophers, and that he would himself not be able to finish the project he started in the Instauratio. In fact, even the writing of the Instauratio proved a much too ambitious project for one man: Bacon only finished the second part, the Novum Organum, in which he presented his new method for the investigation of nature.

With respect to this new method, Bacon argued against the medieval tradition of building on the Aristotelian/Scholastic canon and other written sources as the sources of knowledge, proposing a view of knowledge gained from systematic empirical discovery instead. For Bacon, craftsmanship and technology played a threefold role in this context. First, knowledge was to be gained by means of observation and experimentation, so inquiry in natural philosophy heavily relied on the construction of instruments, devices and other works of craftsmanship to make empirical investigations possible. Second, as discussed above, natural philosophy should not be limited to the study of nature for knowledge’s sake but should also always inquire how newly gained knowledge could be used in practice to extend man’s power over nature to the benefit of society and its inhabitants (Kogan-Bernstein, 1959; Fischer, 1996: 284-287). And third, technological “works” served as the empirical foundations of knowledge about nature in that a successful “work” could count as an indication of the truth of the involved theories about the fundamental principles and causes in nature (see above).

While in many locations in his writings Bacon suggests that the “pure” investigation of nature and the construction of new “works” are of equal importance, he did prioritize technology. From the description that Bacon gives of how Salomon’s House is organized, for example, it is clear that the members of Salomon’s House also practice “pure” investigation of nature without much regard for its practical use. The “pure” investigation of nature seems to have its own place within the House and to be able to operate autonomously. Still, as a whole, the institution of Salomon’s House is decidedly practice-oriented, such that the relative freedom of inquiry in the end manifests itself within the confines of an environment in which practical applicability is what counts. Bacon draws the same picture in the Instauratio Magna, where he explicitly acknowledges the value of “pure” investigation while at the same time emphasizing that the true aims of natural philosophy (‘scientiae veros fines” – see towards the end of the Preface of the Instauratio Magna) concern its benefits and usefulness for human life.

c. The Twentieth Century: Martin Heidegger

Notwithstanding the fact that philosophers have been reflecting on technology-related matters ever since the beginning of Western philosophy, those pre-19th century philosophers who looked at aspects of technology did not do so with the aim of understanding technology as such. Rather, they examined technology in the context of more general philosophical projects aimed at clarifying traditional philosophical issues other than technology (Fischer, 1996: 309). It is probably safe to say that before the mid to late 19th century no philosopher considered himself as being a specialized philosopher of technology, or even as a general philosopher with an explicit concern for understanding the phenomenon of technology as such, and that no full-fledged philosophies of technology had yet been elaborated.

No doubt one reason for this is that before the mid to late 19th century technology had not yet become the tremendously powerful and ubiquitously manifest phenomenon that it would later become. The same holds with respect to science, for that matter: it is only after the investigation of nature stopped being thought of as a branch of philosophy – natural philosophy – and the contemporary notion of science emerged that philosophy of science as a field of investigation could emerge. (Note that the term “scientist”, as the name for a particular profession, was coined in the first half of the 19th century by the polymath and philosopher William Whewell – see Snyder, 2009.) Thus, by the end of the 19th century natural science in its present form had emerged from natural philosophy and technology had manifested itself as a phenomenon distinct from science. Accordingly, “until the twentieth century the phenomenon of technology remained a background phenomenon” (Ihde, 1991: 26) and the philosophy of technology “is primarily a twentieth-century development” (Ihde, 2009: 55).

While one reason for the emergence of the philosophy of technology in the 20th century is the rapid development of technology at the time, according to the German philosopher Martin Heidegger an important additional reason should be pointed out. According to Heidegger, not only did technology in the 20th century develop more rapidly than in previous times and by consequence became a more visible factor in everyday life, but also did the nature of technology itself at the same time undergo a profound change. The argument is found in a famous lecture that Heidegger gave in 1955, titled The Question of Technology (Heidegger, 1962), in which he inquired into the nature of technology. Note that although Heidegger actually talked about “Technik” (and his inquiry was into “das Wesen der Technik”; Heidegger, 1962: 5), the question he addressed is about technology. In German, “Technologie” (technology) is often used to denote modern “high-tech” technologies (such as biotechnology, nanotechnology, etc.), while “Technik” is both used to denote the older mechanical crafts and the modern established fields of engineering. (“Elektrotechnik”, for example, is electrical engineering.) As will be discussed in Section 2, philosophy of technology as an academic field arose in Germany in the form of philosophical reflection on “Technik”, not “Technologie”. While the difference between the two terms remains important in contemporary German philosophy of technology (see Section 4.a below), both “Technologie” and “Technik” are commonly translated as “technology” and what in German is called “Technikphilosophie” in English goes by the name of “philosophy of technology”.

On Heidegger’s view, one aspect of the nature of both older and contemporary technology is that technology is instrumental: technological objects (tools, windmills, machines, etc.) are means by which we can achieve particular ends. However, Heidegger argued, it is often overlooked that technology is more than just the devising of instruments for particular practical purposes. Technology, he argued, is also a way of knowing, a way of uncovering the hidden natures of things. In his often idiosyncratic terminology, he wrote that “Technology is a way of uncovering” (“Technik ist eine Weise des Entbergens”; Heidegger, 1962: 13), where “Entbergen” means “to uncover” in the sense of uncovering a hidden truth. (For example, Heidegger (1962: 11-12) connects his term “Entbergen” with the Greek term “aletheia”, the Latin “veritas” and the German “Wahrheit”.) Heidegger thus adopted a view of the nature of technology close to Aristotle’s position, who conceived of techne as one of five modes of knowing, as well as to Francis Bacon’s view, who considered technical works as indications of the truth or falsity of our theories about the fundamental principles and causes in nature.

The difference between older and contemporary technology, Heidegger went on to argue, consists in how this uncovering of truth takes place. According to Heidegger, older technology consisted in “Hervorbringen” (Heidegger, 1962: 11). Heidegger here plays with the dual meaning of the term: the German “Hervorbringen” means both “to make” (the making or production of things, material objects, sound effects, etc.) and “to bring to the fore”. Thus the German term can be used to characterize both the “making” aspect of technology and its aspect of being a way of knowing. While contemporary technology retains the “making” aspect of older technology, Heidegger argued that as a way of knowing it no longer can be understood as Hervorbringen (Heidegger, 1962: 14). In contrast to older technology, contemporary technology as a way of knowing consists in the challenging (“Herausfordern” in German) of both nature (by man) and man (by technology). The difference is that while older technologies had to submit to the standards set by nature (e.g., the work that an old windmill can do depends on how strongly the wind blows), contemporary technologies can themselves set the standards (for example, in modern river dams a steady supply of energy can be guaranteed by actively regulating the water flow). Contemporary technology can thus be used to challenge nature: “Heidegger understands technology as a particular manner of approaching reality, a dominating and controlling one in which reality can only appear as raw material to be manipulated” (Verbeek, 2005: 10). In addition, on Heidegger’s view contemporary technology challenges man to challenge nature in the sense that we are constantly being challenged to realize some of the hitherto unrealized potential offered by nature – that is, to devise new technologies that force nature in novel ways and in so doing uncover new truths about nature.

Thus, in the 20th century, according to Heidegger, technology as a way of knowing assumed a new nature. Older technology can be thought of as imitating nature, where the process of imitation is inseparably connected to the uncovering of the hidden nature of the natural entities that are being imitated. Contemporary technology, in contrast, places nature in the position of a supplier of resources and in this way places man in an epistemic position with respect to nature that differs from the epistemic relation of imitating nature. When we imitate nature, we examine entities and phenomena that already exist. But products of contemporary technology, such as the Hoover dam or a nuclear power plant, are not like already existing natural objects. On Heidegger’s view, they force nature to deliver energy (or another kind of resource) whenever we ask for it and therefore cannot be understood as objects made by man in a mode of imitating nature – nature, after all, cannot produce things that force herself to deliver resources in ways that man-made things can force her to do this. This means that there is a fundamental divide between older and contemporary technology, making the rise of philosophy of technology in the late 19th century and in the 20th century an event that occurred in parallel to a profound change in the nature of technology itself.

2. Philosophy of Technology: The State of the Field in the Early Twenty-First Century

In accordance with the preceding historical sketch, the history of philosophy of technology – as the history of philosophical thinking about issues concerned with the making of things, the use of techne, the challenging of nature and so forth – can be (very) roughly divided into three major periods.

The first period runs from Greek antiquity through the Middle Ages. In this period techne was conceived of as one among several kinds of human knowledge, namely the craft-knowledge that features in the domain of man-made objects and phenomena. Accordingly, philosophical attention for technology was part of the philosophical examination of human knowledge more generally. The second period runs roughly from the Renaissance through the Industrial Revolution and is characterized by an elevated appreciation for technology as an increasingly manifest but not yet all-pervasive phenomenon. Here we see a general interest in technology not only as a domain of knowledge but also as a domain of construction, that is, of the making of artifacts with a view on the improvement of human life (for instance, in Francis Bacon’s vision of natural philosophy). However, there is no particular philosophical interest yet in technology per se other than the issues that earlier philosophers had also considered. The third period is the contemporary period (from the mid 19th century to the present) in which technology had become such a ubiquitous and important factor in human lives and societies that it began to manifest itself as a subject sui generis of philosophical reflection. Of course, this is only a very rough periodization and different ways of periodizing the history of philosophy of technology can be found in the literature – e.g., Wartofsky (1979), Feenberg (2003: 2-3) or Franssen and others (2009: Sec. 1). Moreover, this periodization applies only to Western philosophy. To be sure, there is much to be said about technology and thinking about technology in technologically advanced ancient civilizations in China, Persia, Egypt, etc., but this cannot be done within the confines of the present article. Still, the periodization proposed above is a useful first-order subdivision of the history of thinking about technology as it highlights important changes in how technology was and is understood.

The first monograph on philosophy of technology appeared in Germany in the second half of the 19th century in the form of Ernst Kapp’s book, Grundlinien einer Philosophie der Technik (“Foundations of a Philosophy of Engineering”) (Kapp, 1877). This book is commonly seen as the origin of the field (Rapp, 1981: 4; Ferré, 1988: 10; Fischer, 1996: 309; Zoglauer, 2002: 9; De Vries, 2005: 68; Ropohl, 2009: 13), because the term “philosophy of technology” (or rather, “philosophy of technics”) was first introduced there. Kapp used it to denote the philosophical inquiry into the effects of the use of technology on human society. (Mitcham (1994: 20), however, mentions the Scottish chemical engineer Andrew Ure as a precursor to Kapp in this context. Apparently in 1835 Ure coined the phrase “philosophy of manufactures” in a treatise on philosophical issues concerning technology.) For several decades after the publication of Kapp’s work not much philosophical work focusing on technology appeared in print and the field didn”t really get going until well into the 20th century. Again, the main publications appeared in Germany (for example, Dessauer, 1927; Jaspers, 1931; Diesel, 1939).

It should be noted that if philosophy of technology as an academic field indeed started here, the field’s origins lie outside professionalized philosophy. Jaspers was a philosopher, but neither Kapp nor most of the other early authors on the topic were professional philosophers. Kapp, for example, had earned a doctorate in classical philology and spent much of his life as a schoolteacher of geography and history and as an independent writer and untenured university lecturer (a German “Privatdozent”). Dessauer was an engineer (and an advocate of an unconditionally optimistic view of technology), Ure a chemical engineer and Diesel (son of the inventor of the Diesel engine, Rudolf Diesel) an independent writer.

In his book, Kapp argued that technological artifacts should be thought of as man-made imitations and improvements of human organs (see Brey, 2000; De Vries, 2005). The underlying idea is that human beings have limited capacities: we have limited visual powers, limited muscular strength, limited resources for storing information, etc. These limitations have led human beings to attempt to improve their natural capacities by means of artifacts such as cranes, lenses, etc. On Kapp’s view, such improvements should not so much be thought of as extensions or supplements of natural human organs, but rather as their replacements (Brey, 2000: 62). Because technological artifacts are supposed to serve as replacements of natural organs, they must on Kapp’s view be devised as imitations of these organs – after all, they are intended to perform the same function – or at least as being modeled on natural organs: ‘since the organ whose utility and power is to be increased is the standard, the appropriate form of a tool can only be derived from that organ” (Kapp, quoted and translated by Brey, 2000: 62). This way of understanding technology, which echoes the view of technology as the imitation of nature by men that was already found with Plato and Aristotle, was dominant throughout the Middle Ages and continued to be endorsed later.

The period after World War II saw a sharp increase in the amount of published reflections on technology that, for obvious reasons given the role of technology in both World Wars, often expressed a deeply critical and pessimistic view of the influence of technology on human societies, human values and the human life-world in general. Because of this increase in the amount of reflection on technology after World War II, some authors locate the emergence of the field in that period rather than in the late 19th century (for example Ihde, 1993: 14-15, 32-33; Dusek, 2006: 1-2; Kroes and others, 2008: 1). Ihde (1993: 32) points to an additional reason to locate the beginning of the field in the period following World War II: historians of technology rate World War II as the technologically most innovative period in human history until then, as during that war many new technologies were introduced that continued to drive technological innovation as well as the associated reflection on such innovation for several decades to follow. Thus, from this perspective it was World War II and the following period in which technology reached the level of prominence in the early 21st century and, accordingly, became a focal topic for philosophy. It became “a force too important to overlook”, as Ihde (1993: 32) writes.

A still different picture is obtained if one takes the existence of specialized professional societies, dedicated academic journals, topic-specific textbooks as well as a specific name identifying the field as typical signs that a particular field of investigation has become established as a branch of academia. (Note that in his influential The Structure of Scientific Revolutions, historian and philosopher of science Thomas Kuhns mentions these as signs of the establishment of a new paradigm, albeit not a new field or discipline – see Kuhn, 1970: 19.) By these indications, the process of establishing philosophy of technology as an academic field has only begun in the late 1970s and early 1980s – as Ihde (1993: 45) writes, “from the 1970s on, philosophy of technology began to take its place alongside the other “philosophies of …”” – and continued into the early 21st century.

As Mitcham (1994: 33) remarks, the term “philosophy of technology” was not widely used outside Germany until the 1980s (where the German term is “Technikphilosophie” or “Philosophie der Technik” rather than “philosophy of technology”). In 1976, the Society for the Philosophy of Technology was founded as the first professional society in the field. In the 1980s introductory textbooks on philosophy of technology began to appear. One of the very first (Ferré, 1988) appeared in the famous Prentice Hall Foundations of Philosophy series that included several hallmark introductory texts in philosophy (such as Carl Hempel’s Philosophy of Natural Science, David Hull’s Philosophy of Biological Science, William Frankena’s Ethics and Wesley Salmon’s Logic). In recent years numerous introductory texts have become available, including Ihde (1993), Mitcham (1994), Pitt (2000), Bucciarelli (2003), Fischer (2004), De Vries (2005), Dusek (2006), Irrgang (2008) and Nordmann (2008). Anthologies of classic texts in the field and encyclopedias of philosophy of technology have only very recently begun to appear (e.g., Scharff & Dusek, 2003; Kaplan, 2004; Meijers, 2009; Olsen, Pedersen & Hendricks, 2009; Olsen, Selinger, & Riis, 2009). However, there were few academic journals in the early 21st century dedicated specifically to philosophy of technology and covering the entire range of themes in the field.

”Philosophy of technology” denotes a considerable variety of philosophical endeavors. There is an ongoing discussion among philosophers of technology and scholars in related fields (e.g., science and technology studies, and engineering) on how philosophy of technology should be conceived of. One would expect to find a clear answer to this question in the available introductory texts, along with a general of agreement on the central themes and questions of the field, as well as on who are its most important authors and which the fundamental positions, theories, theses and approaches. In the case of philosophy of technology, however, comparing recent textbooks reveals a striking lack of consensus about what kind of endeavor philosophy of technology is. According to some authors, the sole commonality of the various endeavors called “philosophy of technology” is that they all in some way or other reflect on technology (cf. Rapp, 1981: 19-22; 1989: ix; Ihde, 1993: 97-98; Nordmann, 2008: 10).

For example, Nordmann characterized philosophy of technology as follows: “Not only is it a field of work without a tradition, it is foremost a field without its own guiding questions. In the end, philosophy of technology is the whole of philosophy done over again from the start – only this time with consideration for technology” (2008: 10; Reydon’s translation). Nordmann (2008: 14) added that the job of philosophy of technology is not to deal philosophically with a particular subject domain called “technology” (or “Technik” in German). Rather, its job is to deal with all the traditional questions of philosophy, relating them to technology. Such a characterization of the field, however, seems impracticably broad because it causes the name “philosophy of technology” to lose much of its meaning. On Nordmann’s broad characterization it seems meaningless to talk of “philosophy of technology”, as there is no clearly recognizable subfield of philosophy for the name to refer to. All of philosophy would be philosophy of technology, as long as some attention is paid to technology.

A similar, albeit apparently somewhat stricter, characterization of the field was given by Ferré (1988: ix, 9), who suggested that philosophy of technology is ‘simply philosophy dealing with a special area of interest”, namely technology. According to Ferré, the various “philosophies of” (of science, of biology, of physics, of language, of technology, etc.) should be conceived of as philosophy in the broad sense, with all its traditional questions and methods, but now “turned with a special interest toward discovering how those fundamental questions and methods relate to a particular segment of human concern” (Ferré, 1988: 9). The question arises what this “particular segment of human concern” called “technology” is. But first, the kinds of questions philosophers of technology ask with respect to technology must be explicated.

3. How Philosophy of Technology Can Be Done: The Principal Kinds of Questions That Philosophers of Technology Ask

Philosopher of technology Don Ihde defines philosophy of technology as philosophy that examines the phenomenon of technology per se, rather than merely considering technology in the context of reflections aimed at philosophical issues other than technology. (Note the opposition to Nordmann’s view, mentioned above.) That is, philosophy of technology “must make technology a foreground phenomenon and be able to reflectively analyze it in such a way as to illuminate features of the phenomenon of technology itself” (Ihde, 1993: 38; original emphasis).

However, there are a number of different ways in which one can approach the project of illuminating characteristic features of the phenomenon of technology. While different authors have presented different views of what philosophy of technology is about, there is no generally agreed upon taxonomy of the various approaches to (or traditions in, or styles of doing) philosophy of technology. In this section, a number of approaches that have been distinguished in the recent literature are discussed with the aim of providing an overview of the various kinds of questions that philosophers ask with respect to technology.

In an early review of the state of the field, philosopher of science Marx W. Wartofsky distinguished four main approaches to philosophy of technology (Wartofsky, 1979: 177-178). First, there is the holistic approach that sees technology as one of the phenomena generally found in human societies (on a par with phenomena such as art, war, politics, etc.) and attempts to characterize the nature of this phenomenon. The philosophical question in focus here is: What is technology? Second, Wartofsky distinguished the particularistic approach that addresses specific philosophical questions that arise with respect to particular episodes in the history of technology. Relevant questions are: Why did a particular technology gain or lose prominence in a particular period? Why did the general attitude towards technology change at a particular time? And so forth. Third is the developmental approach that aims at explaining the general process of technological change and as such has a historical focus too. And fourth, there is the social-critical approach that conceives of technology as a social/cultural phenomenon, that is a product of social conventions, ideologies, etc. In this approach, technology is seen as a product of human actions that should be critically assessed (rather than characterized, as in the holistic approach). Besides critical reflection on technology, a central question here is how technology has come to be what it is today and which social factors have been important in shaping it. The four approaches as distinguished by Wartofsky clearly are not mutually exclusive: while different approaches address similar and related questions, the difference between them is a matter of emphasis.

A similar taxonomy of approaches is found with Friedrich Rapp, an early proponent of analytic philosophy of technology (see also below). For Rapp, the principal dichotomy is between holistic and particularistic approaches, that is, approaches that conceive of technology as a single phenomenon the nature of which philosophers should clarify vs. approaches that see “technology” as an umbrella term for a number of distinct historical and social phenomena that are related to one another in complex ways and accordingly should each be examined in relation to the other relevant phenomena (Rapp, 1989: xi-xii). Rapp’s own philosophy of technology stands in the latter line of work. Within this dichotomy, Rapp (1981: 4-19) distinguished four main approaches, each reflecting on a different aspect of technology: on the practice of invention and engineering, on technology as a cultural phenomenon, on the social impact of technology, and on the impact of technology on the physical/biological system of planet Earth. While it is not entirely clear how Rapp conceives of the relation between these four approaches and his holistic/particularistic dichotomy, it seems that holism and particularism can generally be understood as modes of doing philosophy that can be realized within each of the four approaches.

Gernot Böhme (2008: 23-32) also distinguished between four main paradigms of contemporary philosophy of technology: the ontological paradigm, the anthropological paradigm, the historical-philosophical paradigm and the epistemological paradigm. The ontological paradigm, according to Böhme, inquires into the nature of artifacts and other technical entities. It basically consists in a philosophy of technology that parallels philosophy of nature, but focuses on the Aristotelian domain of poiesis instead of the domain of physis (see Section 1.a. above). The anthropological paradigm asks one of the traditional questions of philosophy – What is man? – and approaches this question by way of an examination of technology as a product of human action. The historical-philosophical paradigm examines the various manifestations of technology throughout human history and aims to clarify what characterizes the nature of technology in different periods. In this respect, it is closely related to the anthropological paradigm and individual philosophers can work in both paradigms simultaneously. Böhme (2008: 26), for example, lists Ernst Kapp as a representative of both the anthropological and historical-philosophical paradigms. Finally, the epistemological paradigm inquires into technology as a form of knowledge in the sense in which Aristotle did (See Sec. 1.a. above). Böhme (2008: 23) observed that despite the factual existence of philosophy of technology as an academic field, as yet there is no paradigm that dominates the field.

Carl Mitcham (1994) made a fundamental distinction between two principal subdomains of philosophy of technology, which he called “engineering philosophy of technology” and “humanities philosophy of technology”. Engineering philosophy of technology is the philosophical project aimed at understanding the phenomenon of technology as instantiated in the practices of engineers and others working in technological professions. It analyzes “technology from within, and [is] oriented toward an understanding of the technological way of being-in-the-world” (Mitcham, 1994: 39). As representatives of engineering philosophy of technology Mitcham lists, among others, Ernst Kapp and Friedrich Dessauer. Humanities philosophy of technology, on the other hand, consists of more general philosophical projects in which technology per se is not principal subject of concern. Rather, technology is taken as a case study that might lead to new insights into a variety of philosophical questions by examining how technology affects human life.

The above discussion shows how different philosophers have quite different views of how the field of philosophy of technology is structured and what kinds of questions are in focus in the field. Still, on the basis of the preceding discussion a taxonomy can be constructed of three principal ways of conceiving of philosophy of technology:

(1) philosophy of technology as the systematic clarification of the nature of technology as an element and product of human culture (Wartofsky’s holistic and developmental approaches; Rapp’s cultural approach; Böhme’s ontological, anthropological and historical paradigms; and Mitcham’s engineering approach);

(2) philosophy of technology as the systematic reflection on the consequences of technology for human life (Wartofsky’s particularistic and social/critical approaches; Rapp’s social impact and physical impact approaches; and Mitcham’s humanities approach);

(3) philosophy of technology as the systematic investigation of the practices of engineering, invention, designing and making of things (Wartofsky’s particularistic approach; Rapp’s invention approach; Böhme’s epistemological paradigm; and Mitcham’s engineering approach).

All three approaches are represented in present-day thinking about technology and are illustrated below.

(1) The systematic clarification of the nature of technology. Perhaps most philosophy of technology has been done – and continues to be done – in the form of reflection on the nature of technology as a cultural phenomenon. As clarifying the nature of things is a traditional philosophical endeavor, many prominent representatives of this approach are philosophers who do not consider themselves philosophers of technology in the first place. Rather, they are general philosophers who look at technology as one among the many products of human culture, such as the German philosophers Karl Jaspers (e.g., his book Die geistige Situation der Zeit; Jaspers, 1931), Oswald Spengler (Der Mensch und die Technik; Spengler, 1931), Ernst Cassirer (e.g., his Symbol, Technik, Sprache; Cassirer, 1985), Martin Heidegger (Heidegger, 1962; discussed above), Jürgen Habermas (for example with his Technik und Wissenschaft als “Ideologie”; Habermas, 1968) and Bernhard Irrgang (2008). The Spanish philosopher José Ortega y Gasset is also often counted among the prominent representatives of this line of work.

(2) Systematic reflection on the consequences of technology for human life. Related to the conception of technology as a human cultural product is the approach to philosophy of technology that reflects on and criticizes the social and environmental impact of technology. As an examination of how technology affects society, this approach lies at the intersection of philosophy and sociology, rather than lying squarely within philosophy itself. Prominent representatives thus include the German philosopher/sociologists of the Frankfurt School (Herbert Marcuse, Theodor W. Adorno and Max Horkheimer), Jürgen Habermas, the French sociologist Jacques Ellul (1954), or the American political theorist Langdon Winner (1977).

A central question in contemporary versions of this approach is whether technology controls us or we are able to control technology (Feenberg, 2003: 6; Dusek, 2006: 84-111; Nye, 2006: Chapter 2). Langdon Winner, for example, thought of technology as an autonomously developing phenomenon fundamentally out of human control. As Dusek (2006: 84) points out, this issue is in fact a constellation of two separate questions: Are the societies that we live in, and we ourselves in our everyday lives, determined by technology? And are we able to control or guide the development of technology and the application of technological inventions, or does technology have a life of its own? As it might be that while our lives are not determined by technology we still are not able to control the development and application of technology, these are separate, albeit intimately related issues. The challenge for philosophy of technology, then, is to assess the effects of technology on our societies and our lives, to explore possibilities for us to exert influence on the current applications and future development of technology, and to devise concepts and institutions that might enable democratic control over the role of technology in our lives and societies.

(3) The systematic investigation of the practices of engineering, invention, designing and making of things. The third principal approach to philosophy of technology examines concrete technological practices, such as invention, design and engineering. Early representatives of this approach include Ernst Kapp (1877), Friedrich Dessauer (1927; 1956) and Eugen Diesel (1939). The practical orientation of this approach, as well as its comparative distance from traditional issues in philosophy, is reflected in the fact that none of these three early philosophers of technology were professional philosophers (see Section 2).

A guiding idea in this approach to philosophy of technology is that the design process constitutes the core of technology (Franssen and others, 2009: Sec. 2.3), such that studying the design process is crucial to any project that attempts to understand technology. Thus, philosophers working in this approach often examine design practices, both in the strict context of engineering and in wider contexts such as architecture and industrial design (for example, Vermaas and others, 2008). In focus are epistemological and methodological questions, such as: What kinds of knowledge do engineers have? (for example, Vincenti, 1990; Pitt, 2000; Bucciarelli, 2003; Auyang, 2009; Houkes, 2009). Is there a kind of knowledge that is specific to engineering? What is the nature of the engineering process and the design process? (for example, Vermaas and others, 2008). What is design? (for example, Houkes, 2008). Is there a specific design/engineering methodology? How do reasoning and decision processes in engineering function? How do engineers deal with uncertainty, failure and error margins? (for example, Bucciarelli, 2003: Chapter 3). Is there any such thing as a technological explanation? If so, what is the structure of technological explanations? (for example, Pitt, 2000: Chapter 4; Pitt, 2009). What is the relation between science and technology and in what way are design processes similar to and different from investigative processes in natural science? (for example, Bunge, 1966).

This approach to philosophy of technology is closely related to philosophy of science, where also much attention is given to methodology and epistemology. This can be seen from the fact that central questions from philosophy of science parallel some of the aforementioned questions: What is scientific knowledge? Is there a specific scientific method, or perhaps a clearly delimited set of such methods? How does scientific reasoning work? What is the structure of scientific explanations? Etc. However, there still seems to be comparatively little attention for such questions among philosophers of technology. Philosopher of technology Joseph Pitt, for example, observed that notwithstanding the parallel with respect to questions that can be asked about technology “there is a startling lack of symmetry with respect to the kinds of questions that have been asked about science and the kinds of questions that have been asked about technology” (2000: 26; emphasis added). According to Pitt, philosophers of technology have largely ignored epistemological and methodological questions about technology and have instead focused overly on issues related to technology and society. But, Pitt pointed out, social criticism “can come only after we have a deeper understanding of the epistemological dimension of technology (Pitt, 2000: 27) and “policy decisions require prior assessment of the knowledge claims, which require good theories of what knowledge is and how to assess it” (ibid.). Thus, philosophers of technology should orient themselves anew with respect to the questions they ask.

But there are more parallels between the philosophies of technology and science. An important endeavor in philosophy of science that is also seen as central in philosophy of technology is conceptual analysis. In the case of philosophy of technology, this involves both concepts related to technology and engineering in general (concepts such as “technology”, “technics”, “technique”, “machine”, “mechanism”, “artifact”, “artifact kind”, “information”, ‘system”, “efficiency”, “risk”, etc.; see also Wartofsky, 1979: 179) and concepts that are specific for the various engineering disciplines. In addition, in both philosophy of science and philosophy of technology a renewed interest in metaphysical issues can currently be seen. For example, while philosophers of science inquire into the nature of the natural kinds that the sciences study, philosophers of technology are developing a parallel interest into the metaphysics of artifacts and kinds of artifacts (e.g., Houkes & Vermaas, 2004; Margolis & Laurence, 2007; Franssen, 2008). And lastly, philosophers of technology and philosophers of particular special sciences are increasingly beginning to cooperate on questions that are of crucial interest to both fields; a recent example is Krohs & Kroes (2009) on the notion of function in biology and technology.

A difference between the states of affairs in philosophy of science and in philosophy of technology, however, lies in the relative dominance of continental and analytic approaches. While there is some continental philosophy of science (e.g., Gutting, 2005), it constitutes a small minority in the field in comparison to analytic philosophy of science. In contrast, continental-style philosophy of technology is a domain of considerable size, while analytic-style philosophy of technology is small in comparison. Analytic philosophy of technology has existed since the 1960s and only began the process of becoming the dominant form of philosophy of technology in the early 21st century (Franssen and others, 2009: Sec. 1.3.). Kroes and others (2008: 2) even speak of a “recent analytic turn in the philosophy of technology”. Overviews of analytic philosophy of technology can be found in Mitcham (1994: Part 2), Franssen (2009) and Franssen and others (2009: Sec. 2).

4. Two Exemplary Discussions

After having mapped out three principal ways in which one can conceive of philosophy of technology, two discussions from contemporary philosophy of technology will be presented to illustrate what philosophers of technology do. The first example will demonstrate philosophy of technology as the systematic clarification of the nature of technology. The second example shows philosophy of technology as systematic reflection on the consequences of technology for human life, and is concerned with biotechnology. (Illustrations of philosophy of technology as the systematic investigation of the practices of engineering, invention, designing and making of things will not be presented. Examples of this approach to philosophy of technology can be found in Vermaas and others (2008) or Franssen and others (2009).)

a. What Is (the Nature of) Technology?

The question, What is technology? or What is the nature of technology?, is both a central question that philosophers of technology aim to answer and a question the answer to which determines the subject matter of philosophy of technology. One can think of philosophy of technology as the philosophical examination of technology, in the same way as the philosophy of science is the philosophical examination of science and the philosophy of biology the philosophical study of a particular subdomain of science. However, in this respect the philosophy of technology is in a similar situation as the philosophy of science finds itself in.

Central questions in the philosophy of science have long been what science is, what characterizes science and what distinguishes science from non-science (the demarcation problem). These questions have recently somewhat moved out of focus, however, due to the lack of acceptable answers. Philosophers of science have not been able to satisfactorily explicate the nature of science (for a recent suggestion, see Hoyningen-Huene, 2008) or to specify any clear-cut criterion by which science could be demarcated from non-science or pseudo-science. As philosopher of science Paul Hoyningen-Huene (2008: 168) wrote: “fact is that at the beginning of the 21st century there is no consensus among philosophers or historians or scientists about the nature of science.”

The nature of technology, however, is even less clear than the nature of science. As philosopher of science Marx Wartofsky put it, ““Technology” is unfortunately too vague a term to define a domain; or else, so broad in its scope that what it does define includes too much. For example, one may talk about technology as including all artifacts, that is, all things made by human beings. Since we “make” language, literature, art, social organizations, beliefs, laws and theories as well as tools and machines, and their products, such an approach covers too much” (Wartofsky, 1979: 176). More clarity on this issue can be achieved by looking at the history of the term (for example, Nye, 2006: Chapter 1; Misa, 2009; Mitcham & Schatzberg, 2009) as well as at recent suggestions to define it.

Jacob Bigelow, an early author on technology, conceived of it as a specific domain of knowledge: technology was “an account […] of the principles, processes, and nomenclatures of the more conspicuous arts” (Bigelow, 1829, quoted in Misa, 2009: 9; Mitcham & Schatzberg, 2009: 37). In a similar manner, Günter Ropohl (1990: 112; 2009: 31) defined “technology” as the ‘science of technics” (“Wissenschaft von der Technik”, where “Technik” denotes the domain of crafts and other areas of manufacturing, making, etc.). The important aspect of Bigelow’s and Ropohl’s definitions is that “technology” does not denote a domain of human activity (such as making or designing) or a domain of objects (technological innovations, such as solar panels), but a domain of knowledge. In this respect, their usage of the term is continuous with the meaning of the Greek “techne” (Section 1.a).

A review of a number of definitions of “technology” (Li-Hua, 2009) shows that there is not much overlap between the various definitions that can be found in the literature. Many definitions conceive of technology in Bigelow’s and Ropohl’s sense as a particular body of knowledge (thus making the philosophy of technology a branch of epistemology), but do not agree on what kind of knowledge it is supposed to be. On some definitions it is seen as firm-specific knowledge about design and production processes, while others conceive of it as knowledge about natural phenomena and laws of nature that can be used to satisfy human needs and solve human problems (a view which closely resembles Francis Bacon’s).

Philosopher of science Mario Bunge presented a view of the nature of technology along the latter lines (Bunge, 1966). According to Bunge, technology should be understood as constituting a particular subdomain of the sciences, namely “applied science”, as he called it. Note that Bunge’s thesis is not that technology is applied science in the sense of the application of scientific theories, models, etc. for practical purposes. Although a view of technology as being “just the totality of means for applying science” (Scharff, 2009: 160) remains present among the general public, most engineers and philosophers of technology agree that technology cannot be conceived of as the application of science in this sense. Bunge’s view is that technology is the subdomain of science characterized by a particular aim, namely application. According to Bunge, natural science and applied science stand side by side as two distinct modes of doing science: while natural science is scientific investigation aimed at the production of reliable knowledge about the world, technology is scientific investigation aimed at application. Both are full-blown domains of science, in which investigations are carried out and knowledge is produced (knowledge about the world and how it can be applied to concrete problems, respectively). The difference between the two domains lies in the nature of the knowledge that is produced and the aims that are in focus. Bunge’s statement that “technology is applied science” should thus be read as “technology is science for the purpose of application” and not as “technology is the application of science.”

Other definitions reflect still different conceptions of technology. In the definition accepted by the United Nations Conference on Trade and Development (UNCTAD), technology not only includes specific knowledge, but also machinery, production systems and skilled human labor force. Li-Hua (2009) follows the UNCTAD definition by proposing a four-element definition of “technology” as encompassing technique (that is, a specific technique for making a particular product), specific knowledge (required for making that product; he calls this technology in the strict sense), the organization of production and the end product itself. Friedrich Rapp, in contrast, defined “technology” even more broadly as a domain of human activity: “in simplest terms, technology is the reshaping of the physical world for human purposes” (Rapp, 1989: xxiii).

Thus, attempts to define “technology” in such a way that this definition would express the nature of technology, or only some of the principal characteristics of technology, have not led to any generally accepted view of what technology is. In this context, historian of science and technology Thomas J. Misa observed that historians of technology have so far resisted defining “technology” in the same way as “no scholarly historian of art would feel the least temptation to define “art”, as if that complex expression of human creativity could be pinned down by a few well-chosen words” (Misa, 2009: 8). The suggestion clearly is that technology is far too complex and too diverse a domain to define or to be able to talk about the nature of technology. Nordmann (2008: 14) went even further by arguing that not only can the term “technology” not be defined, but also it should not be defined. According to Nordmann, we should accept that technology is too diverse a domain to be caught in a compact definition. Accordingly, instead of conceiving of “technology” as the name of a particular fixed collection of phenomena that can be investigated, Nordmann held that “technology” is best understood as what Grunwald & Julliard (2005) called a “reflective concept”. According to the latter authors, “technology” (or rather, “Technik” – see Section 1.c) should simply be taken to mean whatever we mean when we use the term. While this clearly cannot be an adequate definition of the term, it still can serve as a basis for reflections on technology in that it gives us at least some sense of what it is that we are reflection on. Using “technology” in this extremely loose manner allows us to connect reflections on very different issues and phenomena as being about – in the broadest sense – the same thing. In this way, “technology” can serve as the core concept of the field of philosophy of technology.

Philosophy of technology faces the challenge of clarifying the nature of a particular domain of phenomena without being able to determine the boundaries of that domain. Perhaps the best way out of this situation is to approach the question on a case-by-case basis, where the various cases are connected by the fact that they all involve technology in the broadest possible sense of the term. Rather than asking what technology is, and how the nature of technology is to be characterized, it might be better to examine the natures of particular instances of technology and in so doing achieve more clarity about a number of local phenomena. In the end, the results from various case studies might to some extent converge – or they might not.

b. Questions Regarding Biotechnology

The question how to define “technology” is not merely an academic issue. Consider the case of biotechnology, the technological domain that features most prominently in systematic reflections on the consequences of technology for human life. When thinking about what the application of biotechnologies might mean for our lives, it is important to define what we mean by “biotechnology” such that the subject matter under consideration is delimited in a way that is useful for the discussion.

On one definition, given in 1984 by the United States Office of Technology Assessment, biotechnology comprises “[a]ny technique using organisms and their components to make products, modify plants and animals to carry desired traits, or develop micro-organisms for specific uses” (Office of Technology Assessment, 1984; Van den Beld, 2009: 1302). On such a conception of biotechnology, however, traditional farming, breeding and production of foodstuffs, as well as modern large-scale agriculture and industrialized food production would all count as biotechnology. The domain of biotechnology would thus encompass an extremely heterogeneous collection of practices and techniques of which many would not be particularly interesting subjects for philosophical or ethical reflection (although all of them affect human life: consider, for example, the enormous effect that the development of traditional farming had with respect to the rise of human societies). Accordingly, many definitions are much narrower and focus on “new” or “modern” biotechnologies, that is, technologies that involve the manipulation of genetic material. These are, after all, the technologies that are widely perceived by the general public as ethically problematic and thus as constituting the proper subject matter of philosophical reflection on biotechnology. Thus, the authors of a 2007 reported on the possible consequences, opportunities and challenges of biotechnology for Europe make a distinction between traditional and modern biotechnology, writing about modern biotechnology that it “can be defined as the use of cellular, molecular and genetic processes in production of goods and services. Its beginnings date back to the early 1970s when recombinant DNA technology was first developed” (quoted in Van den Beld, 2009: 1302).

Such narrow definitions, however, tend to cover too little. As Van den Beld (2009: 1306) pointed out in this context, “There are no definitions that are simply correct or incorrect, only definitions that are more or less pragmatically adequate in view of the aims one pursues.” When it comes to systematic reflection on how the use of technologies affects human life, the question thus is whether there is any particular area of technology that can be meaningfully singled out as constituting “biotechnology”. However, the spectrum of technological applications in the biological domain is simply too diverse.

In overviews of the technologies that are commonly discussed under the name of “biotechnology” a common distinction is between “white biotechnology” (biotechnology in industrial contexts), “green biotechnology” (biotechnology involving plants) and “red biotechnology” (biotechnology involving humans and non-human animals, in particular in medical and biomedical contexts). White biotechnology involves, among other things, the use of enzymes in detergents or the production of cheeses; the use of micro-organisms for the production of medicinal substances; the production of biofuels and bioplastics and so forth. Green biotechnology typically involves genetic technology and is also often called “green genetic technology”. It mainly encompasses the genetic modification of cultivated crops. Philosophical/ethical issues discussed under this label include the risk of outcrossing between genetically modified types of plants and the wild types; the use of genetically modified crops in the production of foodstuffs, either directly or indirectly as food for animals intended for human consumption (for example, soy beans, corn, potatoes and tomatoes); the labeling of foodstuffs produced on the basis of genetically modified organisms; issues related to the patenting of genetically modified crops and so forth.

Not surprisingly, red biotechnology is the most hotly discussed area of biotechnology as red biotechnologies directly involve human beings and non-human animals, both of which are categories that feature prominently throughout ethical discussions. Red biotechnology involves such things as the transplantation of human organs and tissues, and xenotransplantation (the transplantation of non-human animal organs and tissues to humans); the use of cloning techniques for reproductive and therapeutic purposes; the use of embryos for stem cell research; artificial reproduction, in vitro fertilization, the genetic testing of embryos and pre-implantation diagnostics and so forth. In addition, an increasingly discussed area of red biotechnology is constituted by human enhancement technologies. These encompass such diverse technologies as the use of psycho-pharmaceutical substances for the improvement of one’s mental capacities, the genetic modification of human embryos to prevent possible genetic diseases and so forth.

Other areas of biotechnology can include synthetic biology, which involves the creation of synthetic genetic systems, synthetic metabolic systems and attempts at creating living synthetic life forms from scratch. Synthetic biology does not fit into the distinction between white, green and red biotechnology and receives attention from philosophers not only because projects in synthetic biology may raise ethical questions (for example, Douglas & Savulescu, 2012) but also because of questions from epistemology and philosophy of science (for example, O”Malley, 2009; Van den Beld, 2009: 1314-1316).

Corresponding to this diversity of technologies covered by the label of “biotechnology”, philosophical reflection on biotechnology as such and on its possible consequences for human life will not be a very fruitful enterprise as there will not be much to say about biotechnology in general. Instead, philosophical reflection on biotechnology will need to be conducted locally rather than globally, taking the form of close examination of particular technologies in particular contexts. Philosophers concerned with biotechnology reflect on such specific issues as the genetic modification of plants for agricultural purposes, or the use of psycho-pharmaceutical substances for the improvement of the mental capacities of healthy subjects – not biotechnology as such. In the same way as “technology” can be thought of as a “reflective concept” (Grunwald & Julliard, 2005) that brings together a variety of phenomena under a common denominator for the purposes of enabling philosophical work, so “biotechnology” too can be understood as a “reflective concept” that is useful to locate particular considerations within the wide domain of philosophical reflection.

This is, however, not to say that on more general levels nothing can be said about biotechnology. Bioethicist Bernard Rollin, for example, considered genetic engineering in general and addressed the question whether genetic engineering could be considered intrinsically wrong – that is, wrong in any and all contexts and hence independently of the particular context of application that is under consideration (Rollin, 2006: 129-154). According to Rollin, the alleged intrinsic wrongness of genetic engineering constituted one out of three aspects of wrongness that members of the general public often associate with genetic engineering. These three aspects, which Rollin illustrated as three aspects of the Frankenstein myth (see Rollin, 2006: 135), are: the intrinsic wrongness of a particular practice, its possible dangerous consequences and the possibilities of causing harm to sentient beings. While the latter two aspects of wrongness might be avoided by means of appropriate measures, the intrinsic wrongness of a particular practice (in cases where it obtains) is unavoidable. Thus, if it could be argued that genetic engineering is intrinsically wrong – that is, something that we just ought not to do, irrespective of whatever positive or negative consequences are to be expected –, this would constitute a strong argument against large domains of white, green and red biotechnology. On the basis of an assessment of the motivations that people have to judge genetic engineering as being intrinsically wrong, Rollin, however, concluded that such an argument could not be made because in the various cases in which people concluded that genetic engineering was intrinsically wrong the premises of the argument were not well-founded.

But in this case, too, the need for local rather than global analyses can be seen. Assessing the tenability of the value judgment that genetic engineering is intrinsically wrong requires examining concrete arguments and motivations on a local level. This, I want to suggest by way of conclusion, is a general characteristic of the philosophy of technology: the relevant philosophical analyses will have to take place on the more local levels, examining particular technologies in particular contexts, rather than on more global levels, at which large domains of technology such as biotechnology or even the technological domain as a whole are in focus. Philosophy of technology, then, is a matter of piecemeal engineering, in much the same way as William Wimsatt has suggested that philosophy of science should be done (Wimsatt, 2007).

5. References and Further Reading

  • Auyang, S.Y. (2009): “Knowledge in science and engineering”, Synthese 168: 319-331.
  • Brey, P. (2000): “Theories of technology as extension of human faculties”, in: Mitcham, C. (Ed.): Metaphysics, Epistemology, and Technology (Research in Philosophy and Technology, Vol. 19), Amsterdam: JAI, pp. 59-78.
  • Böhme, G. (2008): Invasive Technologie: Technikphilosophie und Technikkritik, Kusterdingen: Die Graue Edition.
  • Bucciarelli, L.L. (1994): Designing Engineers, Cambridge (MA): MIT Press.
  • Bucciarelli, L.L. (2003): Engineering Philosophy, Delft: Delft University Press.
  • Bunge, M. (1966): “Technology as applied science”, Technology and Culture 7: 329-347.
  • Cassirer, E. (1985): Symbol, Technik, Sprache: Aufsätze aus den Jahren 1927-1933 (edited by E.W. Orth & J. M. Krois), Hamburg: Meiner.
  • De Vries, M.J. (2005): Teaching About Technology: An Introduction to the Philosophy of Technology for Non-Philosophers, Dordrecht: Springer.
  • Dessauer, F. (1927): Philosophie der Technik: Das Problem der Realisierung, Bonn: Friedrich Cohen.
  • Dessauer, F. (1956): Der Streit um die Technik, Frankfurt am Main: Verlag Josef Knecht.
  • Diesel, E. (1939): Das Phänomen der Technik: Zeugnisse, Deutung und Wirklichkeit, Leipzig: Reclam & Berlin: VDI-Verlag.
  • Douglas, T. & Savulescu, J. (2010): “Synthetic biology and the ethics of knowledge”, Journal of Medical Ethics 36: 687-693.
  • Dusek, V. (2006): Philosophy of Technology: An Introduction, Malden (MA): Blackwell.
  • Ellul, J. (1954): La Technique ou l’Enjeu du Siècle, Paris: Armand Colin.
  • Feenberg, A. (2003): “What is philosophy of technology?”, lecture at the University of Tokyo (Komaba campus), June 2003.
  • Ferré, F. (1988): Philosophy of Technology, Englewood Cliffs (NJ): Prentice Hall; unchanged reprint (1995): Philosophy of Technology, Athens (GA) & London, University of Georgia Press.
  • Fischer, P. (1996): “Zur Genealogie der Technikphilosophie”, in: Fischer, P. (Ed.): Technikphilosophie, Leipzig: Reclam, pp. 255-335.
  • Fischer, P. (2004): Philosophie der Technik, München: Wilhelm Fink (UTB).
  • Franssen, M.P.M. (2008): “Design, use, and the physical and intentional aspects of technical artifacts”, in: Vermaas, P.E., Kroes, P., Light, A. & Moore, S.A. (Eds): Philosophy and Design: From Engineering to Architecture, Dordrecht: Springer, pp. 21-35.
  • Franssen, M.P.M. (2009): “Analytic philosophy of technology”, in: J.K.B. Olsen, S.A. Pedersen & V.F. Hendricks (Eds): A Companion to the Philosophy of Technology, Chichester: Wiley-Blackwell, pp. 184-188.
  • Franssen, M.P.M., Lokhorst, G.-J. & Van de Poel, I. (2009): “Philosophy of technology”, in: Zalta, E. (Ed.): Stanford Encyclopedia of Philosophy (Fall 2009 Edition).
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Author Information

Thomas A.C. Reydon
Email: reydon@ww.uni-hannover.de
Leibniz University of Hannover
Germany

John McTaggart Ellis McTaggart (1866—1925)

McTaggartJ. M. E. McTaggart is a British idealist, best known for his argument for the unreality of time and for his system of metaphysics advocating personal idealism. By the early twentieth century, the philosophical movement known as British Idealism was waning, while the ‘new realism’ (later dubbed ‘analytic philosophy’) was gaining momentum. Although McTaggart’s commitment to idealism never faltered, he enjoyed an usually close relationship with several of the new realists. McTaggart spent almost his entire career at Trinity College, Cambridge, and there he taught Bertrand Russell, G. E. Moore and C. D. Broad. McTaggart influenced all of these figures to some degree, and all of them speak particularly highly of his careful and clear philosophical method.

McTaggart studied Hegel from the very beginning of his philosophical career and produced a large body of Hegel scholarship, including the mammoth Studies in Hegelian Cosmology (1901). Towards the end of his career he produced his two volume magnum opus The Nature of Existence (1921 & posthumously 1927), a highly original metaphysical system developing─what McTaggart took to be─Hegel’s ontology. This personal idealism holds that the universe is composed solely of minds and their perceptions, bound into a tight unity by love. However, McTaggart is best known for his influential paper “The Unreality of Time” in which he argues that change and time are contradictory and unreal. This argument, and the metaphysical groundwork it lays down, especially its contrast between his A-series and B-series of time, is still widely discussed.

Table of Contents

  1. Biography
  2. Philosophical Influences
    1. The British Idealists
    2. The British New Realists
  3. Philosophical Writings
    1. Hegel
    2. Some Dogmas of Religion
    3. The Unreality of Time
    4. The Nature of Existence
  4. References and Further Reading
    1. Primary Sources
    2. Selected Secondary Sources

1. Biography

McTaggart was born in London on 3 September 1866, the son of Francis Ellis, a county court judge, and his wife Caroline Ellis. McTaggart was born ‘John McTaggart Ellis’ and acquired the name ‘McTaggart’ as a surname when his father adopted it on condition of inheriting an uncle’s wealth. As a boy McTaggart attended a preparatory school in Weybridge, from which he was expelled for his frequent avowal of atheism. He subsequently attended school in Caterham and Clifton College, Bristol. He began studying philosophy at Trinity College, Cambridge in 1885. Once McTaggart began at Trinity, he hardly left: he graduated in 1888 with a first class degree, became a Prize Fellow in 1891, became a lecturer in Moral Sciences in 1897 and stayed until his retirement in 1923. In a letter to a friend, he writes of Cambridge: ‘Unless I am physically or spiritually at Cambridge or Oxford, I have no religion, no keenness (I do not identify them) except by snatches. I must have been made for a don… I learn a good many things there, the chief one being that I am a damned sight happier than I deserve to be’. In addition to being an academic, McTaggart was a mystic. He reports having visions ─ not imaginary, but literal perceptions of the senses ─ conveying the spiritual nature of the world; this may have played a part in his unswerving devotion to idealism. McTaggart investigates the nature of mysticism in “Mysticism” ─ reprinted in his Philosophical Studies (1934) ─ and he takes it to involve an awareness of the unity of the universe.

Beginning in 1891, McTaggart took a number of trips to New Zealand to visit his mother, and it was there that he met his future wife. He married Margaret Elizabeth Bird in New Zealand on 5 August 1899, and subsequently removed her to Cambridge. They had no children. During the first World War, McTaggart worked as a special constable and helped in a munitions factory. McTaggart’s friend Dickinson writes of him, ‘it is essential to remember that, if he was a philosopher by nature and choice he was also a lover and a husband… and a whole-hearted British patriot’ (Dickinson, 1931, 47).

Towards the end of his life McTaggart produced the first volume of his magnum opus The Nature of Existence (1921). He retired shortly afterwards in 1923, and died unexpectedly two years later on 18 January 1925. In his introduction to the second edition of Some Dogmas of Religion, McTaggart’s friend and former student Broad describes McTaggart’s funeral and mentions how one of McTaggart’s favourite Spinozistic passages were read out. It is worth mentioning here that, although McTaggart never contributed to Spinoza scholarship, he admired him greatly ─ perhaps even more than Hegel. McTaggart describes Spinoza as a great religious teacher, ‘in whom philosophical insight and religious devotion were blended as in no other man before or since’ (McTaggart, 1906, 299). The passage from Spinoza was consequently engraved on McTaggart’s memorial bass in Trinity College. McTaggart did not live to see the second volume of The Nature of Existence in print but fortunately the manuscript was largely complete and it was finally published in 1927, under Broad’s careful editorial care. Broad describes McTaggart as follows:

‘Take an eighteenth-century English Whig. Let him be a mystic. Endow him with the logical subtlety of the great schoolmen and their belief in the powers of human reason, with the business capacity of a successful lawyer, and with the lucidity of the best type of French mathematician. Inspire him (Heaven knows how) in early youth with a passion for Hegel. Then subject him to the teaching of Sidgwick and the continual influence of Moore and Russell. Set him to expound Hegel. What will be the result? Hegel himself could not have answered this question a priori, but the course of world history has solved it ambulando by producing McTaggart.’

For further biographical information (and anecdotes) see Dickinson’s (1931) biographical sketch of McTaggart, and Broad’s (1927) notice on McTaggart.

2. Philosophical Influences

McTaggart was active in British philosophy at a time when it was caught between two opposing philosophical currents ─ British Idealism and the New Realism ─ and McTaggart was involved with figures within both of these movements.

a. The British Idealists

McTaggart began his career in British philosophy when it was firmly under the sway of British Idealism, a movement which argues that the world is inherently unified, intelligible and idealist. Due to the influence of Hegel on these philosophers, the movement is also sometimes known as British Hegelianism. The movement began in the latter half of the nineteenth century; J. H. Stirling is generally credited with introducing Hegel’s work to Britain via his book The Secret of Hegel (1865). Aside from McTaggart himself, important figures in British Idealism include T. H. Green, F. H. Bradley, Harold Joachim, Bernard Bosanquet and Edward Caird. Early on, a schism appeared in the movement as to how idealism should be understood. Absolute idealists ─ such as Bradley ─ argued that reality is underpinned by a single partless spiritual unity known as the Absolute. In contrast, personal idealists ─ such as G. F. Stout and Andrew Seth ─ argued that reality consists of many individual spirits or persons. McTaggart firmly endorses personal idealism, the doctrine that he took to be Hegel’s own. In addition to his idealism, McTaggart shared other neo-Hegelian principles. Among these are his convictions that the universe is as tightly unified as it is possible for a plurality of existents to be, that the universe is fundamentally rational and open to a priori investigation, and his disregard for naturalism. On this last point, McTaggart goes so far as to say that, while science may investigate the nature of the universe, only philosophy investigates its ‘ultimate nature’ (McTaggart, 1906, 273).

Nearly all of McTaggart’s early work concerns Hegel, or Hegelian doctrines, and this work forms the basis of the metaphysical system he would later develop in so much detail. A good example of this is his earliest publication, a pamphlet printed for private circulation entitled “The Further Determination of the Absolute” (1893); it is reprinted in McTaggart’s Philosophical Studies. In this defence of idealism, McTaggart’s Hegelian credentials are well established: he repeatedly references Hegel, Green, and Bradley ─ whom he later describes as ‘the greatest of all living philosophers’. McTaggart apparently cared  greatly about this paper. In its introduction, McTaggart apologises for its ‘extreme crudeness… and of its absolute inadequacy to its subject’. In private correspondence (see Dickinson) McTaggart describes the experience of writing it. ‘It has been shown to one or two people who are rather authorities (Caird of Glasgow and Bradley of Oxford) and they have been very kind and encouraging about it… [writing] it was almost like turning one’s heart out’.

b. The British New Realists

Despite his close philosophical ties to British Idealism, McTaggart bucked the trends of the movement in a number of ways. (In fact, Broad (1927) goes so far as to say that English Hegelianism filled McTaggart with an ‘amused annoyance’). To begin with, McTaggart spent his entire career at Cambridge. Not only was Oxford, rather than Cambridge, the spiritual home of British Idealism but Cambridge became the home of new realism. While at Trinity College, McTaggart taught a number of the new realists ─ including Moore, Russell and Broad ─ and held great influence over them. Moore read and gave notes on a number of McTaggart’s works prior to publication, including Some Dogmas of Religion (1906) and the first volume of The Nature of Existence. In his obituary note on McTaggart, Moore describes him as a philosopher ‘of the very first rank’ (Moore, 1925, 271). For more on McTaggart’s influence on Moore, see Baldwin (1990). McTaggart was also involved with some of the realist debates of the time; for example, see his discussion note on Wittgenstein “Propositions Applicable to Themselves”, reprinted in his Philosophical Studies (1906).

As a young philosopher, Russell was so impressed by McTaggart’s paper “The Further Determination of the Absolute” and its doctrine of philosophical love that he used it to woo his future wife. In his autobiography, Russell writes that he remembers wondering as a student ‘as an almost unattainable ideal, whether I should ever do work as good as McTaggart’s’ (Russell, 1998, 129). Later, their relationship soured; McTaggart took a leading role in the expulsion of Russell from his fellowship following Russell’s controversial pacifist wartime writings. For more on this, and on McTaggart’s more general influence on Russell, see Dickinson (1931) and Griffin (1984). McTaggart, Russell and Moore were described at one point as ‘The Mad Tea Party of Trinity’, with McTaggart painted as the Dormouse.

As for Broad, McTaggart describes him as his ‘most brilliant’ pupil. Broad edited the two volumes of McTaggart’s The Nature of Existence, and produced extensive studies of both. Both Moore and Broad heap praise upon McTaggart for his exceptional clarity and philosophic rigour; the lack of these qualities in other idealists played a part in driving both of these new realists away from British Idealism. For example, Broad writes: ‘The writings of too many eminent Absolutists seem to start from no discoverable premises; to proceed by means of puns, metaphors, and ambiguities; and to resemble in their literary style glue thickened with sawdust’ (Broad, 1933, ii). In contrast, Broad says of McTaggart that he ‘was an extremely careful and conscientious writer… [to] be ranked with Hobbes, Berkeley and Hume among the masters of English philosophical prose… [his] style is pellucidly clear’ (Broad, 1927, 308).

Not only did McTaggart enjoy close relationships with the new realists, they shared some basic philosophic tenets. For example, McTaggart and the new realists reject the Bradleyian claim that reality and truth come in degrees. McTaggart argues that there is a ‘confusion’ which leads philosophers to move from one to the other (McTaggart, 1921, 4). McTaggart also rejects the coherence theory of truth espoused by British idealists such as Joachim (and, arguably, Bradley) in favour of the correspondence theory of truth (McTaggart, 1921, 10).

3. Philosophical Writings

a. Hegel

While many of the British idealists studied Hegel, few entered into the murky waters of Hegel scholarship. McTaggart is an exception: Hegel scholarship occupied McTaggart for most of his career. Hegel is a German idealist and his work is notoriously difficult. While some of the British  idealists understood Hegel to be arguing that reality consists of a single partless spiritual being known as the Absolute, McTaggart took Hegel to be arguing for personal idealism.

Hegel is discussed in McTaggart’s very first publication, “The Further Determination of the Absolute” (1893). McTaggart argues that the progress of any idealistic philosophy may be divided into three stages: the proof that reality is not exclusively matter, the proof that reality is exclusively spirit and determining the fundamental nature of that spirit. McTaggart describes Hegel’s understanding of the fundamental nature of spirit as follows. ‘Spirit is ultimately made up of various finite individuals, each of which finds his character and individuality by relating himself to the rest, and by perceiving that they are of the same nature as himself’. The individuals that make up spirit are interdependent, united by a pattern or design akin to an organic unity. McTaggart adds that justifying this ‘would be a task beyond the limits of this paper… it could only be done by going over the whole course of Hegel’s Logic’. One way of understanding the rest of McTaggart’s career is to see that he is making good on his threat to justify Hegel’s understanding of spirit.

Just some of McTaggart’s works on Hegel include Studies in the Hegelian Dialectic (1896), Studies in Hegelian Cosmology (1901) and A Commentary on Hegel’s Logic (1910). A central theme in these books is the question of how the universe, as unified spirit, is differentiated into finite spirits ─ how can a unity also be a plurality? McTaggart takes Hegel to have solved this problem by postulating a unity which is not only in the individuals, but also for the individuals, in that reality is a system of conscious individuals wherein each individual reflects the whole: ‘If we take all reality, for the sake of convenience, as limited to three individuals, A, B, and C, and suppose them to be conscious, then the whole will be reproduced in each of them… [A will] be aware of himself, of B, and of C, and of the unity which joins them in a system’ (McTaggart, 1901, 14). Later, this is exactly the position that McTaggart himself advances. McTaggart also discusses Hegel’s dialectic method at length; this is the process whereby opposition between a thesis and an anti-thesis is resolved into a synthesis. For example, ‘being’ and ‘not being’ are resolved into ‘becoming’. Despite his admiration for this method, McTaggart does not use it in his Nature of Existence; instead of proceeding by dialectic, his argument proceeds via the more familiar method of principles and premises.

There is disagreement within contemporary Hegel scholarship as to how correct McTaggart’s reading of Hegel is. Stern argues that McTaggart’s reading of Hegel bears close similarities to contemporary readings, and that it should be seen as an important precursor (Stern, 2009, 121). In contrast, in his introduction to Some Dogmas of Religion, Broad argues that ‘if McTaggart’s account of Hegelianism be taken as a whole and compared with Hegel’s writings as a whole, the impression produced is one of profound unlikeness’. Similarly, Geach compares McTaggart’s acquaintance with Hegel’s writings to the chapter-and-verse knowledge of the Bible that out-of-the-way Protestant sectarians often have; he adds that the ‘unanimous judgement’ of Hegel scholars appears to be that McTaggart’s interpretations of Hegel were as perverse as these sectarians’ interpretations of the Bible (Geach, 1979, 17).

b. Some Dogmas of Religion

Some Dogmas of Religion (1906) is an exception to McTaggart’s main body of work, in that it assumes no knowledge of philosophy and is intended for general audience. The book covers a large number of topics, from the compatibility of God’s attributes to human freewill. This section picks out three of the book’s central themes: the role of metaphysics, McTaggart’s brand of atheism and the immortality of the soul.

McTaggart defines metaphysics as ‘the systematic study of the ultimate nature of reality’. A dogma is ‘any proposition which has a metaphysical significance’, such as belief in God (McTaggart, 1906, 1). McTaggart argues that dogmas can only be produced by reason ─ by engaging in metaphysics. Science does not produce dogmas, for scientific claims do not aim to express the fundamental nature of reality. For example, science tells us about the laws governing the part of the universe know as ‘matter’ are mechanical. Science does not go on to tell us whether these laws are manifestations of deeper laws, or the will of God (McTaggart, 1906, 13-4). In fact, McTaggart argues that the consistency of science would be unaffected if its object of study ─ matter ─ turned out to be immaterial. To learn about the ultimate nature of the world, we must look to metaphysics, not science.

McTaggart embodies two apparently contradictory characteristics: he is religious and an atheist. The apparent contradiction is resolved by McTaggart’s definition of religion. ‘Religion is clearly a state of mind… an emotion resting on a conviction of a harmony between ourselves and the universe at large’ (McTaggart, 1906, 3). McTaggart aims to define religion as broadly as possible, so as to include the traditional systems ─ such as those of the Greeks, Roman Christians, Judaism and Buddhism ─ and the idiosyncratic ones espoused by philosophers like Spinoza and Hegel. Given this very broad definition of religion, McTaggart’s own system of personal idealism qualifies as religious. However, McTaggart is an atheist, for he denies the existence of God. In Some Dogmas of Religion McTaggart does not argue for atheism, he merely rejects some of the traditional arguments for theism. He defines God as ‘a being that is personal, supreme and good’ (McTaggart, 1906, 186) and argues that theistic arguments do not prove the existence of such a being. For example, the cosmological ‘first cause’ argument claims that if every event must have a cause, including the universe’s very first event, then the first cause must being a which is uncaused: God. McTaggart argues that even if this argument is valid, it does not prove the existence of God, for it does not prove that the first existing being is either personal or good (McTaggart, 1906, 190-1). In The Nature of Existence, McTaggart goes even further than this and argues directly for atheism (McTaggart, 1927, 176-89).

Given that McTaggart denies the reality of time and the existence of God, it may seem strange that he also affirms the immortality of the human soul. However, McTaggart held all three of these claims throughout his life. In Some Dogmas of Religion, McTaggart takes the immortality of the soul as a postulate, and considers objections to it, such as the claim that the soul or self is an activity of the finite human body, or that it cannot exist without it. McTaggart argues that none of these objections are successful. For example, concerning the claim that the self is of such a nature that it cannot exist outside of its present body, McTaggart argues that while we have no evidence of disembodied selves, this shows at most that the self needs some body, not that it needs the body it currently has (McTaggart, 1906, 104-5). McTaggart concludes that the immortality of the soul is at least a real possibility, for souls can move from body to body. He argues that souls are immortal, not in the sense of existing at every time ─ for time does not exist ─ but in the sense that we enjoy a succession of lives, before and after this one. McTaggart calls this the doctrine of the ‘plurality of lives’ (McTaggart, 1906, 116). He goes on to argue that our journey throughout these lives is not guided by chance or mechanical necessity, but rather by the interests of spirit: love, which ‘would have its way’. For example, our proximity to our loved ones is not the product of chance or mechanical arrangement, but is rather caused by the fact that our spirits are more closely connected to these selves than to others. This accounts for phenomena such as ‘love at first sight’: we have loved these people before, in previous lives (McTaggart, 1906, 134-5). In The Nature of Existence, McTaggart puts forward a positive argument for the immortality of the soul and continues to emphasise that love is of the utmost importance. By affirming the immortality of the soul, McTaggart seems to take himself to be following Spinoza in making death ‘the least of all things’ (McTaggart, 1906, 299).

c. The Unreality of Time

McTaggart’s paper “The Unreality of Time” (1908) presents the argument he is best known for. (The argument of this paper is also included in the second volume of The Nature of Existence.) McTaggart argues that the belief in the unreality of time has proved ‘singularly attractive’ throughout the ages, and attributes such belief to Spinoza, Kant, Hegel and Bradley. (In the case of Spinoza, this attribution is arguable; Spinoza describes time as a general character of existents, albeit one conceived using the imagination.) McTaggart offers us a wholly new argument in favour of this belief, and here is its outline.

McTaggart distinguishes two ways of ordering events or ‘positions’ in time: the A series takes some position as present, and orders other positions as running from the past to the present and from the present to the future; meanwhile the B series orders events in virtue of whether they are earlier or later than other events. The argument itself has two steps. In the first step, McTaggart aims to show that there is no time without the A series because only the A series can account for change. On the B series nothing changes, any event N has ─ and will always have ─ the same position in the time series: ‘If N is ever earlier than O and later than M, it will always be, and has always been… since the relations of earlier and later are permanent’. In contrast, change does occur on the A series. For example an event, such as the death of Queen Anne, began by being a future event, became present and then became past. Real change only occurs on the A series when events move from being in the future, to being in the present, to being in the past.

In the second step, McTaggart argues that the A series cannot exist, and hence time cannot exist. He does so by attempting to show that the existence of the A series would generate contradiction because past, present and future are incompatible attributes; if an event M has the attribute of being present it cannot also be in the past and the future. However, McTaggart maintains that ‘every event has them all’ ─ for example, if M is past, then it has been present and future ─ which is inconsistent with change. As the application of the A series to reality involves a contradiction, the A series cannot be true of reality. This does not entail that our perceptions are false; on the contrary, McTaggart maintains that it is possible that the realities which we perceive as events in a time series do really form a non-temporal C series. Although this C series would not admit of time or change, it does admit of order. For example, if we perceive two events M and N as occurring at the same time, it may be that ─ while time does not exist ─ M and N have the same position in the ordering of the C series. McTaggart attributes this view of time to Hegel, claiming that Hegel regards the time series as a distorted reflexion of something in the real nature of the timeless reality. In “The Unreality of Time”, McTaggart does not consider at length what the C series is; he merely suggests that the positions within it may be ultimate facts or that they are determined by varying quantities within objects. In “The Relation of Mind to Eternity” (1909) ─ reprinted in his Philosophical Studies ─ McTaggart goes further than this. He compares our perception of time to viewing reality through a tinted glass, and suggests that the C series is an ordering of representations of reality according to how accurate they are. Our ersatz temporal perception that we are moving through time reflects our movement towards the end point of this series, which is the correct perception of reality. This end point will involve the fact that reality is really timeless, so time is understood as the process by which we reach the timeless. Later still, in the second volume of The Nature of Existence, McTaggart reconsiders this position and argues that while the objects of the C series are representations of reality, they are not ordered by veracity. Instead, McTaggart argues that the ‘fundamental sense’ of the C series is that it is ordered according to the ‘amount of content of the whole that is included in it’: it runs from the less inclusive to the more inclusive (McTaggart, 1927, 362). However, McTaggart does not give up his claim that the C series will reach a timeless end point. For more on this, see The Nature of Existence (1927), chapters 59-61.

Reception to “The Unreality of Time” among McTaggart’s contemporaries was mixed. Ewing describes its implausible conclusion as ‘heroic’, while Broad describes it ‘as an absolute howler’. This argument is probably the most influential piece of philosophy that McTaggart ever produced. Although the paper’s conclusions are rarely endorsed in full, it is credited with providing the framework for a debate ─ between the A and B series of time ─ which is still alive today.  For discussion, see Dummett “A Defence of McTaggart’s Proof of the Unreality of Time” (1960),  Lowe “The Indexical Fallacy in McTaggart’s Proof of the Unreality of Time” (1987) and Le Poidevin & Mellor “Time, Change, and the ‘ Indexical Fallacy’” (1987). For an extended, more recent discussion, see Dainton (2001).

d. The Nature of Existence

McTaggart’s magnum opus aims to provide a comprehensive, systematic a priori description of the world; the conclusion of this system is personal idealism. Broad claims that The Nature of Existence may quite fairly be ranked with the Enneads of Plotinus, the Ethics of Spinoza, and the Encyclopaedia of Hegel (Broad, 1927). The central argument of The Nature of Existence is based on the nature of substance and it is extremely complex. The bare bones of the argument contains three steps but along the way, McTaggart makes use of a number of subsidiary arguments.

In the first step, McTaggart argues that the universe contains multiple substances. McTaggart defines a substance as whatever exists and has qualities, or stands in relations, but is not itself a quality or relation, entailing that the following are all substances: sneezes, parties and red-haired archdeacons (McTaggart, 1921, 73). Given this broad definition, McTaggart argues that at least one substance exists; this is true given the evidence of our senses, and that there is anything around to consider the statement at all. All substances have qualities (today, we would say ‘properties’) such as redness and squareness. If there are multiple substances, then relations hold between them. Although to contemporary philosophers the claim that relations are real is familiar, in the context of British Idealism this is a significant departure from Bradley’s claim that relations are unreal. The qualities and relations possessed by a substance are jointly called its characteristics. McTaggart puts forward two kinds of arguments for the claim that there are multiple substances. Firstly, there are empirical proofs, such as the claim that if I and the things I perceive exist, then there are at least two substances (McTaggart, 1921, 75). Secondly, as we will see below, McTaggart argues that all substances can be differentiated into further substances. If this is true then it follows that if at least one substance exists, many exist.

In the second step, McTaggart places two necessary ontological conditions on the nature of substances ─ they must admit of sufficient descriptions, and they must be differentiated into further substances ─ which results in his theory of determining correspondence.

The first ontological condition McTaggart places on substance is that they must admit of sufficient descriptions. This grows out of McTaggart’s extended discussion of the ‘Dissimilarity of the Diverse’ ─ see Chapter 10 of the first volume of the Nature of Existence ─ which argues that diverse (that is, non-identical) things are dissimilar, that two things cannot have the same nature. This ‘similarity’ involves the properties and relations a substance has. For example, McTaggart argues that if space is absolute then two things will occupy different spatial positions and stand in dissimilar spatial relations. McTaggart discusses the relationship between his principle the ‘Dissimilarity of the Diverse’, and Leibniz’s principle the ‘Identity of Indiscernibles’, which states that two things are identical if they are indiscernible. McTaggart prefers the name of his principle, for it does not suggest that there are indiscernibles which are identical but rather that there is nothing which is indiscernible from anything else. McTaggart goes on to argue that all substances admit of an ‘exclusive description’ which applies only to them via a description of their qualities. For example, the description ‘The continent lying over the South Pole’ applies to just one substance. All substances admit of exclusive descriptions because, given the Dissimilarity of the Diverse, no substance can have exactly the same nature as any other (McTaggart, 1921, 106). There are two kinds of exclusive descriptions: firstly, the kind that introduce another substance into the description, such as ‘The father of Henry VIII’; secondly, the kind known as ‘sufficient descriptions’, which describe a substance purely in terms of its qualities, without introducing another substance into the description, such as ‘The father of a monarch’. McTaggart argues that all substances must admit of sufficient descriptions: all substances are dissimilar to all other substances and as a result they admit of exclusive descriptions. If a substance could not be described without making reference to other substances then we would arrive at an infinite regress (because, as we will see, all substances are differentiated to infinity) and the description would correspondingly be infinite (McTaggart, 1921, 108). Such a regress would be vicious because it would never be completed. As substances do exist, they must admit of sufficient descriptions.

The second ontological condition placed on substances is that they are infinitely differentiated into proper parts which are also substances. By ‘differentiated,’ McTaggart implies that they are divisible and that they are divisible into parts unlike their wholes. To illustrate, a homogeneous ─ that is, uniform ─ liquid akin to milk might be infinitely divisible, but all of its parts would be like their wholes, they would merely be smaller portions of milk. In contrast, a heterogeneous ─ that is, non-uniform ─ liquid akin to a fruit smoothie would be infinitely divisible into parts that are unlike their whole: the whole might contain cherry and orange, while its parts contain pieces of cherry and orange respectively. McTaggart argues that all substances are infinitely differentiated by denying a priori that ‘simple’ partless substances are possible; he does so in two ways. The first way is based on divisibility. Simples would have to be indivisible in every dimension ─ in length, breadth and time ─ and this is impossible because even a substance like ‘pleasure’ has two dimensions, if it lasts for at least two moments of time (McTaggart, 1921, 175). The second way is based on notion of content. A simple substance would be a substance without ‘content’ in that it would lack properties and would not stand in relations. McTaggart argues that it is part of our notion of a substance that they must have a ‘filling’ of some sort ─  an ‘internal structure’ ─ and this could only be understood to mean that they must have parts (McTaggart, 1921, 181). Both of these arguments are somewhat hazy; see Broad (1933) for an extensive discussion and critique.

McTaggart’s full account of parts and wholes ─ which discusses divisibility, simples and composition ─ can be found in the first volume of The Nature of Existence, chapters 15-22. McTaggart endorses the doctrine of unrestricted composition, whereby any two substances compose a further compound substance. It follows from this that the universe or ‘all that exists’ is a single substance composed of all other substances (McTaggart, 1921, 78). While we might doubt the existence of simples (that is, partless atoms) we cannot doubt the existence of the universe because it includes all content (McTaggart, 1921, 172). Given McTaggart’s claim that all substances are differentiated and that unrestricted composition occurs, it follows that all parts and all collections of substances are themselves substances. These dual claims have made their way into an argument within contemporary metaphysics by Jonathan Schaffer. In contemporary parlance, anything that is infinitely divisible into proper parts which also have proper parts is ‘gunky’. One way of understanding McTaggart is to see that he claiming that, while all substances lack a ‘lower’ level ─ because they are gunky, infinitely divisible into further parts ─ all substances have a ‘highest’ level in the form of the universe, a substance which includes all content. Schaffer makes use of this asymmetry of existence ─ the fact that one can seriously doubt the existence of simples but not the existence of the universe as a whole ─ to argue for priority monism (Schaffer, 2010, 61).

With these two ontological conditions in place ─ that substances must admit of sufficient descriptions and be differentiated ─ McTaggart sets out to combine them into his theory of determining correspondence. This theory is extremely difficult and rather obscure; see Wisdom (1928) and Broad (1933). Essentially, McTaggart argues that the two ontological conditions result in contradiction unless substances fulfil a certain requirement. The worry is that a substance A cannot be given a sufficient description in virtue of sufficient descriptions of its parts M, for they can only be described in virtue of a sufficient descriptions of their parts… and so on to infinity. This is a vicious series because the sufficient descriptions of the members of M can only be made sufficient by means of the last stage of an unending series; in other words, they cannot be made sufficient at all (McTaggart, 1921, 199). Of course, as there are substances, they must admit of sufficient descriptions. McTaggart’s way out of this apparent contradiction seems to be to reverse the direction of epistemological priority: we have been considering deducing a sufficient description of a substance in virtue of its parts; instead, we should be deducing sufficient descriptions of the parts in virtue of the substance of which they are a whole. ‘[If] the contradiction is to be avoided, there must be some description of every substance which does imply sufficient descriptions of every part through all its infinite series of sets of parts’ (McTaggart, 1921, 204). The only way to provide such a description is via the law of determining correspondence, which asserts that each part of A is in a one-to-one correspondence with each term of its infinite series, the nature of the correspondence being such that, in the fact that a part of A corresponded in this way to a reality with a given nature, there would be implied a sufficient description of that part of A. The theory of determining correspondence involves a classification of the contents of the universe. The universe is a primary whole and it divides into primary parts, whose sufficient descriptions determine ─ by virtue of the relation of determining correspondence ─ the sufficient description of all further, secondary parts.

In the third step of his argument, McTaggart shows that the only way the nature of substance could comply with the theory of determining correspondence is if substance is spirit. He does this by eliminating the other candidates for the nature of substance, matter and sense data. His objections to both of these rival candidates are similar; we will focus on his rejection of matter. McTaggart argues that while there ‘might’ be no difficulty in the claim that matter is infinitely divisible, there is certainly is difficulty in the claim that matter can allow for determining correspondence (McTaggart, 1927, 33). This is impossible because, in a material object, the sufficient description of the parts determines the sufficient description of the whole, not the other way around. ‘If we know the shape and size of each one of a set of parts of A, and their position relatively to each other, we know the size and shape of A… we shall thus have an infinite series of terms, in which the subsequent terms imply the precedent’ (McTaggart, 1927, 36). As we have already seen above, such a series will involve a contradiction, for the description will never ‘bottom out’. One way out of this contradiction might be to postulate that, at each level of composition, the parts bear a ‘new’ property ─ such as a new colour or taste ─ which would be sufficient to describe them. McTaggart swiftly dispenses with this reply by arguing that it would require matter to possess an infinite number of sorts of qualities ─ ‘one sort for each of the infinite series of grades of secondary parts’ ─ and there is no reason to suppose that matter possesses more than the very limited number of qualities that are currently known to us (McTaggart, 1927, 35). McTaggart briefly considers dividing matter to infinity in time but dismisses the idea because of course, for McTaggart, time is unreal. McTaggart concludes that matter cannot exist. Interestingly, he does not take this conclusion to imply anti-realism about science or common sense, for when those disciplines use terms which assume the existence of matter, what is meant by those terms ‘remains just as true’ if we take the view that matter does not exist (McTaggart, 1927, 53).

Having dispensed with its rivals, McTaggart turns to idealism. Spiritual substances include selves, their parts, and compounds of multiple selves. Idealism is compatible with the theory of determining correspondence when the primary parts of the universe are understood to be selves, and the secondary parts their perceptions which are differentiated to infinity (McTaggart, 1927, 89).   While this does not amount to a positive proof of idealism, it gives us good reason to believe that nothing but spirit exists, for there is no other option on the table (McTaggart, 1927, 115). McTaggart also describes how the universe is a ‘self-reflecting unity’, in that the parts of the universe reflect every other part (McTaggart, 1921, 299). As we saw above, this is the view that McTaggart attributed to Hegel. McTaggart’s system also bears some similarity to the monadism advanced in Leibniz’s Monadology, wherein each monad is a spirit that reflects every other monad. Furthermore, in Leibniz’s system the highest ranks of monads are capable of entering into a community with God of pure love. Similarly, in McTaggart’s system (although there is no divine monarch) the souls are bound together by the purest form of love which results in the purest form of happiness (McTaggart, 1927, 156). These arguments are but developments of principles that McTaggart had espoused his entire life.

This section merely describes the main thread of argument in The Nature of Existence; the work itself covers many more topics. These include the notion of organic unity, the nature of cogitation, volition, emotion, good and evil, and error. Further topics are also covered in McTaggart’s Philosophical Studies, such the nature of causality and the role of philosophy as opposed to science.

4. References and Further Reading

a. Primary Sources

  • (1893) “The Further Determination of the Absolute”. Pamphlet designed for private distribution only. Reprinted in McTaggart’s Philosophical Studies.
  • (1896) “Time and the Hegelian Dialectic”. Mind Vol. 2, 490–504.
  • (1896) Studies in the Hegelian Dialectic. CUP: GB.
  • (1897) “Hegel’s Treatment of the Categories of the Subjective Notion”. Mind Vol. 6, 342–358.
  • (1899) “Hegel’s Treatment of the Categories of the Objective Notion”. Mind Vol. 8, 35–62.
  • (1900) “Hegel’s Treatment of the Categories of the Idea”. Mind Vol. 9, 145–183.
  • (1901) Studies in Hegelian Cosmology. CUP: Glasgow.
  • (1906) Some Dogmas of Religion. Edward Arnold press: GB.
  • (1908) “The Unreality of Time”. Mind Vol. 17, 457–474.
  • (1909) “The Relation of Time to Eternity” Mind Vol. 18, 343-362.
  • (1910) A Commentary on Hegel’s Logic. CUP: GB.
  • (1916) Human Immortality and Pre-Existence. Edward Arnold Press: GB.
  • (1921) The Nature of Existence I. CUP: London.
  • (1927)The Nature of Existence II. Edited by C. D. Broad. CUP: London.
  • (1934) Philosophical Studies. Edited by S.V. Keeling. Theomes Press: England.
    • [A large collection of McTaggart’s papers]

b. Selected Secondary Sources

  • Baldwin, Thomas (1990). G. E. Moore. Routledge: UK.
    • [Describes the relationship between Moore and McTaggart]
  • Bradley, F. (1920). Appearance and Reality. George Allen & Unwin Ltd: GB
    • [Bradley is the arch British idealist]
  • Broad, C. D. (1927). “John McTaggart Ellis McTaggart 1866-1925”, Proceedings of the British Academy Vol. XIII, 307-334.
  • Broad, C.D. (1933) An Examination of McTaggart’s Philosophy. CUP: GB
  • Dainton, Barry (2001). Time and Space. Acumen Publishing Ltd: GB.
    • [Provides an excellent discussion of McTaggart’s argument on the unreality of time]
  • Dickinson, G. Lowes (1931). J. M. E. McTaggart. CUP: GB.
  • Geach, Peter (1979). Truth, Love and Immortality: an Introduction to McTaggart’s Philosophy. University of California Press: GB.
  • Moore, G.E. (1925). “Death of Dr. McTaggart”, Mind Vol. 34, 269–271.
  • Moore, G.E. (1942). “An Autobiography”, in The Philosophy of G.E. Moore. Tudor Publishing Company: GB.
  • Russell, Bertrand (1998). The Autobiography of Bertrand Russell. Routledge: GB.
  • Schaffer, Jonathan (2010). “Monism: The Priority of the Whole”, Philosophical Review, Vol. 119, pp. 31-76.
    • [Utilises McTaggart’s asymmetry of existence – between the non-existence of simples and the existence of the universe as a whole – in a new way]
  • Stern, Robert (2009). Hegelian Metaphysics. OUP: GB.
    • [Gives an excellent history of the movement, and discusses how close McTaggart’s interpretation of Hegel is to Hegel himself]
  • Wisdom, John. 1928. “McTaggart’s Determining Correspondence of Substance: a Refutation”, Mind Vol. 37, 414–438.

 

Author Information

Emily Thomas
Email: aeet2@cam.ac.uk
University of Cambridge
United Kingdom

The Lucas-Penrose Argument about Gödel’s Theorem

In 1961, J.R. Lucas published “Minds, Machines and Gödel,” in which he formulated a controversial anti-mechanism argument.  The argument claims that Gödel’s first incompleteness theorem shows that the human mind is not a Turing machine, that is, a computer.  The argument has generated a great deal of discussion since then.  The influential Computational Theory of Mind, which claims that the human mind is a computer, is false if Lucas’s argument succeeds.  Furthermore, if Lucas’s argument is correct, then “strong artificial intelligence,” the view that it is possible at least in principle to construct a machine that has the same cognitive abilities as humans, is false.  However, numerous objections to Lucas’s argument have been presented.  Some of these objections involve the consistency or inconsistency of the human mind; if we cannot establish that human minds are consistent, or if we can establish that they are in fact inconsistent, then Lucas’s argument fails (for reasons made clear below).  Others object to various idealizations that Lucas’s argument makes.  Still others find some other fault with the argument.  Lucas’s argument was rejuvenated when the physicist R. Penrose formulated and defended a version of it in two books, 1989’s The Emperor’s New Mind and 1994’s Shadows of the Mind. Although there are similarities between Lucas’s and Penrose’s arguments, there are also some important differences.  Penrose argues that the Gödelian argument implies a number of claims concerning consciousness and quantum physics; for example, consciousness must arise from quantum processes and it might take a revolution in physics for us to obtain a scientific explanation of consciousness.  There have also been objections raised to Penrose’s argument and the various claims he infers from it: some question the anti-mechanism argument itself, some question whether it entails the claims about consciousness and physics that he thinks it does, while others question his claims about consciousness and physics, apart from his anti-mechanism argument.

Section one discusses Lucas’s version of the argument.  Numerous objections to the argument – along with Lucas’s responses to these objections – are discussed in section two. Penrose’s version of the argument, his claims about consciousness and quantum physics, and various objections that are specific to Penrose’s claims are discussed in section three. Section four briefly addresses the question, “What did Gödel himself think that his theorem implied about the human mind?”  Finally, section five mentions two other anti-mechanism arguments.

Table of Contents

  1. Lucas’s Original Version of the Argument
  2. Some Possible Objections to Lucas
    1. Consistency
    2. Benacerraf’s Criticism
    3. The Whiteley Sentence
    4. Issues Involving “Idealizations”
    5. Lewis’s Objection
  3. Penrose’s New Version of the Argument
    1. Penrose’s Gödelian Argument
    2. Consciousness and Physics
  4. Gödel’s Own View
  5. Other Anti-Mechanism Arguments
  6. References and Further Reading

1. Lucas’s Original Version of the Argument

Gödel’s (1931) first incompleteness theorem proves that any consistent formal system in which a “moderate amount of number theory” can be proven will be incomplete, that is, there will be at least one true mathematical claim that cannot be proven within the system (Wang 1981: 19).  The claim in question is often referred to as the “Gödel sentence.”  The Gödel sentence asserts of itself: “I am not provable in S,” where “S” is the relevant formal system.  Suppose that the Gödel sentence can be proven in S.  If so, then by soundness the sentence is true in S.  But the sentence claims that it is not provable, so it must be that we cannot prove it in S.  The assumption that the Gödel sentence is provable in S leads to contradiction, so if S is consistent, it must be that the Gödel sentence is unprovable in S, and therefore true, because the sentence claims that it is not provable.  In other words, if consistent, S is incomplete, as there is a true mathematical claim that cannot be proven in S. For an introduction to Gödel’s theorem, see Nagel and Newman (1958).

Gödel’s proof is at the core of Lucas’s (1961) argument, which is roughly the following.  Consider a machine constructed to produce theorems of arithmetic.  Lucas argues that the operations of this machine are analogous to a formal system.  To explain, “if there are only a definite number of types of operation and initial assumptions built into the [machine], we can represent them all by suitable symbols written down on paper” (Lucas 1961: 115).  That is, we can associate specific symbols with specific states of the machine, and we can associate “rules of inference” with the operations of the machine that cause it to go from one state to another.  In effect, “given enough time, paper, and patience, [we could] write down an analogue of the machine’s operations,” and “this analogue would in fact be a formal proof” (ibid).  So essentially, the arithmetical claims that the machine will produce as output, that is, the claims the machine proves to be true, will “correspond to the theorems that can be proved in the corresponding formal system” (ibid).  Now suppose that we construct the Gödel sentence for this formal system.  Since the Gödel sentence cannot be proven in the system, the machine will be unable to produce this sentence as a truth of arithmetic.  However, a human can look and see that the Gödel sentence is true.  In other words, there is at least one thing that a human mind can do that no machine can.  Therefore, “a machine cannot be a complete and adequate model of the mind” (Lucas 1961: 113).  In short, the human mind is not a machine.

Here is how Lucas (1990: paragraph 3) describes the argument:

I do not offer a simple knock-down proof that minds are inherently better than machines, but a schema for constructing a disproof of any plausible mechanist thesis that might be proposed.  The disproof depends on the particular mechanist thesis being maintained, and does not claim to show that the mind is uniformly better than the purported mechanist representation of it, but only that it is one respect better and therefore different.  That is enough to refute that particular mechanist thesis.

Further, Lucas (ibid) believes that a variant of his argument can be formulated to refute any future mechanist thesis.  To explain, Lucas seems to envision the following scenario:  a mechanist formulates a particular mechanistic thesis by claiming, for example, that the human mind is a Turing machine with a given formal specification S.  Lucas then refutes this thesis by producing S’s Gödel sentence, which we can see is true, but the Turing machine cannot.  Then, a mechanist puts forth a different thesis by claiming, for example, that the human mind is a Turing machine with formal specification S’.  But then Lucas produces the Gödel sentence for S’, and so on, until, presumably, the mechanist simply gives up.

One who has not studied Gödel’s theorem in detail might be wondering: why can’t we simply add the Gödel sentence to the list of theorems a given machine “knows” thereby giving the machine the ability Lucas claims it does not have?  In Lucas’s argument, we consider some particular Turing machine specification S, and then we note that “S-machines” (that is, those machines that have formal specification S) cannot see the truth of the Gödel sentence while we can, so human minds cannot be S-machines, at least.  But why can’t we simply add the Gödel sentence to the list of theorems that S-machines can produce?  Doing so will presumably give the machines in question the ability that allegedly separates them from human minds, and Lucas’s argument falters.  The problem with this response is that even if we add the Gödel sentence to S-machines, thereby producing Turing machines that can produce the initial Gödel sentence as a truth of arithmetic, Lucas can simply produce a new Gödel sentence for these updated machines, one which allegedly we can see is true but the new machines cannot, and so on ad infinitum.  In sum, as Lucas (1990: paragraph 9) states,  “It is very natural…to respond by including the Gödelian sentence in the machine, but of course that makes the machine a different machine with a different Gödelian sentence all of its own.”  This issue is discussed further below.

One reason Lucas’s argument has received so much attention is that if the argument succeeds, the widely influential Computational Theory of Mind is false.  Likewise, if the argument succeeds, then “strong artificial intelligence” is false; it is impossible to construct a machine that can perfectly mimic our cognitive abilities.  But there are further implications; for example, a view in philosophy of mind known as Turing machine functionalism claims that the human mind is a Turing machine, and of course, if Lucas is right, this form of functionalism is false. (For more on Turing machine functionalism, see Putnam (1960)).  So clearly there is much at stake.

2. Some Possible Objections to Lucas

Lucas’s argument has been, and still is, very controversial.  Some objections to the argument involve consistency; if we cannot establish our own consistency, or if we are in fact inconsistent, then Lucas’s argument fails (for reasons made clear below).  Furthermore, some have objected that the algorithm the human mind follows is so complex we might be forever unable to formulate our own Gödel sentence; if so, then maybe we cannot see the truth of our own Gödel sentence and therefore we might not be different from machines after all.  Others object to various idealizations that Lucas’s argument makes.  Still others find some other fault with the argument.  In this section, some of the more notable objections to Lucas’s argument are discussed.

a. Consistency

Lucas’s argument faces a number of objections involving the issue of consistency; there are two related though distinct lines of argument on this issue.  First, some claim that we cannot establish our own consistency, whether we are consistent or not.  Second, some claim that we are in fact inconsistent.  The success of either of these objections would be sufficient to defeat Lucas’s argument.  But first, to see why these objections (if successful) would defeat Lucas’s argument, recall that Gödel’s first incompleteness theorem states that if a formal system (in which we can prove a suitable amount of number theory) is consistent, the Gödel sentence is true but unprovable in the system.  That is, the Gödel sentence will be true and unprovable only in consistent systems.  In an inconsistent system, one can prove any claim whatsoever because in classical logic, any and all claims follow from a contradiction; that is, an inconsistent system will not be incomplete.  Now, suppose that a mechanist claims that we are Turing machines with formal specification S, and this formal specification is inconsistent (so the mechanist is essentially claiming that we are inconsistent).  Lucas’s argument simply does not apply in such a situation; his argument cannot defeat this mechanist.  Lucas claims that any machine will be such that there is a claim that is true but unprovable for the machine, and since we can see the truth of the claim but the machine cannot, we are not machines.  But if the machine in question is inconsistent, the machine will be able to prove the Gödel sentence, and so will not suffer from the deficiency that Lucas uses to separate machines from us.  In short, for Lucas’s argument to succeed, human minds must be consistent.

Consequently, if one claims that we cannot establish our own consistency, this is tantamount to claiming that we cannot establish the truth of Lucas’s conclusion.  Furthermore, there are some good reasons for thinking that even if we are consistent, we cannot establish this.  For example, Gödel’s second incompleteness theorem, which quickly follows from his first theorem, claims that one cannot prove the consistency of a formal system S from within the system itself, so, if we are formal systems, we cannot establish our own consistency.  In other words, a mechanist can avoid Lucas’s argument by simply claiming that we are formal systems and therefore, in accordance with Gödel’s second theorem, cannot establish our own consistency.  Many have made this objection to Lucas’s argument over the years; in fact, Lucas discusses this objection in his original (1961) and attributes it to Rogers (1957) and Putnam.  Putnam made the objection in a conversation with Lucas even before Lucas’s (1961) (see also Putnam (1960)).  Likewise, Hutton (1976) argues from various considerations drawn from Probability Theory to the conclusion that we cannot assert our own consistency.  For example, Hutton claims that the probability that we are inconsistent is above zero, and that if we claim that we are consistent, this “is a claim to infallibility which is insensitive to counter-arguments to the point of irrationality” (Lucas 1976: 145).  In sum, for Lucas’s argument to succeed, we must be assured that humans are consistent, but various considerations, including Gödel’s second theorem, imply that we can never establish our own consistency, even if we are consistent.

Another possible response to Lucas is simply to claim that humans are in fact inconsistent Turing machines.  Whereas the objection above claimed that we can never establish our own consistency (and so cannot apply Gödel’s first theorem to our own minds with complete confidence), this new response simply outright denies that we are consistent.  If humans are inconsistent, then we might be equivalent to inconsistent Turing machines, that is, we might be Turing machines.  In short, Lucas concludes that since we can see the truth of the Gödel sentence, we cannot be Turing machines, but perhaps the most we can conclude from Lucas’s argument is that either we are not Turing machines or we are inconsistent Turing machines.  This objection has also been made many times over the years; Lucas (1961) considers this objection too in his original article and claims that Putnam also made this objection to him in conversation.

So, we see two possible responses to Lucas: (1) we cannot establish our own consistency, whether we are consistent or not, and (2) we are in fact inconsistent.  However, Lucas has offered numerous responses to these objections.  For example, Lucas thinks it is unlikely that an inconsistent machine could be an adequate representation of a mind.  He (1961: 121) grants that humans are sometimes inconsistent, but claims that “it does not follow that we are tantamount to inconsistent systems,” as “our inconsistencies are mistakes rather than set policies.”  When we notice an inconsistency within ourselves, we generally “eschew” it, whereas “if we really were inconsistent machines, we should remain content with our inconsistencies, and would happily affirm both halves of a contradiction” (ibid).  In effect, we are not inconsistent machines even though we are sometimes inconsistent; we are fallible but not systematically inconsistent.   Furthermore, if we were inconsistent machines, we would potentially endorse any proposition whatsoever (ibid).  As mentioned above, one can prove any claim whatsoever from a contradiction, so if we are inconsistent Turing machines, we would potentially believe anything.  But we do not generally believe any claim whatsoever (for example, we do not believe that we live on Mars), so it appears we are not inconsistent Turing machines.  One possible counter to Lucas is to claim that we are inconsistent Turing machines that reason in accordance with some form of paraconsistent logic (in paraconsistent logic, the inference from a contradiction to any claim whatsoever is blocked); if so, this explains why we do not endorse any claim whatsoever given our inconsistency (see Priest (2003) for more on paraconsistent logic).  One could also argue that perhaps the inconsistency in question is hidden, buried deep within our belief system; if we are not aware of the inconsistency, then perhaps we cannot use the inconsistency to infer anything at all (Lucas himself mentions this possibility in his (1990)).

Lucas also argues that even if we cannot prove the consistency of a system from within the system itself, as Gödel’s second theorem demonstrates, there might be other ways to determine if a given system is consistent or not.  Lucas (1990) points out that there are finitary consistency proofs for both the propositional calculus and the first-order predicate calculus, and there is also Gentzen’s proof of the consistency of Elementary Number Theory.  Discussing Gentzen’s proof in more detail, Lucas (1996) argues that while Gödel’s second theorem demonstrated that we cannot prove the consistency of a system from within the system itself, it might be that we can prove that a system is consistent with considerations drawn from outside the system.  One very serious problem with Lucas’s response here, as Lucas (ibid) himself notes, is that the wider considerations that such a proof uses must be consistent too, and this can be questioned.  Another possible response is the following: maybe we can “step outside” of, say, Peano arithmetic and argue that Peano arithmetic is consistent by appealing to considerations that are outside of Peano arithmetic; however, it isn’t clear that we can “step outside” of ourselves to show that we are consistent.

Lucas (1976: 147) also makes the following “Kantian” point:

[perhaps] we must assume our own consistency, if thought is to be possible at all.  It is, perhaps like the uniformity of nature, not something to be established at the end of a careful chain of argument, but rather a necessary assumption we must make if we are to start on any thinking at all.

A possible reply is that assuming we are consistent (because this assumption is a necessary precondition for thought) and our actually being consistent are two different things, and even if we must assume that we are consistent to get thought off of the ground, we might be inconsistent nevertheless.  Finally, Wright (1995) has argued that an intuitionist, at least, who advances Lucas’s argument, can overcome the worry over our consistency.

b. Benacerraf’s Criticism

Benacerraf (1967) makes a well-known criticism of Lucas’s argument.  He points out that it is not easy to construct a Gödel sentence and that in order to construct a Gödel sentence for any given formal system one must have a solid understanding of the algorithm at work in the system.  Further, the formal system the human mind might implement is likely to be extremely complex, so complex, in fact, that we might never obtain the insight into its character needed to construct our version of the Gödel sentence.  In other words, we understand some formal systems, such as the one used in Russell and Whitehead’s (1910) Principia, well enough to construct and see the truth of the Gödel sentence for these systems, but this does not entail that we can construct and see the truth of our own Gödel sentence.  If we cannot, then perhaps we are not different from machines after all; we might be very complicated Turing machines, but Turing machines nevertheless.  To rephrase this objection, suppose that a mechanist produces a complex formal system S and claims that human minds are S.  Of course, Lucas will then try to produce the Gödel sentence for S to show that we are not S.  But S is extremely complicated, so complicated that Lucas cannot produce S’s Gödel sentence, and so cannot disprove this particular mechanistic thesis.  In sum, according to Benacerraf, the most we can infer from Lucas’s argument is a disjunction: “either no (formal system) encodes all human arithmetical capacity – the Lucas-Penrose thought – or any system which does has no axiomatic specification which human beings can comprehend” (Wright, 1995, 87).  One response Lucas (1996) makes is that he [Lucas] could be helped in the effort to produce the Gödel sentence for any given formal system/machine.  Other mathematicians could help and so could computers.  In short, at least according to Lucas, it might be difficult, but it seems that we could, at least in principle, determine what the Gödelian formula is for any given system.

c. The Whiteley Sentence

Whiteley (1962) responded to Lucas by arguing that humans have similar limitations to the one that Lucas’s argument attributes to machines; if so, then perhaps we are not different from machines after all.  Consider, for example, the “Whiteley sentence,” that is, “Lucas cannot consistently assert this formula.”  If this sentence is true, then it must be that asserting the sentence makes Lucas inconsistent.  So, either Lucas is inconsistent or he cannot utter the sentence on pain of inconsistency, in which case the sentence is true and so Lucas is incomplete.  Hofstadter (1981) also argues against Lucas along these lines, claiming that we would not even believe the Whiteley sentence, while Martin and Engleman (1990) defend Lucas on this point by arguing against Hofstadter (1981).

d. Issues Involving “Idealizations”

A number of objections to Lucas’s argument involve various “idealizations” that the argument makes (or at least allegedly makes).  Lucas’s argument sets up a hypothetical scenario involving a mind and a machine, “but it is an idealized mind and an idealized machine,” neither of which are subject to limitations arising from, say, human mortality or the inability of some humans to understand Gödel’s theorem, and some believe that once these idealizations are rejected, Lucas’s argument falters (Lucas 1990: paragraph 6).  Several specific instances of this line of argument are considered in successive paragraphs.

Boyer (1983) notes that the output of any human mind is finite.  Since it is finite, it could be programmed into and therefore simulated by a machine.  In other words, once we stop ignoring human finitude, that is, once we reject one of the idealizations in Lucas’s argument, we are not different from machines after all.  Lucas (1990: paragraph 8) thinks this objection misses the point: “What is in issue is whether a computer can copy a living me, when I have not yet done all that I shall do, and can do many different things.  It is a question of potentiality rather than actually that is in issue.”  Lucas’s point seems to be that what is really at issue is what can be done by a human and a machine in principle; if, in principle, the human mind can do something that a machine cannot, then the human mind is not a machine, even if it just so happens that any particular human mind could be modeled by a machine as a result of human finitude.

Lucas (1990: paragraph 9) remarks, “although some degree of idealization seems allowable in considering a mind untrammeled by mortality…, doubts remain about how far into the infinite it is permissible to stray.”    Recall the possible objection discussed above (in section 1) in which the mechanist, when faced with Lucas’s argument, responds by simply producing a new machine that is just like the last except it contains the Gödel sentence as a theorem.  As Lucas points out, this will simply produce a new machine that has a different Gödel sentence, and this can go on forever.  Some might dispute this point though.  For example, some mechanists might try “adding a Gödelizing operator, which gives, in effect a whole denumerable infinity of Gödelian sentences” (Lucas 1990: paragraph 9).  That is, some might try to give a machine a method to construct an infinite number of Gödel sentences; if this can be done, then perhaps any Gödel sentence whatsoever can be produced by the machine.  Lucas (1990) argues that this is not the case, however; a machine with such an operator will have its own Gödel sentence, one that is not on the initial list produced by the operator.  This might appear impossible: how, if the initial list is infinite, can there be an additional Gödel sentence that is not on the list?  It is not impossible though: the move from the initial infinite list of Gödel sentences to the additional Gödel sentence will simply be a move into the “transfinite,” a higher level of infinity than that of the initial list.  It is widely accepted in mathematics, and has been for quite some time, that there are different levels of infinity.

Coder (1969) argues that Lucas has an overly idealized view of the mathematical abilities of many people; to be specific, Coder thinks that Lucas overestimates the degree to which many people can understand Gödel’s theorem and this somehow creates a problem for Lucas’s argument.  Coder holds that since many people cannot understand Gödel’s theorem, all Lucas has shown is that a handful of competent mathematical logicians are not machines (the idea is that Lucas’s argument only shows that those who can produce and see the truth of the Gödel sentence are not machines, but not everyone can do this).  Lucas (1970a) responds by claiming, for example, that the only difference between those who can understand Gödel’s theorem and those who cannot is that, in the case of the former, it is more obvious that they are not machines; it isn’t, say, that some people are machines and others are not.

Dennett (1972) has claimed there is something odd about Lucas’s argument insofar as it seems to treat humans as creatures that simply wander around asserting truths of first-order arithmetic.  Dennett (1972: 530) remarks,

Men do not sit around uttering theorems in a uniform vocabulary, but say things in earnest and jest, makes slips of the tongue, speak several languages…, and – most troublesome for this account – utter all kinds of nonsense and contradictions….

Lucas’s (1990: paragraph 7) response is that these differences between humans and machines that Dennett points to are sufficient for some philosophers to reject mechanism, and that he [Lucas] is simply giving mechanism the benefit of the doubt by assuming that they can explain these differences.  Furthermore, humans can, and some actually do, produce theorems of elementary number theory as output, so any machine that cannot produce all of these theorems cannot be an adequate model of the human mind.

e. Lewis’s Objection

Lewis (1969) has also formulated an objection to Lucas’s argument:

Lewis argues that I [that is, Lucas] have established that there is a certain Lucas arithmetic which is clearly true and cannot be the output of some Turing machine. If I could produce the whole of Lucas arithmetic, then I would certainly not be a Turing machine. But there is no reason to suppose that I am able in general to verify theoremhood in Lucas arithmetic (Lucas 1970: 149).

To clarify, “Peano arithmetic” is the arithmetic that machines can produce and “Lucas arithmetic” is the arithmetic that humans can produce, and Lucas arithmetic will contain Gödel sentences while Peano arithmetic will not, so humans are not machines, at least according to Lucas’s argument.  But Lewis (1969) claims that Lucas has not shown us that he (or anyone else, for that matter) can in fact produce Lucas arithmetic in its entirety, which he must do if his argument is to succeed, so Lucas’s argument is incomplete.   Lucas responds that he does not need to produce Lucas arithmetic in its entirety for his argument to succeed.  All he needs to do to disprove mechanism is produce a single theorem that a human can see is true but a machine cannot; this is sufficient.  Lucas (1970: 149) holds that “what I have to do is to show that a mind can produce not the whole of Lucas arithmetic, but only a small, relevant part.  And this I think I can show, thanks to Gödel’s theorem.”

3. Penrose’s New Version of the Argument

Penrose has formulated and defended versions of the Gödelian argument in two books, 1989’s The Emperor’s New Mind and 1994’s Shadows of the Mind. Since the latter is at least in part an attempt to improve upon the former, this discussion will focus on the latter.  Penrose’s (1994) consists of two main parts: (a) a Gödelian argument to show that humans minds are non-computable and (b) an attempt to infer a number of claims involving consciousness and physics from (a).  (a) and (b) are discussed in successive sections.

a. Penrose’s Gödelian Argument

Penrose has defended different versions of the Gödelian argument.  In his earlier work, he defended a version of the argument that was relatively similar to Lucas’s (although there were some minor differences (for example, in his argument, Penrose used Turing’s theorem, which is closely related to Gödel’s first incompleteness theorem)).  Insofar as this version of the argument overlaps with Lucas’s, this version faces many of the same objections as Lucas’s argument.  In his (1994) though, Penrose formulates a version of the argument that has some more significant differences from Lucas’s version.  Penrose regards this version “as the central (new) core argument against the computational modelling of mathematical understanding” offered in his (1994) and notes that some commentators seem to have completely missed the argument (Penrose 1996: 1.3).

Here is a summary of the new argument (this summary closely follows that given in Chalmers (1995: 3.2), as this is the clearest and most succinct formulation of the argument I know of): (1) suppose that “my reasoning powers are captured by some formal system F,” and, given this assumption, “consider the class of statements I can know to be true.”  (2) Since I know that I am sound, F is sound, and so is F’, which is simply F plus the assumption (made in (1)) that I am F (incidentally, a sound formal system is one in which only valid arguments can be proven).  But then (3) “I know that G(F’) is true, where this is the Gödel sentence of the system F’” (ibid).  However, (4) Gödel’s first incompleteness theorem shows that F’ could not see that the Gödel sentence is true.  Further, we can infer that (5) I am F’ (since F’ is merely F plus the assumption made in (1) that I am F), and we can also infer that I can see the truth of the Gödel sentence (and therefore given that we are F’, F’ can see the truth of the Gödel sentence). That is, (6) we have reached a contradiction (F’ can both see the truth of the Gödel sentence and cannot see the truth of the Gödel sentence).  Therefore, (7) our initial assumption must be false, that is, F, or any formal system whatsoever, cannot capture my reasoning powers.

Chalmers (1995: 3.6) thinks the “greatest vulnerability” with this version of the argument is step (2); specifically, he thinks the claim that we know that we are sound is problematic (he attempts to show that it leads to a contradiction (see Chalmers 1995: section 3)).  Others aside from Chalmers also reject the claim that we know that we are sound, or else they reject the claim that we are sound to begin with (in which case we do not know that we are sound either since one cannot know a falsehood).  For example, McCullough (1995: 3.2) claims that for Penrose’s argument to succeed, two claims must be true: (1) “Human mathematical reasoning is sound.  That is, every statement that a competent human mathematician considers to be “unassailably true” actually is true,” and (2) “The fact that human mathematical reasoning is sound is itself considered to be “unassailably true.””  These claims seem implausible to McCullough (1995: 3.4) though, who remarks, “For people (such as me) who have a more relaxed attitude towards the possibility that their reasoning might be unsound, Penrose’s argument doesn’t carry as much weight.”  In short, McCullough (1995) thinks it is at least possible that mathematicians are unsound so we do not definitively know that mathematicians are sound.  McDermott (1995) also questions this aspect (among others) of Penrose’s argument.  Looking at the way that mathematicians actually work, he (1995: 3.4) claims, “it is difficult to see how thinkers like these could even be remotely approximated by an inference system that chugs to a certifiably sound conclusion, prints it out, then turns itself off.”  For example, McDermott points out that in 1879 Kempe published a proof of the four-color theorem which was not disproved until 1890 by Heawood; that is, it appears there was an 11 year period where many competent mathematicians were unsound.

Penrose attempts to overcome such difficulties by distinguishing between individual, correctable mistakes that mathematicians sometimes make and things they know are “unassailably” true.  He (1994: 157) claims “If [a] robot is…like a genuine mathematician, although it will still make mistakes from time to time, these mistakes will be correctable…according to its own internal criteria of “unassailable truth.””  In other words, while mathematicians are fallible, they are still sound because their mistakes can be distinguished from things they know are unassailably true and can also be corrected (and any machine, if it is to mimic mathematical reasoning, must be the same way).  The basic idea is that mathematicians can make mistakes and still be sound because only the unassailable truths are what matter; these truths are the output of a sound system, and we need not worry about the rest of the output of mathematicians.  McDermott (1995) remains unconvinced; for example, he wonders what “unassailability” means in this context and thinks Penrose is far too vague on the subject.  For more on these issues, including further responses to these objections from Penrose, see Penrose (1996).

b. Consciousness and Physics

One significant difference between Lucas’s and Penrose’s discussions of the Gödelian argument is that, as alluded to above, Penrose infers a number of further claims from the argument concerning consciousness and physics.  Penrose thinks the Gödelian argument implies, for example, that consciousness must somehow arise from the quantum realm (specifically, from the quantum properties of “microtubules”) and that we “will have no chance…[of understanding consciousness]… until we have a much more profound appreciation of the very nature of time, space, and the laws that govern them” (Penrose 1994: 395).  Many critics focus their attention on defeating Penrose’s Gödelian argument, thinking that if it fails, we have little or no reason to endorse Penrose’s claims about consciousness and physics.  McDermott (1995: 2.2) remarks, “all the plausibility of Penrose’s theory of “quantum consciousness” in Part II of the book depends on the Gödel argument being sound,” so, if we can refute the Gödelian argument, we can easily reject the rest.  Likewise, Chalmers (1995: 4.1) claims that the “reader who is not convinced by Penrose’s Gödelian arguments is left with little reason to accept his claims that physics is non-computable and that quantum processes are essential to cognition…”  While there is little doubt that Penrose’s claims about consciousness and physics are largely motivated by the Gödelian argument, Penrose thinks that one might be led to such views in the absence of the Gödelian argument (for example, Penrose (1994) appeals to Libet’s (1992) work in an effort to show that consciousness cannot be explained by classical physics).  Some (such as Maudlin (1995)) doubt that there even is a link between the Gödelian argument and Penrose’s claims about consciousness and physics; therefore, even if the Gödelian argument is sound, this might not imply that Penrose’s views about consciousness and physics are true.  Still others have offered objections that directly and specifically attack Penrose’s claims about consciousness and physics, apart from his Gödelian argument; some of these objections are now briefly discussed.

Some have expressed doubts over whether quantum effects can influence neural processes.  Klein (1995: 3.4) states “it will be difficult to find quantum effects in pre-firing neural activity” because the brain operates at too high of temperature and “is made of floppy material (the neural proteins can undergo an enormously large number of different types of vibration).”  Furthermore, Penrose “discusses how microtubules can alter synaptic strengths…but nowhere is there any discussion of the nature of synaptic modulations that can be achieved quantum-mechanically but not classically” (Klein 1995: 3.6).  Also, “the quantum nature of neural activity across the brain must be severely restricted, since Penrose concedes that neural firing is occurring classically” (Klein 1995: 3.6).  In sum, at least given what we know at present, it is far from clear that events occurring at the quantum level can have any effect, or at least much of an effect, on events occurring at the neural level.  Penrose (1994) hopes that the specific properties of microtubules can help overcome such issues.

As mentioned above, the Gödelian argument, if successful, would show that strong artificial intelligence is false, and of course Penrose thinks strong A.I. is false.   However, Chalmers (1995: 4.2) argues that Penrose’s skepticism about artificial intelligence is driven largely by the fact that “it is so hard to see how the mere enaction of a computation should give rise to an inner subjective life.”  But it isn’t clear how locating the origin of consciousness in quantum processes that occur in microtubules is supposed to help: “Why should quantum processes in microtubules give rise to consciousness, any more than computational processes should?  Neither suggestion seems appreciably better off than the other” (ibid).  According to Chalmers, Penrose has simply replaced one mystery with another.  Chalmers (1995: 4.3) feels that “by the end of the book the “Missing Science of Consciousness” seems as far off as it ever was.”

Baars (1995) has doubts that consciousness is even a problem in or for physics (of course, some philosophers have had similar doubts).  Baars (1995: 1.3) writes,

The…beings we see around us are the products of billions of years of biological evolution. We interact with them – with each other – at a level that is best described as psychological. All of our evidence regarding consciousness …would seem to be exclusively psychobiological.

Furthermore, Baars cites much promising current scientific work on consciousness, points out that some of these current theories have not yet been disproven, that, relatively speaking, our attempt to explain consciousness scientifically is still in its infancy, and concludes that “Penrose’s call for a scientific revolution seems premature at best” (Baars 1995: 2.3).  Baars is also skeptical of the claim that the solution to the problem of consciousness will come from quantum mechanics specifically.  He claims “there is no precedent for physicists deriving from [quantum mechanics] any macro-level phenomenon such as a chair or a flower…much less a nervous system with 100 billion neurons” (section 4.2) and remarks that it seems to be a leap of faith to think that quantum mechanics can unravel the mystery of consciousness.

4. Gödel’s Own View

One interesting question that has not yet been addressed is: what did Gödel think his first incompleteness theorem implied about mechanism and the mind in general?  Gödel, who discussed his views on this issue in his famous “Gibbs lecture” in 1951, stated,

So the following disjunctive conclusion is inevitable: Either mathematics is incompletable in this sense, that its evident axioms can never be comprised in a finite rule, that is to say, the human mind (even within the realm of pure mathematics) infinitely surpasses the powers of any finite machine, or else there exist absolutely unsolvable diophantine problems of the type specified . . . (Gödel 1995: 310).

That is, his result shows that either (i) the human mind is not a Turing machine or (ii) there are certain unsolvable mathematical problems.  However, Lucas (1998: paragraph 1) goes even further and argues “it is clear that Gödel thought the second disjunct false,” that is Gödel “was implicitly denying that any Turing machine could emulate the powers of the human mind.”  So, perhaps the first thinker to endorse a version of the Lucas-Penrose argument was Gödel himself.

5. Other Anti-Mechanism Arguments

Finally, there are some alternative anti-mechanism arguments to Lucas-Penrose.  Two are briefly mentioned.  McCall (1999) has formulated an interesting argument.  A Turing machine can only know what it can prove, and to a Turing machine, provability would be tantamount to truth.  But Gödel’s theorem seems to imply that truth is not always provability.  The human mind can handle cases in which truth and provability diverge.  A Turing machine, however, cannot.  But then we cannot be Turing machines.  A second alternative anti-mechanism argument is formulated in Cogburn and Megill (2010).  They argue that, given certain central tenets of Intuitionism, the human mind cannot be a Turing machine.

6. References and Further Reading

  • Benacerraf, P. (1967). “God, the Devil, and Gödel,” Monist 51:9-32.
    • Makes a number of objections to Lucas’s argument; for example, the complexity of the human mind implies that we might be unable to formulate our own Gödel sentence.
  • Boyer, D. (1983). “J. R. Lucas, Kurt Godel, and Fred Astaire,” Philosophical Quarterly 33:147-59.
    • Argues, among other things, that human output is finite and so can be simulated by a Turing machine.
  • Chalmers, D. J. (1996). “Minds, Machines, and Mathematics,” Psyche 2:11-20.
    • Contra Penrose, we cannot know that we are sound.
  • Coder, D. (1969). “Gödel’s Theorem and Mechanism,” Philosophy 44:234-7.
    • Not everyone can understand Gödel, so Lucas’s argument does not apply to everyone.
  • Cogburn, J. and Megill, J. (2010).  “Are Turing machines Platonists?  Inferentialism and the Philosophy of Mind,” Minds and Machines 20(3): 423-40.
    • Intuitionism and Inferentialism entail the falsity of the Computational Theory of Mind.
  • Dennett, D.C. (1972). “Review of The Freedom of the Will,” The Journal of Philosophy 69: 527-31.
    • Discusses Lucas’s The Freedom of the Will, and specifically his Gödelian argument.
  • Feferman, S. (1996). “Penrose’s Godelian argument,” Psyche 2(7).
    • Points out some technical mistakes in Penrose’s discussion of Gödel’s first theorem.  Penrose responds in his (1996).
  • Gödel, K. (1931). “Über formal unentscheidbare Sätze der Principia Mathematica und verwandter Systeme I,” Monash. Math. Phys. 38: 173-198.
    • Gödel’s first incompleteness theorem.
  • Gödel, K. (1995). Collected Works III (ed. S. Feferman). New York: Oxford University Press.
    • Gödel discusses his first theorem and the human mind.
  • Dennett, D.C. and Hofstadter, D. R. (1981).  The Mind’s I: Fantasies and Reflections on Self and Soul.  New York: Basic Books.
    • Contains Hofstadter’s discussion of the Whiteley sentence.
  • Hutton, A. (1976). “This Gödel is Killing Me,” Philosophia 3:135-44.
    • Probabilistic arguments that show that we can’t know we are consistent.
  • Klein, S.A.  “Is Quantum Mechanics Relevant to Understanding Consciousness,” Psyche 2(3).
    • Questions Penrose’s claims about consciousness arising from the quantum mechanical realm.
  • Lewis, D. (1969). “Lucas against Mechanism,” Philosophy 44:231-3.
    • Lucas cannot produce all of “Lucas Arithmetic.”
  • Libet, B. (1992). “The Neural Time-factor in Perception, volition and free will,” Review de Metaphysique et de Morale 2:255-72.
    • Penrose appeals to Libet to show that classical physics cannot account for consciousness.
  • Lucas, J. R. (1961). “Minds, Machines and Gödel,” Philosophy 36:112-127.
    • Lucas’s first article on the Gödelian argument.
  • Lucas, J. R. (1968). “Satan Stultified: A Rrejoinder to Paul Benacerraf,” Monist 52:145-58.
    • A response to Benacerraf’s (1967).
  • Lucas, J. R. (1970a). “Mechanism: A Rejoinder,” Philosophy 45:149-51.
    • Lucas’s response to Coder (1969) and Lewis (1969).
  • Lucas, J. R. (1970b). The Freedom of the Will. Oxford: Oxford University Press.
    • Discusses and defends the Gödelian argument.
  • Lucas, J. R. (1976). “This Gödel is killing me: A rejoinder,” Philosophia 6:145-8.
    • Lucas’s reply to Hutton (1976).
  • Lucas, J. R. (1990). “Mind, machines and Gödel: A retrospect.”  A paper read to the Turing Conference at Brighton on April 6th.
    • Overview of the debate; Lucas considers numerous objections to his argument.
  • Lucas, J. R. (1996).  “The Godelian Argument: Turn Over the Page.”  A paper read at a BSPS conference in Oxford.
    • Another overview of the debate.
  • Lucas, J. R. (1998).  “The Implications of Gödel’s Theorem.”  A paper read to the Sigma Club.
    • Another overview.
  • Nagel, E. and Newman J.R. (1958).  Gödel’s Proof.  New York: New York University Press.
    • Short and clear introduction to Gödel’s first incompleteness theorem.
  • Martin, J. and Engleman, K. (1990). “The Mind’s I Has Two Eyes,” Philosophy 510-16.
    • More on the Whiteley sentence.
  • Maudlin, T. (1996).  “Between the Motion and the Act…” Psyche 2:40-51.
    • There is no connection between Penrose’s Gödelian argument and his views on consciousness and physics.
  • McCall, S. (1999).  “Can a Turing Machine Know that the Gödel Sentence is True?”  Journal of Philosophy 96(10): 525-32.
    • An anti-mechanism argument.
  • McCullough, D. (1996). “Can Humans Escape Gödel?” Psyche 2:57-65.
    • Among other things, doubts that we know we are sound.
  • McDermott, D. (1996). “*Penrose is wrong,” Psyche 2:66-82.
    • Criticizes Penrose on a number of issues, including the soundness of mathematicians.
  • Penrose, R. (1989). The Emperor’s New Mind. Oxford: Oxford University Press.
    • Penrose’s first book on the Gödelian argument and consciousness.
  • Penrose, R. (1994).  Shadows of the Mind.  Oxford: Oxford University Press.
    • Human reasoning cannot be captured by a formal system; consciousness arises from the quantum realm; we need a revolution in physics to fully understand consciousness.
  • Penrose, R. (1996). “Beyond the Doubting of a Shadow,” Psyche 2(23).
    • Responds to various criticisms of his (1994).
  • Priest, G. (2003). “Inconsistent Arithmetic: Issues Technical and Philosophical,” in Trends in Logic: 50 Years of Studia Logica (eds. V. F. Hendricks and J. Malinowski), Dordrecht: Kluwer Academic Publishers.
    • Discusses paraconistent logic.
  • Putnam, H. (1960). “Minds and Machines,” Dimensions of Mind. A Symposium (ed. S. Hook). London: Collier-Macmillan.
    • Raises the consistency issue for Lucas.
  • Rogers, H. (1957). Theory of Recursive Functions and Effective Computability (mimeographed).
    • Early mention of the issue of consistency for Gödelian arguments.
  • Whitehead, A. N. and Russell, B. (1910, 1912, 1913). Principia Mathematica, 3 vols, Cambridge: Cambridge University Press.
    • An attempt to base mathematics on logic.
  • Wang, H. (1981).  Popular Lectures on Mathematical Logic. Mineolam NY: Dover.
    • Textbook on formal logic.
  • Whiteley, C. (1962). “Minds, Machines and Gödel: A Reply to Mr. Lucas,” Philosophy 37:61-62.
    • Humans are limited in ways similar to machines.
  • Wright, C. (1995).  “Intuitionists are Not Turing Machines,” Philosophia Mathematica 3(1):86-102.
    • An intuitionist who advances the Lucas-Penrose argument can overcome the worry over our consistency.

Author Information

Jason Megill
Email: jmegill@carroll.edu
Carroll College
U. S. A.

Philosophy of Medicine

While philosophy and medicine, beginning with the ancient Greeks, enjoyed a long history of mutually beneficial interactions, the professionalization of “philosophy of medicine” is a nineteenth century event.  One of the first academic books on the philosophy of medicine in modern terms was Elisha Bartlett’s Essay on the Philosophy of Medical Science, published in 1844.  In the mid to late twentieth century, philosophers and physicians contentiously debated whether philosophy of medicine was a separate discipline distinct from the disciplines of either philosophy or medicine.  The twenty-first century consensus, however, is that it is a distinct discipline with its own set of problems and questions. Professional journals, books series, individual monographs, as well as professional societies and meetings are all devoted to discussing and answering that set of problems and questions.  This article examines—by utilizing a traditional approach to philosophical investigation—all aspects of the philosophy of medicine and the attempts of philosophers to address its unique set of problems and questions.  To that end, the article begins with metaphysical problems and questions facing modern medicine such as reductionism vs. holism, realism vs. antirealism, causation in terms of disease etiology, and notions of disease and health.  The article then proceeds to epistemological problems and questions, especially rationalism vs. empiricism, sound medical thinking and judgments, robust medical explanations, and valid diagnostic and therapeutic knowledge.  Next, it will address the vast array of ethical problems and questions, particularly with respect to principlism and the patient-physician relationship.  The article concludes with a discussion of what constitutes the nature of medical knowledge and practice, in light of recent trends towards both evidence-based and patient-centered medicine.  Finally, even though a vibrant literature on nonwestern traditions is available, this article is concerned only with the western tradition of philosophy of medicine (Kaptchuk, 2000; Lad, 2002; Pole, 2006; Unschuld, 2010).

Table of Contents

  1. Metaphysics
    1. Reductionism vs. Holism
    2. Realism vs. Antirealism
    3. Causation
    4. Disease and Health
  2. Epistemology
    1. Rationalism vs. Empiricism
    2. Medical Thinking
    3. Explanation
    4. Diagnostic and Therapeutic Knowledge
  3. Ethics
    1. Principlism
    2. Patient-Physician Relationship
  4. What is Medicine?
  5. References and Further Reading

1. Metaphysics

Traditionally, metaphysics pertains to the analysis of objects or events and the forces or factors causing or impinging upon them.  One branch of metaphysics, denoted ontology, investigates problems and questions concerning the nature and existence of objects or events and their associated forces or factors.  For philosophy of medicine in the twenty-first century, the two chief objects are the patient’s disease and health, along with the forces or factors responsible for causing them.  “What is/causes health?” or “What is/causes disease?” are contentious questions for philosophers of medicine.  Another branch of metaphysics involves the examination of presuppositions that inform a given ontology.  For philosophy of medicine, the most controversial debate centers around the presuppositions of reductionism and holism.  Questions like “Can a disease be sufficiently reduced to its elemental components?” or “Is the patient more than simply the sum of physical parts?” drive discussion among philosophers of medicine.  In addition, the debate between realism and antirealism has important traction within the field.  This debate centers on questions like, “Are disease-causing entities real?” or “Are these entities socially constructed?”   This section first explores the reductionism-holism and realism-antirealism debates, along with the notion of causation, before turning attention to the notions of disease and health.

a. Reductionism vs. Holism

The reductionism-holism debate enjoys a lively history, especially from the middle to the latter part of the twentieth century.  Reductionism, broadly construed, is the diminution of complex objects or events to their component parts.  In other words, the properties of the whole are simply the addition or summation of the properties of the individual parts.  Such reductionism is often called metaphysical or ontological reductionism to distinguish it from methodological or epistemological reductionism.  Methodological reductionism refers to the investigation of complex objects and events and their associated forces or factors by using technology that isolates and analyzes individual components only.  Epistemological reductionism involves the explanation of complex objects and events and their associated forces or factors in terms of their individual components only.  For the life sciences vis-à-vis reductionism, an organism is made of component parts like bio-macromolecules and cells, whose properties are sufficient for investigating and explaining the organism, if not life itself.  Life scientists often sort these parts into a descending hierarchy. Beginning with the organism,  they proceed downward through organ systems, individual organs, tissues, cells, and macromolecules until reaching the atomic and subatomic levels.  Albert Szent-Gyorgyi once remarked, as he descended this hierarchy in his quest for understanding living organisms, “life slipped between his fingers.”  Holism, however, is the position that the properties of the whole are not reducible to properties of its individual components.  Jan Smuts (1926) introduced the term in the early part of the twentieth century, especially with respect to biological evolution, to account for living processes—without the need for immaterial components.

The relevance of the reductionism-holism debate pertains to both medical knowledge and practice.  Reductionism influences not only how a biomedical scientist investigates and explains disease, but also how a clinician diagnoses and treats it.  For example, if a biomedical researcher believes that the underlying cause of a mental disease is dysfunction in brain processes or mechanisms, especially at the molecular level, then that disease is often investigated exclusively at that level.  In turn, a clinician classifies mental diseases in terms of brain processes or mechanisms at the molecular level, such as depletion in levels of the neurotransmitter serotonin.  Subsequently, the disease is treated pharmacologically by prescribing drugs to elevate the low levels of the neurotransmitter in the depressed brain to levels considered normal within the non-depressed brain.  Although the assumption of reductionism produces a detailed understanding of diseases in molecular or mechanistic terms, many clinicians and patients are dissatisfied with the assumption.  Both clinicians and patients feel that the assumption excludes important information concerning the nature of the disease, as it influences both the patient’s illness and life experience.  Rather than simply treating the disease, such information is vital for treating patients with chronic cases.  In other words, patients often feel as if physicians reduce them to their disease or diseased body part  rather than on the overall illness experience.  The assumption of holism best suits the approach to medical knowledge and practice that includes the patient’s illness experience.  Rather than striving exclusively for restoration of the patient to a pre-diseased state, the clinician assists the patient in redefining what the illness means for their life.  The outcome is not a physical cure necessarily, as it is healing of wholeness from the fragmentation in the patient’s life caused by the illness.

b. Realism vs. Antirealism

Realism is the philosophical notion that observable objects and events are actual objects and events, independent of the person observing them.  In other words, since it exists outside the minds of those observing it, reality does not depend on conceptual structures or linguistic formulations..  Proponents of realism also espouse that even unobservable objects and events, like subatomic particles, exist.  Historically, realists believe that universals—abstractions of objects and events—are separate from the mind cognizing them.  For example, terms like bacteria and cell denote real objects in the natural world, which exist apart from the human minds trying to examine and understand them.  Furthermore, scientific investigations into natural objects like bacteria and cells yield true accounts of these objects.  Anti-realism, on the other hand, is the philosophical notion that observable objects and events are not actual objects and events as observed by a person but rather they are dependent upon the person observing them.  In other words, these objects and events are mind-dependent—not mind-independent.   Anti-realists deny the existence of objects and events apart from the mind cognizing them.  Human minds construct these objects and events based on social or cultural values.  Historically, anti-realists subscribe to nominalism, in which universals do not exist and predicates of particular objects do.  Finally, they question the truth of scientific accounts of the world since no mind-independent framework can be correct absolutely.  Antirealists hold that such truth is framework dependent, so when one changes the framework, truth itself changes.

The debate among realists and anti-realists has important implications for philosophers of medicine, as well as for the practice of clinical medicine.  For example, a contentious issue is whether disease entities or conditions for the expression of a disease are real or not.  Realists argue that such entities or conditions are real and exist independent of medical researchers investigating them, while anti-realists deny their reality and existence.  Take the example of depression.  According to realists, the neurotransmitter serotonin is a real entity that exists in a real brain—apart from clinical investigations or investigators.  A low level of that transmitter is a real condition for the disease’s expression.  For anti-realists, however, serotonin is a laboratory or clinical construct based on experimental or clinical conditions.  Changes in that construct lead to changes in understanding the disease.  The debate is not simply academic but has traction for the clinic.  Clinical realists believe that restoring serotonin levels cures depression.  Clinical anti-realists are less confident about restoring levels of the neurotransmitter to affect a cure.  Rather, they believe that both diagnosis and treatment of depression do not devolve into simplistic measurements of serotonin levels.  Importantly, the anti-realists do not harbor the hope that additional information is likely to remedy the clinical problems associated with serotonin replacement therapy.  The problems are ontological to their core.  The neurotransmitter is a mental construct entirely dependent on efforts to investigate and translate laboratory investigations into clinical practice.

c. Causation

Causation has a long philosophical history, beginning with the ancient Greek philosophers.  Aristotle in particular provided a robust account of causation in terms of material cause, what something is made of; formal cause, how something is made; efficient cause, forces responsible for making something; and, final cause, the purpose for or end to which something is made.  In the modern period, Francis Bacon pruned the four Aristotelian causes to material and efficient causation.  With the rise of British empiricism, especially with David Hume’s philosophical analysis of causation, causation comes under critical scrutiny.  For Hume, in particular, causation is simply the constant conjunction of object and events, with no ontological significance in terms of hooking up the cause with the effect.  According to Hume, society indoctrinates us to assume something real exists between the cause and its effect.  Although Hume’s skepticism of causal forces prevailed in his personal study, it did not prevail in the laboratory.  During the nineteenth century, with the maturation of the scientific revolution, only one cause survived for accounting for natural entities and phenomena—the material cause, which is not strictly Aristotle’s original notion of material causation.  The modern notion involves mechanisms and processes and thereby eliminates efficient causation.  The material cause became the engine driving mechanistic ontology.  During the twentieth century, after the Einsteinian and quantum revolutions, mechanistic ontology gave way to physical ontology that included forces such as gravity as causal entities.  A century later, efficient causation is the purview of philosophers, who argue endlessly about it, while scientists take physical causation as unproblematic in constructing models of natural phenomena based on cause and effect.

For philosophers of medicine, causation is an important notion for analyzing both disease etiology and therapeutic efficacy (Carter, 2003).  At the molecular level, causation operates physico-chemically to investigate and explain disease mechanisms.  In the example of depression, serotonin is a neurotransmitter that binds specific receptors within certain brain locations, which in turn causes a cascade of molecular events in maintaining mental health.  This underlying causal or physical mechanism is critical not only for understanding the disease, but also for treating it.  Medical causation also operates at other levels.  For infectious diseases, the Henle-Koch postulates are important in determining the causal relationship between an infectious microorganism and an infected host (Evans, 1993).  To secure that relationship the microorganism must be associated with every occurrence of the disease, be isolated from the infected host, be grown under in vitro conditions, and be shown to elicit the disease upon infection of a healthy host.  Finally, medical causation operates at the epidemiological or population level.  Here, Austin Bradford Hill’s nine criteria are critical for establishing a causal relationship between environmental factors and disease incidence (Hill, 1965).  For example, the relationship between cigarette smoking and lung cancer involves the strength of the association between smoking and lung cancer, as well as the consistency of that association for the biological mechanisms.  These examples establish the importance of causal mechanisms involved in disease etiology and treatment, especially for diseases with an organic basis; however, some diseases, particularly mental disorders, do not reduce to such readily apparent causality.  Instead, they represent rich areas of investigations for philosophers of medicine.

d. Disease and Health

“What is disease?” is a contentious question among philosophers of medicine.  These philosophers distinguish among four different notions of disease.  The first is an ontological notion.  According to its proponents, disease is a palpable object or entity whose existence is distinct from that of the diseased patient.  For example, disease may be the condition brought on by the infection of a microorganism, such as a virus.  Critics, who champion a physiological notion of disease, argue that advocates of the ontological notion confuse the disease condition, which is an abstract notion, with a concrete entity like a virus.  In other words, proponents of the first notion often combine the disease’s condition and cause.  Supporters of this second notion argue that disease represents a deviation from normal physiological functioning.  The best-known defender of this notion is Christopher Boorse (1987), who defines disease as a value-free statistical norm with respect to “species design.”  Critics who object to this notion, however, cite the ambiguity of the term “norm” in terms of a reference class.  Instead of a statistical norm, evolutionary biologists propose a notion of disease as a maladaptive mechanism, which factors in the organism’s biological history.  Critics of this third notion claim that disease manifests itself, especially clinically, in terms of the individual patient and not a population.  A population may be important to epidemiologists but not to clinicians who must treat individual patients whose manifestation of a disease and response to therapy for that disease may differ from each other significantly.  The final notion of disease addresses this criticism.  The genetic notion claims that disease is the mutation in or absence of a gene.  Its champions assert that each patient’s genomic constitution is unique. By knowing the genomic constitution, clinicians are able to both diagnose the patient’s disease and tailor a specific therapeutic protocol.  Critics of the genetic notion claim that disease, especially its experience, cannot be reduced to nucleotide sequences.  Instead, it requires a larger notion including social and cultural factors.

“What is health?” is an equally contentious question  among philosophers of medicine.   The most common notion of health is simply absence of disease.  Health, according to proponents of this notion, represents a default state as opposed to pathology.  In other words, if an organism is not sick then it must be healthy.  Unfortunately, this notion does not distinguish between various grades of health or preconditions towards illness.  For example, as cells responsible for serotonin stop producing the neurotransmitter a person is prone to depression.  Such a person is not as healthful as a person who is making sufficient amounts of serotonin.  An adequate understanding of health should account for such preconditions.  Moreover, health as absence of disease often depends upon personal and social values of what is health.  Again, ambiguity enters into defining health given these values.  For one person, health might be very different from that of another.  The second notion of health does permit distinction between grades of health, in terms of quantifying it, and does not depend upon personal or social values.  Proponents of this notion, such as Boorse, define health in terms of normal functioning, where the normal reflects a statistical norm with respect to species design.  For example, a person with low levels of serotonin who is not clinically symptomatic in terms of depression is not as healthful as a person with statistically normal neurotransmitter levels.  Criticisms of the second notion revolve around its lack of incorporating the social dimension of health and jettison the notion altogether opting for the notion of wellbeing.  Wellbeing is a normative notion that combines both a person’s values, especially in terms of his or her life goals, and objective physiological states.  Because normative notions contain a person’s value system, they are often difficult to define and defend since values vary from person to person and culture to culture.  Proponents of this notion include Lennart Nordenfelt (1995), Carol Ryff and Burton Singer (1998), Carolyn Whitbeck (1981).

2. Epistemology

Epistemology is the branch of philosophy concerned with the analysis of knowledge, in terms of both its origins and justification.  The overarching question is, “What is knowing or knowledge?”  Subsidiary questions include, “How do we know that we know?”; “Are we certain or confident in our knowing or knowledge?”; “What is it we know when we claim we know?” Philosophers generally distinguish three kinds or theories of knowledge.  The first pertains to knowledge by acquaintance, in which a knowing or an epistemic agent is familiar with an object or event.  It is descriptive in nature, that is, a knowing-about knowledge.  For example, a surgeon is well acquainted with the body’s anatomy before performing an operation.  The second is competence knowledge, which is the species of knowledge useful for performing a task skillfully.  It is performative or procedural in nature, that is, a knowing-how knowledge.  Again, by way of example, the surgeon must know how to perform a specific surgical procedure before executing it.  The third, which interests philosophers most, is propositional knowledge.  It pertains to certain truths or facts.  As such, philosophers traditionally call this species of knowledge, “justified true belief.”  Rather than descriptive or performative in nature, it is explanatory, or a knowing-that knowledge.  Again, by way of illustration, the surgeon must know certain facts or truths about the body’s anatomy, such as the physiological function of the heart, before performing open-heart surgery.  This section begins with the debate between rationalists and empiricists over the origins of knowledge, before turning to medical thinking and explanation and then concluding with the nature of diagnostic and therapeutic knowledge.

a. Rationalism vs. Empiricism

The rationalism-empiricism debate has a long history, beginning with the ancient Greeks, and focuses on the origins of knowledge and its justification.  “Is that origin rational or empirical in nature?”  “Is knowledge deduced or inferred from first principles or premises?”  “Or, is it the result of careful observation and experience?”  These are just a few of the questions fueling the debate, along with similar questions concerning epistemic justification.  Rationalists, such as Socrates,Plato,  Descartes, and Kant, appeal to reason as being both the origin and the justification of knowledge.  As such, knowledge is intuitive in nature, and in contrast to the senses or perception, it is exclusively the product of the mind.  Given the corruptibility of the senses, argue the rationalists, no one can guarantee or warrant knowledge—except through the mind’s capacity to reason.  In other words, rationalism provides a firm foundation not only for the origin of knowledge but also for warranting its truth.    Empiricists, such as Aristotle, Avicenna, Bacon, Locke, Hume, and Mill, avoid the fears of rationalists and exalt observation and experience with respect to the origin and justification of knowledge.  According to empiricists, the mind is a blank slate (Locke’s tabula rasa) upon which observations and experiences inscribe knowledge.  Here, empiricists champion the role of experimentation in the origin and justification of knowledge.

The rationalism-empiricism debate originates specifically with ancient Greek and Roman medicine.  The Dogmatic school of medicine, founded by Hippocrates’ son and son-in-law in the fourth century BCE, claimed that reason is sufficient for understanding the underlying causes of diseases and thereby for treating them.  Dogmatics relied on theory, especially the humoral theory of health and disease, to practice medicine.  The Empiric school of medicine, on the other hand, asserted that only observation and experience, not theory, is a sufficient foundation for medical knowledge and practice.  Theory is an outcome of medical observation and experience, not their foundation.  Empirics relied on palpable, not underlying, causes to explain health and disease and to practice medicine.  Philinus of Cos and his successor Serapion of Alexandria, both third century BCE Greek physicians, are credited with founding the Empiric school, which included the influential Alexandrian school.  A third school of medicine arose in response to the debate between the Dogmatics and Empirics, the Methodic school of medicine.  In contrast to Dogmatics, and in agreement with Empirics, Methodics argued that underlying causes are superfluous to the practice of medicine.  Rather, the patient’s immediate symptoms, along with common sense, are sufficient and provide the necessary information to treat the patient.  Thus, in contrast to Empirics, Methodics argued that experience is unnecessary to treat disease and that the disease’s symptoms provide all the knowledge needed to practice medicine.

The Dogmatism-Empiricism debate, with Methodism representing a minority position, raged on and was still lively in the seventeenth and eighteenth centuries.  For example, Giorgio Baglivi (1723), an Armenian-born seventeenth century Italian physician, decried the polarization of physicians along dogmatic and empiric boundaries and recommended resolving the debate by combining the two.  Contemporary philosophical commentators on medicine recognize the importance of both epistemic positions, and several commentators propose synthesis of them.  For example, Jan van Gijn (2005) advocates an “empirical cycle” in which experiments drive hypothetical thinking, which in turn results in additional experimentation.  Although no clear resolution of the rationalism-empiricism debate in medicine appears on the immediate horizon, the debate does emphasize the importance of and the need for additional philosophical analysis of epistemic issues surrounding medical knowledge.

b. Medical Thinking

“How doctors think” is the title of two  twenty-first century books on medical thinking.  The first is by a medical humanities scholar, Kathryn Montgomery (2006).  Montgomery addresses vital questions about how physicians go about making clinical decisions when often faced with tangible uncertainty.  She argues for medical thinking based not on science but on Aristotelian phronesis, or practical or intuitive reasoning.  The second book is by a practicing clinician, Jerome Groopman (2007).  Groopman also addresses questions about medical thinking, and he too pleads for clinical reasoning based on practical or intuitive foundations.  Both books call for introducing the art of medical thinking to offset the over dependence on the science of medical thinking.  In general, medical thinking reflects the cognitive faculties of clinicians to make rational decisions about what ails patients and how best to go about treating them both safely and effectively.  That thinking, during the twentieth century, mimicked the technical thinking of natural scientists—and, for good reason.  As Paul Meehl (1954) convincingly demonstrated, statistical reasoning in the clinical setting out performs intuitive clinical thinking.  Although Montgomery’s and Groopman’s attempts to swing the pendulum back to the art of medical thinking, the risk of medical errors often associated with such thinking demands clearer analysis of the science of medical thinking.  That analysis centers traditionally on both logical and algorithmic methods of clinical judgment and decision-making, to which the twenty-first century has turned.

Georg Stahl’s De logico medica, published in 1702, is one of the first modern treatises on medical logic.  However, not until the nineteenth century did logic of medicine become an important area of sustained analysis or have an impact on medical knowledge and practice.  For example, Friedrich Oesterlen’s Medical logic, published in English translation in 1855, promoted medical logic not only as a tool for assessing the formal relationship between propositional statements and thereby avoiding clinical error, but also for analyzing the relationship among medical facts and evidence in the generation of medical knowledge.  Oesterlen’s logic of medicine was indebted to the Paris school of clinical medicine, especially Pierre Louis’ numerical method (Morabia, 1996).  Contemporary logic of medicine continues this tradition, especially in terms of statistical analysis of experimental and clinical data.  For example, Edmond Murphy’s The Logic of Medicine (1997) represents an analysis of logical and statistical methods used to evaluate both experimental and clinical evidence.  Specifically, Murphy identifies several “rules of evidence” critical for interpreting such evidence as medical knowledge.  A particularly vigorous debate concerns the role of frequentist vs. Bayesian statistics in determining the statistical significance of data from clinical trials.  The logic of medicine, then, represents an important and a fruitful discipline in which medical scientists and clinical practitioners can detect and avoid errors in the generation and substantiation of medical knowledge and in its application or translation to the clinic.

Philosophers of medicine actively debate the best courses of action for making clinical decisions.  For, clinical judgment is an informal process in which a clinician assesses a patient’s clinical signs and symptoms to come to an accurate judgment about what is ailing the patient. To make such a judgment requires an insight into the intelligibility of the clinical evidence.  The issue for philosophers of medicine is what role intuition should play in clinical judgment when facing the ideals of objective scientific reasoning and judgment.  Meehl’s work on clinical judgment, as noted earlier casted suspicion on the effectiveness of intuition in clinical judgment; and yet, some philosophers of medicine champion  the understood dimension in such decision-making.  The debate often reduces to whether clinical judgment is an art or a science; however, some, like Alvan Feinstein (1994), argue for a reconciliatory position between them.  Once a physician comes to a judgment then the physician must make a decision as to how to proceed clinically.  Although clinical decision making, with its algorithmic-like decision trees, is a formal procedure compared to clinical judgment, philosophers of medicine actively argue about the structure of these trees and procedures for generating and manipulating them.  The main issue is how best to define the utility grounding the trees.

c. Explanation

Epistemologists are generally interested in the nature of propositions especially the explanatory power of those justified true beliefs.  To know something truly is to understand and explain the hidden causes behind it.  Explanations operate at a variety of levels.  For example, neuroscientific explanations account for human behavior in terms of the neurological activity while astrological explanations account for such behavior with respect to astronomical activity.  Philosophers, especially philosophers of science, distinguish several kinds of explanations, including the covering law explanation, causal explanation, and inference to the best explanation.  In twenty-first century medicine, explanations are important for understanding disease mechanisms and, in understanding those mechanisms, for developing therapeutic modalities to treat the patient’s disease.  This line of reasoning runs deep in medical history, beginning, as we have seen, with the Dogmatics.  Twenty-first century philosophers of medicine utilize the explanatory schemes developed by philosophers of science to account for medical phenomena.  The Following section will briefly examine each of these explanatory schemes and their relevance for medical explanations.

Carl Hempel and Paul Oppenheim introduced covering law explanation in the late 1940s.  According to Hempel and Oppenheim (1948), explanations function as arguments with the conclusion or explanandum—that which is explained—deduced or induced from premises or explanans—that which does the explaining.  At least one of the explanans must be a scientific law, which can be a mechanistic or statistical law.  Although covering law explanations are useful for those medical phenomena that reduce to mechanistic or statistical laws, such as explaining cardiac output in terms of heart rate and stroke volume, not all such phenomena lend themselves to such reductive explanations.  The next explanatory scheme, causal explanation, attempts to rectify that problem.  Causal explanation relies on the temporal or spatial regularity of phenomena and events and utilizes antecedent causes to explain phenomena and events.  The explanations can be simplistic in nature, with only a few antecedent causes arranged linearly, or very complex, with multiple antecedent causes operating in a matrix of interrelated and integrated interactions.  For example, causal explanations of cancer involve at least six distinct sets of genetic factors controlling cellular phenomena such as cell growth and death, immunological response, and angiogenesis.  Finally, Gilbert Harman articulated the contemporary form of inference to the best explanation, or IBE, in the 1960s.  Harman (1965) proposed that based on the totality of evidence one must choose the explanation that best accounts for or infers that evidence and reject its competitors.  The criteria for “bestness” range from the explanation’s simplicity to its generality or consilience to account for analogous phenomena.  Peter Lipton (2004) offers Ignaz Semmelweis’ explanation of increased mortality of women giving birth in one ward compared to another, as an example of IBE.  Donald Gillies (2005) provides an analysis of it in terms of Kuhnian paradigm.

d. Diagnostic and Therapeutic Knowledge

Diagnostic knowledge pertains to the clinical judgments and decisions made about what ails a patient.  Epistemologically, the issues concerned with such knowledge are its accuracy and certainty.  Central to both these concerns are clinical symptoms and signs.  Clinical symptoms are subjective manifestations of the disease that the patient articulates during the medical interview, while clinical signs are objective manifestations that the physician discovers during the physical examine.  What is important for the clinician is how best to quantify those signs and symptoms, and then to classify them in a robust nosology or disease taxonomy.  The clinical strategy is to collect the empirical data through the physical examination and laboratory tests, to deliberate on that data, and then to draw a conclusion as to what the data means in terms of the patient’s disease condition.  The strategy is fraught with questions for philosophers of medicine, from “What constitutes symptoms and signs and how they differ?” to “How best to measure and quantify the signs and to classify the diseases?”  Philosophers of medicine debate the answers to these questions, but the discussion among philosophers of science over the strategy by which natural scientists investigate the natural world guides much of the debate.  Thus, a clinician generates hypotheses about a patient’s disease condition, which he or she then assesses by conducting further medical tests.  The result of this process is a differential diagnosis, which represents a set of hypothetical explanations for the patient’s disease condition.  The clinician then narrows this set to one diagnostic hypothesis that best explains most, and hopefully all, of the relevant clinical evidence.  The epistemic mechanism that accounts for this process and the factors involved in it are unclear.  Philosophers of medicine especially dispute the role of tacit factors in the process.  Finally, the heuristics of the process are an active area of philosophical investigation in terms of identifying rules for interpreting clinical evidence and observations.

Therapeutic knowledge refers to the procedures and modalities used to treat patients.  Epistemologically, the issues concerned with such knowledge are its efficacy and safety.  Efficacy refers to how well the pharmacological drug or surgical procedure treats or cures the disease, while safety refers to possible patient harm caused by side effects.  The questions animating discussion among philosophers of medicine range from “What is a cure?” to “How to establish or justify the efficacy of a drug or procedure?” The latter question occupies a considerable amount of the philosophy of medicine literature, especially the nature and role of clinical trials.  Although basic medical research into the etiology of disease mechanisms is important, the translation of that research and the philosophical problems that arise from it are foremost on the agenda for philosophers of medicine.  The origin of clinical trials dates at least to the eighteenth century but not until the twentieth century is consensus reached over the structure of these trials.  Today, four phases define a clinical trial.  During the first phase, clinical investigators establish the maximum tolerance of healthy volunteers to a drug.  The next phase involves a small patient population to determine the drug’s efficacy and safety.  In the third phase, which is the final phase required to obtain FDA approval, clinical investigators utilize a large and relatively diverse patient population to establish the drug’s efficacy and safety.  A fourth stage is possible in which clinical investigators chart the course of the drug’s use and effectiveness in a diverse patient population over a longer period.  The following are topics of active discussion among philosophers of medicine: The nature of clinical trials with respect to features like randomizing in which test subjects are arbitrarily assigned to either experimental or control groups, blinding of patients and physicians to randomizing to remove assessment bias, concurrent control in which the control group does not receive the experimental treatment that the test group receives, and the role of the placebo effect or the expected benefit patient’s anticipate from receiving treatment represent.  However, the most pressing problem is the type of statistics utilized for analyzing clinical trial evidence.   Some philosophers of medicine champion frequentist statistics, while others Bayesian statistics.

3. Ethics

Ethics is the branch of philosophy concerned with the right or moral conduct or behavior of a community and its members.  Traditionally, philosophers divide ethics into descriptive, normative, and applied ethics.  Descriptive ethics involves detailing ethical conduct without evaluating it in terms of moral codes of conduct, whereas normative ethics pertains to how a community and its members should act under given situations, generally in terms of an ethical code.  This code is often a product of certain values held in common within a community.  For example, ethical codes against murder reflect values community members place upon taking human life without just cause.  Besides values, ethicists base normative ethics on a particular theoretical perspective.  Within western culture, three such perspectives predominate.  The first and historically oldest ethical theory—although it experienced a Renaissance in the late twentieth century—is virtue ethics.  Virtue ethics claims that ethical conduct is the product of a moral agent who possesses certain virtues, such as prudence, courage, temperance, or justice—the traditional cardinal virtues.  The second ethical theory is deontology and bases moral conduct on adherence to ethical precepts and rules reflecting moral duties and obligations.  The third ethical theory is consequentialism, which founds moral conduct on the outcome or consequence of an action.  The chief example of this theory is utilitarianism, or the maximization of an action’s utility, which claims that an action is moral if it realizes the greatest amount of happiness for the greatest number of community members.   Finally, applied ethics is the practical use of ethics within a profession such as business or medicine.  Medical or biomedical ethics reflects applied ethics and is a major feature within the landscape of twenty-first century medicine.  Historically, ethical issues are a conspicuous component of medicine beginning with Hippocrates.  Throughout medical history several important treatises on medical ethics have been published.  Probably the best-known example is Thomas Percival’s Medical Ethics, published in 1803, which influenced the development of the American Medical Association’s ethical code.  Today, medical ethics is founded not on any particular ethical theory but on four ethical principles.

a. Principlism

The origins of the predominant system for contemporary medical or biomedical ethics began in 1932.  In that year, the Public Health Service, in conjunction with the Tuskegee Institute in Macon County, Alabama, undertook a clinical study to document the course of syphilis on untreated test subjects.  The subjects were Afro-American males.  Over the next forty years, healthcare professionals observed the course of the disease, even after the introduction of antibiotics.  Not until 1972, did the study end and only after public outcry from newspaper articles—especially an article in the New York Times—reporting the study’s atrocities.  What made the study so atrocious was that the healthcare professionals misinformed the subjects about treatment or failed to treat the subjects with antibiotics.  To insure that such flagrant abuse of test subjects did not happen again, the National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research met from February 13-16, 1976.  At the Smithsonian Institute’s Belmont Conference Center in Maryland, the commission drafted guidelines for the treatment of research subjects.  The outcome was a report entitled, Ethical Principles and Guidelines for the Protection of Human Subjects of Research, or known simply as the Belmont Report, published in 1979.  The report lists and discusses several ethical principles necessary for protecting human test subjects and patients from unethical treatment at the hands of healthcare researchers and providers.  The first is respect for persons, in that researchers must respect the test subject’s autonomy to make informed decisions based on accurate and truthful information concerning the test study’s procedures and risks.  The next principle is beneficence or maximizing the benefits to risk ratio for the test subject.  The final ethical principle is justice, which ensures that the cost to benefit ratio is equitably distributed among the general population and that no one segment of it bears an unreasonable burden with respect to the ratio.

One of the framers of the Belmont Report was a young philosopher named Tom Beauchamp.  While working on the report, Beauchamp, in collaboration with a colleague, James Childress, was also writing a book on the role of ethical principles in guiding medical practice.  Rather than ground biomedical ethics on any particular ethical theory, such as deontology or utilitarianism, Beauchamp and Childress looked to ethical principles for guiding and evaluating moral decisions and judgments in healthcare.  The fruit of their collaboration was Principles of Biomedical Ethics, first published in the same year as the Belmont Report, 1979.  In the book, Beauchamp and Childress apply the ethical principles approach of the report to regulate the activities of biomedical researchers, to assist physicians in deliberating over the ethical issues associated with the practice of clinical medicine.  However, besides the three guiding principles of the report, they added a fourth—nonmaleficence.  Moreover, the first principle became patient autonomy, rather than respect of persons as denoted in the report.  For the autonomy principle, Beauchamp and Childress stress the patient’s liberty to make critical decisions concerning treatment options, which have a direct impact on the patient’s own values and life plans.  The authors’ second principle, nonmaleficence, instructs the healthcare provider to avoid doing harm to the patient, while the next principle of beneficence emphasizes removing harm and doing good to the patient.  Beauchamp and Childress articulate the final principle, justice, in terms reminiscent of the Belmont report with respect to equitable distribution of risks and benefits, as well as healthcare resources, among both the general and patient populations.  The bioethical community quickly dubbed  the Beauchamp and Childress approach to biomedical ethics as principlism.

Principlism’s impact on the bioethical discipline is unparalleled.  Beauchamp and Childress’ book is now in its fifth edition and is a standard textbook for teaching biomedical ethics at medical schools and graduate programs in medical ethics.  One of the chief advocates of principlism is Raanan Gillon (1986)  Gillon expanded the scope of the principles to aid in their application to difficult bioethical issues, especially where the principles might conflict with one another.  However, principlism is not without its critics.  A fundamental complaint is the lack of theoretical support for the four principles, especially when the principles collide with one another in terms of their application to a bioethical problem. In its use, ethicists and clinicians generally apply the principles in an algorithmic manner to justify practically any ethical position on a biomedical problem.  What critics want is a unified theoretical basis for grounding the principles, in order to avoid or adjudicate conflicts among the principles.  Moreover, Beauchamp and Childress’ emphasis on patient autonomy had serious ramifications on the physician’s role in medical care, with that role at times marginalized to the patient’s role.  Alfred Tauber (2005), for instance, charges that such autonomy itself is “sick” and often results in patients abandoned to their own resources with detrimental outcomes for them.  In response to their critics, Beauchamp and Childress argue that no single ethical theory is available to unite the four principles to avoid or adjudicate conflicts among them.  However, they did introduce in the fourth edition of Principles, a notion of common morality—a set of shared moral standards—to provide theoretical support for the principles.  Unfortunately, their notion of common morality lacks the necessary theoretical robustness to unify the principles effectively.  Although principlism still serves a useful function in biomedical ethics, particularly in the clinic, early twenty-first century trends towards healthcare ethics and global bioethics have made its future unclear.

b. Patient-Physician Relationship

According to many philosophers of medicine, medicine is more than simply a natural or social science; it is a moral enterprise.  What makes medicine moral is the patient-physician or therapeutic relationship.  Although some philosophers of medicine criticize efforts to model the relationship, given the sheer number of contemporary models proposed to account for it, modeling the relationship has important ramifications for understanding and framing the moral demands of medicine and healthcare.  The traditional medical model within the industrialized West, especially in mid twentieth century America, was paternalism or “doctor knows best.”  The paternalistic model is doctor-centered in terms of power distribution, with the patient representing a passive agent who simply follows the doctor’s orders.  The patient is not to question those orders, unless to clarify them.  The source for this power distribution is the doctor’s extensive medical education and training relative to the patient’s lack of medical knowledge.  In this model, the doctor represents a parent, generally a father figure and the patient a child—especially a sick child.  The motivation of this model is to relieve a patient burdened with suffering from a disease, to benefit the patient from the doctor’s medical knowledge, and to affect a cure while returning the patient to health.  In other words, the model’s guiding principle is beneficence.  Besides the paternalistic model, other doctor-centered models include the priestly and mechanic models.  However, the paternalistic model, as well as the other doctor-centered models, ran into severe criticism with abuses associated with the models and with the rise of patient advocacy groups to correct the abuses.

Within the latter part of the twentieth century and the rise of patient autonomy as a guiding principle for medical practice, alternative patient-physician models challenged traditional medical paternalism.  Instead of doctor-centered, one set of models are patient-centered in which patients are the locus of power.  The most predominant patient-centered model is the business model, where the physician is a healthcare provider and the patient a consumer of healthcare goods and services.  The business model is an exchange relationship and relies heavily on a free market system.  Thus, the patient possesses the power to pick and choose among physicians until a suitable healthcare provider is found.  The legal model is another patient-centered model, in which the patient is a client and the guiding forces are patient autonomy and justice.  Patient and physician enter into a contract for healthcare services.  Another set of models in which patients have significant power in the therapeutic relationship are the mutual models.  In these models, neither patients nor physicians have the upper hand in terms of power-they share it.  The most predominant model is the partnership model in which patient and physician are associates in the therapeutic relationship.  The guiding force of this model is informed consent in which the physician apprises the patient of the available therapeutic options and the patient then chooses which is best.  Both the patient and physician share decision making over the best means for affecting a cure.  Finally, other examples of mutual models include the covenant model, which stresses promise instead of contract; the friendship model, which involves a familial-like relationship; and, the neighbor model, which maintains a “safe” distance and yet familiarity between patient and physician.

4. What is Medicine?

The nature of medicine is certainly an important question facing twenty-first century philosophers of medicine.  One reason for its importance is that the question addresses the vital topic of how physicians should practice medicine.  During the turn of the twenty-first century, clinicians and other medical pundits have begun to accept evidence-based medicine, or EBM, as the best way to practice medicine.  Proponents of EBM claim that physicians should engage in medical practices based on the best scientific and clinical evidence available, especially from randomized controlled clinical trials, systematic observations, and meta-analyses of that evidence, rather than on pathophysiology or an individual physician’s clinical experience. Proponents also claim that EBM represents a paradigmatic shift away from traditional medicine.  Traditional practitioners doubt the radical claims of EBM proponents.  One specific objection is that application of evidence from population based clinical trials to the individual patient within the clinic is not as easy to accomplish as EBM proponents realize.  In response, some clinicians propose patient-centered medicine (PCM).   Patient-centered advocates include the patient’s personal information in order to apply the best available scientific and clinical evidence in treatment.  The focus then shifts from the patience’s disease to the patience’s illness experience.  The key for the practice of patient-centered medicine is a physician’s effective communication with the patient.  While some commentators present EBM and PCM as competitors, others propose a combination or integration of the two medicines.  The debate between advocates of EBM and PCM is reminiscent of an earlier debate between the science and art of medicine and belies a deep anxiety over the nature of medicine.  Certainly, philosophers of medicine can play a strategic role in the debate and assist towards its satisfactory resolution.

Besides its nature,  twenty-first century medicine also faces a number of crises, including economic, malpractice, healthcare insurance, healthcare policy, professionalism, public or global health, quality-of-care, primary or general care, and critical care—to name a few (Daschle, 2008; Relman, 2007).  Philosophers of medicine can certainly contribute to the resolution of these crises by carefully and insightfully analyzing the issues associated with them.  For example, considerable attention has been paid in the literature to the crisis over the nature of medical professionalism (Project of the ABIM Foundation, et al., 2002; Tallis, 2006).  The question that fuels this crisis is what type of physician best meets the patient’s healthcare needs and satisfies medicine’s social contract.  The answer to this question involves the physician’s professional demeanor or character.  However, little consensus as to how best to define professionalism is palpable in the literature.  Philosophers of medicine can aid by furnishing guidance towards a consensus on the nature of medical professionalism.

Philosophy of medicine is a vibrant field of exploration into the world of medicine in particular, and of healthcare in general.  Along traditional lines of metaphysics, epistemology, and ethics, a cadre of questions and problems face philosophers of medicine and cry out for attention and resolution.  In addition, many competing forces are vying for the soul of medicine today.  Philosophy of medicine is an important resource for reflecting on those forces in order to forge a medicine that meets both physical and existence needs of patients and society.

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Author Information

James A. Marcum
Email: James_Marcum@baylor.edu
Baylor University
U. S. A.

Synesthesia

The word “synesthesia” or “synaesthesia,” has its origin in the Greek roots, syn, meaning union, and aesthesis, meaning sensation: a union of the senses.  Many researchers use the term “synesthesia” to refer to a perceptual anomaly in which a sensory stimulus associated with one perceptual modality automatically triggers another insuppressible sensory experience which is usually, but not always, associated with a different perceptual modality as when musical tones elicit the visual experience of colors (“colored-hearing”).  Other researchers consider additional unusual correspondences under the category of synesthesias, including the automatic associations of specific objects with genders, ascriptions of unique personalities to numbers, and the involuntary assignment of spatial locations to months or days of the week.  Many synesthetes experience more than one cross-modal correspondence, and others who have unusual cross-modal sensory experiences also have some non-sensory correspondences such as those mentioned above.

Researchers from fields as varied as neurology, neuroscience, psychology and aesthetics have taken an interest in the phenomenon of synesthesia.  Consideration of synesthesia has also shed light on important subjects in philosophy of mind and cognitive science.  For instance, one of the most widely discussed problems in recent philosophy of mind has been to determine how consciousness fits with respect to physical descriptions of the world.  Consciousness refers to the seemingly irreducible subjective feel of ongoing experience, or the character of what it is like.  Philosophers have attempted to reduce consciousness to properties that will ultimately be more amenable to physical characterizations such as representational or functional properties of the mind.  Some philosophers have argued that reductive theories such as representationalism and functionalism cannot account for synesthetic experience.

Another metaphysical project is to provide an account of the nature of color.  There are two main types of views on the nature of color.  Color objectivists take color to be a real feature of the external world.  Color subjectivists take color to be a mind-dependent feature of the subject (or the subject’s experience).  Synesthesia has been used as a counter-example to color objectivism.  Not everyone agrees, however, that synesthesia can be employed to this end.  Synesthesia has also been discussed in regards to the issue of what properties perceptual experiences can represent objects as having (for example, colors).  The standard view is that color experiences represent objects as having color properties, but a special kind of grapheme-color synesthesia may show that color experience can signify numerical value.  If this is right, it shows that perceptual experiences can represent so-called “high-level” properties.

Synesthesia may also be useful in arbitrating the question of how mental processing can be so efficient given the abundance of mentally stored information and the wide variety of problems that we encounter, which must each require highly specific albeit different, processing solutions.  The modular theory of mind is a theory about mental architecture and processing aimed at solving these problems.  On the modular theory, at least some processing is performed in informationally encapsulated sub-units that evolved to perform unique processing tasks.  Synesthesia has been used as support for mental modularity in several different ways.  While some argue that synesthesia is due to an extra module, others argue that synesthesia is better explained as a breakdown in the barrier that keeps information from being shared between modules.

This article begins with an overview of synesthesia followed by a discussion of synesthesia as it has been relevant to philosophers and cognitive scientists in their discussions of the nature of consciousness, color, mental architecture, and perceptual representation, as well as several other topics.

Table of Contents

  1. Synesthesia
  2. Consciousness
    1. Representationalism
    2. Functionalism
  3. Modularity
  4. Theories of Color
  5. An Extraordinary Feature of Color-Grapheme Synesthesia
  6. Wittgenstein’s Philosophical Psychology
  7. Individuating the Senses
  8. Aesthetics and “Literary Synesthesia”
  9. Synesthesia and Creativity
  10. References and Further Reading

1. Synesthesia

Most take synesthesia to be a relatively rare perceptual phenomenon. Reports of prevalence vary, however, from 1 in 25,000 (Cytowic, 1997) to 1 in 200 (Galton, 1880), to even 1 in 20 (Simner et al., 2006).  It typically involves inter-modal experiences such as when a sound triggers a concurrent color experience (a photism), but it can also occur within modalities.  For example, in grapheme-color synesthesia the visual experience of alpha-numeric graphemes such as of a “4” or a “g,” induces color photisms.  These color photisms may appear to the synesthete as located inside the mind, in the peri-personal space surrounding the synesthete’s body (Grossenbacher & Lovelace, 2001), or as being projected right where the inducing grapheme is situated perhaps as if a transparency were placed on top of the grapheme (Dixon, et al., 2004).  Reported cross-modal synesthesias also include olfactory-tactile (where a scent induces a tactile experience such as of smoothness), tactile-olfactory, taste-color, taste-tactile and visual-olfactory, among others.  It is not clear which of these is most common.  Some researchers report that colored-hearing is the most commonly occurring form of synesthesia (Cytowic, 1989; Harrison & Baron-Cohen, 1997), and others report that approximately 68% of synesthetes have the grapheme-color variety (Day, 2005).  Less common forms include sound-olfactory, taste-tactile and touch-olfactory.  In recent years, synesthesia researchers have increasingly been attending to associations that don’t fit the typical synesthesia profile of cross activations between sensory modalities, such as associations of specific objects with genders, ascriptions of unique personalities to particular numbers, and the involuntary assignment of spatial locations to months or days of the week.  Many synesthetes report having these unusual correspondences in addition to cross-modal associations.

Most studied synesthesias are assumed to have genetic origins (Asher et al., 2009).  It has long been noted that synesthesia tends to run in families (Galton, 1883) and the higher proportion of female synesthetes has led some to speculate that it is carried by the X chromosome (Cytowic, 1997; Ward & Simner, 2005).  However, there are also reports of acquired synesthesias induced by drugs such as LSD or mescaline (Rang & Dale, 1987) or resulting from neurologic conditions such as epilepsy, trauma or other lesion (Cytowic, 1997; Harrison & Baron-Cohen, 1997; Critchley, 1997).  Recent studies suggest it may even be brought on through training (Meier & Rothen, 2009; Proulx, 2010) or post-hypnotic suggestion (Kadosh et al., 2009).  Another hypothesis is that synesthesia may have both genetic and developmental origins.  Additionally, some researches propose that synesthesia may arise in genetically predisposed children in response to demanding learning tasks such as the development of literacy.

Up until very recently, the primary evidence for synesthesia has come from introspectively based verbal reports.  According to Harrison and Baron-Cohen (1997), synesthesia is late in being a subject of scientific interest because the previously prevailing behaviorists rejected the importance of subjective phenomena and introspective report.  Some other researchers continue to downplay the reality of synesthesia, claiming that triggered concurrents are likely ideational in character rather than perceptual (for discussion and criticism of this view see Cytowic, 1989; Harrison, 2001; Ramachandran & Hubbard, 2001a).  One hypothesis is that synesthetic ideas result from learned associations that are so vivid in the minds of synesthetes that subjects mistakenly construe them to be perceptual phenomena.  As psychologists swung from physicalism back to mentalism, however, subjective experience became more accepted as an area of scientific inquiry.  In recent years, scientists have begun to study aspects of subjectivity, such as the photisms of synesthetes, using third person methods of science.

Recent empirical work on synesthesia suggests its perceptual reality.  For example, synesthesia is thought to influence attention (Smilek et al., 2003). Moreover, synesthetes have long reported that photisms can aid with memory (Luria, 1968).  And indeed, standard memory tests show synesthetes to be better with recall where photisms would be involved (Cytowic 1997; Smilek et al., 2002).

Other studies aimed at confirming the legitimacy of synesthesia have demonstrated that genuine synesthesia can be distinguished from other common types of learned associations in that it is remarkably consistent; over time synesthetes’ sensation pairings (for example, the grapheme 4 with the color blue) remain stable across multiple testings whereas most learned associations do not.  Synesthetes tested and retested to confirm consistency of pairings on multiple occasions, at an interval of years and without warning, exhibit consistency as high as 90% (Baron-Cohen, et al., 1987).  Non-synesthete associators are not nearly as consistent.

Grouping experiments are used to distinguish between perceptual and non-perceptual features of experience (Beck, 1966; Treisman, 1982).  In common grouping experiments, subjects view a scene comprised of vertical and tilted lines.  In perception, the tilted and vertical lines appear as grouped independently.  Studies seem to show some grapheme-color synesthetes to be subject to pop-out and grouping effects based on colored photisms (Ramachandran & Hubbard, 2001a, b; Edquist et al., 2006).  If an array of 2’s in the form of a triangle are hidden within a field of distracter graphemes such as 5’s, the 2’s may “pop-out” or appear immediately and saliently in experience as forming a triangle so long as the color ascribed to the 2’s is incongruent with the color of the 5’s (Ramachandran and Hubbard, 2001b).

synesthesia graphic

Some take these studies to show that, for at least some synesthetes, the concurrent colors are genuinely perceptual phenomena arising at a relatively early pre-conscious stage of visual processing, rather than associated ideas, which would arise later in processing.

Another study often cited as substantiating the perceptual reality of synesthetic photisms shows that synesthetes are subject to Stroop effects on account of color photisms.  When synesthetes were shown a hand displaying several fingers colored to match the color photism the synesthetes typically projected onto things signifying that quantity, they were quicker at identifying the actual quantity of fingers displayed than when the fingers were painted a color that was incongruent with the photism typically associated with things significant of that quantity (Ward and Sagiv, 2007).

Finally, Smilek et al. (2001) have conducted a study with a synesthete they refer to as “C,” that suggests the perceptual reality of synesthesia.  In the study, significant graphemes are presented individually against backgrounds that are either congruent or incongruent with the photism associated with the grapheme.  If graphemes really are experienced as colored, then they should be more difficult to discern by synesthetes when they are presented against congruent backgrounds.  C did indeed have difficulty discerning the grapheme on congruent but not incongruent trials.  In a similar study, C was shown a digit “2” or “4” hidden in a field of other digits.  Again, the background was either congruent or incongruent with the photism C associated with the target digit.  C had difficulty locating the target digit when the background was congruent with the target’s photism color, but not when it was incongruent.

Nevertheless, another set of recent studies could be seen as calling into question whether some of the above studies really demonstrate the perceptual reality of synesthesia.  Meier and Rothen (2009) have shown that non-synesthetes trained over several weeks to associate specific numbers and colors behave similarly to synesthetes on synesthetic Stroop studies.  The colors that the non-synesthetes were taught to associate with certain graphemes interfered with their ability to identify target graphemes.  Moreover, Kadosh et al. (2009) have shown that highly suggestible non-synesthetes report abnormal cross-modal experiences similar to congenital synesthetes and behave similarly to Smilek’s synesthete C on target identification after receiving post-hypnotic suggestions aimed to trigger grapheme-color pairings.  Some researchers conclude from these studies that genuine synesthetic experiences can be induced through training or hypnosis.  But it isn’t clear that the evidence warrants this conclusion as the results are consistent with the presence of merely strong non-perceptual associations.  In the cases of post-hypnotic suggestion, participants may simply be behaving as if they experienced genuine synesthesia.  An alternative conclusion to draw from these studies might be that Stroop and the identification studies conducted with C do not demonstrate the perceptual reality of synesthesia.  Nonetheless, it has not been established that training and hypnotism can replicate all the effects, such as the longevity of associations in “natural” synesthetes, and few doubt that synesthetes experience genuine color photisms in the presence of inducing stimuli.

For most grapheme-color synesthetes, color photisms are induced by the formal properties of the grapheme (lower synesthesia).  In some, however, color photisms can be correlated with high-level cognitive representations specifying what the grapheme is taken to represent (higher synesthesia).  Higher synesthesia can be distinguished from lower synesthesia by several testable behaviors.

First, individuals with higher synesthesia frequently have the same synesthetic experiences (for example, see the same colors) in response to multiple inducers that share meaning—for instance, 5, V, and an array of five dots may all induce a green photism (Ramachandran & Hubbard, 2001b; Ward & Sagiv, 2007).  Second, some higher-grapheme-color synesthetes will experience color photisms both when they are veridically perceiving an external numeral, and also when they are merely imagining or thinking about the numerical concept.  Dixon et al. (2000) showed one synesthete the equation “4 + 3” followed by a color patch.  Their participant was slower at naming the color of the patch when it was incongruent with the photism normally associated with the number that is the solution to the equation.  If thinking about the numerical concept alone induces a photism then we should expect that the photism would interfere with identifying the patch color.

Moreover, when an individual with higher synesthesia sees a grapheme that is ambiguous, for example a shape that resembles both a 13 and a B, he or she may mark it with different colors when it is presented in different contexts.  For instance, when the grapheme is presented in the series, “12, 13, 14,” it may induce one photism, but it may induce a different photism when it is presented in the series, A, 13, C.  This suggests that it isn’t merely the shape of the grapheme that induces the photism here, but also the ascribed semantic value (Dixon et al., 2006).  Similarly, if an array of smaller “3”s are arranged in the form of a larger “5,” an individual with higher-grapheme synesthesia may mark the figure with one color photism when attending to it as an array of “3”s, but mark it with a different color photism when attending to it as a single number “5” (Ramachandran & Hubbard, 2000).

2. Consciousness

Some contend that synesthesia presents difficulties for certain theories of mind when it comes to conscious experience, such as representationalism (Wager, 1999, 2001; Rosenberg, 2004) and functionalism (J.A. Gray, 1998, 2003, 2004, J.A. Gray et al.; 1997, 2002, 2006).  These claims are controversial and discussed in some depth in the following two sections.

a. Representationalism

Representationalism is the view that the phenomenal character of experience (or the properties responsible for “what it is like” to undergo an experience) is exhausted by, or at least supervenes on, its representational content (Chalmers, 2004).  This means that there can be no phenomenal difference in the absence of a representational difference, and, if two experiential states are indiscernible with respect to representational content, then they must have the same phenomenal character.  Reductive brands of representationalism say that the qualitative aspects of consciousness are just the properties represented in perceptual experience (that is, the representational contents).  For instance, perhaps the conscious visual sensation of a faraway aircraft travelling across the sky is just the representation of a silver object moving across a blue background (Tye, 1995, p.93).

According to Wager (1999, 2001) and Rosenberg (2004) synesthesia shows that phenomenal character does not always depend on representational content because mental states can be the same representationally, but differ when it comes to experiential character.  Wager dubs this the “extra qualia” problem (1999, p.268) noting that his objection specifically targets externalist versions of representationalism (p.276) contending that phenomenal content depends on what the world is like (such that perfect physical duplicates could differ in experiential character given that their environments differ).  Meanwhile, Rosenberg (2004, p.101) employs examples of synesthetes who see colors when feeling pain, or hearing loud noises.  According to Rosenberg, there is no difference between the representational content of the synesthete and the ordinary person: in the case of pain, they could both be representing damage to the body of, let us suppose, a certain intensity, location and duration.  Again, the examples are claimed to show that mental states with the same representational content can differ experientially.  However, others reject this sort of argument.

Alter (2006, p.4) argues that Rosenberg’s analysis overlooks plausible differences between the representational contents in question.  A synesthete who is consciously representing bodily damage as, say, orange, is representing pain differently than an ordinary person.  The nature of this representational difference might be understood in more than one way: perhaps the manner in which they represent their intentional objects differs, or, perhaps their intentional objects differ (or both).  In short, it is suggested that the synesthete and the ordinary person are not representationally the same, and it is no threat to representationalism that different kinds of experience represent differently.  To take a trivial case, the conscious difference between touching and seeing a snowball is accounted for in that they represent differently (only one represents the snowball as cold).

Turning to Wager, he considers three cases which all concern a synesthete named Cynthia who experiences extra visual qualia in the form of a red rectangle when she hears the note Middle C.  The cases vary according to the version of externalism in question.  Case 1 examines a simple casual co-variation theory of phenomenal content, case 2 a theory that mixes co-variation and teleology (such as Tye’s, 1995), while case 3 concerns a purely teleological account, (such as Dretske’s, 1995).  These cases purportedly show that synesthetic and ordinary experience can share the same contents despite the differences in qualitative character.  R. Gray’s (2001a, 2004, pp.68-9) general reply is that synesthetic experience does indeed differ representationally in that it misrepresents.

For example, instead of attributing the redness and rectangularity to Middle C, why not attribute these to a misrepresentation of a red rectangle triggered by the auditory stimulus?  Whether representationalism can supply a plausible account of misrepresentation is an open question, however, perhaps its problems with synesthesia can be resolved by discharging this explanatory debt.

Regarding case 1, perhaps there is no extra representational content had by Cynthia.  If content is determined by the co-variation of the representation and the content it tracks, then since there is no red triangle in the external world, perhaps her experience only represents Middle C, just as it does in the case of an ordinary person (Wager, 1999, p.269).  If so, then there would be a qualitative difference in the absence of a representational difference, and this version of representationalism would be refuted.  On the other hand, Wager concedes that the objection might fail if Cynthia has visually experienced red bars in the past, for then her synesthetic experience is arguably not representationally the same as that of an ordinary person hearing Middle C.  This is because it would be open to the externalist to reply that Cynthia’s experience represents the disjunction “red bar or Middle C” (p.270) thus differing from an ordinary person’s.   However, Wager then argues that a synesthete who has never seen red bars because she is congenitally blind (Blind Cynthia) would have the same representational contents as an ordinary person (they would both just represent Middle C) and yet since she would also experience extra qualia, the objection goes through after all.

In reply, R. Gray (2001a, p.342) points out that this begs the question against the externalist, since it assumes that synesthetic color experience does not depend on a background of ordinary color experience.  If this is so, there could not be a congenitally blind synesthete, since whatever internal states Blind Cynthia had would not be representing colors.  Wager has in turn acknowledged this point (2001, p.349) though he maintains that it is more natural to suppose that Blind Cynthia’s experience would nevertheless be very different.  Support for Wager’s view might be found in such examples as color blind synesthetes who report “Martian” colors inaccessible to ordinary visual perception (Ramachandran and Hubbard, 2003a).

Wager also acknowledges that case 1 overlooks theories allowing representational contents to depend on evolutionary functions, and so the possibility that the blind synesthete functions differently when processing Middle C needs to be examined.  This leads to the second and third cases.

Case 2 is designed around Tye’s hybrid theory according to which phenomenal character depends on evolutionary functions for beings that evolved, and causal co-variation for beings that did not–such as Swampman (your perfect physical duplicate who just popped into existence as a result of lightening striking in swamp material).  Wager argues that on Tye’s view Middle C triggers an internal state with the teleological function of tracking red in the congenitally blind synesthete.  Hence Tye can account for the idea that Blind Cynthia would be representing differently than an ordinary person.

However, now the problem is that it seems the externalist must, implausibly, distinguish between the phenomenal contents of the hypothetical blind synesthete and a blind Swampsynesthete (Blind Swamp Cynthia) when they each experience Middle C.  Recall that Tye’s theory does not allow teleology to be used to account for representational contents in Swampperson cases.  But if Tye falls back on causal co-variation the problem, discussed in the first case, returns.  Since the blind Swampsynesthete’s causal tracking of Middle C does not differ from that of an ordinary person, externalism seems committed to saying that their contents and experiences do not differ—that is, since Blind Swamp Cynthia’s state reliably co-varies with Middle C, not red, it cannot be a phenomenal experience of red.

This, however, is not the end of the matter.  R. Gray could try to recycle his reply that there could not be a blind synesthete (whether of swampy origins or not) since synesthesia is parasitic on ordinary color experience.  Still another response offered on behalf of Tye (Gray, 2001a, p.343) is that Wager fails to take note of the role played by “optimal” conditions in Tye’s theory.  Where optimal conditions fail to obtain, co-variation is mere misrepresentation.  But what counts as optimal and how do we know it?  Perhaps optimal conditions would fail to obtain if the co-varying relationships are one-many (that is, if an internal state co-varies with many stimuli, or, a stimulus co-varies with many internal states, Gray, 2001a, p.343).  Such may be the case for synesthetes, and if so, then synesthetic experience would misrepresent and so differ in content.  On the other hand, Wager disputes Gray’s conception of optimal conditions (2001, p.349) arguing that Tye himself accepts they can obtain in situations where co-variation is one-many.  In addition, Wager (2001, p.349) contends Blind Swamp Cynthia’s co-varying relationship is not one-many since her synesthetic state co-varies only with Middle C.  As for Gray’s claim that optimal conditions fail for the Blind Swamp Cynthia because Middle-C co-varies with too many internal states, Wager (2001, p.349) responds that optimal conditions should indeed obtain—for it is plausible that a creature with a backup visual system could have multiple independent states co-varying with, and bearing content about, a given stimulus.  To this, however, it can be replied that having primary and backup states with content says nothing about whether the content of the backup state is auditory or visual; in other words, does Blind Swamp Cynthia both hear and synesthetically see Middle C, or, does she just hear it by way of multiple brain states (cf. Gray, 2001a, pp.343-344)?  While this summary does not exhaust the debate between Wager and Gray, the upshot for case 2 seems to turn on contentious questions about optimal conditions: what are they, and how do we know when they obtain or fail to obtain?

Finally, Case 3 considers the view that phenomenal content always depends on the state’s content tracking function as determined by natural selection.  Hence, an externalist such as Dretske could maintain that the blind synesthete undergoes a misfiring of a state that is supposed to indicate the presence of red, not Middle C.  Wager’s criticism here concerns a hypothetical case whereby synesthesia comes to acquire the evolutionary function of representing Middle C while visual perception has faded from the species though audition remains normal.  This time the problem is that it seems plausible that two individuals with diverging evolutionary histories could undergo the same synesthetic experience, but according to the externalist their contents would differ (Wager, 1999, p.273).  Perhaps worse, it follows from externalism that a member of this new synesthetic species listening to Middle C would have the very same content and experience as an ordinary member of our own species.

R. Gray replies that he does not see why the externalist must agree that synesthesia has acquired an evolutionary function just because it is adaptive (2001a, p.344).  Returning to his point about cases 1 & 2, synesthesia might well result from a breakdown in the visual system, and saying that it has no function is compatible with saying that it is fitness-enhancing.  If synesthesia does not have a teleological function, then a case 3 externalist can deny that the mutated synesthete’s contents are indiscernible with respect to those of an ordinary person.

And yet even if R. Gray is right that the case for counting synesthesia as functional is inconclusive, it seems at least possible some being evolves such that it has states with the function of representing Middle C synesthetically.  Whether synesthesia is a bug or a feature depends on, as Gray acknowledges, evolutionary considerations (p.345, see also Gray, 2001b), so Wager need only appeal to the possible world in which those considerations favor his interpretation and he can have his counterexample to externalist representationalism (cf. Wager, 2001, p.348).

On the other hand, and as R. Gray notices, Wager’s strongest cases are not drawn from the real world – and so his objections likewise turn on the very sort of controversial, “thought experiments and intuitions about possibility” he aims to distance his own arguments from (Wager, 1999, p.264).  Consider that for case 3 externalists, since Swamppeople don’t have evolutionary functions, they are unconscious zombies.  Anybody who is willing to accept that outcome will probably not be troubled by Wager’s imagined examples about synesthetes.  After all, someone who thinks having no history makes one a zombie already believes that differing evolutionary histories can have a dramatic impact on the qualitative character of experience.  In short, a lot rides on whether synethesia in fact is the result of malfunction, or, the workings of a separate teleofunctional module.

Finally, the suggestion that representational properties can explain the “extra-qualia” in synesthesia courts controversy given worries about whether this is consilient with synesthetes’ self-reports (that is, would further scrutiny of the self-reports strongly support claims about additional representational content?).  There is also general uncertainty as to what evidential weight these reports ought to be granted.  Despite Ramachandran and Hubbard’s enthusiasm for the method of, “probing the introspective phenomenological reports of these subjects” (2001b, p.7, n.3), they acknowledge skepticism on the part of many psychologists about this approach.

b. Functionalism

Synesthesia might present difficulties for the functionalist theory of mind’s account of conscious experience.  Functionalism defines mental states in terms of their functions or causal roles within cognitive systems, as opposed to their intrinsic character (that is, regardless of how they are physically realized or implemented).  Here, mental states are characterized in terms of their mediation of causal relationships obtaining between sensory input, behavioral output, and each other.  For example, an itch is a state caused by, inter alia, mosquito bites, and which results in, among other things, a tendency to scratch the affected area.  As a theory of consciousness, functionalism claims that the qualitative aspects of experience are constituted by (or at least determined by) functional roles (for example, Lycan, 1987).

In a series of articles, J.A. Gray has argued that synesthesia serves as a counter-example to functionalism, as well as to Hurley and Noë’s (2003a) specific hypothesis that sensorimotor patterns best explain variations in phenomenal experience.

Hurley and Noë’s theory employs a distinction between what they call “deference” and “dominance.”  Sensory deference occurs when experiential character conforms to cortical role rather than sensory input, and dominance the reverse.  Sometimes,

nonstandard sensory inputs “defer” to cortical activity, as when the stimulation of a patient’s cheek is felt as a touch on a missing arm.  Here cortex “dominates,” in the sense that it produces the feel of the missing limb, despite the unusual input.  One explanation is that nerve impulses arriving at the cortical region designated for producing the feel of a touch on the cheek “spill over” triggering a neighboring cortical region assigned to producing sensation of the arm.  But the cortex can also “defer” to nonstandard input, as in the case of tactile qualia experienced by Braille readers corresponding to activity in the visual cortex. J.A. Gray (2003, p.193) observes that cortical deference, not dominance, is expected given functionalism, since the character of a mental state is supposed to depend on its role in mediating inputs and outputs. If that efferent-afferent mediating role changes, then the sensory character of the state should change with it.

Hurley and Noë (2003a) propose that cortical regions implicated in one sensory modality can shift to another (and, thus be dominated by input) if there are novel sensorimotor relationships available for exploitation.  For support they point out that the mere illusion of new sensorimotor relationships can trigger cortical deference.  Such is the case with phantom limb patients who can experience the illusion of seeing and moving a missing limb with the help of an appropriately placed mirror.  In time, the phantom often disappears, leading to the conjecture that the restored sensory-motor feedback loop dominates the cortex, forcing it to give up its old role of producing sensation of the missing limb.

Hurley and Noë (2003a, p.160) next raise a worry for their theory concerning synesthesia.   Perceptual inputs are “routed differently” in synesthetes, as in the case of an auditory input fed to both auditory and visual cortex in colored hearing (p.137). This is a case of intermodal cortical dominance, since the nonstandard auditory input “defers” to the visual cortex’s ordinary production of color experience.  But theirs is a theory assuming intermodal deference, that is, qualia is supposed to be determined by sensory inputs, not cortex (pp.140, 160).  It would appear that the visual cortex should not be stuck in the role of producing extra color qualia if their account is correct.

Hurley & Noë believe synesthesia raises a puzzle for any account of color experience, namely, why color experience defers to the colors of the world in some cases but not others.  For example, subjects wearing specially tinted goggles devised by Kohler at first see one side of the world as yellow, the other, blue.  However, color experience adapts and the subjects eventually report that the world looks normal once more (so a white object would still look white even as it passes through the visual field from yellow to blue).  On the other hand, synesthetic colors differ in that they “persist instead of adapting away.”

J.A. Gray points out that since colored hearing emerges early in life, there should be many opportunities for synesthetes to explore novel sensorimotor contingencies, such as conflicts between heard color names and the elicited “alien” qualia–a phenomenon reminiscent of the Stroop effect in which it takes longer to say “blue” if it’s written in red ink (Gray, et al., 2006; see also Hurley and Noë, 2003a, p.164, n.27).  Once again, why isn’t the visual cortex dominated by these sensory-motor loops and forced to cease producing the alien colors?  Gray (2003, p.193) calls this a “major obstacle” to Hurley and Noë’s theory since the visual cortex stubbornly refuses to yield to sensorimotor dominance.

In reply, Hurley and Noë have suggested that synesthetes are relatively impoverished with respect to their sensorimotor contingencies (2003a, pp.160, 165, n.27).  For example, unlike the case of normal subjects, where unconsciously processed stimuli can influence subsequent judgment, synesthetic colors need to be consciously perceived for there to be priming effects.  In short, the input-output relationships might not be robust enough to trigger cortical deference.  Elsewhere, Noë and Hurley (2003, p.195) propose that deference might fail to occur because the synesthetic function of the visual cortex is inextricably dependent on normal cortex functioning.  Whether sensorimotor accounts of experience can accommodate synesthesia is a matter of ongoing debate and cannot be decided here.

J.A. Gray, as mentioned earlier, also thinks synesthesia (specifically, colored hearing) poses a broader challenge to functionalism, since it shows that function and qualia come apart in two ways (2003, p.194).  His first argument contends that a single quale is compatible with different functions: seeing and hearing are functionally different, and yet either modality can result in exactly the same color experience (see also Gray, et al., 2002, 2006).  A second argument claims that different qualia are compatible with the same function.  Hearing is governed by only one set of input-output relationships, but gives rise to both auditory and visual qualia in the colored-hearing synesthete (Gray, 2003, p.194).

Functionalist replies to J.A. Gray et al.’s first argument (that is, that there can be functional differences in the absence of qualia differences) are canvassed by MacPherson (2007) and R. Gray (2004).  Macpherson points out (p.71) that a single quale associated with multiple functions is no threat to a “weak” functionalism not committed to the claim that functional differences necessarily imply qualia differences—qualia might be “multiply realizable” at the functional, as well as implementational level (note that qualia differences could still imply functional differences).  She continues arguing that even for “strong” functionalisms that do assert the same type of qualitative state cannot be implemented by different functions, the counter-example still fails.  Token mental states of the same type will inevitably differ in terms of some fine-grained causes and effects (for example, two persons can each have the same green visual experience even though the associated functional roles will tend to be somewhat different, for example, as green might lead to thoughts of Islam in one person, Ireland in another, ecology in still another, or envy, and so on).  In light of this, a natural way to interpret claims about functional role indiscernibility is to restrict the experience type individuating function to a “core” or perhaps “typical” or even “normal” role.  Perhaps a core role operates at a particular explanatory level—sort of as a MAC and a PC can be functionally indiscernible at the user-level while running a web browser, despite differing in terms of their underlying operating systems.  An alternative is to argue that the synesthetic “role” is really a malfunction, and so no threat to the claim that qualia differences imply normal role differences (R. Gray 2004, pp.67-8 offers a broadly similar response).

As for the other side of J.A. Gray’s challenge, namely that synesthesia shows functional indiscernibility does not imply qualia indiscernibility, Macpherson questions whether there really is qualia indiscernibility between normal and synesthetic experience (2007, p.77).  Perhaps synesthetes only imagine, rather than perceptually experience colors (Macpherson, 2007, pp.73ff.).  She also expresses doubts about experimental tests utilizing pop-out, and questions the interpretation of brain imaging studies (p.75)—for example, is an active “visual” cortex in colored hearing evidence of visual experience, or, evidence that this part of the brain has a non-visual role in synesthetes (cf. Hardcastle, 1997, p.387)?  In short, she contends there are grounds for questioning whether there is a clear case in which the experience of a synesthetic color is just like some non-synesthetic color.

Finally, although MacPherson does not make the point, J.A. Gray’s second argument is vulnerable to a response fashioned from her reply to his first argument.  Perhaps the qualia differences aren’t functionally indiscernible because core roles are not duplicated, or because the synesthetic “role” is really just a malfunction.  To make this more concrete, consider Gray’s example in which hearing the word “train” results in both hearing sound and seeing color (2003, p.194).  He claims that this shows that one-and-the-same function can have divergent qualia.  But this is a hasty inference, and conflates the local auditory uptake of a signal with divergent processing further downstream. Perhaps there are really two quite different input-output sets involved–the auditory signal is fed to both auditory and visual cortexes, after all, and so perhaps a single signal is fed into functionally distinct subsystems one of which is malfunctioning.  Malfunction or not, the functionalist could thus argue that Gray has not offered an example of a single function resulting in divergent qualia.

3. Modularity

The modular theory of mind, most notably advanced by Jerry Fodor (1983), holds that the mind is comprised of multiple sub-units or modules within which representations are processed in a manner akin to the processing of a classical computer.  Processing begins with input to a module, which is transformed into a representational output by inductive or deductive inferences called “computations.”  Modules are individuated by the functions they perform.  The mental processing underlying visual perception, auditory perception, and the like, take place in individual modules that are specially suited to performing the unique processing tasks relevant to each.  One of the main benefits of modularity is thought to be processing efficiency.  The time-cost involved if computations were to have access to all of the information stored in the mind would be considerable.  Moreover, since an organism encounters a wide variety of problems, it would have been economical for independent systems to have evolved for performing different tasks.  Some argue that synesthesia supports the modular theory.  Before discussing how synesthesia is taken as evidence for modularity, it will help to understand a bit more precisely, the important role that the concept of modularity plays in psychology.

Many, including Fodor, believe that scientific disciplines reveal the nature of natural kinds.  Natural kinds are thought to be mind-independent natural classes of phenomena that, “have many scientifically interesting properties in common over and above whatever properties define the class” (Fodor, 1983, p.46).  Those who believe that there are natural kinds commonly take things such as water, gold, zebras and penicillin to be instances of natural kinds.  If scientific disciplines reveal the nature of natural kinds, then for psychology to be a bona fide science, the mental phenomena that it takes as its objects of study would also have to be natural kinds.  For those like Fodor, who are interested in categorically delineating special sciences like psychology from more basic sciences, it must be that the laws of the special science cannot be reduced to those of the basic science.  This means that the natural kind terms used in a particular science to articulate that science’s laws cannot be replaced with terms for other more fundamental natural phenomena.  From this perspective, it is highly desirable to see whether modules meet the criteria for natural kinds.

According to Fodor, in addition to the properties that define specific types of modules, all modules share most, if not all, of the following nine scientifically interesting characteristics:  1. They are subserved by a dedicated neural architecture, that is, specific brain regions and neural structures uniquely perform each module’s task.  2. Their operations are mandatory, once a module receives a relevant input the subject cannot override or stop its processing.  3. Modules are informationally encapsulated, their processing cannot utilize information from outside of that module.  4. The information from inside the module cannot be accessed by external processing areas.  5. The processing in modules is very quick.  6. Outputs of modules are shallow and conceptually impoverished, requiring only limited expenditure of computational resources.  7. Modules have a fixed pattern of development that, like physical attributes, may most naturally be attributed to a genetic property.  8. The processing in modules is domain specific, it only responds to certain types of inputs.  9. When modules break down, they tend to do so in characteristic ways.

It counts in favor of a theory if it is able to accommodate, predict and explain some natural phenomena, including anomalous phenomena.  In this vein, some argue that the modular theory is particularly useful for explaining the perceptual anomaly of synesthesia.  But there are competing accounts for how modularity is implicated in synesthesia.  Some think that insofar synesthesia has all the hallmarks of modularity, it likely results from the presence of an extra cognitive module (Segal, 1997).  According to the extra-module thesis, synesthetes possess an extra module whose function is the mapping of, for example, sounds or graphemes (input) to color representations (output).  This grapheme-color module would, according to Segal, possess at least most of the nine scientifically interesting characteristics of modules identified by Fodor:

1. There seems to be a dedicated neural architecture, as lexical-color synesthesia appears uniquely associated with multimodal areas of the brain including the posterior inferior temporal cortex and parieto-occipital junctions (Pausenu et al., 1995).  2. Processing is mandatory, once synesthetes are presented with a lexical or grapheme stimulus the induction of a color photism is automatic and insuppressible.  3. Processing in synesthesia seems encapsulated, information that is available to the subject which might negate the effect has no effect on processing in the color-grapheme module.  4. The information and processing in the module is not made available outside of the module, for example, the synesthete does not know how the system affects mapping.  5. Since the processing in synesthesia happens pre-consciously, it meets the rapid speed requirement.  6. The outputs are shallow, they don’t involve any higher-order theoretically inferred features, just color.  7. Since synesthesia runs in families, is dominant in females, and subjects report having had it for as long as they can remember, synesthesia seems to be heritable, and this suggests that it would have a fixed pattern of development.  The features 8 and 9, domain specificity and characteristic pattern of breakdown, are the only two that Segal cannot easily attribute to the grapheme-color module.  Segal doesn’t doubt that a grapheme-color module could be found to have domain specific processing.  But on account of the rarity of synesthesia, he suspects that it may be too hard to find cases where the lexical or grapheme-color module breaks down.  Harrison and Baron-Cohen (1997) and Cytowic (1997) among others, however, note that for some, synesthesia fades with age and has been reported to disappear with stroke or trauma.

Another explanation for synesthesia that draws on the modular framework is that synesthesia is caused by a breakdown in the barriers that ordinarily keep modules and their information and processing separate (Baron-Cohen et al., 1993; Paulesu et al., 1995).  This failure of encapsulation would allow information from one module to be shared with others.  Perhaps in lexical or grapheme-color synesthesia, information is shared between the speech or text processing module and the color-processing module.  There are two hypotheses for how this might occur.  One hypothesis is that the failure of encapsulation originates with a faulty inhibitory mechanism that normally prevents information from leaking out of a module (Grossenbacher & Lovelace, 2001; Harrison & Baron-Cohen, 1997).  Alternatively, some propose that we are born without modules but sensory processes are pre-programmed to become modularized.  So infants are natural synesthetes, but during the process of normal development extra dendritic connections are paired off, resulting in the modular encapsulation typical of adult cognition (Maurer, 1993; Maurer and Mondloch 2004; see Baron-Cohen 1996 for discussion).  In synesthetes, the normal process of pairing off of extra dendritic connections fails to occur.  Kadosh et al. (2009) claim that the fact that synesthesia can be induced in non-synesthetes post-hypnotically, demonstrates that a faulty inhibitory mechanism is responsible for synesthesia rather than excessive dendritic connections; given the time frame of their study, new cortical connections could not have been established.

The modular breakdown theory may also be able to explain why synesthesia has the appearance of the nine scientifically interesting characteristics that Fodor identifies with mental modules (R. Gray, 2001b).  If this is right, then what reason is there to prefer either the breakdown theory or the extra module theory over the other?  Gray (2001b) situates this problem within the larger debate between computational and biological frameworks in psychology; he argues that the concept of function is central to settling the issue over which account of synesthesia we should prefer.  His strategy is to first determine what the most desirable view of function is.  Based on this, we can then use empirical means to arbitrate between the extra-module theory and the modular breakdown theory.

On the classical view of modularity developed by Fodor, function is elaborated in purely computational terms.  Computers are closed symbol-manipulating devices that perform tasks merely on account of the dispositions of their physical components.  We can describe the module’s performance of a task by appealing to just the local causal properties of the underlying physical mechanisms.  R. Gray thinks that it is desirable for a functional description to allow for the possibility of a breakdown.  To describe something as having broken down seems to mean understanding it as having failed to achieve its proper goal.  The purely computational/causal view of function does not seem to easily accommodate the possibility of there being a breakdown in processing.

R. Gray promotes an alternative conception of function that he feels better allows for the possibility of breakdown.  Gray’s alternative understanding is compatible with traditional local causal explanations.  But it also considers the role that a trait such as synesthesia would have in facilitating the organism’s ability to thrive in its particular external environment, its fitness utility.  Crucially, Gray finds the elaboration of modules using this theory of function to be compatible with Fodor’s requirement that a science’s kind predicates “are ones whose terms are the bound variables of proper laws” (1974, p. 506).  Assuming such an account, whether synesthesia is the result of an extra module or a breakdown in modularity will ultimately depend on how it contributes to the fitness of individuals.  According to Baron-Cohen, in order to establish that synesthesia results from a breakdown in modularity, it would have to be shown that it detracts from overall fitness.  The problem is that synesthesia has not been shown to compromise the bearer of the trait.  In contrast, Gray claims that the burden of proof lies with those who propose that synesthesia results from the presence of an extra-module to show that synesthesia is useful in a particular environment.  But at present, according to Gray, we have no reason to think that it is.  For instance, one indicator that something has some positive fitness benefit for organisms possessing it is the proliferation of that trait in a population.  But synesthesia is remarkably rare (Gray, 2001b).  Gray admits, however, that whether or not synesthesia has such a utility is an open empirical question.

4. Theories of Color

Visual perception seems to, at the very least, provide us with information about colored shapes existing in various spatial locations.  An account of the visual perception of objects should therefore include some account of the nature of color.  Some theorists working on issues pertaining to the nature of color and color experience draw on evidence from synesthesia.

Theories about the nature of color fall broadly into two categories.  On the one hand, color objectivism is the view that colors are mind-independent properties residing out in the world, for example, in objects, surfaces or the ambient light.  Typically, objectivists identify color with a physical property.  The view that color is a mind-independent physical property of the perceived world is motivated both by commonsense considerations and the phenomenology of color experience.  It is part of our commonsense or folk understanding of color, as reflected in ordinary language, that color is a property of objects.  Moreover, the experience of color is transparent, which is to say that colors appear to the subject as belonging to external perceptual objects; one doesn’t just see red, one sees a red fire hydrant or a yellow umbrella.  Color objectivism vindicates both the commonsense view of color and the phenomenology of color experience.  But some take it to be an unfortunate implication of the theory that colors are physical properties of objects, since it seems to entail that each color will be identical to a very long disjunctive chain of physical properties.  Multiple external physical conditions can all cause the same color experience both within and across individuals.  This means that popular versions of objectivism cannot identify a single unifying property behind all instances of a single color.

Subjectivist views, on the other hand, take colors to be mind-dependent properties of the subject or of his or her experience, rather than properties of the distal causal stimulus.  Subjectivist theories of color include the sense-data theory, adverbialism and certain varieties of representationalism.  The primary motivation for color subjectivism is to accommodate various types of non-veridical color experience where perceivers have the subjective experience of color in the absence of an external distal stimulus to which the color could properly be attributed.  One commonly cited example is the after-image. Some claim that the photisms of synesthetes provide another example of non-veridical non-referring color experiences (Fish, 2010; Lycan, 2006; Revonsuo, 2001).  But others argue that the door is open to regarding at least some cases of synesthesia as veridical perceptual experiences rather than hallucinations since photisms are often:  i) perceptually and cognitively beneficial, ii) subjectively like non-synesthetic experiences, and iii) fitness-enhancing.

Still, synesthesia may pose additional difficulties for objectivism.  Consider the implications for objectivism if color synesthesias were to become the rule rather than the exception.  How then would objectivism account for color photisms in cases where they are caused by externally produced sounds?  Revonsuo (2001) suggests that the view that colors can be identified with the objective disjunctive collections of physical properties that cause color experiences would have to add the changes of air pressure that produce sounds to that disjunctive collection of color properties.  This means that if synesthesia became the rule, despite the fact that nothing else about the world would have changed, physical properties that weren’t previously colored would suddenly become colored.  Revonsuo (2001) takes this to be an undesirable consequence for a theory of color.

Enactivism is a theory of perception that takes active engagement with perceptual objects along with other contextual relations to be highly relevant to perception.  Typically, enactivists take perception to consist in a direct relation between perceivers and objective properties.  Ward uses synesthesia in an argument for enactivism about color, proposing that the enactivist theory of color actually combines elements of both objectivism and subjectivism, and is therefore the only theory of color that can account for various facts about anomalous color experiences like synesthesia.

For instance, Kohler fitted normal perceivers with goggles, each of whose lenses were vertically bisected with yellow tinting on one side and blue on the other (Kohler, 1964).  When perceivers first donned the goggles, they reported anomalous color experiences consistent with the lens colors; the world appeared to be tinted yellow and blue.  But after a few weeks of wear, subjects reported that the abnormal tint adapted away.  Ward proposes that synesthetic photisms are somewhat similar to the tinted experiences of Kohler’s goggle wearers.  In both cases, the subject is aware of the fact that their anomalous color experiences are not a reliable guide to the actual colors of things around them.  The two cases are not alike, however, in one important respect.  Whereas goggle wearers’ color experiences adapt to fall in line with what they know to be true about their color experiences, synesthetes’ experiences do not.  This asymmetry calls for explanation and Ward demonstrates that the enactive theory of color provides an elegant explanation for this asymmetry.

According to Ward’s enactive view of color, “An object’s color is its property of modifying incident reflected light in a certain way.”  This is an objective property.  But, “we perceive this [objective] property by understanding the way [subjective] color appearances systematically vary with lighting conditions.”  This view explains the asymmetry noted above in the following way.  Kohler’s goggles interfere with regular color perception.  According to the enactive view of color, the tinted goggles introduce, “a complex new set of relationships between apparent colors, viewing conditions and objective color properties.”  So it is necessary for them to adapt away.  As perceivers acclimate to the fact that their color appearances no longer refer to the colors they had previously indicated, their ability to normally perceive color returns.  Ward assumes that synesthetes do not experience their color photisms as attributed to perceived objects, so they do not impact the synesthetes’ ability to veridically perceive color.  Synesthetes’ photisms fail to adapt away because they do not need to.

Another philosophical problem having to do with the nature of color concerns whether or not phenomenal color experiences are intentional.  If they are, we might wonder what sorts of properties they are capable of representing.  A popular view is that color experiences can only represent objects to have specific color or spectral reflectance properties. Matey draws on synesthesia to support the view that perceptual experiences can represent objects to have high-level properties such as having a specific  semantic value (roughly, as representing some property, thing or concept). This argument for high-level representational contents from synesthesia, it is argued, withstands several objections that can be lodged against other popular arguments such as arguments from phenomenal contrast.  The basic idea is that a special category of grapheme-color synesthesia depends on high-level properties.  In higher-grapheme-color synesthesia, perceivers mark with a particular color, graphemes that share conceptual significance such as the property of representing a number.  Matey argues that these high-level properties penetrate color experiences, and infect their contents so that the color-experiences of these synesthetes represent the objects they are projected onto as being representative of certain numbers or letters.  Matey  demonstrates that the conclusions of the argument from synesthesia may generalize to the common perceptual experiences of ordinary perceivers as well.

5. An Extraordinary Feature of Color-Grapheme Synesthesia

What the subject says about his or her own phenomenal experience usually carries great weight.  However, in the case of color-grapheme synesthesia, Macpherson urges caution (2007, p.76).  A striking and odd aspect of color-grapheme synesthesia is that it may seem to involve the simultaneous experience of different colors in exactly the same place at exactly the same time.  Consider synesthetes who claim to see both colors simultaneously: What could it be like for someone to see the grapheme 5 printed in black ink, but see it as red as well?  How are we to characterize their experience?  To Macpherson this “extraordinary feature” suggests that synesthetic colors are either radically unlike ordinary experience, or perhaps more likely, not experiences at all.  A third possibility would be to find an interpretation compatible with ordinary color experience.  For example, perhaps the synesthetic colors are analogous to a colored-transparency laid over ink (as suggested by Kim et al. 2006, p.196;  see also Cytowic 1989, pp.41, 51 and Cytowic & Eagleman 2009, p.72).  However, this analogy is unsatisfying and gives rise to further puzzlement.

One might expect that the colors would interfere with each other, for example, they should see a darker red when the 5 is printed in black ink, and a lighter red when in white.  And yet synesthetes tend to insist that the colors do not blend (Ramachandran & Hubbard 2001b, p.7, n.3) although if the ink is in the “wrong” color this can result in task performance delays analogous to Stroop-test effects and even induce discomfort (Ramachandran & Hubbard, 2003b, p.50).  Another possibility is that the overlap is imperfect, despite the denials, for example, perhaps splotches of black ink can be distinguished from the red (as proposed by Ramachandran & Hubbard 2001b, p.7, n.3).  Or, maybe there can be a “halo” or edge where the synesthetic and ordinary colors do not overlap—this might make sense of the claims of some that the synesthetic color is not “on” the number, but, as it were, “floating” somewhere between the shape and the subject.  But against these suggestions are other reports that the synesthetic and regular colors match up perfectly (Macpherson, 2007, p.76).

A second analogy from everyday experience is simultaneously seeing what is both ahead of and behind oneself by observing a room’s reflection in a window.  This, however, only recycles the problem.  In seeing a white lamp reflected in a window facing a blue expanse of water, the colors mix (for example, the reflected lamp looks to be a pale blue). Moreover, one does not undergo distinct impressions of the lamp and the region occupied by the waves overlapping with the reflected image (though of course one can alter the presentation by either focusing on the lamp or on the waves).

A third explanation draws on the claim mentioned earlier that the extra qualia can depend on top-down processing, appearing only when the shape is recognized as a letter, or as a number (as in seeing an ambiguous shape in FA5T versus 3456).  There is some reason to think that the synesthetic color can “toggle” on and off depending on whether it is recognized and attended to, as opposed to appearing as a meaningless shape in the subject’s peripheral vision (Ramachandran & Hubbard 2001a, 2001b).  Toggling might also explain reports that emphasize seeing the red, as opposed to (merely?) knowing the ink is black (cf. Ramachandran & Hubbard, 2001b, p.7, n.3).  Along these lines, Kim et al. tentatively suggest that the “dual experience” phenomenon might be explained by rapid switching modulated by changes in attention (2006, p.202).

Cytowic and Eagleman (2009, p.73), in contrast to these ruminations, deny there is anything mysterious or conceptually difficult about the dual presentation of imagined and real objects sharing exactly the same location in physical space.  They contend that the dual experience phenomenon is comparable to visualizing an imaginary apple in the same place as a real coffee cup, “you’ll see there is nothing impossible, or even particularly confusing about two objects, one real and one imagined, sharing the same coordinates.”  This dismissal, however, fails to come to terms with the conundrum.  Instead of an apple, try visualizing a perfect duplicate of the actual coffee cup in precisely the same location (for those who believe they can do this, continue visualizing additional coffee cups until the point becomes obvious).  If Cytowic and Eagleman are to be taken literally this ought to be easy.  The visualization of a contrasting color also meets a conceptual obstacle.  What does it even mean to visualize a red surface in exactly the same place as a real black surface in the absence of alternating presentations (as in binocular rivalry) or blending?

Another perplexing feature of synesthetic color experience are reports of strange “alien” colors somehow different from ordinary color experience.  These “Martian” colors may or may not indicate a special kind of color qualia inaccessible to non-synesthetes, though given the apparent causal role differences from ordinary colors when it comes to such things as “lighting, viewing geometry and chromatic context” (Noë & Hurley, 2003, p.195) this is unsurprising and even expected by broadly functionalist theories of phenomenal experience.  Ramachandran and Hubbard (2001b, pp.5, 26, 30) offer some discussion and conjectures about the underlying neural processes.

Whether the more bizarre testimony can be explained away along one (or more) of the above suggestions, or has deep implications about synesthesia, self-report, and the nature of color experience, demands further investigation by philosophers and scientists.

6. Wittgenstein’s Philosophical Psychology

Ter Hark (2009) offers a Wittgensteinian analysis of color-grapheme synesthesia, arguing that it fails to fit the contrast between perception and mental imagery, and so calls for a third category bearing only some of the logical marks of experience.  He contends that it is somewhat like a percept in that it depends on looking, has a definite beginning and end, and is affected by shifts in attention.  On the other hand, it is also somewhat like mental imagery in that it is voluntary and non-informative about the external world.

Although ter Hark cites Rich et al. (2005) for support, only 15% of their informants claimed to have full control over synesthetic experience (that is, induced by thought independent of sensory stimulation) and most (76%) characterized it as involuntary.  It would therefore seem that ter Hark’s analysis applies to only a fraction of synesthetes.  The claim that synesthetic percepts seem non-experiential because they fail to represent the world is also contestable.  Visual experience need not always be informative (for example, hallucinations, “seeing stars,” and so forth) and failing to inform us about the world is compatible with aiming to do so but misrepresenting.

7. Individuating the Senses

Synesthesia might be important when it comes to questions about the nature of the senses, how they interact, and how many of them there are.  For example, Keeley (2002) proposes that synesthesia may challenge the assumption that the various senses are, “significantly separate and independent” (p.25, n.37) and so complicate discussions about what distinguishes one sense from another.  A similar point is made by Ross who notes that synesthesia undermines his “modified property condition” (2001, p.502).  The modified property condition is supposed to be necessary for individuating the senses, and states that each sense modality specializes in detecting certain properties (2001, p.500).  As discussed in the section on representationalism, synesthesia might seem to indicate that properties usually deemed proprietary to one sense can be detected by others after all.  Meanwhile, Ross’ proposal that synesthesia be explained away as a memory association seems unpersuasive in light of the preponderance of considerations suggesting it is a genuine sensory phenomenon (see Ramachandran & Hubbard, 2001a, 2001b, 2003b; for further discussion of Ross see Gatzia, 2008).  At present, little seems to have been written by philosophers on the significance of synesthesia as concerns the individuation and interaction of the senses (though see Macpherson, 2007, O’Callaghan 1998, p.325 and R. Gray 2011, p.253, n.17).

8. Aesthetics and “Literary Synesthesia”

The use of “intersense analogy” or sense-related metaphor as a literary technique is long familiar to authors and critics (for example, a sharp taste, a loud shirt) perhaps starting with Aristotle who noticed a “sort of parallelism between what is acute or grave to hearing and what is sharp or blunt to touch” (quoted in O’Malley, 1957, p.391).  Intersense metaphors such as “the sun is silent” (Dante quoted in O’Malley, 1957, p.409) and, more recently, “sound that makes the headphones edible” (from the lyrics of a popular rock band) may be, “a basic feature of language” natural for literature to incorporate (O’Malley, 1957, p.397), and to some “an essential component in the poetic sensibility” (Götlind, 1957, p.329).  Such “literary” synesthesia is therefore an important part of aesthetic criticism, as in Hellman’s (1977, p.287) discussion of musical styles, Masson’s analysis of acoustic associations (1953, p.222) and Ueda’s evaluation of cross-modal analogies in Haiku poetry which draw attention to “strange yet harmonious” combinations (1963, p.428).

Importantly, “the writer’s use of the ‘metaphor of the senses’” (O’Malley, 1957, p.391) is not to be confused with synesthesia as a sensory phenomenon, as repeatedly noted over the years by several philosophical works on poetry and aesthetics including Downey (1912, p.490), Götlind (1957, p.328) and O’Malley (1958, p.178).  Nevertheless, there are speculations about the connection between the two (for example, Smith, 1972, p.28; O’Malley, 1957, pp.395-396) and sensory synesthesia has been put forward as an important creative source in poetry (Downey, 1912, pp.490-491; Rayan, 1969), music and film (Brougher et al., 2005), painting (Tomas, 1969; Cazeaux, 1999; Ione, 2004) and artistic development generally (Donnell & Duignan, 1977).

That not all sensory matches work aesthetically—it seems awkward to speak of a loud smell or a salty color—might be significant in suggesting ties to perceptual synesthesia.  Perhaps they have more in common than is usually suspected (Marks, 1982; Day 1996).

Synesthetic metaphor is a “human universal” found in every culture and may be an expression of our shared nature (Pinker, 2002, p.439).  Maurer and Mondloch (2004) suggest that the fact that the cross-modal parings in synesthesias tend to be the same as the sensory matches manifest in common metaphors may reveal that non-synesthete adults share cross-modal activations with synesthetes, and synesthesia is a normal feature of early development.  Matey suggests that this lends credibility to the view that the cross-wiring present in synesthetes and non-synesthetes differs in degree and so we may draw conclusions about the types of representational contents possible of normal perceivers’ experiences based on the perceptual contents of synesthetes.

9. Synesthesia and Creativity

Ramachandran and Hubbard, among others, have been developing a number of hypotheses about the explanatory value of synesthesia towards creativity, the nature of metaphor, and even the origins of language (2001b, 2003a; see also Mulvenna, 2007; Hunt, 2005).  Like synesthesia, creativity seems to consist in, “linking two seemingly unrelated realms in order to highlight a hidden deep similarity” (Ramachandran & Hubbard, 2001b, p.17).  Ramachandran and Hubbard (2001b) conjecture that greater connectivity (or perhaps the absence of inhibitory processes) between functionally discrete brain regions might facilitate creative mappings between concepts, experiences, and behaviors in both artists and synesthetes.  These ideas are controversial and although there is some evidence that synethetes are more likely to be artists (for example, Ward et al., 2008; Rothen & Meier, 2010) the links between synesthesia and creativity remain tentative and conjectural.

10. References and Further Reading

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Author Information

Sean Allen-Hermanson
Email: hermanso@fiu.edu
Florida International University
U. S. A.

and

Jennifer Matey
Email: jmatey@fiu.edu
Florida International University
U. S. A.

René Girard (1923—2015)

Rene GirardRené Girard’s thought defies classification. He has written from the perspective of a wide variety of disciplines: Literary Criticism, Psychology, Anthropology, Sociology, History, Biblical Hermeneutics and Theology. Although he rarely calls himself a philosopher, many philosophical implications can be derived from his work. Girard’s work is above all concerned with Philosophical Anthropology (that is, ‘What is it to be human?’), and draws from many disciplinary perspectives. Over the years he has developed a mimetic theory. According to this theory human beings imitate each other, and this eventually gives rise to rivalries and violent conflicts. Such conflicts are partially solved by a scapegoat mechanism, but ultimately, Christianity is the best antidote to violence.

Perhaps Girard’s lack of specific disciplinary affiliation has promoted a slight marginalization of his work among contemporary philosophers. Girard is not on par with more well known French contemporary philosophers (for example Derrida, Foucault, Deleuze, Lyotard), but his work is becoming increasingly recognized in the humanities, and his commitment as a Christian thinker has given him prominence among theologians.

Table of Contents

  1. Life
  2. Mimetic Desire
    1. External Mediation
    2. Internal Mediation
    3. Metaphysical Desire
    4. The Oedipus Complex
  3. The Scapegoat Mechanism
    1. The Origins of Culture
    2. Religion
    3. Ritual
    4. Myth
    5. Prohibitions
  4. The Uniqueness of the Bible and Christianity
    1. The Hebrew Bible
    2. The New Testament
    3. Nietzsche’s Criticism of Christianity
    4. Apocalypse and Contemporary Culture
  5. Theological Implications
    1. God
    2. The Incarnation
    3. Satan
    4. Original Sin
    5. Atonement
  6. Criticisms
    1. Mimetic Theory Claims Too Much
    2. The Origins of Culture are Not Verifiable
    3. Girard Exaggerates the Contrast Between Myths and the Bible
    4. Christian Uniqueness Does Not Imply a Divine Origin
    5. Lack of a Precise Scientific Language
  7. References and Further Reading
    1. Primary
    2. Secondary

1. Life

René Girard was born on December 25, 1923, in Avignon, France. He was the son of a local archivist, and he went on to follow his father’s footsteps. He studied in Paris’ École Nationale des Chartes, and specialized in Medieval studies. In 1947, Girard took the opportunity to emigrate to America, and pursued a doctorate at Indiana University. His dissertation was on Americans’ opinions about France. Although his later work has had little to do with his doctoral dissertation, Girard has kept a live interest in French affairs.

After the completion of his doctorate, Girard began to take interest in Jean-Paul Sartre’s work. Although on a personal level Girard is still very much interested in Sartre’s philosophy, it has had little influence on his thought. Girard settled in America, and has taught at different institutions (Indiana University, State University of New York in Buffalo, Duke, Johns Hopkins, Bryn Mawr and Stanford) until his retirement in 1995. He died in 2015.

During the beginning of his career as lecturer, Girard was assigned to teach courses on European literature; he admits he was not at all familiar with the great works of European novelists. As Girard began to read the great European novels in preparation for the course, he became especially engaged with the work of five novelists in particular: Cervantes, Stendhal, Flaubert, Dostoyevsky and Proust.

His first book, Mensonge Romantique et Vérité Romanesque (1961), is a literary comment on the works of these great novelists. Until that time, Girard was a self-declared agnostic. As he researched the religious conversions of some of Dostoyevsky’s characters, he felt he had lived a similar experience, and converted to Christianity. Ever since, Girard has been a committed and practicing Roman Catholic.

After the publication of his first book, Girard turned his attention to ancient and contemporary sacrifice rituals, as well as Greek myth and tragedy. This led to another important book, La Violence et le Sacré (1972), for which he gained much recognition. On a personal level, he was a committed Christian, but his Christian views were not publicly expressed until the publication of Des Choses Cachées Depuis la Fondation du Monde (1978), his magnum opus, and best systematization of his thought. Ever since, Girard has written books that expand various aspects of his work. In 2005, Girard was elected to the Académie Française, a very important distinction among French intellectuals.

2. Mimetic Desire

Girard’s fundamental concept is ‘mimetic desire’. Ever since Plato, students of human nature have highlighted the great mimetic capacity of human beings; that is, we are the species most apt at imitation. Indeed, imitation is the basic mechanism of learning (we learn inasmuch as we imitate what our teachers do), and neuroscientists are increasingly reporting that our neural structure promotes imitation very proficiently (for example, ‘mirror neurons’).

However, according to Girard, most thinking devoted to imitation pays little attention to the fact that we also imitate other people’s desires, and depending on how this happens, it may lead to conflicts and rivalries. If people imitate each other’s desires, they may wind up desiring the very same things; and if they desire the same things, they may easily become rivals, as they reach for the same objects. Girard usually distinguishes ‘imitation’ from ‘mimesis’. The former is usually understood as the positive aspect of reproducing someone else’s behavior, whereas the latter usually implies the negative aspect of rivalry. It should also be mentioned that because the former usually is understood to refer to mimicry, Girard proposes the latter term to refer to the deeper, instinctive response that humans have to each other.

a. External Mediation

Girard calls ‘mediation’ the process in which a person influences the desires and preferences of another person. Thus, whenever a person’s desire is imitated by someone else, she becomes a ‘mediator’ or ‘model’. Girard points out that this is very evident in publicity and marketing techniques: whenever a product is promoted, some celebrity is used to ‘mediate’ consumers’ desires: in a sense, the celebrity is inviting people to imitate him in his desire of the product. The product is not promoted on the basis of its inherent qualities, but simply because of the fact that some celebrity desires it.

In his studies on literature, Girard highlights this type of relationship in his literary studies, as for example in his study of Don Quixote. Don Quixote is mediated by Amadis de Gaula. Don Quixote becomes an errant knight, not really because he autonomously desires so, but in order to imitate Amadis. Nevertheless, Amadis and Don Quixote are characters on different planes. They will never meet, and in such a manner, they never become rivals.

The same can be said of the relation between Sancho and Don Quixote. Sancho desires to be governor of an island, mostly because Don Quixote has suggested to Sancho that that is what he should desire. Again, although they interact continuously, Sancho and Don Quixote belong to two different worlds: Don Quixote is a very complex man, Sancho is simple in extreme. Girard calls ‘external mediation’ the situation when the mediator and the person mediated are on different planes. Don Quixote is an ‘external mediator’ to Sancho, inasmuch as he mediates his desires ‘from the outside’; that is, Don Quixote never becomes an obstacle in Sancho’s attempts to satisfy his desires.

External mediation does not carry the risk of rivalry between subjects, because they belong to different worlds. Although the source of Sancho’s desire to be governor of an island is in fact Don Quixote, they never desire the same object. Don Quixote desires things Sancho does not desire, and vice versa. Hence, they never become rivals. Girard believes ‘external mediation’ is a frequent feature of the psychology of desire: from our earliest phase as infants, we look up in imitation to our elders, and eventually, most of what we desire is mediated by them.

b. Internal Mediation

In ‘internal mediation’, the ‘mediator’ and the person mediated are no longer abysmally separated and hence, do not belong to different worlds. In fact, they come to resemble each other to the point that they end up desiring the same things. But, precisely because they are no longer on different worlds and now reach for the same objects of desire, they become rivals. We are fully aware that competition is fiercer when competitors resemble each other.

Thus, in internal mediation the subject imitates the model’s desires, but ultimately, unlike external mediation, the subject falls into rivalry with the model/mediator. Consider this example: a toddler imitates his father in his occupations, and he desires to pursue his father’s career when he grows up. This will hardly cause any rivalry (although it may account for Freud’s Oedipus Complex; see section 2.d). This is, as we have seen, a case of external mediation. But, now consider a PhD candidate that learns a great deal from his supervisor, and seeks to imitate every aspect of his work, and even his life. Eventually, they may become rivals, especially if both are looking for scholarly recognition. Or, consider further the case of a toddler that is playing with a toy, and another toddler that, out of imitation, desires that very same toy: they will eventually become rivals for the control of the toy. This is ‘internal mediation’; that is the person is mediated from the ‘inside’ of his world, and therefore, may easily become his mediator’s rival. This rivalry often has tragic consequences, and Girard considers this a major theme in modern novels. In Girard’s view, this literary theme is in fact a portrait of human nature: very often, people will desire something as a result of imitating other people, but eventually, this imitation will lead to rivalries with the very person imitated in the first place.

c. Metaphysical Desire

In Girard’s view, mimetic desire may grow to such a degree, that a person may eventually desire to be her mediator. Again, publicity is illustrative: sometimes, consumers do not just desire a product for its inherent qualities, but rather, desire to be the celebrity that promotes such a product. Girard considers that a person may desire an object only as part of a larger desire; that is, to be her mediator. Girard calls the desire to be other people, ‘metaphysical desire’. Furthermore, acquisitive desire leads to metaphysical desire, and the original object of desire becomes a token representing the “larger” desire of having the being of the model/rival.

Whereas external mediation does not lead to rivalries, internal mediation does lead to rivalries. But, metaphysical desire leads a person not just to rivalry with her mediator; actually, it leads to total obsession with and resentment of the mediator. For, the mediator becomes the main obstacle in the satisfaction of the person’s metaphysical desire. Inasmuch as the person desires to be his mediator, such desire will never be satisfied. For nobody can be someone else. Eventually, the person developing a metaphysical desire comes to appreciate that the main obstacle to be the mediator is the mediator himself.

According to Girard, metaphysical desire can be a very destructive force, as it promotes resentment against others. Girard considers that the anti-hero of Dostoyevsky’s Notes From the Underground is the quintessential victim of metaphysical desire: the unnamed character eventually goes on a crusade against the world, as he is disillusioned with everything around him. Girard believes that the origin of his alienation is his dissatisfaction with himself, and his obsession to be someone else; that is, an impossible task.

d. The Oedipus Complex

Girard’s career has been mostly devoted to literary criticism, and the analysis of fictional characters. Girard believes that the great modern novelists (such as Stendhal, Flaubert, Proust and Dostoevsky) have understood human psychology better than the modern field of Psychology does. And, as a complement of his literary criticism, he has developed a psychology in which the concept of ‘mimetic desire’ is central. Inasmuch as human beings constantly seek to imitate others, and most desires are in fact borrowed from other people, Girard believes that it is crucial to study how personality relates to others.

Departing from the main premise of mimetic desire, Girard has sought to reformulate some of psychology’s long-held assumptions. In particular, Girard seeks to reconsider some of Freud’s concepts. Although Girard has been careful enough to warn that Freud’s thought may be highly misleading in many ways, he has been engaged with Freud’s work in a number of ways. Girard admits that Freud and his followers had some good initial intuitions, but criticizes Freudian psychoanalytic theory on the grounds that it tends to obviate the role that other individuals have on the development of personality. In other words, psychoanalysis tends to assume that human beings are largely autonomous, and hence, do not desire in imitation of others.

Girard grants that Freud was a superb observer, but was not a good interpreter. And, in a sense, Girard accepts that there is such a thing as the Oedipus Complex: the child will eventually come to unconsciously have a sexual desire for his mother, and a desire to kill his father; and indeed, perhaps this complex will endure throughout adulthood. But, Girard considers that the Oedipus Complex is the result of a mechanism very different from the one outlined by Freud.

According to Freud, the child has an innate sexual desire towards the mother, and eventually, discovers that the father is an obstacle to the satisfaction of that desire. Girard, on the other hand, reinterprets the Oedipus Complex in terms of mimetic desire: the child becomes identified with his father and imitates him. But, inasmuch as he imitates his father, the child imitates the sexual desire for his mother. Then, his father becomes his model and rival, and that explains the ambivalent feelings so characteristic of the Oedipus Complex.

3. The Scapegoat Mechanism

In Girard’s psychology, internal mediation and metaphysical desire eventually lead to rivalry and violence. Imitation eventually erases the differences among human beings, and inasmuch as people become similar to each other, they desire the same things, which leads to rivalries and a Hobbesian war of all against all. These rivalries soon bear the potential to threaten the very existence of communities. Thus, Girard asks: how is it possible for communities to overcome their internal strife?

Whereas the philosophers of the 18th century would have agreed that communal violence comes to an end due to a social contract, Girard believes that, paradoxically, the problem of violence is frequently solved with a lesser dose of violence. When mimetic rivalries accumulate, tensions grow ever greater. But, that tension eventually reaches a paroxysm. When violence is at the point of threatening the existence of the community, very frequently a bizarre psychosocial mechanism arises: communal violence is all of the sudden projected upon a single individual. Thus, people that were formerly struggling, now unite efforts against someone chosen as a scapegoat. Former enemies now become friends, as they communally participate in the execution of violence against a specified enemy.

Girard calls this process ‘scapegoating’, an allusion to the ancient religious ritual where communal sins were metaphorically imposed upon a he-goat, and this beast was eventually abandoned in the desert, or sacrificed to the gods (in the Hebrew Bible, this is especially prescribed in Leviticus 16).The person that receives the communal violence is a ‘scapegoat’ in this sense: her death or expulsion is useful as a regeneration of communal peace and restoration of relationships.

However, Girard considers it crucial that this process be unconscious in order to work. The victim must never be recognized as an innocent scapegoat (indeed, Girard considers that, prior to the rise of Christianity, ‘innocent scapegoat’ was virtually an oxymoron; see section 4.b below); rather, the victim must be thought of as a monstrous creature that transgressed some prohibition and deserved to be punished. In such a manner, the community deceives itself into believing that the victim is the culprit of the communal crisis, and that the elimination of the victim will eventually restore peace.

a. The Origins of Culture

Girard believes that the scapegoat mechanism is the very foundation of cultural life. Natural man became civilized, not through some sort of rational deliberation embodied in a social contract, (as it was fashionable to think among 18th century philosophers) but rather, through the repetition of the scapegoat mechanism. And, very much as many philosophers of the 18th Century believed that their descriptions of the natural state were in fact historical, Girard believes that, indeed, Paleolithic men continually used the scapegoat mechanism, and it was precisely this feature what allowed them to lay the foundations of culture and civilization.

In fact, Girard believes that this process goes farther back in the evolution of Homo sapiens: hominids probably were engaged in scapegoating. But, it was precisely scapegoating what allowed a minimum of communal peace among early hominid groups. Hominids could eventually develop their main cultural traits due to the efficiency of the scapegoat mechanism. The murder of a victim brought forth communal peace, and this peace promoted the flourishing of the most basic cultural institutions.

Once again, Girard takes deep inspiration from Freud, but reinterprets his observations. Freud’s Totem and Taboo presents a thesis that the origins of culture are founded upon the original murder of a father figure by his sons. Girard considers that Freud’s observations were only partially correct. Freud is right in pointing out that indeed, culture is founded upon a murder. But, this murder is not due to the oedipal themes Freud was so fond of. Instead, the founding murder is due to the scapegoat mechanism. The horde murdered a victim (not necessarily a father figure) in order to project upon her all the violence that was threatening the very existence of the community.

However, as mimetic desire has been a constant among human beings, scapegoating has never been entirely efficient. Nevertheless, human communities need to periodically recourse to the scapegoating mechanism in order to maintain social peace.

b. Religion

According to Girard, the scapegoat mechanism brings about unexpected peace. But, this moment is so marvelous, that it soon acquires a religious overtone. Thus, the victim is immediately consecrated. Girard is in the French sociological tradition of Durkheim, who considered that religion essentially accomplishes the function of social integration. In Girard’s view, inasmuch as the deceased victim brings forth communal peace and restores social order and integration, she becomes sacred.

At first, while living, victims are considered to be monstrous transgressors that deserve to be punished. But, once they die, they bring peace to the community. Then, they are not monsters any longer, but rather gods. Girard highlights that, in most primitive societies, there is a deep ambivalence towards deities: they hold high virtues, but they are also capable of performing some very monstrous deeds. That is how, according to Girard, primitive gods are sanctified victims.

In such a manner, all cultures are founded upon a religious basis. The function of the sacred is to offer protection for the stability of communal peace. And, to do this, it ensures that the scapegoat mechanism provides its effects through the main religious institutions.

c. Ritual

Girard considers rituals the earliest cultural and religious institution. In Girard’s view, ritual is a reenactment of the original scapegoating murder. Although, as anthropologists are quick to assert, rituals are very diverse, Girard considers that the most popular form of ritual is sacrifice. When a victim is ritually killed, Girard believes, the community is commemorating the original event that promoted peace.

The original victim was most likely a member of the community. Girard considers that, probably, earliest sacrificial rituals employed human victims. Thus, Aztec human sacrifice may have impacted Western conquistadors and missionaries upon its discovery, but this was a cultural remnant of a popular ancient practice. Eventually, rituals promoted sacrificial substitution, and animals were employed. In fact, Girard considers that hunting and the domestication of animals arose out of the need to continually reenact the original murder with substitute animal victims.

d. Myth

Following the old school of European anthropologists, Girard believes that myths are the narrative corollary of ritual. And, inasmuch as rituals are mainly a reenactment of the original murder, myths also recapitulate the scapegoating themes.

Now, Girard’s crucial point about the necessary unconsciousness of scapegoating: must be kept in mind in order for this mechanism to work, its participants must not recognize it as such. That is to say, the victim must never appear as what it really is: a scapegoat that is no guiltier of disturbance, than other members of the community.

The way to assure that scapegoats are not recognized as what they really are is by distorting the story of the events that led to their death. This is accomplished by telling the story from the perspective of the scapegoaters. Myths will usually tell a story of someone doing a terrible thing and, thus, deserving to be punished. The victim’s perspective will never be incorporated into the myth, precisely because this would spoil the psychological effect of the scapegoating mechanism. The victim will always be portrayed as a culprit whose deeds brought about social chaos, but whose death or expulsion brought about social peace.

Girard’s most recurrent example of myths is that of Oedipus. According to the myth, Oedipus was expelled from Thebes because he murdered his father and married his mother. But, according to Girard, the myth should be read as a chronicle written by a community that chose a scapegoat, blamed him of some crime, punished him, and once expelled, peace returned. Under Girard’s interpretation, the fact that there was a pest in Thebes is suggestive of a social crisis. To solve the crisis, Oedipus is selected as a scapegoat. But, he is never presented as such: quite the contrary, he is accused of parricide and incest, and this justifies his persecution. Thus, Oedipus’ perspective as a victim is suppressed from the myth.

Furthermore, Girard believes that, as myths evolve, later versions will tend to dissimulate the scapegoating violence (for example, instead of presenting a victim who dies by drowning, the myth will just claim that the victim went to live to the bottom of the sea), in order to avoid feeling compassion for the victim. Indeed, Girard considers that the evolution of myths may even reach a point where no violence is present. But, Girard insists, all myths are founded upon violence, and if no violence is found in a myth, it must be because the community made it disappear.

Myths are typical of archaic societies, but Girard thinks that modern societies have the equivalent of myths: persecution texts. Especially during the witch-hunts and persecution of Jews during the Middle Ages, there were plenty of chronicles written from the perspective of the mobs and witch-hunters. These texts told the story of a crisis that appeared as the consequence of some crime committed by a person or a minority. The author of the chronicle is part of the persecuting mob, as he projects upon the victim all the typical accusations, and justifies the mob’s actions. Modern lynching accounts are another prominent example of such persecutory dynamics.

e. Prohibitions

Inasmuch as, under the scapegoaters’ view, there are no innocent scapegoats, an accusation must be made. In the case of Oedipus, he was accused of parricide and incest, and these are recurrent accusations to justify persecution (for example Maria Antoinette), but many other accusations are found (for example blood libels, witchcraft, and so forth). After the victim is executed, Girard claims, a prohibition falls upon the action allegedly perpetrated by the scapegoat. By doing so, the scapegoaters believe they restore social order. Thus, along with ritual and myths, prohibitions derive from the scapegoat mechanism.

Girard also considers that prior to the scapegoating mechanism, communities go through a process he calls a ‘crisis of differences’. Mimetic desire eventually makes every member resemble each other, and this lack of differentiation generates chaos. Traditionally, this indifferentiation is represented through various symbols typically associated with chaos and disorder (plagues, monstrous animals, and so forth). The death of the scapegoat mechanism restores order and, by extension, differentiation. Thus, everything returns to its place. In such a manner, social differentiation and order in general is also derived from the scapegoat mechanism.

4. The Uniqueness of the Bible and Christianity

Girard’s Christian apologetics departs from a comparison of myths and the Bible. According to Girard, whereas myths are caught under the dynamics of the scapegoat mechanism by telling the foundational stories from the perspective of the scapegoaters, the Bible contains plenty of stories that tell the story from the perspective of the victims.

In myths, those who are collectively executed are presented as monstrous culprits that deserve to be punished. In the Bible, those who are collectively executed are presented as innocent victims that are unfairly accused and persecuted. Thus, Girard recapitulates the old Christian apologetic tradition of insisting upon the Bible’s singularity. But, instead of making emphasis on the Bible’s popularity, or fulfillment of prophecies, or consistency, Girard thinks the Bible is unique in its defense of victims.

However, according to Girard, this is not merely a shift in narrative perspective. It is in fact something much more profound. Inasmuch as the Bible presents stories from the perspective of the victims, the Biblical authors reveal something not understood by previous mythological traditions. And, by doing so, they make scapegoating inoperative. Once scapegoats are recognized for what they truly are, the scapegoating mechanism no longer works. Thus, the Bible is a remarkably subversive text, inasmuch as it shatters the scapegoating foundations of culture.

a. The Hebrew Bible

Girard thinks that the Hebrew Bible is a text in travail. There are plenty of stories that are still told from the perspective of the scapegoaters. And, more importantly, it continuously presents a wrathful God that sanctions violence. However, Girard appreciates some important shifts in some narratives from the Bible, especially when they are compared to myths that present similar structures.

For example, Girard contrasts the story of Cain and Abel with the myth of Remus and Romulus. In both stories, there is rivalry between the brothers. In both stories, there is a murder. But, in the Roman myth, Romulus is justified in killing Remus, as the latter transgressed the territorial limits they had earlier agreed upon. In the Biblical story, Cain is never justified in killing Abel. And, indeed, the blood of Abel is evoked as the blood of the innocent victims that have been murdered throughout history, and that God will vindicate.

Girard is also fond of comparing the story of Oedipus with the story of Joseph. Oedipus is accused of incest, and the myth accepts this accusation, therefore justifying his expulsion from Thebes. Joseph is also accused of incest (he allegedly attempted to rape Potiphar’s wife, his de facto step mother). But, the Bible never accepts such an accusation.

In Girard’s views, the Hebrew Bible is also crucial in its rejection of ritual sacrifice. Some prophets vehemently denounced the grotesque ritual killing of sacrificial victims, although, of course, the ritual requirement of sacrificial rituals permeates much of the Old Testament. Girard understands this as a complementary approach to the defense of victims. The prophets promote a new concept of the divinity: God is no longer pleased with ritual violence. This is evocative of Hosea’s plea from God: “I want mercy, not sacrifices”. Thus, the Hebrew Bible takes a twofold reversal of culture’s violent foundation: on the one hand, it begins to present the foundational stories from the perspective of the victims; on the other hand, it begins to present a God that is not satisfied with violence and, therefore, begins to dissociate the sacred from the violent.

b. The New Testament

Under Girard’s interpretation, the New Testament is the completion of the process that the Hebrew Bible had begun. The New Testament fully endorses the victims’ perspective, and satisfactorily dissociates the sacred from the violent.

The Passion story is central in the New Testament, and it is the complete reversal of traditional myth’s structure. Amidst a huge social crisis, a victim (Jesus) is persecuted, blamed of some fault, and executed. Even the apostles succumb to the collective pressure and abandon Jesus, tacitly becoming part of the scapegoating crowd. This is emblematic in the story of Peter’s denial of Jesus.

Nevertheless, the evangelists never succumb to the collective pressure of the scapegoating mob. The evangelists adhere to Jesus’ innocence throughout the whole story. Alas, Jesus is finally recognized as what he really is: an innocent scapegoat, the Lamb of God that was taken to the slaughterhouse, although no fault was in him. According to Girard, this is the completion of a slow process begun in the Hebrew Bible. Once and for all, the New Testament reverses the violent psychosocial mechanism upon which human culture has been founded.

Aside from that, Jesus’ ethical message is complementary. Under Girard’s interpretation, humanity has achieved social peace by performing violent acts of scapegoating. Jesus’ solution is much more radical and efficient: to turn the other cheek, to abstain from violent retribution. Scapegoating is not an efficient means to bring about peace, as it always depends on the periodic repetition of the mechanism. The real solution is in the total withdrawal from violence, and that is the bulk of Jesus’ message.

c. Nietzsche’s Criticism of Christianity

Girard is bothered by the possibility that his readers may fail to appreciate the uniqueness of the Bible and Christianity. In this sense, Girard is very critical of classical anthropologists such as Sir James Frazer, who saw the relevance of scapegoating in primitive rituals and myths, but, according to Girard, failed to see that the Christian story is fundamentally different from other scapegoating myths.

Indeed, Girard resents the fact that Christianity is usually considered to be merely one among many other religions. However, ironically, Girard seeks help from a powerful opponent of Christianity: Friedrich Nietzsche. Nietzsche criticized Christianity for its ‘slave morality’; that is, its tendency to side with the weak. Nietzsche recognized that, above other religions, Christianity promoted mercy as a virtue. Nietzsche interpreted this as a corruption of the human vital spirit, and advocated a return to the pre-Christian values of power and strength.

Girard is, of course, opposed to the Nietzschean disdain for mercy and antipathy towards the weak and victims. But, Girard considers Nietzsche a genius, inasmuch as the German philosopher saw what, according to Girard, most people (including the majority of Christians) fail to see: Christianity is unique in its defense of victims. Thus, in a sense, Girard claims that his Christian apologetics is for the most part a reversal of Nietzsche: they both agree that Christianity is singular, but whereas Nietzsche believed this singularity corrupted humanity, Girard believes this singularity is the manifestation of a power that reverses the violent foundations of culture.

d. Apocalypse and Contemporary Culture

Girard acknowledges that, on the surface, not everything in the New Testament is about peace and love. Indeed, there are some frightening passages in Jesus’ preaching, perhaps the most emblematic “I come not to bring peace, but a sword”. This is part of the apocalyptic worldview prevalent in Jesus’ days. But, much more than that, Girard believes that the apocalyptic teachings to be found in the New Testament are a warning about future human violence.

Girard considers that, inasmuch as the New Testament overturns the old scapegoating practices, humanity no longer has the capacity to return to the scapegoating mechanism in order to restore peace. Once victims are revealed as innocent, scapegoating can no longer be relied upon to restore peace. And, in such a sense, there is now an even greater threat of violence. According to Girard, Jesus brings a sword, not in the sense that he himself is going to execute violence, but in the sense that, through his work and the influence of the Bible, humanity will not have the traditional violent means to put an end to violence. The inefficacy of the scapegoat mechanism will bring even more violence. The way to restore peace is not through the scapegoat mechanism, but rather, through the total withdrawal of violence.

Thus, Girard believes that, ironically, Christianity has brought about even more violence. But, once again, this violence is not attributable to Christianity itself, but rather, to the stubbornness of human beings who do not want to follow the Christian admonition and insist on putting an end to violence through traditional scapegoating.

Girard believes that, 20th and 21st centuries are more than ever an apocalyptic age. And, once again, he acknowledges a 19th century German figure as a precursor of these views: Carl von Clausewitz. According to Girard, the great Prussian war strategist realized that modern war would no longer be an honorable enterprise, but rather, a brutal activity that has the potential to destroy all of humanity. Indeed, Girard believes 20th and 21st centuries are apocalyptic, but not in the fundamentalist sense. The ‘signs’ of apocalypse are not numerical clues such as 666, but rather, signs that humanity has not found an efficient way to put an end to violence, and unless the Christian message of repentance and withdrawal from violence is assumed, we are headed towards doomsday; not a Final Judgment brought forth by a punishing God, but rather, a doomsday brought about by our own human violence.

5. Theological Implications

Girard claims not to be a theologian, but rather, a philosophical anthropologist. But, echoing Simone Weil, he believes that the gospels, inasmuch as they reveal the nature of human beings, also indirectly reveal the nature of God. Thus, Girard’s work has great implications for theologians, and his work has generated new ways to interpret the traditional Christian doctrines.

a. God

Girard is little concerned with the classical theistic attempt to prove the existence of God (for example Aquinas, Plantinga, Craig and Swinburne). But, he does seem to assume that the only way to explain the Bible’s uniqueness in its rejection of scapegoating distortion and its refusal to succumb to the mob’s influence, is by proposing the intervention of a higher celestial power. So, in a weak sense, Girard’s apologetic works try to prove that the Bible is divinely inspired and, therefore, that God exists.

More importantly, Girard believes that the Bible reveals that the true God is far removed from violence, whereas gods that sanction violence are false gods, that is, idols. By revealing how human violence works, Girard claims, the Bible reveals that this violence does not come from God; rather, God sympathizes with victims and wants nothing to do with victimizers.

b. The Incarnation

Furthermore, the doctrine of Incarnation becomes especially important under Girard’s interpretation. For God himself incarnates in the person of Jesus, in order to become himself a victim. Thus, God is so far removed from aggressors and scapegoaters, He himself becomes a victim in order to show humanity that He sides with innocent victims. Thus, the way to overturn the scapegoat mechanism is not only by telling the stories from the perspective of the victim, but also by telling the story that the victim itself is God incarnate.

c. Satan

Most liberal contemporary Christians pay little attention to Satan, but Girard wishes to keep its relevance. Girard has little patience for the literal mythological interpretation of Satan as the red, horned creature. According to Girard, the concept of Satan and the Devil most frequently referred to in the gospels is what it etymologically expresses: the opponent, the accuser. And, in this sense, Satan is the scapegoating mechanism itself (or, perhaps more precisely, the accusing process); that is, the psychological processes in which human beings are caught up by the lynching mob, and eventually succumb to its influence and participate in the collective violence against the scapegoat.

Likewise, the Holy Spirit in Girard’s interpretation is the reverse of Satan. Again, Girard recurs to etymology: the Paraclete etymologically refers to the spirit of defense. Thus, Satan accuses victims, and the Paraclete mercifully defends victims. Thus, the Holy Spirit is understood by Girard as the overturning of the old scapegoating practices.

d. Original Sin

In the old Pelagian-Augustinian debate over original sin, Girard’s work clearly sides with Augustine. Under Girard’s interpretation, there is a twofold sense of original sin: 1) human beings are born with the propensity to imitate each other and, eventually, be led to violence; 2) human culture was laid upon the foundations of violence. Thus, human nature is tainted by an original sin, but it can be saved through repentance materialized in the withdrawal from violence.

The complementary aspect of the original sin debate, that is, free will, has not been tackled by Girard. But, being a Roman Catholic, it is presumable that Girard would not accept the Calvinist concepts of total depravity, irresistible grace and predestination. He seems to believe that human beings are born with sin, but they have the capacity to do something about it through repentance.

e. Atonement

Girard’s vision of Christianity also brings forth a new interpretation of the doctrine of atonement, that is, that Christ died for our sins. Anselm’s traditional account (God’s honor was offended by the sins of mankind, His honor was reestablished with the death of His own son), or other traditional interpretations (mankind was kidnapped by the Devil, God offered Christ as a ransom; Jesus died so God could show humanity what He is capable of doing if we do not repent, and so forth) are deemed inadequate by Girard. Under Girard’s interpretation, Jesus saved us by becoming a victim and overturning once and for all the scapegoat mechanism. Thanks to Jesus’ salvific mission, human beings now have the capacity to understand what scapegoats really are, and have the golden opportunity to achieve enduring social peace.

6. Criticisms

An important source of criticisms against Girard is his apologetic commitment to Christianity. Most critics argue that he has a tendency to twist interpretations of classical texts and myths in order to favor Christian doctrine. Girard has frequently asserted that he was not a Christian for the early part of his life, but that his work as a humanist eventually drove him to Christianity. Also, Girard has been seen with contempt by postmodernist critics who, on the whole, are suspicious of objective truth.

a. Mimetic Theory Claims Too Much

The first point of criticism directed at Girard is that he is too ambitious. His initial plausible interpretations of mimetic psychology and anthropology are eventually transformed into a grandiose theoretical system that attempts to explain every aspect of human nature.

Consequently, in such a manner, his methods have been questioned. His theories regarding mimetic desire are derived, not from a careful study of subjects and the implementation of tests, but rather, from the reading of works of fiction. The fact that his theory seems to coincide with what many neuroscientists are informing us about mirror neurons is immaterial: his was just a lucky guess.

The same critique may be extended to his work on the origins of culture. Again, his scapegoating thesis may be plausible, in as much as it is easy to find many examples of scapegoating processes in human culture. But, to claim that all human culture ultimately relies on scapegoating, and that the fundamental cultural institutions (myths, rituals, hunting, domestication of animals, and so forth), are ultimately derived from an original murder, is perhaps too much.

Thus, in a sense, Girard’s work is subject to the same criticism of many of the great theoretical systems of the human sciences in the 19th century (Hegel, Freud, Marx, and so forth): his sole concentration on his favorite themes makes him overlook equally plausible alternate explanations for the phenomena he highlights.

b. The Origins of Culture are Not Verifiable

As a corollary of the previous objection, empirically-minded philosophers would object that Girard’s theses are not verifiable in a meaningful way. There is little possibility to know what may have happened during Paleolithic times, apart from what paleontology and archaeology might tell us.

In some instances, Girard claims that his theses have indeed been verified. There have been plenty of archaeological remains that suggest ritual human sacrifice, and plenty of contemporary rituals and myths that suggest scapegoating violence. But, then again, the number of rituals and myths that do not display violence is even greater. Girard does not see this as a great obstacle to his theses, because according to him, cultures have a tendency to erase the track of original violence.

But, in such a case, the empirically-minded philosopher may argue that Girard’s work is not falsifiable in Popper’s sense. There seems to be no possibility of a counter-example that will refute Girard’s thesis. If a violent myth or ritual is considered, Girard will argue that this piece of evidence confirms his hypotheses. If, on the other hand, a non-violent myth or ritual is considered, Girard will once again argue that this piece of evidence confirms his evidence, because it proves that cultures erase tracks of violence in myths and rituals. Thus, Girard is open to the same Popperian objection leveled against Freud: both sexual and non-sexual dreams confirm psychoanalytic theory; therefore, there is no possible way to refute it, and in such a manner, it becomes a meaningless theory.

c. Girard Exaggerates the Contrast Between Myths and the Bible

Girard is also open to criticism inasmuch as his Christian apologetics seems to rely on an already biased comparison of myths and the Bible. It has been objected that he is not thoroughly fair in the application of standards when contrasting the Bible and myths. Girard’s hermeneutic goes to great lengths to highlight violence in rituals when, in fact, it is not all that evident. He may be accused of being predisposed to find sanctioned violence in myths and, based upon that predisposition, he interprets as sanctioned violence mythical elements that, under another interpretative lens, would not be violent at all. Metaphorically speaking, when studying many myths, Girard is just seeing faces in the clouds, and projecting upon myths some elements that are far from being clear.

In the same manner, one may object that Girard’s treatment of the Bible, and especially the New Testament, is too benevolent. Most secular historians would agree that there are some hints of persecution against the Jews in the gospels (for example, an exaggeration of Jewish guilt in the arrest and execution of Jesus), and that the historical Jesus’ apocalyptic preaching is not just a warning of future human violence, but rather, an announcement of imminent divine wrath.

d. Christian Uniqueness Does Not Imply a Divine Origin

Even if Girard’s thesis about the uniqueness of Christianity were accepted, it needn’t prove a divine origin. Perhaps Christianity is unique due to a set of historical and sociological circumstances that drove biblical authors to sympathize with victims (indeed, Max Weber’s explanation is as follows: the Bible’s authors sympathize with victims because they were themselves victims as subjects of the great empires of the Near East). In such a manner, Girard may be accused of incurring an ad ignorantiam fallacy. The fact that we cannot currently explain a given phenomenon does not imply that such phenomenon’s origins are supernatural.

e. Lack of a Precise Scientific Language

Even if one were to accept that the Bible reveals a profound nature about human beings, scientifically-minded philosophers would object that Girard’s language is too obscure and too religiously-based for scientific purposes. Perhaps the Bible does reveal some interesting insights about the nature of scapegoating. But, to name such a process ‘Satan’, or to name the human tendency to incur in rivalries ‘sin’, bears a great potential for confusion. Whenever most readers encounter the word ‘Satan’, they are prone to imagine the nasty horned tailed creature, and not in some sort of abstract psychological mechanism that gives rise to scapegoating violence. So, even if Girard’s use of those terms is metaphoric, they are easily open to confusion, and perhaps should be abandoned.

7. References and Further Reading

a. Primary

  • Deceit, Desire, and the Novel: Self and Other in Literary Structure. Baltimore: The Johns Hopkins University Press, 1965.
  • Resurrection from the Underground: Feodor Dostoevsky. New York: Crossroad, 1997.
  • Violence and the Sacred. Baltimore: The Johns Hopkins University Press, 1977.
  • Things Hidden since the Foundation of the World. Research undertaken in collaboration with Jean-Michel Oughourlian and Guy Lefort. Stanford, CA: Stanford University Press, 1987.
  • “To Double Business Bound”: Essays on Literature, Mimesis, and Anthropology. Baltimore: The Johns Hopkins University Press, 1978.
  • The Scapegoat. Baltimore: The Johns Hopkins University Press, 1986.
  • Job: The Victim of His People. Stanford, CA: Stanford University Press, 1987
  • A Theater of Envy: William Shakespeare. St. Augustine’s Press, 2004.
  • Quand ces choses commenceront…Entretiens avec Michel Treguer. Paris: Arléa, 1994.
  • The Girard Reader. Edited by James G. Williams. New York: Crossroad, 1996.
  • I See Satan Fall like Lightning. Maryknoll, NY: Orbis Books, 2001.
  • Celui par qui le scandale arrive: Entretiens avec Maria Stella Barberi. Paris: Brouwer, 2001.
  • Oedipus Unbound: Selected Writings on Rivalry and Desire. Edited by Mark Anspach. Stanford, CA: Stanford University Press, 2004.
  • Evolution and Conversion: Dialogues on the Origins of Culture. With Pierpaolo Antonello and Joao Cezar de Castro Rocha. London: T&T Clark/Continuum, 2007
  • Christianity, Truth, and Weakening Faith: A Dialogue. René Girard and Gianni Vattimo. Edited by Pierpaolo Antonello and translated by William McCuaig. New York: Columbia University Press, 2010
  • Battling to the End: Conversations with Benoît Chantre. East Lansing, MI: Michigan State University Press, 2010.
  • Anorexie et désir mimétique. Herne, 2008.

b. Secondary

  • ALBERG, Jeremiah. A Reinterpretation of Rousseau: A Religious System. Foreward by René Girard. Palgrave Macmillan, 2007. Hardcover
  • ALISON, James. Broken Hearts and New Creations: Intimations of a Great Reversal. New York: Continuum, 2010.
  • ALISON, James. Faith Beyond Resentment: Fragments Catholic and Gay. New York: Crossroad, 2001
  • ALISON, James. The Joy of Being Wrong: Original Sin Through Easter Eyes. New York: Crossroad, 1998.
  • ANDRADE, Gabriel. René Girard: Um retrato intellectual. E realizacaoes. 2011.
  • ASTELL, Ann W. Joan of Arc and Sacrificial Authorship. South Bend, IN: University of Notre Dame Press, 2003
  • BAILIE, Gil. Violence Unveiled: Humanity at the Crossroads. New York: Crossroad, 1995. Paper.
  • BANDERA, Cesáreo. The Humble Story of Don Quixote: Reflections on the Birth of the Modern Novel. Catholic University of America Press, 2006.
  • BANDERA, Cesáreo. The Sacred Game. Penn State Press. 2004.
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Author Information

Gabriel Andrade
Email: gabrielernesto2000@yahoo.com
University of Zulia
Venezuela

Platonism and Theism

This article explores the compatibility of, and relationship between, the Platonic and Theistic metaphysical visions. According to Platonism, there is a realm of necessarily existing abstract objects comprising a framework of reality beyond the material world. Platonism argues these abstract objects do not originate with creative divine activity. Traditional Theism contends that God is primarily the creator and that God is the source of existence for all realities beyond himself, including the realm of abstract objects.

A primary obstacle between these two perspectives centers upon the origin, nature and existence of abstract objects.  The Platonist contends that these abstract objects exist as a part of the framework of reality and that abstract objects are, by nature, necessary, eternal and uncreated.  These qualities stand as challenges for the Traditional Theist, attempting to reconcile his or her metaphysic with that of Platonism since Traditional Theism contends that God is uniquely necessary, eternal, uncaused, and is the cause of everything that exists. The question, therefore, emerges as to whether these two metaphysical visions are reconcilable and, if not, then why not, and, if so, then how might this be accomplished?

Despite the differences, some Traditional Theists have found Platonism to be a helpful framework by which to convey their conclusions regarding the nature of God and of ultimate reality. Others pursue reconciliation between Theism and Platonism through the proposal of what has been defined as a modalized Platonism, which concludes that necessarily existing abstract objects, nevertheless, have origin in the creative activity of God.  Still others refuse any consideration of Theism in relationship to Platonism.

Table of Contents

  1. The Problem
  2. Platonism and Abstract Objects
    1. Abstract Objects and Necessary Existence
    2. Abstract Objects as Uncreated
    3. Abstract Objects as Eternal
  3. Traditional Theism
    1. God as Creator
    2. Creatio ex Nihilo
    3. Divine Freedom
  4. Emerging Tensions
    1. God as the Origin of Abstract Objects
    2. Abstract Objects as Uncreated
  5. Selected Proposals
    1. James Ross: A Critical Rejection of Platonism
    2. Nicholas Wolterstorff: A Restrictive Idea of Creation
    3. Morris and Menzel: Theistic Activism
    4. Bergman and Brower: Truthmaker Theory
    5. Plantinga: Christian Platonism
  6. References and Further Reading
    1. Books
    2. Articles

1. The Problem

Is the platonic metaphysical vision compatible with that of Traditional Theism? Some would contend that the two are compatible, while others would argue to the contrary. Platonists argue that at least some, if not all, abstract objects are uncreated, and exist necessarily and eternally; whereas Traditional Theism asserts that God exists as the uncreated creator of all reality existing beyond himself.

But can this central conclusion of Traditional Theism be reconciled with the Platonic understanding of abstract objects as uncreated, necessarily extant, and eternal? Furthermore, if it is possible to reconcile these worldviews, how might one do so?  Put differently, is there anything, other than himself, that God has not created? Or are we to understand the conclusion that God has created everything in a qualified or restricted sense? Are there things which are not to be included in the Theistic tenet of faith that God is the creator of all things? If so, what things do not result from God’s creative activity?

2. Platonism and Abstract Objects

Contemporary Platonism argues the existence of abstract objects. Abstract objects do not exist in space or time and are entirely non-physical and non-mental. Contemporary Platonism, while deriving from the teachings of Plato, is not directly reflective of the teachings of Plato. Abstract objects are non-physical entities in that they do not exist in the physical world, and they are not compositionally material. Abstract objects are non-mental, meaning that they are not minds or ideas in minds, neither are they disembodied souls or gods. Further, abstract objects are said to be causally inert. In short, Platonism contends that abstract objects exist necessarily, are eternal, and cannot be involved in cause and effect relationships with other objects.

Platonists argue the existence of abstract objects since it makes sense to believe, for instance, that numbers exist and that the only legitimate view of these things is that they are abstract objects. For Platonists, however, there are several categories of things, including physical things, mental things, spiritual things, and the problematic fourth category that includes things such as universals (the wisdom of Socrates, the redness of an apple), relationships (for example, loving, betweenness), propositions (such as 7 + 5 = 12, God is just), and mathematical objects such as numbers and sets. (Menzel, 2001, 3)

As we shall see below, the existence of abstract objects represents a significant challenge for the Christian in particular and for Traditional Theists in general since it is central to these worldviews that God is the creator of everything other than God himself. Generally, however, abstract objects are considered to be like God in that they are said to have always existed, and to always exist in future. Consequently, there is no point at which God is considered to have brought them into being. (Menzel, 2001, 1-5).

But why would the Platonist conclude that God has not created all abstract objects, or has created selected abstract objects?  The response to this question moves us to a consideration of the nature of abstract objects as necessarily extant, uncreated, and eternal, and to briefly address why God’s creation of abstract objects is questionable.

a. Abstract Objects and Necessary Existence

What is meant by the phrase necessary existence? A thing is said to possess necessary existence if it would have existed no matter what or if it would have existed under any possible circumstances. A thing has necessary existence if its non-existence is impossible. For instance, if x is a necessary being, then the non-existence of x is as impossible as a round square or a liquid wine bottle. Human beings are said not to exist necessarily since we would never have existed if our parents had never met and this is a possible circumstance. (Van Inwagen, 1993, 118)

For the Platonist, God’s creation of abstract objects is questionable since they are understood to exist necessarily. As such, abstract objects cannot have not existed.  Consequently, consider whether God can create something existing necessarily? Put differently, does the assertion “x exists necessarily” entail that “x is uncreated”?  If this constitutes a valid assumption, the Platonic understanding of the nature of abstracts objects as necessarily extant excludes the creation of these objects by God or any other external source.

b. Abstract Objects as Uncreated

Second, for the Platonist, God’s creation of abstract objects is questionable since the creative event in Traditional Theism is understood to be a causal event and Platonism understands abstract objects as being uncreated and also as being incapable of entering into causal relations. If, therefore, abstract objects are uncreated, then it seems that God is just one more extant entity existing in the universe and God cannot be the maker of all things, both visible and invisible. (Menzel, 1986)

c. Abstract Objects as Eternal

Third, for the Platonist, God’s creation of abstract objects is questionable due to their being eternal. There is no point at which God could be said to have brought abstract objects into being and, therefore, it is difficult to think of them as creatures since they are not created. If an abstract object has no beginning in time there could not have been a time at which God first created it. (Menzel, 2001, 4-6) If abstract objects are eternal, then they possess a character which parallels God, since according to Traditional Theism God is considered to be eternal.

These platonic affirmations regarding the nature of abstract objects as eternal, necessary and uncreated pose significant challenges to any effort to merge the worldviews of Platonism and Traditional Theism. With this understanding of abstract objects, we now turn to a consideration of the definition of Traditional Theism.

3. Traditional Theism

What are the central tenets of Traditional Theism? First, Traditional Theism and Classical Theism (hereafter referred to as Traditional Theism) are regarded as synonymous. Traditional Theism is supported in the writings of authors such as Moses Maimonides (1135-1204), the Islamic author Avicenna (980-1037), and the Christian author Thomas Aquinas (1224-74). Traditional Theism constitutes what all Jews, Christians and Muslims officially endorsed for many centuries. In addition, Traditional Theists strongly endorse the aseity-sovereignty doctrine, according to which God is the uncreated Creator of all things and all things other than God depend upon God, while God depends on nothing whatsoever. (Davies, 2004, 1) Numerous philosophers have assumed that God is as defenders of Traditional Theism consider him to be, the source of all reality external to himself. From the period of St. Augustine of Hippo (354-430) to the time of G. W. Leibniz (1646-1716), philosophers carried on with the assumption that belief in God is belief in Traditional Theism. This understanding has been endorsed by many theologians, and is represented in the tenets of the Roman Catholic Church. These beliefs were also endorsed and propagated by many of the major Protestant reformers, such as the eighteenth century American Puritan, Jonathan Edwards.

It is to the definition of Traditional Theism that we turn since it is these tenets of faith that represent the primary obstacles in our effort to reconcile the Theistic and Platonic metaphysical perspectives. These include: God as creator, Creation as ex nihilo, and the assertion of divine freedom.

a. God as Creator

Traditional Theism understands God to be the creative source for his own existence, as well as for the existence of all reality existing outside of himself. First, as regards God’s being the creative source for his own existence, if something else created God, and then God created the universe, it would seem to most that this other thing was the real and ultimate source of the universe and that God is nothing more than an intermediary. (Leftow, 1990, 584) Therefore, according to Traditional Theism, there can be no regress of explanations for what exists past the explanations for God’s existence.

Second, Traditional Theism not only endorses the belief that God is responsible for his own existence, but also that God is the Creator of all extant reality beyond himself. Consequently, God is essentially what accounts for the existence of anything beyond God or God is responsible for the existence of something rather than nothing. For Traditional Theism, this notion entails not only that God is responsible for the fact that the universe began to exist, but that God’s work is also responsible for the continued existence of the cosmos. (Davies, 2004, 3)

b. Creatio ex Nihilo

Is there anything that can pre-exist the creative activity of God? Traditional Theists respond to this question with a resounding, “No.”  Aquinas writes,

We must consider not only the emanation of a particular being from a particular agent, but also the emanation of all being from the universal cause, which is God; and this emanation we designate by the name of creation. Now what proceeds by particular emanation is not presupposed to that emanation; as when a man is generated, he was not before, but man is made from not-man, and white from not-white. Hence, if the emanation of the whole universal being from the first principle be considered, it is impossible that any being should be presupposed before this emanation. For nothing is the same as no being. Therefore, as the generation of a man is from the not-being which is not-man, so creation, which is the emanation of all being, is from the not-being which is nothing. (Thomas Aquinas, 1948, Ia, 45, 1.)

Traditional Theism, therefore, understands God as the one who creates ex nihilo, or from nothing. The phrase denotes not that God, in the creative act, worked with something called “nothing” but that God creates that which is external to himself without there being anything prior to his creative act with the exception of himself. The challenging implication of this tenet of Traditional Theism for the Platonic notion of abstract objects is obvious. Traditional Theists counter the Platonic notion that abstract objects are uncreated, contending that if God did not create non-substance items, such as abstract objects, creation would not truly be ex nihilo, since these entities would have accompanied God from all eternity and become aspects of God’s creation, for example, by being unsubstantiated. (Leftow, 1990, 583-84).

c. Divine Freedom

Traditional Theists also argue that God’s choices to act are always carried out in the context of divine freedom, signifying that God is not constrained by anything beyond the laws of logic and His own nature. This is regarded as true by the Traditional Theist since God has established these laws and can alter them if he chooses to do so. Further, God cannot be compelled to choose. If God makes choices in response to human action, so says the Traditional Theist, it is always in his power to prevent actions by any method he chooses.

In short, God always responds to the actions he permits. Consequently, God is always ultimately in control, even in the context of actions that we have created. Therefore, if God carried out his creative activity in the context of complete divine freedom and if God is not and cannot be compelled to act creatively by any external source, then how can God’s freedom be reconciled with the Platonic notion of abstract objects as existing necessarily, since, if abstract objects exist necessarily by God’s creative act, then God was compelled to create them by forces beyond himself. Again, the tension between the two worldviews of Traditional Theism and Platonism becomes apparent.

As this examination of the central tenets of Traditional Theism demonstrates, a challenge exists in the effort to integrate the worldviews of Traditional Theism and Platonism. In summary, Platonists contend that abstract objects are uncreated, whereas Traditional Theists argue that God created all reality; Platonists believe that abstract objects exist necessarily, whereas Traditional Theists contend that God alone is necessarily extant; Platonists propose that abstract objects are eternal, whereas Traditional Theists believe that God alone is eternal. With these contrasts in mind, we turn now to consider specific problems said to emerge from them.

4. Emerging Tensions

As has been observed in this article, the apparent conflict between Platonism and Traditional Theism emerges from the central notion of Traditional Theism, that God is the absolute creator of everything existing distinct from himself; and the central claim of contemporary Platonism, that there exists a realm of necessarily existent abstract objects that could not fail to exist. In considering the tension between abstract objects and Traditional Theism, Gould writes,

To see what the problem is, consider the following three jointly inconsistent claims: (a) there is an infinite realm of abstract objects which are (i) necessary independent beings and are thus (ii) uncreated; (b) only God exists as a necessary independent being; (c) God creates all of reality distinct from him, i.e. only God is uncreated. Statement (a) represents a common understanding of Platonism. Statements (b) and (c) follow from the common theistic claim that to qualify for the title “God,” someone must exist entirely from himself (a se), whereas everything else must be somehow dependent upon him. (Gould, 2010, 2)

A contradiction emerges in consideration of the first and third claims. Proposal (a) posits the existence of abstract objects that are necessary, independent and uncreated. Proposal (c) posits that all reality existing separately from God has its origin in divine creative activity. These two proposals would appear to be mutually exclusive. As a result a rapprochement appears to exist between Platonism and Traditional Theism. Platonism asserts that the existence of all things outside of God is rooted in divine activity. Platonism further argues that there are strong reasons for recognizing in our ontology the existence of a realm of necessarily existent abstract objects. In contradistinction, the Traditional Theist claims that the realm of necessity as well as that of contingency is within the province of divine creation. For the Traditional Theist, therefore, God is, in some fashion, responsible for the existence of all necessarily existent entities, as well as for contingent objects such as stars, planets and electrons, and so forth. (Morris and Menzel, 1986, 153)

But what are the specific problems associated with the effort to merge Platonism and Traditional Theism? Menzel clarifies,

On the [P]latonist conception, most, if not all, abstract objects are thought to exist necessarily. One can either locate these entities outside the scope of God’s creative activity or not. If the former, then it seems the believer must compromise his view of God: rather than the sovereign creator and lord of all things visible and invisible, God turns out to be just one more entity among many in a vast constellation of necessary beings existing independently of his creative power. If the latter, the believer is faced with the problem of what it could possibly mean for God to create an object that is both necessary and abstract. (Menzel, 1987, 1)

Therefore, both horns of this dilemma lead to inevitable challenges. To contend that God created abstract objects has been said to lead to a problem of coherence and a questioning of divine freedom. To contend that God did not create abstract objects has been understood to lead to a problem regarding the sovereignty of God, as well as the uniqueness of God. It is to these matters that we now turn.

a. God as the Origin of Abstract Objects

Consider the conclusion that God created abstract objects. Two objections arise from this proposal.

First, the coherence problem contends that it makes no sense to discuss the origin of things considered to exist necessarily, or that could not have failed to exist, such as abstract objects. (Leftow, 1990, 584)  Supposing that at least some abstract objects exist necessarily, does the truth of this conclusion entail also that God has not created such abstract objects that exist of necessity?

Second, the freedom problem has its origin in the contention of Traditional Theism that God always acts in total freedom. However, if abstract objects exist necessarily, then God had no choice in the matter of their creation. Therefore, God is constrained by something other than himself, a conclusion leading to questions regarding the nature of God as omnipotent and possessing complete freedom. Traditional Theists are quick to affirm that God’s intentions or choices are not constrained by any entity other than God and no chain of true explanations goes beyond a divine intention or choice – or else beyond God’s having his nature and whatever beliefs he has logically before he creates, which may explain certain of God’s intentions and choices. For if nothing other than God forces God to act as he does, the real explanation of God’s actions always lies within God himself. (Leftow, 1990, 584-585)

b. Abstract Objects as Uncreated

Suppose, on the other hand, that God did not create abstract objects. Problems still emerge.  First, if God did not create abstract objects, and if abstract objects are eternal, necessary and uncreated, then these realities are sovereign, as is God who also is eternal, necessary and uncreated, according to the Traditional Theist. God therefore is merely one more object in the vast array of items in the universe, which also includes abstract objects. This dilemma has been designated as the sovereignty problem. (Leftow, 1990, 584)

Further, a necessary object is said to constitute its own reason for existence. It is said to exist of and from itself. Therefore there is no need for a further explanation of the reason for the existence of the necessary object, a belief known as the doctrine of aseity. Aseity, however, has been associated uniquely with God. Therefore, if abstract objects exist a se, then God is not unique, exists alongside abstract objects and, exists as one being among many others existing by their own nature. This problem has been designated as the uniqueness problem.

In consideration of the relationship of Platonism and Traditional Theism, these problems force the Theist to revise, in some fashion, his understanding of the nature of God, reject Platonism altogether, or to seek a manner in which to reconcile the two. We now turn to a consideration of certain of the efforts made by Traditional Theists to merge or reconcile these two major metaphysical perspectives.

5. Selected Proposals

Can the worldviews of Traditional Theism and Platonism be merged in a manner that does not compromise the core tenets of these seemingly divergent metaphysical perspectives? Proposals range from those which reject altogether the notion of compatibility to those that use the Augustinian notion of abstract ideas as products of the intellectual activity of God. The present section considers five prominent proposals.

a. James Ross: A Critical Rejection of Platonism

Ross’ approach represents a rejection of the integration of Platonic and Theistic metaphysical perspectives. Ross presents a highly critical analysis of Platonism. He denies the Platonic notion of the world of eternal forms, opting instead for a thorough-going Aristotelianism, positing the existence of inherent explanatory structures throughout reality, which he understands as “forms”.  According to Ross, if the independent necessary beings of Platonic Theism are other than God, both the simplicity and independence of God are compromised. Ross further posits that by attracting our attention to the Platonic abstractions, which all existing things are supposed to exemplify, we are consequently distracted from the things or objects themselves. (Ross, 1989, 3)

Ross presents a further set of objections to Platonic metaphysics. He points out that the whole set of abstract entities, which all physical objects are supposed to instantiate, are held to be eternal and changeless realities. Within a Theistic point of view, two options exist regarding these abstract entities according to Ross. First, some Theists propose that abstract entities are co-eternal with God because they are in fact one with God, and second, abstract objects are in some other sense ideas in the mind of God and therefore co-eternal with him.

Ross objects that the first possibility is incompatible with an attribute traditionally ascribed to God, that is, God’s simplicity. Ross further objects that the second contention compromises the Traditional Theists’ understanding of God as the source of all extant realities beyond himself.  Third, Ross counters that the divine creation seems not to involve much creativity or choice if it consists completely of God instantiating beings that had already existed for all of eternity, thereby compromising God’s freedom. Further, the whole sense of creatio ex nihilo is, therefore, eliminated if we are to conceive of God as not making things up but only granting physical existence to that which already shared abstract existence co-eternally with him. (Ross, 1989, 3-5)

Ross concludes that there is an inherent incompatibility of Platonism and Traditional Theism since the incorporation of the Platonic worldview, which entails the existence of abstract objects that exist eternally, necessarily, and are uncaused, forces the Traditional Theist to compromise in some fashion his understanding of the nature of God, thereby leading the Theist to a departure from what is regarded as an orthodox understanding of the nature of God.

b. Nicholas Wolterstorff: A Restrictive Idea of Creation

Nicholas Wolterstorff finds a mediating position between the Platonic and Theistic worldviews. He does so, however, by adopting a non-Traditional Theistic perspective, which according to some is an unavoidable consequence of endorsing Platonism. Wolterstorff proposes that necessarily existing abstract objects are in fact not dependent upon God. (Wolterstorff, 1970) and he promotes the view that some properties, specifically those exemplified by God, are to be excluded from God’s creative activity. (Gould, 2010, 134) Wolterstorff goes so far as to propose that God in his nature has properties that he did not bring about. (Wolterstorff, 1970, 292) He writes:

[Consider] the fact that propositions have the property of being either true or false. This property is not a property of God. . . . For the propositions “God exists” and “God is able to create” exemplify being true or false wholly apart from any creative activity on God’s part; in fact, creative ability on his part presupposes that these propositions are true, and thus presupposes that there exists such a property as being either true of false. (Wolterstorff, 1970, 292; Gould, 2010, 135)

As such, Wolterstorff presents what may be termed a restrictive understanding of the creative activity of God. (Wolterstorff, 1970, 292). Wolterstorff, a Christian, argues that the biblical writers simply did not endorse a wide scope reading of the doctrine of creation. He posits that it cannot legitimately be entertained that the biblical writers actually had universals in view when speaking of God’s being the Creator of all things. In addition, he points out that the creator/creature distinction is invoked in Scripture for religious and not theoretical or metaphysical reasons.

Again we see in Wolterstorff’s approach what those who reject Traditional Theism altogether understand to be an inevitable result of endorsing Platonism. Wolterstorff, due to his endorsing of Platonism, is said therefore to have compromised the understanding of Traditional Theism in that God ceases to be the creator of various dimensions of his own identity, as well as of objects existing beyond himself.

c. Morris and Menzel: Theistic Activism

Christopher Menzel and Thomas Morris acknowledge a tension between Theism and Platonism, but seek to reconcile the divergent metaphysical perspectives utilizing the concept of Theistic Activism. Morris and Menzel ask whether God can not only be responsible for the creation of all contingent reality, but also if it can be intelligently and coherently concluded that God can also be creatively responsible for necessary existence and necessary truth. Morris and Menzel proceed to demonstrate what they term as the extraordinary compatibility of core elements of the Platonic and Theistic metaphysical visions. (Morris and Menzel, 1986, 361). Menzel writes,

The model that will be adopted . . . is simply an updated and refined version of Augustine’s doctrine of divine ideas, a view I will call theistic activism, or just activism, for short. Very briefly, the idea is this. On this model, abstract objects are taken to be contents of a certain kind of divine intellective activity in which God is essentially engaged; roughly, they are God’s thoughts, concepts, and perhaps certain other products of God’s mental life. This divine activity is. . . causally efficacious: the abstract objects that exist at any given moment, as products of God’s mental life, exist because God is thinking them; which is just to say that he creates them. (Menzel, 1986)

The authors, therefore, attempt to provide a Theistic ontology which places God at the center and which views everything else as exemplifying a relation of creaturely dependence on God. The authors agree that Platonism, in general, has been viewed historically as incompatible with Western Theism, but they propose that this perceived incompatibility is not insurmountable, and that the notion of Theistic Activism can overcome this apparent incompatibility. Menzel and Morris have two consequent objectives. First, they strive to eliminate the apparent inconsistency between Platonism and Theism. Second, the authors strive to preserve the Platonic notions of abstract objects, such as properties as necessary beings, as eternal, and as uncreated.

Morris and Menzel resolve the tension between abstract objects existing in simultaneity with God, concluding that God, in some fashion, must be creatively responsible for abstract objects. The authors therefore advance Theistic Activism, suggesting that the origination for the framework of reality that includes abstract objects has its source in the divine intellectual activity.

First, they argue that a Theistic Activist will hold God creatively responsible for the entire modal economy, for what is possible as well as what is necessary, and even for what is impossible. As stated above, the authors resort to the Augustinian divine ideas tradition, which concludes that the Platonic framework of reality arises out of the creatively efficacious intellective activity of God. The authors contend that the entire Platonic realm is, therefore, to be understood as deriving from God (Morris and Menzel, 1986, 356).

Second, Morris and Menzel proceed to propose a continuous model of creation, according to which God is always playing a direct causal role in the existence of his creatures and his creative activity is essential to a creatures being at all times, throughout its spacio-temporal existence. This is true regardless of whether God initially causes the created entity to exist. This conclusion is essential to the proposal of Morris and Menzel in that it provides a framework in which it can coherently be argued that God creates absolutely all objects, be they necessary or contingent. (Menzel, 1982, 2)

Third, for the Theistic Activist, God is understood to necessarily create the framework of reality. Morris and Menzel acknowledge the potentially problematic nature of this contention with regard to the activity of God as a free creator. As a resolution to the dilemma posed by the notions of God necessarily creating and God’s freedom, the authors argue that divine freedom must be understood in a radically different fashion from human freedom. Divine freedom is shaped by God’s moral nature. Therefore, God could not have done morally otherwise than was conducted in the act of creation.

Fourth, Morris and Menzel also address the problem of God’s own nature in relationship to this creative activity. The authors give consideration to the question of whether the varied dimensions of God’s own nature are part of the creative framework. The authors have two responses. They reject the proposal of some that God is to be understood as pure being and therefore devoid of determinate attributes such as omnipotence or omniscience. Morris and Menzel opt for the solution that God has a nature and that God creates his own nature. (Morris, 1989)

The writers conclude:

On the view of absolute creation, God is indeed a determinate, existent individual, but one whose status is clearly not just that of one more item in the inventory of reality. He is rather the source of absolutely everything there is: to use Tillich’s own characterization, he is in the deepest sense possible the ground of all-being. (Morris and Menzel, 1986, 360)

d. Bergman and Brower: Truthmaker Theory

Bergman and Brower conclude that Platonism is inconsistent with the central thesis of Traditional Theism, the aseity-dependence doctrine, which holds that God is an absolutely independent being who exists entirely from himself or a se. This central thesis of Traditional Theism led both philosophers and theologians of the Middle Ages to endorse the doctrine of divine simplicity by which God is understood to be an absolutely simple being, completely devoid of any metaphysical complexity. Further, according to the doctrine, God lacks the complexity associated with material or temporal composition, as well as the minimal form of complexity associated with the exemplification of properties.

The inconsistency is most apparent with regard to the tension between Platonism and divine simplicity. Platonism requires all true predications to be explained in terms of properties. Divine simplicity requires God to be identical with each of the things that can be predicated of him. If both are true, then God is identical with each of his properties and is therefore himself a property. This conclusion stands in contrast with the Traditional Theists understanding of God as a person and the conclusion that persons cannot be exemplified. Therefore Bergman and Brower advance that Platonism is inconsistent with the aseity-dependence doctrine itself. They further argue that the rejection of divine simplicity fails to remove this tension. In their conclusion, contemporary philosophers of religion have lost sight of a significant tension existing between Traditional Theism and Platonism, concluding that the two are perfectly compatible.

Bergman and Brower describe Platonism as characterized by two components. They remind that Platonism entails the view that a unified account of predication can be provided in terms of properties or exemplifiables. They also point out that Platonism entails the view that exemplifiables are best conceived of as abstract objects. Bergman and Brower indicate that Traditional Theism has typically addressed the second of these views and they propose that the distinctive aspect of their own argument targets the first. For Bergman and Brower this distinction is all important since it is often concluded that the inconsistency of Platonism and Traditional Theism is avoided merely by rejecting the Platonic view of properties in favor of another, such as the Augustinian view that properties are ideas in the mind of God. They write,

Traditional Theists who are Platonists, therefore, cannot avoid the inconsistency merely by dropping the Platonic conception of properties and replacing it with another – whether it be an Aristotelian conception (according to which there are no unexemplified universals), some form of immanent realism (according to which universals are concrete constituents of things that exemplify them), a nominalistic theory of tropes (according to which properties are concrete individuals), or even the Augustinian account (according to which all exemplifiables are divine concepts). (Bergman and Brower, 2006, 3-4)

However, Bergman and Brower contend that the inconsistency between the two metaphysical perspectives remains as long as the Traditional Theist continues to endorse the second of the two components of Platonism cited above. They further argue that the inconsistency can be resolved in only one of two ways. Either one is compelled to reject Traditional Theism and, therefore, become either a non-Theist or a non-Traditional Theist, or one is compelled to reject any unified account of predication in terms of exemplifiables. Those who desire to maintain the perspective of Traditional Theism are naturally inclined to adopt a unified account of predication and it is at this point that Bergman and Brower propose the alternative of Truthmaker Theory. (Bergman and Brower, 2006, 4)

But what is intended with the designation Truthmaker? The authors point out that the designation is not to be understood in causal terms or literally in terms of a “maker”, but on the contrary it is to be understood in terms of what they regard as a broadly logical entailment. Bergman and Brower begin their defense of Truthmaker Theory with a defense of the Truthmaker Theory of predication. Twenty-first century philosophers typically speak of Truthmakers as entailing the truth of certain statements or as predication by which is intended the truths expressed by them. For instance:

TM: If an entity E is a Truthmaker for a predication P, then “E exists” entails the truth expressed by P.

As a result, Socrates may be regarded as the Truthmaker for the statement “Socrates is human,” and God may be regarded as the Truthmaker for the statement, “God is divine.” If Traditional Theists desire to explain the truth of this predication in terms of something other than properties or exemplifiables, they can do so in terms of Truthmakers since, given that “God is divine” is a case of essential predication and that God necessitates its truth, God is, therefore, a plausible candidate for its Truthmaker. (Bergman and Bower, 2006, 25-27)

Not only do Bergman and Brower defend a Truthmaker Theory of predication, but they also attempt to demonstrate that Truthmaker Theory yields an understanding of the doctrine of divine simplicity that rescues the doctrine from the standard contemporary objection leveled against it, its alleged lack of coherence. Therefore, from the fact that God is simple, the medievals infer that God lacks any accidental or contingent properties and therefore that all true predications of the form “God is F” are cases of essential predication. Therefore, from the truth, “God is divine” it can be inferred that God is identical with his nature or divinity, which conclusion redeems the doctrine of divine simplicity. From the truth “God is good,” it can be inferred that he is identical with his goodness, the essence of the doctrine of divine simplicity. This is true for every other predication of this nature. Further, it can be concluded that just as God is identical with each of these qualities, so also each of these qualities is identical with each of the others, a further component of the doctrine of divine simplicity.

e. Plantinga: Christian Platonism

Alvin Plantinga has been described as a Platonist par–excellence. (Gould, 2010, 108) If Platonism is defined as the metaphysical perspective that there are innumerably many necessarily existing abstract entities, then Plantinga’s Does God Have A Nature? represents a thorough defense of Christian Platonism. (Freddoso, 145-53) Plantinga acknowledges that most Christians believe that God is the uncreated creator of all things and all things depend on him, and he depends upon nothing at all. The created universe presents no problem for this doctrine. God’s creation is dependent on him in a variety of ways and God is in no way dependent upon it. However, what does present a problem for this doctrine is the entire realm of Platonic universals, properties, kinds, propositions, numbers, sets, states of affairs and possible worlds. These things are everlasting, having no beginning or end. Abstract objects are also said to exist necessarily. Their non-existence is impossible. But how then are these abstract objects related to God? Plantinga frames the problem:

According to Augustine, God created everything distinct from him; did he then create these things? Presumably not; they have no beginnings. Are they dependent on him? But how could a thing whose non-existence is impossible . . . depend upon anything for its existence? And what about the characteristics and properties these things display? Does God just find them constituted the way they are? Must he simply put up with their being thus constituted? Are these things, their existence and their character, outside his control?  (Plantinga, 1980, 3-4)

Plantinga acknowledges two conflicting perceptions regarding God and he attempts to reconcile these two perspectives. On the one hand, it is argued that God has control over all things (sovereignty) and we believe that God is uncreated or that God exists a se.  Second, it is argued that certain abstract objects and necessary truths are independent of God and that certain of these, such as omniscience, omnipotence, omni-benevolence, constitute God’s nature. These two conclusions, however, are logically contradictory. How can God have sovereign control over all things and abstract objects exist independently?

Either the first or the second of these intuitions must be false. The entirety of Does God Have A Nature? is dedicated to an attempt to resolve this dilemma. Plantinga first discusses the proposal of Kant. Kant resolved the problem of these two conflicting intuitions through the denial that God has a nature, a conclusion that Plantinga rejects. Plantinga then moves to the consideration of the proposed solution of Thomas Aquinas. Aquinas argues on behalf of the doctrine of divine simplicity, which posits that God has a nature, but that God is identical with his nature. Plantinga concludes that Aquinas’ proposal is also inadequate due to the implications of the doctrine of divine simplicity, which seems to be problematic in that it leads to the denial of the personhood of God, thereby reducing him to an abstract object. Plantinga then turns to nominalism. The nominalist contends that abstract objects, such as properties, do not exist in any real sense. Abstract objects, therefore, are nothing more than designations and do not refer to any objects. Nominalism fails, in Plantinga’s opinion, since it is irrelevant to the real issue, the preservation of God’s absolute control. Plantinga then contends, in light of the failure of the previous approaches, that we may resolve to deny the truth of our intuition that abstract objects are necessary, or eternal, a conclusion which is designated as universal possibilism since the implication of the position is that everything is possible for God, a notion which Plantinga also rejects, since, in his opinion, this conclusion simply seems absurd.

However, for Plantinga the bifurcation between the Theistic notion of God as the uncreated creator of all that exists outside of himself and the Platonic notion of the existence of abstract objects, which exist necessarily and eternally, is not insurmountable. Plantinga endorses a form of Platonic realism. He espouses a conception of properties according to which these abstract objects are a specific type of abstract entity, namely, universals. Plantinga, proposes the following solution to the dilemma,

Augustine saw in Plato a vir sapientissimus et eruditissimus (Contra Academicos III, 17); yet he felt obliged to transform Plato’s theory of ideas in such a way that these abstract objects become . . . part of God, perhaps identical with his intellect. It is easy to see why Augustine took such a course, and easy to see why most later medieval thinkers adopted similar views. For the alternative seems to limit God in an important way; the existence and necessity of these things distinct from him seems incompatible with his sovereignty. (Plantinga, 1980, 5)

Plantinga, therefore, concludes that there may be some sense of dependence between God and abstract objects, that these abstract objects depend on God asymmetrically, and that they are the result of God’s intellective activity.

From the preceding overview we see that there exists a tension between the central notion of Traditional Theism, that God exists as the uncreated creator and that all objects existing beyond God have the source of their being in the creative activity of God, and the central notion of Platonism, that there exists a realm of abstract objects which are uncreated, and exist necessarily and eternally. Furthermore, we have seen that there exists a variety of proposals ranging from those that reject altogether the notion that these two distinctive worldviews are reconcilable, to those that would argue on behalf of their compatibility. (Freddosso, 1983)

6. References and Further Reading

a. Books

  • Aquinas, T. (1948). Summa Theologiae, trans. Fathers of the English Dominican Province. U.S.A: Christian Classics.
  • Brown, C. (1968). Philosophy and the Christian Faith. Illinois: Intervarsity Press.
    • Provides an examination of the historical interaction of philosophical thought and Christian theology.
  • Campbell, K. (1990). Abstract Particulars. Basil Blackwell Ltd.
    • Provides an in-depth analysis of Abstract Particulars.
  • Davies, B. (2004) An Introduction to the Philosophy of Religion (3rd ed.). New York: Oxford University Press.
    • An excellent introduction to the basic issues in Philosophy of Religion.
  • Gerson, L. P. (1990). Plotinus: The Arguments of the Philosophers. New York: Routledge.
    • Provides an analysis of the development of Platonic philosophy and its incorporation into Christian Theology.
  • Morris, T. (1989) Anselmian Explorations: Essays in Philosophical Theology. Notre Dame: University of Notre Dame Press.
  • Plantinga, A. (1980). Does God Have a Nature? Milwaukee, Wisconsin: Marquette University Press.
    • Discusses the relationship of God to abstract objects.
  • Plantinga, A. (2000). Warranted Christian Belief. New York: Oxford University Press.
    • Explores the intellectual validity of Christian faith.
  • Van Inwagen, P. (1993) Metaphysics. Westview Press.
    • An in-depth exploration of the dimensions of metaphysics.
  • Wolterstorff, N. (1970). On Universals: An Essay in Ontology. University of Chicago.
    • Explores the nature of Platonic thought, the tenets of Traditional Theism.

b. Articles

  • Bergman, M., Brower, J. E. (2006). “A Theistic Argument against Platonism.” Oxford Studies in Metaphysics, 2, 357-386.
    • Discusses the logical inconsistency between Theism and Platonism by virtue of the aseity dependence doctrine.
  • Brower, J. E. “Making Sense of Divine Simplicity.” Unpublished.
    • Presents an in-depth analysis of the nature of divine simplicity.
  • Freddoso, A. (1983). “Review of Plantinga’s ‘Does God Have a Nature?’.” Christian Scholars Review, 12, 78-83.
    • An excellent and helpful review of Plantinga’s most significant work.
  • Gould, P. (2010). “A Defense of Platonic Theism: Dissertation.” Purdue University West.
    • A defense of Platonic Theism, which seeks to remain faithful to the Theistic tradition.
  • Leftow, B. (1990). “Is God an Abstract Object?.” Nous, 24, 581-598.
    • Strives to demonstrate that the Identity Thesis follows from a basic Theistic belief.
  • Menzel, C. (2001). “God and Mathematical Objects.” Bradley, J., Howell, R. (Eds.). Mathematics in a Postmodern Age: A Christian Perspective. Eerdman’s.
  • Menzel, C. (1987). “Theism, Platonism, and the Metaphysics of Mathematics.” Faith and Philosophy, 4(4), 1-22.
  • Morris, T., Menzel, C. (1986). “Absolute Creation.” American philosophical quarterly, 23, 353-362.
    • Seeks to reconcile the divergent metaphysical perspectives utilizing the concept of Theistic Activism
  • Plantinga, A. (1982). “How to be an Anti-Realist.” Proceedings and Addresses of the American Philosophical Association, 56 (1), 47-70.
    • An insightful and helpful discussion of Plantinga’s rejection of contemporary anti-realism and unbridled realism.
  • Ross, J. (1989). “The Crash of Modal Metaphysics.” Review of Metaphysics, 43, 251-79.
    • Addresses Quantified Modal Logic as at one time promising for metaphysics.
  • Ross, J. (1983). Creation II. “In The Existence and Nature of God.” A. J. Freddoso, (Ed). Notre Dame: University of Notre Dame Press.
  • Van Inwagen, P. (2009). “God and Other Uncreated Things.” Timpe, K. (Ed). Metaphysics and God: Essays in Honor of Eleonore Stump, 3-20.
    • Addresses the question regarding whether there is anything other than himself that God has not created.
  • Van Inwagen, P. (1988). “A Theory of Properties.” Oxford Studies in Metaphysics, 1, 107-138.
    • Explores the rationality of belief in abstract objects in general and properties in particular.

 

Author Information

Eddy Carder
Email: efcarder@pvamu.edu
Prairie View A & M University
U. S. A.

Donald Davidson: Philosophy of Language

Donald Davidson (1917-2003) was one of the most influential analytic philosophers of language during the second half of the twentieth century and the first decade of the twenty-first century. An attraction of Davidson’s philosophy of language is the set of conceptual connections he draws between traditional questions about language and issues that arise in other fields of philosophy, including especially the philosophy of mind, action theory, epistemology, and metaphysics. This article addresses only his work on the philosophy of language, but one should bear in mind that this work is properly understood as part of a larger philosophical endeavor.

It is useful to think of Davidson’s project in the philosophy of language as cleaving into two parts. The first, which commences with his earliest publications in the field (Davidson 1965 and 1967), explores and defends his claim that a Tarski-style theory of truth for a language L, modified and supplemented in important ways, suffices to explain how the meanings of the sentences of a language L  depend upon the meanings of words of L, and thus models a significant part of the knowledge someone possesses when she understands L. In other words, Davidson claims that we can adapt a Tarski-style theory of truth to do duty for a theory of meaning. This claim, which is stronger and more complex than it appears at first reading, is examined in section 1.

The second part of Davidson’s work on language (in articles beginning with Davidson 1973 and 1974) addresses issues associated with constructing the sort of meaning theory he proposes in the first part of his project. A Davidsonian theory of meaning is an empirical theory that one constructs to interpret─that is, to describe, systematize, and explain─the linguistic behavior of speakers one encounters in the field or, simply, in line at the supermarket. Again, this problem turns out to be more complex and more interesting than it first appears. This set of issues is examined in section 2.

Table of Contents

  1. Davidson’s Theory of Meaning
    1. Constraints on a Theory of Meaning
      1. Compositionality
      2. No Meaning Entities
    2. Theories of Truth as Theories of Meaning
    3. Meaning and Truth
    4. Formal and Natural Languages
      1. Indexicals
      2. Indirect Discourse
  2. Davidson’s Theory of Interpretation
    1. Radical Translation
    2. Radical Interpretation
      1. Principles of Charity: Coherence
      2. Principles of Charity: Correspondence
    3. Language without Conventions
    4. Indeterminacy of Interpretation
    5. Meaning and Interpretation
  3. References and Further Reading
    1. Anthologies of Davidson’s Writings
    2. Individual Articles by Davidson
    3. Primary Works by other Authors
    4. Secondary Sources
      1. Anthologies
      2. Critical Discussions of Davidson’s Philosophy

1. Davidson’s Theory of Meaning

Davidson takes the notion of a theory of meaning as central, so it is important to be clear at the outset what he means by the term. Starting with what he does not mean, it is no part of his project to define the concept of meaning in the sense in which Socrates asks Euthyphro to define piety. Davidson writes that it is folly to try to define the concept of truth (Davidson, 1996), and the same holds for the closely related concept of meaning: both belong to a cluster of concepts so elementary that we should not expect there to be simpler or more basic concepts in terms of which they could be definitionally reduced. Nor does Davidson ask about meaning in such a way that we would expect his answer to take the form,

the meanings of a speaker’s words are such-and-suches.

Locke, who says that meanings of a speaker’s words are ideas in her mind, has a theory of meaning in this sense, as do contemporary philosophers of language who identify meanings with the contents of certain beliefs or intentions of the speaker.

Davidson, therefore, pursues neither a theory of what meaning is nor a theory of what meanings are. Rather, for Davidson a theory of meaning is a descriptive semantics that shows how to pair a speaker’s statements with their meanings, and it does this by displaying how semantical properties or values are distributed systematically over the expressions of her language; in short, it shows how to construct the meanings of a speaker’s sentences out of the meanings of their parts and how those parts are assembled. As a first approximation, one can think of a Davidsonian theory of meaning for the language L as a set of axioms that assign meanings to the lexical elements of the language and which, together with rules for constructing complex expressions of L, imply theorems of the form,

(M)  S means m,

for each sentence S of the language and m its meaning. If an observer of A’s linguistic behavior has such an “M-theorem” for each of his sentences, then she can explain and even make predictions about S‘s behavior; conversely, we can think of the M-theorems as expressing a body of linguistic knowledge that A possesses and which underwrites his linguistic competence.

a. Constraints on a Theory of Meaning

Much of the interest and originality of Davidson’s work on theories of meaning comes from his choice of Tarski-style theories of truth to serve as the model for theories of meaning. This choice is not obvious, though as early as 1935 Quine remarks that “in point of meaning… a word may be said to be determined to whatever extent the truth or falsehood of its contexts is determined” (Quine 1935, p. 89); it is not obvious since meaning is a richer concept than truth, for example, “snow is white” and “grass is green” agree in both being true, but they differ in meaning. As Davidson sees the matter, though, only theories of truth satisfy certain reasonable constraints on an adequate theory of meaning.

i. Compositionality

The first of these constraints is that a theory of meaning should be compositional. The motivation here is the observation that speakers are finitely endowed creatures, yet they can understand indefinitely many sentences; for example, you never before heard or read the first sentence of this article, but, presumably, you had no difficulty understanding it. To explain this phenomenon, Davidson reasons that language must possess some sort of recursive structure. (A structure is recursive if it is built up by repeatedly applying one of a set of procedures to a result of having applied one of those procedures, starting from one or more base elements.) For unless we can treat the meaning of every sentence of a language L  as the result of a speaker’s or interpreter’s performing a finite number of operations on a finite (though extendable) semantical base, L  will be unlearnable and uninterpretable: no matter how many sentences I master, there will always be others I do not understand. Conversely, if the meaning of each sentence is a product of the meanings of its parts together with the ways those parts are combined, then we can see “how an infinite aptitude can be encompassed by finite accomplishments” (Davidson 1965, p. 8). If every simple sentence of English results from applying a rule to a collection of lexical elements, for example, Combine a noun phrase and an intransitive verb (“Socrates” + “sits” ⇒ “Socrates sits”); and if every complex sentence results from applying a rule to sentences of English, such as Combine two sentences with a conjunction (“Socrates sits” + “Plato stands” ⇒ “Socrates sits and Plato stands”), then although human beings have finite cognitive capacities they can understand indefinitely many sentences. (“Socrates sits,” “Socrates sits and Plato stands,” “Socrates sits and Plato stands and Aristotle swims,” and so forth.)

This, then, gives us the requirement that a theory of meaning be compositional in the sense that it shows how the meanings of complex expressions are systematically “composed” from the meanings of simpler expressions together with a list of their modes of significant combination.

ii. No Meaning Entities

Davidson’s second adequacy constraint on a theory of meaning is that it avoid assigning objects (for example, ideas, universals, or intensions) to linguistic expressions as their meanings. In making this demand, Davidson does not stray into a theory of what meanings are; his point, rather, is that “the one thing meanings do not seem to do is oil the wheels of a theory of meaning… My objections to meanings in the theory of meaning is that… they have no demonstrated use” (Davidson 1967, p. 20).

To see this, consider that traditional logicians and grammarians divided a sentence into a subject term and a predicate term, for example, “Socrates sits” into the subject term “Socrates” and the predicate term “sits,” and assigned to the former as its meaning a certain object, the man Socrates, and to the latter a different sort of object, the universal Sitting, as its meaning. This leaves obscure, however, how the terms “Socrates” and “sits,” or the things Socrates and Sitting, combine to form a proposition, as opposed to, say, the terms “Socrates” and “Plato” (or the objects Socrates and Plato) which cannot combine to form a proposition. It also leaves obscure what role the copula “is” plays in sentences such as “Socrates is wise.” Does “is” refer to a third object that somehow “binds” Socrates to Wisdom? But how does this work? Or does “is” represent some relation? But what relation?

One might solve these difficulties faced by traditional accounts by assigning to different types of expressions different types of entities as their meanings, where these types differ in ways that make the entities amenable to combining in patterns that mirror the ways their corresponding expressions combine. If we read Frege as a Platonist, then his mature semantics is such a theory, since it divides expressions and their meanings, or Bedeutungen, into two types: “saturated” or “complete” expressions and meanings, and “unsaturated” or “incomplete” expressions and their meanings (see, for example, Frege, 1891). The proper noun “Annette” is an expression of the first type, and it means a particular object of the first type, the woman Annette; while the function expression “the father of ( )” belongs to the second type and means a certain nonspatiotemporal entity of the second type, namely, the function that maps objects to their fathers. (The open parentheses marks the argument place of the function expression, which is to be filled with a saturated expression such as “Annette,” and it lines up with a corresponding empty position in the function itself.) There is also the semantical rule that filling the parentheses of the expression, “the father of ( ),” yields a complete expression that means the father of whomever is meant by the saturated expression that fills the parentheses: Annette’s father if “Annette” fills the parentheses, Annette’s father’s father if “the father of Annette” fills the parentheses, and so forth. But now one has to ask, what is the point of our having said that the expression, “the father of ( )” means a certain entity? All the work is being done by the rule we have formulated, and none by the ontology.

There are other methodological considerations that lie behind Davidson’s hostility toward doing semantics by assigning objects and other sorts of entities to words as their meanings. People acquire a language by observing the situated behavior of other people, that is, by observing other people speaking about objects and occurrences in their shared environment; in turn, when they speak, what they mean by their words generally reflects the causes that prompt them to utter those words. These causes are usually mundane sorts of natural things and events, such as other people, grass, people mowing the grass, and the like. This picture of meaning is vague, but it suggests that the psychological achievement of understanding or being able to produce a sentence like “grass is green” rests on the same (or very nearly the same) natural abilities as knowing that grass is green; and it suggests to Davidson that theories of meaning should eschew the esoteric objects and relations that many contemporary philosophies of language presuppose, such as intensions, possible worlds, transworld identity relations, and so forth. By avoiding such things, Davidson positions theories of meaning more closely to the epistemology of linguistic understanding, in the sense of an account of the way that a speaker’s actions and other events are evidence for an interpreter’s attributing meaning to the speaker’s words.

b. Theories of Truth as Theories of Meaning

To begin to see what a Davidsonian theory of meaning looks like, recall schema M,

(M)  S means m,

where sentence S belongs to language L and m is its meaning. Recasting this in a more instructive version,

(M′)  S means that p,

we replace “m” in schema M by the schematic variable “p” in schema M′. In the latter, the schema is filled out by replacing “p” with a sentence in the interpreter’s background or metalanguage that translates the target or object language sentence S. For example, a theory of meaning for German constructed by an English-speaking interpreter might include as an instance of schema M′ the theorem,

“Schnee ist weiss” means that snow is white,

where “Schnee ist weiss” replaces “S” and “snow is white” replaces “p.

Now, schema M′ is more instructive than its predecessor because while the “m” in schema M names an object that S means – in violation of Davidson’s second constraint – the expression “p” holds the place for a sentence (for example, “snow is white”) that the interpreter uses to “track” the meaning of S (“Schnee ist weiss”) without reifying that meaning, that is, without treating that meaning as an object. The sentence that replaces “p” tracks the meaning of S in the sense that schema M′ correlates S (again, “Schnee ist weiss”) with the extra-linguistic condition that p (that snow is white) which the interpreter describes using her own sentence (“snow is white.”)

Schema M′ points the way forward, but we are not there yet. Davidson is not really interested in constructing theories of meaning in the sense of filling out schema M′ for every sentence of German or Urdu; rather, he theorizes about constructing theories of meaning to gain insight into the concept of meaning. And in this regard, schema M′ comes up short: it relies on the relation “means that” which is essentially synonymy across languages, which is as much in need of explication as meaning itself. What Davidson is really interested in is giving an explication, in Carnap’s sense (Carnap 1947, pp. 7-8), of an obscure explanandum, meaning, using a clear and exact explanans, and he finds his explanans in Tarski’s semantic theory of truth.

The semantic theory of truth is not a metaphysical theory of truth in the way that the correspondence theory of truth is. That is, the semantic theory of truth does not tell us what truth is, rather, it defines a predicate that applies to all and only the true sentences of a specified language (technically, true-in-L) by showing how the truth-conditions of a sentence of the language depend on the sentence’s internal structure and certain properties of its parts. This should sound familiar: roughly, the semantic theory of truth does for truth what Davidson wishes to do for meaning. Therefore, Davidson replaces schema M′ with Tarski’s schema T:

(T)  S is true if and only if p.

Schema T sits at the center of Tarski’s project. A formally adequate (that is, internally consistent) definition of truth for a language L is, in addition, materially adequate if it applies to all and only the true sentences of L; Tarski shows that an axiomatic theory θ meets this condition if it satisfies what he calls Convention T, which requires that θ entail for each sentence S of L  an instance of schema T. The idea is that the axioms of θ supply both interpretations for the parts of S, for example,

(A.i) “Schnee” means snow,

and

(A.ii)  an object a satisfies the German expression “x ist weiss” if and only if a is white,

and rules for forming complex German expressions from simpler ones, such as that

(A.iii)  “Schnee” + “x ist weiss” ⇒ “Schnee ist weiss,”

Together these axioms imply instances of schema T, for example,

“Schnee ist weiss” is true if and only if snow is white.

More precisely, an internally consistent theory of truth θ for a language L meets Convention T if it implies for each S of L an instance of schema T in which “p” is replaced by a sentence from the metalanguage that translates S. Clearly, such a theory will “get it right” in the sense that the T-sentences (that is, the instances of schema T) that θ implies do state truth conditions for the sentences of the object language.

Now, Davidson’s claim is not that a Tarski-style theory of truth in itself is a theory of meaning; in particular, he remarks that a T-sentence cannot be equated with a statement of a sentence’s meaning. At best, a Tarski-style theory of truth is a part of a theory of meaning, with additional resources being brought into play.

c. Meaning and Truth

Notice that Tarski’s Convention T employs the notion of translation, or synonymy across languages, and so a Tarski-style theory of truth cannot, as it stands, supply the explanans Davidson seeks. The underlying point, which Davidson acknowledges “only gradually dawned on me” (1984, p. xiv), is that Tarski analyzes the concept of truth in terms of the concept of meaning (or synonymy), while Davidson’s project depends on making the opposite move: he explains the notion of meaning in terms of truth.

Davidson, therefore, dispenses with translation and rewrites Convention T to require that

an acceptable theory of truth must entail, for every sentence s of the object language, a sentence of the form: s is true if and only if p, where “p” is replaced by any sentence that is true if and only if s is. Given this formulation, the theory is tested by the evidence that T-sentences are simply true; we have given up the idea that we must also tell whether what replaces ‘p’ translates s. (Davidson 1973, p. 134)

Thus, where Tarski requires that “p” translate S, Davidson substitutes the much weaker criterion that the T-sentences “are simply true.”

But Davidson’s weakened Convention T is open to the following objection. Suppose there is a theory of truth for German, θ1, that entails the T-sentence,

(T1)  “Schnee ist weiss” is true if and only if snow is white.

Suppose, further, that there is a second theory of truth for German, θ2, that is just like θ1 except that in place of (T1) it entails the T-sentence,

(T2)  “Schnee ist weiss” is true if and only if grass is green.

A theory of truth that entails (T2) is clearly false, but θ1 satisfies Davidson’s revised Convention T if and only if θ2 also satisfies it.

Here is why. The sentences “snow is white” and “grass is green” both happen to be true, and hence the two sentences are materially equivalent, that is,

Snow is white if and only if grass is green.

(Sentences are materially equivalent if they contingently have the same truth-value; sentences are logically equivalent if they necessarily have the same truth-value.) But since they are materially equivalent, it turns out that:

(T1) is true if and only if (T2 ) is true.

Therefore, all the T-sentences of θ1 are true if and only if all the T-sentences of θ2 are true, and thus θ1 satisfies Davidson’s revised Convention T if and only if θ2 does. The root of this problem is that when it comes to distinguishing between sentences, truth is too coarse a filter to distinguish between materially equivalent sentences with different meanings.

Davidson has a number of responses to this objection (in Davidson 1975). He points out that someone who knows that θ is a materially adequate theory of truth for a language L  knows more than that its T-sentences are true. She knows the axioms of θ, which assign meaning to the lexical elements of L, the words and simple expressions out of which complex expressions and whole sentences are composed; and she knows that these axioms imply the T-sentence correlations between object language sentences (“Schnee ist weiss”) and their interpreting conditions (that snow is white). Thus, someone who knows that θ is a materially adequate theory of truth for a language L   knows a systematic procedure for assigning to the sentences of L   their truth-conditions, making one’s grasp of a theory of truth-cum-meaning a holistic affair: knowing the T-sentence for any one object language sentence is tied to knowing the T-sentences for many object language sentences. (For example, knowing that “‘Schnee ist die Farbe der Wolken” is true if and only if snow is the color of clouds, and that “Schnee ist weiss” is true if and only if snow is white, is tied to knowing that “Wolken sind weiss” is true if and only if clouds are white.) In this way, although Davidson’s version of Convention T — stated in terms of truth rather than translation — does not prima facie filter out theories like θ2, such theories will raise red flags as deviant assignments (such as grass to “Schnee”) ramify through the language and interpreters consider the evidence of speakers pointing to snow and uttering, “Das ist Schnee!”

It matters, too, that the T-sentences of a Davidsonian theory of truth-cum-meaning are laws of an empirical theory and not mere accidental generalizations. The important difference here is that as empirical laws and not simple statements of chance correlations, T-sentences support counterfactual inferences: just as it is true that a certain rock would have fallen at 32 ft/sec2 if it had been dropped, even if it was not, it is also true that a German speaker’s utterance of “Schnee ist weiss” would be true if and only if snow is white, even in a world where snow is not white. (But in a world where grass is green, and snow is not white, it is not the case that a German speaker’s utterance of “Schnee ist weiss” would be true if and only if grass is green.)

This means that there is a logically “tighter” connection between the left- and right-hand sides of the T-sentences of materially adequate theories. This logically “tighter” connection underwrites the role that T-sentences have in constructing explanations of speakers’ behavior and, in turn, is a product of the nature of the evidence interpreters employ in constructing Davidsonian theories of truth-cum-meaning. An interpreter witnesses German speakers uttering “Schnee ist weiss!” while indicating freshly fallen snow; the interpreter singles out snow’s being white as the salient feature of the speaker’s environment; and she infers that snow’s being white causes him to hold the sentence, ‘Schnee ist weiss!,” true. Thus, the connection between snow’s being white and the T-sentence is more than a chance correlation, and this gets expressed by there being something stronger than an extensional relation between a statement of the evidence and the theory.

This has often been taken to be a fatal concession, inasmuch as Davidson is understood to be committed to giving an extensional account of the knowledge someone possesses when she understands a language. However, Davidson denies that he is committed to giving an extensional account of an interpreter’s knowledge; all he is after is formulating the theory of truth-cum-meaning itself in extensional terms, and he allows that ancillary knowledge about that theory may involve concepts or relations that cannot be expressed in extensionalist terms. Thus, it is not an objection to his project that an interpreter’s background logic, for example, in her understanding of her own theory, should involve appeal to intensional notions.

d. Formal and Natural Languages

Tarski restricts his attention to investigating the semantical properties of formal languages, whereas Davidson’s interest lies in the investigation of natural languages. Formal languages are well-behaved mathematical objects whose structures can be exactly and exhaustively described in purely syntactical terms, while natural languages are anything but well-behaved. They are plastic and subject to ambiguity, and they contain myriad linguistic forms that resist, to one degree or another, incorporation into a theory of truth via the methods available to the logical semanticist. Davidson has written on the problems posed by several of these linguistic forms (in Davidson 1967a, 1968, 1978, and 1979) including indexicals, adverbial modifiers, indirect discourse, metaphor, mood, and the propositional attitudes.

i. Indexicals

It is instructive to see how Davidson handles indexicals. The key insight here is that truth is properly a property of the situated production of a sentence token by a speaker at a certain time, that is, it is a property of an utterance, not a sentence. We define, therefore, an utterance to be an ordered triple consisting of a sentence token, a time, and a speaker. Truth is thus a property of such a triple, and in constructing a Tarski-style theory of truth for a language L the goal is to have it entail T-theorems such as:

“Das ist weiss” is true when spoken by x at t if and only if the object indicated by x at t is white.

This T-theorem captures two distinct indexical elements. First, the German pronoun “das” refers to the object the speaker indicates when she makes her utterance; we model its contribution to the utterance’s truth-condition by explicitly referring on the right side of the T-theorem to that object. Second, the German verb “ist” is conjugated in the present indicative tense and refers to the time the speaker performs her utterance. We represent this indexical feature by repeating the time variable “t” on both sides of the T-theorem. Not all sentences contain indexicals (“that,” “she,” “he,” “it”, “I,” “here,” “now,” “today,” and so forth, but unless it is formulated in the so-called “eternal present” (for example, “5 plus 7 is twelve”), every sentence contains an indexical element in the tense of the sentence’s main verb.

ii. Indirect Discourse

The philosophy of language is thick with proposals for treating the anomalous behavior of linguistic contexts involving intensional idioms, including especially indirect discourse and propositional attitude constructions. In such contexts, familiar substitution patterns fail; for example, it is true that

(1)  The Earth moves,

and that

(2)  The Earth = the planet on which D.D. was born in 1917.

By the Principle of Extensionality,

Co-referring terms can be exchanged without affecting the truth-value of contexts in which those terms occur,

we can infer that

The planet on which D.D. was born in 1917 moves.

However, if we report that Galileo said that (1), that is,

(3)  Galileo said that the Earth moves,

we are blocked from making the substitution,

(4)  Galileo said that the planet on which D.D. was born in 1917 moves,

for surely Galileo did not say that, since he died nearly three hundred years before D.D. was born. (2) and (3) are true, while (4) is false; hence (2) and (3) do not entail (4), and the Principle of Extensionality fails for “says that” contexts.

Davidson’s solution to this problem is as ingenious as it is controversial, for it comes at the price of some grammatical novelty. He argues that the word “that” that occurs in (3) is a demonstrative pronoun and not, as grammar books tell us, a relative pronoun; the direct object of “said” is this demonstrative, and not the subordinate noun clause “that the Earth moves.” In fact, under analysis this noun clause disappears and becomes two separate expressions: the demonstrative “that,” which completes the open sentence “Galileo said x,” and the grammatically independent sentence “The Earth moves.” This new sentence is the demonstrative’s referent; or, rather, its referent is the speaker’s utterance of the sentence, “The Earth moves,” which follows her utterance of the sentence “Galileo said that.” Thus Davidson proposes that from a logical point of view, (3) is composed of two separate utterances:

(5)  Galileo said that. The Earth moves.

In other words, the grammatical connection between “The Earth moves” and “Galileo said that” is severed and replaced by the same relationship that connects snow and my pointing to snow and saying “That is white.”

More properly, (5) should be:

(6)  Galileo said something that meant the same as my next utterance. The Earth moves.

This qualification is needed, since the utterance to which “that” refers in (5) is my utterance of a sentence in my language, which I use to report an utterance Galileo made in his language. As Davidson sometimes puts it, Galileo and I are samesayers: what he and I mean, when he performs his utterance and I perform mine, is the same. Finally, a careful semantical analysis of (6) should look something like this:

(7)  There exists some utterance x performed by Galileo, and x means the same in Galileo’s idiolect as my next utterance means in mine. The Earth moves.

Now in my utterance, “the Earth” can be exchanged for “the planet on which D.D. was born in 1917” because as I use them both expressions refer to the same object, namely, the Earth. Thus, the Principle of Extensionality is preserved.

Davidson proposes that this account can be extended to treat other opaque constructions in the object language, such as the propositional attitudes (Davidson 1975) and entailment relations (Davidson 1976). Looking at the former, the idea is that by analogy with (3), (5), and (6),

(8)  Galileo believed that the Earth moves,

should be glossed as

(9)  Galileo believed that. The Earth moves,

or, better,

(10)  Galileo believed something that had the same content meant as my next utterance. The Earth moves.

A question, then, is what is this something that Galileo believed? In the analysis of indirect discourse, my sentence (“The Earth moves”) tracks an actual utterance of Galileo’s (“Si muove”), but Galileo had many beliefs he never expressed verbally; so it cannot be an utterance of Galileo’s. Alternatively, one might treat thoughts as inner mental representations and belief as a relation between thinkers and thoughts so conceived; then what has the same content as my utterance of my sentence, “The Earth moves,” is Galileo’s mental representation in his language of thought. However, Davidson argues elsewhere (Davidson 1989) that believing is not a relation between thinker and mental objects; this point is important to the position he stakes out in the internalism/externalism debate in the philosophy of mind.

Instead, Davidson proposes (in Davidson 1975) that (3) is to (6) as (8) is to:

(11)  Galileo would be honestly speaking his mind were he to say something that had the same content as my next utterance. The Earth moves.

Galileo never actually said something that means the same as my sentence, “The Earth moves,” but had he spoken his mind about the matter, he would have. (Historically, of course, Galileo did say such a thing, but let us suppose that he did not.) This analysis, however, imports a counterfactual condition into the T-sentences of an interpreter’s theory for Galileo’s words and thoughts, which Davidson wants to avoid. Finally, in the same article Davidson seems to suggest that we treat Galileo’s thought more directly as a “belief state,” which might be glossed as:

(12)  Galileo was in some belief state that had the same content meant as my next utterance. The Earth moves.

Intuitively, this seems right: what I track with my utterance is precisely the content of Galileo’s belief. This leaves open, however, what “belief states” are such that they can be quantified over (as in (10)) and have contents that can be tracked by utterances. This, though, is a problem for the philosophy of mind rather than the philosophy of language, and there is no reason to suppose that it affects Davidson’s proposal more than other accounts of the semantics of the propositional attitudes.

2. Davidson’s Theory of Interpretation

Consideration of the exigencies of interpreting a person’s speech behavior yields additional constraints on theories of truth-cum-meaning, and it also provides deep insights into the nature of language and meaning. Davidson examines interpretation and the construction of theories of meaning by drawing extensively on the work of his mentor, W. V. Quine.

a. Radical Translation

In Quine’s famous thought experiment of radical translation, we imagine a “field linguist” who observes the verbal behavior of speakers of a foreign language, and we reflect on her task of constructing a translation manual that maps the speakers’ language onto her own. The translation task is radical in the sense that Quine assumes she has no prior knowledge whatsoever of the speakers’ language or its relation to her home language. Hence her only evidence for constructing and testing her translation manual are her observations of the speakers’ behavior and their relation to their environment.

The linguist’s entering wedge into a foreign language are those of the speakers’ utterances that seem to bear directly on conspicuous features of the situation she shares with her subject. Taking Quine’s well-known example, suppose a rabbit scurries within the field of view of both the linguist and an alien speaker, who then utters, “Gavagai!” With this as her initial evidence, the linguist sifts through the features of the complex situation that embeds his speech behavior; she reasons that were she in the subject’s position of seeing a rabbit, she would be disposed to assert, “Lo, a rabbit!” Supposing, then, that the alien speaker’s verbal dispositions relate to his environment as her verbal disposition are related to her own, she tentatively translates “Gavagai!” with her own sentence, “Lo, a rabbit!”

b. Radical Interpretation

Taking his inspiration from Quine, Davidson holds that a radical interpreter thus begins with observations such as:

(13)  A belongs to a community of speakers of a common language, call it K, and he holds “Gavagai!” true on Saturday at noon, and there is a rabbit visible to A on Saturday at noon,

and eliciting additional evidence from observing K-speakers’ situated verbal behavior, she infers that

(14)  If x is a K-speaker, then x holds “Gavagai!” true at t if and only if there is a rabbit visible to x at t.

This inference is subject to the vagaries that attend empirical research, but having gathered an adequate sample of instances of K-speakers holding “Gavagai” true when and only when rabbits cross their paths, she takes (14) to be confirmed. In turn, then, she takes (14) as support that (partly) confirms the following T-sentence of a Tarski-style truth theory for K:

(15)  “Gavagai!” is true when spoken by x at t if and only there is a rabbit visible to x at t.

Note that in reconstructing the language K, Davidson’s linguist does not mention sentences of her home language. Of course, she uses her own sentences in making these assignments, but her sentences are directed upon extra-linguistic reality. Thus, unlike a Quinean radical translator, who does mention sentences of his home language, a Davidsonian radical interpreter adopts a semantical stance: she relates speakers’ sentences to the world by assigning them objective truth conditions describing extra-linguistic situations and objects. It is in this sense that a Davidsonian linguist is an interpreter, and Davidson calls the project undertaken by his linguist the construction of a theory of interpretation.

i. Principles of Charity: Coherence

Like any empirical scientist, a Davidsonian radical interpreter relies on methodological assumptions she makes to move from her observations (13) to her intermediate conclusions (14) and to the final form of her theory (15). Davidson identifies as the radical interpreter’s two most important methodological assumptions the Principle of (Logical) Coherence and the Principle of Correspondence. Taken together these canons of interpretation are known, somewhat misleadingly, as the Principle(s) of Charity.

Since a Davidsonian theory of interpretation is modeled on a Tarski-style theory of truth, one of the first steps an interpreter takes is to look for a coherent structure in the sentences of alien speakers. She does this by assuming that a speaker’s behavior satisfies strong, normative constraints, namely, that he reasons in accordance with logical laws. Making this assumption, she can diagram the logical patterns in speakers’ verbal behavior and leverage evidence she gleans from her observations into a detailed picture of the internal structure of his language.

Assuming that a speaker reasons in accordance with logical laws is neither an empirical hypothesis about a subject’s intellectual capacities nor an expression of the interpreter’s goodwill toward her subject. Satisfying the norms of rationality is a condition on speaking a language and having thoughts, and hence failing to locate sufficient consistency in someone’s behavior means there is nothing to interpret. The assumption that someone is rational is a foundation on which the project of interpreting his utterances rests.

ii. Principles of Charity: Correspondence

The problem the radical interpreter faces is that by hypothesis she does not know what a speaker’s sentences mean, and neither does she have direct access to the contents of his propositional attitudes, such as his beliefs or desires. Both of these factors bear on making sense of his verbal behavior, however, for which sentences a speaker puts forward as true depends simultaneously on the meanings of those sentences and on his beliefs. For example, a K-speaker utters “Gavagai!” only if (α) the sentence is true if and only if a rabbit presents itself to him, and (β) he believes that a rabbit presents itself to him.

A speaker’s holding a sentence true is thus (as Davidson put it) a “vector of two forces” (Davidson 1974a, p. 196), what meanings his words have and what he believes about the world. The interpreter thus faces the problem of too many unknowns, which she solves by performing her own thought experiment: she projects herself into her subject’s shoes and assumes that he does or would believe what she, were she in his position, would believe. This solves the problem of her not knowing what the speaker believes since she knows what she would believe were she in his situation, and hence she knows what her subject does believe if he believes what she thinks he ought to believe. The Principle of Correspondence is the methodological injunction that an interpreter affirm the if-clause.

The Principle of Correspondence applies especially to speakers’ observation sentences, for example, there goes a rabbit! These are the points of immediate causal contact between the world shared by speakers and interpreters, on the one hand, and the utterances and attitudes of speakers, on the other. Where there is greater distance between cause (features of the speaker’s situation) and effect (which sentences the speaker puts forward as true), there are extra degrees of freedom in explaining how the speaker might reasonably hold true something that the interpreter believes is false.

Davidson sometimes formulates the Principle of Correspondence in terms of the interpreter’s maximizing agreement between her and the speakers she interprets, but this is misleading. An interpreter needs to fill out the contents of the speaker’s attitudes if her project is to move forward; and she does this by attributing to him those beliefs that allow her to tell the most coherent story about what he believes. Thus, she routes attributions of beliefs to the speaker through what she knows about his beliefs and values. An interpreter will still export to her subject a great deal of her own world view, but if there are grounds for attributing to him certain beliefs that she takes to be false, then she does so if what she knows about him makes it more reasonable than not. She thus makes use of whatever she knows about the speaker’s personal history and psychology.

c. Language without Conventions

Davidson typically presents radical interpretation as targeting a community’s language, but in his more careful statements he argues that the focus of interpretation is the speech behavior of a single individual over a given stretch of time (Davidson 1986). One reason for this is that Davidson denies that conventions shared by members of a linguistic community play any philosophically interesting role in an account of meaning. Shared conventions facilitate communication, but they are in principle dispensible. For so long as an audience discerns the intention behind a speaker’s utterance, for example, he intends that his utterance of “Schnee ist weiss” mean that snow is white, then his utterance means that snow is white, regardless of whether he and they share the practice that speakers use “Schnee ist weiss” to mean that snow is white. This point is implicit in the project of radical interpretation.

This implies, according to Davidson, that what we ordinarily think of as a single natural language, such as German or Urdu, is like a smooth curve drawn through the idiolects of different speakers. It also underwrites Davidson’s claim that “interpretation is domestic as well as foreign” (Davidson 1973, p. 125), that is, there is no essential difference between understanding the words spoken by radically alien speakers and our familiars; there is only the practical difference that one has more and better information about the linguistic behavior and propositional attitudes of those with whom one has more contact.

d. Indeterminacy of Interpretation

Davidson, following Quine, argues that although the methodology of radical interpretation (or translation, for Quine) winnows the field of admissible candidates, it does not identify a unique theory that best satisfies its criteria. At the end of the day there will be competing theories that are mutually inconsistent but which do equally well in making sense of a speaker’s utterance, and in this sense interpretation (and translation) is indeterminate.

Quine draws from this the skeptical conclusion that there is “no fact of the matter” when it comes to saying what speakers or their words mean. Davidson stops short of Quine’s skepticism, and he draws a different moral from the indeterminacy arguments. (In this section we emphasize Davidson’s agreements with Quine, in the following his disagreement.)

Here is how indeterminacy infects the task of the radical translator. She begins with a speaker’s situated observation sentences, and she finds her first success in correlating a sentence SH of her home language with a sentence SO of her subject’s language. She hypothesizes that SH and SO are synonymous, and this is her wedge into the speaker’s language. Next, the translator makes hypotheses about how to segment the speaker’s observation sentences into words (or morphemes) and about how to line these up with words of her own language. For example, she may identify the initial vocable of “Gavagai!,” “ga,” with the demonstrative “there” in her home language, and “gai” with the common noun “rabbit.” This permits her to puzzle out the translation of nonobservation sentences that share some of their parts with observation sentences. (In the Davidsonian version, these correlations take the form of interpretations rather than translations, but the point is the same.)

These additional hypotheses are essential to her project, but they are not backed by any direct behavioral evidence. They are confirmed just so long as the translations or interpretations they warrant are consistent with the linguist’s evidence for her evolving theory; however, that evidence has the form of information about the translation or interpretation of complete sentences. Indeterminacy arrives on the scene, then, because different sets of hypotheses and the translations or interpretations they imply do equally well in making sense of a speaker’s sentences, even though they assign different translations or interpretations to the parts of those sentences.

Indeterminacy, however, also infects the translation and interpretation of complete sentences. This is because the evidence for a translation manual or theory of interpretation does not, in fact, come at the level of sentences. The radical translator or interpreter does not test her translations or T-sentences one-by-one; rather, what goes before the tribunal of evidence is a complete translation manual or theory of interpretation for the entire language (Quine 1953). This means that in the case of sentences, too, there is slack between evidence and a translation or interpretation as the linguist may vary the translation or interpretation of a given sentence by making complementary changes elsewhere in her translation manual or theory of interpretation. Thus the interpretation of sentences as well as terms is indeterminate.

e. Meaning and Interpretation

Davidson’s response to the indeterminacy arguments is at the same time more modest and more ambitious than Quine’s. It is more modest because Davidson does not endorse the skeptical conclusion that Quine draws from the arguments that since there are no determinate meanings, there are no meanings. This reasoning is congenial to Quine’s parsimony and his behaviorism: all there is, according to Quine, are speaker’s behavior and dispositions to behave and whatever can be constructed from or explained in terms of that behavior and those dispositions.

It is more ambitious than Quine’s response insofar as Davidson offers in place of Quine’s skepticism what Hume would call a skeptical solution to the indeterminacy problem. That is, while acknowledging the validity of Quine’s argument that there are no meanings, he undertakes to reconceive the concept of meaning that figures as a premise in that reasoning (as Hume reconceives the concept of causation that figures in his skeptical arguments). There are no determinate meanings, therefore, meaning is not determinate. In place of the traditional picture of meanings as semantical quanta that speakers associate with their verbal expressions, Davidson argues that meaning is the invariant structure that is common to the competing interpretations of speakers’ behavior (Davidson 1999, p. 81). That there is such a structure is implied by holism: in assigning a certain meaning to a single utterance, an interpreter has already chosen one of a number of competing theories to interpret a speaker’s over-all language. Choosing that theory, in turn, presupposes that she has identified in the speaker’s utterances a pattern or structure she takes that theory to describe at least as well as any other. Herein lies the Indeterminacy of Interpretation, for that theory does only at least as well as any other. There is, therefore, no more an objective basis for choosing one theory of meaning over another than there is for preferring the Fahrenheit to the Celsius scale for temperature ascriptions.

This conclusion, however, has no skeptical implications, for by assumption each theory does equally well at describing the same structure. Whether there is a “fact of the matter” when it comes to saying what speakers or their sentences mean, therefore, becomes the question whether there are objective grounds for saying that that structure exists. That structure is a property of a system of events, and hence the grounds for saying that it exists are the criteria for attributing those properties to those events; the skeptical conclusion would follow, therefore, only if there were no such criteria. The argument for the Indeterminacy of Interpretation does not prove that, however. On the contrary, the methodology of radical interpretation provides a framework for attributing patterns of properties to speakers and their utterances.

As Davidson reconceives it, therefore, understanding a person’s sentences involves discerning patterns in his situated actions, but no discrete “meanings.” An interpreter makes sense of her interlocutor by treating him as a rational agent and reflecting on the contents of her own propositional attitudes, and she tracks what his sentences mean with her own sentences. This project may fail in practice, especially where the interpretation is genuinely radical and there is moral as well as linguistic distance separating an interpreter and a speaker; but in principle there is no linguistic behavior that cannot be interpreted, that is, understood, by another. If an interpreter can discern a pattern in a creature’s situated linguistic behavior, then she can make sense of his words; alternatively, if she cannot interpret his utterances, then she has no grounds for attributing meaning to the sounds he produces nor evidence to support the hypothesis that he is a rational agent. These observations are not a statement of linguistic imperialism; rather, they are implications of the methodology of interpretation and the role that Tarski-style theories of truth-cum-meaning play in the enterprise. Meaning is essentially intersubjective.

Further, meaning is objective in the sense that most of what speakers say about the world is true of the world. Some critics object that this statement rests on an optimistic assessment of human capacities for judgment; however, Davidson’s point is not an empirical claim that could turn out to be mistaken. Rather, it is a statement of the methodology of radical interpretation, an assumption an interpreter makes to gain access to her subject’s language. Her only path into his language is by way of the world they share since she makes sense of his sentences by discerning patterns in the relations between those sentences and the objects and events in the world that cause him to hold those sentences true. If too many of his utterances are false, then the link between what he says and thinks, on the one hand, and the world, on the other, is severed; and the enterprise of interpretation halts. Finding too much unexplainable error in his statements about the world, therefore, is not an option, if she is going to interpret him.

3. References and Further Reading

a. Anthologies of Davidson’s Writings

  • Davidson, Donald. 1984. Inquiries into Truth and Interpretation. New York: Oxford University Press. [Cited as ITI]
  • Davidson, Donald. 2001. Essays on Actions and Events. Oxford University Press. [Cited as EAE]
  • Davidson, Donald. 2001. Subjective, Intersubjective, Objective. New York: Oxford University Press. [Cited as SIO]
  • Davidson, Donald. 2005. Truth, Language, and History. New York: Oxford University Press. [Cited as TLH]
  • Davidson, Donald. 2005A. Truth and Predication. Boston: Harvard University Press.
    • Contains the texts of Davidson’s 1989 Dewey Lectures (given at Columbia University) on the concept of truth together with his 2001 Hermes Lectures (given at the University of Perugia). The first half is useful in understanding the role truth plays in his systematic philosophy, and the second half contains Davidson’s interesting criticisms of his predecessors, ranging from Plato to Quine.

b. Individual Articles by Davidson

  • Davidson, Donald. 1965. “Theories of Meaning and Learnable Languages,” reprinted in ITI.
  • Davidson, Donald. 1967. “Truth and Meaning,” reprinted in ITI.
  • Davidson, Donald. 1967a. “The Logical Form of Action Sentences,” reprinted in EAE.
  • Davidson, Donald. 1968. “On Saying That,” reprinted in ITI.
  • Davidson, Donald. 1973. “Radical Interpretation,” reprinted in ITI.
  • Davidson, Donald. 1974. “Belief and the Basis of Meaning,” reprinted in ITI.
  • Davidson, Donald. 1974a. “On the Very Idea of a Conceptual Scheme,” reprinted in ITI.
  • Davidson, Donald. 1975. “Thought and Talk,” reprinted in ITI.
  • Davidson, Donald. 1976. “Reply to Foster,” reprinted in ITI.
  • Davidson, Donald. 1978. “What Metaphors Mean,” reprinted in ITI.
  • Davidson, Donald. 1986. “A Nice Derangement of Epitaphs,” reprinted in TLH.
  • Davidson, Donald. 1989. “What is Present to the Mind?”, reprinted in SIO.
  • Davidson, Donald. 1996. “The Folly of Trying to Define Truth,” reprinted in TLH.
  • Davidson, Donald. 1999. “Reply to W.V. Quine,” printed in Hahn 1999.

c. Primary Works by other Authors

  • Carnap, Rudolf. 1947., Meaning and Necessity, 2nd ed. Chicago: University of Chicago Press.
  • Frege, Gottlob. 1891. “Funktion und Begriff,” translated as “Function and Concept” and reprinted in Brian McGuinness et al. (eds.), Collected Papers on Mathematics, Logic, and Philosophy, 1984. New York: Basil Blackwell.
  • Quine, W.V. 1935. “Truth by Convention,” reprinted in The Ways of Paradox, 1976. Cambridge, MA: Harvard University Press.

d. Secondary Sources

i. Anthologies

  • De Caro, Marion. 1999. Interpretations and Causes: New Perspectives on Donald Davidson’s Philosophy. Dordrecht: Kluwer Academic Publishers.
    • Articles by an internationally diverse range of authors focusing on the interplay between the notions of interpretation and causation in Davidson’s philosophy.
  • Dasenbrock, Reed Way. 1993. Literary Theory After Davidson. University Park: Penn State Press.
    • Articles addressing the significance of Davidson’s philosophy of language for literary theory.
  • Hahn, Edwin Lewis. 1999. The Philosophy of Donald Davidson. The Library of Living Philosophers, volume XXVII. Peru, IL: Open Court Publishing Company.
    • A useful collection of articles, including Davidson’s intellectual autobiography and his replies to authors.
  • Kotatko, Petr, Pagin, Peter and Segal, Gabriel. 2001. Interpreting Davidson. Stanford, CA: Center for the Study of Language and Information Publications.
  • Lepore, Ernest. 1986. Truth and Interpretation: Perspectives on the Philosophy of Donald Davidson. Oxford: Basil Blackwell.
    • An excellent collection of articles addressing a range of topics in Davidson’s philosophy of language.
  • Stoecker, Ralf. 1993. Reflecting Davidson: Donald Davidson Responding to an International Forum of Philosophers. Berlin: de Gruyter.

ii. Critical Discussions of Davidson’s Philosophy

  • Evnine, Simon. 1991. Donald Davidson. Stanford, CA: Stanford University Press.
  • Joseph, Marc. 2004. Donald Davidson. Montreal: McGill-Queens University Press.
  • Lepore, Ernest, and Ludwig, Kirk. 2005. Davidson: Meaning, Truth, Language, and Reality. New York: Oxford University Press.
  • Lepore, Ernest, and Ludwig, Kirk. 2009. Donald Davidson’s Truth-Theoretic Semantics. New York: Oxford University Press.
    • A detailed and technical examination of Davidson’s use of Tarski-style theories of truth in his semantical project.
  • Ramberg, Bjørn. 1989. Donald Davidson’s Philosophy of Language. Oxford: Basil Blackwell.

Author Information

Marc A. Joseph
Email: majoseph@mills.edu
Mills College
U. S. A.

Immanuel Kant: Philosophy of Religion

kant2Immanuel Kant (1724-1804) focused on elements of the philosophy of religion for about half a century─from the mid-1750s, when he started teaching philosophy, until after his retirement from academia.  Having been reared in a distinctively religious environment, he remained concerned about the place of religious belief in human thought and action.  As he moved towards the development of his own original philosophical system in his pre-critical period through the years in which he was writing each Critique and subsequent works all the way to the incomplete, fragmentary Opus Postumum of his old age, his attention to religious faith was an enduring theme.  His discussions of God and religion represent a measure of the evolution of his philosophical worldview.  This began with his pre-critical advocacy of the rationalism in which he was educated.  Then this got subjected to the systematic critique that would open the doors to his own unique critical treatment.  Finally, at the end of his life, he seemed to experiment with a more radical approach.  As we follow the trajectory of this development, we see Kant moving from confidently advocating a demonstrative argument for the God of metaphysics to denying all theoretical knowledge of a theological sort, to affirming a moral argument establishing religious belief as rational, to suspicions regarding religion divorced from morality, and finally to hints of an idea of God so identified with moral duty as to be immanent rather than transcendent.  The key text representing the revolutionary move from his pre-critical, rationalistic Christian orthodoxy to his critical position (that could later lead to those suggestions of heterodox religious belief) is his seminal Critique of Pure Reason.  In the preface to its second edition, in one of the most famous sentences he ever wrote, he sets the theme for this radical transition by writing, “I have therefore found it necessary to deny knowledge, in order to make room for faith” (Critique, B).  Though never a skeptic (for example, he was always committed to scientific knowledge), Kant came to limit knowledge to objects of possible experience and to regard ideas of metaphysics (including theology) as matters of rational faith.

Table of Contents

  1. Kant and Religion
  2. God in Some Pre-critical Writings
  3. Each Critique as Pivotal
    1. The First Critique
    2. The Second Critique
    3. The Third Critique
  4. The Prolegomena and Kant’s Lectures
    1. The Prolegomena
    2. Kant’s Lectures
  5. Other Important Works
  6. His Religion within the Limits of Reason Alone
  7. Some Tantalizing Suggestions from the Opus Postumum
  8. References and Further Readings
    1. Primary Sources
    2. Secondary Sources

1. Kant and Religion

This article does not present a full biography of Kant. A more general account of his life can be found in the article Kant’s Aesthetics.  But five matters should be briefly addressed as background for discussing his philosophical theology:  (1) his association with Pietism; (2) his wish to strike a reasonable balance between (the Christian) religion and (Newtonian physical) science; (3) his attempt to steer a middle path between the excesses of dogmatic modern rationalism and skeptical modern empiricism; (4) his commitment to the Enlightenment ideals; and (5) his unpleasant encounter with the Prussian censor over his religious writings.

Kant was born, raised, educated, worked, lived, and died in Königsberg (now Kaliningrad, part of Russia), the capital city of East Prussia.  His parents followed the Pietist movement in German Lutheranism, as he was brought up to do.  Pietism stressed studying the scriptures as a basis for personal devotion, lay governance of the church, the conscientious practice of Christian ethics, religious education emphasizing the development and exercising of values, and preaching designed to inculcate and promote piety in its adherents.  At the age of eight, the boy was sent to a Pietist school directed by his family’s pastor.  Eight years later, he enrolled in the University of Königsberg, where he came under the influence of a Pietist professor of logic and metaphysics.  Even during later decades of his life, when he ceased to practice religion publicly (see letter to Lavater in Correspondence, pp. 152-154) and found external displays of pious devotion distasteful, his thought and values continued to be influenced by the Pietism of his earlier years.

Second, as a university student, Kant became a follower of Newtonian science.  The dissertation for his graduate degree was more what we would consider physics than philosophy, although in those days it was called “natural philosophy.”  Many of his earliest writings were in Newtonian science, including his Universal Natural History and Theory of the Heavens of 1755 (in Cosmogony), dedicated to his king, Frederick the Great, and propounding a nebular hypothesis to explain the formation of our solar system.  He had reason to worry that his thoroughly mechanistic explanation might run afoul of Biblical fundamentalists who advocated the traditional doctrine of strict creationism.  This is illustrative of a tension with which he had to deal all of his adult life—regarding how to reconcile Christian faith and scientific knowledge—which his philosophy of religion would address.

Third, although this is a bit of an oversimplification, before Kant, modern European philosophy was generally split into two rival camps:  the Continental Rationalists, following Descartes, subscribed to a theory of a priori innate ideas that provide a basis for universal and necessary knowledge, while the British Empiricists, following Locke, subscribed to a tabula rasa theory, denying innate ideas and maintaining that our knowledge must ultimately be based on sense experience.  This split vitally affected views regarding knowledge of God.  Descartes and his followers were convinced that a priori knowledge of the existence of God, as an infinitely perfect Being, was possible and favored (what Kant would later call) the Ontological Argument as a way to establish it.  By contrast, Locke and his followers spurned such a priori reasoning and resorted to empirical approaches, such as the Cosmological Argument and the Teleological Arguments or Design Arguments.  An important Continental Rationalist was the German Leibniz, whose philosophy was systematized by Christian Wolff; in the eighteenth century, the Leibnizian-Wolffian philosophy was replacing scholasticism in German universities.  Kant’s family pastor and the professor who was so important in his education were both significantly influenced by Wolff’s philosophy, so that their young student was easily drawn into that orbit.  But he also came to study British Empiricists and was particularly disturbed by the challenges posed by the skeptical David Hume, which would gradually undermine his attachment to rationalism.  A vital feature of Kant’s mature philosophy is his attempt to work out a synthesis of these two great rival approaches.

Fourth, the eighteenth century was the heyday of the intellectual movement of the Enlightenment in Europe (as well as in North America), which was committed to ideals that Kant would appropriate as his own—including those of reason, experience, science, liberty, and progress.  Frederick II, who was the Prussian king for most of Kant’s adult life (from 1740 to 1786) was called both “Frederick the Great” and “the Enlightenment King.”  Hume and Wolff were both Enlightenment philosophers, as was Kant himself, who published a sort of manifesto for the movement, called “What Is Enlightenment?” (1784). There he calls his an age of developing enlightenment, though not yet a fully enlightened age.  He champions the cause of the free use of reason in public discussion, including freedom from censorship regarding publishing on religion (Essays, pp. 41-46).

Fifth, Kant himself faced a personal crisis when the Prussian government condemned his published book, Religion within the Limits of Reason Alone.  As long as Frederick the Great, “the Enlightenment King,” ruled, Kant and other Prussian scholars had broad latitude to publish controversial religious ideas in an intellectual atmosphere of general tolerance.  But Frederick was succeeded by his illiberal nephew, Frederick William II, who appointed a former preacher named Wöllner as his reactionary minister of spiritual affairs.  The anti-Enlightenment Wöllner issued edicts forbidding any deviations from orthodox Biblical doctrines and requiring approval by official state censors, prior to publication, for all works dealing with religion.  Kant managed to get the first book of his Religion cleared by one of Wöllner’s censors in Berlin.  But he was denied permission to publish Book II, which was seen as violating orthodox Biblical doctrines.  Having publicly espoused the right of scholars to publish even controversial ideas, Kant sought and got permission from the philosophical faculty at Jena (which also had that authority) to publish the second, third, and fourth books of his Religion and proceeded to do so.  When Wöllner found out about it, he was furious and sent Kant a letter, which he had written and signed, on behalf of the king, censuring Kant and threatening him with harsh consequences, should he ever repeat the offense.  Kant wrote a reply to the king, promising, “as your Majesty’s most loyal subject,” to refrain from all further public discussion of religion.  Until that king died (in 1797), Kant kept his promise.  But, as he later explained (Theology, pp. 239-243), that carefully worded qualifying phrase meant that the commitment would pass with that king, after whose death Kant, in fact, did resume publishing on religion.

2. God in Some Pre-critical Writings

Kant’s pre-critical writings are those that precede his Inaugural Dissertation of 1770, which marked his assumption of the chair in logic and metaphysics at the university.  These writings reflect a general commitment to the Leibnizian-Wolffian rationalist tradition.  Near the beginning of his Universal Natural History and Theory of the Heavens of 1755, Kant observes that the harmonious order of the universe points to its divinely governing first Cause; near the end of it, he writes that even now the universe is permeated by the divine energy of an omnipotent Deity (Cosmogony, pp. 14 and 153).  In his New Exposition of the First Principles of Metaphysical Knowledge (of the same year), he points to God’s existence as the necessary condition of all possibility (Exposition, pp. 224-225).

In The One Possible Basis for a Demonstration of the Existence of God of 1763, after warning his readers that any attempt at proving divine reality will plunge us into the “dark ocean without coasts and without lighthouses” that is metaphysics, he develops that line of argumentation towards God as the unconditioned condition of all possibility.  He denies the Cartesian thesis that existence is a predicate, thus undermining modern versions of the Ontological Argument.  The absolutely necessary Being that is the ground of all possibility must be one, simple, immutable, eternal, the highest reality, and a spirit, he argues.  He analyzes possible theoretical proofs of God into four possible sorts.  Two of these—the Ontological, which he rejects, and his own—are based on possibility; the other two—the Cosmological and the Teleological (Design), both of which he deems inconclusive—are empirical.  The final sentence of the book maintains that, though we must be convinced of God’s existence, logically demonstrating it is not required (Basis, pp. 43, 45, 57, 69, 71, 79, 81, 83, 87, 223, 225, 229, 231, and 239).  That same year, Kant also published his Enquiry concerning the Clarity of the Principles of Natural Theology and Ethics.  Here, while still expressing doubts that any metaphysical system of knowledge has yet been achieved, he nevertheless maintains his confidence that rational argumentation can lead to metaphysical knowledge, including that of God, as the absolutely necessary Being (Writings, pp. 14, 25, and 29-30).  What we see in these pre-critical writings is the stamp of Leibnizian-Wolffian rationalism, but also the developing influence of Hume, whom Kant was surely studying during this period.

3. Each Critique as Pivotal

The heart of Kant’s philosophical system is the triad of books constituting his great critiques:  his Critique of Pure Reason, published in 1781 (the A edition), with a significantly revised second edition appearing in 1787 (the B edition); his Critique of Practical Reason, published in 1788; and his Critique of Judgment, published in 1790.

a. The First Critique

Though some key ideas of the Critique of Pure Reason were adumbrated in Kant’s Inaugural Dissertation of 1770 (in Writings), this first Critique is revolutionary in the sense that, because of it, the history of philosophy became radically different from what it had been before its publication.  We cannot adequately explore all of the game-changing details of the epistemology (theory of knowledge) he develops there, which has been discussed elsewhere in the IEP (see “Immanuel Kant: Metaphysics”), but will only consider the elements that have a direct bearing on his philosophy of religion.

The monumental breakthrough of this book is Kant’s invention of the transcendental method in philosophy, which allows him to discover a middle path between modern rationalism, which attributes intellectual intuition (for example, innate ideas) to humans, enabling them to have universal and necessary factual knowledge, and modern empiricism, which maintains that we only have sensible intuition, making it difficult to see how we can ever achieve universal and necessary factual knowledge through reason.  Kant argues that both sides are partly correct and partly mistaken.  He agrees with the empiricists that all human factual knowledge begins with sensible intuition (which is the only sort we have), but avoids the skeptical conclusions to which this leads them by agreeing with the rationalists that we bring something a priori to the knowing process, while rejecting their dogmatic assumption that it must be the innate ideas of intellectual intuition.  According to Kant, universal and necessary factual knowledge requires both sensible experience, providing its content, and a priori structures of the mind, providing its form.  Either without the other is insufficient.  He famously writes, “Thoughts without content are empty, intuitions without concepts are blind” (Critique, A51/B75).  Without empirical, sensible content, there is nothing for us to know; but without those a priori structures, we have no way of giving intelligible form to whatever content we may have.

The transcendental method seeks the necessary a priori conditions of experience, of knowledge, and of metaphysical speculation.  The two a priori forms of sensibility are time and space:  that is, for us to make sense of them, all objects of sensation, whether external or internal, must be temporally organizable and all objects of external sensation must also be spatially organizable.  But time and space are only forms of experience and not objects of experience, and they can only be known to apply to objects of sensible intuition.  When sensory inputs are received by us and spatio-temporally organized, the a priori necessary condition of our having objective knowledge is that one or more of twelve concepts of the understanding, also called “categories,” must be applied to our spatio-temporal representations.  These twelve categories include reality, unity, substance, causality, and existence.  Again, none of them is an object of experience; rather, they are all categories of the human mind, necessary for our knowing any objects of experience.  And, again, they can only be known to apply to objects of sensible intuition.  Now, by its very nature, metaphysics (including theology) necessarily speculates about ultimate reality that is not given to sensible intuition and therefore transcends any and all human perceptual experience.  It is a fact of human experience that we do engage in metaphysical speculation.  So what are the transcendental conditions of our capacity to do so?  Kant’s answer is that they are the three a priori ideas of pure reason—the self or soul, the cosmos or universe as an orderly whole, and God, the one of direct concern to us here.  But, as we never can have sensible experience of objects corresponding to such transcendent ideas and as the concepts of the understanding, without which human knowledge is impossible, can only be known to apply to objects of possible experience, knowledge of the soul, of the cosmos, and of God is impossible, in principle.

So what are we to make of ideas that can never yield knowledge?  Here Kant makes another innovative contribution to epistemology.  He says that ideas can have two possible functions in human thinking.  Some (for example, empirical) ideas have a “constitutive” function, in that they can be used to constitute knowledge, while others have only a “regulative” function (Critique, A180/B222), in that, while they can never constitute knowledge, they do serve the heuristic purpose of regulating our thought and action.  This is related to Kant’s dualistic distinction between the aspect of reality that comprises all phenomenal appearances and that which involves our noumenal ideas of things-in-themselves.  (Although it is important, we cannot here explore this distinction in the depth it deserves.)  Because metaphysical ideas are unknowable, they cannot serve any “constitutive” function.  Still, they have great “regulative” value for both our thinking and our voluntary choices.  They are relevant to our value-commitments, including those of a religious sort.  Three such regulative ideas are Kant’s postulates of practical reason, which are “God, freedom, and immortality” (Critique, A3/B7).  Although none of them refers to an object of empirical knowledge, he maintains that it is reasonable for us to postulate them as matters of rational faith.  This sort of belief, which is subjectively, but not objectively, justifiable, is a middle ground between certain knowledge, which is objectively, as well as subjectively, justified, and mere arbitrary opinion, which is not even subjectively justified (Critique, A822/B850).  Such rational belief can be religious—namely, faith in God.

Kant presents four logical puzzles that he calls “antinomies” to establish the natural  dialectical illusions that our reason inevitably encounters when it engages metaphysical questions about cosmology in an open-minded fashion.  The fourth of these particularly concerns us here, as reason purports to be able to prove both that there must be an absolutely necessary Being and that no such Being can exist.  His dualism can expose this apparent contradiction as bogus, maintaining that in the realm of phenomenal appearances, everything exists contingently, with no necessary Being, but that in the realm of noumenal things-in-themselves there can be such a necessary Being.

But, we might wonder, what about the traditional arguments for God?  If even one of them proves logically conclusive, would not that constitute some sort of knowledge of God?  Here we encounter yet another great passage in the first Critique, where Kant’s epistemology leads him to a trenchant undermining of all such arguments.  He maintains that there is a trichotomy of types of speculative arguments for God:  the “physico-theological” Argument from Design, various Cosmological Arguments, and the non-empirical “Ontological” Argument.  He cleverly shows that the first of these, even if it worked, would only establish a relatively intelligent and powerful architect of the world and not a necessarily existing Creator.  In order to establish it as a necessary Being, some version of the second approach is needed.  But, if that worked, it would still fail to show that the necessary creator is an infinitely perfect Being, worthy of religious devotion.  Only the Ontological Argument will suffice to establish that.  But here the problems accumulate.  The Ontological Argument fails because it tries to attribute infinite, necessary existence to God; but existence, far from being a real predicate of anything, is merely a concept of the human understanding.  Then the cosmological arguments also fail, in trying to establish that God is the necessary ultimate cause of the world, for both causality and necessity are merely categories of human understanding.  Although Kant exhibits considerable respect for the teleological argument from design, in addition to its conclusion being so disappointingly limited, it also fails as a logical demonstration, in trying to show that an intelligent Designer must exist to account for the alleged intelligent design of the world. The problem is that we do not and cannot ever experience the world as a coherent whole, so that the argument’s premise is merely assumed without foundation.  Thus Kant undermines the entire project of any philosophical theology that pretends to establish any knowledge of God (Critique, A592/B620-A614/B642 and A620/B648-A636/B664).  Yet he remains a champion of religious faith as rationally justifiable.  So how can he make such a position philosophically credible?

b. The Second Critique

Here we must turn to his ingenious Critique of Practical Reason.  Although it is essentially a work of ethics, a significant part of it is devoted to establishing belief in God (as well as in the immortality of the soul) as a rationally justifiable postulate of practical reason, by means of what has come to be called his “moral argument.”  The argument hinges on his claim that we have a moral duty to help bring about, not just the supreme good of moral virtue, which we can achieve by our own efforts in this life, but also “the highest good,” which is  the “perfect” correlation of “happiness in exact proportion to morality.”  Since there cannot be any moral obligation that it is impossible to meet (“ought” implies “can”), achieving this highest good must be possible.  However, there is no reason to believe that it can ever be achieved by us alone, acting either individually or collectively, in this life.  So it would seem that all our efforts in this life cannot suffice to achieve the highest good.  Yet there must be such a sufficient condition, supernatural and with attributes far exceeding ours, identifiable with God, with whom we can collaborate in the achievement of the highest good, not merely here and now but in the hereafter.  Thus he establishes God and human immortality as “morally necessary” hypotheses, matters of “rational faith.”  This is also the basis of Kant’s idea of moral religion, which we shall discuss in more detail below.  But, for now, we can observe his definition of “religion” as “the recognition of all duties as divine commands.”  Thus the moral argument is not purely speculative but has a practical orientation.  Kant does not pretend that the moral argument is constitutive of any knowledge.  If he did, it could be easily refuted by denying that we have any obligation to achieve the highest good, because it is, for us, an impossible ideal.  The moral argument rather deals with God as a regulative idea that can be shown to be a matter of rational belief.  The famous sentence near the end of the second Critique provides a convenient bridge between it and the third:  “Two things fill the mind with ever new and increasing admiration and awe, the oftener and more steadily we reflect on them:  the starry heavens above me and the moral law within me” (Reason, pp. 114-115/AA V: 110-111, 126-130/AA V: 121-126, 134/AA V: 129-130, and 166/AA V: 161).  As morality leads Kant to God and religion, so does the awesome teleological order of the universe.

c. The Third Critique

Although Kant’s Critique of Judgment is also not essentially a work in the philosophy of religion, its long appendix contains an important section that is germane for our purposes.  We recall that, while criticizing the teleological argument from design, Kant exhibited a high regard for it.  Such physical teleology points to a somewhat intelligent and powerful designing cause of the world.  But now Kant pursues moral teleology, which will connect such a deity to our own practical purposes—not only to our natural desire for happiness, but to our moral worthiness to achieve it, which is a function of our own virtuous good will.  He gives us another version of his moral argument for God, conceived not as the amoral, impersonal metaphysical principle indicated by the teleological argument from design, but rather as a personal deity who is the moral legislator and governor of the world.  Again, all this points to God as a regulative matter of “moral faith,” without any pretense of establishing any theological knowledge (which would violate Kant’s own epistemology).  Such faith is inescapably doubtful, in that it remains reasonable to maintain some doubt regarding it, and a matter of trust in teleological ends towards which we should be striving.  Nor should we be so presumptuous as to suppose that we can ever comprehend God’s nature or purposes.  It is only by analogy that we can contemplate such matters at all (Judgment, pp. 295-338/AA II: 442-485), a point which Kant more carefully develops in his Prolegomena.

4. The Prolegomena and Kant’s Lectures

a. The Prolegomena

Most—but not all—of the religious epistemology that is of note in Kant’s Prolegomena to Any Future Metaphysics is already contained in his more philosophically impressive first Critique and will not be repeated here.  But a few pages of its “Conclusion” add something that we have not yet considered.  One of the abiding problems of the philosophy of religion is how we can speak (and even think) about God except in anthropomorphic human terms without resorting to an indeterminate fog of ineffable mysticism.  The great rationalists are particularly challenged here, and Hume, whom Kant credits with awaking him from his dogmatic slumbers, mercilessly exploits their dilemma.  Kant’s project continues to be to navigate a perilous middle path between the equally problematic approaches of anthropomorphism  and mysticism.  Kant appreciates the dilemma as acutely as Hume, but wants to solve it rather than merely highlighting it.  Hume means to replace theism with an indeterminate deism.  Kant, himself a theist, admits that Hume’s objections against theism are devastating but holds that his arguments undermine only attempted deistic proofs and not deistic beliefs.  Remembering that the concepts of the understanding cannot be known to apply to anything that transcends all possible experience, we can see that it will be a challenge for Kant to evade Hume’s dilemma.  His approach is to distinguish between a malignant “dogmatic anthropomorphism,” which tries literally to attribute to God natural qualities, such as those attributable to humans, and a more benign “symbolic anthropomorphism,” which merely draws an analogy between God’s relation to our world and relations among things in our world, while avoiding thinking of them as identical.  Kant’s example is helpful here:  while we have no possible natural knowledge of God’s love for us and should acknowledge that it cannot be identical to any (necessarily limited) human love, we can use analogical language to think and talk about God’s love for us—as the love of human parents is directed to the welfare of their children, so God’s love for us is directed to human well-being.  Thus, Kant maintains, we can avoid the vicious sort of dogmatic anthropomorphism which Hume rightly attacks and, for example, attribute to God a rational relationship to our world without pretending that divine reason is exactly the same as ours, for example, discursive and, thus, limited  (Prolegomena, pp. 5, 19, and 96-99).  Thinking and speaking of God with analogous language can facilitate a theology that neither is anthropomorphic in a bad way nor succumbs to the dialectical illusions from which Kant’s epistemology would save us.

b. Kant’s Lectures

A somewhat neglected, but still important, dimension of Kant’s philosophy of religion can be found in his Lectures on Philosophical Theology, which comprises an introduction, a first part on transcendental theology, and a second part on moral theology.  After maintaining that rational theology’s essential value is practical rather than speculative, he defines religion as “the application of theology to morality,” which is a bit broader than the definition of the second Critique but is in line with it.  He conceives of the God of rational theology as the causal author and moral ruler of the world.  He considers himself a theist rather than a deist because he is committed to a free and moral “living God,” holy and just, as well as omniscient and omnipotent, as a postulate of practical reason (Lectures, pp. 24, 26, 30, and 41-42).  In the first part of the Lectures, Kant considers the speculative proofs of God, as well as the use of analogous language as a hedge against gross anthropomorphism.  But, as we have already discussed the more famous treatments of these topics (in the first Critique and the Prolegomena, respectively), we can pass over these here.

The second part of the Lectures starts with a version of the moral argument, which we have already considered (in connection with its more famous treatment in the second Critique).  This line of reasoning leads to the moral attributes of “God as a holy lawgiver, a benevolent sustainer of the world, and a just judge.”  A major problem of the philosophy of religion we have yet to consider is the problem of evil.  If, indeed, an infinitely perfect and supremely moral God governs the world with divine providence, how can there be so much evil, in all its multiple forms, in that world?  More specifically, for Kant, how can moral evil be consistent with divine holiness, pain and suffering with divine benevolence, and morally undeserved well-being and the lack of it with divine justice?  Despite God’s holiness, moral evil is a function of our  free will as rational creatures and our responsibility for our own development.  Despite God’s benevolence towards personal creatures, the physical evils of pain and suffering provide incentives for our progressing towards fulfillment.  And, despite God’s justice, the disproportion between virtue and well-being in this life must be temporary, to be rectified hereafter (Lectures, pp. 112 and 115-121).  This earlier (from the 1780s) attempt at theodicy on Kant’s part was neither particularly original nor particularly convincing.

5. Other Important Works

Kant deals with the problem of evil more impressively in his “On the Miscarriage of All Philosophical Trials in Theodicy” (1791).  He analyzes possible attempts at theodicy into three approaches:  (a) it can argue that what we consider evil actually is not, so that there is really no conflict; (b) it can argue that the conflict between evil and God is naturally necessitated; and (c) it can argue that evil, though contingent, is the result of someone other than God.  Kant’s own earlier work attempted to combine the second and third strategies; but here he concludes that all of these approaches must fail.  More specifically, attempts to show that there is no pernicious conflict between moral evil and God’s holiness,   between the physical evils of pain and suffering and God’s goodness,  and, finally, between the disproportion of happiness and misery to virtue and vice and God’s justice, all fail using all three approaches.  Thus Kant’s considered conclusion is negative:  the doubts that are legitimately raised by the evil in our world can neither be conclusively answered nor conclusively refute God’s infinite moral wisdom.  Thus, theodicy, like matters of religion more generally, turns out to be a matter of faith and not one of knowledge (Theology, pp. 24-34; see also “What Does It Mean to Orient Oneself in Thinking?” in Theology pp. 12-15, and “Speculative Beginning of Human History,” in Essays).  In a work published the year he died, Kant analyzes the core of his theological doctrine into three articles of faith:  (1) he believes in one God, who is the causal source of all good in the world; (2) he believes in the possibility of harmonizing God’s purposes with our greatest good; and (3) he believes in human immortality as the necessary condition of our continued approach to the highest good possible (Metaphysics, p. 131).  All of these doctrines of faith can be rationally supported.  This leaves open the issue of whether further religious beliefs, drawn from revelation, can be added to this core.  As Kant makes clear in The Conflict of the Faculties, he does not deny that divinely revealed truths are possible, but only that they are knowable.  So, we might wonder, of what practical use is revelation if it cannot be an object of knowledge?  His answer is that, even if it can never constitute knowledge, it can serve the regulative function of edification—contributing to our moral improvement and adding motivation to our moral purposes (Theology, pp. 283 and 287-288).

6. His Religion within the Limits of Reason Alone

Kant’s Religion within the Limits of Reason Alone of 1793 is considered by some to be the most underrated book in the entire history of the philosophy of religion.  In a letter to a theologian, he subsequently repeats the questions with which he thinks any philosophical system should deal (three of them in his first Critique, A 805/B 833; see also his Logic, pp. 28-30, where he adds a fourth).  The first one, regarding human knowledge, had been covered in the first Critique and the Prolegomena; the second, regarding practical values, was considered in his various writings on ethics and socio-political philosophy; the fourth, regarding human nature, had been covered in his philosophical anthropology. Now,  with Religion, Kant addresses the third question of what we can reasonably hope for, and moves towards completing his system (Correspondence, pp. 458-459).  Thus we can conclude that Kant himself sees this book, the publication of which got him into trouble with the Prussian government, as crucial to his philosophical purposes.  Hence we should take it seriously here as representative of his own rational theology.  In his Preface to the first edition, he again points out that reflection on moral obligation should lead us to religion (Religion, pp. 3-6; see also Education, pp. 111-114, for his analysis of how religion should be taught to children).  In his Preface to the second edition, he offers an illuminating metaphor of two concentric circles—the inner one representing the core of the one religion of pure moral reason and the outer one representing many revealed historical religions, all of which should include and build on that core (Religion, p. 11).

In the first book, Kant considers our innate natural predisposition to good (in being animals, humans, and persons) and our equally innate propensity to evil (in our frailty, impurity, and wickedness).  Whether we end up being praiseworthy or blameworthy depends, not on our sensuous nature or our theoretical reason, but on the use we make of our free will, which is naturally oriented towards both good and evil.  There are two dimensions of what we call “will,” both of which are important in grasping Kant’s view here.  On the one hand, there is our capacity for free choice (his word is “Willkür”); on the other hand, there is practical reason as rationally legislating moral choice and action (“Wille”).  Thus a “good will” chooses in accordance with the rational demands of the moral law.  At any rate, we are born with a propensity to evil; but whether we become evil depends on our own free acts of will.  Thus Kant demythologizes the Christian doctrine of original sin.  He then distinguishes between the phony religion of mere worship designed to win favor for ourselves and the authentic moral religion of virtuous behavior.  Although it is legitimate to hope for God’s grace as helping us to lead morally good lives, it is mere fanaticism to imagine that we can become good by soliciting grace rather than freely choosing virtuous conduct (Religion, pp. 21-26, 30, 32, 35, and 47-49).

In the second book, Jesus of Nazareth is presented as an archetype symbolizing our ability to resist our propensity to evil and to approach the virtuous ideal of moral perfection.  What Kant does not say is whether or not, in addition to being a moral model whose example we should try to follow, Jesus is also of divine origin in some unique manner attested to by miracles.  Just as he neither denies nor affirms the divinity of Christ, so Kant avoids committing himself regarding belief in miracles, which can lead us into superstition (Religion, pp. 51, 54, 57, 74, 77, and 79-82; for more on the mystery of the Incarnation, see Theology, pp. 264-265).

In the third book, Kant expresses his rational hope for the ultimate supremacy of good over evil and the establishment of an ethical commonwealth of persons under a personal God, who is the divine law-giver and moral ruler—the ideal of the invisible church, as opposed to actual realities of visible churches.  Whereas statutory religion focuses on obedient external behavior, true religion concerns internal commitment (or good will).  Mere worship is a worthless substitute for good choices and virtuous conduct.  Here Kant makes a particularly provocative claim, that, ultimately, there is only “one (true) religion,” the religion of morality, while there can be various historical “faiths” promoting it.  From this perspective, Judaism, Islam, and the various denominations of Christianity are all legitimate faiths, to be located in Kant’s metaphorical outer circle, including the true religion of morality, his metaphorical inner circle.  However, some faiths can be relatively more adequate expressions of the religion of moral reason than others (Religion, pp. 86, 89-92, 95, and 97-98; see also Theology, pp. 262-265).

In his particularly inflammatory fourth book, Kant probes the distinction between legitimate religious service and the pseudo-service of religious clericalism.  From our human perspective, religion—both revealed and natural—should be regarded as “the recognition of all duties as divine commands.”  Kant embraces the position of “pure rationalist,” rather than naturalism (which denies divine revelation) or pure supernaturalism (which considers it necessary), in that he accepts the possibility of revelation but does not dogmatically regard it as necessary.  He acknowledges scripture scholars’ valuable role in helping to disseminate religious truth so long as they respect “universal human reason as the supremely commanding principle.”  Christianity is both a natural and a revealed religion, and Kant shows how the gospel of Matthew expresses Kantian ethics, with Jesus as its wise moral teacher.  Following his moral teachings is the means to true religious service, whereas substituting an attachment to external worship allegedly required instead of moral behavior is mere “pseudo-service.” Superstition and fanaticism are typical aspects of such illusions and substituting superstitious rituals for morally virtuous conduct  is mere “fetishism.”  Kant denounces clericalism as promoting such misguided pseudo-service.  The ideal of genuine godliness comprises a combination of fear of God and love of God, which should converge to help render us persons of morally good will.  So what about such religious practices as prayer, church attendance, and participation in sacraments?  They can be either good expressions of devotion, if they bind us together in moral community (occupying Kant’s inner circle) or bad expressions of mere pseudo-service, if designed to ingratiate us with God (an accretion to the outer circle not rooted in the inner circle of genuine moral commitment).  Mere external shows of piety must never be substituted for authentic inner virtue (Religion, pp. 142-143, 147-153, 156-158, 162, 165, 167-168, 170, and 181-189; cf. Ethics, pp. 78-116).  Kant’s Religion within the Limits of Reason Alone provides a capstone for the revolutionary treatment of religion associated with his critical philosophy.

7. Some Tantalizing Suggestions from the Opus Postumum

Yet it is quite admirable that, in the last few years of his life, despite struggling with the onset of dementia that made any such task increasingly challenging, he kept trying to explore new dimensions of the philosophy of religion.  As has already been admitted, the results, located in his fragmentary Opus Postumum, are more provocative than satisfying; yet they are nevertheless worthy of brief consideration here.  The work comprises a vast quantity of scattered remarks, many of which are familiar to readers of his earlier writings, but some of which represent acute, fresh insights, albeit none of them adequately developed.  Here again Kant  writes that reflection on moral duty, determinable by means of the categorical imperative, can reasonably lead us to the idea of God, as a rational moral agent with unlimited power over the realms of nature and of freedom, who prescribes our duties as divine commands.   He then adds a bold idea, which breaks with his own previous orthodox theological concept of a transcendent God.  Developing his old notion of God as “an ideal of human reason,” he identifies God with our concept of moral duty rather than as an independent substance.  This notion of an immanent God (that is, one internal to our world rather than transcendently separate from it), while not carefully worked out by Kant himself, would be developed by later German Idealists (most significantly, Hegel).  While conceding that we think of God as an omnipotent, omniscient, and omnibenevolent personal Being, Kant now denies that personality can be legitimately attributed to God—again stepping out of mainstream Judeo-Christian doctrine.  Also, rather than still postulating God as an independent reality, he here says that “God and the world are correlates,” interdependent and mutually implicating one another.  Unfortunately, we can only conjecture as to what, exactly, he means by this claim.  Referring to Spinoza (the most important pre-Kantian panentheist in modern philosophy), he pushes the point even more radically, writing, “I am in the highest being.”  But, then,   Kant goes on to condemn Spinoza’s panentheistic conception of God (that is, the view also found in  Hegel, that God contains our world rather than transcending it) as outlandish “enthusiastic” fanaticism. In fact, he suggests the inverse—instead of holding that we are in God, Kant now indicates that God is in us, though different from us,  in that God’s reality is ideal rather than substantial.  He proceeds to maintain that not only God is infinite, but so are the world and rational freedom, identifying God with “the inner vital spirit of man in the world.”  Kant makes one final controversial claim  when he denies that a concept of God is even essential to religion (Opus, pp. 200-204, 210-211, 213-214, 225, 229, 231, 234-236, 239-240, and 248).  This denial is clearly not an aspect of Kant’s thought that is familiar and famous, and we should beware of presuming that we understand precisely what should be made of it.  But what is undeniable is what a long and soaring intellectual journey Kant made as he developed his ideas on God and religion from his pre-critical writings through the central, revolutionary works of his philosophical maturity and into the puzzling but tantalizing thought-experiments of his old age.

8. References and Further Readings

a. Primary Sources

  • Immanuel Kant, “An Answer to the Question:  What is Enlightenment?” trans. Ted Humphrey, in Essays.
  • Immanuel Kant, The Conflict of the Faculties, trans. Mary J. Gregor and Robert Anchor, in Theology.
  • Immanuel Kant, Correspondence, trans. and edited by Arnulf Zweig.  New York:  Cambridge University Press, 1999.
  • Immanuel Kant, Critique of Judgment, trans. J. H. Bernard (called “Judgment”).  New York: Hafner, 1968. References to this translation are accompanied by references to the Akademie Ausgabe Volume II.
  • Immanuel Kant, Critique of Practical Reason, trans. Lewis White Beck (called “Reason”).  Indianapolis:  Bobbs-Merrill, 1956. References to this translation are accompanied by references to the Akademie Ausgabe Volume V.
  • Immanuel Kant, Critique of Pure Reason, trans. Norman Kemp Smith (called Critique).  New York: St. Martin’s Press, 1965. References are to the A and B German editions.
  • Immanuel Kant, Education, trans. Annette Churton.  Ann Arbor:  University of Michigan Press, 1960.
  • Immanuel Kant, “The End of All Things,” trans. Allen W. Wood, in Theology.
  • Immanuel Kant, Enquiry concerning the Clarity of the Principles of Natural Theology and Ethics, trans. G. B. Kerford and D. E. Walford, in Writings.
  • Immanuel Kant, Kant’s Cosmogony, trans. W. Hastie (called “Cosmogony”).  New York:  Garland, 1968.
  • Immanuel Kant, Lectures on Ethics, trans. Louis Infield (called “Ethics”).  New York:  Harper & Row, 1963.
  • Immanuel Kant, Lectures on Philosophical Theology, trans. Allen W. Wood and Gertrude M. Clark (called “Lectures”).  Ithaca, NY:  Cornell University Press, 1978.
  • Immanuel Kant, Logic, trans. Robert Hartman and Wolfgang Schwarz.  Indianapolis:  Bobbs-Merrill, 1974.
  • Immanuel Kant, New Exposition of the First Principles of Metaphysical Knowledge, trans. F. E. England (called “Exposition”), in England (below).
  • Immanuel Kant, On the Form and Principles of the Sensible and Intelligible World (Inaugural Dissertation), trans. G. B. Kerford and D. E. Walford, in Writings.
  • Immanuel Kant, “On the Miscarriage of All Philosophical Trials in Theodicy,” trans. George di Giovanni, in Theology.
  • Immanuel Kant, The One Possible Basis for a Demonstration of the Existence of God, trans. Gordon Treash (called “Basis”).  Lincoln:  University of Nebraska Press, 1994.
  • Immanuel Kant, Opus Postumum, edited by Eckart Förster and trans. Eckart Förster and Michael Rosen (called “Opus”).  New York:  Cambridge University Press, 1993.
  • Immanuel Kant, Perpetual Peace and Other Essays, trans. Ted Humphrey (called “Essays”).  Indianapolis:  Hackett, 1983.
  • Immanuel Kant, Prolegomena to Any Future Metaphysics, trans. Paul Carus and revised by James W. Ellington (called “Prolegomena”).  Indianapolis:  Hackett, 1977.
  • Immanuel Kant, Religion and Rational Theology, trans. and edited by Allen W. Wood and George di Giovanni (called “Theology”).  New York:  Cambridge University Press, 2001.
  • Immanuel Kant, Religion within the Limits of Reason Alone, trans. Theodore M. Greene and Hoyt H. Hudson (called “Religion”).  New York:  Harper & Row, 1960.
  • Immanuel Kant, Selected Pre-Critical Writings and Correspondence with Beck, trans. G. B. Kerford and D. E. Walford (called “Writings”).  Manchester:  Manchester University Press, 1968.
  • Immanuel Kant, “Speculative Beginning of Human History,” trans. Ted Humphrey, in Essays.
  • Immanuel Kant, Universal Natural History and Theory of the Heavens, trans. W. Hastie, in Cosmogony.
  • Immanuel Kant, “What Does It Mean to Orient Oneself in Thinking?”, trans. Allen W. Wood, in Theology.
  • Immanuel Kant, What Real Progress Has Metaphysics Made in Germany since the Time of Leibniz and Wolff?, trans. Ted Humphrey (called “Metaphysics”).  New York:  Abaris Books, 1983.

b. Secondary Sources

  • James Collins, The Emergence of Philosophy of Religion.  New Haven:  Yale University Press, 1967.
    • Chapters 3 through 5 deal with Kant’s philosophy of religion in a meticulous manner.
  • Frederick Copleston, S. J., A History of Philosophy, Volume 6.  Garden City:  Image Books, 1964.
    • Though old, this volume still represents exemplary Kant scholarship.
  • A. Hazard Dakin, “Kant and Religion,” in The Heritage of Kant, edited by George Tapley Whitney and David F. Bowers.   New York:  Russell & Russell, 1962.
    • This is a non-technical critical analysis of Kant’s views on religion.
  • Michel Despland, Kant on History and Religion.  Montreal:  McGill-Queen’s University Press, 1973.
    • The second part of this book offers a detailed coverage of Kant’s philosophy of religion.
  • George di Giovanni, “Translator’s Introduction” to Religion within the Boundaries of Mere Reason, in Theology, pp. 41-54.
    • This is an informative account of the history of Kant’s Religion.
  • S. Morris Engel, “Kant’s ‘Refutation’ of the Ontological Argument,” in Kant:  A Collection of Critical Essays, edited by Robert Paul Wolff.  Garden City:  Anchor Books, 1967.
    • This remains a provocative critical analysis of Kant’s critique of this argument.
  • F. E. England, Kant’s Conception of God.  New York:  Humanities Press, 1968.
    • This is a very good study of Kant’s development of a philosophy of religion.
  • Chris L. Firestone and Nathan Jacobs, In Defense of Kant’s Religion.  Bloomington:  Indiana University Press, 2008.
    • This book cleverly presents criticisms of Kant’s views answered by defenses.
  • Chris L. Firestone and Stephen R. Palmquist, editors, Kant and the New Philosophy of Religion.  Bloomington:  Indiana University Press, 2006.
    • This is a good anthology of recent essays from both philosophical and theological perspectives.
  • Chris L. Firestone, “Making Sense Out of Tradition:  Theology and Conflict in Kant’s Philosophy of Religion,” in Kant and the New Philosophy of Religion, pp. 141-156.
    • This article does a good job of explaining Kant’s views on the proper roles of philosophers and theologians in dealing with religion.
  • Eckart Förster, Kant’s Final Synthesis:  An Essay on the Opus Postumum.  Cambridge, MA:  Harvard University Press, 2000.
    • This is a close study of Kant’s final work.
  • Theodore M. Greene, “The Historical Context and Religious Significance of Kant’s Religion,” translator’s introduction to Religion.
    • This offers a long and still valuable perspective on Kant’s major work in the philosophy of religion.
  • Manfred Kuehn, Kant:  A Biography.  New York:  Cambridge University Press, 2001.
    • This is arguably the best intellectual biography of Kant in English.
  • G. E. Michalson, Jr., The Historical Dimensions of a Rational Faith:  The Role of History in Kant’s Religious Thought.  Washington, DC:  University Press of America, 1979.
    • This book relates Kant’s views on religion to his conception of history.
  • Stephen R. Palmquist, “Introduction” to Religion within the Bounds of Bare Reason, trans. Werner S. Pluhar.  Indianapolis:  Hackett, 2009.
    • This is a long and careful introduction to yet another translation of Kant’s most important book in the philosophy of religion.
  • Stephen R. Palmquist, Kant’s Critical Religion.  Aldershot, UK:  Ashgate, 2000.
    • This book explores its subject in astonishing detail.
  • Wayne P. Pomerleau, Western Philosophies of Religion.  New York:  Ardsley House, 1998.
    • The sixth chapter of this book is a detailed study of Kant’s philosophy of religion.
  • Bernard M. G. Reardon, Kant as Philosophical Theologian.  Totowa, NJ:  Barnes & Noble Books, 1988.
    • This fairly short book nevertheless develops a penetrating analysis of the subject.
  • Philip J. Rossi and Michael Wreen, editors, Kant’s Philosophy of Religion Reconsidered.  Bloomington:  Indiana University Press, 1991.
    • This anthology contains some valuable essays on Kant’s theory.
  • Clement C. J. Webb, Kant’s Philosophy of Religion.  Oxford:  Oxford University Press, 1926.
    • This classic general treatment of this topic is still valuable.
  • Allen W. Wood, “General Introduction” to Theology, pp. xi-xxiv.
    • This is brief but, like all of Wood’s work on this subject, well done.
  • Allen W. Wood, “Kant’s Deism,” in Kant’s Philosophy of Religion Reconsidered, pp. 1-21.
    • This is a provocative article considering the pros and cons of regarding Kant as a deist.
  • Allen W. Wood, Kant’s Moral Religion.  Ithaca, NY:  Cornell University Press, 1970.
    • This is an excellent treatment of Kant’s view of morality as the core of true religion.
  • Allen W. Wood, Kant’s Rational Theology.  Ithaca, NY:  Cornell University Press, 1978.
    • This book is more focused on Kant’s critique of speculative theology.
  • Allen W. Wood, “Rational Theology, Moral Faith, and Religion,” in The Cambridge Companion to Kant, edited by Paul Guyer.  New York:  Cambridge University Press, 1992.
    • This essay offers an illuminating connection of important strands of Kant’s philosophy of religion.

 

Author Information

Wayne P. Pomerleau
Email: Pomerleau@calvin.gonzaga.edu
Gonzaga University
U. S. A.

Metaethics

Metaethics is a branch of analytic philosophy that explores the status, foundations, and scope of moral values, properties, and words. Whereas the fields of applied ethics and normative theory focus on what is moral, metaethics focuses on what morality itself is. Just as two people may disagree about the ethics of, for example, physician-assisted suicide, while nonetheless agreeing at the more abstract level of a general normative theory such as Utilitarianism, so too may people who disagree at the level of a general normative theory nonetheless agree about the fundamental existence and status of morality itself, or vice versa. In this way, metaethics may be thought of as a highly abstract way of thinking philosophically about morality. For this reason, metaethics is also occasionally referred to as “second-order” moral theorizing, to distinguish it from the “first-order” level of normative theory.

Metaethical positions may be divided according to how they respond to questions such as the following:

  • Ÿ  What exactly are people doing when they use moral words such as “good” and “right”?
  • Ÿ  What precisely is a moral value in the first place, and are such values similar to other familiar sorts of entities, such as objects and properties?
  • Ÿ  Where do moral values come from—what is their source and foundation?
  • Ÿ  Are some things morally right or wrong for all people at all times, or does morality instead vary from person to person, context to context, or culture to culture?

Metaethical positions respond to such questions by examining the semantics of moral discourse, the ontology of moral properties, the significance of anthropological disagreement about moral values and practices, the psychology of how morality affects us as embodied human agents, and the epistemology of how we come to know moral values. The sections below consider these different aspects of metaethics.

Table of Contents

  1. History of Metaethics
    1. Metaethics before Moore
    2. Metaethics in the Twentieth-Century
  2. The Normative Relevance of Metaethics
  3. Semantic Issues in Metaethics
    1. Cognitivism versus Non-Cognitivism
    2. Theories of Moral Truth
  4. Ontological Issues in Metaethics
    1. Moral Realisms
    2. Moral Relativisms
  5. Psychology and Metaethics
    1. Motivation and Moral Reasons
    2. Experimental Metaethics
    3. Moral Emotions
  6. Epistemological Issues in Metaethics
    1. Thick and Thin Moral Concepts
    2. Moral Justification and Explanation
  7. Anthropological Considerations
    1. Cross-Cultural Differences
    2. Cross-Cultural Similarities
  8. Political Implications of Metaethics
  9. References and Further Reading
    1. Textual Citations
    2. Anthologies and Introductions

1. History of Metaethics

a. Metaethics before Moore

Although the word “metaethics” (more commonly “meta-ethics” among British and Australian philosophers) was coined in the early part of the twentieth century, the basic philosophical concern regarding the status and foundations of moral language, properties, and judgments goes back to the very beginnings of philosophy. Several characters in Plato’s dialogues, for instance, arguably represent metaethical stances familiar to philosophers today: Callicles in Plato’s Gorgias (482c-486d) advances the thesis that Nature does not recognize moral distinctions, and that such distinctions are solely constructions of human convention; and Thrasymachus in Plato’s Republic (336b-354c) advocates a type of metaethical nihilism by defending the view that justice is nothing above and beyond whatever the strong say that it is. Socrates’ defense of the separation of divine commands from moral values in Plato’s Euthyphro (10c-12e) is also a forerunner of modern metaethical debates regarding the secular foundation of moral values. Aristotle’s grounding of virtue and happiness in the biological and political nature of humans (in Book One of his Nicomachean Ethics) has also been examined from the perspective of contemporary metaethics (compare, MacIntyre 1984; Heinaman 1995). In the classical Chinese tradition, early Daoist thinkers such as Zhuangzi have also been interpreted as weighing in on metaethical issues by critiquing the apparent inadequacy and conventionality of human attempts to reify moral concepts and terms (compare, Kjellberg & Ivanhoe 1996). Many Medieval accounts of morality that ground values in religious texts, commands, or emulation may also be understood as defending certain metaethical positions (see Divine Command Theory). In contrast, during the European Enlightenment, Immanuel Kant sought a foundation for ethics that was less prone to religious sectarian differences, by looking to what he believed to be universal capacities and requirements of human reason. In particular, Kant’s discussions in his Groundwork on the Metaphysics of Morals of a universal “moral law” necessitated by reason have been fertile ground for the articulation of many contemporary neo-Kantian defenses of moral objectivity (for example, Gewirth 1977; Boylan 2004).

Since metaethics is the study of the foundations, if any, of morality, it has flourished especially during historical periods of cultural diversity and flux. For example, responding to the cross-cultural contact engendered by the Greco-Persian Wars, the ancient Greek historian Herodotus reflected on the apparent challenge to cultural superiority posed by the fact that different cultures have seemingly divergent moral practices. A comparable interest in metaethics dominated seventeenth and eighteenth-century moral discourse in Western Europe, as theorists struggled to respond to the destabilization of traditional symbols of authority—for example, scientific revolutions, religious fragmentation, civil wars—and the grim pictures of human egoism that thinkers such as John Mandeville and Thomas Hobbes were presenting (compare, Stephen 1947). Most famously, the eighteenth-century Scottish philosopher David Hume may be understood as a forerunner of contemporary metaethics when he questioned the extent to which moral judgments might ultimately rest on human passions rather than reason, and whether certain virtues are ultimately natural or artificial (compare, Darwall 1995).

b. Metaethics in the Twentieth-Century

Analytic metaethics in its modern form, however, is generally recognized as beginning with the moral writings of G.E. Moore. (Although, see Hurka 2003 for an argument that Moore’s innovations must be contextualized by reference to the preceding thought of Henry Sidgwick.) In his groundbreaking Principia Ethica (1903), Moore urged a distinction between merely theorizing about moral goods on the one hand, versus theorizing about the very concept of “good” itself. (Moore’s specific metaethical views are considered in more detail in the sections below.) Following Moore, analytic moral philosophy became focused almost exclusively on metaethical questions for the next few decades, as ethicists debated whether or not moral language describes facts and whether or not moral properties can be scientifically or “naturalistically” analyzed. (See below for a more specific description of these different metaethical trends.) Then, in the 1970s, largely inspired by the work of philosophers such as John Rawls and Peter Singer, analytic moral philosophy began to refocus on questions of applied ethics and normative theories. Today, metaethics remains a thriving branch of moral philosophy and contemporary metaethicists frequently adopt an interdisciplinary approach to the study of moral values, drawing on disciplines as diverse as social psychology, cultural anthropology, comparative politics, as well as other fields within philosophy itself, such as metaphysics, epistemology, action theory, and the philosophy of science.

2. The Normative Relevance of Metaethics

Since philosophical ethics is often conceived of as a practical branch of philosophy—aiming at providing concrete moral guidance and justifications—metaethics sits awkwardly as a largely abstract enterprise that says little or nothing about real-life moral issues. Indeed, the pressing nature of such issues was part of the general migration back to applied and normative ethics in the politically-galvanized intellectual climate of the 1970s (described above). And yet, moral experience seems to furnish myriad examples of disagreement concerning not merely specific applied issues, or even the interpretations or applications of particular theories, but sometimes about the very place of morality in general within multicultural, secular, and scientific accounts of the world. Thus, one of the issues inherent in metaethics concerns its status vis-à-vis other levels of moral philosophizing.

As a historical fact, metaethical positions have been combined with a variety of first-order moral positions, and vice versa: George Berkeley, John Stuart Mill, G.E. Moore, and R.M. Hare, for instance, were all committed to some form of Utilitarianism as a first-order moral framework, despite advocating radically different metaethical positions. Likewise, in his influential book Ethics: Inventing Right and Wrong, J.L. Mackie (1977) defends a form of (second-order) metaethical skepticism or relativism in the first chapter, only to devote the rest of the book to the articulation of a substantive theory of (first-order) Utilitarianism. Metaethical positions would appear then to underdetermine normative theories, perhaps in the same way that normative theories themselves underdetermine applied ethical stances (for example, two equally committed Utilitarians can nonetheless disagree about the moral permissibility of eating meat). Yet, despite the logically possible combinations of second and first-order moral positions, Stephen Darwall (2006: 25) notes that, nevertheless, “there do seem to be affinities between metaethical and roughly corresponding ethical theories,” for example, metaethical naturalists have almost universally tended to be Utilitarians at the first-order level, though not vice versa. Notable exceptions to this tendency—that is, metaethical naturalists who are also first-order deontologists—include Alan Gewirth (1977) and Michael Boylan (1999; 2004). For critical responses to these positions, see Beyleveld (1992), Steigleder (1999), Spence (2006), and Gordon (2009).

Other philosophers envision the connection between metaethics and more concrete moral theorizing in much more intimate ways. For example, Matthew Kramer (2009: 2) has argued that metaethical realism (see section four below) is itself actually a first-order moral view as well, noting that “most of the reasons for insisting on the objectivity of ethics are ethical reasons.” (For a similar view about the first-order “need” to believe in the second-order thesis that moral values are “objective,” see also Ronald Dworkin 1996.) Torbjörn Tännsjö (1990), by contrast, argues that, although metaethics is irrelevant to normative theorizing, it may still be significant in other psychological or pragmatic way, for example, by constraining other beliefs. Nicholas Sturgeon (1986) has claimed that the first-order belief in moral fallibility must be grounded in some second-order metaethical view. And David Wiggins (1976) has suggested that metaethical questions about the ultimate foundation and justification of basic moral beliefs may have deep existential implications for how humans view the question of the meaning of life.

The metaethical question of whether or not moral values are cross-culturally universal would seem to have important implications for how foreign practices are morally evaluated at the first-order level. In particular, metaethical relativism (the view that there are no universal or objective moral values) has been viewed as highly loaded politically and psychologically. Proponents of such relativism often appeal to the alleged open-mindedness and tolerance about first-order moral differences that their second-order metaethical view would seem to support. Conversely, opponents of relativism often appeal to what Thomas Scanlon (1995) has called a “fear of relativism,” citing an anxiety about the first-order effects on our moral convictions and motivations if we become too morally tolerant. (See sections five and eight below for a more detailed discussion of the psychological and political dimensions of metaethics, respectively.) Russ Shafer-Landau (2004) further draws attention to the first-order rhetorical uses of metaethics, for example, Rudolph Giuliani’s evocation of the dangers of metaethical relativism following the terrorist events in the United States on September 11, 2001.

3. Semantic Issues in Metaethics

a. Cognitivism versus Non-Cognitivism

One of the central debates within analytic metaethics concerns the semantics of what is actually going on when people make moral statements such as “Abortion is morally wrong” or “Going to war is never morally justified.” The metaethical question is not necessarily whether such statements themselves are true or false, but whether they are even the sort of sentences that are capable of being true or false in the first place (that is, whether such sentences are “truth-apt”) and, if they are, what it is that makes them “true.”  On the surface, such sentences would appear to possess descriptive content—that is, they seem to have the syntactical structure of describing facts in the world—in the same form that the sentence “The cat is on the mat” seems to be making a descriptive claim about a cat on a mat; which, in turn, is true or false depending on whether or not there really is a cat on the mat. To put it differently, the sentence “The cat is on the mat” seems to be expressing a belief about the way the world actually is. The metaethical view that moral statements similarly express truth-apt beliefs about the world is known as cognitivism. Cognitivism would seem to be the default view of our moral discourse given the apparent structure that such discourse appears to have. Indeed, if cognitivism were not true— such that moral sentences were expressing something other than truth-apt propositions—then it would seem to be difficult to account for why we nonetheless are able to make logical inferences from one moral sentence to another. For instance, consider the following argument:

1. It is wrong to lie.

2. If it is wrong to lie, then it is wrong to get one’s sibling to lie.

3. Therefore, it is wrong to get one’s sibling to lie.

This argument seems to be a valid application of the logical rule known as modus ponens. Yet, logical rules such as modus ponens operate only on truth-apt propositions. Thus, because we seem to be able to legitimately apply such a rule in the example above, such moral sentences must be truth-apt. This argument in favor of metaethical cognitivism by appeal to the apparent logical structure of moral discourse is known as the Frege-Geach Problem in honor of the philosophers credited with its articulation (compare, Geach 1960; Geach 1965 credits Frege as an ancestor of this problem; see also Schueler 1988 for an influential analysis of this problem vis-à-vis moral realism). According to proponents of the Frege-Geach Problem, rejecting cognitivism would force us to show the separate occurrences of the sentence “it is wrong to lie” in the above argument as homonymous: according to such non-cognitivists, the occurrence in sentence (1) is an expression of a non-truth-apt sentiment about lying, whereas the occurrence in sentence (2) is not, since it’s only claiming what one would express conditionally. Since this homonymy would seem to threaten to undermine the grammatical structure of moral discourse, non-cognitivism must be rejected.

Despite this argument about the surface appearance of cognitivism, however, numerous metaethicists have rejected the view that moral sentences ultimately express beliefs about the world. A historically influential forerunner of the alternate theory of non-cognitivism can be found in the moral writings of David Hume, who famously argued that moral distinctions are not derived from reason, but instead represent emotional responses. As such, moral sentences express not beliefs which may be true or false, but desires or feelings which are neither true nor false. This Humean position was renewed in twentieth-century metaethics by the observation that not only are moral disputes often heavily affect-laden in a way many other factual disputes are not, but also that the kind of facts which would apparently be necessary to accommodate true moral beliefs would have to be very strange sorts of entities. Specifically, the worry is that, whereas we can appeal to standards of empirical verification or falsification to adjudicate when our non-moral beliefs are true or false, no such standards seem applicable in the moral sphere, since we cannot literally point to moral goodness in the way we can literally point to cats on mats.

In response to this apparent disanalogy between moral and non-moral statements, many metaethicists embraced a sort of neo-Humean non-cognitivism, according to which moral statements express non-truth-apt desires or feelings. The Logical Positivism of the Vienna Circle adopted this metaethical position, finding anything not empirically verifiable to be semantically “meaningless.” Thus, A.J. Ayer (1936) defended what he called metaethical emotivism, according to which moral expressions are indexed always to the speaker’s own affective state. So, the moral utterance “Abortion is morally wrong” would ultimately mean only that “I do not approve of abortion,” or, more accurately (to avoid even the appearance of having descriptive content), “Abortion—boo!” C.L. Stevenson (1944) further developed metaethical non-cognitivism as involving not merely an expression of the speaker’s personal attitude, but also an implicit endorsement of what the speaker thinks the audience ought to feel. R.M. Hare (1982) similarly analyzed moral utterances as containing both descriptive (truth-apt) as well as ineliminably prescriptive elements, such that genuinely asserting, for instance, that murder is wrong involves a concomitant emotional endorsement of not murdering. Drawing on the work of ordinary-language philosophers such as J.L. Austin, Hare distinguished the act of making a statement (that is, the statement’s “illocutionary force”) from other acts that may be performed concomitantly (that is, the statement’s “perlocutionary force”)— as when, for example, stating “I do” in the context of a marriage ceremony thereby effects an actual legal reality. Similarly, Hare argued that in the case of moral language, the illocutionary act of describing a war as “unjust” may, as part and parcel of the description itself, also involve the perlocutionary force of recommending a negative attitude or action with respect to that war. For Hare, the prescriptive dimension of such an assertion must be constrained by the requirements of universalizability—hence, Hare’s metaethical position is referred to as “universal prescriptivism.”

More recently, sophisticated versions of non-cognitivism have flourished that build into moral expression not only the individual speaker’s normative endorsement, but also an appeal to a socially-shared norm that helps contextualize the endorsement. Thus, Alan Gibbard (1990) defends norm-expressivism, according to which moral statements express commitments not to idiosyncratic personal feelings, but instead to the particular (and, for Gibbard, evolutionarily adaptive) cultural mores that enable communication and social coordination.

Non-cognitivists have also attempted to address the Frege-Geach Problem discussed above, by specifying how the expression of attitudes functions in moral discourse. Simon Blackburn (1984), for instance, has famously argued that non-cognitivism is a claim only about the moral, not the logical parts of discourse. Thus, according to Blackburn, to say that “If it is wrong to lie, then it is wrong to get one’s sibling to lie” can be understood as expressing not an attitude toward lying itself (which is couched in merely hypothetical terms), but rather an attitude toward the disposition to express an attitude toward lying (that is, a kind of second-order sentiment). Since this still essentially involves the expression of attitudes rather than truth-apt assertions, it’s still properly a type of non-cognitivism; yet, by distinguishing expressing an attitude directly from expressing an attitude about another (hypothetical) attitude, Blackburn thinks the logical and grammatical structure of our discourse is preserved. Since this view combines the expressive thesis of non-cognitivism with the logical appearance of moral realism, Blackburn dubs it “quasi-realism”. For a critical response to Blackburn’s attempted solution to the Frege-Geach Problem, see Wright (1988). For an accessible survey of the history of the debate surrounding the Frege-Geach Problem, see Schroeder (2008), and for attempts to articulate new hybrid theories that combine elements of both cognitivism as well as non-cognitivism, see Ridge (2006) and Boisvert (2008).

One complication in the ongoing debate between cognitivist versus non-cognitivist accounts of moral language is the growing realization of the difficulty in conceptually distinguishing beliefs from desires in the first place. Recognition of the mingled nature of cognitive and non-cognitive states can arguably be found in Aristotle’s view that how we perceive and conceptualize a situation fundamentally affects how we respond to it emotionally; not to mention Sigmund Freud’s commitment to the idea that our emotions themselves stem ultimately from (perhaps unconscious) beliefs (compare, Neu 2000). Much contemporary metaethical debate between cognitivists and non-cognitivists thus concerns the extent to which beliefs alone, desires alone, or some compound of the two—what J.E.J. Altham (1986) has dubbed “besires”—are capable of capturing the prescriptive and affective dimension that moral discourse seems to evidence (see Theories of Emotions).

b. Theories of Moral Truth

A related issue regarding the semantics of metaethics concerns what it would even mean to say that a moral statement is “true” if some form of cognitivism were correct. The traditional philosophical account of truth (called the correspondence theory of truth) regards a proposition as true just in case it accurately describes the way the world really is independent of the proposition. Thus, the sentence “The cat is on the mat” would be true if and only if there really is a cat who is really on a mat. According to this understanding, moral expressions would similarly have to correspond to external features about the world in order to be true: the sentence “Murder is wrong” would be true in virtue of its correspondence to some “fact” in the world about murder being wrong. And indeed, several metaethical positions (often grouped under the title of “realism” or “objectivism”—see section four below) embrace precisely this view; although exactly what the features of the world are to which allegedly true moral propositions correspond remains a matter of serious debate. However, there are several obvious challenges to this traditional correspondence account of moral truth. For one thing, moral properties such as “wrongness” do not seem to be the sort of entities that can literally be pointed to or picked out by propositions in the same way that cats and mats can be, since the moral properties are not spatial-temporal objects. As David Hume famously put it,

Take any action allow’d to be vicious: Wilful murder, for instance. Examine it in all lights, and see if you can find that matter of fact, or real existence, which you call vice. In which-ever way you take it, you find only certain passions, motives, volitions and thoughts. There is no other matter of fact in the case. (Hume 1740: 468)

Other possible ontological models for what moral “facts” might look like are considered in section four below. In later years, however, several alternative philosophical understandings of truth have proliferated which might allow moral expressions to be “true” without requiring any correspondence to external facts per se. Many of these new theories of moral truth hearken to a suggestion by Ludwig Wittgenstein in the early twentieth-century that the meaning of any term is determined by how that term is actually used in discourse. Building on this insight about meaning, Frank Ramsey (1927) extended the account to truth itself. Thus, according to Ramsey, the predicate “is true” does not stand for a property per se, but rather functions as a kind of abbreviation for the indirect assertion of other propositions. For instance, Ramsey suggested that to utter the proposition “The cat is on the mat” is to say the same thing as “The sentence ‘the cat is on the mat’ is true.” The phrase “is true” in the latter utterance adds nothing semantically to what is expressed in the former, since in uttering the former, the speaker is already affirming that the cat is on the mat. This is an instance of the so-called disquotational schema, that is, the view that truth is already implicit in a sentence without the addition of the phrase “is true.” Ramsey wielded this principle to defend a deflationary theory of truth, wherein truth predicates are stripped of any metaphysically substantial property, and reduced instead merely to the ability to be formally represented in a language. Saying that truth is thus stripped of metaphysics is not to say that it is determined by usage in an arbitrary or unprincipled way. This is because, while the deflationary theory defines “truth” merely as the ability to be represented in a language, there are always syntactic rules that a language must follow. The grammar of a language thus constrains what can be properly expressed in that language, and therefore (on the deflationary theory) what can be true. Deflationary truth is in this way constrained by what may be called “warranted assertibility,” and since deflationary truth just is what can be expressed by the grammar of a language, we can say more strongly that truth is warranted assertibility.

Hilary Putnam (1981) has articulated an influential challenge to the deflationary account. He argues that deflationary truth is unable to accommodate the fact that we normally think of truth as eternal and stable. But if truth just is warranted assertibility (or what Putnam calls “rational acceptability”), then it becomes mutable since warranted assertibility varies depending on what information is available. For instance, the proposition “the Earth is flat” could have been asserted with warrant (that is, accepted rationally) a thousand years ago in a way that it could not be today because we now have more information available about the Earth. But, though warranted assertibility changed in this case, we wouldn’t want to say that the truth of the proposition “the Earth is flat” changed. Based on these problems, philosophers like Putnam refine the deflationary theory by substituting a condition of ideal warrant or justification, that is, where warranted assertibility is not relative to what specific information a speaker may have at a specific moment, but to what information would be accessible to an ideal epistemic agent. What kind of information would such an ideal speaker have? Putnam characterizes the ideal epistemic situation as involving information that is both complete (that is, involving everything relevant) and consistent (that is, not logically contradictory). These two conditions combine to affect a convergence of information for the ideal agent— a view Putnam calls “internal realism.”

This tradition of deflating truth—of what Jamie Dreier has described as “sucking the substance out of heavy-duty metaphysical concepts” (Dreier 2004: 26)—has received careful exposition in recent years by Crispin Wright. Wright (1992) defends a theory of truth he calls “minimalism.” Though indebted in fundamental ways to the tradition—from Wittgenstein to Ramsey to Putnam—discussed above, Wright’s position differs importantly from these accounts. Wright agrees with Putnam’s criticism of traditional deflationary theories of truth, namely that they make truth too variable by identifying it with something as mutable as warranted assertibility. However, Wright disagrees with Putnam that truth is constrained by the convergence of information that would be available to an epistemically ideal agent. This is because Wright thinks that it is apparent to speakers of a language that something may be true even if it is not justified in ideal epistemic conditions. Wright calls this apparentness a “platitude.” Platitudes, says Wright, are what ordinary language users pre-theoretically mean, and Wright identifies several specific platitudes we have concerning truth, for example, that a statement can be true without being justified, that truth-apt propositions have negations that are also thereby truth-apt, and so forth. Such platitudes serve the same purpose of checking and balancing truth that warranted assertibility or ideal convergence served in the theories of Ramsey and Putnam (Wright calls this check and balance “superassertability”). As Wright puts it, “If an interpretation of “true” satisfies these platitudes, there is, for minimalism, no further, metaphysical question whether it captures a concept worth regarding as truth” (1992: 34). Wright’s theory of minimalist truth has been extraordinarily influential in metaethics, particularly by non-cognitivists eager to accommodate some of the logical structure that moral discourse apparently evidences, but without viewing moral utterances as expressing beliefs that must literally correspond to facts. Such a non-cognitivist theory of minimalist moral truth is defended by Simon Blackburn (1993), who characterizes the resultant view as “quasi-realism” (as discussed in section 3a above). For a critical discussion of the extent to which non-cognitivist views such as Blackburn’s quasi-realism can leverage Wright’s theory of minimalism, see the debate between Michael Smith (1994) and John Divers and Alexander Miller (1994).

4. Ontological Issues in Metaethics

a. Moral Realisms

If moral truth is understood in the traditional sense of corresponding to reality, what sort of features of reality could suffice to accommodate this correspondence? What sort of entity is “wrongness” or “goodness” in the first place? The branch of philosophy that deals with the way in which things exist is called “ontology”, and metaethical positions may also be divided according to how they envision the ontological status of moral values. Perhaps the biggest schism within metaethics is between those who claim that there are moral facts that are “real” or “objective” in the sense that they exist independently of any beliefs or evidence about them, versus those who think that moral values are not belief-independent “facts” at all, but are instead created by individuals or cultures in sometimes radically different ways. Proponents of the former view are called realists or objectivists; proponents of the latter view are called relativists or subjectivists.

Realism / objectivism is often defended by appeal to the normative or political implications of believing that there are universal moral truths that transcend what any individual or even an entire culture might think about them (see sections two and eight). Realist positions, however, disagree about what precisely moral values are if they are causally independent from human belief or culture. According to some realists, moral values are abstract properties that are “objective” in the same sense that geometrical or mathematical properties might be thought to be objective. For example, it might be thought that the sentence “Dogs are canines” is true in a way that is independent from what humans think about it, without thereby believing that there is a literal, physical thing called “dogs”— for, dogs-in-general (rather than a particular dog, say, Fido) is an abstract concept. Some moral realists envision moral values as real without being physical in precisely this way; and because of the similarity between this view and Plato’s famous Theory of Forms, such moral realists are also sometimes called moral Platonists. According to such realists, moral values are real without being reducible to any other kinds of properties or facts: moral values instead, according to these realists, are ontologically unique (or sui generis) and irreducible to other kinds of properties. Proponents of this type of Platonist or sui generis version of moral realism include G.E. Moore (1903), W.D. Ross (1930), W.D. Hudson (1967), Iris Murdoch (1970, arguably), and Russ Shafer-Landau (2003). Tom Regan (1986) also discusses the effect of this metaethical position on the general intellectual climate of the fin de siècle movement known as the Bloomsbury Group.

Other moral realists, though, conceive of the ontology of moral properties in much more concrete terms. According to these realists, moral properties such as “goodness” are not purely abstract entities, but are always instead realized and embodied in particular physical states of affairs. These moral realists often draw analogies between moral properties and scientific properties such as gravity, velocity, mass, and so forth. These scientific concepts are commonly thought to exist independent of what we think about them, and yet they are not part of an ontologically distinct world of pure, abstract ideas in the way that Plato envisioned. So too might moral properties ultimately be reducible to scientific features of the world in a way that preserves their objectivity. An early proponent of such a naturalistic view is arguably Aristotle himself, who anchored his ethics to an understanding of what biologically makes human life flourish. For a later Aristotelian moral realism, see Paul Bloomfield (2001). However, for questions about the extent to which Aristotelianism can truly pair with moral realism, see Robert Heinaman (1995). Note also that several other metaethicists who share broadly Aristotelian conceptions of human needs and human flourishing nonetheless reject realism, arguing that even a shared human nature still essentially locates moral values in human sensibility rather than in some trans-human moral reality. For examples of such naturalistic moral relativism, see Philippa Foot (2001) and David B. Wong (2006). Similar claims about the ineliminable roles that human sensibility and language play in constituting moral reality have looked less to Aristotle and more to Wittgenstein; although, as with the former, there may be some discomfort allowing views that closely link morality with human sensibilities to be called genuinely “realist.” For examples, see in particular David Wiggins (1976) and Sabina Lovibond (1983). Other notable theorists who have advanced Wittgensteinian accounts of the constitutive role that language and context play in our understanding of morality include G.E.M. Anscombe (1958) and Alasdair MacIntyre (1981), although both are explicitly agnostic about whether this commits them to moral realism or relativism.

The naturalistic tradition of moral realism is continued by contemporary theorists such as Alan Gewirth (1980), Deryck Beyleveld (1992), and Michael Boylan (2004) who similarly seek to ground moral objectivity in certain universal features of humans. Unlike Aristotelian appeals to our biological and social nature, however, these theorists adopt a Kantian stance, which appeals to the capacities and requirements of rational agency—for example, what Gewirth has called “the principle of generic consistency.” While these neo-Kantian theories are more focused on questions about the justification of moral beliefs rather than on the existence of belief-independent values or properties, they may nonetheless be classed as moral realisms in light of their commitment to the objective and universal nature of rationality. For commentary and discussion of such theories, see in particular Steigleder (1999), Boylan (1999), Spence (2006), and Gordon (2009).

Other naturalistic theories have looked to scientific models of property reductionism as a way of understanding moral realism. In the same way that, for instance, our commonsense understanding of “water” refers to a property that, at the scientific level, just is H2O, so too might moral values be reduced to non-moral properties. And, since these non-moral properties are real entities, the resultant view about the values that reduce to them can be considered a form of moral realism—without any need to posit trans-scientific, other-worldly Platonic entities. This general approach to naturalistic realism is often referred to as “Cornell Realism” in light of the fact that several of its prominent advocates studied or taught at Cornell University. Geoff Sayre-McCord (1988) has also famously dubbed it “New Wave Moral Realism.” Individual proponents of such a view may have divergent views concerning how the alleged “reduction” of the moral to the non-moral works precisely. Richard Boyd (1988), for instance, defends the view that the reductive relationship between moral and non-moral properties is a priori and necessary, but not thereby singular; moral properties might instead reduce to a “homeostatic cluster” of different overlapping non-moral properties.

Several other notable examples of scientifically-minded naturalistic moral realism have been defended. Nicholas Sturgeon (1988) has similarly argued in favor of a reduction of moral to non-moral properties, while emphasizing that a reduction at the level of the denotation or extension of our moral terms need not entail a corresponding reduction at the level of the connotation or intension of how we talk about morality. In other words, we can affirm that values just are (sets of) natural properties without thereby thinking we can or should abandon our moral language or explanatory/justificatory processes. David Brink (1989) has articulated a similar type of naturalistic moral realism which emphasizes the epistemological and motivational aspects of Cornell Realism by defending a coherentist account of justification and an externalist theory of motivation, respectively. Peter Railton (1986) has also offered a version of naturalistic moral realism according to which moral properties are reduced to non-moral properties; however, the non-moral properties in question are not so much scientific properties (or clusters of such properties), but are instead constituted by the “objective interests” of ideal epistemic agents or “impartial spectators.” Yet another variety of naturalistic moral realism has been put forward by Frank Jackson and Philip Pettit (1995). According to their view of “analytic moral functionalism,” moral properties are reducible to “whatever plays their role in mature folk morality.” Jackson’s (1998) refinement of this position—which he calls “analytic descriptivism”—elaborates that the “mature folk” properties to which moral properties are reducible will be “descriptive predicates” (although Jackson allows for the possibility that these descriptive predicates need not be physical or even scientific).

A helpful way to understand the differences between all these varieties of moral realism—namely, the Platonic versus the naturalistic versions— is by appeal to a famous argument advanced by G.E. Moore at the beginning of twentieth-century metaethics. Moore—himself an advocate of the Platonic view of morality—argued that moral properties such as “good” cannot be solely defined by scientific, natural properties such as “biological flourishing” or “social coordination” for the simple reason that, given such an alleged definition, we could still always sensibly ask whether such scientific properties were themselves truly good or not. The apparent ability to always keep the moral status of any scientific or natural thing an “open question” led Moore to reject any analysis of morality that defined moral values as anything other than simply “moral,” period. Any attempt to violate this ban must result, Moore believed, in the committing of a “naturalistic fallacy.” Moral Platonists or non-naturalistic realists tend to view Moore’s Open Question Argument as persuasive. Naturalistic realists, by contrast, argue that Moore’s argument is unconvincing on the grounds that not all truths— moral or otherwise— necessarily need to be true solely by definition. After all, such realists will argue, scientific statements such as “Water is H2O” is true even though people can (and did for a long time) question this definition.

Michael Smith (1994) has referred to this realist strategy of defining moral properties as naturalistic properties which humans discover, rather than which are simply true by definition, as “synthetic ethical naturalism.” One argument against this form of moral realism has been developed by Terry Horgan and Mark Timmons (1991), on the basis of a thought-experiment called Moral Twin Earth. This thought-experiment asks us to imagine two different worlds, the actual Earth as we know it and an alternate-reality Earth in which the same moral terms as those on the actual Earth are used to refer to the same natural/scientific properties (as the naturalistic moral realist wants to say). However, Horgan and Timmons point out that we can at the same time imagine that the moral terms on our actual Earth refer to, say, properties that maximize overall happiness (as Utilitarianism maintains), while also imagining that the moral terms used on hypothetical Moral Twin Earth refer to properties of universal rationality (as Kantian normative theorists maintain). But this would show that the moral terms used on actual Earth versus those used on Moral Twin Earth have different meanings, because they refer to different normative theories. This implies that it would be the normative theories themselves that are causing the difference in the meaning of the moral terms, not the natural properties since those are identical across the two worlds. And since naturalistic (a.k.a. Cornell) moral realism maintains that moral properties are identical at some level to natural properties, Horgan and Timmons think this thought-experiment disproves naturalistic realism. In other words, if the naturalistic realists were correct about the reduction of moral to non-moral predicates, then the Earthlings and Twin Earthlings would have to be interpreted not as genuinely disagreeing about morality, but as instead talking past one another altogether; and, according to Horgan and Timmons, this would be highly counter-intuitive, since it seems on the surface that the two parties are truly disagreeing.

Centrally at issue in the Moral Twin Earth argument is the question of how precisely naturalistic realists envision moral properties being “reduced” to natural, scientific properties in the first place. Such realists frequently invoke the metaphysical relationship of supervenience to account for the way that moral properties might connect to scientific properties. For one property or set of properties to supervene on another means that any change in one must necessarily result in a corresponding change in the other. For instance, to say that the color property of greenness supervenes on grass is to say that if two plots of grass are identical in all biological, scientific ways, then they will be green in exactly the same way too. Simon Blackburn (1993: 111-129), however, has raised a serious objection to using this notion to explain moral supervenience. Blackburn claims that if moral properties did supervene on natural properties, then we should be able to imagine two different worlds (akin to Horgan and Timmons’ Moral Twin Earth) where killing is morally wrong in one world, but not wrong in the other world— all we would have to do is imagine two worlds in which the natural, scientific facts were different. And if we can coherently imagine these two worlds, then there is no reason why we should not also be able to imagine a third “mixed” world in which killing is sometimes wrong and sometimes not. But Blackburn does not think we can in fact imagine such a strange morally mixed world— for, he believes that it is part of our conception of morality that moral wrongness or rightness does not just change haphazardly from case to case, all things being equal. As Blackburn says, “While I cannot see an inconsistency in holding this belief [namely, the view that moral propositions report factual states of affairs upon which the moral properties supervene in an irreducible way], it is not philosophically very inviting. Supervenience becomes, for the realist, an opaque, isolated, logical fact for which no explanation can be proffered” (1993: 119). In this way, Blackburn is not objecting to the supervenience relation per se, but rather to attempts to leverage this relation in favor of moral realism. For a critical examination of supervenience in principle, see Kim (1990); Blackburn attempts to refurbish his notion of supervenience in response to Kim’s critique in Blackburn (1993: 130-148).

Apart from the debate between naturalistic versus non-naturalistic moral realists, some metaethicists have explored the possibility that moral properties might be “real” without needing to be fully independent from human sensibility. According to these theories of moral realism, moral values might be akin to so-called “dispositional properties.” A dispositional property (sometimes understood as a “secondary quality”) is envisioned as a sort of latent potential or disposition, inherent in some external object or state of affairs, that becomes activated or actualized through involvement on the part of some other object or state of affairs. Thus, for example, the properties of being fragile or looking red are thought to involve a latent disposition to break under certain conditions or to appear red in a certain light. The suggestion that moral values might be similarly dispositional was made famous by John McDowell (1985). According to this view, moral properties such as “goodness” can still be real at the level of dispositional possibility (in the same way that glass is still fragile even when it is not breaking, or that blood is red even in the darkness), while still only being expressible by reference to the features (actual moral agents, in the case of morality) that would actualize those dispositions. For similar metaethical positions that seek to articulate a model of moral values which are objective, yet relational to aspects of human sensibility, see David Wiggins (1976), Sabina Lovibond (1983), David McNaughton (1988), Mark Platts (1991), Jonathan Dancy (2000), and DeLapp (2009). Arguments against this form of dispositional moral realism typically attempt to leverage alleged disanalogies between moral properties and other, non-moral dispositional properties (see especially Blackburn 1993).

b. Moral Relativisms

Other metaethical positions reject altogether the idea that moral values— whether naturalistic, non-naturalistic, or dispositional—are real or objective in the sense of being independent from human belief or culture in the first place. Such positions instead insist on the fundamentally anthropocentric nature of morality. According to such views, moral values are not “out there” in the world (whether as scientific properties, dispositional properties, or Platonic Forms) at all, but are created by human perspectives and needs. Since these perspectives and needs can vary from person to person or from culture to culture, these metaethical theories are usually referred to as either “subjectivism” or “relativism” (sometimes moral nihilism as well; although, this is a more normatively loaded term). Many of the reasons in favor of metaethical relativism concern either a rejection of the realist ontological models discussed above, or else by appeal to psychological, epistemological, or anthropological considerations (see sections 5, 6, 7 below).

Most forms of metaethical relativism envision moral values as constructed for different, and sometimes incommensurable human purposes such as social coordination, and so forth. This view is explicitly endorsed by Gilbert Harman (1975), but may also be implicitly associated in different ways with any position that conceives of moral value as constructed by divine commands (Adams 1987; see also Divine Command Theory), idealized human rationality (Korsgaard 1996) or perspective (Firth 1952), or a social contract between competing interests (Scanlon 1982; Copp 2007). For this reason, the view is also sometimes known as moral constructivism (compare, Shafer-Landau 2003: 39-52). Furthermore, metaethical relativism must be distinguished from the non-cognitivist metaethical views considered above in section three. Non-cognitivism is a semantic thesis about what moral utterances mean—namely, that moral utterances are neither true nor false at all, but instead express prescriptive endorsements or norms. Metaethical subjectivism/relativism/constructivism, by contrast, acknowledges the semantic accuracy of cognitivism—according to which moral utterances are either true or false— but insists that such utterances are always, as it happens, false. That is, metaethical subjectivism/relativism/constructivism is a thesis about the (lack of) moral facts in the world, not a thesis about what we humans are doing when we try to talk about such facts. And since metaethical subjectivism/relativism/constructivism thinks that our cognitivist moral language is systematically false, it may also be known as moral error theory (Mackie 1977) or moral fictionalism (Kalderon 2005).

Although metaethical relativism is often depicted as embracing a valueless world of moral free-for-all, more sophisticated versions of the theory have attempted to place certain boundaries on morality in a way that still affirms the fundamental human-centeredness of values. Thus, David B. Wong (1984; 2006) has defended a view he calls pluralistic moral relativism according to which moral values are constructed differently by different social groups for different purposes; but in such a way that the degree of relativity will be nonetheless constrained by a generally uniform biological account of human nature and flourishing. A similar conception of metaethical relativism that is nonetheless grounded in some notion of universal human biological characteristics may be found in Philippa Foot (2001).

5. Psychology and Metaethics

One of the most pressing questions within analytic metaethics concerns how morality engages our embodied human psychologies. Specifically, how (if at all) do moral judgments move us to act in accordance with them? Is there any reason to be moral for its own sake, and can we give any psychologically persuasive reasons to others to act morally if they do not already acknowledge such reasons? Is it part of the definition of moral concepts such as “right” and “wrong” that they should or should not be pursued, or is it possible to know that, say, murder is morally wrong, but nonetheless not recognize any reason not to murder?

a. Motivation and Moral Reasons

Those who argue that the psychological motivation to act morally is already implicit in the judgment that something is morally good, are commonly called motivational internalists. Motivational internalists may further be divided into weak motivational internalists or strong motivational internalists, according to the strength of the motivation that they think true moral judgments come pre-packaged with. Thus, the Socratic view that evil is always performed out of ignorance (for no one, goes the argument, would knowingly do something that would morally damage their own character or soul) may be seen as a type of strong motivational internalism. Weaker versions of motivational internalism may insist only that moral judgments supply their own impetus to act accordingly, but that this impetus can (and perhaps often does) get overruled by countervailing motivational forces. Thus, Aristotle’s famous account of “weakness of the will” has been interpreted as a weaker sort of motivational internalism, according to which a person may recognize that something is morally right, and may even want at some level to do what is right, but is nonetheless lured away from such action, perhaps through stronger temptations.

Apart from what actually motivates people to act in accordance with their moral judgments, however, there is the somewhat different question about whether such judgments also supply their own intrinsic reasons to act in accordance with them. Reasons-externalists assert that sincerely judging that something is morally wrong, for instance, automatically supplies a reason for the judger that would justify her acting on the basis of that judgment, that is, a reason that is external to or independent of what the judger herself feels or wants. This need not mean that such a justification is an objectively adequate justification (that would hinge on whether one was a realist or relativist about metaethics), only that it would make sense as a response to the question “Why did you do that?” to say “Because I judged that it was morally right” (compare, McDowell 1978; Shafer-Landau 2003). According to reasons-internalists, however, judging and justifying are two conceptually different matters, such that someone could make a legitimate judgment that an action was morally wrong and still fail to recognize any reason that would justify their not performing it. Instead, sufficiently justifying moral reasons must exist independently and internally to a person’s psychological makeup (compare, Foot 1972; Williams 1979).

Closely related to the debates between internalism and externalism is the question of the metaethical status of alleged psychopaths or sociopaths. According to some moral psychologists, such individuals are characterized by a failure to distinguish moral values from merely conventional values. Several metaethicists have pointed to the apparent existence of psychopaths as support for the truth of either motivational or reasons-externalism; since psychopaths seem to be able to judge that, for instance, murder or lying are morally wrong, but either feel little or no motivation to refrain from these things, or else do not recognize any reason that should justify refraining from these things. Motivational internalists and reasons-externalists, however, have also sought to accommodate the challenge presented by the psychopath, for example, by arguing that the psychopath does not truly, robustly know that what she is doing is wrong, but only knows how to use the word “wrong” in roughly the way that the rest of society does.

A separate issue related to the internalist/externalist debate concerns the apparent psychological uniqueness of moral judgments. Specifically, at least according to the motivational internalist and reasons-externalist, moral judgments are supposed to supply, respectively, their own inherent motivations or justifying reasons, that is, their own intrinsic quality of “to-be-pursuedness.” Yet, this would seem to render morality suspiciously unique—or what J.L. Mackie (1977) calls “metaphysically queer”— since all other, non-moral judgments (for example, scientific, factual, or perceptual judgments) do not seem to provide any inherent motivations or justifications. The objection is not that non-moral judgments (for example, “This coffee is decaffeinated”) supply no motivational or justificatory force, but merely that any such motivation or justificatory force hinges on other psychological factors independent of the judgment itself (that is, the judgment about the coffee being decaffeinated will only motivate or provide a reason for you to drink it if you already have the desire to avoid caffeine). Unlike the factual judgment about the coffee, though, the moral judgment that an action is wrong is supposed to be motivating or reasons-giving regardless of the judger’s personal desires or interests. Motivational internalists or reasons-externalists have responded to this alleged “queerness” by either embracing the uniqueness of moral judgments, or else by attempting to articulate other examples of non-moral judgments which might also inherently supply motivation or reasons.

b. Experimental Metaethics

Not only has psychology been of interest to metaethicists, but metaethics has also been of interest to psychologists. The movement known as experimental philosophy (compare, Appiah 2008; Knobe and Nichols 2008)— which seeks to supplement theoretical philosophical claims with empirical attention to how people actually think and act— has yielded numerous suggestive findings about a variety of metaethical positions. For example, drawing on empirical research in social psychology, several philosophers have suggested that moral judgments, motivations, and evaluations are highly sensitive to situational variables in a way that might challenge the universality or autonomy of morality (Flanagan 1991; Doris 2002). Other moral psychologists have explored the possibilities of divergences in moral reasoning and valuation with respect to gender (Gilligan 1982), ethnicity (Markus and Kitayama 1991; Miller and Bersoff 1992), and political affiliation (McCrae 1992; Haidt 2007).

The specific debate between metaethical realism and relativism has also recently been examined from experimental perspectives. It has been argued that an empirically-informed analysis of people’s actual metaethical commitments (such as they are) is needed as a check and balance on the many frequent appeals to “commonsense morality” or “ordinary moral experience.” Realists as well as relativists have often used such appeals as a means of locating a burden of proof for or against their theories, but the actual experimental findings about lay-people’s metaethical intuitions remain mixed. For examples of realists assuming folk realism, see Brink (1989: 25), Smith (1994: 5), and Shafer-Landau (2003: 23); for examples of relativists assuming folk relativism, see Harman (1985); and for examples of relativists assuming folk realism, see Mackie (1977) and Joyce (2001: 70). William James (1896: 14) offered an early psychological description of humans as “absolutists by instinct,” although James’ specific metaethical commitments remain unclear (compare, Suckiel 1982). On the one hand, Shaun Nichols (2004) has argued that metaethical relativism is particularly pronounced among college undergraduates. On the other hand, William Rottschaefer (1999) has argued instead that moral realism is empirically supported by attention to effective child-rearing practices.

c. Moral Emotions

Another psychological topic that has been of interest to metaethicists is the nature and significance of moral emotions. One aspect of this debate has been the perennial question of whether it is fundamentally rationality which supplies our moral distinctions and motivations, or whether these are instead generated or conditioned by passions and sentiments which are separate from reason. (See section 5a above for more on this debate.) In particular, this debate was one of the dividing issues in eighteenth-century ethics between the so-called Intellectualist School (for example, Ralph Cudworth, William Wollaston, and so forth), which stressed the rational grasp of certain “moral fitnesses” on the one hand, and the Sentimentalist School (for example, Shaftesbury, David Hume, and so forth), which stressed the role played by our non-cognitive “moral sense” on the other hand (compare, Selby-Bigge 1897; see also Darwall 1995 for an application of these views to contemporary metaethical debates about moral motivation and knowledge).

Aside from motivational and epistemological issues, however, moral emotions have been of interest to metaethicists in terms of the apparent phenomenology they furnish. In particular, attention has been given to which metaethical theory, if any, better accommodates the existence of self-regarding “retributive emotions,” such as guilt, regret, shame, and remorse. Martha Nussbaum (1986) and Bernard Williams (1993), for example, have drawn compelling attention to the powerful emotional responses characteristic of Greek tragedy, and the so-called moral luck that such experiences seem to involve. According to Williams (1965), sensitivity to moral dilemmas will reveal a picture of the moral sphere according to which even the best-intentioned actions may leave moral “stains” or “remainders” on our character. Michael Stocker (1990) extends this analysis of moral emotions to more general scenarios of ineliminable conflicts between values, and Kevin DeLapp (2009) explores the specific implications of tragic emotions for theories of moral realism. By contrast, Gilbert Harman (2009) has argued against the moral (let alone metaethical) significance of guilt feelings. Patricia Greenspan (1995), however, has leveraged the phenomenology of guilt (particularly as she identifies it in cases of unavoidable wrong-doing) as a defense of moral realism. For more perspectives on the nature and significance of moral dilemmas, see Gowans (1987). For more on the philosophy of emotions in general, see Calhoun & Solomon (1984).

6. Epistemological Issues in Metaethics

Analytic metaethics also explores questions of how we make moral judgments in the first place, and how (if at all) we are able to know moral truths. The field of moral epistemology can be divided into questions about what moral knowledge is, how moral beliefs can be justified, and where moral knowledge comes from.

a. Thick and Thin Moral Concepts

Moral epistemology explores the contours of moral knowledge itself—not the specific content of individual moral beliefs, but the conceptual characteristics of moral beliefs as a general epistemic category. Here, one of the biggest questions concerns whether moral knowledge involves claims about generic moral values such “goodness” or “wrongness” (so-called “thin” moral concepts) or whether moral knowledge may be obtained at the somewhat more concrete level of concepts such as “courage”, “intemperance”, or “compassion” (which seem to have a “thicker” descriptive content). The general methodology of the thick-thin distinction was popularized by Clifford Geertz (1973) following the introduction of the terminology by Gilbert Ryle (1968). Its specific application to metaethics, however, is due largely to Bernard Williams’ (1985) famous argument that genuine (that is, action-guiding) moral knowledge can only exist at the thicker level of concrete moral concepts. This represents what Williams called the “limits of philosophy,” since philosophical theorizing aims instead at more abstract, thin moral principles. Furthermore, according to Williams, this epistemological point about the thickness of moral knowledge has important implications for the ontology of moral values; namely, Williams defends a kind metaethical relativism on the grounds that, even if thin moral concepts such as “goodness” are universal across different societies, the more specific thick concepts that he thinks really matter to us morally are specified in often divergent ways, for example, two societies that both praise “goodness” may nonetheless have quite different understandings of what counts as “bravery”.

Emphasis on thick moral concepts has been prevalent in virtue ethics in general. For example, Alasdair MacIntyre (1984) has famously defended the neo-Aristotelian view that ethics must be grounded in a “tradition” that is coherent and stable enough to thickly specify virtues and virtuous role-models. Indeed, part of the challenge that MacIntyre sees facing contemporary societies is that increased cross-cultural interconnectedness has fomented a fragmentation of traditional virtue frameworks, engendering a moral cacophony that threatens to undermine moral motivation, knowledge, and even our confidence in what counts as “rational” (MacIntyre 1988). More recently, David B. Wong (2000) has offered a contemporary Confucian response to MacIntyre-style worries about moral fragmentation in democratic societies, arguing that pluralistic societies may still retain a coherent tradition in the form of civic “rituals” such as voting.

A related metaethical issue concerns the scope of moral judgments and the extent to which such judgments may ever legitimately be made universally or whether they ought instead to be indexed to particular situations or contexts; this view is commonly known as moral particularism (compare, Hooker and Little 2000; Dancy 2006).

b. Moral Justification and Explanation

Metaethical positions may also be divided according to how they envision the requirements of justifying moral beliefs. Traditional philosophical accounts of epistemological justification are requisitioned and modified specifically to accommodate moral knowledge. A popular version of a theory of moral-epistemic justification may be called metaethical foundationalism—the view that moral beliefs are epistemically justified by appeal to other moral beliefs, until this justificatory process terminates at some bedrock beliefs whose own justifications are “self-evident.” By contrast, metaethical coherentism requires for the epistemic justification of a moral belief only that it be part of a network of other beliefs, all of which are jointly consistent (compare, Sayre-McCord 1985; Brink 1989). Mark Timmons (1996) also defends a form of metaethical contextualism, according to which justification is determined either by reference to some relevant set of epistemic practices and norms (a view Timmons calls “normative contextualism” and which also bears strong similarity with the movement known as virtue epistemology), or else by reference to some more basic beliefs (a view Timmons calls “structural contextualism” and which seems very similar to foundationalism). Kai Nielsen (1997) has offered another account of contextualist ethical justification with reference to internal systems of religious belief and explanation (see Religious Epistemology).

Early 21st century work in metaethics has gone into exploring precisely what is involved in the “self-evidence” envisioned by foundationalist accounts of moral justification. Roger Crisp (2002) notes that most historical deployments of “self-evidence” in moral epistemology tended to associate it with obviousness or certainty. For instance, the ethical intuitionism of much of the early part of the 20th century (particularly following Moore’s Open Question Argument, as discussed above) tended to adopt this stance toward moral truths (compare, Stratton-Lake 2002). It was this understanding of metaethical foundationalism which led J.L. Mackie (1977) to object to what he saw as the “epistemological queerness” of realist or objectivist ontology. In later years, though, more sophisticated versions of metaethical foundationalism have sought interpretations of the “self-evidence” of basic, justifying moral beliefs in a way that need not involve dogmatic or naive assumptions of obviousness; but might instead require only that such basic moral beliefs are epistemically justified non-inferentially (Audi 1999; Shafer-Landau 2003). One candidate for what it might mean for a moral belief to be epistemically justified non-inferentially has involved an appeal to the model of perceptual beliefs (Blum 1991; DeLapp 2007). Non-moral perceptual beliefs are typically viewed as decisive vis-à-vis justification, provided the perceiver is in appropriate, reliable perceptual conditions. In other words, according to this view, the belief “There is a coffee mug in front of me” is epistemically justified just in case one takes oneself to be perceiving a coffee mug and provided that one is not suffering from hallucinations, merely using one’s peripheral vision, or in a dark room. (See also epistemology of perception.)

Although not addressing this issue of moral perception, Russ Shafer-Landau (2003) has argued on a related note that, ultimately, the difference between metaethical naturalism versus non-naturalism (as described in section 4a) might not be so much ontological or metaphysical, as it is epistemological. Specifically, according to Shafer-Landau, metaethical naturalists are those who require that the epistemic justification of moral beliefs be inferred on the basis of other non-moral beliefs about the natural world; whereas metaethical non-naturalists allow for the epistemic justification of moral beliefs to be terminated with some brute moral beliefs that are themselves sui generis.

Aside from the questions of the scope, source, and justification of moral beliefs, another epistemological facet of metaethics concerns the explanatory role that putative moral properties play with respect to moral beliefs. A useful way to frame this issue is by reference to Roderick Chisholm’s (1981) influential point about direct attribution. Chisholm noted that we refer to external things by attributing properties to them directly. Using this language, we may frame the metaethical question as whether or not our attribution of moral properties to actions, characters, and so forth, is “direct” (that is, external). Gilbert Harman (1977) has famously argued that our attribution of moral properties is not direct in this way. According to Harman, objective moral properties, if they existed, would be explanatorily impotent, in the sense that our specific, first-order moral beliefs can already be sufficiently accounted for by appealing to naturalistic, psychological, or perceptual factors. For example, if we were to witness people gleefully torturing a defenseless animal, we would likely form the belief that their action is morally wrong; but, according to Harman, we could adequately explain this moral evaluation solely by citing various sociological, emotional, behavioral, and perceptual causal factors, without needing to posit any mysterious additional properties that our evaluation is also channeling. This explanatory impotence, Harman believes, constitutes a serious disanalogy between, on the one hand, the role that abstract metaethical properties play in actual (first-order) moral judgments and, on the other hand, the role that theoretical scientific entities play in actual (first-order) perceptual judgments. For example, imagine that we were witnessing the screen-representation of a particle accelerator, instead of people torturing an animal. Although we do not literally see a subatomic particle on the screen (rather, we see a bunch of pixels which we interpret as referring to a subatomic particle) any more than we literally see “wrongness” floating around the animal-torturers, the essential difference between the two cases is that the additional abstract belief that there really are subatomic particles is necessary to explain why we infer them on the basis of screen-pixels; whereas, according to Harman, the alleged property of objective “wrongness” is unnecessary to explain why we disapprove of torture. Nicholas Sturgeon (1988), however, has argued contrary to Harman that second-order metaethical properties do play legitimate explanatory roles, for the simple reason that they are cited in people’s justification of why they find the torturing of animals morally wrong. Thus, for Sturgeon, what will count as the “best explanation” of a phenomenon—namely, the phenomenon of morally condemning the torturing of an animal—must be understood in the broader context of our overall explanatory goals, one of which will be to make sense of why we think that torturing animals is objectively wrong in the first place.

7. Anthropological Considerations

Although much of analytic metaethics concerns rarified debates that can often be highly abstracted from actual, applied moral concerns, several metaethical positions have also drawn heavily on cultural anthropological considerations to motivate or flesh-out their views. After all, as discussed above in section one, it has often been actual, historical moments of cultural instability or diversity that have stimulated metaethical reflection on the nature and status of moral values.

a. Cross-Cultural Differences

One of the most influential anthropological aspects of metaethics concerns the apparent challenge that pervasive and persistent cross-cultural moral disagreement would seem to present for moral realists or objectivists. If, as the realist envisions, moral values were truly universal and objective, then why is it the case that so many different people seem to have such drastically different convictions about what is right and wrong? The more plausible explanation of the fact that people persistently disagree about moral matters, so the argument goes, is simply that there are no objective moral truths capable of settling their dispute. As opposed to the apparent convergence in other, non-moral realms of dispute (for example, scientific, perceptual, and so forth), moral disagreement seems both ubiquitous and largely resistant to rational adjudication. J.L. Mackie (1977) leverages these features of moral disagreement to motivate what he calls The Argument from Relativity. This argument begins with the descriptive, anthropological observation that different cultures endorse different moral values and practices, and then argues as an inference to the most likely explanation of this fact that metaethical relativism best accounts for such cross-cultural discrepancies.

Mackie refers to such cross-cultural moral differences as “well-known” and, indeed, it seems prima facie obvious that different cultures have different practices. Mackie’s argument, however, seeks a diversity of practices that is not merely descriptively different on the surface, but that is deeply morally different, if not ultimately incommensurable. James Rachels (1986) describes the difference between surface, descriptive difference versus deep, moral difference by reference to the well-worn example of the traditional Inuit practice of leaving elders to die from exposure. Although at the surface level of description, this practice seems radically different from contemporary Western attitudes toward the ethical treatment of the elderly (pervasive elder-abuse notwithstanding), the underlying moral justification for the practice—namely, that material resources are limited, the elders themselves choose this fate, the practice is a way for elders to die with dignity, and so forth—sounds remarkably similar in spirit to the familiar sorts of moral values contemporary Westerners invoke.

Cultural anthropology itself has generated controversy regarding the extent as well as the metaethical significance of moral differences at the deep level of fundamental justifications and values. Responding to both the assumption of cultural superiority as well as the Romantic attraction to viewing exotic cultures as Noble Savages, early twentieth-century anthropologists frequently adopted a methodology of relativism, on the grounds that accurate empirical information would be ignored if a cultural difference was examined with any a priori moral bias. An early exponent of this anthropological relativism was William Graham Sumner (1906) who, reflecting on what he referred to as different cultural folkways (that is, traditions or practices), claimed provocatively that, “the folkways are their own warrant.” Numerous anthropologists who were influenced by Franz Boas (1911) adopted a similar refusal to morally evaluate cross-cultural differences, culminating in an explicit embrace of metaethical relativism by anthropologists such as Ruth Benedict (1934) and Melville Herskovits (1952).

Several notable philosophers in the Continental tradition have also affirmed the sociological and anthropological relativism mentioned above. Specifically, the deconstructivism of Jacques Derrida, with its suspicion regarding “logocentric” biases, might be understood as a warning against metaethical objectivism. Instead, a deconstructivist might argue that ethical meaning (like all meaning) is characterized by what Derrida called différance, that is, an intractable un-decidability. (See Derrida (1996), however, for the possibility of a less relativistic deconstructivist ethics.) Other contemporary Continental approaches have similarly eschewed realism. For example, Mary Daly (1978) has defended a radical feminist critique of the sexual biases inherent in how we talk about values. For other perspectives on the possible tensions between feminism and the metaethics of cultural diversity, see Okin (1999) and Nussbaum (1999: 29-54). Michel Foucault (1984) is also well-known for his general criticism of the uses and abuses of power in the construction and expression of moral valuations pertaining to mental health, sexuality, and criminality. Similar critiques concerning the transplantation of a particular set of cultural values to other cultural contexts have been expressed by a number of post-colonialists and literary theorists, who have theorized about the imperialism, silencing (Spivak 1988), Orientalism (Said 1978), and cultural hybridity (Bhabha 1994) such moral universalism may involve.

b. Cross-Cultural Similarities

For all the apparent cross-cultural moral diversity, however, there have also been several suggestions against extending anthropological relativism to the metaethical level. First, a variety of empirical studies seem to suggest that the degree of moral similarity at the deep level of fundamental justifications and values may be greater than Boas and his students anticipated. Thus, for example, Jonathan Haidt (2004) has argued that cross-cultural differences show strong evidence of resolving around a finite number of basic moral values (what Haidt calls “modules”). From a somewhat more abstract perspective, Thomas Kasulis (2002) has also defended the view that cross-cultural differences can be sorted into two fundamental “orientations.” However, the congealing of cross-cultural differences around a small, finite number of basic values need not prove moral realism—for, those basic values may themselves still be ultimately relative to human needs and perspectives (compare, Wong 2006).

There are also several theoretical challenges to inferring metaethical relativism from anthropological differences. For one thing, as Michele Moody-Adams (1997) has argued, metaethical assessments about the degree or depth of moral differences are “empirically underdetermined” by the anthropological description of the practices themselves. For example, anthropological data about the moral content of a culturally different practice may be biased on behalf of the cultural informant who supplies the data or characterization. Similar critiques of cross-cultural moral relativism have leveraged what is known as The Principle of Charity—the hermeneutic insight that differences must at least be commensurable enough to even be framed as “different” from one another in the first place. Thus, goes the argument, if cross-cultural moral differences were so radically different as to be incomparable to one another, we could never truly morally disagree at all; we would instead be simply “talking past” one another (compare Davidson 2001). Much of our ability to translate between the moral practices of one culture and another—an ability central to the very enterprise of comparative philosophy—presupposes that even moral differences are still recognizably moral differences at root.

8. Political Implications of Metaethics

In addition to accommodating or accounting for the existence of moral disagreements, metaethics has also been thought to provide some insight concerning how we should respond to such differences at the normative or political level. Most often, debates concerning the morally appropriate response to moral differences have been framed against analyses concerning the relationship between metaethics and toleration. On the one hand, tolerating practices and values with which one might disagree has been a hallmark of liberal democratic societies. Should this permissive attitude, however, be extended indiscriminately to all values and practices with which one disagrees? Are some moral differences simply intolerable, such that it would undermine one’s own moral convictions to even attempt to tolerate them? More vexingly, is it conceptually possible or desirable to tolerate the intolerance of others (a paradox sometimes referred to as the Liberal’s Dilemma)? Karl Popper (1945) famously argued against the toleration of intolerance, which he saw as an overly-indulgent extension of the concept and one which would undermine the “open society” he believed to be a prerequisite for toleration in the first place. By contrast, John Rawls (1971) has argued that toleration—even of intolerance—is a constitutive part of justice (derivable from what Rawls calls the “liberty principle” of justice), such that failure to be tolerant would entail failure to satisfy one of the requirements of justice. Rawls emphasizes, however, that genuine toleration need not lead to utopia or agreement, and that it is substantially different from a mere modus vivendi, that is, simply putting up with one another because we are powerless to do otherwise. According to Rawls, true toleration requires that we seek to bring our differences into an “overlapping consensus,” which he claims will be possible due to an inherent incompleteness and “looseness in our comprehensive views” (2001: 193).

The value of toleration is often claimed as an exclusive asset of individual metaethical theories. For example, metaethical relativists frequently argue that only by acknowledging the ultimately subjective and conventional nature of morality can we make sense of why we should not morally judge others’ values or practices—after all, according to relativism, there would be no culture-transcendent standard against which to make such judgments. For this reason, Neil Levy claims that, “The perception that relativism promotes, or is the expression of, tolerance of difference is almost certainly the single most important factor in explaining its attraction” (2002: 56). Indeed, even metaethical realists (Shafer-Landau 2004: 30-31) often observe that undergraduate endorsements of relativism seem to be motivated by an anxiety about condemning foreign practices. Despite the apparent leeway with respect to moral differences that metaethical relativism would appear to allow, several realists have argued, by contrast, that relativism could equally be as compatible with intolerance. After all, goes the argument, if nothing is objectively or universally morally wrong, then a fortiori intolerant practices cannot be said to be universally or objectively wrong either. People or cultures who do not approve of an intolerant practice would only be reflecting their own culture’s commitment to toleration (compare Graham 1996). For this reason, several metaethicists have argued that realism alone can support the commitment to toleration as a universal value—such that intolerance can be morally condemned—because only realism allows for the existence of universal, objective moral values (compare, Shafer-Landau 2004: 30-33). Nicholas Rescher (1993) expresses a related worry about what he calls “indifferentism”—a nihilistic nonchalance regarding specific ethical commitments that might be occasioned by an embrace of metaethical relativism. Rescher’s own solution to the potential problem of indifferentism (he calls his view “contextualism” or “perspectival rationalism”) involves the recognition of the reasons-giving nature of circumstances, such that different situations may supply their own “local” justifications for particular political or moral commitments.

The question of which metaethical theory—realism or relativism—can lay better claim to toleration, however, has been complicated by reflection on what “toleration” truly involves and whether it is always, in fact, a moral value. Andrew Cohen (2004), for instance, has argued that “toleration” by definition must involve some negative evaluation of the practice or value that is tolerated. Thus, on this analysis, it would seem that one may only tolerate that which one finds intolerable. This has led philosophers such as Bernard Williams (1996) to question whether toleration—understood as requiring moral disapproval—is even possible, let alone whether it is truly a moral value itself. (For more discussion on toleration, see Heyd 1996.) In a related vein, Richard Rorty (1989) has argued that what a society finds intolerant is itself morally constitutive of that society’s identity, and that recognition of the metaethical contingency of one’s particular social tolerance might itself provide an important sense of political “solidarity.” For these reasons, other philosophers have considered alternative understandings of toleration that might be more amenable to particular metaethical theories. David B. Wong (2006: 228-272), for example, has developed an account of what he calls accommodation, according to which even relativists may still share a higher-order commitment to the need for different practices and values to be arranged in such a way as to minimize social and political friction.

9. References and Further Reading

a. Textual Citations

  • Adams, Robert. (1987). The Virtue of Faith and Other Essays in Philosophical Theology. Oxford University Press.
  • Altham, J.E.J. (1986) “The Legacy of Emotivism,” in Macdonald & Wright, eds. Fact, Science, and Morality. Oxford University Press, 1986.
  • Appiah, Kwame Anthony. (2008). Experiments in Ethics. Harvard University Press.
  • Audi, Robert. (1999). “Moral Knowledge and Ethical Pluralism,” in Greco and Sosa, eds. Blackwell Guide to Epistemology, 1999, ch. 6.
  • Ayer, A.J. (1936). Language, Truth and Logic. Gollancz Press.
  • Benedict, Ruth. (1934). “Anthropology and the Abnormal,” Journal of General Psychology 10: 59-79.
  • Beyleveld, Deryck. (1992). The Dialectical Necessity of Morality. University of Chicago Press.
  • Bhabha, Homi. (1994). The Location of Culture. Routledge Press.
  • Blackburn, Simon. (1984). Spreading the Word. Oxford University Press.
  • Blackburn, Simon. (1993). Essays in Quasi-Realism. Oxford University Press.
  • Blair, Richard. (1995). “A Cognitive Developmental Approach to Morality: Investigating the Psychopath,” Cognition 57: 1-29.
  • Bloomfield, Paul. (2001). Moral Reality. Oxford University Press.
  • Blum, Lawrence. (1991). “Moral Perception and Particularity,” Ethics 101 (4): 701-725.
  • Boas, Franz. (1911). The Mind of Primitive Man. Free Press.
  • Boisvert, Daniel. (2008). “Expressive-Assertivism,” Pacific Philosophical Quarterly 89 (2): 169-203.
  • Boyd, Richard. (1988). “How to be a Moral Realist,” in Essays on Moral Realism, ed. Geoffrey      Sayre-McCord. Cornell University Press 1988, ch. 9.
  • Boylan, Michael. (2004). A Just Society. Rowman & Littlefield Publishers.
  • Boylan, Michael, ed. (1999). Gewirth: Critical Essays on Action, Rationality, and Community. Rowman & Littlefield Publishers.
  • Brink, David. (1989). Moral Realism and the Foundations of Ethics. Cambridge University Press.
  • Calhoun, Cheshire and Solomon, Robert, eds. What Is An Emotion? Oxford University Press.
  • Chisholm, Roderick. (1981). The First Person: An Essay on Reference and Intentionality. University of Minnesota Press.
  • Cohen, Andrew. (2004). “What Toleration Is,” Ethics 115: 68-95.
  • Copp, David. (2007). Morality in a Natural World. Cambridge University Press.
  • Daly, Mary. (1978). Gyn/Ecology: The Metaethics of Radical Feminism. Beacon Press.
  • Dancy, Jonathan. (2006). Ethics without Principles. Oxford University Press.
  • Dancy, Jonathan. (2000). Practical Reality. Oxford University Press.
  • Darwall, Stephen. (2006). “How Should Ethics Relate to Philosophy?” in Metaethics after Moore, eds. Terry Horgan & Mark Timmons. Oxford University Press 2006, ch.1.
  • Darwall, Stephen. (1995). The British Moralists and the Internal ‘Ought’. Cambridge University Press.
  • Davidson, Donald. (2001). Inquiries into Truth and Interpretation. Clarendon Press.
  • DeLapp, Kevin. (2009). “Les Mains Sales Versus Le Sale Monde: A Metaethical Look at Dirty Hands,” Essays in Philosophy 10 (1).
  • DeLapp, Kevin. (2009). “The Merits of Dispositional Moral Realism,” Journal of Value Inquiry 43 (1):        1-18.
  • DeLapp, Kevin. (2007). “Moral Perception and Moral Realism: An ‘Intuitive’ Account of Epistemic Justification,” Review Journal of Political Philosophy 5: 43-64.
  • Derrida, Jacques. (1996). The Gift of Death. University of Chicago Press.
  • Divers, John and Miller, Alexander. (1994). “Why Expressivists about Value Should Not Love Minimalism about Truth,” Analysis 54 (1): 12-19.
  • Dreier, James. (2004). “Meta-ethics and the Problem of Creeping Minimalism,” Philosophical Perspectives 18: 23-44.
  • Doris, John. (2002). Lack of Character. Cambridge University Press.
  • Dworkin, Ronald. (1996). “Objectivity and Truth: You’d Better Believe It,” Philosophy and Public Affairs 25 (2): 87-139.
  • Firth, Roderick. (1952). “Ethical Absolutism and the Ideal Observer Theory,” Philosophy and Phenomenological Research 12: 317-345.
  • Flanagan, Owen. (1991). Varieties of Moral Personality. Harvard University Press.
  • Foot, Philippa. (2001). Natural Goodness. Clarendon Press.
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Author Information

Kevin M. DeLapp
Email: kevin.delapp@converse.edu
Converse College
U. S. A.

Theory of Mind

Theory of Mind is the branch of cognitive science that investigates how we ascribe mental states to other persons and how we use the states to explain and predict the actions of those other persons. More accurately, it is the branch that investigates mindreading or mentalizing or mentalistic abilities. These skills are shared by almost all human beings beyond early childhood. They are used to treat other agents as the bearers of unobservable psychological states and processes, and to anticipate and explain the agents’ behavior in terms of such states and processes. These mentalistic abilities are also called “folk psychology” by philosophers, and “naïve  psychology” and “intuitive psychology” by cognitive scientists.

It is important to note that Theory of Mind is not an appropriate term to characterize this research area (and neither to denote our mentalistic abilities) since it seems to assume right from the start the validity of a specific account of the nature and development of mindreading, that is, the view that it depends on the deployment of a theory of the mental realm, analogous to the theories of the physical world (“naïve physics”). But this view—known as theory-theory—is only one of the accounts offered to explain our mentalistic abilities. In contrast, theorists of mental simulation have suggested that what lies at the root of mindreading is not any sort of folk-psychological conceptual scheme, but rather a kind of mental modeling in which the simulator uses her own mind as an analog model of the mind of the simulated agent.

Both theory-theory and simulation-theory are actually families of theories. Some theory-theorists maintain that our naïve theory of mind is the product of the scientific-like exercise of a domain-general theorizing capacity. Other theory-theorists defend a quite different hypothesis, according to which mindreading rests on the maturation of a mental organ dedicated to the domain of psychology. Simulation-theory also shows different facets. According to the “moderate” version of simulationism, mental concepts are not completely excluded from simulation. Simulation can be seen as a process through which we first generate and self-attribute pretend mental states that are intended to correspond to those of the simulated agent, and then project them onto the target. By contrast, the “radical” version of simulationism rejects the primacy of first-person mindreading and contends that we imaginatively transform ourselves into the simulated agent, interpreting the target’s behavior without using any kind of mental concept, not even ones referring to ourselves.

Finally, the claim─common to both theorists of theory and theorists of simulation─that mindreading plays a primary role in human social understanding was challenged in the early 21st century, mainly by phenomenology-oriented philosophers and cognitive scientists.

Table of Contents

  1. Theory-Theory
    1. The Child-Scientist Theory
    2. The Modularist Theory-Theory
    3. First-Person Mindreading and Theory-Theory
  2. Simulation-Theory
    1. Simulation with and without Introspection
    2. Simulation in Low-Level Mindreading
  3. Social Cognition without Mindreading
  4. References and Further Reading
    1. Suggested Further Reading
    2. References

1. Theory-Theory

Social psychologists have investigated mindreading since at least the 1940s. In Heider and Simmel’s (1944) classic studies, participants were presented with animated events involving interacting geometric shapes. When asked to report what they saw, the participants almost invariably treated these shapes as intentional agents with motives and purposes, suggesting the existence of an automatic capacity for mentalistic attribution. Pursuing this line of research would lead to Heider’s The Psychology of Interpersonal Relations (1958), a seminal book which is one of the main historical referents of the scientific inquiry into our mentalistic practice. In this book Heider characterizes “commonsense psychology” as a sophisticated conceptual scheme that has an influence on human perception and action in the social world comparable to that which Kant’s categorical framework has on human perception and action in the physical world (see Malle & Ickes 2000: 201).

Heider’s visionary work played a central role in the origination and definition of attribution theory, that is, the field of social psychology that investigates the mechanisms underlying ordinary explanations of our own and other people’s behavior. However, attribution theory is a quite different way of approaching our mentalistic practice. Heider took commonsense psychology in its real value of knowledge, arguing that scientific psychology has a good deal to learn from it. In contrast, most research on causal attribution has been faithful to behaviorism’s methodological lesson and focused on the epistemic inaccuracy of commonsense psychology.

Two years before Heider’s book, Wilfred Sellars’ (1956) Empiricism and the Philosophy of Mind had suggested that our grasp of mental phenomena does not originate from direct access to our inner life, but is the result of a “folk” theory of mind, which we acquire through some form or other of enculturation. Sellars’ speculation turned out to be very philosophically productive and in agreement with social-psychology research on self-attribution, coming to be known as “Theory-Theory” (a term coined by Morton 1980—henceforth “TT”).

During the 1970s one or other form of TT was seen as a very effective antidote to Cartesianism and philosophical behaviorism. In particular, TT was coupled with Nagel’s (1961) classic account of intertheoretic reduction as deduction of the reduced from the reducing theory via bridge principles in order to turn the ontological problem of the relationship between the mental and the physical into a more tractable epistemological problem concerning the relations between theories. Thus it became possible to take a notion—intertheoretic reduction—rigorously studied by philosophers of science; to examine the relations between folk psychology as a theory including the commonsense mentalistic ontology and its scientific successors (scientific psychology, neuroscience, or some other form of science of the mental); and to let ontological/metaphysical questions be answered by (i) focusing on questions about explanation and theory reduction first and foremost, and then (ii) depending on how those first questions were answered, drawing the appropriate ontological/metaphysical conclusions based on a comparison with how similar questions about explanation and reduction got answered in other scientific episodes and the ontological conclusions philosophers and scientists drew in those cases (this strategy is labelled “the intertheoretic-reduction reformulation of the mind-body problem” in Bickle 2003).

In this context, TT was taken as the major premise in the standard argument for eliminative materialism (see Ramsey 2011: §2.1). In its strongest form, eliminativism predicts that part or all of our folk-psychological theory will vanish into thin air, just as it happened in the past when scientific progress led to the abandonment of the folk theory of witchcraft or the protoscientific theories of phlogiston and caloric fluid. This prediction rests on an argument which moves from considering folk psychology as a massively defective theory to the conclusion that—just as with witches, phlogiston, and caloric fluid—folk-psychological entities do not exist. Thus philosophy of mind joined attribution theory in adopting a critical attitude toward the explanatory adequacy of folk psychology (see, for example, Stich’s 1983 eliminativistic doubts about the folk concept of belief, motivated inter alia by the experimental social psychology literature on dissonance and self-attribution).

Notice, however, that TT can be differently construed depending on whether we adopt a personal or subpersonal perspective (see Stich & Ravenscroft 1994: §4). The debate between intentional realists and eliminativists favored David Lewis’ personal-level formulation of TT. According to Lewis, the folk theory of mind is implicit in our everyday talk about mental states. We entertain “platitudes” regarding the causal relations of mental states, sensory stimuli, and motor responses that can be systematized (or “Ramsified”). The result is a functionalist theory that gives the terms of mentalistic vocabulary their meaning in the same way as scientific theories define their theoretical terms, namely “as the occupants of the causal roles specified by the theory…; as the entities, whatever those may be, that bear certain causal relations to one another and to the referents of the O[bservational]-terms” (Lewis 1972: 211). In this perspective, mindreading can be described as an exercise in reflective reasoning, which involves the application of general reasoning abilities to premises including ceteris paribus folk-psychological generalizations. A good example of this conception of mindreading is Grice’s schema for the derivation of conversational implicatures:

He said that P; he could not have done this unless he thought that Q; he knows (and knows that I know that he knows) that I will realize that it is necessary to suppose that Q; he has done nothing to stop me thinking that Q; so he intends me to think, or is at least willing for me to think, that Q(Grice 1989: 30-1; cit. in Wilson 2005: 1133).

Since the end of the 1970s, however, primatology, developmental psychology, cognitive neuropsychiatry and empirically-informed philosophy have been contributing to a collaborative inquiry into TT. In the context of this literature the term “theory” refers to a “tacit” or “sub-doxastic” structure of knowledge, a corpus of internally represented information that guides the execution of mentalistic capacities. But then the functionalist theory that fixes the meaning of mentalistic terms is not the theory implicit in our everyday, mentalistic talk, but the tacit theory (in Chomsky’s sense) subserving our thought and talk about the mental realm (see Stich & Nichols 2003: 241). On this perspective, the inferential processes that depend on the theory have an automatic and unconscious character that distinguishes them from reflective reasoning processes.

In developmental psychology part of the basis for the study of mindreading skills in children was already in Jean Piaget’s seminal work on egocentrism in the 1930s to 50s, and the work on metacognition (especially metamemory) in the 1970s. But the developmental research on mindreading took off only under the thrust of three discoveries in the 1980s (see Leslie 1998). First, normally developing 2-year-olds are able to engage in pretend play. Second, normally developing children undergo a deep change in their understanding of the psychological states of other people somewhere between the ages of 3 and 4, as indicated especially by the appearance of their ability to solve a variety of “false-belief” problems (see immediately below). Lastly, children diagnosed with autism spectrum disorders are especially impaired in attributing mental states to other people.

In particular, Wimmer & Perner (1983) provided the theory-of-mind research with a seminal experimental paradigm: the “false-belief task.” In the most well-known version of this task, a child watches two puppets interacting in a room. One puppet (“Sally”) puts a toy in location A and then leaves the room. While Sally is out of the room, the other puppet (“Anne”) moves the toy from location A to location B. Sally returns to the room, and the child onlooker is asked where she will look for her toy, in location A or in location B. Now, 4- and 5-year-olds have little difficulty passing this test, judging that Sally will look for her toy in location A although it really is in location B. These correct answers provide evidence that the child realizes that Sally does not know that the toy has been moved, and so will act upon a false belief. Many younger children, typically 3-year-olds, fail such a task, often asserting that Sally will look for the toy in the place where it was moved. Dozens of versions of this task have now been used, and while the precise age of success varies between children and between task versions, in general we can confidently say that children begin to successfully perform the (“verbal”) false-belief tasks at around 4 years (see the meta-analysis in Wellman et al. 2001; see also below, the reference to “non-verbal” false-belief tasks).

Wimmer and Perner’s false-belief task set off a flood of experiments concerning the infant understanding of the mind. In this context, the first hypotheses about the process of acquisition of the naïve theory of mind were suggested. The finding that mentalistic skills emerge very early, in the first 3-4 years, and in a way relatively independent from the development of other cognitive abilities, led some scholars (for example, Simon Baron-Cohen, Jerry Fodor, Alan Leslie) to conceive them as the end-state of the endogenous maturation of an innate theory-of-mind module (or system of modules). This contrasted with the view of other researchers (for example, Alison Gopnik, Josef Perner, Henry Wellman), who maintained that the intuitive theory of mind develops in childhood in a manner comparable to the development of scientific theories.

a. The Child-Scientist Theory

According to a first version of TT, “the child (as little) scientist theory,” the body of internally-represented knowledge that drives the exercise of mentalistic abilities has much the same structure as a scientific theory, and it is acquired, stored, and used in much the same way that scientific theories are: by formulating explanations, making predictions, and then revising the theory or modifying auxiliary hypotheses when the predictions fail.  Gopnik & Meltzoff (1997) put forward this idea in its more radical form. They argue that the body of knowledge underlying mindreading has all the structural, functional and dynamic features that, on their view, characterize most scientific theories. One of the most important features is defeasibility.  As it happens in scientific practice, the child’s naïve theory of mind can also be “annulled,” that is, replaced when an accumulation of counterevidence to it occurs. The child-scientist theory is, therefore, akin to Piaget’s constructivism insofar as it depicts the cognitive development in childhood and early adolescence as a succession of increasingly sophisticated naïve theories. For instance, Wellman (1990) has argued that around age 4 children become able to pass the false-belief tests because they move from an elementary “copy” theory of mind to a fully “representational” theory of mind, which allows them to acknowledge the explanatory role of false beliefs.

The child-scientist theory inherits from Piaget not only the constructivist framework but also the idea that the cognitive development is a process that depends on a domain-general learning mechanism. A domain-general (or general-purpose) psychological structure is one that can be used to do problem solving across many different content domains; it contrasts with a domain-specific psychological structure, which is dedicated to solving a restricted class of problems in a restricted content domain (see Samuels 2000). Now, Piaget’s model of cognitive development posits an innate endowment of reflexes and domain-general learning mechanisms, which enable the child to set up sensorimotor interactions with the environment that unfold a steady improvement in the capacity of problem-solving in any cognitive domain—physical, biological, psychological, and so forth. Analogously, Gopnik & Schulz (2004, 2007) have argued that the learning mechanism that supports all of cognitive development is a domain-general Bayesian mechanism that allows children to extract causal structure from patterns of data.

Another theory-theorist who endorses a domain-general conception of cognitive development is Josef Perner (1991). On his view, it is the appearance of the ability to metarepresent that enables the 4-year-olds to shift from a “situation theory” to a “representation theory,” and thus pass false-belief tests. Children are situation theorists by the age of around 2 years. At 3 they possess a concept, “prelief” (or “betence”), in which the concepts of pretend and belief coexist undifferentiated. The concept of prelief allows the child to understand that a person can “act as if” something was such and such (for example, as if “this banana is a telephone”) when it is not. At 4 children acquire a representational concept of belief which enables them to understand that, like the public representations, inner representations can also misrepresent states of affairs (see Perner, Baker & Hutton 1994). Thus Perner suggests that children first learn to understand the properties of public (pictorial and linguistic) representations; only in a second moment they extend, through a process of analogical reasoning, these characteristics to mental representations. On this perspective, then, the concept of belief is the product of a domain-general metarepresentational capacity that includes but is not limited to metarepresentation of mental states. (But for criticism, see Harris 2000, who argues that pretence and belief are very different and are readily distinguished by context by 3-year olds.)

b. The Modularist Theory-Theory

According to the child-scientist theory, children learn the naïve theory of mind in much the same way that adults learn about scientific theories. By contrast, the modularist version of TT holds that the body of knowledge underlying mindreading lacks the structure of a scientific theory, being stored in one or more innate modules, which gradually become functional (“mature”) during infant development. Inside the module the body of information can be stored as a suite of domain-specific computational mechanisms; or as a system of domain-specific representations; or in both ways (see Simpson et al. 2005: 13).

The notion of modularity as domain-specificity, whose paradigm is Noam Chomsky’s module of language, informs the so-called “core knowledge” hypothesis, according to which human cognition builds on a repertoire of domain-specific systems of knowledge. Studies of children and adults in diverse cultures, human infants, and non-human primates provide evidence for at least four systems of knowledge that serve to represent significant aspects of the environment: inanimate objects and their motions; agents and their goal-directed actions; places and their geometric relations; sets and their approximate numerical relation. These are systems of domain-specific, task-specific representations, which are shared by other animals, persist in adults, and show little variation by culture, language or sex (see Carey & Spelke 1996; Spelke & Kinzler 2007).

And yet a domain-specific body of knowledge is an “inert” psychological structure, which gives rise to behavior only if it is manipulated by some cognitive mechanism. The question arises, then, whether the domain-specific body of information that subserves mentalistic abilities is the database of either a domain-specific or domain-general computational system. In some domains, a domain-specific computational mechanism and a domain-specific body of information can form a single mechanism (for example, a parser is very likely to be a domain-specific computational mechanism that manipulates a domain-specific data structure). But in other domains, as Samuels (1998, 2000) has noticed, domain-specific systems of knowledge might be computed by domain-general rather than domain-specific algorithms (but for criticism, see Carruthers 2006, §4.3).

The existence of a domain-specific algorithm that exploits a body of information specific to the domain of naïve psychology has been proposed by Alan Leslie (1994, 2000). He postulated a specialized component of social intelligence, the “Theory-of-Mind Mechanism” (ToMM), which receives as input information about the past and present behavior of other people and utilizes this information to compute their probable psychological states. The outputs of ToMM are descriptions of psychological states in the form of metarepresentations or M-representations, that is, agent-centered descriptions of behavior, which include a triadic relation that specifies four kinds of information: (i) an agent, (ii) an informational relation that specifies the agent’s attitude (pretending, believing, desiring, and so forth), (iii) an aspect of reality that grounds the agent’s attitude, (iv) the content of the agent’s attitude. Therefore, in order to pretend and understand others’ pretending, the child’s ToMM is supposed to output the M-representation <Mother PRETENDS (of) this banana (that) “it is a telephone”>. Analogously, in order to predict Sally’s behavior in the false-belief test, ToMM is supposed to output the M-representation <Sally BELIEVES (of) her marble (that) “it is in the basket”>. (Note that Leslie coined the term “M-representation” to distinguish his own concept of meta-representation from Perner’s 1991. For Perner uses the term at a personal level to refer to the child’s conscious theory of representation, whereas Leslie utilizes the term at a subpersonal level to designate an unconscious data structure computed by an information-processing mechanism. See Leslie & Thaiss 1992: 231, note 2.)

In the 1980s, Leslie’s ToMM hypothesis was the basis for the development of a neuropsychological perspective on autism. Children suffering from this neurodevelopmental disorder exhibit a triad of impairments: social incompetence, poor verbal and nonverbal communicative skills, and a lack of pretend play. Because social competence, communication, and pretending all rest on mentalistic abilities, Baron-Cohen, Frith & Leslie (1985) speculated that the autistic triad might be the result of an impaired ToMM. This hypothesis was investigated in an experiment in which typically developing 4-year-olds, children with autism (12 years; IQ 82), and children with Down syndrome (10 years; IQ 64) were tested on the Sally and Ann false-belief task. Eighty-five percent of the normally developing children and 86% of the children with Down syndrome passed the test; but only 20% of the autistic children predicted that Sally would look in the basket. This is one of the first examples of psychiatry driven by cognitive neuropsychology (followed by Christopher Frith’s 1992 theory of schizophrenia as late-onset autism).

According to Leslie, the ToMM is the specific innate basis of basic mentalistic abilities, which matures during the infant’s second year. In support of this hypothesis, he cites inter alia his analysis of pretend play that would show that 18-month-old children are able to metarepresent the propositional attitude of pretending. This analysis results, however, in an immediate empirical problem. If the ToMM is fully functional at 18 months, why are children unable to successfully perform false-belief tasks until they are around 4 years old? Leslie’s hypothesis is that although the concept of belief is already in place in children younger than 4, in the false-belief tasks this concept is masked by immaturity in another capacity that is necessary for good performance on the task—namely inhibitory control. Since, by default, the ToMM attributes a belief with content that reflects current reality, to succeed in a false-belief task this default attribution must be inhibited and an alternative nonfactual content for the belief selected instead. This is the task of an executive control mechanism that Leslie calls “Selection Processor” (SP). Thus 3-year-olds fail standard false-belief tasks because they possess the ToMM but not yet the inhibitory SP (see Leslie & Thaiss 1992; Leslie & Polizzi 1998).

The ToMM/SP model seems to find support in a series of experiments that test understanding of false mental and public representations in normal and autistic children. Leslie & Thaiss (1992) have found that normal 3-year-olds fail the standard false-belief tasks, the two non-mental meta-representational tests, the false-map task and Zaitchik’s (1990) outdated-photograph task. In contrast, autistic children are at or near ceiling on the non-mental metarepresentational tests but fail false-belief tasks. Normal 4-year-olds can succeed in all these tasks. According to Leslie and Thaiss, the ToMM/SP model can account for these findings: normal 3-year-olds possess the ToMM but not yet SP; autistic children are impaired in ToMM but not in SP; normal 4-year-olds possess both the ToMM and an adequate SP. By contrast, these results appear to be counterevidence to Perner’s idea that children first understand public representations before then applying that understanding to mental states. If this were right, then autistic children should have difficulty with both kinds of representations. And in fact Perner (1993) suggests that the autistic deficit is due to a genetic impairment of the mechanisms that subserve attention shifting, a damage that interferes with the formation of the database required for the development of a theory of representation in general. But what autistics’ performance in mental and non-mental metarepresentational tasks seems to show is a dissociation between understanding false maps and outdated photographs, on one hand, and understanding false beliefs, on the other. A finding that can be easily explained in the context of Leslie’s domain-specific approach to mindreading, according to which children with autism have a specific deficit in understanding mental representation but not representation in general. In support of this interpretation, fMRI studies showed that activity in the right temporo-parietal junction is high while participants are thinking about false beliefs, but no different from resting levels while participants are thinking about outdated photographs or false maps or signs. This suggests a neural substrate for the behavioral dissociation between pictorial and mental metarepresentational abilities (see Saxe & Kanwisher 2003; for a critical discussion of the domain-specificity interpretation of these behavioral and neuroimaging data, see Gerrans & Stone 2008; Perner & Aichhorn 2008; Perner & Leekam 2008).

Leslie (2005) recruits new data to support his claim that mental metarepresentational abilities emerge from a specialized neurocognitive mechanism that matures during the second year of life. Standard false-belief tasks are “elicited-response” tasks in which children are asked a direct question about an agent’s false belief. But investigations using “spontaneous-response” tasks (Onishi & Baillargeon 2005) seem to suggest that the ability to attribute false beliefs is present much earlier, at the age of 15 months (even at 13 months in Surian, Caldi & Sperber 2007). However, Leslie’s mentalistic interpretation of these data has been challenged by Ruffman & Perner (2005), who have proposed an explanation of Onishi and Baillargeon’s results that assumes that the infants might be employing a non-mentalistic behavior-rule such as, “People look for objects where last seen” (for replies, see Baillargeon et al. 2010).

The ToMM has been considered, contra Fodor, as one of the strongest candidates for central modularity (see, for example, Botterill & Carruthers 1999: 67-8). However, Samuels (2006: 47) has objected that it is difficult to establish whether or not the ToMM’s domain of application is really central cognition. He suggests that the question is still more controversial in light of Leslie’s proposal of modelling ToMM as a relatively low-level mechanism of selective attention, whose functioning depends on SP, which is a non-modular mechanism, penetrable to knowledge and instruction (see Leslie, Friedman & German 2004).

c. First-Person Mindreading and Theory-Theory

During the 1980s and 1990s most of the work in Theory of Mind was concerned with the mechanisms that subserve the attribution of psychological states to others (third-person mindreading). In the last decade, however, an increasing number of psychologists and philosophers have also proposed accounts of the mechanisms underlying the attribution of psychological states to oneself (first-person mindreading).

For most theory-theorists, first-person mindreading is an interpretative activity that depends on mechanisms that capitalize on the same theory of mind used to attribute mental states to other agents. Such mechanisms are triggered by information about mind-external states of affairs, essentially the target’s behavior and/or the situation in which it occurs/occurred. The claim is, then, that there is a functional symmetry between first-person and third-person mentalistic attribution—the “outside access” view of introspection in Robbins (2006: 619); the “symmetrical” or “self/other parity” account of self-knowledge in Schwitzgebel (2010, §2.1).

The first example of a symmetrical account of self-knowledge is Bem’s (1972) “self-perception theory.”  With reference to Skinner’s methodological guidance, but with a position that reveals affinities with symbolic interactionism, Bem holds that one knows one’s own inner states (for example, attitudes and emotions) through a process completely analogous to that occurring when one knows other people’ inner states, that is, by inferring them from the observation/recollection of one’s own behavior and/or the circumstances in which it occurs/occurred. The TT version of the symmetrical account of self-knowledge develops Bem’s approach by claiming that observations and recollections of one’s own behavior and the circumstances in which it occurs/occurred are the input of mechanisms that exploit theories that apply to the same extent to ourselves and to others.

In the well-known social-psychology experiments reviewed by Nisbett & Wilson (1977), the participants’ attitudes and behavior were caused by motivational factors inaccessible to consciousness—such factors as cognitive dissonance, numbers of bystanders in a public crisis, positional and “halo” effects and subliminal cues in problem solving and semantic disambiguation, and so on. However, when explicitly asked about the motivations (causes) of their actions, the subjects did not hesitate to state, sometimes with great eloquence, their very reasonable motives. Nisbett and Wilson explained this pattern of results by arguing that the subjects did not have any direct access to the real causes of their attitudes and behavior; rather, they engaged in an activity of confabulation, that is, they exploited a priori causal theories to develop reasonable but imaginary explanations of the motivational factors of their attitudes and behavior (see also Johansson et al. 2006, where Nisbett and Wilson’s legacy is developed through a new experimental paradigm to study introspection, the “choice blindness” paradigm).

Evidence for the symmetrical account of self-knowledge comes from Nisbett & Bellows’ (1977) utilization of the so-called “actor-observer paradigm.” In one experiment they compared the introspective reports of participants (“actors”) to the reports of a control group of “observers” who were given a general description of the situation and asked to predict how the actors would react. Observers’ predictions were found to be statistically identical to—and as inaccurate as—the reports by the actors. This finding suggests that “both groups produced these reports via the same route, namely by applying or generating similar causal theories” (Nisbett & Wilson 1977: 250-1; see also Schwitzgebel 2010: §§2.1.2 and 4.2.1).

In developmental psychology Alison Gopnik (1993) has defended a symmetrical account of self-knowledge by arguing that there is good developmental evidence of developmental synchronies: children’s understanding of themselves proceeds in lockstep with their understanding of others. For example, since TT assumes that first-person and third-person mentalistic attributions are both subserved by the same theory of mind, it predicts that if the theory is not yet equipped to solve certain third-person false-belief problems, then the child should also be unable to perform the parallel first-person task. A much discussed instance of parallel performance on tasks for self and other is in Gopnik & Astington (1988). In the “Smarties Box” experiment, children were shown with the candy container for the British confection “Smarties” and were asked what they thought was in the container. Naturally they answered “Smarties.” The container was then opened to reveal not Smarties, but a pencil. Children were then asked a series of questions, including “What will [your friend] say is in the box?”, and successively “When you first saw the box, before we opened it, what did you think was inside it?”. It turned out that the children’s ability to answer the question concerning oneself was significantly correlated with their ability to answer the question concerning another. (See also the above-cited Wellman et al. 2001, which offers meta-analytic findings to the effect that performance on false-belief tasks for self and for others is virtually identical at all ages.)

Data from autism have also been used to motivate the claim that first-person and third-person mentalistic attribution has a common basis. An intensely debated piece of evidence comes from a study by Hurlburt, Happé & Frith (1994), in which three people suffering from Asperger syndrome were tested with the descriptive experience sampling method. In this experimental paradigm, subjects are instructed to carry a random beeper, pay attention to the experience that was ongoing at the moment of the beep, and jot down notes about that now-immediately-past experience (see Hurlburt & Schwitzgebel 2007). The study showed marked qualitative differences in introspection in the autistic subjects: unlike normal subjects who report several different phenomenal state types—including inner verbalisation, visual images, unsymbolised thinking, and emotional feelings—the first two autistic subjects reported visual images only; the third subject could report no inner experience at all. According to Frith & Happé (1999: 14), this evidence strengthens the hypothesis that self-awareness, like other-awareness, is dependent on the same theory of mind.

Thus, evidence from social psychology, development psychology and cognitive neuropsychiatry makes a case for a symmetrical account of self-knowledge. As Schwitzgebel (2010: §2.1.3) rightly notes, however, no one advocates a thoroughly symmetrical conception because some margin is always left for some sort of direct self-knowledge. Nisbett & Wilson (1977: 255), for example, draw a sharp distinction between “cognitive processes” (the causal processes underlying judgments, decisions, emotions, sensations) and mental “content” (those judgments, decisions, emotions, sensations themselves). Subjects have “direct access” to this mental content, and this allows them to know it “with near certainty.” In contrast, they have no access to the processes that cause behavior. However, insofar as Nisbett and Wilson do not propose any hypothesis about this alleged direct self-knowledge, their theory is incomplete.

In order to offer an account of this supposedly direct self-knowledge, some philosophers made a more or less radical return to various forms of Cartesianism, construing first-person mindreading as a process that permits the access to at least some mental phenomena in a relatively direct and non-interpretative way. On this perspective, introspective access does not appeal to theories that serve to interpret “external” information, but rather exploits mechanisms that can receive information about inner life through a relatively direct channel— the “inside access” view of introspection in Robbins (2006: 618); the “self-detection” account of self-knowledge in Schwitzgebel (2010: §2.2).

The inside access view comes in various forms. Mentalistic self-attribution may be realized by a mechanism that processes information about the functional profile of mental states, or their representational content, or both kinds of information (see Robbins 2006: 618; for a “neural” version of the inside access view, see below, §2a). A representationalist-functionalist version of the inside access view is Nichols & Stich’s (2003) account of first-person mindreading in terms of “monitoring mechanisms.” The authors begin by drawing a distinction between detection and inference. It is one thing to detect mental states, it is another to reason about mental states, that is, using information about mental states to predict and explain one’s own or other people’s mental states and behavior. Moreover, both the attribution of a mental state and the inferences that one can make about it can be referred to oneself or other people. Thus, we get four possible operations: first- and third-person detection, first- and third-person reasoning. Now, Nichols and Stich’s hypothesis is that whereas third-person detecting and first- and third-person reasoning are all subserved by the same theory of mind, the mechanism for detecting one’s own mental states is quite independent of the mechanism that deals with the mental states of other people. More precisely, the Monitoring Mechanism (MM) theory assumes the existence of a suite of distinct self-monitoring computational mechanisms, including one for monitoring and providing self-knowledge of one’s own experiential states, and one for monitoring and providing self-knowledge of one’s own propositional attitudes. Thus, for example, if X believes that p, and the proper MM is activated, it copies the representation p in X’s “Belief Box”, embeds the copy in a representation schema of the form “I believe that___”, and then places this second-order representation back in X’s Belief Box.

Since the MM theory assumes that first-person mindreading does not involve mechanisms of the sort that figure in third-person mindreading, it implies that the first capacity should be dissociable, both diachronically and synchronically, from the second. In support of this prediction Nichols & Stich (2003) cite developmental data to the effect that, on a wide range of tasks, instead of the parallel performance predicted by TT, children exhibit developmental asynchronies. For example, children are capable of attributing knowledge and ignorance to themselves before they are capable of attributing those states to others (Wimmer et al. 1988). Moreover, they suggest—on the basis, inter alia, of a reinterpretation of the aforementioned Hurlburt, Happé & Frith’s (1994) data—that there is some evidence of a double dissociation between schizophrenic and autistic subjects: the MMs might be intact in autistics despite their impairment in third-person mindreading; in schizophrenics the pattern might be reversed.

The MM theory provides a neo-Cartesian reply to TT—and especially to its eliminativist implications inasmuch as the mentalistic self-attributions based on MMs are immune to the potentially distorting influence of our intuitive theory of psychology. However, the MM theory faces at least two difficulties. To start with, the theory must tell us how MM establishes which attitude type (or percept type) a given mental state belongs to (Goldman 2006: 238-9). A possibility is that there is a separate MM for each propositional attitude type and for each perceptual modality. But then, as Engelbert and Carruthers (2010: 246) remark, since any MM can be selectively impaired, the MM theory predicts a multitude of dissociations—for example, subjects who can self-attribute beliefs but not desires, or visual experiences but not auditory ones, and so on. However, the hypothesis of such a massive dissociability has little empirical plausibility.

Moreover, Carruthers (2011) has offered a book-length argument against the idea of a direct access to propositional attitudes. His neurocognitive framework is Bernard Baars’ Global Workspace Theory model of consciousness (see Gennaro 2005: §4c), in which a range of perceptual systems “broadcast” their outputs (for example, sensory data from the environment, imagery, somatosensory and proprioceptive data) to a complex of conceptual systems (judgment-forming, memory-forming, desire-forming, decision-making systems, and so forth). Among the conceptual systems there is also a multi-componential “mindreading system,” which generates higher-order judgments about the mental states of others and of oneself. By virtue of receiving globally broadcast perceptual states as input, the mindreading system can easily recognize those percepts, generating self-attributions of the form “I see something red,” “It hurts,” and so on. But the system receives no input from the systems that generate propositional attitude events (like judging and deciding). Consequently, the mindreading system cannot directly self-attribute propositional attitude events; it must infer them by exploiting the perceptual input (together with the outputs of various memory systems). Thus, Carruthers (2009: 124) concludes, “self-attributions of propositional attitude events like judging and deciding are always the result of a swift (and unconscious) process of self-interpretation.” On this perspective, therefore, we do not introspect our own propositional attitude events. Our only form of access to those events is via self-interpretation, turning our mindreading faculty upon ourselves and engaging in unconscious interpretation of our own behavior, physical circumstances, and sensory events like visual imagery and inner speech. Carruthers bases his proposal on considerations to do with the evolution of mindreading and metacognition, the rejection of the above-cited data that according to Nichols & Stich (2003) suggest developmental asynchronies and dissociation between self-attribution and other-attribution, and on evidence about the confabulation of attitudes. Thus, Carruthers develops a very sophisticated version of the symmetrical account of self-knowledge in which the theory-driven mechanisms underlying first- and third-person mindreading can count not only on observations and recollections of one’s own behavior and the circumstances in which it occurs/occurred, but also on the recognition of a multitude of perceptual and quasi-perceptual events.

2. Simulation-Theory

Until the mid-1980s the debate on the nature of mindreading was a debate between the different variants of TT. But in 1986, TT as a whole was impugned by Robert Gordon and, independently, by Jane Heal, who gave life to an alternative which was termed “simulation-theory” (ST). In 1989 Alvin Goldman and Paul Harris began to contribute to this new approach to mindreading. In 2006, Goldman provided the most thoroughly developed, empirically supported defense of a simulationist account of our mentalistic abilities.

According to ST, our third-person mindreading ability does not consist in implicit theorizing but rather in representing the psychological states and processes of others by mentally simulating them, that is, attempting to generate similar states and processes in ourselves. Thus, the same resources that are used in our own psychological states and processes are recycled—usually but not only in imagination—to provide an understanding of psychological states and processes of the simulated target. This has often been compared to the method of Einfühlung exalted by the theorists of Verstehen (see Stueber 2006: 5-19).

In order for a mindreader to engage in this process of imaginative recycling, various information processing mechanisms are needed. The mindreader simulates the psychological etiology of the actions of the target in essentially two steps. First, the simulator generates pretend or imaginary mental states in her own mind which are intended to (at least partly) correspond to those of the target. Second, the simulator feeds the imaginary states into a suitable cognitive mechanism (for example, the decision-making system) that is taken “offline,” that is, it is disengaged from the motor control systems. If the simulator’s decision-making system is similar to the target’s one, and the pretend mental states that the simulator introduces into the decision-making system (at least partly) match the target’s, then the output of the simulator’s decision-making system might reliably be attributed or assigned to the target. On this perspective, there is no need for an internally represented knowledge base and there is no need of a naïve theory of psychology. The simulator exploits a part of her cognitive apparatus as a model for a part of the simulated agent’s cognitive apparatus.

Hence follows one of the main advantages ST is supposed to have over TT—namely its computational parsimony. According to advocates of ST, the body of tacit folk-psychological knowledge which TT attributes to mindreaders imposes too heavy a burden on mental computation. However, such a load will diminish radically if, instead of computing the body of knowledge posited by TT, mindreaders must only co-opt mechanisms that are primarily used online, when they experience a kind of mental state, to run offline simulations of similar states in the target (the argument is suggested by Gordon 1986 and Goldman 1995, and challenged by Stich & Nichols 1992, 1995).

In the early years of the debate over ST, a main focus was on its implications for the controversy between intentional realism and eliminative materialism. Gordon (1986) and Goldman (1989) suggested that by rejecting the assumption that folk psychology is a theory, ST undercuts eliminativism. Stich & Ravenscroft (1994: §5), however, objected that ST undermines eliminativism only provided that the latter adopts the subpersonal version of TT. For ST does not deny the evident fact that human beings have intuitions about the mental, and neither rules out that such intuitions might be systematized by building, as David Lewis suggests, a theory that implies them. Consequently, ST does not refute eliminativism; it instead forces the eliminativist to include among the premises of her argument Lewis’ personal formulation of TT, together with the observation/prediction that the theory implicit in our everyday talk about mental states is or will turn out to be seriously defective.

One of the main objections that theory-theorists raise against ST is the argument from systematic errors in prediction. According to ST errors in prediction can arise either (i) because the predictor’s executive system is different from that of the target, or (ii) because the pretend mental states that the predictor has introduced into the executive system do not match the ones that actually motivate the target. However, Stich & Nichols (1992, 1995; see also Nichols et al. 1996) describe experimental situations in which the participants systematically fail to predict the behavior of targets, and in which it is unlikely that (i) or (ii) is the source of problem. Now, TT can easily explain such systematic errors in prediction: it is sufficient to assume that our naïve theory of psychology lacks the resources required to account for such situations. It is no surprise that a folk theory that is incomplete, partial, and in many cases seriously defective often causes predictive failures. But this option is obviously not available for ST: simulation-driven predictions are “cognitively impenetrable,” that is, they are not affected by the predictor’s knowledge or ignorance about psychological processes (see also Saxe 2005; and the replies by Gordon 2005 and Goldman 2006: 173-4).

More recently, however, a consensus seems to be emerging to the effect that mindreading involves both TT and ST. For example, Goldman (2006) grants a variety of possible roles for theorizing in the context of what he calls “high-level mindreading.” This is the imaginative simulation discussed so far, which is subject to voluntary control, is accessible to consciousness, and involves the ascription of complex mental states such as propositional attitudes. High-level simulation is a species of what Goldman terms “enactment imagination” (a notion that builds on Currie & Ravenscroft’s 2002 concept of “recreative imagination”). Goldman contrasts high-level mindreading to the “low-level mindreading,” which is unconscious, hard-wired, involves the attribution of structurally simple mental states such as face-based emotions (for example, joy, fear, disgust), and relies on simple imitative or mirroring processes (see, for example, Goldman & Sripada 2005). Now, theory definitely plays a role in high-level mindreading. In a prediction task, for example, theory may be involved in the selection of the imaginary inputs that will be introduced into the executive system. In this case, Goldman (2006: 44) admits, mindreading depends on the cooperation of simulation and theorizing mechanisms.

Goldman’s blend of ST and TT (albeit with a strong emphasis on the simulative component) is not the only “hybrid” account of mindreading: for other hybrid approaches, see Botterill & Carruthers (1999), Nichols & Stich (2003), and Perner & Kühberger (2006). And it is right to say that now the debate aims first of all to establish to what extent and in which processes theory or simulation prevails.

a. Simulation with and without Introspection

There is an aspect, however, that makes Goldman’s (2006) account of ST different from other hybrid theories of mindreading, namely the neo-Cartesian priority that he assigns to introspection. On his view, first-person mindreading both ontogenetically precedes and grounds third-person mindreading. Mindreaders need to introspectively access their offline products of simulation before they can project them onto the target. And this, Goldman claims, is a form of “direct access.”

In 1993 Goldman put forward a phenomenological version of the inside access view (see above, §1c), by arguing that introspection is a process of detection and classification of one’s (current) psychological states that does not depend at all on theoretical knowledge, but rather occurs in virtue of information about the phenomenological properties of such states. But in light of criticism (Carruthers 1996; Nichols & Stich 2003), in his 2006 book Goldman has remarkably reappraised the relevance of the qualitative component for the detection of psychological states, pointing out the centrality of the neural properties. Building on Craig’s (2002) account of interoception, as well as Marr’s and Biederman’s computational models of visual object recognition, Goldman now maintains that introspection is a perception-like process that involves a transduction mechanism that takes neural properties of mental states as input and outputs representations in a proprietary code (the introspective code, or the “I-code”). The I-code represents types of mental categories and classifies mental-state tokens in terms of those categories. Goldman also suggests some possible primitives of the I-code. So, for example, our coding of the concept of pain might be the combination of the “bodily feeling” parameter (a certain raw feeling) with the “preference” or “valence” one (a negative valence toward the feeling). Thus, the neural version of the inside access view is an attempt to solve the problem of the recognition of the attitude type, which proved problematic for Nichols and Stich’s representationalist-functionalist approach (see above, §1c). However, since different percept and attitude types are presumably realized in different cerebral areas, each percept or attitude type will depend on a specific informational channel to feed the introspective mechanism. Consequently, Goldman’s theory also seems to be open to the objection of massive dissociability raised to the MM theory (see Engelbert and Carruthers 2010: 247).

Goldman’s primacy of first-person mindreading is, however, rejected by other simulationists. According to Gordon’s (1995, 1996) “radical” version of ST, simulation can occur without introspective access to one’s own mental states. The simulative process begins not with my pretending to be the target, but rather with my becoming the target. As Gordon (1995: 54) puts it, simulation is not “a transfer but a transformation.” “I” changes its referent and the equivalence “I=target” is established. In virtue of this de-rigidification of the personal pronoun, any introspective step is ruled out: one does not first assign a psychological state to oneself to transfer it to the target. Since the simulator becomes the target, no analogical inference from oneself to the other is needed. Still more radically, simulation can occur without having any mentalistic concepts. Our basic competence in the use of utterances of the form “I <propositional attitude> that p” involves not direct access to the propositional attitudes, but only an “ascent routine” through which we express our propositional attitudes in this new linguistic form (see Gordon 2007).

Carruthers has raised two objections to Gordon’s radical ST. First, it is a “step back” to a form of “quasi-behaviorism” (Carruthers 1996: 38). Second, Gordon problematically assumes that our mentalistic abilities are constituted by language (Carruthers 2011: 225-27). In developmental psychology de Villiers & de Villiers (2003) have put forward a constitution-thesis similar to Gordon’s: thinking about mental states comes from internalizing the language with which these states are expressed in the child’s linguistic environment. More specifically, mastery of the grammatical rules for embedding tensed complement clauses under verbs of speech or cognition provides children with a necessary representational format for dealing with false beliefs. However, correlation between linguistic exposure and mindreading does not depend on the use of specific grammatical structures. In a training study Lohman & Tomasello (2003) found that performance on a false-belief task is enhanced by simply using perspective-shifting discourse, without any use of sentential complement syntax. Moreover, syntax is not constitutive of the mentalistic capacities of adults. Varley et al. (2001) and Apperly et al. (2006) provided clear evidence that adults with profound grammatical impairment show no impairments on non-verbal tests of mindreading. Finally, mastery of sentence complements is not even a necessary condition of the development of mindreading in children. Perner et al. (2005) have shown that such mastery may be required for statements about beliefs but not about desires (as in English), for beliefs and desires (as in German), or for neither beliefs nor desires (Chinese); and yet children who learn each of these three languages all understand and talk about desire significantly earlier than belief.

b. Simulation in Low-Level Mindreading

Another argument for a (prevalently) simulationist approach to mindreading consists in pointing out that TT is thoroughly limited to high-level mindreading (essentially the attribution of propositional attitudes), whereas ST is also well equipped to account for forms of low-level mindreading such as the perception of emotions or the recognition of facial expressions and motor intentions (see Slors & Macdonald 2008: 155).

This claim finds its main support in the interplay between ST and neuroscience. In the early 1990s mirror neurons were first described in the ventral premotor cortex and inferior parietal lobe of macaque monkeys. These visuomotor neurons activate not only when the monkey executes motor acts (such as grasping, manipulating, holding, and tearing objects), but also when it observes the same, or similar, acts performed by the experimenter or a conspecific. Although there is only one study that seems to offer direct evidence for the existence of mirror neurons in humans (Mukamel et al. 2010), many neurophysiological and brain imaging investigations support the existence of a human action mirroring system. For example, fMRI studies using action observation or imitation tasks demonstrated activation in areas in the human ventral premotor and parietal cortices assumed to be homologous to the areas in the monkey cortex containing mirror neurons (see Rizzolatti et al. 2002). It should be emphasized that most of the mirror neurons that discharge when a certain type of motor act is performed also activate when the same act is perceived, even though it is not performed with the same physical movement—for example, many mirror neurons that discharge when the monkey grasps food with the hand also activate when it sees a conspecific who grasps food with the mouth. This seems to suggest that mirror neurons code or represent an action at a high level of abstraction, that is, they are receptive not only to a mere movement but indeed to an action.

In 1998, Vittorio Gallese and Goldman wrote a very influential article in which mirror neurons were indicated as the basis of the simulative process. When the mirror neurons in the simulator’s brain are externally activated in observation mode, their activity matches (simulates or resonates with) that of mirror neurons in the target’s brain, and this resonance process retrodictively outputs a representation of the target’s intention from a perception of her movement.

More recently a number of objections have been raised against the “resonance” ST advocated by some researchers that have built on Gallese and Goldman’s hypothesis. Some critics, although admitting the presence of mirror neurons in both non-human and human primates, have drastically reappraised their role in mindreading. For example, Saxe (2009) has argued that there is no evidence that mirror neurons represent the internal states of the target rather than some relatively abstract properties of observed actions (see also Jacob & Jeannerod 2005; Jacob 2008). On the other hand, Goldman himself has mitigated his original position. Unlike Gallese, Keysers & Rizzolatti (2004), who propose mirror systems as the unifying basis of all social cognition, now Goldman (2006) considers mirror neuron activity, or motor resonance in general, as merely a possible part of low-level mindreading. Nonetheless, it is right to say that resonance phenomena are at the forefront of the field of social neuroscience (see Slors & Macdonald 2008: 156).

3. Social Cognition without Mindreading

By the early 21st century, the primacy that both TT and ST assigns to mindreading in social cognition had been challenged. One line of attack has come from philosophers working in the phenomenological tradition, such as Shaun Gallagher, Matthew Ratcliffe, and Dan Zahavi (see Gallagher & Zahavi 2008). Others working more from the analytic tradition, such as Jose Luis Bermúdez (2005, 2006b), Dan Hutto (2008), and Heidi Maibom (2003, 2007) have made similar points. Let’s focus on Bermúdez’ contribution because he offers a very clear account of the kind of cognitive mechanisms that might subserve forms of social understanding and coordination without mindreading (for a brief overview of this literature, see Slors & Macdonald 2008; for an exhaustive examination, see Herschbach 2010).

Bermúdez (2005) argues that the role of high-level mindreading in social cognition needs to be drastically re-evaluated. We must rethink the traditional nexus between intelligent behavior and propositional attitudes, realizing that much social understanding and social coordination are subserved by mechanisms that do not capitalize on the machinery of intentional psychology. For example, a mechanism of emotional sensitivity such as “social referencing” is a form of low-level mindreading that subserve social understanding and social coordination without involving the attribution of propositional attitudes (see Bermúdez 2006a: 55).

To this point Bermúdez is on the same wavelength as simulationists and social neuroscientists in drawing our attention to forms of low-level mindreading that have been largely neglected by philosophers. However, Bermúdez goes a step beyond them and explores cases of social interactions that point in a different direction, that is, situations that involve mechanisms that can no longer be described as mindreading mechanisms. He offers two examples.

(1) In game theory there are social interactions that are modeled without assuming that the agents involved are engaged in explaining or predicting each other’s behavior. In social situations that have the structure of the iterated prisoner’s dilemma, the so-called “tit-for-tat” heuristic simply says: “start out cooperating and then mirror your partner’s move for each successive move” (Axelrod 1984). Applying this heuristic simply requires understanding the moves available to each player (cooperation or defection), and remembering what happened in the last round. So we have here a case of social interaction that is conducted on the basis of a heuristic strategy that looks backward to the results of previous interactions rather than to their psychological etiology. We do not need to infer other players’ reasons; we only have to coordinate our behavior with theirs.

(2) There is another important class of social interactions that involve our predicting and/or explaining the actions of other participants, but in which the relevant predictions and explanations seem to proceed without us having to attribute propositional attitudes. These social interactions rest on what social psychologists call “scripts” (“frames” in artificial intelligence), that is, complex information structures that allow predictions to be made on the basis of the specification of the purpose of some social practice (for example, eating a meal at a restaurant), the various individual roles, and the appropriate sequence of moves.

According to Bermúdez, then, much social interaction is enabled by a suite of relatively simple mechanisms that exploit purely behavioral regularities. It is important to notice that these mechanisms subserve central social cognition (in Fodor’s sense). Nevertheless, they implement relatively simple processes of template matching and pattern recognition, that is, processes that are paradigmatic cases of perceptual processing. For example, when a player A applies the tit-for-tat rule, A must determine what the other player B did in the preceding round. This can be implemented in virtue of a template matching in which A verifies that B’s behavioral pattern matches A’s prototype of cooperation and defection. And also detecting the social roles implicated in a script-based interaction is a case of template matching: one verifies whether the perceived behavior matches one of the templates associated with the script (or the prototype represented in the “frame”).

Bermúdez (2005: 223) notes that the idea that much of what we intuitively identify as central processing is actually implemented by mechanisms of template matching and pattern recognition has been repeatedly put forward by the advocates of the connectionist computationalism, especially by Paul M. Churchland. But unlike the latter, Bermúdez does not carry the reappraisal of the role of propositional attitudes in social cognition to the point of their elimination; he argues that social cognition does not involve high-level mindreading when the social world is “transparent” or “ready-to-hand,” as he says quoting Heidegger’s zuhanden. However, when we find ourselves in social situations that are “opaque,” that is, situations in which all the standard mechanisms of social understanding and interpersonal negotiation break down, it seems that we cannot help but appeal to the type of metarepresentational thinking characteristic of intentional psychology (2005: 205-6).

4. References and Further Reading

a. Suggested Further Reading

  • Apperly, I. (2010). Mindreaders: The Cognitive Basis of “Theory of Mind.” Hove, East Sussex, Psychology Press.
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  • Cundall, M. (2008). “Autism.” In The Internet Encyclopedia of Philosophy..
  • Davies, M. and Stone, T. (eds.) (1995a). Folk Psychology: The Theory of Mind Debate. Oxford, Blackwell.
  • Davies, M. and Stone, T. (eds.) (1995b). Mental Simulation: Evaluations and Applications. Oxford, Blackwell.
  • Decety, J. and Cacioppo, J. T. (2011). The Oxford Handbook of Social Neuroscience. Oxford, Oxford University Press.
  • Doherty, M. J. (2009). Theory of Mind. How Children Understand Others’ Thoughts and Feelings. Hove, East Sussex, Psychology Press.
  • Dokic, J. and Proust, J. (eds.) (2002). Simulation and Knowledge of Action. Amsterdam, John Benjamins.
  • Gerrans, P. (2009). “Imitation and Theory of Mind.” In G. Berntson and J. T. Cacioppo (eds.), Handbook of Neuroscience for the Behavioral Sciences. Chicago, University of Chicago Press, vol. 2, pp. 905–922.
  • Gordon, R. M. (2009). “Folk Psychology as Mental Simulation.” In E. N. Zalta (ed.), The Stanford Encyclopedia of Philosophy (Fall 2009 Edition).
  • Hutto, D., Herschbach, M. and Southgate, V. (eds.) (2011). Special Issue “Social Cognition: Mindreading and Alternatives.” Review of Philosophy and Psychology 2(3).
  • Kind, A. (2005). “Introspection.” In The Internet Encyclopedia of Philosophy.
  • Meini, C. (2007). “Naïve psychology and simulations.” In M. Marraffa, M. De Caro and F. Ferretti (eds.), Cartographies of the Mind. Dordrecht, Kluwer, pp. 283–294.
  • Nichols, S. (2002). “Folk Psychology.” In Encyclopedia of Cognitive Science. London, Nature Publishing Group, pp. 134–140.
  • Ravenscroft, I. (2010). “Folk Psychology as a Theory.”  In E. N. Zalta (ed.), The Stanford Encyclopedia of Philosophy (Fall 2010 Edition).
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  • Shanton, K. and Goldman, A. (2010). “Simulation theory.” Wiley Interdisciplinary Reviews: Cognitive Science 1(4): 527–538.
  • Stich, S. and Rey, G. (1998). “Folk psychology.” In E. Craig (ed.), Routledge Encyclopedia of Philosophy. London, Routledge.
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Author Information

Massimo Marraffa
Email: marraffa@uniroma3.it
University Roma Tre
Italy

Omnipotence

Omnipotence is the property of being all-powerful; it is one of the traditional divine attributes in Western conceptions of God. This notion of an all-powerful being is often claimed to be incoherent because a being who has the power to do anything would, for instance, have the power to draw a round square. However, it is absurd to suppose that any being, no matter how powerful, could draw a round square.  A common response to this objection is to assert that defenders of divine omnipotence never intended to claim that God could bring about logical absurdities. This observation about what is not meant by omnipotence does little, however, to clarify just what is meant by that term. Philosophers have therefore attempted to state necessary and sufficient conditions for omnipotence.

These proposed analyses are evaluated by several criteria. First, it must be determined whether the property described by the analysis captures what theologians and ordinary religious believers mean when they describe God as omnipotent, almighty, or all-powerful. Omnipotence is thought to be a quite impressive property. Indeed, the traditional God’s omnipotence is one of the attributes that make Him worthy of worship. If, therefore, an analysis implies that certain conceivable beings who are not impressive with respect to their power count as omnipotent, then the analysis is inadequate.

Second, when a particular analysis does seem to be in line with the ordinary use of the term, the next question is whether the property described is self-consistent. For instance, many proposed analyses of omnipotence give inconsistent answers to the question of whether an omnipotent being could create a stone too heavy for it to lift. Third, it is necessary to determine whether omnipotence, so understood, could form part of a coherent total religious view. Some analyses of omnipotence require that an omnipotent being be able to do evil, or to break promises, but God has traditionally been regarded as unable to do these things. It has also been argued that the existence of an omnipotent being would be inconsistent with human freedom. Finally, divine omnipotence is one of the premises leading to the alleged contradiction in traditional religious belief known as the Logical Problem of Evil.

A successful analysis of omnipotence is one which captures the ordinary notion, is free from internal contradiction, and is compatible with the other elements of the religious view in which it is embedded.

Table of Contents

  1. The Self-Consistency of Omnipotence
    1. The Stone Paradox
    2. Voluntarism
    3. Act Theories
    4. Result Theories
    5. Omnipotence and Time
  2. Omnipotence and Necessary Moral Perfection
  3. Omnipotence and Human Freedom
  4. Omnipotence and the Problem of Evil
  5. References and Further Reading

1. The Self-Consistency of Omnipotence

a. The Stone Paradox

Could an omnipotent being create a stone too heavy for it to lift? More generally, could an omnipotent being make something it could not control (Mackie 1955: 210)? This question is known as the Paradox of the Stone, or the Paradox of Omnipotence. It appears that answering either “yes” or “no” will mean that the being in question is not omnipotent after all. For suppose that the being cannot create the stone. Then it seems that it is not omnipotent, for there is something that it cannot do. But suppose the being can create the stone. Then, again, there is something it cannot do, namely, lift the stone it has created.

Although the argument is usually initially stated in this form, as it stands it is not quite valid. From the fact that a particular being is able to create a stone it cannot lift, it does not follow that there is in fact something that that being cannot do. It only follows that if the being were to create the stone, then there would be something it could not do. As a result, the paradox is a problem only for necessary omnitemporal omnipotence, that is, for the view that there is a being who exists necessarily and is necessarily omnipotent at every time (Swinburne 1973; Meierding 1980). There is no problem for a being who is only omnipotent at certain times, because the being in question might very well be omnipotent prior to creating the stone (but not after). Furthermore, the stone paradox provides no reason to suppose there could not be a contingently omnitemporally omnipotent being; all the being in question would need to do is to decide not to create the stone, and then it would be omnipotent at every time. Nevertheless, the Stone Paradox is of interest because necessary omnitemporal omnipotence has traditionally been attributed to God.

The Stone Paradox has been the main focus of those attempting to specify exactly what an omnipotent being could, and could not, do. However, even for those who do not wish to insist on necessary omnitemporal omnipotence, a number of questions arise. Could an omnipotent being draw a square circle? Descartes notoriously answered “yes.” However, the Western philosophical and theological traditions have, at least since Aquinas, almost universally given the opposite answer. The view that an omnipotent being could do absolutely anything, even the logically absurd, is known as voluntarism.

Simply rejecting voluntarism does not give an answer to the Stone Paradox. Creating a stone too heavy for its creator to lift is a possible task. Another possible task which an omnipotent being can apparently not perform is coming to know that one has never been omnipotent. For human beings, this is a fairly simple task, but for an omnipotent being it would seem to be impossible. The general problem is this: The fact that it is logically possible that some being perform a specified task (the task itself does not contain a contradiction) does not guarantee that it is logically possible for an omnipotent being to perform that task. Coming to know that one has never been omnipotent is an example of a single task that is logically possible for some being perform, but which is logically impossible for an omnipotent being to perform. The Stone Paradox provides an example of two tasks (creating a stone its creator cannot lift and lifting the stone one has just created) such that each task is logically possible, but it is logically impossible for one task to be performed immediately after the other.

In order to meet these challenges, it is necessary to say something more precise than to simply affirm that an omnipotent being would be able to do whatever is possible. These more precise theories can be divided into two classes: act theories, which say that an omnipotent being would be able to perform any action; and result theories, which say that an omnipotent being would be able to bring about any result.

b. Voluntarism

René Descartes, almost alone in the tradition of Western theology, held that God could do anything, even affirming that “God could have brought it about … that it was not true that twice four make eight” (Descartes 1984-1991: 2:294). If this doctrine is adopted, then the Stone Paradox is dissolved: If an omnipotent being could make contradictions true, then an omnipotent being could make a stone too heavy for it to lift and still lift it (Frankfurt 1964). However, this doctrine is of questionable coherence. To cite just one difficulty, it would seem to follow from the claim that God could make 2 x 4 = 9 that possibly God makes 2 x 4 = 9. However, it is a necessary truth that if God makes 2 x 4 = 9, then 2 x 4 = 9. In standard modal logics, possibly p and necessarily if p then q together entail possibly q, so it seems to follow that possibly 2 x 4 = 9.

Descartes does not accept this consequence, but it is not clear how he can avoid it. It has been suggested that he may be implicitly committed to the rejection of one or more widely accepted modal axioms (Curley 1984). These sorts of absurdities have led to the nearly universal rejection of voluntarism by philosophers and theologians.

c. Act Theories

Once voluntarism is rejected, it is necessary to specify more precisely what is meant by saying that an omnipotent being could do anything. One natural way of doing this is to give a definition of the form:

S is omnipotent =df S can perform any action A such that C

where C specifies some conditions A must satisfy. Such theories of omnipotence may be conveniently referred to as act theories. The simplest (non-voluntarist) act theory is:

(1) S is omnipotent =df S can perform any action A such that A is possible

This act theory deals with the problem of drawing a round square and making 2 x 4 = 9: these are not possible actions. There is some difficulty in saying exactly which acts should count as possible, and this threatens to make the condition too weak. For instance, a being who could perform only physically possible actions would not be omnipotent. The usual response, dating back at least to Aquinas, is to say that an action is possible, in the relevant sense, if and only if it consistent, that is, if it is not self-contradictory.

The Stone Paradox is most effective against act theories. Making a stone one cannot lift is a possible action, so, in order to count as omnipotent according to (1), a being must be able to perform it. However, if any being performs this task then there is a possible task which that being cannot perform immediately afterward, namely, lifting the stone one has just made. It might be objected that this task is not possible for the being in question, but this qualification is not permitted by (1). Definition (1) requires that an omnipotent being should be able to perform any logically possible action, that is, any action which could possibly be performed by any being at all, in any circumstances at all. It is clearly possible that some being perform the action lifting the stone one has just made, so, according to (1), a being who had just performed the action making a stone one cannot lift could not possibly be omnipotent.

This is not a problem for a being who is only contingently omnipotent: such a being might perform the first task, thereby ceasing to be omnipotent, and so be unable to perform the second task, or the being might refrain from performing the first task, and so continue to be omnipotent. However, the Paradox does show that on the contemplated theory no being could be necessarily omnitemporally omnipotent.

It has sometimes been thought that this problem could be solved simply by recognizing that creating a stone an omnipotent being cannot lift is an impossible action, and therefore an omnipotent being need not be able to perform it (Mavrodes 1963). However, this line of objection fails to recognize that, in addition to the impossible action creating a stone an omnipotent being cannot lift, there are also such possible actions as creating a stone one cannot lift and creating a stone its creator cannot lift.

There are further problems. Possible actions also include coming to know that one has never been omnipotent, which, since no one can know falsehoods, no omnipotent being could do. Additionally, this kind of view causes problems for various traditional religious views, such as the assertion by the author of the Epistle to the Hebrews that it is “impossible for God to lie” (Hebrews 6:18) since lying is a possible action.

Medieval philosophers prior to Aquinas often attempted to deal with this problem by claiming that an omnipotent being could perform any action which does not require a defect or infirmity. However, there was very little success in spelling out the meaning of this assertion (Ross 1969: 196-202). Here is a definition which cpatures the basic idea of these Medieval analyses:

(2)   S is omnipotent =df S can perform any action A such that it is logically possible that S does A.

This is similar to the Medieval suggestion since, according to classical theology, God is necessarily without defect or infirmity, so that, if the action A requires a defect or infirmity, (2) does not require that God, in order to count as omnipotent, should be able to do it. However, (2) runs into the famous ‘McEar’ counter-example (Plantinga 1967: 170; La Croix 1977: 183). Suppose that it is a necessary truth about a certain being, known as McEar, that the only action he performs is scratching his ear. It follows that, if McEar can scratch his ear, he is omnipotent, despite his inability to do anything else. This result is clearly unacceptable.

One response, considered by Alvin Plantinga and advocated by Richard La Croix, is to claim merely that an otherwise God-like being who satisfied this definition would be omnipotent. If the concept of God is otherwise coherent, then this claim is probably true. It also has the benefit of being guaranteed not to create any inconsistencies, for it is built into the definition that God has power only to perform those actions such that it is possible that he perform them. However, to adopt this strategy is to give up on the project of providing a general analysis of omnipotence. Furthermore, this claim, on its own, does not answer the question of the Stone Paradox: is it possible for God to create a stone he cannot lift?

Although not everyone agrees that La Croix’s response is satisfactory, it is widely held that the prospects are not good for a consistent general definition or analysis of omnipotence in terms of acts (Ross 1969: 202-210; Geach 1973; Swinburne 1973; Sobel 2004: ch. 9).

d. Result Theories

The main alternatives to act theories of omnipotence are result theories, theories which analyze omnipotence in terms of the results an omnipotent being would be able to bring about. These results are usually thought of as states of affairs or possible worlds. A possible state of affairs is a way the world could be. Philosophers also sometimes recognize impossible states of affairs, that is, ways the world could not be. For instance, the sky’s being blue is a possible state of affairs, and John’s being a married bachelor is an impossible state of affairs. A possible world is a maximal consistent state of affairs, a complete way the world could be.

Equivalent, or approximately equivalent, result theories can be stated in terms either of states of affairs or of possible worlds. The simplest (non-voluntarist) result theory can be stated, in terms of possible worlds, as follows:

(3) S is omnipotent =df S can bring about any possible world

In other words, for any comprehensive way the world could be, an omnipotent being could bring it about that the world was that way. This account of omnipotence was first clearly laid out and endorsed by Leibniz, who pioneered the philosophical use of the notion of a possible world (Leibniz 1985: sects. 7-8, 52, 416). More recently, James Ross has advocated a similar account, though Ross prefers a formulation in terms of states of affairs (Ross 1969: 210-213):

(4) S is omnipotent =df for every contingent state of affairs p, whether p is the case is logically equivalent to the effective choice, by S, that p

Since every state of affairs must either obtain or not, and since two contradictory states of affairs cannot both obtain, an omnipotent being would have to will some maximal consistent set of contingent states of affairs (Ross 1980: 614), that is, some one possible world. Ross’s definition therefore entails Leibniz’s.

The Leibniz-Ross theory neatly handles all of the objections raised against act theories. First, the Stone Paradox depends on the existence of reflexive actions, that is, actions whose descriptions refer back to the actor. Although states of affairs can refer to agents, a state of affairs does not have an actor. Thus, the phrase ‘there being a stone one cannot lift’ fails to specify a state of affairs, since there is no actor for “one” to refer to. In order to specify a state of affairs, it is necessary to replace “one” with some expression that defines which agent or agents cannot lift the stone. However, there being a stone an omnipotent being cannot lift is clearly not a possible state of affairs. An omnipotent being could therefore not bring it about. On the other hand, there being a stone its creator cannot lift is a possible state of affairs, and could be brought about by an omnipotent being, under the Leibniz-Ross theory, for an omnipotent being could bring it about that some other being created a stone which that being could not lift. Therefore, the Stone Paradox is not a problem for the Leibniz-Ross theory.

The Leibniz-Ross theory is likewise invulnerable to the objection regarding coming to know that one is not omnipotent, for, in this theory, an omnipotent being must be essentially omnipotent, and it is not possible that an essentially omnipotent being should come to know that it is not omnipotent. Therefore, as in the stone case, the omnipotent being could bring about someone’s coming to know that she is not omnipotent, but not an omnipotent being’s coming to know that it is not omnipotent. Finally, no analog to the McEar objection arises for the Leibniz-Ross theory.

While there are no obvious contradictions involved in the Leibniz-Ross theory, there are a number of metaphysical consequences which some have thought odd and, indeed, absurd. First, the Leibniz-Ross theory implies that an omnipotent being exists necessarily. According to Leibniz’s formulation, an omnipotent being would be able to actualize any possible world, but it is absurd to suppose that an omnipotent being should actualize a world in which it never existed. It follows that no such world is possible. On Ross’s formulation, the obtaining of any state of affairs is logically equivalent to its being chosen by an omnipotent being. Therefore, the obtaining of the state of affairs of no omnipotent being ever existing is logically equivalent to an omnipotent being effectively choosing that no omnipotent being should ever exist, but if no omnipotent being ever exists, then no omnipotent being ever chooses. As a result, the state of affairs of no omnipotent being ever existing cannot possibly obtain (Ross 1969: 213-214). Leibniz and Ross are both proponents of the ontological argument for the existence of God, so they both regard this as a benefit of this theory of omnipotence. Others have, however, found it implausible.

Although many people find it intuitive to suppose that there are possible worlds in which there is no omnipotent being, the Leibniz-Ross theory of omnipotence rules out this possibility. The Leibniz-Ross theory may narrow the space of possible worlds even further, for God, the being Leibniz and Ross believe to be omnipotent, is also supposed to be necessarily morally perfect, and there are worlds which intuitively seem possible which a necessarily morally perfect being could not, it seems, create–for instance, worlds in which the only sentient creatures suffer excruciating pain throughout every moment of their existence. On the Leibniz-Ross theory, if the omnipotent being could not create these worlds, then these worlds are not possible.

Furthermore, the Leibniz-Ross theory entails that an omnipotent being not only cannot create beings it cannot control, but cannot create beings it does not control (Mann 1977). In the Leibniz-Ross theory, an omnipotent being must choose every state of affairs which is to obtain, including all of the choices of its creatures. This is often thought to be a serious threat to human freedom.

All of these concerns with the Leibniz-Ross theory point the same direction: the suggestion that there are logically possible states of affairs which it is nevertheless logically impossible that an omnipotent being, or an omnipotent being who also has the other traditional divine attributes, should actualize. This line of reasoning has led Plantinga to dub the view that God can actualize any possible world “Leibniz’s Lapse” (Plantinga 1974: 180-184).

There is disagreement about exactly which, or how many, possible states of affairs cannot possibly be brought about by an omnipotent being. For instance, philosophers disagree about whether the claim that an omnipotent being exists is necessarily true, necessarily false, or contingent. If it is a contingent matter whether an omnipotent being exists, then the state of affairs of no omnipotent being ever existing is possible, but nevertheless cannot possibly be brought about by an omnipotent being. Perhaps the most widely accepted examples, and those Plantinga focuses on, are statements about the free choices of creatures. Plantinga believes that it is logically impossible that any being other than Caesar should bring about the possible state of affairs such as Caesar’s freely choosing not to cross the Rubicon, for if Caesar’s not crossing the Rubicon had been brought about by some other being (for example, God), then Caesar would not have freely chosen.

If it is accepted that there are some possible states of affairs which it is impossible that an omnipotent being should bring about, a more complicated analysis of omnipotence is needed. An obvious candidate is:

(5)   S is omnipotent =df  S can bring about any state of affairs p such that it is logically possible that S brings about p

However, this brings back the McEar objection, which the Leibniz-Ross theory had escaped. It is essential to McEar that he never bring about anything other than his own scratching of his ear. It is therefore impossible that McEar bring about some other state of affairs. As a result, this definition, once again, wrongly counts McEar as omnipotent, provided only that he is able to scratch his ear. Some philosophers have responded by arguing that there could not possibly be such a being as McEar (Wierenga 1983: 374-375). Others have given up on the project of giving a general analysis of omnipotence (La Croix 1977). Still others have advocated theories of omnipotence which make special accommodation to creaturely freedom (Flint and Freddoso 1983).

An entirely different approach to the problem is advocated by Erik J. Wielenberg (2000). According to Wielenberg, omnipotence cannot be analyzed simply by consideration of which states of affairs an omnipotent being could or could not bring about. Instead, it is necessary to consider why the being could or could not bring them about. Wielenberg proposes the following analysis:

(6) S is omnipotent =df there is no state of affairs p such that S is unable to bring about p at least partially due to lack of power

This analysis avoids attributing omnipotence to McEar since McEar’s limitation seems to be at least in part due to lack of power. It also solves the problem of the consistency of God’s inability to do evil with omnipotence, since God’s inability to do evil is not due to lack of power. Finally, according to Wielenberg, if it is really true that even an omnipotent being could not bring about Caesar’s freely choosing not to cross the Rubicon, then this must be due not to lack of power, but to the logic of the situation. The chief limitation of Wielenberg’s account is that it makes use of some unanalyzed notions whose analysis philosophers have found quite difficult. These are the notion of lack of power and the notion of one state of affairs obtaining partially due to another state of affairs obtaining. Without analyses of these notions, it is hard to tell whether Wielenberg’s analysis is self-consistent and whether it is consistent with other traditional divine attributes.

e. Omnipotence and Time

The Leibniz-Ross theory entails that the exercise of omnipotent power cannot occur within time. This is because, in this view, to exercise omnipotent power is to choose some particular possible world to be actual. To think of such a choice as occurring in time would be to imagine that some possible world could, at some particular time, become actual, having previously been merely possible. This, however, is absurd (Ross 1980: 621). Therefore, on the Leibniz-Ross theory, an omnipotent being can act only atemporally.

The notion of an atemporal action has, however, been found difficult. To give just one example of such a difficulty, it is widely held that acting requires one to be the cause of certain effects. However, many philosophers have also held that it is part of the concept of a cause that it must occur before its effects. Since something atemporal is neither before nor after anything else, there cannot be an atemporal cause, and, therefore, there cannot be an atemporal action.

On the other hand, even apart from the Leibniz-Ross theory, there are difficulties with the notion of being omnipotent at a time. This is because there are contingent states of affairs about the past, but the notion of changing the past is generally agreed to be incoherent (see Time Travel). Thus, omnipotence at a point in time cannot be defined as, for instance, the ability to bring about any contingent state of affairs because, although many past states of affairs are contingent, nothing done in the present, even by an omnipotent being, could possibly bring about a past state of affairs.

Richard Swinburne has proposed an analysis of omnipotence at a point in time based on definition (5) above (Swinburne 1973):

(7) S is omnipotent at time t =df  S is able at t to bring about any state of affairs p such that it is consistent with the facts about what happened before t that, after t, S should bring about p

If the notion of changing the past is incoherent, then (7) does not require that an omnipotent being be able to change the past. However, (7) inherits (5)’s flaw when it comes to McEar: Since it is inconsistent to suppose that McEar (who, by hypothesis, is necessarily such that he only scratches his ear) does something other than scratch his ear, he need not have the power to do anything else in order to count as omnipotent. Additionally, there are well-known problems with specifying which facts are about the past. For instance, consider the fact that the U.S. Declaration of Independence was issued 232 years before President Obama took office. It is difficult to say whether this is a fact about 1776 or about 2008. (Intuitively, it is about both.) In order for (7) to succeed in dealing with the difficulties of temporal omnipotence, there must be a distinction between those facts which are, and those which are not, about the past. However, relational facts like the one under discussion show that it is quite difficult to draw this distinction.

Some philosophers have attempted to meet this difficulty head-on by adopting particular theories of temporal facts (Flint and Freddoso 1983), while others have tried to sidestep the concern by formulating theories of temporal omnipotence which do not require a distinction between past and non-past facts. For instance, Gary Rosenkrantz and Joshua Hoffman advocate the following analysis (Rosenkrantz and Hoffman 1980):

(8) S is omnipotent at t =df  S is able at t to bring about any state of affairs p such that possibly some agent brings about p, and p is unrestrictedly repeatable

Rosenkrantz and Hoffman introduce a number of further qualifications, but the central point of their account is the notion of unrestricted repeatability. Intuitively, an unrestrictedly repeatable state of affairs is one that can obtain, cease to obtain, and then obtain again indefinitely many times, throughout all of history. Mt. Vesuvius’s erupting is unrestrictedly repeatable, but Mt. Vesuvius’s erupting prior to 1900 is not, since the latter cannot obtain at any time after 1900. Rosenkrantz and Hoffman hold that an omnipotent being could, before 1900, have brought about Mt. Vesuvius’s erupting prior to 1900 by, at that time, bringing about Mt. Vesuvius’s erupting. After 1900, an omnipotent being could still bring about the latter state of affairs, though not the former. Since the former state of affairs is not unrestrictedly repeatable, the inability to bring it about after 1900 is no bar to a being’s counting as omnipotent.

2. Omnipotence and Necessary Moral Perfection

According to the New Testament, “God cannot be tempted with evil” (James 1:13) and it is “impossible for God to lie” (Hebrews 6:18). Traditionally, these divine inabilities are taken quite seriously, and are said to follow from God’s attribute of impeccability or necessary moral perfection. According to this view, it is impossible for God to do evil. It seems, however, that no being could be both omnipotent and necessarily morally perfect, since an omnipotent being could do anything, but there are many things a necessarily morally perfect being could not do.

The argument can be formulated as follows (Morriston 2001: 144). Consider some particularly evil state of affairs, E, such as every sentient being suffering excruciating pain throughout its entire existence. Then:

(1)   If any being is necessarily morally perfect, then there is no possible world at which that being brings about E

(2)   If any being is omnipotent, then that being has the power to bring about E

(3)   If any being has the power to bring about E, then there is some possible world at which that being brings about E

Therefore,

(4)   No being is both necessarily morally perfect and omnipotent

Some theists have simply accepted the conclusion, replacing either necessary moral perfection or omnipotence with some weaker property. For instance, Nelson Pike famously argued that, although no being would deserve the title “God” unless that being were morally perfect, there are nevertheless possible worlds in which the being who is in fact God is not morally perfect, and therefore is not God (Pike 1969). Pike’s view is, in essence, a rather complicated version of the claim that God is only contingently morally perfect, a view which some have regarded as extremely objectionable from a theological standpoint (Geach 1977).

A number of philosophers who have accepted the incompatibility of omnipotence with necessary moral perfection have regarded the latter as more central to religious notions of God, and have argued that divine omnipotence should therefore be rejected (Geach 1977; Morriston 2001; Funkhouser 2006).

Defenders of the compatibility of omnipotence and necessary moral perfection must deny at least one of the premises of the argument, and, indeed, each of them has been denied. Premise (1) is perhaps the most difficult to reject. To be necessarily morally perfect is to be morally perfect in every possible world, but there seem to be some states of affairs such that bringing them about is inconsistent with moral perfection, and so it seems that if any being is necessarily morally perfect, then there are some states of affairs which that being does not bring about in any possible world. However, defenders of certain sorts of divine command theories of ethics are committed to the claim that God is morally perfect only in a trivial sense, and these views will have the result that (1) is false. If what is morally good depends on God’s choice, then, if God chose something else, that something else would be morally good. If this is right, then (1) is false: God could bring about E, but if he did bring about E, then E would be morally good. However, most philosophers regard this line of thought as tending to show the absurdity of these versions of divine command theory, rather than the falsity of (1).

Premise (2) can be rejected by those philosophers who regard omnipotence as the ability to perform any action or bring about any result which is consistent with the actor’s nature, as in definitions (2), (5), and (7).  However, these definitions fall prey to the McEar objection and, more generally, open the door to all kinds of limitations on what an omnipotent being can do.

Many philosophers of action take it as an axiom that there are no necessarily unexercised powers (or abilities, or capacities), and (3) is merely an instance of this general principle. Nevertheless, the rejection of (3) is defended by Wielenberg (2000), who argues by means of the following analogy. Suppose that Hercules is “omni-strong” that is, he has sufficient strength to lift stones of any weight. Suppose, however, that a certain stone is too slippery for him to get a grip on. He therefore cannot lift it. Hercules’ inability to lift the slippery stone does not count against his omni-strength, since the stone is not too heavy for him, but only too slippery.

In the same way, Wielenberg argues, there are many things which it is not possible for God to do. However, God is omnipotent, since it is not for lack of power that God is unable to do these things, but for other reasons, such as his necessary moral perfection. The aptness of Wielenberg’s analogy is still open to dispute, and the principle that there are no necessarily unexercised powers continues to be widely accepted.

3. Omnipotence and Human Freedom

It is sometimes argued that if the existence of an omnipotent agent is possible, then the existence of a non-omnipotent free agent is impossible. According to this line of thought, if Caesar was free, then Caesar, and only Caesar, could have brought about Caesar’s freely refraining from crossing the Rubicon. However, if Caesar could have brought about that state of affairs, then it must be a possible state of affairs, and an omnipotent being could therefore bring it about. This, however, cannot be correct, for if someone other than Caesar brought about Caesar’s refraining, then Caesar would not have refrained freely. Therefore, an omnipotent being could not bring about this state of affairs. But if even an omnipotent being could not bring it about, then surely Caesar, who is not omnipotent, could not bring it about either. Therefore, Caesar was not free and, by parity of reasoning, neither is any other non-omnipotent agent.

The Leibniz-Ross theory renders the problem even more acute. According to Leibniz, God chooses precisely which possible world will obtain. God, therefore, chooses whether Caesar will cross the Rubicon. However, if someone else chooses what Caesar will do, then Caesar is not free. Similarly, for Ross, Caesar’s crossing the Rubicon is logically equivalent to God’s effectively choosing that Caesar cross the Rubicon. The choice is up to God. It is therefore not up to Caesar, at least not in the sense which (according to some philosophers) is required for free will.

Neither Leibniz nor Ross finds this objection particularly troubling. According to Leibniz, since it is possible that Caesar freely refrain from crossing the Rubicon, there must be a possible world which represents him as doing so. In making a world actual, God does not in any way change the intrinsic character of that world (Leibniz 1985: sect. 52). As a result, had God brought about that world, Caesar would still have been free. Similarly, Ross suggests that whatever sort of independence from external determination freedom requires, it certainly does not require that the agent’s choice be independent of its own logical entailments. However, in his view, God’s effectively choosing that the agent so choose is logically equivalent to the agent’s so choosing, and so cannot be inconsistent with freedom (Ross 1980: sect. 2).

Compatibilists about free will may be satisfied with the responses given by Leibniz and Ross. Libertarians, however, have generally not been satisfied, and have argued that an omnipotent being need not have the power to bring about such states of affairs as Caesar’s freely refraining from crossing the Rubicon. Most of those who have been so concerned have followed an approach developed by Plantinga (1974: ch. 9). This approach hinges on the existence of a class of propositions known as counterfactuals of freedom. A counterfactual of freedom is a statement about what an individual would freely choose if faced with a certain hypothetical circumstance. For instance, the claim, “If Caesar were offered a bribe of fifty talents, he would freely refrain from crossing the Rubicon,” is a counterfactual of freedom. Now, suppose that Brutus wants Caesar to freely refrain. If he uses force to prevent Caesar from crossing the Rubicon, then he has not succeeded in bringing it about that Caesar freely refrains, for in this case, Caesar’s refraining has been brought about by Brutus and not by Caesar, and so Caesar did not do it freely. This sort of bringing about is known as strongly actualizing. Only Caesar can strongly actualize Caesar’s freely refraining from crossing the Rubicon. However, if Brutus knows that if Caesar were offered the bribe, he would freely refrain, then there is a sense in which Brutus can bring it about that Caesar freely refrains: Brutus can strongly actualize the state of affairs Caesar’s being offered the bribe, and he knows that if he does this then Caesar will freely refrain. In such a case, Brutus would be said to have weakly actualized Caesar’s freely refraining.

According to Plantinga, in order for creatures to be free, it must not be up to anyone else which counterfactuals of freedom are true of them, so even an omnipotent being could not bring it about that particular counterfactuals of freedom are true. However, an omnipotent being could presumably bring it about that it knows the true counterfactuals of freedom (or if the omnipotent being was also essentially omniscient, then it would already know), and it could presumably strongly actualize many of their antecedents, and so weakly actualize a variety of states of affairs in which non-omnipotent beings acted freely. An omnipotent being could not, however, weakly actualize just any possible state of affairs. For instance, if there were no possible circumstance such that, if Caesar were in that circumstance, he would freely refrain from crossing the Rubicon, then even an omnipotent being could not weakly actualize Caesar’s freely refraining.

Among those who accept Plantinga’s arguments, some have attempted to analyze omnipotence in terms of what an omnipotent being could strongly actualize, and made appropriate qualifications for free actions. It is typically pointed out that it is logically impossible for any being to strongly actualize a state of affairs in which another being makes a free choice, and it suffices for omnipotence that a being be able to strongly actualize those states of affairs which it is logically possible that that being should strongly actualize (Wierenga 1983). This approach, however, runs into McEar-style counterexamples. Others have attempted to analyze omnipotence in terms of what an omnipotent being could weakly actualize. Flint and Freddoso (1983) require that an omnipotent being S be able to weakly actualize any possibly actualized state of affairs which is consistent with the counterfactuals of freedom about beings other than S. However, as Graham Oppy has pointed out, Flint and Freddoso’s analysis also seems to make omnipotence too easy, since on Flint and Freddoso’s account a being who could not strongly actualize such mundane states of affairs as a five-pound stone’s being lifted or a barn’s being painted red could turn out to be omnipotent if it was able to weakly actualize them (Oppy 2004, 74-75).

4. Omnipotence and the Problem of Evil

Divine omnipotence is typically used as a key premise in the famous argument against the existence of God known as the Logical Problem of Evil. The argument can be formulated as follows:

(1)   An omnipotent being would be able to bring about any possible world

(2)   Given the opportunity to bring about some world, a morally perfect being would only bring about the best world available to it

(3)   The actual world is not the best possible world

Therefore,

(4)   The actual world was not brought about by a being who is both omnipotent and morally perfect

The argument is here formulated in Leibnizian terms, and Leibniz notoriously rejected premise (3). Premise (2) has also been rejected: some philosophers have denied that there is a unique best possible world and others, most notably Robert Adams, have argued that even if there is such a world, creating it might not be the best course of action (Adams 1972). However, the premise that is of present concern is (1). Although (1) is accepted by Leibniz and Ross, considerations related to necessary moral perfection and human freedom have led many philosophers to reject it. This is the central premise of Plantinga’s Free Will Defense against the Logical Problem of Evil (Plantinga 1974, ch. 9): If there are worlds that God, though omnipotent, cannot bring about, then the best possible world might be one of these. If this is so, then, despite being both omnipotent and morally perfect, God would bring about a world which was less than the best, such as, perhaps, the actual world.

5. References and Further Reading

  • Adams, Robert Merrihew (1972). Must God create the best? Philosophical Review 81 (3):317-332.
  • Aquinas, St. Thomas. 1921 [1274]. The summa theologica of St. Thomas Aquinas. 2nd ed. Trans. Fathers of the English Dominican Province. London: Burns Oates & Washbourne.
    • Part 1, Qu. 25, Art. 3 argues that omnipotence should be understood as the ability to do anything that is absolutely possible, that is, that does not imply a contradiction.
  • Cowan, J. L. 1965. The paradox of omnipotence. Analysis 25:102-108.
    • Argues, against Mavrodes 1963, that the Stone Paradox cannot be solved by claiming that God can perform only logically possible tasks.
  • Curley, E. M. 1984. Descartes on the creation of the eternal truths. The Philosophical Review 93:569-597.
  • Descartes, Rene. 1984-1991 [1619-1649]. The philosophical writings of Descartes. Trans. JohnCottingham, Robert Stoothoff, Dugald Murdoch, and Anthony Kenny. 3 vols. Cambridge: Cambridge University Press.
    • Defends voluntarism, the thesis that God can do literally anything, even draw a round square. See 2:294 (Sixth Replies) and 3:23-26 (letters to Mersenne).
  • Flint, Thomas P., and Alfred J. Freddoso. 1983. Maximal power. In The existence and nature of God, ed. Alfred J. Freddoso. Notre Dame, IN: University of Notre Dame Press.
    • Combines the apparatus of Plantinga 1974 with an Ockhamist account of foreknowledge to develop a result theory sensitive to issues about time and freedom.
  • Frankfurt, Harry G. 1964. The logic of omnipotence. Philosophical Review 73 (2): 262-263.
    • Points out that if, as Descartes supposed, God can do the logically impossible, then God can create a stone too heavy for him to lift and still lift it.
  • Funkhouser, Eric. 2006. On privileging God’s moral goodness. Faith and Philosophy 23 (4): 409-422.
    • Argues that omnipotence is incompatible with necessary moral perfection, and that omnipotence is not a perfection, and therefore should not be attributed to God.
  • Geach, P. T. 1973. Omnipotence. Philosophy 48 (183): 7-20.
    • Considers four theories of omnipotence and argues that they are all unacceptable.
  • La Croix, Richard R. 1977. The impossibility of defining ‘omnipotence’. Philosophical Studies 32 (2):181-190.
    • Argues that every possible definition of omnipotence either renders omnipotence inconsistent with traditional divine attributes or falls prey to McEar-style counterexamples. This article is responsible for introducing the name ‘McEar.’
  • Leibniz, G. W. 1985 [1710]. Theodicy. Ed. Austin Farrer. Trans. E. M. Huggard. La Salle, Ill.: Open Court.
    • Argues that God’s omnipotence consists in his ability to actualize any possible world, but God is impelled by a’moral necessity’ to choose the best.
  • Mackie, J. L. 1955. Evil and omnipotence. Mind 64 (254): 200-212.
    • Argues that it is incoherent to suppose that a world containing evil was created by an omnipotent and perfectly good being.
  • Mann, William E. 1977. Ross on omnipotence. International Journal for Philosophy of Religion 8 (2):142-147.
    • Shows that, given Ross’s theory of omnipotence (Ross 1969), an omnipotent being cannot freely decide to leave it up to others whether a certain state of affairs should obtain.
  • Mavrodes, George I. 1963. Some puzzles concerning omnipotence. Philosophical Review 72 (2):221-223.
    • Argues that an omnipotent being could not create a stone so heavy he could not lift it, since the notion of a stone too heavy to be lifted by an omnipotent being is incoherent.
  • Meierding, Loren. 1980. The impossibility of necessary omnitemporal omnipotence. International Journal for Philosophy of Religion 11 (1): 21-26.
    • Formalizes Swinburne’s argument that only necessary omnitemporal omnipotence is incoherent (Swinburne 1973).
  • Morriston, Wes. 2001. Omnipotence and necessary moral perfection: are they compatible? Religious Studies 37 (2): 143-160.
    • Argues that no being could be both omnipotent and necessarily morally perfect.
  • Oppy, Graham. 2005. Omnipotence. Philosophy and Phenomenological Research 71 (1): 58-84.
    • Criticizes several recent theories of omnipotence (Rosenkrantz and Hoffman 1980; Flint and Freddoso 1983; Wierenga 1983) and argues that the God of ‘orthodox monotheism’ should not be regarded as omnipotent at all.
  • Pike, Nelson. 1969. Omnipotence and God’s ability to sin. American Philosophical Quarterly 6 (3):208-216.
    • Argues that the individual who is in fact God is able to sin, but that the sentence ‘God sins’ is nevertheless necessarily false.
  • Plantinga, Alvin. 1967. God and other minds: a study of the rational justification of belief in God. Ithaca, NY: Cornell University Press.
    • Ch. 7, sect. 2 introduced the ‘McEar’ counterexample to certain definitions of omnipotence (p. 170).
  • Plantinga, Alvin. 1974. The nature of necessity. Oxford: Clarendon Press.
    • Chapter 9 argues that there are possible worlds which God, though omnipotent, cannot actualize.
  • Rosenkrantz, Gary, and Joshua Hoffman. 1980. What an omnipotent agent can do. International Journal for Philosophy of Religion 11 (1): 1-19.
    • Defends a result theory according to which an omnipotent agent can actualize any unrestrictedly repeatable state of affairs.
  • Ross, James F. 1969. Philosophical theology. Indianapolis: Bobbs Merrill.
    • Omnipotence is the topic of chapter 5. After a survey of Scholastic theories of omnipotence, Ross argues that no act theory of omnipotence can succeed. Ross then presents his own theory according to which a being is omnipotent if for any contingent state of affairs p, it is up to that being to choose whether p obtains.
  • Ross, James F. 1980. Creation. Journal of Philosophy 77 (10): 614-629.
    • Further develops, and defends from objections, the account of omnipotence given in Ross 1969. Section 2 answers the objection that Ross’s theory leaves no room for human freedom (Mann 1977).
  • Swinburne, Richard. 1973. Omnipotence. American Philosophical Quarterly 10: 231-237.
    • Argues that a result theory can, and an act theory cannot, defeat the Stone Paradox. However, it is conceded that the Paradox shows that no temporal being could be essentially omnipotent.
  • Wielenberg, Erik J. 2000. Omnipotence again. Faith and Philosophy 17 (1): 26-47.
    • Criticizes Wierenga 1983 and Flint and Freddoso 1983 and argues for a result theory according to which there is no state of affairs such that lack of power prevents an omnipotent being from actualizing it.
  • Wierenga, Edward R. 1983. Omnipotence defined. Philosophy and Phenomenological Research 43 (3):363-375.
    • Defends a result theory, and argues that a being like McEar is impossible.

Author Information

Kenneth L. Pearce
Email: kpearce@usc.edu
University of Southern California
U. S. A.

Edmund Husserl: Intentionality and Intentional Content

HusserlEdmund Husserl (1859—1938) was an influential thinker of the first half of the twentieth century. His philosophy was heavily influenced by the works of Franz Brentano and Bernard Bolzano, and was also influenced in various ways by interaction with contemporaries such as Alexius Meinong, Kasimir Twardowski, and Gottlob Frege. In his own right, Husserl is considered the founder of twentieth century Phenomenology with influence extending to thinkers such as Martin Heidegger, Jean-Paul Sartre, Maurice Merleau-Ponty, and to contemporary continental philosophy generally. Husserl’s philosophy is also being discussed in connection with contemporary research in the cognitive sciences, logic, the philosophy of language, and the philosophy of mind, as well as in discussions of collective intentionality. At the center of Husserl’s philosophical investigations is the notion of the intentionality of consciousness and the related notion of intentional content (what Husserl first called ‘act-matter’ and then the intentional ‘noema’). To say that thought is “intentional” is to say that it is of the nature of thought to be directed toward or about objects. To speak of the “intentional content” of a thought is to speak of the mode or way in which a thought is about an object. Different thoughts present objects in different ways (from different perspectives or under different descriptions) and one way of doing justice to this fact is to speak of these thoughts as having different intentional contents. For Husserl, intentionality includes a wide range of phenomena, from perceptions, judgments, and memories to the experience of other conscious subjects as subjects (inter-subjective experience) and aesthetic experience, just to name a few. Given the pervasive role he takes intentionality to play in all thought and experience, Husserl believes that a systematic theory of intentionality has a role to play in clarifying and founding most other areas of philosophical concern, such as the theory of consciousness, the philosophy of language, the philosophy of logic, epistemology, and the philosophies of action and value. This article presents the key elements of Husserl’s understanding of intentionality and intentional content, specifically as these are developed in his works Logical Investigations and Ideas Pertaining to a Pure Phenomenology and to a Phenomenological Philosophy.

Table of Contents

  1. Intentionality: Background and General Considerations
    1. Intentional Content
  2. Logical Investigations
    1. Intentionality in Logical Investigations
      1. Act-Character
      2. Act-Matter
    2. Intentionality, Meaning and Expression in Logical Investigations
      1. Meaning and Expression
      2. Essentially Occasional Expressions: Indexicals
  3. Ideas Pertaining to a Pure Phenomenology and to a Phenomenological Philosophy: The Perceptual Noema
    1. Noesis and Noema: Terminology and Ontology
    2. Structural Features of the Noema
    3. Systems of Noemata and Explication
    4. Additional Considerations
  4. References and Further Reading
    1. Works by Husserl
    2. Secondary Sources

1. Intentionality: Background and General Considerations

Franz Brentano (1838—1917) is generally credited with having inspired renewed interest in the idea of intentionality, especially in his lectures and in his 1874 book Psychology from an Empirical Standpoint. In this work Brentano is, among other things, concerned to identify the proper sphere or subject matter of psychology. Influenced in various ways by Aristotle’s psychology, by the medieval notion of the intentio of a thought, and by modern philosophical views such as those of Descartes and the empiricists, he identifies intentionality as the mark or distinctive characteristic of the mental. For Brentano this means that every mental phenomenon involves the “intentional inexistence” of an object toward which the mental phenomenon is directed. While every such mental phenomenon has an object, different mental phenomena relate to their objects in different ways depending on whether they are mental acts of presenting something, of judging about something, or of evaluating something as good or bad. Identifying intentionality as the mark of the mental in this way opens up the possibility of studying the mind in terms of its relatedness to objects, the different modes or forms that this relatedness takes (perceiving, imagining, hallucinating, and so forth), and in terms of the relationships that these different modes of intentionality bear to one another (the relationships between presentations, judgments, and evaluations; for example, that every judgment fundamentally depends on a presentation the object of which it is a judgment about). Husserl studied with Brentano from 1884 to 1886 and, along with others such as Alexius Meinong, Kasimir Twardowski, and Carl Stumpf, took away from this experience an abiding interest in the analysis of the intentionality of mind as a key to the clarification of other issues in philosophy.

It is important to note the distinction between intentionality in the sense under discussion here on the one hand and the idea of an intention in the sense of an intelligent agent’s goal or purpose in taking a specific action on the other. The intentionality under consideration here includes the idea of agent’s intentions to do things, but is also much broader, applying to any sort of object-directed thought or experience whatsoever. Thus, while it would be normal to say that “Jack intended to score a point when he kicked the ball toward the goal”, in the sense of ‘intention’ pertinent to Husserl it is equally correct to say that “Jack intended the bird as a blue jay”. This latter being a way of saying that Jack directed his mind toward the bird by thinking of it or perceiving it as a blue jay.

Husserl himself analyzes intentionality in terms of three central ideas: intentional act, intentional object, and intentional content. It is arguably in Husserl’s Logical Investigations that these ideas receive their first systematic treatment as distinct but correlative elements in the structure of thought and experience. This section clarifies these three notions based on Husserl’s main commitments, though not always using his exact terminology.

The intentional act or psychological mode of a thought is the particular kind of mental event that it is, whether this be perceiving, believing, evaluating, remembering, or something else. The intentional act can be distinguished from its object, which is the topic, thing, or state of affairs that the act is about. So the intentional state of seeing a white dog can be analyzed in terms of its intentional act, visually perceiving, and in terms of its intentional object, a white dog. Intentional act and intentional object are distinct since it is possible for the same kind of intentional act to be directed at different objects (perceiving a tree vs. perceiving a pond vs. perceiving a house) and for different intentional acts to be directed at the same object (merely thinking about the Eiffel Tower vs. perceiving the Eiffel Tower vs. remembering the Eiffel Tower). At the same time the two notions are correlative. For any intentional mental event it would make no sense to speak of it as involving an act without an intentional object any more than it would to say that the event involved an intentional object but no act or way of attending to that object (no intentional act). The notion of intentionality as a correlation between subject and object is a prominent theme in Husserl’s Phenomenology.

a. Intentional Content

The third element of the structure of intentionality identified by Husserl is the intentional content. It is a matter of some controversy to what extent and in what way intentional content is truly distinct from the intentional object in Husserl’s writings. The basic idea, however, can be stated without too much difficulty.

The intentional content of an intentional event is the way in which the subject thinks about or presents to herself the intentional object. The idea here is that a subject does not just think about an intentional object simpliciter; rather the subject always thinks of the object or experiences it from a certain perspective and as being a certain way or as being a certain kind of thing. Thus one does not just perceive the moon, one perceives it “as bright”, “as half full” or “as particularly close to the horizon”. For that matter, one perceives it “as the moon” rather than as some other heavenly body. Intentional content can be thought of along the lines of a description or set of information that the subject takes to characterize or be applicable to the intentional objects of her thought. Thus, in thinking that there is a red apple in the kitchen the subject entertains a certain presentation of her kitchen and of the apple that she takes to be in it and it is in virtue of this that she succeeds in directing her thought towards these things rather than something else or nothing at all. It is important to note, however, that for Husserl intentional content is not essentially linguistic. While intentional content always involves presenting an object in one way rather than another, Husserl maintained that the most basic kinds of intentionality, including perceptual intentionality, are not essentially linguistic. Indeed, for Husserl, meaningful use of language is itself to be analyzed in terms of more fundamental underlying intentional states (this can be seen, for example, throughout LI, I). For this reason characterizations of intentional content in terms of “descriptive content” have their limits in the context of Husserl’s thought.

The distinction between intentional object and intentional content can be clarified based on consideration of puzzles from the philosophy of language, such as the puzzle of informative identity statements. It is quite trivial to be told that Mark Twain is Mark Twain. However, for some people it can be informative and cognitively significant to learn that Mark Twain is Samuel Clemens. The notion of intentional content can be used to explain this. When a subject thinks about the identity statement asserting that Mark Twain is Mark Twain, the subject thinks about Mark Twain in the same way (using the same intentional content; perhaps “the author of Huckleberry Finn”) in association with the name on both the left and right sides of the identity, whereas when a subject thinks about the identity statement asserting that Mark Twain is Samuel Clemens what he learns is that different intentional contents (those associated with the names ‘Mark Twain’ and ‘Samuel Clemens’ respectively) are true of the same intentional object. Cases such as this both motivate the distinction between intentional content and intentional object and can be explained in terms of it.

The notion of intentional content as distinct from intentional object is also important in relation to the issue of thought about and reference to non-existent objects. Examples of this include perceptual illusions, thought about fictional objects such as Hamlet or Lilliput, thought about impossible objects such as round-squares, and thought about scientific kinds that turn out not to exist such as phlogiston. What is common to each of these cases is that it seems possible to have meaningful experiences, thoughts and beliefs about these things even though the corresponding objects do not exist, at least not in any ordinary sense of ‘exist’. Identifying intentional content as a distinct and meaningful element of the structure of intentionality makes it possible for Husserl to explain such cases of meaningful thought about the non-existent in a way similar to that of Gottlob Frege and different from the strategy of his fellow student of Brentano, Alexius Meinong. Approaching issues of intentionality from the perspective of logic and the philosophy of language, Frege handled such cases by drawing a distinction between the sense or meaning and the referent (object denoted) of a term, and then saying that non-referring terms such as ‘Ulysses’ have senses, but no referents (Frege 1948). Meinong, on the other hand, was driven by his commitment to the thesis of intentionality to posit a special category of objects, the non-existing objects or objects that have Nichtsein, as the intentional objects of such thoughts (Meinong 1960). For Husserl, such cases involve an intentional act and intentional content where the intentional content does present an intentional object, but there is no real object at all corresponding to the intentional appearance. Given this, one way of reading the distinction between intentional content and intentional object is as a generalization to all mental acts of Frege’s primarily linguistic distinction between the senses and the referents of terms and sentences (for a defense of this interpretation see Føllesdal 1982, while for discussion and resistance to the view, see Drummond 1998). Husserl’s exact understanding of the ontological situation regarding intentional objects is quite involved and undergoes some changes between Logical Investigations and his later phenomenology, beginning with Ideas Pertaining to a Pure Phenomenology and to a Phenomenological Philosophy. However, throughout his work Husserl is able to make use of the distinction between intentional content and intentional object to handle cases of meaningful thought about the non-existent without having to posit, in Meinongian fashion, special categories of non-existent objects.

The basic structure of Husserl’s account of intentionality thus involves three elements: intentional act, intentional content and intentional object. For Husserl, the systematic analysis of these elements of intentionality lies at the heart of the theory of consciousness, as well as, in varying ways, of logic, language and epistemology.

2. Logical Investigations

Logical Investigations (hereafter ‘Investigations’), which came out in two volumes in the years 1900 and 1901, represents Husserl’s first definitive treatment of intentionality and is the source of the main ideas that would drive much of his later philosophical thinking. The primary project of the Investigations is to criticize a view in the philosophy of logic called “psychologism” according to which the laws of logic are in some sense natural laws or rules governing the human mind and can thus be studied empirically by psychology. Husserl, notably in agreement with Frege, believed that this view had the undesirable consequences of treating the laws of logic as contingent rather than necessarily true and as being empirically discoverable rather than as known and validated a priori. In the first part of the Investigations, the “Prolegomena to Pure Logic”, Husserl systematically criticizes the psychologistic view and proposes to replace it with his own conception of “pure logic” as the a priori framework for organizing, understanding and validating the results of the formal, natural and social sciences (Husserl called the “theory of scientific theory in general” that pure logic was to be the foundation for ‘Wissenschaftslehre’). For Husserl, pure logic is an a priori system of necessary truths governing entailment and explanatory relationships among propositions that does not in any way depend on the existence of human minds for its truth or validity. However, Husserl maintains that the task of developing a human understanding of pure logic requires investigations into the nature of meaning and language, and into the way in which conscious intentional thought is able to comprehend meanings and come to know logical (and other) truths. Thus the bulk of a work that is intended to lay the foundations for a theory of logic as a priori, necessary, and completely independent of the composition or activities of the mind is devoted precisely to systematic investigations into the way in which language, meaning, thought, and knowledge are intentionally structured by the mind. While this tension is more apparent than real, it was a major source of criticism directed against the first edition of Logical Investigations, one which Husserl was concerned to clarify and defend himself against in his subsequent writings and in the second edition of the Investigations in 1913. Pertinent here is what Husserl had to say about language and expression (LI, I) and about intentionality itself (LI, V & VI).

a. Intentionality in Logical Investigations

In Logical Investigations Husserl developed a view according to which conscious acts are primarily intentional, and a mental act is intentional only in case it has an act-quality and an act-matter. Introducing this key distinction, Husserl writes:

The two assertions ‘2 x 2 = 4’ and ‘Ibsen is the principal founder of modern dramatic realism’, are both, qua assertions, of one kind; each is qualified as an assertion, and their common feature is their judgment-quality. The one, however, judges one content and the other another content. To distinguish such ‘contents’ from other notions of ‘content’ we shall speak here of the matter (material) of judgment. We shall draw similar distinctions between quality and matter in the case of all acts (LI, V § 20, p. 586).

An additional notion in the Investigations, which grows in importance in Husserl’s later work and will be discussed here, is the act-character. Husserl views act-quality, act-matter and act-character as mutually dependent constituents of a concrete particular thought. Just as there cannot be color without saturation, brightness and hue, so for Husserl there cannot be an intentional act without quality, matter and character. The quality of an act (called ‘intentional act’ above) is the kind of act that it is, whether perceiving, imagining, judging, wishing, and so fotrth. The matter of an act is what has been called above its intentional content, it is the mode or way in which an object is thought about, for example a house intended from one perspective rather than another, or Napoleon thought of first as “the victor at Jena”, then as “the vanquished at Waterloo”. The character of an act can be thought of as a contribution of the act-quality that is reflected in the act-matter. Act-character has to do with whether the content of the act, the act-matter, is posited as existing or as merely thought about and with whether the act-matter is taken as given with evidence (fulfillment) or without evidence (emptily intended). The next two sub-sections deal with act-character and act-matter respectively.

i. Act-Character

In the Investigations and in his later work, Husserl sometimes writes of an additional dimension in the analysis of intentionality, which he first calls the “act-character” and then in later writings the “doxic and ontic modalities” (For the former, see for example LI, VI § 7; for the latter, see Ideas, Chapter 4 particularly §§ 103—10). In the Investigations, act-character includes such things as whether the intentional act is merely one of reflecting on a possibility (a “non-positing act”) or one of judging or asserting that something is the case (a “positing act”), as well as the degree of evidence that is available to support the intention of the act as fulfilled or unfulfilled (as genuinely presenting some object in just the way that the act-matter suggests, or not). It seems clear that the character of an act is ultimately traceable to the act-quality, since it has to do with the way in which an act-matter is thought about rather than with what that act-matter itself presents. However, it is a contribution of the act-quality that casts a shadow or a halo around the matter, giving the content of the act a distinctive character. This becomes clearer through consideration of particular cases.

Consider first positing and non-positing acts. When a subject wonders whether or not the train will be on time, the content or act-matter of her intention is that of the train being on time. However, in this case the subject is not positing that the train will be on time, but merely reflecting on this in a non-committal (“non-positing”) way as a possibility. The same difference is present in the case of merely wondering whether Bob is the murderer on the one hand (non-positing act), and forming the firm judgment that he is on the other (positing act) (on positing and non-positing acts, see LI, V §§ 38—42).

The character of an intentional act also has to do with whether it is an “empty” merely signitive intention or whether it is a “non-empty” or fulfilled intention. Here what is at issue is the extent to which a subject has evidence of some sort for accepting the content of their intention. For example, a subject could contemplate, imagine or even believe that “the sun set today will be beautiful with few clouds and lots of orange and red colors” already at eleven in the morning. At this point the intention is an empty one because it merely contemplates a possible state of affairs for which there is no intuitive (experiential) evidence. When the same subject witnesses the sun set later in the day, her intention will either be fulfilled (if the sunset matches what she thought it would be like) or unfulfilled (if the sun set does not match her earlier intention). For Husserl, the difference here too does not have to do with the content or act-matter itself, but rather with the evidential character of the intention (LI VI, §§ 1—12).

Importantly, the distinctions between positing and non-positing acts on the one hand and between empty and fulfilled intentions on the other are separate. It would be possible for a subject to posit the existence of something for which she had no evidence or fulfillment (perhaps the belief that her favorite candidate will win next year’s election), just as it would be possible for a subject to not posit or affirm something for which she did have fulfillment or evidence (such as refraining from believing that water causes sticks immersed in it to bend, in spite of immediate perceptual information supporting this).

ii. Act-Matter

As noted above, the matter of an intentional act is its content: the way in which it presents the intentional object as being. The act-matter is:

that element in an act which first gives it reference to an object, and reference so wholly definite that it not merely fixes the object meant in a general way, but also the precise way in which it is meant. (LI, V § 20, p. 589, italics Husserl’s)

So the act-matter both determines to what object, if any, a thought refers, and determines how the thought presents that object as being. For Husserl, the matter of an intentional act does not consist of only linguistic descriptive content. The notion of act-matter is simply that of the significant object-directed mode of an act, and can be perceptual, imaginative, or memorial, linguistic or non-linguistic, particular and indexical, or general, context-neutral and universal. This makes intentionality and intentional content (act-matter) the fundamental targets of analysis, with the theory of language and expression to be analyzed in terms of these notions rather than the other way around. Husserl is thus committed to the notion that intentionality is primary and language secondary, and so also to the view that meaningful non-linguistic intentional thought and experience are both possible and common (LI, I §§ 9—11, 19, & 20).

Husserl’s understanding of the metaphysics of act-matter is also important. Motivated by his anti-psychologism he wants to treat meanings as objective and independent of the minds of particular subjects. Because of this Husserl views meanings in the Investigations as “ideal species”, a kind of abstract entity akin to a universal. However, having done this Husserl also needs to explain how it is that these abstract meanings can play a role in the intentional thought of actual subjects. Husserl’s solution to this is to say that meanings are ideal species or kinds of act-matter that are then instantiated in the actual act-matter of particular intentional subjects when they think the relevant thoughts. Thus, just as there is an ideal species or universal for shape, which gets instantiated in particular instances of shaped objects in the world, so there is an ideal species or universal of the act-matter “2+2=4”, which gets instantiated in the act-matter of a particular subject when he thinks this thought. Whereas Fregean accounts deal with the fact that one individual can have the same thought at different times and different individuals can think about the same thing at any time by positing a single abstract sense that is the numerically identical content of all of their thoughts, Husserl views particular act-matters or contents as instances of ideal act-matter species. Thus, on Husserl’s view, two subjects are able to think about the same thing in the same way when both of them instantiate exactly similar instances of a single kind of content or act-matter. Thus if John and Sarah are both thinking about how they would like to see the Twins win the 2008 World Series in baseball, they are having the same thought and thinking about the same objects in virtue of instantiating exactly similar act-matter instances of the single act-matter species “the Twins win the 2008 World series in baseball” (LI, I §§ 30—4, V §§ 21 & 45).

b. Intentionality, Meaning and Expression in Logical Investigations

Largely motivated by his concern with developing a pure logic, Husserl devotes the entire first Logical Investigation, “Meaning and Expression”, to an analysis of issues of language, linguistic meaning and linguistic reference. Husserl’s discussion here is systematic and wide ranging, covering many issues that are also of concern to Frege in his analysis of language and that have continued to spur discussion in the philosophy of language up to the present. These include the distinction between linguistic types and tokens, the distinction between words and sentences and the meanings that these express, the distinction between sentence meaning and speaker meaning, the meaning and reference of proper names and the function of indexicals and demonstratives. As noted above, Husserl takes the intentionality of thought to be fundamental and the meaning-expressing and reference fixing capabilities of language to be parasitic on more basic features of intentionality. Here the main features of Husserl’s intentionality-based view of language are discussed.

i. Meaning and Expression

Husserl is interested in analyzing the meaning and reference of language as part of his project of developing a pure logic. This leads him to focus primarily on declarative sentences from ordinary language, rather than on other kinds of potentially meaningful signs (such as the way in which smoke normally indicates or is a sign of fire) and gestures (such as the way in which a grimace might indicate or convey that someone feels pain or is uncomfortable). Husserl thus uses ‘expression’ to refer to declarative sentences in natural language and to parts thereof, such as names, general nouns, indexicals,and so forth (LI, I §§ 1—5).

Husserl maintains that the meaning of an expression cannot be identical to the expression for two reasons. First, expressions in different languages, such as ‘the cat is friendly’ and ‘il gatto è simpatico’ are linguistically different, but have the same meaning. Additionally, the same linguistic expression, such as ‘I am going to the bank’ can have different meanings on different occasions (due in this case to the ambiguity of the word ‘bank’). Thus sameness of word or linguistic expression is neither necessary nor sufficient for sameness of meaning (LI, I §§ 11 & 12).

Husserl also maintains that the meaning of a linguistic expression cannot be identical with its referent or referents. In support of this Husserl appeals to phenomena such as informative identity statements and meaningful linguistic expressions that have no referent, among others. An example of the first sort of case would be Frege’s famous ‘Hesperus is Phosphorus’, where ‘Hesperus’ means “the evening star” and ‘Phosphorus’ means “the morning star”. Both ‘Hesperus’ and ‘Phosphorus’ refer to the planet Venus and so if the meaning of a term just is the object that it refers to, then anyone who knows that Hesperus is Hesperus should also know that Hesperus is Phosphorus, yet clearly this is not the case. Husserl’s own explanation for this would be that a subject who found ‘Hesperus is Phosphorus’ informative would do so because he associated different act-matters or intentional contents with each of these names. Thus Husserl, like Frege, distinguishes the meaning of a term or expression both from that term itself and from the object or objects to which the term refers. Husserl identifies these distinctive linguistic meanings as kinds of intentional act-matter (LI, I §§ 13 & 14).

In the Investigations Husserl describes the normal use of an expression, such as ‘the weather is cool today’, in the following way. A subject who utters this expression to a companion is in an intentional state, which includes an act-matter or intentional content that presents the weather as being cool today. This act-matter instantiates an ideal species or act-matter type “the weather is cool today” and in virtue of doing so directs the utterer’s attention to the actual state of affairs regarding the weather. It is in virtue of these facts about the utterer’s intentional states that the words express, for him, the meaning that they do (which is not, of course, to rule out the possibility of miscommunication; for Husserl the description here is just the standard case). The subject performing the utterance does, in principle, three things for his interlocutor. First, the subject’s utterance “expresses” the ideal meaning “the weather is cool today”. Second, assuming the interlocutor grasps that this is what is being expressed, her attention will itself be directed to the referent of this ideal sense, namely the state of affairs involving the weather today (her act-matter will then also instantiate the relevant ideal act-matter species). Third, the subject will, in making his utterance, “intimate” to his interlocutor that he has certain beliefs or is undergoing certain mental states or experiences. This last point is very important for Husserl. He maintains that in normal cases what a subject intimates in uttering an expression (that he believes that the weather is cool today or that he fears that his country will intervene) is not part of the meaning of that expression, even though it is something that the interlocutor will be able to understand on the basis of the subject’s utterance. It is only in cases where a subject is making an assertion about his experiences, attitudes or mental states (such as ‘I doubt that things will improve this year’) that expressed meaning and intimated meaning coincide (on intimation, see LI, I §§ 7 & 8; the majority of the points summarized here are in the first chapter of LI, I, which is §§ 1—16).

ii. Essentially Occasional Expressions: Indexicals

Husserl recognized clearly the need for a distinction between what he called “objective” expressions on the one hand, and those that are “essentially occasional” on the other. An example of an objective expression would be a statement concerning logic, mathematics or the sciences whose meaning is fixed regardless of the context in which it is used (for example ‘The Pythagorean Theorem is a theorem of geometry’ or ‘7+5=12’). An example of an essentially occasional expression would be a sentence such as ‘I am hungry’, which seems to in some sense change its meaning on different occasions of utterance, depending on who is speaking. According to Husserl, essentially occasional expressions include both indexicals (‘I’, ‘you’, ‘here’, ‘now’, and so forth) and demonstratives (‘this’, ‘that’ , and so forth). Such expressions have two facets of meaning. The first is what Husserl calls a constant “semantic function” associated with particular indexical expressions. For example, “It is the universal semantic function of the word ‘I’ to designate whoever is speaking…” (LI, I §26, p. 315). Husserl recognizes, however, that the sentences expressing these semantic functions cannot simply be substituted for indexicals without affecting the meaning of sentences containing them. A subject who believes “whoever is now speaking is hungry” effectively has an existentially quantified belief to the effect that the person, whoever he or she is, who is now speaking is hungry. In order to capture what such a subject would mean when he says ‘I am hungry’ it is necessary to somehow make it clear that the individual quantified over is indeed the person now speaking, but there seems to be no way to do this other than to re-insert the indexical ‘I’ itself in the sentence. This makes it necessary to identify a second facet or component of indexical content.

To deal with this, Husserl proposes a distinction between the semantic function or “indicating meaning” of indexicals, which remains constant from use to use, and the “indicated” meaning of indexicals, which is fundamentally cued to certain features of the speaker and context of utterance. Thus the “indicating meaning” of ‘I’ is always “whoever is now speaking”, but the indicated meaning of its use on a given occasion is keyed to the “self-awareness” or “self-presentation” of the speaker on that occasion. In general, the indicating meaning of an indexical will specify some general relationship between the utterance of a sentence and some feature of the speaker’s conscious awareness or perceptually given environment, while the indicated meaning will be determined by what the speaker is actually aware of in the context in which the sentence is uttered. In the case of many indexicals, such as ‘you’ and ‘here’ their indicating meaning may be supplied in part by demonstrative pointing to features of the immediate perceptual environment. Thus, Husserl writes, “The meaning of ‘here’ is in part universal and conceptual [semantic function/indicating meaning], inasmuch as it always names a place as such, but to this universal element the direct place-presentation [indicated meaning] attaches, varying from case to case” (LI I § 26, pp. 317—18). Husserl thus has a relatively clear understanding of some of the key issues surrounding indexical thought and reference that have been recently discussed in the work of philosophers of language such as John Perry (1977, 1979), as well as an account of how indexical thought and reference works. The question of whether or not this account is adequate to resolve all of the issues raised by contemporary discussions of indexicals and demonstratives, however, is one that goes beyond the scope of this article (for discussion of this issue in Husserl’s philosophy see Smith and McIntyre 1982, pp. 194—226).

3. Ideas Pertaining to a Pure Phenomenology and to a Phenomenological Philosophy: The Perceptual Noema

In the year 1913 Husserl published both a revised edition of Logical Investigations and the Ideas Pertaining to a Pure Phenomenology and to a Phenomenological Philosophy (hereafter, Ideas). Between the first publication of the Investigations and the works of 1913 the main transition in Husserl’s thought is a change in emphasis from the primary project of laying the foundations of a pure a priori logic to the primary project of developing a systematic phenomenology of consciousness with the theory of intentionality at its core. In the Ideas, Husserl proposes the systematic description and analysis of first person consciousness, focusing on the intentionality of this consciousness, as the fundamental first step in both the theory of consciousness itself and, by extension, in all other areas of philosophy as well. With hints of the idea already present in the first edition of Logical Investigations, by 1913 Husserl has come to see first person consciousness as epistemologically and so logically prior to other forms of knowledge and inquiry. Whereas Descartes took his own conscious awareness to be epistemically basic and then immediately tried to infer, based on his knowledge of this awareness, the existence of a God, an external world, and other knowledge, Husserl takes first-person conscious awareness as epistemically basic and then proposes the systematic study of this consciousness itself as a fundamental philosophical task. In order to lay the foundations for this project Husserl proposes a methodology known as the phenomenological reduction.

The phenomenological reduction involves performing what Husserl calls the epoché, which is carried out by “bracketing”, setting in abeyance, or “neutralizing” the existential thesis of the “natural attitude”. The idea behind this is that most people most of the time do not focus their attention on the structure of their experience itself but rather look past this experience and focus their attention and interests on objects and events in the world, which they take to be unproblematically real or existent. This assumption about the unproblematic existence of the objects of experience is the “existential thesis” of the natural attitude. The purpose of the epoché is not to doubt or reject this thesis, but simply to set it aside or put it out of play so that the subject engaging in phenomenological investigation can reorient the focus of her attention to her experiences qua experiences and just as they are experienced. This amounts to a reorienting of the subject’s intentional focus from the natural to the phenomenological attitude. A subject who has performed the epoché and adopted the phenomenological attitude is in a position to objectively describe the features of her experience as she experiences them, the phenomena. Questions of the real existence of particular objects of experience and even of the world or universe themselves are thus set aside in order to make way for the systematic study of first person conscious experience (Ideas, §§ 27—32; Natanson 1973, chapters 2 & 3).

Distinct from the phenomenological reduction, but important for the project of Husserl’s Phenomenology as a whole, is what is sometimes called the “eidetic reduction”. The eidetic reduction involves not just describing the idiosyncratic features of how things appear to one, as might occur in introspective psychology, but focusing on the essential characteristics of the appearances and their structural relationships and correlations with one another. Husserl calls insights into essential features of kinds of things “eidetic intuitions”. Such eidetic intuitions, or intuitions into essence, are the result of a process Husserl calls ‘eidetic’ or ‘free’ variation in imagination. It involves focusing on a kind of object, such as a triangle, and systematically varying features of that object, reflecting at each step on whether the object being reflected upon remains, in spite of its altered feature(s), an instance of the kind under consideration. Each time the object does survive imaginative feature alteration that feature is revealed as inessential, while each feature the removal of which results in the object intuitively ceasing to instantiate the kind (such as addition of a fourth side to a triangle) is revealed as a necessary feature of that kind. Husserl maintained that this procedure can incrementally reveal elements of the essence of a kind of thing, the ideal case being one in which intuition of the full essence of a kind occurs. The eidetic reduction compliments the phenomenological reduction insofar as it is directed specifically at the task of analyzing essential features of conscious experience and intentionality. The considerations leading to the initial positing of the distinction between intentional act, intentional object and intentional content would, according to Husserl, be examples of this method at work and of some of its results in the domain of the mental. Whereas the purpose of the phenomenological reduction is to disclose and thematize first person consciousness so that it can be described and analyzed, the purpose of the eidetic reduction is to focus phenomenological investigations more precisely on the essential or invariant features of conscious intentional experience. (Ideas, §§ 34 & 69—71; Natanson 1973, chapter 4).

There is much debate about the exact significance, especially metaphysical and epistemological, of Husserl’s shift in focus and introduction of the methodology of the phenomenological reduction in the Ideas. Important here is that the notions of intentionality and intentional content remain central to Husserl’s project and so many of the descriptions and results of the Investigations remain relevant for the Ideas. However, Husserl does both modify and expand his views about intentionality, as well as the kinds of analyses of it that he pursues. Whereas in the Investigations Husserl was interested in intentionality specifically in relation to the project of laying the foundations for pure logic, in the Ideas he is interested in giving a systematic account of the ways in which intentionality structures, “constitutes”, and so makes possible all types of cognition, including the awareness of self, time, physical objects, mathematical objects, an intersubjective social world and many other things besides. The sections that follow concentrate on the core ideas concerning intentionality and intentional content from the Ideas, leaving many of these other areas out of consideration.

a. Noesis and Noema: Terminology and Ontology

One change between the Investigations and the Ideas is that Husserl began using the term ‘noesis’ to refer to intentional acts or “act-quality” and ‘noema’ (plural ‘noemata’) to refer to what, in the Investigations had been referred to as “act-matter”. Husserl does not simply change his terminology, however. This change in terminology coincides with an apparent change in metaphysical understanding of the relationship between the noema as an ideal meaning and the particular mental activities of actual subjects, and also with a much more intense interest in analyzing the different elements of the noema, as well as understanding its relationships, both temporal and semantic, to other noemata.

Metaphysically the main change is that Husserl seems to abandon the model of meanings as ideal species that get instantiated in the act-matters of particular subjects in favor of a more direct correlative relationship between the noesis (intentional acts) and the noemata (their objects). In Ideas it is noemata themselves that are the objects of intentional thought, that are graspable and repeatable and that, according to Husserl, are not parts of the intentional acts of conscious subjects. It is a point of interpretative and philosophical contention whether the noema, as Husserl understood it, is better viewed as a sort of abstract Fregean sense that mediates between the subjective noetic acts of individual thinkers and the objective referents of their thoughts (Føllesdal 1982, Smith and McIntyre 1982), or whether the noema is better seen as the object of intentional thought itself as viewed from a particular perspective (Drummond 1990). While the difference between these two interpretations may seem rather small, they are actually quite different in terms of their metaphysical commitments and in terms of the particular issues of meaning, reference, and epistemology that they are able to resolve or be challenged by. For a general introduction and overview see the introduction to (Smith and Smith 1995) and for more detailed discussion of some of the main differences see (Dreyfus and Hall 1982, Zahavi 1994, Drummond 2003). No attempt will be made to resolve this interpretative dispute here, though it is worth noting that the question of the metaphysical status of the noesis, the noema, and the intentional object (if indeed this is to be viewed as a distinct entity in Husserl’s ontology) is in part complicated by Husserl’s methodological procedure of bracketing questions of existence.

b. Structural Features of the Noema

In the Ideas Husserl identifies three central features of the noema, focusing especially on the case of perception. Husserl first distinguishes between a component of sense or descriptive content on the one hand (accounting for the mode of presentation or description under which the object is intended), and a core component standing for or presenting the very identity of the object intended, a sort of pure “X” as Husserl calls it, underlying the various contents or noemata that are correlated with a single object of thought. What Husserl is focusing on here is the idea that to be conscious of an object is not just to be conscious of something under one description or way of viewing it, but it is also to be conscious of the object as an identity of its own, one that is simultaneously given through discrete noematic perspectives or experiences, but is also more than what any one of these experiences presents it as being. When Husserl says that there is a noematic “core” or underlying “X” in the noema, what he means is that when we think of an object we always think of it as an entity with its own identity as well as an object as it appears to us or is thought of by us. Related to this point, Husserl maintains that the intention of an object via a certain noema at one moment involves, not only intending the object as it is currently experienced, but also contains a third element consisting of pointing references to a “horizon” of further possible determinations of the object, to further noemata or ways of being directed to one and the same object that are either motivated by or consistent with the way in which the current intention presents that object. The structure of the noema is thus quite complex, consisting of a noematic core, some descriptive or presentational content, and a horizon containing pointing references to other possible ways (noemata) of experiencing one and the same identical object (some of the most definitive sections on noesis and noema are Ideas, §§ 128—35, however the concepts are first introduced over two chapters from §§ 76—96).

Consider the perceptual experience of a red barn in a field in southeastern Wisconsin. The intentional content or noema of this experience will provide immediate awareness of one side or profile of the barn, perhaps intended as a barn, or perhaps just intended as a structure of some sort. This will be the descriptive sense or content of the intention. However, in this very perception the barn is not experienced as merely a facet or a two-dimensional stretch of color in space. Rather, it is experienced as a three dimensional object possessing other sides, parts and properties, and capable of being explored, investigated and determined, in short intended with regard to each of these further features. The barn, as an object of perception, transcends the information that can be given regarding it, the intention of it that can be made via any given noema, and this fact is a feature that is already intended in the very first thought a subject has about the barn. This is what is meant by the term ‘horizon’ or ‘noematic horizon’. From the first experience, the subject already has a sense of how to go about further determining, further intending and experiencing the object of thought, in this case, the barn. Perhaps the current experience is of the front side of the barn as being red; then this very experience includes as part of its “noematic horizon” the intention that the barn must also have a back side of some sort, and that this side of the barn, along with its color (perhaps it also is red, or perhaps grey, but at any rate it must have some color) can be experienced if the subject walks around to it and looks. In each further experience of the barn, in each further determination of it in thought, it is one and the same barn that is itself given, one and the same definite identity or object “X” that underlies all of the particular presentations of the same object, and that unites them in a “synthesis of identity” to provide a continuous and, ideally, unbroken series of further determinations of the same object, of further intentional experiences in which more is “filled in” or determined about the way the object actually is. Regarding such a system of experiences of the same object, Husserl says,

…There is inherent in each noema a pure object-something as a point of unity and, at the same time, we see how in a noematic respect two sorts of object-concepts are to be distinguished: this pure point of unity, this noematic “object simpliciter,” and the “object in the How of its determinations”—including undeterminednesses which for the time being “remain open” and, in this mode, are co-meant. (Ideas, § 131, p. 314)

Here, the “point of unity” is the underlying core of intended object identity “X”, the “object in the How of its determinations” is the descriptive content or sense, and the “undeterminednesses” constitute the horizon of the current content. Thus, it is possible to distinguish, phenomenologically speaking, between the way in which the object is intended via a particular noema or sense, and the seemingly transcendent self-identical object that is intended, and which is the ultimate determinant of the accuracy or inaccuracy, truth or falsity of the intentions that are directed toward it. While this distinction between the descriptive content and the identical X in a noema is phenomenologically real, this does not mean that these are “really separable” parts of the content in such a way that it would be possible to experience the one in the absence of the other. Indeed, Husserl explicitly denies this possibility.

c. Systems of Noemata and Explication

This conception of the noema, as divided into a descriptive sense and the pure X or identity of the object intended via the sense, leads Husserl to the view that, phenomenologically speaking, it is possible to view an object (the underlying X) as determining a system of possible senses (noemata) or intentions of it, each of which is both (a) about that very same object and (b) able to be consciously recognized as about the same determinable X as the others when they are experienced in a sequence. Thus, in the example of the barn already discussed, a subject might begin by looking at it from the front and focusing on its color. This would be the first noema intending the very object X, the barn perceptually before one, as red. The subject could then go on to have further perceptual intentions of the barn by walking around it. Each time the subject shifts her perspective on or reconceptualizes the object of her thought, she entertains a new content or noema, a new possible way in which the barn can be experienced as being. If the barn is indeed the way she conceptualizes and experiences it, then that thought, that possibility is fulfilled by her ongoing experience. At each step the subject integrates her current experience with the previous one, identifying the X at the core of the current experience with the X at the core of the previous ones, and is at the same time directed toward new possible ways of filling out her experience of the barn in the horizon of the noema (for example by walking around it some more, or by going inside); Husserl refers to this process as a “synthesis of identity”. During the course of this “explication” of the horizon of the noema, it is always possible that some future experience will reveal the ones that have come before to have been in some fundamental way incorrect. For example, if the subject upon walking around to the back side of the barn discovers that it is really not a barn at all, but only a cleverly positioned façade, the original system of intentional experiences she had regarding it will be frustrated and a new system of intentions will begin.

Nevertheless, the idea that a single numerically identical object can be conceived, phenomenologically speaking, as the correlate of systems of contents or noemata all experienceable as directed towards one and the same object X gives rise, for Husserl, to the idea of an object as, phenomenologically speaking, the correlate of a complete set of such experiences. As Husserl puts it, using ‘perfect givenness’ to suggest the ideally possible experience of having gone through all of the possible correct intentions with regard to a given object:

But perfect givenness is nevertheless predesignated as “Idea” (in the Kantian sense)—as a system which, in its eidetic type, is an absolutely determined system of endless processes of continuous appearings, or as a field of these processes, an a priori determined continuum of appearances with different, but determined, dimensions, and governed throughout by a fixed set of eidetic laws…This continuum is determined more precisely as infinite on all sides, consisting of appearances in all its phases of the same determinable X so ordered in its concatenations and so determined with respect to the essential contents that any of its lines yields, in its continuous course, a harmonious concatenation (which itself is to be designated as a unity of mobile appearances) in which the X, given always as one and the same, is more precisely and never “otherwise” continuously-harmoniously determined. (Ideas, § 143, p. 342)

Here, then, we have what amounts to an analysis of the object of an intention considered from a phenomenological perspective. To be an object, phenomenologically speaking, is to be the correlate of a complete maximally consistent system of noematic senses, all synthesizable as directed towards one and the same underlying substrate or object X. This idea itself is given rise to by the three crucial features of the structure of definite intentional content that have been discussed here: the descriptive sense, the core content “X”, and the horizon of possible future experiences of one and the same object

David W. Smith and Ronald McIntyre have further developed Husserl’s account of the horizon of a noema at some length, and propose a distinction between kinds of possible further determinations of the object of a given thought that are predelineated in the horizon of a given noema (1982, pp. 246—56). It is possible to distinguish between (i) possible determinations that are motivated by the current noema or intentional content, (ii) possible determinations that are consistent with but not motivated by the current noema, and (iii) possible determinations that are neither motivated by nor consistent with the current noema. If a subject is intending a given object perceived from a particular side as a barn, then the motivated further determinations in the horizon will include further experiences of that same object as a barn: walking around it will reveal more barn-like sides, going inside will reveal that it is or has been used for certain purposes, more closely examining the material the walls are made of will reveal that they are not papier-mâché, and so forth. Now, there will still be divergent motivated possibilities. For example, barns can be made of either wood, or aluminum, or some combination of these with stone or of some other materials entirely, and they can also have many different colors, designs and particular interior layouts. Nevertheless, what makes each of these possibilities motivated is the fact that it is consistent with the object intended being exactly the kind of thing that it is currently intended as.

By contrast, a possible determination that is consistent with but unmotivated by the current perception of a barn as a barn is that the subject walks around to the back and discovers that the barn is really just a wooden barn façade erected to stimulate tourism in the area. This possible further experience is not totally inconsistent with a current experience of something as a barn, though it is not a motivated possibility relative to such an experience either. Finally, an experience that is neither motivated by nor consistent with the intention of an object as a barn would be the discovery that the current object is merely a complicated video image, or that it is some kind of new and heretofore undiscovered life form that just happens to look exactly like a barn when it is resting. A discovery such as this is, arguably, not even present in the horizon of the original noema to begin with. Husserl referred to experiences where the previously intended identity of an experienced object is entirely cancelled by some current experience as cases where the object intended “explodes”, and where it is unclear that the subject was really thinking about the object actually before her at all even if she was succeeding in referring to it in some minimal sense of the term (Ideas, §§ 138 & 151).

d. Additional Considerations

Husserl’s understanding of the noema in the Ideas retains the explanatory features (in terms of theory of language and its ability to resolves puzzles about meaningful reference to the non-existent, informative identity statements, and so forth) of Logical Investigations account while also incorporating a more nuanced analysis of the structure of intentional content itself and a more holistic understanding of how the intentional content (noema) that a subject is thinking at a given moment is interconnected with other features of that subject’s actual and possible experience (the systems of noemata).

In the Investigations Husserl retains an understanding of the “act-character” of an intentional event as being its quality of positing or not positing the existence of its object and of being evidentially empty or fulfilled. Referring to these characters as “modalities” of belief (“doxic” modalities) and experience, Husserl recognizes both the already identified modalities pertaining to beliefs and also additional “ontic” modalities pertaining to whether a subject takes the content of their intention to be necessary or merely possible, valuable or worthless, beautiful or ugly. The key feature of these noematic characters or modalities is that they are characteristics of thought and experience that affect its overall meaning for the subject but that are not, strictly speaking, represented in the content of the intention (the noema) itself.

The notions of empty and fulfilled intentions in conjunction with Husserl’s understanding of the noematic horizon and of systems of possible interrelated object-experiences allow him to continue the epistemological investigations begun earlier in the Sixth Logical Investigation along two major lines.

The first is the idea that the mere unfulfilled intention of an object or state of affairs, by its nature, dictates certain conditions of fulfillment or conditions under which the thought merely entertained in the current intention would be given with full and complete evidence or intuition. For example, the emptily intended thought of a beautiful sunset with lots of red and gold today has as its primary fulfillment conditions the direct perceptual intuition of a sunset matching in all relevant ways the content that it currently intends emptily. Husserl maintains that intentional beliefs and thoughts involving many different kinds of objects (physical objects, other minds, mathematical objects or proofs, abstract objects, scientific theories) all have fulfillment conditions that dictate what kinds of experiences and thought processes are necessary to bring them to evidential groundedness. Already in Logical Investigations Husserl saw this task as an essential contribution that phenomenology could make to epistemology and the theory of evidence and he continues to carry it out in the final chapters of the Ideas and in his later works.

The second idea that comes into its own with Husserl’s Phenomenology and understanding of the structure of intentionality is the idea of “constitution analysis” (Ideas, §§ 149—53). Husserl’s basic idea here is that consciousness of each kind of object of thought and experience, and of each noetic mode of being aware of the objects of experience (perception, introspection, reflection, imagination, reasoning, and so forth) is the result of a complex interworking of other intentional acts. However, some ways of thinking and experiencing are more basic or fundamental, while others depend or are founded on these basic intentions in very specific ways. As a simple example, the act of judging that something is the case presupposes some other act in which the idea or possibility of this thing’s being the case has been made available. It would be impossible to judge that something is (or is not the case) without a prior act familiarizing one with its existence or possibility in the first place. Husserl views awareness of complex intentional objects as the result of those objects having been “constituted” out of or on the basis of a series of more basic intentional states (Husserl usually identifies the most basic intentional experiences with various aspects of perception and introspection). Thus, a full phenomenological analysis of the cognition of a given kind of complex object, mathematical cognition, for example, will involve an analysis of the different kinds of intentional experiences and operations that underlie and so constitute the complex intentionality in question.

Of particular importance for Husserl in this connection is the notion of “categorial intuition”. In categorial intuition a subject becomes conscious of an articulated state of affairs as the object of her intention. Categorial intuition involves, for example, not just passive awareness of a ship, or just paying attention to particular parts or features of the ship, but rather intending the articulated complex state of affairs that is “the ship’s having two smokestacks” or “the ship’s being about to enter port”. It is intentional awareness of such facts that forms the basis of categorial judgments, and the intentional contents of categorial acts can be understood along the lines of propositions, the relations among and analysis of which is the subject matter of logic. In the present context, what is important is that the intentionality involved in categorial intuition is a complex intentionality built up out of more basic kinds of intentions and intentional transformations, and thus another key example of a phenomena requiring constitution analysis (LI, §§ 40—58). To the extent that understanding the factors that go into forming a belief or intention is relevant to evaluating the epistemic status of that belief, constitution analysis functions together with the analysis of evidence and fulfillment conditions and so comprises a part of Phenomenology’s contribution to epistemology.

It must also be noted, however, that constitution analysis within Phenomenology has an interest entirely independent of the role it plays in epistemology. This interest is that of providing a comprehensive analysis of the essential kinds of intentionality and relationships among them that are involved in making possible different kinds of complex intentional thoughts and experiences. As mentioned already, such constitution analyses include analysis of the constitution of time-consciousness, the constitution of mathematical object awareness, the constitution of bodily awareness, the constitution (subjective and inter-subjective) of the social world, and so forth.

The foregoing considerations go beyond the scope of what would normally be considered a discussion of Husserl’s views specifically on intentionality and intentional content. Hopefully they serve, however, to provide some sense of the interconnection between Husserl’s views concerning intentionality and the other parts of his philosophy.

4. References and Further Reading

a. Works by Husserl

The collected works of Husserl were published in 1950, in Husserliana: Edmund Husserl — Gesammelte Werke, The Hague/Dordrecht: Nijhoff/Kluwer. The following are works by Husserl listed in the chronological order of their German publications (the German publication date is in brackets).

  • [LI] Logical Investigations, trans. J. N. Findlay, London: Routledge [1900/01; 2nd, revised edition 1913], 1973.
    • [Cited in the text as: LI, Investigation # (I, II, etc.) section # (§), and, where quotes are used, page #].
  • “Philosophy as Rigorous Science,” trans. in Q. Lauer (ed.), Phenomenology and the Crisis of Philosophy, New York: Harper [1910], 1965.
  • [Ideas] Ideas Pertaining to a Pure Phenomenology and to a Phenomenological Philosophy — First Book: General Introduction to a Pure Phenomenology, trans. F. Kersten. The Hague: Nijhoff [1913], 1982.
    • [Cited in the text as: Ideas, section # (§), and, where quotes are used, page #].
  • On the Phenomenology of the Consciousness of Internal Time (1893-1917), trans. J. B. Brough, Dordrecht: Kluwer [1928], 1990.
  • Formal and Transcendental Logic, trans. D. Cairns. The Hague: Nijhoff [1929], 1969.
  • Cartesian Meditations, trans. D. Cairns, Dordrecht: Kluwer [1931], 1988.
  • The Crisis of European Sciences and Transcendental Philosophy, trans. D. Carr. Evanston: Northwestern University Press [1936/54], 1970.
  • Experience and Judgement, trans. J. S. Churchill and K. Ameriks, London: Routledge [1939], 1973.

b. Secondary Sources

The following works are secondary sources pertinent to Husserl’s views on intentionality and the role that it plays in his phenomenology.

  • Brentano, Franz. Psychology from an Empirical Standpoint, ed. and trans. by L. L. McAlister. London: Routledge, 1973.
    • Brentano’s classic work on intentionality as the mark of the mental. A central influence on Husserl.
  • Dreyfus, Hubert L., and Harrison Hall. Husserl, Intentionality, and Cognitive Science. Cambridge, Mass.: MIT Press, 1982.
    • A classic anthology collecting essays on the relationship of Husserl’s philosophy to cognitive science. This text also includes a number of contributions concerning the correct interpretation of the noema.
  • Drummond, John. “The Structure of Intentionality.” In Welton ed. The New Husserl: A Critical Reader. Bloomington: Indiana University Press, 2003.
    • A comprehensive overview of the main features of Husserl’s conception of intentionality.
  • Drummond, John. “From Intentionality to Intensionality and Back.” Etudes Phenomenologiques 27—28 (1998): 89—126.
    • An analysis of Husserl’s views on intentionality that situates them in their historical context with other members of the Brentano School and attempts to shed some light on the motivations for different interpretations of the noema or intentional content.
  • Drummond, John. Husserlian Intentionality and Non-Foundational Realism. Dodrecht: Kluwer, 1990.
    • A thorough discussion of Husserl’s views including a lengthy exposition and defense of the view that sees the intentional noema as an abstract aspect of the intentional object rather than as a distinct sense.
  • Føllesdal, Dagfinn. “Noema and Meaning in Husserl.” Phenomenology and Philosophical Research, 50 (1990): 263—271.
  • Føllesdal, Dagfinn. “Husserl’s Notion of Noema” in Dreyfus (ed.) 1982.
    • Føllesdal’s articles are considered the classic statement of the “Fregean” interpretation of the noema.
  • Gottlob Frege. “On Sense and Reference.” In Translations from the Philosophical Writings of Gottlob Frege, P. Geach and M. Black (eds. and trans.), Oxford: Blackwell, third edition, 1980.
    • The classic source for the distinction between sense and reference and its application to issues of language and, by extension, intentionality.
  • Gurwitsch, Aron. “Husserl’s Theory of the Intentionality of Consciousness.” In Dreyfus (ed.) 1982.
    • A distinctive interpretation of the intentional object as consisting of systems of noemata.
  • Kern, Iso. “The Three Ways to the Transcendental Phenomenological Reduction.” Husserl: Expositions and Appraisals. Eds. Frederick Elliston and Peter McCormick. Notre Dame: University of Notre Dame Press, 1977.
    • A discussion of the phenomenological reduction and of different motivations that lead Husserl to it.
  • Alexius Meinong. 1960, “On the Theory of Objects,” in Roderick Chisholm (ed.), Realism and the Background of Phenomenology, Glencoe, Ill.: Free Press, 76–117
    • A detailed account of the different kinds of existent and non-existent objects that Meinong recognized as categories in his ontology, as well as some discussion of the relationship of these to the intentionality of mind.
  • Mohanty, Jitendranath & McKenna, William (eds). Husserl’s Phenomenology: A Textbook. Lanham: University Press of America, 1989.
    • A collection of essays covering numerous aspects of Husserl’s thought, including his views on intentionality.
  • Mohanty, Jitendranath. Husserl and Frege. Studies in Phenomenology and Existential Philosophy. Bloomington: Indiana University Press, 1982.
    • A comparison of Husserl and Frege’s views, including their views on psychologism and on the distinction between sense and referent.
  • Natanson, Maurice Alexander. Edmund Husserl; Philosopher of Infinite Tasks. Evanston Ill.: Northwestern University Press, 1973.
    • A very accessible introduction Husserl’s Phenomenology, including helpful discussion of the phenomenological reduction and the natural attitude in the early chapters.
  • Perry, John. “The Problem of the Essential Indexical.” Nous 13.1 (1979): 3—21.
  • Perry, John. “Frege on Demonstratives.” The Philosophical Review, 86.4 (1977): 474—97.
    • Classic articles on the semantics of indexicals and demonstratives.
  • Pietersma, Henry. Phenomenological Epistemology. New York: Oxford University Press, 2000.
    • A thorough discussion of the epistemological views of Husserl, Heidegger, and Merleau-Ponty.
  • Smith, Barry, and David Woodruff Smith. The Cambridge Companion to Husserl. Cambridge; New York: Cambridge University Press, 1995.
    • A collection of essays on various aspects of Husserl’s philosophy. The introduction includes a helpful discussion of divergent interpretations of the noema.
  • Smith, Barry. Austrian Philosophy: The Legacy of Franz Brentano. Chicago and LaSalle, Illinois: Open Court Press, 1994.
    • Includes discussion of the background and broader context against which Husserl developed his views of intentionality, including the views Brentano, Meinong, Stumpf, Twardowski and others.
  • Smith, David Woodruff, and Ronald McIntyre. Husserl and Intentionality: A Study of Mind, Meaning, and Language. Synthese Library; V. 154. Dordrecht, Holland: D. Reidel Pub. Co., 1982.
    • A very thorough study. The early parts of the text are a clear introduction to Husserl on language and intentionality, while the rest defends a version of the “Fregean” interpreation of the noema and develops a possible worlds understanding of intentionality based on this.
  • Sokolowski, Robert (ed.). Edmund Husserl and the Phenomenological Tradition. Washington: Catholic University of America Press, 1988.
    • Essays on various aspects of Husserl’s philosophy, including intentionality.
  • Zahavi, Dan, ed. Internalism and Externalism in Phenomenological Perspective. Special Issue: Synthese, 160. 2008.
    • A special issue containing essays by six philosophers addressing various aspects of the relationship between Husserl’s Phenomenology and contemporary discussions of semantic internalism and externalism.
  • Gallagher, Shaun, and Zahavi, Dan. The Phenomenological Mind: an Introduction to Phenomenology and Cognitive Science. London: Routledge, 2008.
    • An introduction to Phenomenology and intentionality, including intersections of these ideas with contemporary cognitive science.
  • Zahavi, Dan. “Husserl’s Noema and the Internalism-Externalism Debate.” Inquiry 47 (2004): 42-66.
    • A discussion of the relationship between Husserl’s Phenomenology and the semantic internalism-externalism debate, the article also includes discussion of the main differences between competing interpretations of the noema within Husserl scholarship.
  • Zahavi, Dan. Husserl’s Phenomenology. Stanford: Stanford University Press, 2003.
    • A comprehensive discussion of Husserl’s Phenomenology, including issues of intentionality and intentional content.

Author Information

Andrew D. Spear
Email: speara@gvsu.edu
Grand Valley State University
U. S. A.

American Enlightenment Thought

Although there is no consensus about the exact span of time that corresponds to the American Enlightenment, it is safe to say that it occurred during the eighteenth century among thinkers in British North America and the early United States and was inspired by the ideas of the British and French Enlightenments.  Based on the metaphor of bringing light to the Dark Age, the Age of the Enlightenment (Siècle des lumières in French and Aufklärung in German) shifted allegiances away from absolute authority, whether religious or political, to more skeptical and optimistic attitudes about human nature, religion and politics.  In the American context, thinkers such as Thomas Paine, James Madison, Thomas Jefferson, John Adams and Benjamin Franklin invented and adopted revolutionary ideas about scientific rationality, religious toleration and experimental political organization—ideas that would have far-reaching effects on the development of the fledgling nation.  Some coupled science and religion in the notion of deism; others asserted the natural rights of man in the anti-authoritarian doctrine of liberalism; and still others touted the importance of cultivating virtue, enlightened leadership and community in early forms of republican thinking. At least six ideas came to punctuate American Enlightenment thinking: deism, liberalism, republicanism, conservatism, toleration and scientific progress. Many of these were shared with European Enlightenment thinkers, but in some instances took a uniquely American form.

Table of Contents

  1. Enlightenment Age Thinking
    1. Moderate and Radical
    2. Chronology
    3. Democracy and the Social Contract
  2. Six Key Ideas
    1. Deism
    2. Liberalism
    3. Republicanism
    4. Conservatism
    5. Toleration
    6. Scientific Progress
  3. Four American Enlightenment Thinkers
    1. Franklin
    2. Jefferson
    3. Madison
    4. Adams
  4. Contemporary Work
  5. References and Further Reading

1. Enlightenment Age Thinking

The pre- and post-revolutionary era in American history generated propitious conditions for Enlightenment thought to thrive on an order comparable to that witnessed in the European Enlightenments.   In the pre-revolutionary years, Americans reacted to the misrule of King George III, the unfairness of Parliament (“taxation without representation”) and exploitative treatment at the hands of a colonial power: the English Empire.  The Englishman-cum-revolutionary Thomas Paine wrote the famous pamphlet The Rights of Man, decrying the abuses of the North American colonies by their English masters.  In the post-revolutionary years, a whole generation of American thinkers would found a new system of government on liberal and republican principles, articulating their enduring ideas in documents such as the Declaration of Independence, the Federalist Papers and the United States Constitution.

 

Although distinctive features arose in the eighteenth-century American context, much of the American Enlightenment was continuous with parallel experiences in British and French society.  Four themes recur in both European and American Enlightenment texts: modernization, skepticism, reason and liberty. Modernization means that beliefs and institutions based on absolute moral, religious and political authority (such as the divine right of kings and the Ancien Régime) will become increasingly eclipsed by those based on science, rationality and religious pluralism.  Many Enlightenment thinkers—especially the French philosophes, such as Voltaire, Rousseau and Diderot—subscribed to some form of skepticism, doubting appeals to miraculous, transcendent and supernatural forces that potentially limit the scope of individual choice and reason.  Reason that is universally shared and definitive of the human nature also became a dominant theme in Enlightenment thinkers’ writings, particularly Immanuel Kant’s “What is Enlightenment?” and his Groundwork of the Metaphysics of Morals.  The fourth theme, liberty and rights assumed a central place in theories of political association, specifically as limits state authority originating prior to the advent of states (that is, in a state of nature) and manifesting in social contracts, especially in John Locke’s Second Treatise on Civil Government and Thomas Jefferson’s drafts of the Declaration of Independence.

a. Moderate and Radical

Besides identifying dominant themes running throughout the Enlightenment period, some historians, such as Henry May and Jonathan Israel, understand Enlightenment thought as divisible into two broad categories, each reflecting the content and intensity of ideas prevalent at the time.  The moderate Enlightenment signifies commitments to economic liberalism, religious toleration and constitutional politics.   In contrast to its moderate incarnation, the radical Enlightenment conceives enlightened thought through the prism of revolutionary rhetoric and classical Republicanism.  Some commentators argue that the British Enlightenment (especially figures such as James Hutton, Adam Ferguson and Adam Smith) was essentially moderate, while the French (represented by Denis Diderot, Claude Adrien Helvétius and François Marie Arouet) was decidedly more radical.  Influenced as it was by the British and French, American Enlightenment thought integrates both moderate and radical elements.

b. Chronology

American Enlightenment thought can also be appreciated chronologically, or in terms of three temporal stages in the development of Enlightenment Age thinking.  The early stage stretches from the time of the Glorious Revolution of 1688 to 1750, when members of Europe’s middle class began to break free from the monarchical and aristocratic regimes—whether through scientific discovery, social and political change or emigration outside of Europe, including America.  The middle stage extends from 1751 to just a few years after the start of the American Revolution in 1779. It is characterized by an exploding fascination with science, religious revivalism and experimental forms of government, especially in the United States.  The late stage begins in 1780 and ends with the rise of Napoléon Bonaparte, as the French Revolution comes to a close in 1815—a period in which the European Enlightenment was in decline, while the American Enlightenment reclaimed and institutionalized many of its seminal ideas.  However, American Enlightenment thinkers were not always of a single mind with their European counterparts.  For instance, several American Enlightenment thinkers—particularly James Madison and John Adams, though not Benjamin Franklin—judged the French philosophes to be morally degenerate intellectuals of the era.

c. Democracy and the Social Contract

Many European and American Enlightenment figures were critical of democracy.  Skepticism about the value of democratic institutions was likely a legacy of Plato’s belief that democracy led to tyranny and Aristotle’s view that democracy was the best of the worst forms of government.  John Adams and James Madison perpetuated the elitist and anti-democratic idea that to invest too much political power in the hands of uneducated and property-less people was to put society at constant risk of social and political upheaval.  Although several of America’s Enlightenment thinkers condemned democracy, others were more receptive to the idea of popular rule as expressed in European social contract theories.  Thomas Jefferson was strongly influenced by John Locke’s social contract theory, while Thomas Paine found inspiration in Jean-Jacques Rousseau’s.  In the Two Treatises on Government (1689 and 1690), Locke argued against the divine right of kings and in favor of government grounded on the consent of the governed; so long as people would have agreed to hand over some of their liberties enjoyed in a pre-political society or state of nature in exchange for the protection of basic rights to life, liberty and property.  However, if the state reneged on the social contract by failing to protect those natural rights, then the people had a right to revolt and form a new government. Perhaps more of a democrat than Locke, Rousseau insisted in The Social Contract (1762) that citizens have a right of self-government, choosing the rules by which they live and the judges who shall enforce those rules. If the relationship between the will of the state and the will of the people (the “general will”) is to be democratic, it should be mediated by as few institutions as possible.

2. Six Key Ideas

 

At least six ideas came to punctuate American Enlightenment thinking: deism, liberalism, republicanism, conservatism, toleration and scientific progress. Many of these were shared with European Enlightenment thinkers, but in some instances took a uniquely American form.

a. Deism

European Enlightenment thinkers conceived tradition, custom and prejudice (Vorurteil) as barriers to gaining true knowledge of the universal laws of nature.  The solution was deism or understanding God’s existence as divorced from holy books, divine providence, revealed religion, prophecy and miracles; instead basing religious belief on reason and observation of the natural world. Deists appreciated God as a reasonable Deity.  A reasonable God endowed humans with rationality in order that they might discover the moral instructions of the universe in the natural law.  God created the universal laws that govern nature, and afterwards humans realize God’s will through sound judgment and wise action.  Deists were typically (though not always) Protestants, sharing a disdain for the religious dogmatism and blind obedience to tradition exemplified by the Catholic Church.  Rather than fight members of the Catholic faith with violence and intolerance, most deists resorted to the use of tamer weapons such as humor and mockery.

Both moderate and radical American Enlightenment thinkers, such as James Madison, Benjamin Franklin, Alexander Hamilton, John Adams and George Washington, were deists.   Some struggled with the tensions between Calvinist orthodoxy and deist beliefs, while other subscribed to the populist version of deism advanced by Thomas Paine in The Age of Reason.  Franklin was remembered for stating in the Constitutional Convention that “the longer I live, the more convincing proof I see of this truth—that God governs in the affairs of men.”  In what would become known as the Jefferson Bible (originally The Life and Morals of Jesus of Nazareth), Jefferson chronicles the life and times of Jesus Christ from a deist perspective, eliminating all mention of miracles or divine intervention.  God for deists such as Jefferson never loomed large in humans’ day-to-day life beyond offering a moral or humanistic outlook and the resource of reason to discover the content of God’s laws.  Despite the near absence of God in human life, American deists did not deny His existence, largely because the majority of the populace still remained strongly religious, traditionally pious and supportive of the good works (for example monasteries, religious schools and community service) that the clergy did.

b. Liberalism

Another idea central to American Enlightenment thinking is liberalism, that is, the notion that humans have natural rights and that government authority is not absolute, but based on the will and consent of the governed.  Rather than a radical or revolutionary doctrine, liberalism was rooted in the commercial harmony and tolerant Protestantism embraced by merchants in Northern Europe, particularly Holland and England.  Liberals favored the interests of the middle class over those of the high-born aristocracy, an outlook of tolerant pluralism that did not discriminate between consumers or citizens based on their race or creed, a legal system devoted to the protection of private property rights, and an ethos of strong individualism over the passive collectivism associated with feudal arrangements. Liberals also preferred rational argumentation and free exchange of ideas to the uncritical of religious doctrine or governmental mandates.  In this way, liberal thinking was anti-authoritarian.  Although later liberalism became associated with grassroots democracy and a sharp separation of the public and private domains, early liberalism favored a parliamentarian form of government that protected liberty of expression and movement, the right to petition the government, separation of church and state and the confluence of public and private interests in philanthropic and entrepreneurial endeavors.

The claim that private individuals have fundamental God-given rights, such as to property, life, liberty and to pursue their conception of  good, begins with the English philosopher John Locke, but also finds expression in Thomas Jefferson’s drafting of the Declaration of Independence.  The U.S. Bill of Rights, the first ten amendments to the Constitution, guarantees a schedule of individual rights based on the liberal ideal.  During the constitutional convention, James Madison responded to the anti-Federalists’ demand for a bill of rights as a condition of ratification by reviewing over two-hundred proposals and distilling them into an initial list of twelve suggested amendments to the Constitution, covering the rights of free speech, religious liberty, right to bear arms and habeas corpus, among others.  While ten of those suggested were ratified in 1791, one missing amendment (stopping laws created  by Congress to increase its members’ salaries from taking effect until the next legislative term) would have to wait until 1992 to be ratified as the Twenty-seventh Amendment.  Madison’s concern that the Bill of Rights should apply not only to the federal government would eventually be accommodated with the passage of the Fourteenth Amendment (especially its due process clause) in 1868 and a series of Supreme Court cases throughout the twentieth-century interpreting each of the ten amendments as “incorporated” and thus protecting citizens against state governments as well.

c. Republicanism

Classical republicanism is a commitment to the notion that a nation ought to be ruled as a republic, in which selection of the state’s highest public official is determined by a general election, rather than through a claim to hereditary right.  Republican values include civic patriotism, virtuous citizenship and property-based personality.  Developed during late antiquity and early renaissance, classic republicanism differed from early liberalism insofar as rights were not thought to be granted by God in a pre-social state of nature, but were the products of living in political society.  On the classical republican view of liberty, citizens exercise freedom within the context of existing social relations, historical associations and traditional communities, not as autonomous individuals set apart from their social and political ties.  In this way, liberty for the classical republican is positively defined by the political society instead of negatively defined in terms of the pre-social individual’s natural rights.

While prefigured by the European Enlightenment, the American Enlightenment also promoted the idea that a nation should be governed as a republic, whereby the state’s head is popularly elected, not appointed through a hereditary blood-line.  As North American colonists became increasingly convinced that British rule was corrupt and inimical to republican values, they joined militias and eventually formed the American Continental Army under George Washington’s command.   The Jeffersonian ideal of the yeoman farmer, which had its roots in the similar Roman ideal, represented the eighteenth-century American as both a hard-working agrarian and as a citizen-soldier devoted to the republic.  When elected to the highest office of the land, George Washington famously demurred when offered a royal title, preferring instead the more republican title of President.  Though scholarly debate persists over the relative importance of liberalism and republicanism during the American Revolution and Founding (see Recent Work section), the view that republican ideas were a formative influence on American Enlightenment thinking has gained widespread acceptance.

d. Conservatism

Though the Enlightenment is more often associated with liberalism and republicanism, an undeniable strain of conservatism emerged in the last stage of the Enlightenment, mainly as a reaction to the excesses of the French Revolution.  In 1790 Edmund Burkeanticipated the dissipation of order and decency in French society following the revolution (often referred to as “the Terror”) in his Reflections on the Revolution in France.  Though it is argued that Burkean conservatism was a reaction to the Enlightenment (or anti-Enlightenment), conservatives were also operating within the framework of Enlightenment ideas.  Some Enlightenment claims about human nature are turned back upon themselves and shown to break down when applied more generally to human culture.  For instance, Enlightenment faith in universal declarations of human rights do more harm than good when they contravene the conventions and traditions of specific nations, regions and localities. Similar to the classical republicans, Burke believed that human personality was the product of living in a political society, not a set of natural rights that predetermined our social and political relations. Conservatives attacked the notion of a social contract (prominent in the work of Hobbes, Locke and Rousseau) as a mythical construction that overlooked the plurality of groups and perspectives in society, a fact which made brokering compromises inevitable and universal consent impossible.  Burke only insisted on a tempered version, not a wholesale rejection of Enlightenment values.

Conservatism featured strongly in American Enlightenment thinking.  While Burke was critical of the French Revolution, he supported the American Revolution for disposing of English colonial misrule while creatively readapting British traditions and institutions to the American temperament.  American Enlightenment thinkers such as James Madison and John Adams held views that echoed and in some cases anticipated Burkean conservatism, leading them to criticize the rise of revolutionary France and the popular pro-French Jacobin clubs during and after the French Revolution.  In the forty-ninth Federalist Paper, James Madison deployed a conservative argument against frequent appeals to democratic publics on constitutional questions because they threatened to undermine political stability and substitute popular passion for the “enlightened reason” of elected representatives. Madison’s conservative view was opposed to Jefferson’s liberal view that a constitutional convention should be convened every twenty years, for “[t]he earth belongs to the living generation,” and so each new generation should be empowered to reconsider its constitutional norms.

e. Toleration

Toleration or tolerant pluralism was also a major theme in American Enlightenment thought.  Tolerance of difference developed in parallel with the early liberalism prevalent among Northern Europe’s merchant class.  It reflected their belief that hatred or fear of other races and creeds interfered with economic trade, extinguished freedom of thought and expression, eroded the basis for friendship among nations and led to persecution and war. Tiring of religious wars (particularly as the 16th century French wars of religion and the 17th century Thirty Years War), European Enlightenment thinkers imagined an age in which enlightened reason not religious dogmatism governed relations between diverse peoples with loyalties to different faiths. The Protestant Reformation and the Treaty of Westphalia significantly weakened the Catholic Papacy, empowered secular political institutions and provided the conditions for independent nation-states to flourish.

American thinkers inherited this principle of tolerant pluralism from their European Enlightenment forebearers.  Inspired by the Scottish Enlightenment thinkers John Knox and George Buchanan, American Calvinists created open, friendly and tolerant institutions such as the secular public school and democratically organized religion (which became the Presbyterian Church).   Many American Enlightenment thinkers, including Benjamin Franklin, Thomas Jefferson and James Madison, read and agreed with John Locke’s A Letter Concerning Toleration.  In it, Locke argued that government is ill-equipped to judge the rightness or wrongness of opposing religious doctrines, faith could not be coerced and if attempted the result would be greater religious and political discord.   So, civil government ought to protect liberty of conscience, the right to worship as one chooses (or not to worship at all) and refrain from establishing an official state-sanctioned church.  For America’s founders, the fledgling nation was to be a land where persons of every faith or no faith could settle and thrive peacefully and cooperatively without fear of persecution by government or fellow citizens.  Ben Franklin’s belief that religion was an aid to cultivating virtue led him to donate funds to every church in Philadelphia.  Defending freedom of conscience, James Madison would write that “[c]onscience is the most sacred of all property.”  In 1777, Thomas Jefferson drafted a religious liberty bill for Virginia to disestablish the government-sponsored Anglican Church—often referred to as “the precursor to the Religion Clauses of the First Amendment”—which eventually passed with James Madison’s help.

f. Scientific Progress

The Enlightenment enthusiasm for scientific discovery was directly related to the growth of deism and skepticism about received religious doctrine.  Deists engaged in scientific inquiry not only to satisfy their intellectual curiosity, but to respond to a divine calling to expose God’s natural laws.  Advances in scientific knowledge—whether the rejection of the geocentric model of the universe because of Copernicus, Kepler and Galileo’s work or the discovery of natural laws such as Newton’s mathematical explanation of gravity—removed the need for a constantly intervening God.  With the release of Sir Isaac Newton’s Principia in 1660, faith in scientific progress took institutional form in the Royal Society of England, the Académie des Sciences in France and later the Academy of Sciences in Germany.  In pre-revolutionary America, scientists or natural philosophers belonged to the Royal Society until 1768, when Benjamin Franklin helped create and then served as the first president of the American Philosophical Society.  Franklin became one of the most famous American scientists during the Enlightenment period because of his many practical inventions and his theoretical work on the properties of electricity.

3. Four American Enlightenment Thinkers

What follows are brief accounts of how four significant thinkers contributed to the eighteenth-century American Enlightenment: Benjamin Franklin, Thomas Jefferson, James Madison and John Adams.

a. Franklin

Benjamin Franklin, the author, printer, scientist and statesman who led America through a tumultuous period of colonial politics, a revolutionary war and its momentous, though no less precarious, founding as a nation.  In his Autobiography, he extolled the virtues of thrift, industry and money-making (or acquisitiveness).  For Franklin, the self-interested pursuit of material wealth is only virtuous when it coincides with the promotion of the public good through philanthropy and voluntarism—what is often called “enlightened self-interest.”  He believed that reason, free trade and a cosmopolitan spirit serve as faithful guides for nation-states to cultivate peaceful relations. Within nation-states, Franklin thought that “independent entrepreneurs make good citizens” because they pursue “attainable goals” and are “capable of living a useful and dignified life.” In his autobiography, Franklin claims that the way to “moral perfection” is to cultivate thirteen virtues (temperance, silence, order, resolution, frugality, industry, sincerity, justice, moderation, cleanliness, tranquility, chastity, and humility) as well as a healthy dose of “cheerful prudence.”  Franklin favored voluntary associations over governmental institutions as mechanisms to channel citizens’ extreme individualism and isolated pursuit of private ends into productive social outlets.  Not only did Franklin advise his fellow citizens to create and join these associations, but he also founded and participated in many himself.  Franklin was a staunch defender of federalism, a critic of narrow parochialism, a visionary leader in world politics and a strong advocate of religious liberty.

b. Jefferson

A Virginian statesman, scientist and diplomat, Jefferson is probably best known for drafting the Declaration of Independence.  Agreeing with Benjamin Franklin, he substituted “pursuit of happiness” for “property” in Locke’s schedule of natural rights, so that liberty to pursue the widest possible human ends would be accommodated.  Jefferson also exercised immense influence over the creation of the United States’ Constitution through his extended correspondence with James Madison during the 1787 Constitutional Convention (since Jefferson was absent, serving as a diplomat in Paris).  Just as Jefferson saw the Declaration as a test of the colonists’ will to revolt and separate from Britain, he also saw the Convention in Philadelphia, almost eleven years later, as a grand experiment in creating a new constitutional order.  Panel four of the Jefferson Memorial records how Thomas Jefferson viewed constitutions: “I am not an advocate for frequent changes in laws and constitutions, but laws and institutions must go hand in hand with the progress of the human mind. As that becomes more developed, more enlightened, as new discoveries are made, new truths discovered and manners and opinions change, with the change of circumstances, institutions must advance also to keep pace with the times.”  Jefferson’s words capture the spirit of organic constitutionalism, the idea that constitutions are living documents that transform over time in pace with popular thought, imagination and opinion.

c. Madison

Heralded as the “Father of the Constitution,” James Madison was, besides one of the most influential architects of the U.S. Constitution, a man of letters, a politician, a scientist and a diplomat who left an enduring legacy on American philosophical thought.  As a tireless advocate for the ratification of the Constitution, Madison advanced his most groundbreaking ideas in his jointly authoring The Federalist Papers with John Jay and Alexander Hamilton.  Indeed, two of his most enduring ideas—the large republic thesis and the argument for separation-of-powers and checks-and-balances—are contained there.  In the tenth Federalist paper, Madison explains the problem of factions, namely, that the development of groups with shared interests (advocates or interest groups) is inevitable and dangerous to republican government.  If we try to vanquish factions, then we will in turn destroy the liberty upon which their existence and activities are founded. Baron d’ Montesquieu, the seventeenth-century French philosopher, believed that the only way to have a functioning republic, one that was sufficiently democratic, was for it to be small, both in population and land mass (on the order of Ancient Athens or Sparta).  He then argues that a large and diverse republic will stop the formation of a majority faction; if small groups cannot communicate over long distances and coordinate effectively, the threat will be negated and liberty will be preserved (“you make it less probable that a majority of the whole will have a common motive to invade the rights of other citizens”).  When factions formed inside the government, a clever institutional design of checks and balances (first John Adams’s idea, where each branch would have a hand in the others’ domain) would avert excessive harm, so that “ambition must be made to counteract ambition” and, consequently, government will effectively “control itself.”

d. Adams

John Adams was also a founder, statesman, diplomat and eventual President who contributed to American Enlightenment thought.  Among his political writings, three stand out: Dissertation on the Canon and Feudal Law (1776), A Defense of the Constitutions of Government of the United States of America, Against the Attack of M. Turgot (1787-8), and Discourses on Davila (1791).  In the Dissertation, Adams faults Great Britain for deciding to introduce canon and feudal law, “the two greatest systems of tyranny,” to the North American colonies. Once introduced, elections ceased in the North American colonies, British subjects felt enslaved and revolution became inevitable.   In the Defense, Adams offers an uncompromising defense of republicanism.  He disputes Turgot’s apology for unified and centralized government, arguing that insurance against consolidated state power and support for individual liberty require separating government powers between branches and installing careful checks and balances.  Nevertheless, a strong executive branch is needed to defend the people against “aristocrats” who will attempt to deprive liberty from the mass of people.  Revealing the Enlightenment theme of conservatism, Adams criticized the notion of unrestricted popular rule or pure democracy in the Discourses.  Since humans are always desirous of increasing their personal power and reputation, all the while making invidious comparisons, government must be designed to constrain the effects of these passionate tendencies.  Adams writes: “Consider that government is intended to set bounds to passions which nature has not limited; and to assist reason, conscience, justice, and truth in controlling interests which, without it, would be as unjust as uncontrollable.”

4. Contemporary Work

Invocations of universal freedom draw their inspiration from Enlightenment thinkers such as John Locke, Immanuel Kant, and Thomas Jefferson, but come into conflict with contemporary liberal appeals to multiculturalism and pluralism.  Each of these Enlightenment thinkers sought to ground the legitimacy of the state on a theory of rational-moral political order reflecting universal truths about human nature—for instance, that humans are carriers of inalienable rights (Locke), autonomous agents (Kant), or fundamentally equal creations (Jefferson).  However, many contemporary liberals—for instance, Graeme Garrard, John Gray and Richard Rorty—fault Enlightenment liberalism for its failure to acknowledge and accommodate the differences among citizens’ incompatible and equally reasonable religious, moral and philosophical doctrines, especially in multicultural societies.  According to these critics, Enlightenment liberalism, rather than offering a neutral framework, discloses a full-blooded doctrine that competes with alternative views of truth, the good life, and human nature.  This pluralist critique of Enlightenment liberalism’s universalism makes it difficult to harmonize the American Founders’ appeal to universal human rights with their insistence on religious tolerance.  However, as previously noted, evidence of Burkean conservatism offers an alternative to the strong universalism that these recent commentators criticize in American Enlightenment thought.

What in recent times has been characterized as the ‘Enlightenment project’ is the general idea that human rationality can and should be made to serve ethical and humanistic ends.  If human societies are to achieve genuine moral progress, parochialism, dogma and prejudice ought to give way to science and reason in efforts to solve pressing problems. The American Enlightenment project signifies how America has taken a leading role in promoting Enlightenment ideals during that period of human history commonly referred to as ‘modernity.’  Still, there is no consensus about the exact legacy of American Enlightenment thinkers—for instance, whether republican or liberal ideas are predominant.  Until the publication of J. G. A. Pocock’s The Machiavellian Moment (1975), most scholars agreed that liberal (especially Lockean) ideas were more dominant than republican ones.  Pockock’s work initiated a sea change towards what is now the widely accepted view that liberal and republican ideas had relatively equal sway during the eighteenth-century Enlightenment, both in America and Europe.  Gordon Wood and Bernard Bailyn contend that republicanism was dominant and liberalism recessive in American Enlightenment thought.  Isaac Kramnick still defends the orthodox position that American Enlightenment thinking was exclusively Lockean and liberal, thus explaining the strongly individualistic character of modern American culture.

5. References and Further Reading

  • Bailyn, Bernard. The Ideological Origins of the American Revolution. Harvard: Harvard University Press, 1967.
  • Ferguson, Robert A. The American Enlightenment. Cambridge: Harvard University Press, 1997.
  • Hampson, Norman. The Enlightenment: An Evaluation of its Assumptions. London: Penguin, 1968.
  • Himmelfarb, Gertrude. The Roads to Modernity: The British, French and American Enlightenments. London: Vintage, 2008.
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Author Information

Shane J. Ralston
Email: sjr21@psu.edu
Pennsylvania State University
U. S. A.

Occasionalism

In the minds of most philosophers with a passing familiarity with early-modern philosophy, occasionalism is typically regarded as a laughable ad hoc or ‘for want of anything better’ solution to the mind-body problem, first opened up in Descartes’ Meditations. As typically presented in philosophy textbooks, the doctrine (usually identified exclusively with Nicholas Malebranche) certainly seems laughable: beginning from the assumption that the actual transmission of anything between body and mind is impossible, occasionalism holds that, for example, when my finger is pricked by a needle, no physical effect—neither the puncture of the needle nor the activity of my nerves—reaches my mind, but rather God directly produces the sensation of the prick within my mind on the occasion of the needle’s contact with my finger. Similarly, when I will to retract my finger away from the needle, my incorporeal will is utterly impotent to produce any such corporeal movement, so God again intercedes and directly produces the movement of the finger on the occasion of my willing.

Such supposedly was the doctrine of occasionalism, which, when presented in such a manner, occasions little more than an eye-roll from modern readers. Yet, this “textbook view” of occasionalism (much like the contemporary fixation on Descartes’ Meditations over his Principles of Philosophy) has everything to do with the interests, problems, and concerns of philosophy in the late and post-modern periods, and almost nothing to do with the actual doctrine of occasionalism in its own historical context. Indeed, occasionalism is not peculiar to early-modern philosophy or Cartesianism at all, but was an influential school in both Latin and Islamic medieval philosophy extending back to the tenth century. Moreover, for a strange and systematically theological system of metaphysics, occasionalism is the progenitor of a number of remarkable developments in Western philosophy, some of which laid the foundation for the development of modern science itself.

Table of Contents

  1. Introduction
  2. Motivations for Occasionalism
    1. Islamic and Latin Medieval Occasionalism
    2. Cartesian Occasionalism
  3. Primary Arguments for Occasionalism
    1. Causation is Not a Phenomenon
    2. No Forces or Powers
    3. No Necessary Connection
    4. Continual Creation
  4. The Place of Occasionalism in the History of Philosophy
  5. References and Further Reading
    1. Primary Sources in English
    2. Secondary Sources

1. Introduction

In spite of its historical deficiencies, the aforementioned “textbook view” of occasionalism was not entirely off the mark. The Cartesian occasionalists generally—but not exclusively—made appeal to the doctrine as a solution to the problem of mind-body interaction. Moreover, this interpretation actually has its origins in the period itself. Both G. W. Leibniz and Bernard le Bovier de Fontenelle notably described occasionalism as primarily a reaction to Descartes’ failure to explain the mind-body union (See Leibniz, “to Arnauld, 9 Oct. 1687,” Philosophical Papers, 522; Fontenelle, Doutes, 1:529-30). Nonetheless, Leibniz and Fontenelle were mistaken in their interpretations. As the first true Cartesian occasionalist, Louis de La Forge, argues:

I think most people would not believe me if I said that it is no more difficult to conceive how the human mind, without being extended, can move the body and how the body without being a spiritual thing can act on the mind, and to conceive how a body has the power to move itself and to communicate motion to another body. Yet there is nothing more true. (Traité, 143)

While the commitments of individual philosophers varied, in its pure form, occasionalism was a global denial of causality outside the direct and immediate volitional activity of God—both between bodies and between minds and bodies.

This is important to note as it forms the locus of the distinction between three classic metaphysical models of the causal relationship between God and his Creation: occasionalism, concurrentism, conservationism. Conservationism can best be described as the common view among the lay followers of the Abrahamic faith, as Malebranche himself notes (Recherche, 677). It holds that God created the world in the beginning, but that since that moment and with the exception of miracles, the world runs causally of its own accord and on the basis of its own powers and principles, without the need for God to be continually and perpetually involved. In spite of its mass appeal, conservationism was almost never taken seriously by Christian or Islamic theologians and was denounced as heretical for a variety of reasons that need not concern us here, for the much more important historical distinction was between concurrentism and occasionalism. Owing it origins to Augustine, concurrentism became the causal metaphysic of St. Thomas Aquinas and his legion followers. It holds that both God and finite created causes contribute to the production of particular effects, namely that God “concurs” or assents to the natural activity of the cause and thereby contributes his potency to the production of its effects, without which such a cause would be impotent and incapable of producing its customary effect. Occasionalism, by contrast, holds that finite creatures are utterly impotent by themselves, contribute nothing metaphysically to the production of any effects to which they may be associated, but instead serve only as merely nominal indicators or occasions for the one sole cause in the universe: God. Thus, while Aquinas’ account of the regular operations of nature is grounded in a grand system of agent causes and their patients, for the occasionalist, the regular operations of nature are governed by a system of occasional causes that cohere only on the basis of the regularity of God’s will concerning them.

This raises the question: What exactly is an occasional cause? One example would be a placebo, a designation that could be applied to almost anything, but is understood as such insofar as it serves as the cause of the “placebo effect.” Yet, as has been noted in clinical analyses of the placebo effect, this causal conception is clearly mistaken insofar as a placebo is typically an inert compound or pointless “therapy” that does not actually cause anything in particular, much less its salutary effect. Nonetheless, without the presence and administration of the placebo, the effect would not follow, or not follow as often as it does, and thus a placebo may be understood as an indispensable cause that serves as the occasion for whatever psycho-physical causality that takes place in the body which produces the placebo effect.

So then, what does an occasionalist metaphysic and account of causality look like? Well, to begin with the classic example of mind-body interaction described in the summary: when I look out the window of my office, there is no real causal connection between the clouds and sky as physical objects and the representative idea I have of them in my mind; rather, God immediately and directly produces such a correspondent image in my mind upon the occasion of me turning my head and looking out the window at them. Similarly, there is no real causal connection between the activity of my will to turn my head to the right and look out my window and the physical action of my head turning; for my head moves on the basis of the physical contraction of opposing muscle groups in my neck, which pull on and rotate my cervical vertebrae, thereby effecting the turn. Moreover, for reasons that will be seen, there is no real causal connection between the contraction of these muscles and the movement of my head; rather, God immediately and directly produces the movement of my head on the occasion of the contraction of the muscles in my neck, which are similarly produced by him on the occasion of my will to turn my head to the right.

This elaborate metaphysical and theological description of such a simple action raises the question: Why would any philosopher advance such a bizarre and counter-intuitive theory to explain such basic phenomena?

2. Motivations for Occasionalism

Given the customary prejudice of philosophers towards occasionalism (supposing they’ve heard of it at all), it is necessary to consider the motivation(s) underlying such a strange doctrine, which nonetheless attracted many of the greatest minds of medieval and early-modern philosophy.

The main figures behind the development of occasionalist thought in the Middle Ages were, as might be expected, concerned predominantly with theological issues. Numerous passages in the Old and New Testament are ambiguously suggestive of an occasionalist reading, such as Job 38:12-41, 1 Corinthians 12:6, and Isaiah 26:12. To quote one passage, cited by Malebranche in favor of occasionalism: “This is what the Lord, your protector, says, the one who formed you in the womb: ‘I am the Lord, who made everything, who alone stretched out the sky, who fashioned the earth all by myself’” (Isaiah 44:22). The important part of this quote is not the claim of God (even the conservationists accepted that God acted alone in the moment of creation), but rather Isaiah’s claim that, as Malebranche puts it, “only God acts and forms children in their mother’s womb” (Recherche, 677).

However, such Scriptural testimony was far too ambiguous to inspire or justify occasionalism on its own terms. Rather, occasionalism was born of a dispute centered on the deeply problematic relationship between Greek rationalist philosophy and the dogmas of the Abrahamic religions that seemed incommensurable with this tradition, namely the doctrine of creation ex nihilo and the possibility of miracles. There was a pervasive tendency in later antiquity among those educated in Greek philosophy to be embarrassed by the “abominations of reason,” latent in their religious creeds, which impelled them to attempt a synthesis. These attempts to harmonize Abrahamic monotheism with the philosophy of the pagans invariably provoked a reaction from their less philosophically inclined co-religionists who sought to uphold the dogmas of the Faith without intellectual rationalizations or prevarications. These reactions divide into two almost diametrically opposed camps corresponding to the two great bursts of occasionalist thought in the history of philosophy.

a. Islamic and Latin Medieval Occasionalism

In the Islamic tradition, the thought of the Arab polymath and father of Islamic philosophy, al-Kindi (801-873), marks the tentative beginning of a syncretism of Islam and Greek philosophy. This syncretism was further developed in the 9th and 10th centuries by a school of philosophers known as the Mu’tazalites, the premiere representatives of whom were al-Farabi (c. 872-950) and Avicenna (c. 980-1037). The metaphysical system of the Mu’tazalites was a hybrid of Aristotelianism and Neoplatonism typical of late-antiquity. Though al-Farabi and Avicenna remained nominal Muslims, their rationalist philosophical beliefs stood at considerable odds with the depiction of God and his relation to the world in the Qur’an: most notably, their critics accused them of denying the Abrahamic doctrine of creation ex nihilo and being incapable, on account of their necessitarian conception of causality, to explain the existence or possibility of miracles.

This latter issue over miracles in particular attracted the ire of certain Islamic theologians who were followers of a fundamentalist school begun in the early 10th century by al-Ash’ari (874-936), the most illustrious member of whom was al-Ghazali (1058-1111). The Mutazalites held, in customary rationalist manner, that causes are logically sufficient for the production of their effects and thus entail their existence in an essentially logical and syllogistic manner. While any particular cause (for example fire) may not be in-itself sufficient for the production of its effect (namely burning), given the presence of certain necessary conditions (for example air, and combustible substrate), the effect would follow necessarily from the presence and existence of the cause. That is to say, for fire and a combustible material to be brought together in the presence of oxygen, yet fail to produce burning, was regarded as a logical impossibility tantamount to a formal contradiction.

The objection of the Ash’irites to this principle is not difficult to understand: a natural order that operates on the basis of causes that logically necessitate their effects cannot be reconciled with the existence of miracles, which, as attested to in Holy Scripture, often depend on such an “impossible” disjunction between cause and effect. For example, there is the famous example of the “Burning Bush” from Exodus 3:1-21, which describes a combustible material that is on fire, but was not consumed by the flames. Another example is a story from the Book of Daniel of the three youths (Abednego, Meshach, and Shadrach) who were thrown into Nebuchadnezzar’s “Fiery Furnace,” yet miraculously escaped burning due to interference by an angel of God. Miracles such as these were interpreted literally by Ash’irite theologians and regarded as involving the presence of a natural cause but the absence of its customary effect due to a supernatural intervention by God.

This disjunction of causes and effects in instances of miracles was not itself problematic as long as Jews, Christians, and Muslims believed that God could do the impossible. Yet, such an interpretation of the divine omnipotence was strongly resisted by almost every important theologian of the Abrahamic religions and the orthodox conception of the limits of God’s power was identified as coextensive with the logically possible. To quote the Islamic theologian, al-Ghazali: “No one has power over the Impossible. What the Impossible means is the affirmation of something together with its denial…that which is not impossible is within [God’s] power” (Tahafut, 194). This is a very important point for it requires that, if miracles such as the above did indeed happen, they must have been—pace the assertion of ancient philosophers—logically possible on their own terms. Thus, the concession that God cannot do the impossible puts the onus on the believer in miracles to explain how such causal syncopations are possible. That is to say, it requires the believer to do philosophy—critical analytic philosophy—and thereby defeat the ancient philosophers at their own game.

This Islamic dispute was transferred essentially wholesale to the West through Averroës and Maimonidies in the 12th century and formed the basis of the nominalist reaction against Thomistic scholasticism, which they regarded as being similarly necessitarian and incompatible with the divine omnipotence.

b. Cartesian Occasionalism

By the time of Descartes, the nature of the occasionalist impulse had changed dramatically. Nowhere among the Cartesian occasionalists does one encounter the deep concern over the divine omnipotence or for reconciling philosophy with the testimony of Scripture typical of the Medievals. Even Malebranche, who—alone among his cohort—offered a few (weak) theological arguments in favor of occasionalism, never seemed bothered by the particular theological concerns of his medieval predecessors, even though—again, alone among his cohort—he demonstrated familiarity with them (See LO, 680). Instead, Cartesian occasionalism was a tendency and development organic to Cartesianism itself, which the successors of Descartes were driven to pursue exclusively under the pressure of severe problems in the Cartesian systems of physics and metaphysics and not from any particular religious motivation. These pressures included:

The Mind-Body Problem

This problem, while hardly unique to Descartes, was nonetheless forced by his substance dualism into a more radical and metaphysical framework than had been the case otherwise. Now, as noted in the introduction, the classic textbook view of occasionalism as an ad hoc solution to Descartes’ mind-body problem is almost entirely without warrant. Nonetheless, the mind-body problem was a particular area of concern for Descartes’ successors and occasionalism provided such a convenient solution that this “textbook” view took hold with considerable facility. Nonetheless, Steven Nadler argues that the mind-body problem was not a “specific” problem engendering Cartesian occasionalism and moreover “was not even recognized as a special case of some more general causal problem” (Nadler, 1997, 76). For the Cartesians, the nature of efficient causality was a metaphysical problem in itself.

The Rejection of Scholastic Forms and Causal Powers

Descartes describes the substantial forms of the Scholastics as having been “introduced by philosophers solely to account for the proper actions of natural things, of which they were supposed to be the principles and bases” (CSMK III, 208). Yet, Descartes is adamant that “no natural action at all can be explained by these substantial forms,” insofar as they “account” for the “proper actions of natural things” by metaphysical reification rather than epistemological explanation. They are thus “occult” and inscrutable (CSMK III, 208-9), and moreover otiose and redundant as explanations of phenomena, which, as Descartes is adamant, may be entirely accounted for in terms of local movements (CSM I, 83).

This mechanistic account of causal interaction allowed for a novel argument against the possibility of corporeal efficacy, which follows from Descartes’ rejection of substantial forms combined with his insistence that the qualities of body are exhausted by their mere geometric extension and whatever minimal features may be directly derived from as much. The point is, nowhere contained in the purely quantitative idea of extension is any notion of qualitative powers, forms, disposition, potentialities, and the like, from which it may be concluded that matter was essentially passive and inert.

Cartesian Nominalism

Unlike the Scholastics who regarded motion to be an accident, the Cartesians regarded motion to be a mode of body—thereby denying the Scholastic presumption of a metaphysically real distinction between a thing and its qualities, and instead insisting that there was no ontological difference between the “modes of being [façons d’ être]” of a thing and the thing itself (Lennon, 1974, 34). Given this, it would be as impossible to conceive a body transferring its motion to another body as it would be possible to conceive a body transferring its shape or divisibility to another body.

Continual Creation

Lastly, there is Descartes’ acceptance and advancement of the doctrine that God preserves the world via continual creation (See CSM II, 33; CSM I, 200). This was a customary supposition of occasionalism since al-Ghazali and the Ash’irite occasionalists. While Descartes’ commitment to this doctrine is insufficiently distinct from what might be maintained by a Thomistic concurrentist to qualify incontrovertibly as occasionalism, his successors would interpret the matter more forcefully and in a manner that rendered the concurrence of secondary causes otiose.

3. Primary Arguments for Occasionalism

Throughout the seven centuries of its history, occasionalist philosophy has been advanced and defended through a plethora of different arguments. Remarkably, there does not seem to be any particular “master argument” that appears across all the figures in this tradition. Certain arguments are more common or carried greater cache than others, but occasionalism was never an axiomatic system of metaphysics, and thus the principles and arguments behind it are more of a liquid coacervate than a structured edifice. Some of the strongest and most common arguments made against the efficacy of secondary causes and in favor of the system of occasional causes shall be examined here.

a. Causation is Not a Phenomenon

In observing a particular causal interaction, one does not see the actual causality underlying the interaction, but only a succession of events. This claim is most commonly identified with Hume, but it is actually of considerable antiquity and has often stood as the opening gambit of occasionalism since its very beginning. It was first advanced by al-Baqillani in the 10th century and reiterated by al-Ghazali, who argues:

Fire, which is an inanimate thing, has no action. How can one prove that it is an agent? The only argument is from the observation of the fact of burning at the time of contact with fire. But observation only shows that one is with the other, not that it is by it and has no other cause than it. (Tahafut, 186)

Virtually every philosopher associated with occasionalism would repeat this argument in some form or another. Even after the disappearance of medieval occasionalism in the 15th and 16th centuries, the argument would resurface among the earliest of the Cartesian occasionalists, Louis de La Forge (1632-1666) and Géraud de Cordemoy (1624-1684). La Forge notes:

I will be told, is it not clear and evident that heavy things move downwards, that light things rise upwards, and that bodies communicate their motion to one another? I agree, but there is a big difference between the obviousness of the effect and that of the cause. The effect is very clear here, for what do our senses show use more clearly than the various movements of bodies? But do they show us the force which carries heavy things downwards, light things upwards, and how one body has the power to make another body move? (Traité, 143; emphasis added)

Cordemoy concurs and reformulates the argument in more classically Cartesian terms, namely concerning colliding bodies:

When we say, for example, that body B drives body C away from its place, if we examine well what is acknowledged for certain in this case, we will only see that body B was moved, that it encountered C, which was at rest, and that since this encounter, the first ceased to be moved [and] the second commenced to be. (Discernement, 137; trans. Albondi, 59)

This is the formula of which Hume is typically given credit.

b. No Forces or Powers

The rejection of ‘forces’ or ‘powers’ internal to a particular piece of matter follows empirically from the above denial that we can actually see causation, as well as rationally from the argument, made in antiquity by Sextus Empiricus: “since…so much divergency is shown to exist in objects, we shall not be able to state what character belongs to the object in respect of its real essence, but only what belongs to it in respect of this particular rule of conduct, or law, or habit, and so on” (Outlines of Pyrrhonism, I. XIV, 163). Avicenna attempted to respond to this point by developing a claim made by Aristotle (See Physics 196b) that postulates an inductive “hidden syllogism” [qiyas khafiyy] tacit within causal judgments that allows for the inference of causal powers:

A tested experience is exemplified by our judgment that scammony purges bile. For when this [observed association] is repeated many times, it no longer belongs to the category of what occurs coincidentally. The mind then judges that it is of the nature of scammony to purge bile, and it acquiesces in it. Thus, purging bile is a necessary accident of scammony…and [scammony] necessitates it [the effect of purging bile] by some proximate power within it, or property in it, or a relation connected with it. It becomes correct [to conclude] through this kind of demonstration that there is a cause in scammony by nature and associated with it, which purges bile. (al-Burhan, 95; trans. Kogan, 87-88)

Avicenna’s ambiguity regarding the correct conclusion of this “demonstration” and the source of necessity between scammony and its purgative power is revealing, particularly in his indecisive conflation of “a cause in scammony by nature” with one merely “associated with it.”

Al-Ghazali seizes on this ambiguity and declares that Avicenna’s “kind of demonstration” underlying causal judgments is not a demonstration at all for it lacks any entailment: “existence with a thing does not prove being by it” (Tahafut, 186). To prove this point, al-Ghazali provides an example:

Suppose there is a blind man whose eyes are diseased, and who has not heard from anyone of the difference between night and day. If one day his disease is cured, and he can consequently see colours, he will guess that the agent of the perception of the forms of colours which has now been acquired by his eyes is the opening of the eyes. (Tahafut, 186)

This particular argument is essentially identical to Hume’s famous example in the Enquiry concerning the causal expectations of Adam when encountering fire and water for the first time (See Enquiry, VI.2, 27).

The Cartesians regarded suppositions of ‘force’ or ‘power’ inhering in bodies as occult properties incapable of being clearly and distinctly understood. Following Descartes, they regarded material bodies as effectively hypostatizations of Euclidian geometry, the qualities of which are exhausted by their mere geometric extension and whatever minimal features may be directly derived from as much. The point is, for the Cartesians, we have a clear and distinct idea of the essence of body as res extensa. Nowhere contained in this purely quantitative idea is any notion of qualitative powers, forms, disposition, potentialities, and the like. As Malebranche asks the reader:

Consult the idea of extension and judge by that idea, which represents bodies if anything does, whether they can have some property other than the passive faculty of receiving various shapes and various motions. Is it not evident to the last degree that properties of extension can consist only in relations of distance? (Dialouges, VII.2 147)

From this minimalist and quantitative conception of matter, the Cartesians concluded that matter was existentially passive and inert and derided the Scholastic-Aristotelian epistemology of causal explanation as fundamentally animistic—a point that seems evident in Aquinas’ claim:

[Real relations exist in] those things which by their own very nature are ordered to each other, and have a mutual inclination…as in a heavy body is found an inclination and order to the centre; and hence there exists in the heavy body a certain respect in regard to the centre and the same applies to other things. (Summa theologica, 1, q. 28, a. 1)

This physics based on internal “inclinations” Descartes categorically rejected, noting that his youthful conception of gravity was based on a (typically Scholastic) equivocation between notions of mind and notions of body:

[W]hat makes it especially clear that my idea of gravity was taken largely from the idea I have of the mind is the fact that I thought that gravity carried bodies towards the centre of the earth as if it had some knowledge of the centre within itself. For this surely could not happen without knowledge, and there can be no knowledge except in a mind. (CSM II, 298. See also: “Letter to Mersenne,” CSMK III 216 and “Letter to Arnauld,” CSMK III 358.)

Descartes’ argument here became a major argument in favor of occasionalism among his successors, particularly by Malebranche, whose mouthpiece in the Dialogues on Metaphysics and on Religion instructs:

Contemplate the archetype of bodies, intelligible extension. This represents them since it is in accordance with it that they all have been made. This idea is entirely luminous…Do you not see clearly that bodies can be moved but they cannot move themselves? You hesitate. Well then, let us suppose that this chair can move itself: Which way will it go? With what velocity? At what time will it take it into its head to move? You would have to give the chair an intellect and a will capable of determining itself…Otherwise, a power of moving itself would be of no use at all to it. (Dialogues, VII, 151; emphasis added)

Malebranche’s claim here is essentially: to ascribe active powers to something that is defined only in terms of geometric extension is like ascribing ‘jealousy’ to a cardboard box. This conclusion is in line with the standard Cartesian accusation against Aristotelianism, namely that, even when stripped of any supposition of final causality, Aristotelian causal explanation inherently projects what are effectively intentional states onto otherwise inanimate objects.

Moreover, the particular argument Malebranche employs to make his point—while novel amongst the Cartesians—is very old indeed. Parmenides famously argued against the possibility of creation by asking: “…what creation wilt thou seek for [what is]? How and whence did it grow? I [shall not] allow thee to say or to think, ‘from that which is not’; for…what need would have driven it on to grow, starting from nothing, at a later time rather than an earlier?” (Simplicus, Commentary on the Physics, 145; Kirk & Raven 347) To this al-Ghazali responded that only inanimate creatures not possessed of a will are strictly subject to the principle of sufficient reason, such “that fire is so created that when it finds two pieces of cotton which are similar, it will burn both of them, as it cannot discriminate between two similar things” (Tahafut, 190). Given their enslavement to the principle of sufficient reason, creatures lacking a will are incapable of self-initiated movement for it would be impossible for them to decide to move in one direction rather than another, or do so at one moment rather than another, given that all points in space and time are qualitatively identical, and thus—in terms of the order of possible reasons—indifferent. Thus al-Ghazali concludes that all change must be initiated by a will with metaphysical capacity to choose and act arbitrarily, thereby distinguishing and picking between identicals differing only by number (Tahafut, 24-7).

This voluntarist reasoning Malebranche weaves into the Cartesian rubric, concluding:

It is clear that no body, large or small, has the power to move itself…We have only two sorts of ideas, ideas of minds and ideas of bodies; and as we should speak only of what we conceive, we should only reason according to these two kinds of ideas. Thus, since the idea we have of all bodies makes us aware that they cannot move themselves, it must be concluded that it is minds which move them. (Recherche, 448)

Yet Malebranche flatly denies that finite human minds have any such capacity to generate movement, insisting that we “have no clear idea of this power soul has over the body” (Ibid., 670). He justifies this claim first on empirical grounds, arguing that, were one to claim:

I know through the inner sensation of my action that I truly have this power…I [would] reply that when they move their arm they have an inner sensation of the actual volition by which they move it; and they are not mistaken in believing that they have this volition…I grant that they have an inner sensation that the arm is moved during the effort; and on this assumption I also agree…that the movement of the arm occurs at the instant we feel this effort…But I deny that this effort, which is only a modification or sensation of the soul…is by itself able to impart motion to the animal spirits, or to determine them. (Ibid.)

c. No Necessary Connection

The argument that cause and effect share no necessary connection between them began with al-Ghazali’s coruscating insight that “the connection between what are believed to be the cause and the effect is not necessary. Take any two things. This is not That; nor can That be This” (Tahafut, 185). This point has both an epistemological and a logico-ontological prongs. The former hinges on what Hume called the “establish’d maxim”: Supposing we have a complete understanding of the quiddities of, say, fire and cotton, al-Ghazali asks: “how can we conceive that one of them should burn, and the other should not? There is no alternative for the other piece” (Tahafut, 188). That is to say, the very fact that cause and effect are epistemologically distinct means that we can always consider the one without the other; and subject to that mere possibility, no logically necessary relation can exist between the two.

The deeper logico-existential prong of al-Ghazali’s “This is not That” insight, which Hume never truly grasped, hinges on the very nature of identity and logical connection itself. A door had been conveniently opened by Avicenna, who insisted that the hallmark of efficient causes is their ontological distinctness from their effects (Metaphysics, 173). Al-Ghazali follows Avicenna on this point, but then poses the question: what does this ontological distinctness entail? A necessary connection requires that one event is logically bound to another, such that the cause is sufficient (given the fulfillment of certain necessary conditions) to bring about the effect. Yet how is this logical connection possible? “This is not That” precisely because two distinct things, as distinct things, cannot be bound of themselves by any necessary connection: “The affirmation of one does not imply the affirmation of the other; nor does its denial imply the denial of the other. The existence of the one is not necessitated by the existence of the other; nor its non-existence by the non-existence of the other” (Tahafut, 185). For example, it is impossible to conceive of a dog while not also conceiving of an animal precisely because there is a necessary relationship between the two — the antecedent entails the consequent as a modus ponens. This is the type of standard that relations of necessity demand. Yet, the relationship between the concept ‘dog’ and the concept ‘animal’ is not causal but rather definitional, the predicate being contained in the subject. Causation, on the other hand, is not a definitional relationship, but rather one that takes place between two otherwise discrete things, and thus cannot include under it any notion of necessity. The occasionalist conclusion he draws from this is that, if two distinct events are to be necessarily conjoined, they can only be so “as the result of the Decree of God, which preceded their existence. If one follows the other, it is because He has created them in that fashion, not because the connection in itself is necessary and indissoluble” (Tahafut, 185; emphasis added).

This principle of al-Ghazali’s, namely that the logical non-identity of cause and effect logically precludes any necessary connection between them, was rigorously and systematically developed by the fourteenth century nominalists William of Ockham and Nicholaus of Autrecourt, forming the touchstone of their skeptical attacks on the Peripatetic scholasticism that had taken over Western philosophy and theology following the work of William of Auvergne and Aquinas in the previous century. It was the Aristotelian conception of ontology as an active, pluralistic, and substantial structure composed of both things as well as real principles internal to them—principles that define the natural order in a deep, interwoven, and rational way, so as to provide philosophy direct access to this order as well as the possibility of offering a systematic and all-encompassing explanation of its operations—that was the primary object of the nominalists’ ire. By contrast, the nominalists regarded the Real as composed of discrete individual singulars.

Ockham paved new ground in the epistemology of causal explanation due to his almost obsessive concern over the divine omnipotence and the possibility of divine interference in any particular instance of cause and effect. If, as Ockham and the “theologians” declared: “Whatever God can produce by means of secondary causes, He can directly produce and preserve without them” (OTh 9: 604.17-20; Philosophical Writings, 25), then it follows that God can create an effect without any antecedent cause and, more importantly, an antecedent ‘cause’ without any consequent effect. Thus the standard of necessary connection, by which the effect must follow from its cause, collapses, and thus inference from one to the other lacks demonstrative warrant:

Between a cause and its effect is a particularly essential order and dependence; nevertheless, the simple knowledge of some one thing does not entail the simple knowledge of some other thing. This is also something that everyone experiences within himself; however perfectly he may know a particular thing, he will never be able to know, with simple and proper knowledge, another thing which he has never previously experienced, either by sensation or intellect. (OTh 1: 241.15-21; translation is the author’s)

Moreover, it is impossible to know, logically or empirically, if God produces any particular effect directly or through secondary causes. That is to say, using occasionalist terminology, if b can be produced by God directly without a, we can never know in any given instance of a followed by b if a actually caused b, if a was merely the occasion for b, or if the two are even connected at all:

[I]t cannot be demonstrated that any effect is produced by a secondary cause, because even though fire always follows when fire is brought close to combustible material, it is possible that the fire is not the cause. For God could have ordained that he alone caused combustion whenever fire is present to a patient close by, just as he has ordained with the Church that when certain words are spoken grace is caused in the soul. (OTh 5:72.21)

Given such an epistemological gap, the positive metaphysical concept of causation collapses and all we are left with is a phenomenal account resting on repeated observation and the continuity of nature.

Ockham had defined an efficient cause in his Summula philosophiae naturalis as “that at whose real existence something has a new different being completely distinct from that cause” (OPh 6: 218.26). Yet, he failed to appreciate the full logical force of this definition. This was left to his successor, Nicholaus of Autrecourt. Autrecourt was adamant that it is impossible to reason from the existence of causal activity of one thing to the existence or effect receptivity of another thing, for: “‘From the fact that some thing is known to be, it cannot be inferred evidently, by evidentness reduced to the first principle, or to the certitude of the first principle, that there is some other thing’…[for] ‘In such an inference…the consequent would not be factually identical with the antecedent’” (Letter to Bernard, §11). Given such a factual non-identity, “the opposite of the consequent would be compatible with whatever is signified by the antecedent, without contradiction” (Letter to Bernard, §15). Autrecourt applies this logical principle directly to the issue of causal explanation, arguing against Duns Scotus that repeated and infallible experience of a conjunction between two things is not demonstrative of the fact that one is the effect of the other:

[O]nly conjecturative habit [habitus conjecturativus], not certainty, is had concerning things known by experience, in the way in which it is said that rhubarb cures cholera, or that a magnet attracts iron. When it is proven [namely by Scotus] that certitude [comes] from the proposition existing in the mind which states that what is usually produced by a non-free cause is its natural effect, I ask what you call a natural cause. A cause which has produced what has happened usually, and which will still produce in the future if [the cause] lasts and is applied? Then the minor premise is not known. Even if something has been produced usually, it is still not certain whether it must be produced in the future. (Exigit, 237)

While neither Ockham nor Autrecourt pursued their causal skepticism into occasionalism, Autrecourt notably acknowledges occasionalism as a possibility. Among the claims that he was forced to retract by the Papal Curia in Avignon were the assertions that “we do not evidently know that anything other than God can be the cause of some effect,” and “we do not evidently know that any cause which is not God to act as an efficient cause” (Quattor atriculi confessati, §§15-18).

Among the Cartesian occasionalists, Malebranche was the only one to employ the ‘no necessary connection’ argument in favor of occasionalism, which Leibniz deemed his “strongest argument for why God alone acts” (Malebranche et Leibniz, 412; trans. by Sleigh, 171). Malebranche avers: “A true cause as I understand it is one such that the mind perceives a necessary connection [liaison nécessaire] between it and its effect” (Recherche, 450). On this basis he concludes:

It is clear that no body, large or small, has the power to move itself…Thus, since the idea we have of all bodies makes us aware that they cannot move themselves, it must be concluded that it is minds which move them. But when we examine our idea of all finite minds, we do not see any necessary connection between their will and the motion of any body whatsoever. On the contrary, we see that there is none and that there can be none.” (Ibid., 670; emphasis added)

Give the utter impotence of bodies vis-à-vis motion, it is obvious by elimination that, if they are moved, they must get such movement from a mind. Yet, by the same reasoning, Malebranche has also shown that this movement cannot come from any finite human mind, for the dictates of such minds are not necessarily connected with their intended effects. There is only one mind that has the power to forge a necessary connection between that which it wills and the effect the will produces:

But when one thinks about the idea of God, i.e., of an infinitely perfect and consequently all-powerful being, one know there is such a connection between His will and the motion of all bodies, that it is impossible to conceive that He wills a body to be moved and that this body not be moved. We must therefore say that only His will can move bodies if we wish to state things as we conceive them and not as we sense them. (Ibid., 448)

d. Continual Creation

Continual creation is a metaphysico-theological doctrine concerning God’s relation to the Creation which maintains that the ontological permanence of the Creation is derived not from itself, but rather through God’s continual volitional preservation of it via the same power from which he created it ex nihilo in the beginning.

Biblical support for the doctrine of continual creation stemmed primarily from John 5:17 and Acts 17:28. Regarding the former, Jesus was persecuted by the Jews for performing works on the Sabbath, to which he responded: “My Father is always working, and so am I.” This passage was cited by Augustine in support of his argument that the biblical claim that God “rests” on the seventh day of creation should not be taken to mean a complete inactivity vis-à-vis the creation, but only rests “in the sense of not creating any new creature” (De genesi ad lit., 4.12). Thus Augustine concludes that:

[E]ven on the seventh day His power ceased not from ruling heaven and earth and all that He had made, for otherwise they would have perished immediately. For the power and might of the Creator, who rules and embraces all, makes every creature abide; and if this power ever ceased to govern creatures, their essences would pass away and all nature would perish. When a builder puts up a house and departs, his work remains in spite of the fact that he is no longer there. But the universe will pass away in the twinkling of an eye if God withdraws His ruling hand. (Summa contra gentiles, 3.65)

Augustine’s understanding of the metaphysics of divine preservation here is obviously nascent, but he is clear on one matter: God need not act in order for the Creation to be extinguished into non-being, but rather merely cease his continual “work.”

This principle became the foundation of the ‘preservation is but continual creation’ doctrine held by both the Thomistic concurrentists and Islamic occasionalists. In the case of the former, Aquinas approvingly quotes Augustine in defense of the doctrine and reiterates the claim that: “Were God to annihilate, it would not be through some action, but through cessation from action” (Summa theologiae, 1a. 104, 3). On this point Aquinas and the Islamic occasionalists were in full agreement; their main disagreement lay in whether or not God’s “work” in preserving the world was metaphysically continuous or discrete. Aquinas followed the Neoplatonic emanationist tradition in siding with the former conception, while the Islamic occasionalists argued for the latter. As Aquinas himself describes their reasoning: “in order to be able to maintain that the world needs to be preserved by God,” they held “that all forms are accidents, and that no accident lasts for two instants, so that things would always be in the process of formation” (Summa contra gentiles, 3.65). The reason for the divergence is that, while both were in agreement as to the metaphysics of annihilation and maintained that “existence is not the nature or essence of any created thing” (Ibid.), the Islamic occasionalists took this principle (along with the identification of divine preservation with creation ex nihilo) to a much more radical conclusion, arguing that finite creatures are inherently driven to non-being by themselves. (Guide, 109a). God’s will is simple and singular: He wills to create a world of things; these things do not have existence as part of their essence; therefore, they immediately vanish into non-being the moment after their creation, upon which God preserves them by recreating them again from the very nothing into which they had vanished (Ibid.).

The upshot of this metaphysic is a static punctiform ontology in which the very notions of “substance” or “natures,” upon which Aristotelian physics and metaphysics is based, collapse. Finite creatures are rendered fragmented shadows of being whose particular features are utterly contingent and the product of mere temporal congruence rather than from any substance ontology. As Maimonides explains, from this doctrine, the Islamic occasionalists denied that “there is a nature in any respect whatever and that the nature of one particular body may require that this and that accident be attached to that body. Quite the contrary, they wish to say that God…created the accidents in question now, without the intermediary of nature—without any other thing” (Guide, 109b). Under such a cinematographic ontology, then, the notion that particular finite creatures could cause effects in other finite creatures is unintelligible, for the world exists as a seriatim of static time slices, each of which are intersticed by vacua of non-being, and thus the states of affairs in any one instant/iteration is not only logically distinct from its successor, but ontologically so as well.

The doctrine of continual creation was inducted into the Cartesian tradition by Descartes himself, who famously notes in the Meditations:

[A] lifespan can be divided into countless parts, each completely independent of the others, so that it does not follow from the fact that I existed a little while ago that I must exist now, unless there is some cause which as it were creates me afresh at this moment—that is, which preserves me. For it is quite clear to anyone who attentively considers the nature of time that the same power and action are needed to preserve anything at each individual moment or its duration as would be required to create that thing anew if it were not yet in existence. (CSM II, 33)

Descartes’ argument concerning time is designed to occlude Hobbes’ and Gassendi’s conservationist mechanism—as well as the belief of the common person—whereby God creates the universe in the beginning, animates it with motion, then steps back from the machine, which continues to exist and operate of its own accord (See CSM II, 254). Yet Descartes’ conception of continual creation seems to be quite different from that of the Islamic occasionalists. First, as Kenneth Clatterbaugh points out, “Descartes only states that the continued existence of substances requires God’s continuous creation; he says nothing about the need to re-create all its states” (Clatterbaugh, 39). Moreover, nowhere does Descartes argue that a body’s causal capacities are dependent upon such recreation, nor does he advance the Ash’irite claim that the nature of such recreation is metaphysically discrete insofar as creatures lapse back into non-being immediately after the moment of their creation.

Regardless, many of Descartes’ successors saw a radicalization of this doctrine as a perfect justification for their occasionalism. Antione Le Grand, for example, follows Descartes in maintaining that “we must conclude that all Creatures before God’s Decree were nothing, and consequently that of themselves they have no necessity to exist” (Philosophia veterum, I, II, 14, 72). Unlike Descartes, however, he is adamant that God’s concourse preserves things “not only as to the Existence, but as to their Essence also” (Ibid., 12, 70). That is, their particular states. Similarly, La Forge advances a powerful argument for the metaphysical powerlessness of bodies form the continual creation doctrine:

I…claim that there is no creature, spiritual or corporeal, which can cause change in it or in any of its parts, in the second moment of their creation, if the Creator does not do so himself. Since it was He who produced this part of matter in place A, for example, not only must he continue to produce it if he wishes it to continue to exist but also, since he cannot create it everywhere or nowhere, he must put it in place B himself if he wishes it to be there. (Traité, 147)

That is to say, even if a body is set in motion by God, it makes no sense to describe it as possessing motion or anything of the sort, for all motion can be in such a theological framework is the annihilation and recreation of the body in different places at different temporal intervals. This point, which revives the conception of motion held by the Islamic occasionalists, is finally made explicit by Malebranche: “The moving force of a body is, then, simply the efficacy of the volition of God who conserves it successively in different places” (Dialouges, VII.11, 159). Motion then is cinematographic: each successive frame bears no connection to the prior frame, there is no transference of properties among the depicted objects between each frame, and indeed the film itself (as a metaphor for substantiality) is patently incapable of such transmission:

[L]et us imagine that the ball is moved and that, in the line of its motion, it encounters another ball at rest…it is not the first ball that moves the second. That is clear from the [following] principle. One body could not move another without communicating to it some of its moving force. Now, the moving force of a body in motion is simply the volition of the Creator who conserves it successively in different places. It is not a quality that which belongs to the body.” (Dialouges, VII.11, 159)

4. The Place of Occasionalism in the History of Philosophy

For such a widely deprecated—if not forgotten—school of philosophy, occasionalism was nonetheless of staggering importance to the development of philosophical modernity. Locke declined to publish two essays he wrote against occasionalism because “he looked upon [occasionalism] to be an opinion that would not spread, but was to die of itself, or at least do no great harm” (Posthumous Works, 210). Locke was undoubtedly prescient in this estimation, but only because the influence of occasionalism was to be felt not in its positive metaphysic, but rather in its skeptical epistemology.

The first casualty of this skepticism was the chimerical Neoplatonism of Ammonius, Plotinus, and their many scions, which was virtually synonymous with philosophy itself in late-antiquity and the Early Middle Ages. It was this philosophy—taken to its apogee by Avicenna—that was the primary target of al-Ghazali’s withering criticism. Neo-Platonism never recovered from this assault (except perhaps in nineteenth-century German idealism) and was instead replaced by the classical Aristotelianism advanced by Muslim philosophers in al-Andalus, most notably Averroës. In the Latin West the order was somewhat reversed as the indigenous Platonism of Eriugena, William of Conches, and Abelard, was replaced by the influx of Aristotelian ideas arriving North from Moorish Spain. Yet, medieval philosophy did not find its “completion” in the Aristotelian scholasticism of William of Auvergne and Aquinas; for, following the condemnations of 1270 and 1277 and the University of Paris, many of which implicated the new Aristotelian theology, skeptical philosophy witnessed a resurgence in Western thought for the first time since antiquity.

Nominalism, the third and final of the great philosophical schools of the Middle Ages, was caustically critical of the pretentions of Thomism; and against such a metaphysic advanced many of the same logical and epistemological arguments made by al-Ghazali and the Islamic occasionalists. Neither Ockham nor Autrecourt were interested in developing a systematic metaphysics and thus refrained from pushing these arguments into an actual espousal of occasionalism. The importance of nominalism lies both in the counter it provided to the domination of Aristotelian scholasticism, as well as the not so minor fact that nominalism was the first rigorously empiricist philosophy in Western history. While certain philosophical schools of antiquity (namely Epicureanism and the Empiric medical school) had exhibited empiricist tendencies, the general inclination of ancient thought was to either combine—to the point of conflation—rational speculative reasoning with empirical observation, or to flatly privilege the former over the latter. No tradition of antiquity had justified empiricism to the same epistemological and metaphysical extent as did Ockham and his followers.

As ironic as it might seem concerning a theocentric metaphysics that regarded God as doing basically everything, the cardinal contribution of occasionalism, then, was to the development of an empiricist epistemology of causal explanation that stood as a cornerstone of modern philosophy and science. The hostility of the occasionalists to secondary causation and the natural potentialities of created things—which had been accepted virtually without question in antiquity—formed the basis of the early-modern attack on the occult forces and powers of scholasticism, not only in spirit but in the particular arguments employed as well. A commonly held belief of ancient metaphysics and natural philosophy was that the inviolable regularity of nature must be predicated on the natural activities of things. Even Sextus Empiricus, the arch-skeptic, warns: “if cause were non-existent everything would have been produced by everything and at random. Horses, for instance, might be born, perchance, of flies, and elephants of ants” (Outlines of Pyrrhonism, iii.18). This is a puzzling claim, for, if causality were indeed non-existent, nothing would produce anything. Yet, this is not how the ancient mind understood the metaphysics of causation: production was an ontological given, “causes” merely directed the power of the demiurge, ensuring that like produces like and so on. Such an understanding remained, in one form or another, down to Aquinas and Suaréz. Occasionalism, in rejecting the efficacy of such natural causes to guide the operations of Nature, was required to posit some principle in its place that would provide for the observed regularity and order therein. The occasionalist response was simple: given that God was the total cause of every event in nature, the regularity of the natural world was a direct extension of the regularity of the divine mind. In this way the ancient understanding of nature as governed by active powers and potentialities was replaced by the modern understanding of nature as governed by immutable laws. Lastly, the occasionalist rejection of the necessity of the connection between cause and effect had a direct and undeniable influence on Hume, who was a studious and astute reader of Malebranche (Treatise, 158-160). Moreover, it was precisely such a skeptical principle—and its obvious upshot that reality is non-deducible—that was to finally nail shut the coffin lid on rationalist-speculative natural philosophy once and for all.

5. References and Further Reading

a. Primary Sources in English

  • Al-Ghazali. Tahafut Al-Falasifah. Translated by Sabih Ahmad Kamali. Lahore, Pakistan: Pakistan Philosophical Congress, 1963.
  • Autrecourt, Nicholas of. His Correspondence with Master Giles and Bernard of Arezzo. Translated by L.M. de Rijk. Leiden: E.J. Brill, 1994.
  • Autrecourt, Nicholas of. The Universal Treatise. Translated by Leonard A. Kennedy, Richard E. Arnold, and Arthur E. Millward. Milwaukee, WI: Marquette University Press, 1971.
  • Averroes. The Incoherence of the Incoherence. Translated by Simon van Den Bergh. 2 vol. London: Messrs Luzac & Company Ltd., 1969.
  • Avicenna. The Metaphysics of The Healing. Translated by Michael E. Marmura. Provo, UT: Brigham Young University Press, 2005.
  • Descartes, René. The Philosophical Writings of Descartes. Translated by John Cottingham et. al., 3 vol. Cambridge: Cambridge University Press, 1985.
  • Geulincx, Arnold. Metaphysics. Translated by Martin Wilson. Wisbech, UK: Christoffel Press, 1999
  • Hume, David. An Enquiry Concerning Human Understanding. Edited by L.A. Selby-Bigge, Oxford: Oxford University Press, 1957.
  • Hume, David. A Treatise on Human Nature. Edited by L.A. Selby-Bigge, Oxford: Oxford University Press, 1955.
  • La Forge, Louis de. Treatise on the Human Mind. Translated by Desmond M. Clarke. Dordrecht: Kluwer Academic Publishers, 1997.
  • Maimonides, Moses. The Guide of the Perplexed. Translated by Shlomo Pines. Chicago, IL: The University of Chicago Press, 1963.
  • Malebranche, Nicolas. Dialogues on Metaphysics. Translated by Willis Doney. New York, NY: Abaris Books, 1980.
  • Malebranche, Nicolas. The Search After Truth. Translated by Thomas M. Lennon & Paul J. Olscamp. Cambridge, UK: Cambridge University Press, 1980.
  • Malebranche, Nicolas. Treatise on Nature and Grace. Translated by Patrick Riley. Oxford: Clarendon Press, 1992.
  • Ockham, William of. Philosophical Writings. Translated by Philotheus Boehner. Edinburgh: Nelson and Sons, 1957.

b. Secondary Sources

  • Ablondi, Fred. Gerauld de Cordemoy: Atomist, Occasionalist, Cartesian. Milwaukee, WI: Marquette University Press, 2005.
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Author Information

Jason Jordan
Email: jjordan4@uoregon.edu
University of Oregon
U. S. A.

Pierre Hadot (1922-2010)

Pierre HadotPierre Hadot, classical philosopher and historian of philosophy, is best known for his conception of ancient philosophy as a bios or way of life (manière de vivre). His work has been widely influential in classical studies and on thinkers, including Michel Foucault. According to Hadot, twentieth- and twenty-first-century academic philosophy has largely lost sight of its ancient origin in a set of spiritual practices that range from forms of dialogue, via species of meditative reflection, to theoretical contemplation.  These philosophical practices, as well as the philosophical discourses the different ancient schools developed in conjunction with them, aimed primarily to form, rather than only to inform, the philosophical student. The goal of the ancient philosophies, Hadot argued, was to cultivate a specific, constant attitude toward existence, by way of the rational comprehension of the nature of humanity and its place in the cosmos. This cultivation required, specifically, that students learn to combat their passions and the illusory evaluative beliefs instilled by their passions, habits, and upbringing. To cultivate philosophical discourse or writing without connection to such a transformed ethical comportment was, for the ancients, to be as a rhetorician or a sophist, not a philosopher. However, according to Hadot, with the advent of the Christian era and the eventual outlawing, in 529 C.E., of the ancient philosophical schools, philosophy conceived of as a bios largely disappeared from the West. Its spiritual practices were integrated into, and adapted by, forms of Christian monasticism. The philosophers’ dialectical techniques and metaphysical views were integrated into, and subordinated, first to revealed theology and then, later, to the modern natural sciences. However, Hadot maintained that the conception of philosophy as a bios has never completely disappeared from the West, resurfacing in Montaigne, Rousseau, Goethe, Thoreau, Nietzsche, and Schopenhauer, and even in the works of Descartes, Spinoza, Kant, and Heidegger.

Hadot’s conception of ancient philosophy and his historical narrative of its disappearance in the West have provoked both praise and criticism. Hadot received a host of letters from students around the world telling him that his works had changed their lives, perhaps the most fitting tribute given the nature of Hadot’s meta-philosophical claims. Unlike many of his European contemporaries, Hadot’s work is characterized by lucid, restrained prose; clarity of argument; the near-complete absence of recondite jargon; and a gentle, if sometimes self-depreciating, humor. While Hadot was an admirer of Nietzsche and Heidegger, and committed to a kind of philosophical recasting of the history of Western ideas, Hadot’s work lacks any eschatological sense of the end of philosophy, humanism, or the West. Late in life, Hadot would report that this was because he was animated by the sense that philosophy, as conceived and practiced in the ancient schools, remains possible for men and women of his era: “from 1970 on, I have felt very strongly that it was Epicureanism and Stoicism which could nourish the spiritual life of men and women of our times, as well as my own” (PWL 280).

Table of Contents

  1. Biography
  2. Philology and Method
  3. Early Work: Plotinus and the Simplicity of Vision
  4. What is Ancient Philosophy?
    1. Philosophical Discourse versus Philosophy
    2. Philosophy as a Way of Life
    3. The Figure of Socrates
    4. The Figure of the Sage
  5. Spiritual Practices
    1. Askesis of Desire
    2. Premeditation of Death and Evils
    3. Concentration on the Present Moment
    4. The View from Above
    5. Writing as Hypomnemata, and The Inner Citadel
  6. The Transformation of Philosophy after the Decline of Antiquity
    1. The Adoption of Spiritual Practices in Monasticism
    2. Philosophical Discourse as Handmaiden to Theology and the Natural Sciences
    3. The Permanence of the Ancient Conception of Philosophy
  7. References and Further Reading
    1. Works in French
    2. Works in English
    3. Selected Articles on Hadot

1. Biography

Pierre Hadot was born in Paris in 1922.  Educated as a Catholic, at age 22 Hadot began training for the priesthood. However, following Pope Pius XII’s encyclical, Humani Generis, of 1950, Hadot left the priesthood, marrying for a first time in 1953. Between 1953 and 1962, Hadot studied the Latin patristics and was trained in philology. At this time, Hadot was also greatly interested in mysticism. In 1963, he published Plotinus: or The Simplicity of Vision, on the great Neoplatonic philosopher. During this period he also produced two of the first studies about Wittgenstein written in the French-language. Hadot was elected director of studies at the fifth section of the École Pratique des Hautes Études in 1964, and he married his is second wife, the historian of philosophy Ilsetraut Hadot, in 1966. From the mid-1960s, Hadot’s attention turned to wider studies in ancient thought, culminating in two key works: Exercices spirituels et philosophie antique, written in 1981 (translated into English in 1995 as Philosophy as a Way of Life [PWL] ) and Qu’est-ce que la philosophie antique?, written in 1995 (translated into English in 2002 as What is Ancient Philosophy? [WAP] ). Hadot was named professor at the Collège de France in 1982, where he held the chair for the History of Greek and Roman Thought (chaire d’histoire de la pensée hellénistique et romaine). Hadot retired from this position to become professeur honoraire at the Collège in 1991. He continued to translate, write, give interviews, and publish until shortly before his death in April 2010.

2. Philology and Method

Hadot would always insist that his groundbreaking work on ancient philosophy as a way of life arose from his early academic training as a philologist. Throughout his career, Hadot was involved in compiling, editing, and translating ancient Latin and Greek texts, including Marcus Aurelius’ Meditations, Ambrose of Milan’s Apology of David, Plotinus’ works, and as well as the theological works of the Roman rhetorician Marius Victorinus. The study of philology, Hadot claimed, was beneficial for him first of all as a kind of ethical exercise, engendering interpretive humility and attention to historical and textual detail. Secondly, it led him to raise the strictly literary problem concerning the way ancient philosophy was written. His reflections on this problem led Hadot to the meta-philosophical considerations concerning philosophy as a way of life seen in his mature work. Generally speaking, Hadot observed, “the philosophical works of Greco-Roman antiquity almost always perplex . . . contemporary readers . . . even . . . specialists in the field” (PWL 61). The reason is the apparently strange, disordered, circumlocutory, even incoherent nature of ancient philosophical writings, whether we consider Plato’s dialogues with their literary settings, myths or “likely stories”; the occasional letters of an Epicurus or a Seneca; Marcus Aurelius’ apparently desultory notes, injunctions, and aphorisms; or even Aristotle’s reputedly more “systematic” works, which are nevertheless often repetitious, punctuated by digressions, and sometimes inconclusive.

According to Hadot, these literary features seem odd only insofar as readers try, erroneously, to read ancient texts with presuppositions shaped by their reading of modern authors. Philosophical authors in the twenty-first century write under very different social, political, institutional, and technological constraints than their ancient antecedents.  In order to understand why the ancient philosophers wrote as they did, Hadot argued, readers need to cultivate a historical sense of “the concrete conditions in which they wrote, all the constraints that weighed upon them: the framework of the school, the very nature of philosophia, literary genres, rhetorical rules, dogmatic imperatives, and traditional modes of reasoning” (PWL 61). Readers must be prepared, in this light, to distinguish between what an author may have wanted to say, as against what he was required in his specific tradition and context to say, and what he was likewise obliged to pass over or leave unsaid” (PWL 64; PAH 64).

In different works, Hadot specified these constraints shaping the ancient philosophical texts. The ancient texts were dictated to scribes and intended to be read aloud. In general, ancient culture was one in which writing was still a relatively new phenomenon, set against the wider primacy of the spoken word—as reflected in the famous Platonic criticisms of writing. Ancient philosophy was largely carried out in the form of spoken dialogue between students and their teachers, so that—as Socrates had already insisted (4c)—students would be drawn to actively discover the truth on their own. Hadot suggests that by recognizing how these works retain and mirror the features of the spoken interchanges upon which they were modeled, modern readers can begin to understand many of the characteristic hesitations, starts and stops, repetitions, and digressions in ancient texts.

The oral bases of ancient philosophical teaching are again reflected in considerations concerning the addressees of these works. “Unlike their modern counterparts, none of these philosophical productions, even the systematic works, is addressed to everyone,” Hadot argued (PWL 64). The exceptions here are expressly exoteric texts like the Platonic dialogues, written with the “protreptic” purpose of attracting new students to philosophy, or like Aristotle’s practical writings, which are specifically addressed to potential statesmen or legislators (WAP 90). Otherwise, ancient philosophical writings were conceived within, and directed toward the members of, the philosophical schools. They reflect the philosophical subjects, techniques, and propositions developed in oral exercises, classes, and teachings, as well as the wider goals of philosophical paideia (4a).

In order to understand the form and intention of many ancient works, Hadot emphasized, the reader must understand the institutional frameworks of the ancient philosophical schools (the Platonic academy, the Aristotelian Lyceum, the Stoa, the Epicurean garden, and the later Platonist schools). Aristotle’s extant works, which were lecture notes seemingly compiled by students or a later redactor within the Lyceum, are only the most obvious case. Part of the curricula in Platonic and Stoic schools, Hadot emphasized, were formalized exercises in dialectics: discussing, through questions and answers, particular theses (such as, “virtue can be taught”) in a way which goes toward explaining the preeminence of the dialogue form in ancient philosophical writing. Even the later, more systematic forms of philosophical treatise that emerged within Platonism in particular, Hadot claimed, must be understood “from the perspective of dialectical and exegetical scholarly exercises” as attempts to synthesize and order the whole of doctrine which had emerged with the school (PWL 63-4). Again, particularly in the imperial period of late antiquity, a large amount of ancient philosophical writings and teaching began to study commentary rather than the original works of  the different schools. This was a literary genre in which great weight was given to arguments from authority, in a way that anticipated the medieval scholastics.  Different philosophical traditions developed particular stylistic features, such as characteristic images, turns of phrase, or highly formulaic dogmata, which later exegetes were more or less compelled to use, “independent, if one may say so, of the author’s will” (PWL 62).

Hadot’s work in philology, and his sensitivity to the institutional and traditional constraints shaping ancient works, gave rise in his thought to an acute sense of the role played in the history of thought by misappropriations, mistranslations, and creative mistakes.  The high status afforded in later classical thought to formulae, images, phrases, and patterns of argument in the schools’ founding texts saw many instances of these philosophical formulae (like “know thyself” or “nature loves to hide”) being borrowed, misappropriated, and given new meaning in the texts of different philosophical traditions, and in the encounter between Hellenistic paganism and Jewish and Christian monotheisms. Later exegetes’ determination to systematize earlier texts and to render them wholly consistent in the light of accepted understandings, together with the supposition that earlier masters could neither be mistaken nor contradict themselves, led to problematic or arbitrary systematizations which nevertheless underlay important evolutions in the history of ideas. Hadot adduces in this context the four- or five-tiered Neoplatonic ontological hierarchies drawn from Plato’s dialogues and Augustine’s positing of a “heaven of heavens” on the basis of a Greek mistranslation of Psalm 113:16. Hadot devoted an early essay to showing how the entire Neoplatonic interpretation of the Parmenides, a subject of great later importance, rested on Porphyry’s erroneous introduction of a distinction between “being” (Gr. ousia) as an infinitive (Fr. être) and as a participle (Fr: étant) to explain the “pure transcendental act” (étant) of the One Beyond Being (être).

3. Early Work: Plotinus and the Simplicity of Vision

Hadot’s first book, Plotinus, or the Simplicity of Vision, was published in 1963. It shows the first fruits of his philological training over the previous decade and his distinct perspective upon ancient philosophical writings. The book was commissioned as a title in a series of works on the lives, or psychobiographies, of famous authors. Hadot begins by underlining the difficulties associated with trying to write a biography of a thinker about whose life we have little testimony (PSV 77-78), who blushed even at having his portrait made, and whose entire philosophy was devoted to the transcendence of his mundane, bodily self —as a sculptor transforms the stone upon which he works (PSV 21; Enneads I.6, 9). Hadot also urges caution, as he will later in his writings on Aurelius (5a) in trying to infer any biographical or psychological insight concerning the author from a work like PlotinusEnneads, whose modes of arguing, and many of whose images and figures of speech, “are not spontaneous: [but] traditional and imposed by the texts to be commented upon” in the Platonic heritage of which Plotinus was a legatee (PSV 17).

With that said, Plotinus, or the Simplicity of Vision (PSV) importantly anticipates many of Hadot’s later arguments on ancient philosophy.  Hadot tells us in the autobiographical interviews of The Present Alone is Our Happiness that as a young man, he had undergone some kind of mystical experience (PAH 5-6). This was an experience that shaped Hadot’s own initial scholarly research, including several of the first French-language articles on Wittgenstein’s philosophy, and his continuing interest in “unitary experience.” It can, arguably, be seen to underlie Hadot’s repeated, central claim that the classical philosophies were rooted in certain paradigmatic experiences of existence (4b). In any case, Hadot argues in PSV that the famous Neoplatonic metaphysics of the One, the Ideas, and the world-psyche is not the abstract, purely theoretical, otherworldly construction it is often presented as being. Rather, Hadot claims, in Plotinus’ Enneads the language of metaphysics “is used to express an inner experience. All these levels of reality become levels of inner life, levels of the self” (PSV 27).  For Hadot, Plotinus’ metaphysical discourse is animated by a “fundamental but inexpressible experience.” This is what gives his work a “unique, incomparable, and irreplaceable tonality” despite Plotinus’ open and avowed citation of inherited Platonic tropes and arguments (PSV 19). For Hadot, Plotinus’ system revolves around the core, existential claim that the human self is not irrevocably separated from its eternal model, the transcendent One or Good. Indeed, at the height of the philosopher’s contemplative ascent, we are called to supra-intellectual identity with this Good: “We then become this eternal self, we are moved by unutterable beauty . . . we identify ourselves with divine Thought itself” (PSV 27). The only autobiographical passage in the Enneads, Hadot notes, involves Plotinus’ testimony about this mystical union (“I become One with the divine, and I establish myself in it” (Enneads IV 8, 1 4), whose content is such that the philosopher is drawn to wonder “how is it possible that I should come down now, and how was it ever possible for my soul to come to be within my body . . .” (Enneads IV 8, 1, 8-9; PSV 25).

In Hadot’s later writings, Plotinus’ philosophical discourse cannot be separated from, but is rather rooted in, the spiritual biography of the philosopher himself. Indeed, PSV already stresses the way that in classical antiquity, certainly in the imperial era of Plotinus, philosophy involved the call to a transformation of individuals’ way of living: a “conversion of attention,” away from “vain preoccupations and exaggerated worries” (PSV 30-31). The philosophical master like Plotinus, in this setting, was less a professor or teacher in modes we would recognize, than a spiritual guide. In Hadot’s words: “he exhorted his charges to conversion, and then directed his new converts . . . . to the paths of wisdom. He was a spiritual advisor” (PSV 75-6). Nevertheless, Porphyry reports that even Plotinus himself was able to achieve mystical union with the One, or Good, only four times in the six years Porphyry was at the master’s school in Rome. The philosopher can at most prepare himself and his charges for such ultimately passive, or receptive, experiences of unity with the Good (compare PSV 55-56). The means to prepare oneself was through the practice of spiritual exercises such as dietary (and other) forms of ascesis (PSV 82) and regular contemplative practices. More than this, PSV situates Plotinus’ later preoccupation with ethical concerns, and cultivating the virtues of benevolence, gentleness, simplicity, and respect for others as part of a kind of ever-renewed effort of the philosopher, between his transitory, mystical experiences, to remain mindful of the higher Good he has contemplatively glimpsed (PSV 65, 86).

For all of Hadot’s evident enthusiasm for Plotinus’ philosophy, however, PSV concludes with an assessment of the modern world’s inescapable distance from Plotinus’ thought and experience. Hadot distances himself from Plotinus’ negative assessment of bodily existence, and he also displays a caution in his support for mysticism, citing the skeptical claims of Marxism and psychoanalysis about professed mysticism, considering it a lived mystification or obfuscation of truth (PSV 112-113). Hadot would later recall that, after writing the book in a month and returning to ordinary life, he had his own uncanny experience: “. . . seeing the ordinary folks all around me in the bakery, I  . . .  had the impression of having lived a month in another world, completely foreign to our world, and worse than this—totally unreal and even unlivable.” Hadot’s work after 1965 increasingly turned away from Neoplatonism, in particular, and the phenomena of mysticism, in general, and to studies of the divergent ancient philosophical schools, especially those of the Hellenistic and Roman, or imperial, eras.

4. What is Ancient Philosophy?

a. Philosophical Discourse versus Philosophy

Hadot often stressed that his conception of philosophy as a way of life, long before this idea became fashionable, emerged out of the scholarly attempt to understand the unusual literary forms of ancient philosophical writing (see 2). Hadot emphasized that he in no way denied or wanted to downplay “the extraordinary ability of the ancient philosophers to develop theoretical reflection on the most subtle problems of the theory of knowledge, logic, or physics.” Nevertheless, if modern readers are to understand how this theoretical reflection is conveyed in extant ancient writings, Hadot argued that readers are compelled to adopt a perspective “different from that which corresponds to the idea people usually have of philosophy” (WAP 3).

According to Hadot’s position as developed in What is Ancient Philosophy?, philosophical discourse must in particular be situated within a wider conception of philosophy that sees philosophy as necessarily involving a kind of existential choice or commitment to a specific way of living one’s entire life. According to Hadot, one became an ancient Platonist, Aristotelian, or Stoic in a manner more comparable to the twenty-first century understanding of religious conversion, rather than the way an undergraduate or graduate student chooses to accept and promote, for example, the theoretical perspectives of Nietzsche, Badiou, Davidson, or Quine. Hadot cites as a particularly striking instance the case of Polemo, later head of the Academy, who decided then and there to adopt the Platonic philosophical bios after being dared by friends to listen to a lecture of Xenocrates after a night of drunken debauchery (WAP 98).What was involved in such cases was not solely the student’s intellectual assent to an intellectual doctrine or “-ism” in more or less complete isolation from the student’s wider life. Rather, one feature of philosophical writings across different schools was a sometimes caustic criticism of men who professed some teaching or refined way of speaking “ . . . but contradict themselves in the conduct of their own lives.” As Hadot writes in WAP, “According to the Stoic Epictetus, [such people] talk about the art of living like human beings, instead of living like human beings themselves . . . as Seneca put it, they turn true love of wisdom (philosophia) into love of words (philologia).” Traditionally, people who developed an apparently philosophical discourse without trying to live their lives in accordance with their discourse, and without their discourse emanating from their life experience, were called sophists (WAP 174).

Hadot argues in this light that ancient philosophical writings must always be situated in relation to the existential choice of a certain mode of living that characterizes the different ancient philosophies (4b; WAP 3). This need can be seen clearly enough by considering the different genres, or language games, of ancient philosophical writings, and noting specifically that these included letters addressed to individual students’ concerns (Seneca, Epicurus); meditations, or hypomnemata (memory aids), addressed by the student to himself (as in the case of Marcus Aurelius) (5a); consolations against loss and hardships (Boethius, Seneca); studies devoted to mundane stations in life (Of Marriage [Cleanthes], On Leisure [Seneca]); biographies of philosophers (Xenephon, Diogenes Laertius); and works enjoining particular practical conduct (Of Just Dealings [Epicurus], How to Live Amongst Men [Diogenes]). But in WAP, Hadot specifies a series of particular ways philosophical writings relate to ancient philosophy, conceived of as some specific choice of a manière de vivre. First, philosophical discourse aims to do specific things with words, concerning those who will read them. Philosophical discourse, in Hadot’s words, “is a privileged means by which the philosopher can act upon himself and others: for if it is the expression of the existential option of the person who utters it, discourse always has, directly or indirectly, a function which is formative, educative, psychagogic, and therapeutic” (WAP 176). Hadot sometimes cites in this connection Epicurus’ justification for his pursuit of theoretical physics: to reassure mortals against fear concerning death and our imaginings of active, interventionist gods. But here also Hadot’s stress (see 2) on the spoken, dialogic foundation and model for many ancient writings applies. As when we speak directly to a particular individual, so ancient philosophical discourse “is always intended to produce an effect, a habitus within the soul, or to provoke a transformation of the self” of its addressee. (loc cit.)  Secondly, in a way closer to how philosophy tends to be conceived of today, philosophical discourse involved the construction of more or less formalized systems—but this was in order to explain and justify the different schools’ different conceptions of the good life. Whichever philosophical school’s conception of the good life  is chosen, Hadot explains, “it will be necessary to disengage the presuppositions, implications, and consequences of each attitude with great precision” (WAP 175). It was on this primarily practical basis that the different ancient schools each developed their own technical languages, metaphysical conceptions of humanity’s place within the cosmos, ethical teachings defining one’s relationship to others, and epistemological doctrines about the rules of correct reasoning and argument (WAP 176). Characteristically, Hadot stresses that even the later exegetical systematizations, treatises, and dense summaries of doctrine that emerged in later antiquity were related to the exigencies associated with trying to form students who lived in a certain manner. For this to be possible, students (prokopta) would need to be able at any time to call to mind the school’s key precepts, in particular when they faced temptations or difficulties in their lives. Such a timely recollection of the rules of life was facilitated by having these systematizations and summaries available as written hypomnemata (WAP 176-7).

b. Philosophy as a Way of Life

Hadot’s founding meta-philosophical claim is that since the time of Socrates, in ancient philosophy “the choice of a way of life [was] not . . . located at the end of the process of philosophical activity, like a kind of accessory or appendix. On the contrary, its stands at the beginning, in a complex interrelationship with critical reaction to other existential attitudes . . .” (WAP 3). All the schools agreed that philosophy involves the individual’s love of and search for wisdom. All also agreed, although in different terms, that this wisdom involved “first and foremost . . . a state of perfect peace of mind,” as well as a comprehensive view of the nature of the whole and humanity’s place within it. They concurred that attaining to such Sophia, or wisdom, was the highest Good for human beings. All ancient philosophical schools agreed that, by contrast, most people live unwise lives most of the time. These lives are characterized by unnecessary forms of suffering and disorder, caused by their ignorance or unconsciousness concerning the true source of human happiness. In the view of all philosophical schools, Hadot claims that “mankind’s principal cause of suffering, disorder and unconsciousness were the passions: that is, unregulated desires and exaggerated fears. People are prevented from truly living, it was taught, because they are dominated by the passions” (PWL 83). Political society in all but the best regimes, while natural to human beings, was agreed to be a further cause of individuals’ having deeply habituated, false beliefs concerning human nature and concerning what is good for them to pursue and to avoid. Ancient philosophers thus conceived of philosophy as involving a therapy of the soul, or “remedy for human worries, anguish, and misery brought about for the Cynics, by social constraints and conventions; for the Epicureans, by the quest for false pleasures; for the Stoics, by the pursuit of pleasure and egoistic self-interest; and for the skeptics, by false opinions” (WAP 102).

The disagreements between the ancient philosophies concerned the way the happiness of wisdom was to be conceived of and pursued. For Epicureanism, wisdom involved the pursuit of a particular species of pleasure; whereas for Platonism, Aristotelianism, and Stoicism, some conception of virtue or the Good was prioritized as the one necessary element. But the Platonic conception of this Good, of course, differs markedly from the Peripatetic and Stoic ideals. Each philosophical perspective, Hadot moreover claims, responded to a different, specific experience of the world: as in Epicureanism, “the voice of the flesh: ‘not to be hungry, not to be thirsty, not to be cold’ ” (WAP 115); or in Stoicism, the sense expressed by Epictetus that people are unhappy because they passionately seek things which they cannot obtain and flee evils which are inevitable (WAP 127). Then there are the disagreements between the ancient schools concerning the place and role of intellectual contemplation, and the elaboration of theoretical dogmata, in pursuing the good life. These range from the Aristotelian approach, which seeks out what Aristotle, in the opening pages of The Parts of Animals, calls the “incredible pleasure” (645a7) of investigating and contemplating all the works of nature as an end in itself; to the skeptics’ position, which sought eudaimonia (happiness, or welfare) through suspending judgment altogether; to the Cynics, “for whom philosophical discourse was reduced to a minimum—sometimes to mere gestures” (WAP 83, 173). Nevertheless, Hadot more typically stresses the commonalities between the ancient philosophical schools and conceptions of philosophy, insofar as each involved “… a complete reversal of received ideas: one was to renounce the false values of wealth, honors, and pleasures, and turn towards the true value of virtue, contemplation, a simple life-style, and the simple happiness of existing”. This radical opposition explains the reaction of nonphilosophers, which ranged from the mockery we find expressed in the comic poets, to the outright hostility that led to the death of Socrates (PWL 104).

c. The Figure of Socrates

It was with the figure of Socrates that ancient philosophy distinguished itself from its ancient precedents: the rhetorical education of the sophists, the discourses of the pre-Socratic physikoi and historians, the sayings and lives of the seven sages, and the aristocratic concern with the paideia, or upbringing, of young men (WAP 9-21). Socrates inspired nearly all subsequent ancient philosophic schools, either directly, through students like Plato, Xenophon, Aristippus, Euclides, and Antisthenes, or indirectly, via the writings of Plato in particular, as a kind of ethical ideal in the Stoic school, and as a mythical, Silenic figure central to the entirety of subsequent Western intellectual life. In Philosophy as a Way of Life, Hadot devotes an entire chapter of WAP to “the figure of Socrates,” as well as a long, beautiful essay exploring Socrates’ atopia (enigmatic nature) and the extraordinary responses his life has inspired, focusing particularly on Kierkegaard and Nietzsche. Hadot’s Socrates anticipates and sets the mold for all the ancient philosophies as ways of life. First, Socrates associated the philosophic life with a revaluation of accepted normative commitments of his society and with a studied indifference toward the things his contemporaries coveted (wealth, status, property, public office, political disputes), as attested by his appearance, dress, and absence of gainful employment (compare Apo. 36b). Second, as Plato’s Alcibiades famously attests in the Symposium, Socrates overturned accepted, inherited models of wisdom, in his discourse as much as in his person, as well as through his repeated ironic claims, that he lacked any kind of higher wisdom, saying that he was only a midwife for the ideas of others, or was like a gadfly stirring his fellows from ethical complacency. He is identified in Plato’s Symposium with the daimonic Eros, mediating between human beings and the gods, but not for that reason divine himself (PWL 158-165).Third, Hadot’s Socrates is the first, unsurpassable practitioner of philosophic dialogue conceived of as what Hadot calls a “spiritual exercise” (compare 5) designed to actively implicate the other in the Socratic process of doubting received opinions and seeking to render one’s own beliefs consistent. For Hadot, “in the Socratic dialogue, the real question is less what is being talked about than who is doing the talking,” as Nikias attests in the Laches, when the latter notes that whichever topic Socrates’ interlocutor may raise, “he will continually be carried round and round by him, until at last he finds that he has to give an account both of his present and past life” (Laches 197e; WAP 28; PWL 155). Fourth, Hadot notes that when Socrates does attest to having some kinds of knowledge, in the famous Socratic paradoxes—that no one does evil voluntarily, that it is better to suffer than to do wrong, and that the good man cannot be harmed—this knowledge is of a specifically ethical kind, concerning how to live, and what is good or bad for the psyche: “Socrates does not know the value to be attributed to death, because it is not in his power . . . Yet he does know the value of moral action and intention, for they do depend on his choice, his decision, and his engagement . . .” (WAP 83, 84). In other words, in Hadot’s Socrates, care for the self and care for others coincided with Socrates’ sense of what Hadot calls “the absolute value of moral intent: a philosophical commitment embodied in Socrates’ dialogical calling, “to try to persuade all of you to concern yourself less about what he has than about what he is . . .” (Apo. 36c). Above all, Hadot stresses that throughout antiquity Socrates was the model of the philosopher whose work was, above all, his own life, death, and example: “He was the first to show that at all times and all places, in everything that happens to us, daily life gives the opportunity to do philosophy” (Plutarch, at WAP 38).

d. The Figure of the Sage

A further, too-often neglected feature of the ancient conception on philosophy as a way of life, Hadot argues, was a set of discourses aiming to describe the figure of the Sage. The Sage was the living embodiment of wisdom, “the highest activity human beings can engage in . . . which is linked intimately to the excellence and virtue of the soul” (WAP 220). Across the schools, Socrates himself was agreed to have been perhaps the only living exemplification of such a figure (his avowed agnoia notwithstanding). Pyrrho and Epicurus were also accorded this elevated status in their respective schools, just as Sextius and Cato were deemed sages by Seneca, and Plotinus by Porphyry. Yet more important than documenting the lives of historical philosophers (although this was another ancient literary genre) was the idea of the Sage as “transcendent norm.” The aim, by picturing such figures, was to give “an idealized description of the specifics of the way of life” that was characteristic of the each of the different schools (WAP 224). The philosophical Sage, in all the ancient discourses, is characterized by a constant inner state of happiness or serenity. This has been achieved through minimizing his bodily and other needs, and thus attaining to the most complete independence (autarcheia) vis-à-vis external things. The Sage is for this reason capable of maintaining virtuous resolve and clarity of judgment in the face of the most overwhelming threats, from natural catastrophes to “the fury of citizens who ordain evil . . . [or] the face of a threatening tyrant” (Horace in WAP 223). In the different ancient schools, these characteristics differentiating the Sage from nonphilosophers mean that this figure “tends to become very close to God or the gods,” as conceived by the philosophers. The Epicurean gods, like the God of Aristotle, Hadot notes, are characterized by their perfect serenity and exemption from all troubles and dangers. Epicurus calls the Sage the friend of the gods, and the gods friends of the Sages. Aristotle equates the contemplation of the wise man with the self-contemplation of the unmoved mover. Platonic philosophy sees ascent in wisdom as progressive assimilation to the divine (WAP 226-7). Hadot goes as far as to suggest that Plotinus and other ancient philosophers “project” the figure of the God, on the basis of their conception of the figure of the Sage, as a kind of model of human and intellectual perfection” (WAP 227-8). However, Hadot stresses that the divine freedom of the Sage from the concerns of ordinary human beings does not mean the Sage lacks all concern for the things that preoccupy other human beings. Indeed, in a series of remarkable analyses, Hadot argues that this indifference towards external goods (money, fame, property, office . . . ) opens the Sage to a different, elevated state of awareness in which he “never ceases to have the whole present in his mind, never forgets the world, thinks and acts in relation to the cosmos . . . ” (Bernhard Groethuysen in WAP 229). The Stoic Sage who has realized that external things do not depend upon his will, for instance, is prompted to accept these “indifferents” with equal benevolence or equanimity (the famous amor fati, or love of fate, later adopted by Nietzsche). In “The Sage and the World,” Hadot analyzes the peculiar phenomenology of this “detached, disinterested consciousness” in Lucretius and Seneca, aligning their thoughts with modern discourse on aesthetic perception, Rousseau’s famous “sensation of existence,” and Bergson’s conception of philosophical perception (PWL 253-6). The perception of the Sage constantly views things with the wonder of seeing the world for the first time (PWL 257-8), or as others see things only when a sense of their mortality, and therefore the unique singularity of each moment and experience, is imposed upon them (PWL 260).

5. Spiritual Practices

a. Askesis of Desire

For Hadot, famously, the means for the philosophical student to achieve the “complete reversal of our usual ways of looking at things” epitomized by the Sage were a series of spiritual exercises. These exercises encompassed all of those practices still associated with philosophical teaching and study: reading, listening, dialogue, inquiry, and research. However, they also included practices deliberately aimed at addressing the student’s larger way of life, and demanding daily or continuous repetition: practices of attention (prosoche), meditations (meletai), memorizations of dogmata, self-mastery (enkrateia), the therapy of the passions, the remembrance of good things, the accomplishment of duties, and the cultivation of indifference towards indifferent things (PWL 84). Hadot acknowledges his use of the term “spiritual exercises” may create anxieties, by associating philosophical practices more closely with religious devotion than typically done (Nussbaum 1996, 353-4; Cooper 2010). Hadot’s use of the adjective “spiritual” (or sometimes “existential”) indeed aims to capture how these practices, like devotional practices in the religious traditions (6a), are aimed at generating and reactivating a constant way of living and perceiving in prokopta, despite the distractions, temptations, and difficulties of life. For this reason, they call upon far more than “reason alone.” They also utilize rhetoric and imagination in order “to formulate the rule of life to ourselves in the most striking and concrete way” and aim to actively re-habituate bodily passions, impulses, and desires (as for instance, in Cynic or Stoic practices, abstinence is used to accustom followers to bear cold, heat, hunger, and other privations) (PWL 85). These practices were used in the ancient schools in the context of specific forms of interpersonal relationships: for example, the relationship between the student and a master, whose role it was to guide and assist the student in the examination of conscience, in identification and rectification of erroneous judgments and bad actions, and in the conduct of dialectical exchanges on established themes.

b. Premeditation of Death and Evils

Perhaps the most well-known philosophical spiritual exercise is the Stoic practice of the premeditation of evils. In this exercise, the students are exhorted to present to their minds, in advance, the possible evils that may befall them in the course of their upcoming endeavors, so as to limit the force of their possible fear, anger, or sadness, should these evils occur. Galen recommends that at the beginning of each day individuals try to call to mind all they have to do in the course of the day ahead, envisaging the ways things may go awry, and recalling the principles that should guide them in their actions; Marcus, similarly, enjoins himself to anticipate each day that he will encounter envious, ungrateful, overbearing, treacherous, and selfish men (Med. II.1) Plato’s Socrates, in the Phaedo, famously comforts his friends by suggesting that philosophy is learning how to die. Taking this Platonic statement as emblematic of a wider philosophical exercise, Hadot stresses that repeated meditation upon one’s mortality, and the possible immanence of one’s death, was a spiritual exercise practiced across the philosophical schools. This exercise was not an exercise in morbidity or life-denial, so much as a means to focus the philosopher’s attention on the “infinite value” of each instant and action in  life (5c). In Stoic texts, we read injunctions to “hurry up and live” (Seneca, at WAP 194). Horace’s famous carpe diem from the Odes in like manner reminds us that “Life ebbs as I speak: so seize each day, and grant the next no credit” (PWL 88). As in “practical physics” (5d), meditating upon one’s mortality in such exercises is also prescribed as a way of dying to one’s individuality and passions, so the philosopher learns to look at things from the perspective of universality or objectivity.

c. Concentration on the Present Moment

Constant, renewed attention to the present moment, Hadot argues, “ . . . is, in a sense, the key to spiritual exercises” (PWL 84). The philosophical attempt to focus our attention on present concerns answers to the ontological observation that “we live in the present, so infinitely small. The rest either has been lived, or else it [the future] is uncertain” (Aurelius Med. VII, 54). It also reflects the observation that the pressing, immediate demands of one’s upsetting passions are all responses to concerns about the future (that some feared state will transpire, or some desired state may not) or to concerns about past actions (guilt, shame, or anxiety about how others have perceived one’s words or actions). Yet all that one can ever change or achieve is what is occurring in the present moment, which is the site of all decision, action, and freedom. It would follow that these pathe, or their immediate demands, are tangentially irrational. This is the thought that underlies both the Epicurean prayers of gratitude that nature has made necessary things easy to attain and difficult things easy to bear, and the Stoic teachings concerning the irrationality of the pathē. We must learn to calm our passions so we can clearly assess what is happening to us at any given moment, rectify our present intentions, and accept with equanimity all that is occurring which does not depend upon our volition. The larger aim is that the philosopher learns to separate the self (or in the Stoics, the ruling principle) from all unnecessary attachments to alienable, external goods, so that a sense of joy and gratitude can be experienced independent of whichever situations fate has delivered. As Hadot notes, the Epicurean and Stoic meditations concerning how death is nothing for “us” (since when it is here, “we” are not, and vice-versa) belong here: these meditations are a means to conquer worries about this inevitable future event (WAP 197-8). 

d. The View from Above

We saw in 4b how Hadot situates even Aristotle’s apparently purely theoretical endeavors in the context of a choice of bios, one which aims to deliver to the inquirer the great pleasure that attends even the study of physical nature, “for there is something wonderful in all of the works of Nature” (Aristotle at WAP 83). Similarly, Hadot notes, the Epicurean elaboration of a physical philosophy of atoms, an infinite universe, and a plurality of worlds was pursued and recommended by Epicurus as a means to overcome unnecessary fear of death and interventionist gods. The Stoics not only maintained the distinction Hadot generalizes to all ancient philosophy, between philosophy as a way of life and philosophical discourse. Hadot argues that thinkers in this school also maintained that there were “lived” practices of logic, involving the constant examination of one’s practical reasoning and forms of what he terms “practical physics” (WAP 172; PWL 242). Practical physics involved the philosopher’s activity of vigilantly monitoring all his beliefs concerning what he encounters. One practice here was that of dispassionately, analytically dividing enticing or threatening appearances into their matter, form, and parts. In this way, their potentially overpowering impression upon us is combated, as in Marcus’ famous description of sex as “the rubbing together of pieces of gut, followed by the spasmodic secretion of a little bit of slime” (PWL 185). Hadot devotes an entire essay in PWL to the practice of the “view from above,” which he argues was practiced across all of the ancient schools. In this exercise, the students are encouraged to reconsider how small, or ant-like, their lives and actions appear from an enlarged, or cosmic, perspective (the famous perspective sub specie eternis), so as to combat the erroneous significance our self-interest and passions prompt us to assign to particular episodes. In Cicero, as in Boethius (Consolations II 7), for example, the philosopher’s consideration of how his fate is as a tiny speck given the magnitude of the world or of space makes him see the irrationality of the pursuit of fame. Seneca recommends the same exercise to show the folly of pursuing luxuries and of nations’ constant warring (WAP 206-7). The positive side to the exercise is to again engender in students the kind of wonder, serenity, or elevation of spirit, imputed to the perspective of the Sage. In The Veil of Isis, Hadot’s late work on the history of Western conceptions of the natural world, Hadot aligns the attitude engendered by this view from above with the “Orphic” attitude to revealing nature’s secrets through poetry, art, and discourse (VI 155-32).  This attitude, pursued in modern philosophy under the rubric of aesthetic perception, is opposed to the “Promethean,” technological attempt to tame nature that is prominent in Baconian science.(VI 101-154).

e. Writing as Hypomnemata, and The Inner Citadel

Hadot’s treatment of Marcus Aurelius’ Ta Eis Eauton (or “Meditations”) in his long essay in PWL, and in the book The Inner Citadel, serves well to bring together both the methodological concerns governing Hadot’s readings of classical thought and this conception of ancient philosophy as revolving around a series of spiritual exercises. The text as we have it is divided into 473 fragments in twelve books, and for all its flashes of limpid beauty, it can seem completely disordered to the modern reader. It has provoked a host of interpretations over time, down to speculations concerning Marcus’ melancholia, stomach ulcer, or morphine addiction. The whole seems to develop no argument and often to repeat itself. The emperor-philosopher mixes genres, or language games, from aphorisms, via staged dialogues and injunctions addressed to himself, to citations from poets and other philosophers, to more extended enthymemes. For Hadot, these formal peculiarities of Marcus’ text dissolve when we situate the text itself as the exemplar of a type of spiritual exercise recommended in the Stoic heritage to which Marcus belonged: namely, as a hypomnemata the philosopher was enjoined to keep always at hand (procheiron), whose production and rereading was recommended as a means for to keep alive at all times the key Stoic principles (kephalaia), independent of whether anyone else should read them. In this perspective, as Hadot concludes The Inner Citadel, the repetitions, the multiple developments of the same theme, and the stylistic effort in the Meditations attest not to any conceptual laziness or other morbidity, rather they suggest “the efforts of a man . . . trying to do what, in the last analysis, we are all trying to do: to live in complete consciousness and lucidity, to give to each of our instants its full intensity, and to give meaning to our entire life” (IC, 312-313).

6. The Transformation of Philosophy after the Decline of Antiquity

a. The Adoption of Spiritual Practices in Monasticism

Hadot disputes the notion of a simple, radical break between Greek philosophy and Judeo-Christian monotheism. Hadot notes that, in the first centuries of the Christian era, educated Christian apologists such as Clement of Alexander, Basil of Caesarea, Origen, Justin, and the other Cappadocian fathers identified Christianity as the true, non-Greek, or “barbarian,” philosophia, much as Philo of Alexandria had presented Judaism as patrios philosophia—the traditional philosophy of the Jewish people (PWL 128-9). Here, Hadot’s attention to the creative role of exegetical errors in the history of ideas applies (see 2). For above all, the Greek word Logos was central to Greek philosophy since Heraclitus, but it was also used by Saint John in the opening verses of the fourth gospel, making possible this conception of Christianity as philosophy (WAP 218-9; PWL 128). Saint John maintained that anticipatory aspects or elements of the true Logos had been dispersed amongst the Greeks. Christians were in possession of the revealed Logos itself in the incarnate Christ. Christianity’s conception as a way of living also positioned it well to appropriate the spiritual exercises developed in the philosophical schools, integrating them into the different “style of life, spiritual attitude and tonality” of Christian life (PWL 129; 139). From the fourth century C. E., monasticism as the perfection of Christian life, in a life withdrawn from ordinary society and devoted to meditation and prayer, adopted what a Cistercian text calls “the disciplines of celestial philosophy” (PWL 129): prosoche or attention to oneself and one’s thoughts, askeseis of the passions, detachment or aprospatheia from worldly concerns, meditation upon key rules of life, the attempt to live each day as if it were one’s last, the practice of writing as hypomnema; all now refigured as the attempt to live in constant remembrance of god. (PWL 129-135)  Particularly interesting from a scholarly perspective are Hadot’s observations of the efforts made by Christian authors to ground these practices in biblical exegesis, as for instance in tying philosophical prosoche to biblical text: “Give heed to yourself, lest there be a hidden word in your heart” (Deuteronomy); Above all else, guard your heart” (Proverbs 4:23); “Examine yourself . . . and test yourselves” (Second Corinthians 13:5); and even the Song of Songs’ “If you do not know yourself, O most beautiful of women . . .” (WAP 248-9; 242; WAP 130).  

b. Philosophical Discourse as Handmaiden to Theology and the Natural Sciences

As Hadot notes, another component of the apologists’ attempt to present Christianity in forms congenial to Greco-Roman culture was the attempt to reinterpret elements of Greek philosophical discourse, for instance, the theological passages of the Timaeus, as anticipating revealed doctrine. In another way, the Christian authors would interpret revealed notions in terms redolent of philosophical discourse, as when Evagrius defines “the Kingdom of heaven” as “apatheia of the soul along with true knowledge of existing things” (PWL 136), or in Origen’s recommendation to students to read the Book of Proverbs, Ecclesiastes, and the Song of Songs, as corresponding respectively to philosophical ethics, physics, and theology (WAP 239-240). With the growing cultural ascendancy of revealed Christianity, however, particularly after the closure of the philosophical schools, Hadot argues that philosophy as a way of life was largely eclipsed. Philosophical discourse, for its part, was subordinated within the Christian orbit to the higher wisdom of the Word of God as revealed in the Bible. Elements of Aristotelian logic and ontology, as they had been integrated into the Neoplatonism of the imperial era, were adapted in the Church’s attempts to stabilize the Trinitarian God. Differently, Church fathers like Origen and Clement of Alexandria adopted Philo’s earlier claim that philosophical studies must be conceived as the propaedeutic to the wisdom revealed in the Torah of Moses. By the time of Augustine, philosophy was becoming assimilated in this way with the other secular, mathematical, and dialectical knowledge necessary for the Christian exegete—but in no way sufficient unto itself. The recovery of Aristotle’s writings in the West, and the development of the medieval universities, saw his dialectics adopted as a means for theologians to respond to problems Christian dogma posed to reason, whereas commentary on his dialectical, ethical, and physical writings became the keystone of teaching in the arts faculties. As Hadot comments, “Aristotle” in this way became “Aristotelianism,” and the conception of university philosophy as entirely an exegetical or “scholastic” endeavor was born. It would survive the rise of the natural sciences and the universities’ passing from the Church’s to the secular State’s authority.  According to Hadot, there remains a “radical opposition” between the modern, diploma-issuing university, which promotes specific levels of objectified, mostly written forms of knowledge or transferrable skills, and the ancient philosophical school, “which addressed individuals in order to transform their entire personality . . . to train people for their career as human beings . . .” (WAP 260).

c. The Permanence of the Ancient Conception of Philosophy

Nevertheless, Hadot argues that since the Middle Ages, philosophers both within and outside of the universities have kept alive what he terms the “vital, existential dimension” of ancient philosophy (WAP 261). Already in the Middle Ages, scholastic commentators noted the weight of passages in Aristotle’s Nicomachean Ethics (book X) as pointing toward the theoretical way of life as the culmination of philosophia.  Petrarch and Erasmus differently contested that philosophy could be reduced to the commentary on texts, since this in no way makes the scholar better. In a way which contrasts with Michel Foucault’s claims concerning the history of philosophy as a way of life, Hadot sees elements of Stoicism in Descartes’ conception of adequate or comprehensive representation, and his choice to write Meditations; also in Kant’s contrast of the “worldly” “Idea of Philosopher” from the “scholastic” “artists of reason,” and Kant’s central critical notion of the primacy of practical reason.  At different points in his oeuvre, Hadot also cites Montaigne, Shaftesbury, Rousseau, Goethe, Thoreau, Schopenhauer, Kierkegaard, Nietzsche, Merleau-Ponty, and Wittgenstein as legatees to the ancient conception of philosophy as a way of life that it was his own life’s work to try to re-animate.

7. References and Further Reading

a. Works in French

  • Hadot, P, (with Henry, I.P.). (1960). Marius Victorinus, Traités théologiques sur la Trinité, Cerf 1960 (Sources Chrétiennes nos. 68 &69)
  • Porphyre et Victorinus. Paris, Institut d’Etudes augustiniennes, 1968. (Collection des études augustiniennes. Série antiquité; 32–33).
  • Marius Victorinus: recherches sur sa vie et ses oeuvres, 1971. (Collection des études augustiniennes. Série antiquité ; 44).
  • Exercices spirituels et philosophie antique. Paris, Etudes augustiniennes, 1981. (Collection des études augustiniennes. Série antiquité ; 88).
  • Hadot, Pierre. (1992). La citadelle intérieure. Introduction aux Pensées de Marc Aurèle. Paris: Fayard.
  • Hadot, Pierre. (1995). Qu’est-ce que la philosophie antique ? Paris: Gallimard. (Folio essais; 280).
  • Hadot, Pierre. (1997). Plotin ou la simplicité du regard (4e éd.) Paris: Gallimard. [1e éd. 1963]. (Folio esais; 302).
  • Etudes de philosophie ancienne. Paris, Les Belles Lettres, 1998. (L’âne d’or ; 8). (recueil d’articles)
  • Marc Aurèle. Ecrits pour lui même, texte établi et traduit par Pierre Hadot, avec la collaboration de Concetta Luna, vol. 1 (general introduction and Book 1). Paris, Collection Budé, 1998.
  • Plotin. Porphyre. Études néoplatoniciennes. Paris, Les Belles Lettres, 1999. (L’âne d’or ; 10). (recueil d’articles)
  • La philosophie comme manière de vivre. Paris, Albin Michel, 2002. (Itinéraires du savoir).
  • Exercices spirituels et philosophie antique, nouvelle éd. Paris, Albin Michel, 2002. (Bibliothèque de l’évolution de l’humanité).
  • Le voile d’Isis. Essai sur l’histoire de l’idée de nature. Paris, Gallimard, 2004. (NRF essais).
  • Wittgenstein et les limites du langage. Paris, J. Vrin, 2004. (Bibliothèque d’histoire de la philosophie).
  • Apprendre à philosopher dans l’antiquité. L’enseignement du Manuel d’Epictète et son commentaire néoplatonicien (avec Ilsetraut Hadot). Paris, LGF, 2004. (Le livre de poche; 603).

b. Works in English

  • Hadot, Pierre. (1993). Plotinus, Or the Simplicity of Vision. (Michael Chase, Trans.) Chicago: University of Chicago Press.
  • Hadot, Pierre. (1995). Philosophy as a Way of Life. (Michael Chase, Trans.) Oxford: Blackwell.
  • Hadot, Pierre. (1998). The Inner Citadel; the Meditations of Marcus Aurelius. Harvard University Press.
  • Hadot, Pierre. (2002). What is Ancient Philosophy? (Michael Chase, Trans.) Harvard University Press.
  • Hadot, Pierre. (2006). The Veil of Isis. (Michael Chase, Trans.) Cambridge: Belknap Press.
  • Hadot, Pierre. (2005). There are Nowadays Professors of Philosophy, But Not Philosophers, The Journal of Speculative Philosophy 19.3, 229-237.
  • Conversations with Jeannie Carlier and Arnold I. Davidson, trans. Marc Djaballah (Stanford, CA: Stanford University Press, 2009).

c. Selected Articles on Hadot

  • Chase, Michael. “Remembering Pierre Hadot”, Parts 1 and 2, April 28, 2010, harvardpress.typepad.com/hup_publicity/2010/04/pierre-hadot-part-1.html.
  • Davidson, Arnold. (Spring 1990). Spiritual Exercises and Ancient Philosophy: An Introduction to Pierre Hadot. Critical Inquiry, 16, 475-482.
  • Davidson, Arnold.  (1995). Introduction: Pierre Hadot and the Spiritual Phenomenon of Ancient Philosophy, in Pierre Hadot, Philosophy as a Way of Life (Michael Chase, Trans.) Oxford: Blackwell.
  • Donato, Antonio. (2009, September). Review: Pierre Hadot, The Present Alone is Our Happiness: Conversations with Jeannie Carlier and Arnold I. Davidson. Foucault Studies, 7, 164-169.Flynn, Thomas. (2005, September). Philosophy as a Way of Life: Foucault and Hadot. Philosophy & Social Criticism, 31 (5-6), 609-622.
  • Force, Pierre. (2011, February). The Teeth of Time: Meaning and Misunderstanding in the History of Ideas. History and Theory, 50, 20-40.
  • Gregor, Bryan. (2011, January). The Text as Mirror: Kierkegaard and Hadot on Transformative Reading. History of Philosophy Quarterly, 28 (1).
  • Hankey, Wayne. (2003). Philosophy as Way of Life for Christians?: Iamblichan and Porphyrian Reflections on Religion, Virtue, and Philosophy in Thomas Aquinas. Laval théologique et philosophique, 59 (2), 193-224.
  • Lorenzi, Daniele. “La vie comme “réel” de la philosophie. Cavell, Foucault, Hadot et les techniques de l’ordinaire”, en La voix et la vertu. Variétés du perfectionnisme moral, PUF, Paris 2010, pp. 469-487.
  • Winkler, Albert Keith. (2002). “Review of Pierre Hadot, What is Ancient Philosophy?” Cambridge, MA: Harvard University Press, 362 pp. xiv.
  • Zeyl, Donald. (2003). Review: Pierre Hadot, What is Ancient Philosophy? Notre Dame Philosophical Reviews.

 

Author Information

Matthew Sharpe
Email: matthew.sharpe@deakin.edu.au
Deakin University
Australia

Psychological Egoism

Belisarius by DavidPsychological egoism is the thesis that we are always deep down motivated by what we perceive to be in our own self-interest.Psychological altruism, on the other hand, is the view that sometimes we can have ultimately altruistic motives. Suppose, for example, that Pam saves Jim from a burning office building. What ultimately motivated her to do this? It would be odd to suggest that it’s ultimately her own benefit that Pam is seeking. After all, she’s risking her own life in the process. But the psychological egoist holds that Pam’s apparently altruistic act is ultimately motivated by the goal to benefit herself, whether she is aware of this or not. Pam might have wanted to gain a good feeling from being a hero, or to avoid social reprimand that would follow had she not helped Jim, or something along these lines.

Several other egoistic views are related to, but distinct from psychological egoism. Unlike ethical egoism, psychological egoism is merely an empirical claim about what kinds of motives we have, not what they ought to be. So, while the ethical egoist claims that being self-interested in this way is moral, the psychological egoist merely holds that this is how we are. Similarly, psychological egoism is not identical to what is often called “psychological hedonism.” Psychological hedonism restricts the range of self-interested motivations to only pleasure and the avoidance of pain. Thus, it is a specific version of psychological egoism.

The story of psychological egoism is rather peculiar.  Though it is often discussed, it hasn’t been explicitly held by many major figures in the history of philosophy. It is most often attributed to only Thomas Hobbes (1651) and Jeremy Bentham (1781). Most philosophers explicitly reject the view, largely based on famous arguments from Joseph Butler (1726). Nevertheless, psychological egoism can be seen as a background assumption of several other disciplines, such as psychology and economics. Moreover, some biologists have suggested that the thesis can be supported or rejected directly based on evolutionary theory or work in sociobiology.

While psychological egoism is undoubtedly an empirical claim, there hasn’t always been a substantial body of experimental data that bears on the debate. However, a great deal of empirical work beginning in the late 20th century has largely filled the void. Evidence from biology, neuroscience, and psychology has stimulated a lively interdisciplinary dialogue. Regardless of whether or not the empirical evidence renders a decisive verdict on the debate, it has certainly enriched discussion of the issue.

Table of Contents

  1. Conceptual Framework for the Debate
    1. The Bare Theses
    2. Egoistic vs. Altruistic Desires
    3. Ultimate/Intrinsic Desires
    4. Relating Egoism and Altruism
  2. Philosophical Arguments For Egoism
    1. Desire Ownership
    2. Simplicity and Parsimony
    3. Moral Education
    4. Self-Other Merging
  3. Philosophical Arguments Against Egoism
    1. Butler’s Stone: Presupposition & Byproducts
    2. Introspection and Common Sense
    3. Unfalsifiability
    4. The Paradox of Egoism
  4. Biology and Egoism
    1. Evolutionary vs. Psychological Altruism
    2. An Evolutionary Argument Against Egoism
  5. Cognitive Science and Egoism
    1. Behavioristic Learning Theory
    2. Neuroscience
    3. Social Psychology
  6. Conclusion
  7. References and Further Reading

1. Conceptual Framework for the Debate

Psychological egoism is a thesis about motivation, usually with a focus on the motivation of human (intentional) action. It is exemplified in the kinds of descriptions we sometimes give of people’s actions in terms of hidden, ulterior motives. A famous story involving Abraham Lincoln usefully illustrates this (see Rachels 2003, p. 69). Lincoln was allegedly arguing that we are all ultimately self-interested when he suddenly stopped to save a group of piglets from drowning. His interlocutor seized the moment, attempting to point out that Lincoln is a living counter-example to his own theory; Lincoln seemed to be concerned with something other than what he took to be his own well-being. But Lincoln reportedly replied: “I should have had no peace of mind all day had I gone on and left that suffering old sow worrying over those pigs. I did it to get peace of mind, don’t you see?”

The psychological egoist holds that descriptions of our motivation, like Lincoln’s, apply to all of us in every instance. The story illustrates that there are many subtle moves for the defender of psychological egoism to make. So it is important to get a clear idea of the competing egoistic versus altruistic theories and of the terms of the debate between them.

a. The Bare Theses

Egoism is often contrasted with altruism. Although the egoism-altruism debate concerns the possibility of altruism in some sense, the ordinary term “altruism” may not track the issue that is of primary interest here.  In at least one ordinary use of the term, for someone to act altruistically depends on her being motivated solely by a concern for the welfare of another, without any ulterior motive to simply benefit herself.  Altruism here is a feature of the motivation that underlies the action (Sober & Wilson 1998, p. 199). (Another sense of “altruism”—often used in a fairly technical sense in biology—is merely behavioral; see §4a.) To this extent, this ordinary notion of altruism is close to what is of philosophical interest.  But there are differences.  For instance, ordinarily we seem to only apply the term “altruism” to fairly atypical actions, such as those of great self-sacrifice or heroism.  But the debate about psychological egoism concerns the motivations that underlie all of our actions (Nagel 1970/1978, p. 16, n. 1).

Regardless of ordinary terminology, the view philosophers label “psychological egoism” has certain key features. Developing a clear and precise account of the egoism-altruism debate is more difficult than it might seem at first. To make the task easier, we may begin with quite bare and schematic definitions of the positions in the debate (May 2011, p. 27; compare also Rosas 2002, p. 98):

  • Psychological Egoism:  All of our ultimate desires are egoistic.
  • Psychological Altruism:  Some of our ultimate desires are altruistic.

We will use the term “desire” here in a rather broad sense to simply mean a motivational mental state—what we might ordinarily call a “motive” or “reason” in at least one sense of those terms. But what is an “ultimate” desire, and when is it “altruistic” rather than “egoistic”?  Answering these and related questions will provide the requisite framework for the debate.

b. Egoistic vs. Altruistic Desires

We can begin to add substance to our bare theses by characterizing what it is to have an altruistic versus an egoistic desire.  As some philosophers have pointed out, the psychological egoist claims that all of one’s ultimate desires concern oneself in some sense. However, we must make clear that an egoistic desire exclusively concerns one’s own well-being, benefit, or welfare. A malevolent ultimate desire for the destruction of an enemy does not concern oneself, but it is hardly altruistic (Feinberg 1965/1999, §9, p. 497; Sober & Wilson 1998, p. 229).

Similarly, despite its common use in this context, the term “selfish” is not appropriate here either. The psychological egoist claims that we ultimately only care about (what we consider to be) our own welfare, but this needn’t always amount to selfishness. Consider an ultimate desire to take a nap that is well-deserved and won’t negatively affect anyone. While this concerns one’s own benefit, there is no sense in which it is selfish (Henson 1988, §7; Sober & Wilson 1998, p. 227). The term “self-interest” is more fitting.

With these points in mind, we can characterize egoistic and altruistic desires in the following way:

  • One’s desire is egoistic if (and only if) it concerns (what one perceives to be) the benefit of oneself and not anyone else.
  • One’s desire is altruistic if (and only if) it concerns (what one perceives to be) the benefit of at least someone other than oneself.

It’s important that the desire in some sense represents the person as oneself (or, as the case may be, as another). For example, suppose that John wants to help put out a fire in the hair of a man who appears to be in front of him, but he doesn’t know that he’s actually looking into a mirror, and it’s his own hair that’s ablaze.  If John’s desire is ultimate and is simply to help the man with his hair in flames, then it is necessary to count his desire as concerning someone other than himself, even though he is in fact the man with his hair on fire (Oldenquist 1980, pp. 27-8; Sober & Wilson 1998, p. 214).

c. Ultimate/Intrinsic Desires

The reason for the focus on ultimate desires is that psychological egoists don’t deny that we often have desires that are altruistic. They do claim, however, that all such altruistic desires ultimately depend on an egoistic desire that is more basic. In other words, we have an ulterior motive when we help others—one that likely tends to fly below the radar of consciousness or introspection.

Thus, we must draw a common philosophical distinction between desires that are for a means to an end and desires for an end in itself.  Instrumental desires are those desires one has for something as a means for something else; ultimate desires are those desires one has for something as an end in itself, not as a means to something else (see Sober & Wilson 1998, pp. 217-222).  The former are often called “extrinsic desires” and the latter “intrinsic desires” (see e.g. Mele 2003 Ch. 1.8.).  Desires for pleasure and the avoidance of pain are paradigmatic ultimate desires, since people often desire these as ends in themselves, not as a mere means to anything else.  But the class of ultimate desires may include much more than this.

d. Relating Egoism and Altruism

There are two important aspects to highlight regarding how psychological egoism and altruism relate to one another. First, psychological egoism makes a stronger, universal claim that all of our ultimate desires are egoistic, while psychological altruism merely makes the weaker claim that some of our ultimate desires are altruistic.  Thus, the former is a monistic thesis, while the latter is a pluralistic thesis (Sober & Wilson 1998, p. 228).  Consequently, psychological egoism is easier to refute than the opposing view.  If one were to successfully demonstrate that some—even just one—of a person’s ultimate desires are altruistic, then we can safely reject psychological egoism.  For example, if Thomas removes his heel from another’s gouty toe because he has an ultimate desire that the person benefit from it, then psychological egoism is false.

Second, the positions in the debate are not exactly the denial of one another, provided there are desires that are neither altruistic nor egoistic (Stich, Doris, & Roedder 2010, sect. 2).  To take an example from Bernard Williams, a “madman” might have an ultimate desire for “a chimpanzees’ tea party to be held in the cathedral” (1973, p. 263). He does not desire this as a means to some other end, such as enjoyment at the sight of such a spectacle (he might, for example, secure this in his will for after his death).  Assuming the desire for such a tea party is neither altruistic nor egoistic (because it doesn’t have to do with anyone’s well-being), would it settle the egoism-altruism debate? Not entirely. It would show that psychological egoism is false, since it would demonstrate that some of our ultimate desires are not egoistic. However, it would not show that psychological altruism is true, since it does not show that some of our ultimate desires are altruistic.  Likewise, suppose that psychological altruism is false because none of our ultimate desires concern the benefit of others.  If that is true, psychological egoism is not thereby true.  It too could be false if we sometimes have ultimate desires that are not egoistic, like the madman’s.  The point is that the theses are contraries: they cannot both be true, but they can both be false.

2. Philosophical Arguments For Egoism

Philosophers don’t have much sympathy for psychological egoism.  Indeed, the only major figures in the history of philosophy to endorse the view explicitly are arguably Thomas Hobbes and Jeremy Bentham.  Some might also include Aristotle (compare Feinberg 1965/1999, p. 501) and John Stuart Mill (compare Sidgwick 1874/1907, 1.4.2.1), but there is some room for interpreting them otherwise. Hobbes explicitly states in Leviathan (1651/1991):

…no man giveth but with intention of good to himself, because gift is voluntary; and of all voluntary acts, the object is to every man his own good; of which, if men see they shall be frustrated, there will be no beginning of benevolence or trust, nor consequently of mutual help. (Ch. XV, p. 47)

In a similar vein, Bentham famously opens his Introduction to the Principles of Morals and Legislation (1781/1991) with this:

Nature has placed mankind under the governance of two sovereign masters, pain and pleasure. It is for them alone to point out what we ought to do, as well as to determine what we shall do. On the one hand the standard of right and wrong, on the other the chain of causes and effects, are fastened to their throne. (p. 313)

Here Bentham appears to endorse a specific version of psychological egoism, namely psychological hedonism. This view restricts the kind of self-interest we can ultimately desire to pleasure or the avoidance of pain.  Unfortunately, Hobbes and Bentham don’t offer much in the way of arguments for these views; they tend to just assume them.

a. Desire Ownership

One tempting argument for psychological egoism is based on what seem to be conceptual truths about (intentional) action.  For example, many hold that all of one’s actions are motivated by one’s own desires.  This might seem to directly support psychological egoism because it shows that we are all out to satisfy our own desires (compare Hobbes).  In his famous Fifteen Sermons, Bishop Butler (1726/1991) anticipates such an argument for the universality of egoistic desires (or “self-love”) in the following manner:

[B]ecause every particular affection is a man’s own, and the pleasure arising from its gratification his own pleasure, or pleasure to himself, such particular affection must be called self-love; according to this way of speaking, no creature whatever can possibly act but merely from self-love. (Sermon XI, p. 366)

However, as Butler goes on to say, this line of argument rests on a mistake or at least a play on words.  Many philosophers have subsequently reinforced Butler’s objection, often pointing to two intertwined confusions: one based on our desires being ours, another based on equivocation on the word “satisfaction.” On the former confusion, C. D. Broad says “it is true that all impulses belong to a self” but  “it is not true that the object of any of them is the general happiness of the self who owns them” (1930/2000, p. 65).

Similarly, the second confusion fails to distinguish between what Bernard Williams calls “desiring the satisfaction of one’s desire” and “desiring one’s own satisfaction” (1973, p. 261).  The word “satisfaction” in the latter case is the more ordinary use involving one’s own pleasure or happiness.  If all actions are motivated by a desire for this, then psychological egoism is indeed established. But the basic consideration from the theory of action we began with was merely that all actions are motivated by a desire of one’s own, which is meant to be satisfied.  However, this employs a different notion of satisfaction, which merely means that the person got what she wanted (Feinberg 1965/1999, p. 496).  The claim that everyone is out to satisfy their own desires is a fairly uninteresting one, since it doesn’t show that we are motivated by self-interest.  If Mother Teresa did have an altruistic desire for the benefit of another, it is no count against her that she sought to satisfy it—that is, bring about the benefit of another. This argument for psychological egoism, then, seems to rely on an obviously false view of self-interest as desire-satisfaction.

b. Simplicity and Parsimony

A major theoretical attraction of psychological egoism is parsimony.  It provides a simple account of human motivation and offers a unified explanation of all our actions. Although actions may vary in content, the ultimate source is self-interest: doing well at one’s job is merely to gain the favor of one’s boss; returning a wallet is merely to avoid the pang of guilt that would follow keeping it; saying “thank you” for a meal is merely to avoid social reprimand for failing to conform to etiquette; and so on.

One might dispute whether psychological egoism is any more parsimonious than psychological altruism (Sober & Wilson 1998, pp. 292-3).  More importantly, however, it is no argument for a view that it is simpler than its competitors. Perhaps we might employ Ockham’s Razor as a sort of tie-breaker to adjudicate between two theories when they are equal in all other respects, but this involves more than just simplicity (Sober & Wilson 1998, pp. 293-5).  As David Hume puts it, psychological egoism shouldn’t be based solely on “that love of simplicity which has been the source of much false reasoning in philosophy” (1751/1998, p. 166). The heart of the debate then is whether there are other reasons to prefer one view over the other.

c. Moral Education

Perhaps the psychological egoist needn’t appeal to parsimony or erroneous conceptions of self-interest. Bentham, after all, suggests that ordinary experience shows that we are ultimately motivated to gain pleasure or avoid pain (1781/1991, Ch. 3). Perhaps one could extrapolate an argument on behalf of psychological egoism along the following lines (Feinberg 1965/1999, sect. 4, p. 495). Experience shows that people must be taught to care for others with carrots and sticks—with reward and punishment. So seemingly altruistic ultimate desires are merely instrumental to egoistic ones; we come to believe that we must be concerned with the interests of others in order to gain rewards and avoid punishment for ourselves (compare the argument in §5a).

This line of reasoning is rather difficult to evaluate given that it rests on an empirical claim about moral development and learning.  Ordinary experience does show that sometimes it’s necessary to impose sanctions on children for them to be nice and caring. But even if this occurs often, it doesn’t support a universal claim that it always does. Moreover, there is a growing body of evidence gathered by developmental psychologists indicating that young children have a natural, unlearned concern for others. There is some evidence, for example, that children as young as 14-months will spontaneously help a person they believe is in need (Warneken & Tomasello 2007).  It seems implausible that children have learned at such a young age that this behavior will be benefit themselves. On the other hand, such empirical results do not necessarily show that the ultimate motivation behind such action is altruistic. The psychological egoist could argue that we still possess ultimately egoistic desires (perhaps we are simply born believing that concern for others will benefit oneself).  However, the developmental evidence still undermines the moral education argument by indicating that our concern for the welfare others is not universally learned from birth by sanctions of reward and punishment.

d. Self-Other Merging

Another argument for psychological egoism relies on the idea that we often blur our conception of ourselves and others when we are benevolent. Consider the paradigm of apparently selfless motivation: concern for family, especially one’s children. Francis Hutcheson anticipates the objection when he imagines a psychological egoist proclaiming: “Children are not only made of our bodies, but resemble us in body and mind; they are rational agents as we are, and we only love our own likeness in them” (1725/1991, p. 279, Raphael sect. 327). And this might seem to be supported by recent empirical research. After all, social psychologists have discovered that we tend to feel more empathy for others we perceive to be in need when they are similar to us in various respects and when we take on their perspective (Batson 1991; see §5b). In fact, some psychologists have endorsed precisely this sort of self-other merging argument for an egoistic view (for example, Cialdini, Brown, Lewis, Luce, and Neuberg 1997).

One might doubt, however, whether a self-other merging account is able to explain helping behavior in an egoistic way. For example, it would be quite implausible to say that we literally believe we exist in two different bodies when feeling empathy for someone. The most credible reading of the proposal is that we conceptually blur the distinction between ourselves and others in the relevant cases. Yet this would seem to require, contrary to fact, that our behavior reflects this blurring. If we think of the boundary between ourselves and another as indeterminate, presumably our helping behavior would reflect such indeterminacy. (For further discussion, see Hutcheson 1725/1991, pp. 279-80; Batson 2011, ch. 6; May 2011.)

3. Philosophical Arguments Against Egoism

Considering the arguments, the case for psychological egoism seems rather weak. But is there anything to be said directly against it? This section examines some of the most famous arguments philosophers have proposed against the view.

a. Butler’s Stone: Presupposition & Byproducts

Bishop Joseph Butler provides a famous argument against psychological egoism (focusing on hedonism) in his Fifteen Sermons.  The key passage is the following:

That all particular appetites and passions are towards external things themselves, distinct from the pleasure arising from them, is manifested from hence; that there could not be this pleasure, were it not for that prior suitableness between the object and the passion: there could be no enjoyment or delight from one thing more than another, from eating food more than from swallowing a stone, if there were not an affection or appetite to one thing more than another. (1726/1991, Sermon XI, p. 365)

Many philosophers have championed  this argument, which Elliott Sober and David Sloan Wilson (1998) have dubbed “Butler’s stone.” Broad (1930/2000), for example, writes that Butler “killed the theory [of psychological egoism] so thoroughly that he sometimes seems to the modern reader to be flogging dead horses” (p. 55).

Butler’s idea is that the experience of pleasure upon attaining something presupposes (or at least strongly indicates) a desire for the thing attained, not the pleasure itself. After all, we typically do not experience pleasure upon getting something (like food) unless we want it. The pleasure that accompanies the fulfillment of our desires is often a mere byproduct of our prior desire for the thing that gave us pleasure. Often we feel pleasure upon getting what we want precisely because we wanted what gave us pleasure. For example, getting second place in a race would make a runner happy only if she wants to place in the top three. She would be disappointed if she only cares to win first place.

While Butler’s version of the argument may be overly ambitious in various respects (Sidgwick 1874/1907, 1.4.2.3; Sober and Wilson 1998, p. 278), the best version is probably something like the following (compare the “disinterested benevolence” argument in Feinberg 1965/1999, §c8):

  1. Sometimes people benefit from helping others (e.g. experience pleasure).
  2. Sometimes such benefit presupposes a desire for what generated it (e.g. food), not for the resulting benefit.
  3. So sometimes people desire things other than self-interest.
  4. Therefore: Psychological egoism is false.

The basic idea is that pleasure (or self-interest generally) can’t be our universal concern because having it sometimes presupposes a desire for something other than pleasure itself. Many philosophers have endorsed this sort of argument, not only against hedonism but more generally against egoism (Hume 1751/1998, App. 2.12; Broad 1950/1952; Nagel 1970/1978, p. 80, n. 1; Feinberg 1965/1999).

Sober and Wilson, however, make the case that such arguments are seriously flawed at least because “the conclusion does not follow from the premises” (1998, p. 278). That is, the premises, even if true, fail to establish the conclusion. The main problem is that such arguments tell us nothing about which desires are ultimate. Even if the experience of pleasure sometimes presupposes a desire for the pleasurable object, it is still left open whether the desire for what generated the pleasure is merely instrumental to a desire for pleasure (or some other form of self-interest). Consider the following causal chain, using “→” to mean “caused” (see Sober & Wilson 1998, p. 278):

Desire for food → Eating → Pleasure

According to Butler, the experience of pleasure upon eating some food allows us to infer the existence of a desire for food. This is all the argument gets us. Yet Butler’s opponent, the egoist, maintains that the desire for food is subsequent to and dependent on an ultimate desire for pleasure (or some other form of self-interest):

Ultimate desire for pleasure → Desire for food → Eating → Pleasure

This egoistic picture is entirely compatible with Butler’s claims about presupposition. So, even if the premises are true, it does not follow that egoism is false.

Butler would need a stronger premise, such as: pleasure presupposes an ultimate desire for what generated it, not for the resulting benefit. But this revision would plausibly make the argument question-begging. The new premise seems to amount to nothing more than the denial of psychological egoism: sometimes people have an ultimate desire for something other than self-interest. At the very least, the argument is dialectically unhelpful—it offers premises in support of the conclusion that are as controversial as the conclusion is, and for similar reasons.

Still, a general lesson can clearly be gained from arguments like Butler’s. Psychological egoists cannot establish their view simply by pointing to the pleasure or self-benefit that accompanies so many actions. After all, often self-benefit only seems to be what we ultimately desire, though a closer look reveals benefits like pleasure are likely just byproducts while the proximate desire is for that which generates them. As Hume puts it, sometimes “we are impelled immediately to seek particular objects, such as fame or power, or vengeance without any regard to interest; and when these objects are attained a pleasing enjoyment ensues, as the consequence of our indulged affections” (1751/1998, App. 2.12, emphasis added). Perhaps Butler’s point is best seen as a formidable objection to a certain kind of argument for egoism, rather than a positive argument against the theory.

b. Introspection and Common Sense

A simple argument against psychological egoism is that it seems obviously false.  As Francis Hutcheson proclaims: “An honest farmer will tell you, that he studies the preservation and happiness of his children, and loves them without any design of good to himself” (1725/1991, p. 277, Raphael sect. 327). Likewise, Hume rhetorically asks, “What interest can a fond mother have in view, who loses her health by assiduous attendance on her sick child, and afterwards languishes and dies of grief, when freed, by its death, from the slavery of that attendance?” (1751/1998, App. 2.9, p. 167).  Building on this observation, Hume takes the “most obvious objection” to psychological egoism to be that:

…as it is contrary to common feeling and our most unprejudiced notions, there is required the highest stretch of philosophy to establish so extraordinary a paradox. To the most careless observer there appear to be such dispositions as benevolence and generosity; such affections as love, friendship, compassion, gratitude. […] And as this is the obvious appearance of things, it must be admitted, till some hypothesis be discovered, which by penetrating deeper into human nature, may prove the former affections to be nothing but modifications of the latter. (1751/1998, App. 2.6, p. 166)

Here Hume is offering a burden-shifting argument.  The idea is that psychological egoism is implausible on its face, offering strained accounts of apparently altruistic actions. So the burden of proof is on the egoist to show us why we should believe the view; yet the attempts so far have “hitherto proved fruitless,” according to Hume (1751/1998, App. 2.6, p. 166). Similarly, C. D. Broad (1950/1952) and Bernard Williams (1973, pp. 262-3) consider various examples of actions that seem implausible to characterize as ultimately motivated by self-interest.

Given the arguments, it is still unclear why we should consider psychological egoism to be obviously untrue.  One might appeal to introspection or common sense; but neither is particularly powerful.  First, the consensus among psychologists is that a great number of our mental states, even our motives, are not accessible to consciousness or cannot reliably be reported on through the use of introspection (see, for example, Nisbett and Wilson 1977). While introspection, to some extent, may be a decent source of knowledge of our own minds, it is fairly suspect to reject an empirical claim about potentially unconscious motivations.  Besides, one might report universally egoistic motives based on introspection (e.g. Mercer 2001, pp. 229-30).  Second, shifting the burden of proof based on common sense is rather limited. Sober and Wilson (1998, p. 288) go so far as to say that we have “no business taking common sense at face value” in the context of an empirical hypothesis. Even if we disagree with their claim and allow a larger role for shifting burdens of proof via common sense, it still may have limited use, especially when the common sense view might be reasonably cast as supporting either position in the egoism-altruism debate.  Here, instead of appeals to common sense, it would be of greater use to employ more secure philosophical arguments and rigorous empirical evidence.

c. Unfalsifiability

Another popular complaint about psychological egoism is that it seems to be immune to empirical refutation; it is “unfalsifiable.” And this is often taken to be a criterion for an empirical theory: any view that isn’t falsifiable isn’t a genuine, credible scientific theory (see Karl Popper’s Falsificationism). The worry for psychological egoism is that it will fail to meet this criterion if any commonly accepted altruistic action can be explained away as motivated by some sort of self-interest. Joel Feinberg, for example, writes:

Until we know what they [psychological egoists] would count as unselfish behavior, we can’t very well know what they mean when they say that all voluntary behavior is selfish. And at this point we may suspect that they are holding their theory in a “privileged position”—that of immunity to evidence, that they would allow no conceivable behavior to count as evidence against it. What they say then, if true, must be true in virtue of the way they define—or redefine—the word “selfish.” And in that case, it cannot be an empirical hypothesis. (1965/1999, §18, p. 503; see also §§14-19)

As we have seen (§1b), psychological egoism needn’t hold that all our ultimate desires are selfish. But Feinberg’s point is that we need to know what would count as empirical evidence against the existence of an egoistic ultimate desire.

This objection to psychological egoism has three substantial problems. First, falsification criteria for empirical theories are problematic and have come under heavy attack. In addition it’s unclear why we should think the view is false. Perhaps it is a bad scientific theory or a view we shouldn’t care much about, but it is not thereby false. Second, any problems that afflict psychological egoism on this front will also apply to the opposing view (Sober & Wilson 1998, p. 290). After all, psychological altruism is a pluralistic thesis that includes both egoistic and altruistic motives. Third, and most importantly, a charitable construal of psychological egoism renders it falsifiable. As we have seen, psychological egoists have a clear account of what would falsify it: an ultimate desire that is not egoistic. While it may be difficult to detect the ultimate motives of people, the view is in principle falsifiable. In fact, it is empirically testable, as we shall see below.

d. The Paradox of Egoism

Another popular objection to various forms of psychological egoism is often called “the paradox of hedonism,” which was primarily popularized by Henry Sidgwick (1874/1907, 2.3.2.3). It is usually directed at psychological hedonism, but the problem can be extended to psychological egoism generally.

When the target is only hedonism, the “paradox” is that we tend to attain more pleasure by focusing on things other than pleasure.  Likewise, when directed at egoism generally, the idea is that we will tend not to benefit ourselves by focusing on our own benefit. Consider someone, Jones, who is ultimately concerned with his own well-being, not the interests of others (the example is adapted from Feinberg 1965/1999, p. 498, sect. 11).  Two things will seemingly hold: (a) such a person would eventually lack friends, close relationships, etc. and (b) this will lead to much unhappiness. This seems problematic for a theory that says all of our ultimate desires are for our own well-being.

Despite its popularity, this sort of objection to psychological egoism is quite questionable. There are several worries about the premises of the argument, such as the claim that ultimate concern for oneself diminishes one’s own well-being (see Sober & Wilson 1998, p. 280).  Most importantly, the paradox is only potentially an issue for a version of egoism that prescribes ultimate concern for oneself, such as normative egoism (Sober & Wilson 1998, p. 280). The futility of ultimate concern for oneself can only undermine claims such as “We should only ultimately care about our own well-being” since this allegedly would not lead to happiness. But psychological egoism is a descriptive thesis. Even if egoistic ultimate desires lead to unhappiness, that would only show that egoistically motivated people will find this unfortunate.

4. Biology and Egoism

Despite its widespread rejection among philosophers, philosophical arguments against psychological egoism aren’t overwhelmingly powerful. However, the theses in this debate are ultimately empirical claims about human motivation.  So we can also look to more empirical disciplines, such as biology and psychology, to advance the debate. Biology in particular contains an abundance of literature on altruism. But, as we will see, much of it is rather tangential to the thesis of psychological altruism.

a. Evolutionary vs. Psychological Altruism

The ordinary (psychological) sense of “altruism” is different from altruism as discussed in biology.  For example, sociobiologists, such as E. O. Wilson, often theorize about the biological basis of altruism by focusing on the behavior of non-human animals. But this is altruism only in the sense of helpful behavior that seems to be at some cost to the helper.  It says nothing about the motivations for such behavior, which is of interest to us here. Similarly, “altruism” is a label commonly used in a technical sense as a problem for evolutionary theory (see Altruism and Group Selection).  What we might separately label evolutionary altruism occurs whenever an organism “reduces its own fitness and augments the fitness of others” regardless of the motivation behind it (Sober & Wilson 1998, p. 199). Distinguishing the psychological sense of “altruism” from other uses of the term is crucial if we are to look to biology to contribute to the debate on ultimate desires.

Given the multiple uses of terms, discussion of altruism and self-interest in evolutionary theory can often seem directly relevant to the psychological egoism-altruism debate.  One might think, for example, that basic facts about evolution show we’re motivated by self-interest. Consider our desires for water, food, or sex. We have these drives perhaps solely because they enhanced the evolutionary fitness of our ancestors, by helping them stay alive and thus to propagate their genes. And evolutionary theory plausibly uncovers this sort of gene-centered story for many features of organisms. Richard Dawkins offers us some ideas of this sort. Although he emphasizes that the term “selfish,” as he applies it to genes, is merely metaphorical, he says “we have the power to defy the selfish genes of our birth… let us try to teach generosity and altruism because we are born selfish (1976/2006, p. 3).

But we should be careful not to let the self-centered origin of our traits overshadow the traits themselves. Even if all of our desires are due to evolutionary adaptations (which is a strong claim), this is only their cause, not their content. Consider again the desire for water. It might exist only because it can help propagate one’s genes, but the desire is still for water, not to propagate one’s genes (compare the Genetic Fallacy). William James makes a similar point with an example of a ship that travels the ocean by burning coal: the fuel is a cause of the voyage but not its purpose (James 1890: 558, cited in Feinberg 1965/1999, sect. 6).

As Simon Blackburn points out, “Dawkins is following a long tradition in implying that biology carries simple messages for understanding the sociology and psychology of human beings” (1998, p. 146).  To be fair, in a later edition of The Selfish Gene, Dawkins recognizes his folly and asks the reader to ignore such “rogue” sentences (p. ix).  In any event, we must avoid what Blackburn polemically calls the “biologist’s fallacy” of “inferring the ‘true’ psychology of the person from the fact that his or her genes have proved good at replicating over time” (p. 147).  We must avoid simple leaps from biology to psychology without substantial argument (see also Stich et al. 2010, sect. 3).

b. An Evolutionary Argument Against Egoism

Philosopher Elliott Sober and biologist David Sloan Wilson (1998) have made careful and sophisticated arguments for the falsity of psychological egoism directly from considerations in evolutionary biology. Their contention is the following: “‘Natural selection is unlikely to have given us purely egoistic motives” (p. 12).  To establish this, they focus on parental care, an other-regarding behavior in humans, whose mechanism is plausibly due to natural selection. Assuming such behavior is mediated by what the organism believes and desires, we can inquire into the kinds of mental mechanisms that could have evolved. The crucial question becomes: Is it more likely that such a mechanism for parental care would, as psychological egoism holds, involve only egoistic ultimate desires?  To answer this question, Sober and Wilson focus on just one version of egoism, and what they take to be the most difficult to refute: psychological hedonism (p. 297). The hedonistic mechanism always begins with the ultimate desire for pleasure and the avoidance of pain. The mechanism consistent with psychological altruism, however, is pluralistic: some ultimate desires are hedonistic, but others are altruistic.

According to Sober and Wilson, there are three main factors that could affect the likelihood that a mechanism evolved: availability, reliability, and energetic efficiency (pp. 305-8). First, the genes that give rise to the mechanism must be available in the pool for selection. Second, the mechanism mustn’t conflict with the organism’s reproductive fitness; they must reliably produce the relevant fitness-enhancing outcome (such as viability of offspring).  And third, they must do this efficiently, without yielding a significant cost to the organism’s own fitness-enhancing resources. Sober and Wilson find no reason to believe that a hedonistic mechanism would be more or less available or energetically efficient. The key difference, they contend, is reliability: “Pluralism was just as available as hedonism, it was more reliable, and hedonism provides no advantage in terms of energetic efficiency” (p. 323).

Sober and Wilson make several arguments for the claim that the pluralistic mechanism is more reliable. But one key disadvantage of a hedonistic mechanism, they argue, is that it’s heavily “mediated by beliefs” (p. 314). For example, in order to produce parental care given the ultimate desire for pleasure, one must believe that helping one’s child will provide one with sufficient pleasure over competing alternative courses of action:

(Ultimate) Desire for Pleasure → Believe Helping Provides Most Pleasure → Desire to Help

Moreover, such beliefs must be true, otherwise it’s likely the instrumental desire to help will eventually extinguish, and then the fitness-enhancing outcome of parental care won’t occur. The pluralistic model, however, is comparatively less complicated since it can just deploy an ultimate desire to help:

(Ultimate) Desire to Help

Since the pluralistic mechanism doesn’t rely on as many beliefs, it is less susceptible to lack of available evidence for maintaining them. So yielding the fitness-enhancing outcome of parental care will be less vulnerable to disruption. Sober and Wilson (p. 314) liken the hedonistic mechanism to a Rube Goldberg machine, partly because it accomplishes its goal through overly complex means. Each link in the chain is susceptible to error, which makes the mechanism less reliable at yielding the relevant outcome.

Such arguments have not gone undisputed (see, for example, Stich et al. 2010, sect. 3). Yet they still provide a sophisticated way to connect evolutionary considerations with psychological egoism.  In the next section we’ll consider more direct ways for addressing the egoism-altruism debate empirically.

5. Cognitive Science and Egoism

Psychological egoism is an empirical claim; however, considerations from biology provide only one route to addressing the egoism-altruism debate empirically. Another, perhaps more direct, approach is to examine empirical work on the mind itself.

a. Behavioristic Learning Theory

In the 20th century, one of the earliest philosophical discussions of egoism as it relates to research in psychology comes from Michael Slote (1964). He argues that there is at least potentially a basis for psychological egoism in behavioristic theories of learning, championed especially by psychologists such as B. F. Skinner. Slote writes that such theories “posit a certain number of basically ‘selfish,’ unlearned primary drives or motives (like hunger, thirst, sleep, elimination, and sex), and explain all other, higher-order drives or motives as derived genetically from the primary ones via certain ‘laws of reinforcement’” (p. 530). This theory importantly makes the additional claim that the “higher-order” motives, including altruistic ones, are not “functionally autonomous.” That is, they are merely instrumental to (“functionally dependent” on) the egoistic ultimate desires. According to Slote, the basic support for functional dependence is the following: If “we cut off all reinforcement of [the instrumental desire] by primary rewards (rewards of primary [egoistic] drives),” then the altruistic desire “actually does extinguish” (p. 531). Thus, all altruistic desires are merely instrumental to ultimately egoistic ones; we have merely learned through conditioning that benefiting others benefits ourselves. That, according to Slote, is what the behavioristic learning theory maintains.

Like the moral education argument, Slote’s is vulnerable to work in developmental psychology indicating that some prosocial behavior is not conditioned (see §2c). Moreover, behavioristic approaches throughout psychology have been widely rejected in the wake of the “cognitive revolution.” Learning theorists now recognize mechanisms that go quite beyond the tools of behaviorism (beyond mere classical and operant conditioning).  Slote does only claim to have established the following highly qualified thesis: “It would seem, then, that, as psychology stands today, there is at least some reason to think that the psychological theory we have been discussing may be true” (p. 537); and he appears to reject psychological egoism in his later work. In any event, more recent empirical research is more apt and informative to this debate.

b. Neuroscience

Philosopher Carolyn Morillo (1990) has defended a version of psychological hedonism based on more recent neuroscientific work primarily done on rats.  Morillo argues for a “strongly monistic” theory of motivation that is grounded in “internal reward events,” which holds that “we [ultimately] desire these reward events because we find them to be intrinsically satisfying” (p. 173).  The support for her claim is primarily evidence that the “reward center” of the brain, which is the spring of motivation, is the same as the “pleasure center,” which indicates that the basic reward driving action is pleasure.

Morillo admits though that the idea is “highly speculative” and based on “empirical straws in the wind.” Furthermore, philosopher Timothy Schroeder (2004) argues that later work in neuroscience casts serious doubt on the identification of the reward event with pleasure. In short, by manipulating rats’ brains, neuroscientist Kent Berridge and colleagues have provided substantial evidence that being motivated to get something is entirely separable from “liking” it (that is, from its generating pleasure). Against Morillo, Schroeder concludes that the data are better explained by the hypothesis that the reward center of the brain “can indirectly activate the pleasure center than by the hypothesis that either is such a center” (p. 81, emphasis added; see also Schroeder, Roskies, and Nichols 2010, pp. 105-6.)

c. Social Psychology

Other empirical work that bears on the existence of altruistic motives can be found in the study of empathy-induced helping behavior. Beginning around the 1980s, C. Daniel Batson and other social psychologists addressed the debate head on by examining such phenomena. Batson (1991; 2011), in particular, argues that the experiments conducted provide evidence for an altruistic model, the empathy-altruism hypothesis, which holds that as “empathic feeling for a person in need increases, altruistic motivation to have that person’s need relieved increases” (1991, p. 72). In other words, the hypothesis states that empathy tends to induce in us ultimate desires for the well-being of someone other than ourselves. If true, this entails that psychological egoism is false.

Batson comes to this conclusion by concentrating on a robust effect of empathy on helping behavior discovered in the 1970s. The empathy-helping relationship is the finding that the experience of relatively high empathy for another perceived to be in need causes people to help the other more than relatively low empathy. However, as Batson recognizes, this doesn’t establish psychological altruism, because it doesn’t specify whether the ultimate desire is altruistic or egoistic. Given that there can be both egoistic and altruistic explanations of the empathy-helping relationship, Batson and others have devised experiments to test them.

The general experimental approach involves placing ordinary people in situations in which they have an opportunity to help someone they think is in need while manipulating other variables in the situation.  The purpose is to provide circumstances in which egoistic versus altruistic explanations of empathy-induced helping behavior make different predictions about what people will do.  Different hypotheses then provide either egoistic or altruistic explanations of why the subjects ultimately chose to help or offer to help. (For detailed discussions of the background assumptions involved here, see Batson 1991, pp. 64-67; Sober & Wilson 1998, Ch. 6; Stich, Doris, and Roedder 2010.)

Several egoistic explanations of the empathy-helping relationship are in competition with the empathy-altruism hypothesis. Each one claims that experiences of relatively high empathy (“empathic arousal”) causes subjects to help simply because it induces an egoistic ultimate desire; the desire to help the other is solely instrumental to the ultimate desire to benefit oneself.  However, the experiments seem to rule out all the plausible (and some rather implausible) egoistic explanations.  For example, if those feeling higher amounts of empathy help only because they want to reduce the discomfort of the situation, then they should help less frequently when they know their task is over and they can simply leave the experiment without helping. Yet this prediction has been repeatedly disconfirmed (Batson 1991, ch. 8). A host of experiments have similarly disconfirmed a range of egoistic hypotheses. The cumulative results evidently show that the empathy-helping relationship is not put in place by egoistic ultimate desires to either:

  • relieve personal distress (e.g. discomfort from the situation),
  • avoid self-punishment (e.g. feelings of guilt),
  • avoid social-punishment (e.g. looking bad to others),
  • obtain rewards from self or others (e.g. praise, pride),
  • gain a mood-enhancing experience (e.g. feel glad someone was helped).

Furthermore, according to Batson, the data all conform to the empathy-altruism hypothesis, which claims that empathic arousal induces an ultimate desire for the person in need to be helped (see Batson 1991; for a relatively brief review, see Batson & Shaw 1991).

Some have argued against Batson that there are plausible egoistic explanations not ruled out by the data collected thus far (e.g. Cialdini et al. 1997; Sober & Wilson 1998, Ch. 8; Stich, Doris, and Roedder 2010). However, many egoistic explanations have been tested along similar lines and appear to be disconfirmed. While Batson admits that more studies can and should be done on this topic, he ultimately concludes that we are at least tentatively justified in believing that the empathy-altruism hypothesis is true. Thus, he contends that psychological egoism is false: “Contrary to the beliefs of Hobbes, La Rochefoucauld, Mandeville, and virtually all psychologists, altruistic concern for the welfare of others is within the human repertoire” (1991, p. 174).

6. Conclusion

It seems philosophical arguments against psychological egoism aren’t quite as powerful as we might expect given the widespread rejection of the theory among philosophers. So the theory is arguably more difficult to refute than many have tended to suppose. It is important to keep in mind, however, that the theory makes a rather strong, universal claim that all of our ultimate desires are egoistic, making it easy to cast doubt on such a view given that it takes only one counter-example to refute it.

Another important conclusion is that empirical work can contribute to the egoism-altruism debate. There is now a wealth of data emerging in various disciplines that addresses this fascinating and important debate about the nature of human motivation. While some have argued that the jury is still out, it is clear that the rising interdisciplinary dialogue is both welcome and constructive. Perhaps with the philosophical and empirical arguments taken together we can declare substantial progress.

7. References and Further Reading

  • Batson, C. D.  (1991). The Altruism Question: Toward a Social-Psychological Answer. Hillsdale, NJ:  Lawrence Erlbaum Associates.
    • Batson’s first book-length defense of the existence of altruism. Examines a wide range of empirical data from social psychology for the empathy-altruism hypothesis.
  • Batson, C. D. (2011). Altruism in Humans. New York: Oxford University Press.
    • An updated book-length defense of the existence of altruism in humans. Attempts to rebut challenges to the empathy-altruism hypothesis based on experiments done since the early 1990s.
  • Batson, C. D & L. L. Shaw (1991). “Evidence for Altruism: Toward a Pluralism of Prosocial Motives.”  Psychological Inquiry Vol. 2, No. 2, pp. 107–122.
    • An overview of the experimental evidence for altruism. Examines the experimental evidence for the empathy-altruism hypothesis more briefly than Batson’s book.
  • Bentham, Jeremy (1781/1991). Introduction to the Principles of Morals and Legislation. Reprinted in part in Raphael (1991), Vol. II, pp. 313–346.
    • Bentham’s famous treatise defending utilitarianism. One of his basic assumptions about human psychology is psychological hedonism.
  • Blackburn, Simon (1998). Ruling Passions. Oxford: Clarendon Press.
    • A broadly Humean account of motivation and ethics that covers, among others things, some issues at the intersection of egoism and biology (see ch. 5).
  • Broad, C. D. (1930/2000). Five Types of Ethical Theory. Reprinted in 2000, London: Routledge. (Originally published in 1930 by Kegan Paul, Trench, Trubner & Co. Ltd.)
    • A discussion of the ethical theories of Spinoza, Butler, Hume, Kant, and Sidgwick. Broad champions Butler’s arguments against psychological egoism, saying Butler thoroughly “killed the theory.”
  • Broad, C. D. (1950/1952). “Egoism as a Theory of Human Motives.” The Hibbert Journal Vol. 48, pp. 105–114. (Reprinted in his Ethics and the History of Philosophy: Selected Essays, London: Routledge and Kegan Paul, 1952.)
    • Broad’s famous discussion of psychological egoism in which he provides a rich framework for the debate. He develops what takes to be the most plausible version of psychological egoism, but concludes that it is rather implausible.
  • Butler, Joseph (1726/1991). Fifteen Sermons Preached at the Rolls Chapel. Reprinted in part in Raphael (1991), Vol. I, pp. 325–377.  (Originally published by Hilliard and Brown in Cambridge; Hilliard, Gray, Little, and Wilkins in Boston.)
    • Butler’s famous text discussing, among other things, psychological egoism and hedonism, though not under those labels. He mounts a famous argument against psychological hedonism in particular.
  • Cialdini, Robert B., S. L. Brown, B. P. Lewis, C. Luce, & S. L. Neuberg (1997). “Reinterpreting the Empathy-Altruism Relationship: When One Into One Equals Oneness” Journal of Personality and Social Psychology 73 (3): 481-494.
    • A widely cited criticism of Batson’s empathy-altruism hypothesis. The authors present empirical evidence that empathy tends to induce ultimately egoistic, not altruistic, motives by blurring one’s distinction between oneself and the other for whom empathy is felt.
  • Dawkins, Richard (1976/2006). The Selfish Gene. 30th anniversary edition with new introduction, New York: Oxford University Press, 2006. (Originally published in 1976.)
    • Famous account of the process of evolution, turning the focus on genes, rather than the organism, and their propensity to replicate themselves via natural selection (hence the idea of a “selfish” gene).
  • Feinberg, Joel (1965/1999). “Psychological Egoism.” In Joel Feinberg & Russ Shafer-Landau (eds.), Reason and Responsibility, 10th ed. Belmont, CA: Wadsworth, 1999.  (Originally published in 1965 by Dickenson Pub. Co., based on materials composed for philosophy students at Brown University in 1958.)
    • A comprehensive discussion of philosophical arguments for and against psychological egoism. Rejects psychological egoism based primarily on traditional philosophical arguments.
  • Henson, Richard G. (1988). “Butler on Selfishness and Self-Love.” Philosophy and Phenomenological Research Vol. 49, No. 1, pp. 31–57.
    • An examination of Butler’s arguments against psychological egoism as they relate to selfishness. Henson importantly argues that the “self-love” crucial to egoism is not equivalent to selfishness.
  • Hobbes, Thomas (1651/1991). Leviathan. Reprinted in part in Raphael (1991) Vol. I, pp. 18–60.
    • The classic treatise on moral and political philosophy grounded in what is often considered a grim view of human nature. A classic interpretation is that Hobbes holds a form of psychological egoism.
  • Hume, David (1751/1998). “Of Self-Love.” Appendix II of his An Enquiry Concerning the Principles of Morals, Tom L. Beauchamp (ed.), Oxford University Press.
    • A discussion of psychological egoism that is absent from the Treatise. Largely endorses Butler’s arguments against psychological egoism while offering some original considerations against it as well.
  • Hutcheson, Francis (1725/1991). An Inquiry into the Original of our Ideas of Beauty and Virtue. Reprinted in part in Raphael (1991), Vol. I, pp. 260–321.  (First printed in 1725.)
    • Argues against psychological egoism in a variety of ways, most notably by attempting to reveal how implausible it is on its face once its commitments are made clear. See especially Treatise II, An Inquiry Concerning the Original of Our Ideas of Virtue or Moral Good.
  • James, William (1890). The Principles of Psychology, Vol. 2. New York: Henry Holt.
  • May, Joshua (2011). “Egoism, Empathy, and Self-Other Merging.” Southern Journal of Philosophy Vol. 49, Spindel Supplment: Empathy and Ethics, Remy Debes (ed.), pp. 25-39.
    • A critique of arguments for psychological egoism that appeal to the idea that we blur the distinction between ourselves and others, especially when we feel empathy for them.
  • Mele, Alfred (2003). Motivation and Agency. New York:  Oxford University Press.
    • Discusses a wide range of philosophical topics related to motivation. Although egoism isn’t covered, ch. 1 provides a rich conceptual framework for discussing motivation in a broad range of contexts, such as a taxonomy of various desires.
  • Mercer, Mark. (2001). “In Defence of Weak Psychological Egoism.” Erkenntnis Vol. 55, No. 2, pp. 217–237.
    • A recent defense of a form of psychological egoism that appeals to introspection and the purported unintelligibility of altruistic explanations of actions.
  • Morillo, Carolyn (1990). “The Reward Event and Motivation.” The Journal of Philosophy Vol. 87, No. 4, pp. 169–186.
    • A recent defense of a kind of psychological hedonism based on work in neuroscience, especially experiments on rats and their “pleasure centers.”
  • Nagel, Thomas (1970/1978). The Possibility of Altruism. Princeton University Press. (Originally published in 1970, Oxford: Clarendon Press.)
    • A famous discussion of altruism and related topics. Focus, however, is not just to rebut egoistic theories of motivation but also neo-Humean desire-based ones, which are related more to the distinct debate about the role of “reason” in motivation.
  • Nisbett, R. E. & T. D. Wilson (1977). “Telling More Than We Can Know: Verbal Reports on Mental Processes.” Psychological Review Vol. 84, No. 3, pp. 231–259.
    • A classic empirical investigation into the reliability and nature of introspective reports on one’s own mental states. Doubt is cast on the extent to which we have direct introspective access to higher-order cognitive processes.
  • Oldenquist, Andrew (1980). “The Possibility of Selfishness.” American Philosophical Quarterly Vol. 17, No. 1, pp. 25–33.
    • Argues that the natural state of humans is altruistic rather than egoistic. Emphasizes the importance of representations of oneself as oneself or as “I” in egoistic desires.
  • Rachels, James. (2003). The Elements of Moral Philosophy, 4th ed. McGraw-Hill. (First published in 1986.)
    • A popular contemporary introduction to moral philosophy. Ch. 5 contains a detailed discussion of psychological egoism. Like most philosophers, declares psychological egoism bankrupt based on the standard sorts of philosophical objections to it.
  • Raphael, D. D. (ed.) (1991). British Moralists: 1650-1800, 2 Vols. Indianapolis, Indiana: Hackett.
    • A two-volume collection of the moral and political writings of British philosophers from around the 17th Century, including Hobbes, Butler, Hume, and Bentham.
  • Rosas, Alejandro (2002). “Psychological and Evolutionary Evidence for Altruism.” Biology and Philosophy Vol. 17, No. 1, pp. 93–107.
    • A critique of Sober and Wilson’s claim that evolutionary theory resolves the egoism-altruism debate while social psychology doesn’t. Rosas argues that they should treat both similarly given the folk psychological framework they both employ.
  • Sidgwick, Henry (1874/1907). The Methods of Ethics, 7th ed. Indianapolis: Hackett Publish Company. (Reprinted in 1981 from the printing by Macmillan and Co., Ltd. First edition published in 1874.)
    • A classic, comprehensive ethical theory, which focuses on developing a kind of utilitarianism. A significant portion of it is devoted to various kinds of egoism. But he pretty clearly rejects psychological egoism, which is arguably contrary to several of his utilitarian predecessors.
  • Schroeder, Timothy (2004). Three Faces of Desire. New York: Oxford University Press.
    • A philosopher’s defense of a reward-based theory of desire that is grounded in empirical work largely from neuroscience.  Schroeder argues that pleasure-based theories, like Morillo’s, are not supported by recent findings, which undermines her empirical basis for psychological hedonism.
  • Schroeder, Timothy, Adina Roskies, & Shaun Nichols (2010). “Moral Motivation.” The Moral Psychology Handbook, John Doris & The Moral Psychology Research Group (eds.). Oxford University Press, pp. 72-110.
    • An examination of the neurological basis of moral motivation in the brain. Psychological hedonism is addressed briefly at the end.
  • Slote, Michael A. (1964). “An Empirical Basis for Psychological Egoism.” Journal of Philosophy Vol. 61, No. 18, pp. 530–537.
    • A philosopher’s defense of psychological egoism based on empirical work in psychology at the time, which was largely behavioristic in nature.
  • Sober, Elliott & D. S. Wilson (1998). Unto Others: The Evolution and Psychology of Unselfish Behavior. Cambridge, MA:  Harvard University Press.
    • A widely celebrated and influential book by a philosopher and biologist containing a sustained examination of the biological, psychological, and philosophical arguments for and against psychological egoism. They argue that philosophical arguments and Batson’s work in social psychology do not provide sufficient evidence either way, whereas evolutionary theory does, based on a group selection model.
  • Stich, Stephen, John M. Doris, & Erica Roedder (2010). “Altruism.” The Moral Psychology Handbook, John M. Doris and the Moral Psychology Research Group (eds.). Oxford University Press, pp. 147–205.
    • An overview of the philosophical, evolutionary, and psychological work relevant to the egoism-altruism debate. Focuses primarily on Sober and Wilson as well as Batson, arguing that psychological evidence has advanced the debate more than evolutionary arguments, though both are currently inconclusive.
  • Williams, Bernard (1973). “Egoism and Altruism.” Ch. 15 in Problems of the Self: Philosophical Papers 1956-1972, Cambridge University Press, pp. 250–265.
    • A discussion of egoism and altruism as related both to ethical theory and moral psychology. Williams considers and rejects various arguments for and against the existence of egoistic motives and the rationality of someone motivated by self-interest. He ultimately attempts to give a more Humean defense of altruism, as opposed to the more Kantian defenses found in Thomas Nagel, for example.
  • Warneken, Felix & Michael Tomasello (2007). “Helping and Cooperation at 14 Months of Age.” Infancy Vol. 11, No. 3, pp. 271–294.
    • Gathers empirical evidence about the prosocial behavior of young children—in particular that they will spontaneously help others who appear to be in need.

Author Information

Joshua May
Email: joshmay@uab.edu
University of Alabama at Birmingham
U. S. A.

Aristotle: Logic

Aristotelian logic, after a great and early triumph, consolidated its position of influence to rule over the philosophical world throughout the Middle Ages up until the 19th Century.  All that changed in a hurry when modern logicians embraced a new kind of mathematical logic and pushed out what they regarded as the antiquated and clunky method of syllogisms.  Although Aristotle’s very rich and expansive account of logic differs in key ways from modern approaches, it is more than a historical curiosity.  It provides an alternative way of approaching logic and continues to provide critical insights into contemporary issues and concerns.  The main thrust of this article is to explain Aristotle’s logical system as a whole while correcting some prominent misconceptions that persist in the popular understanding and even in some of the specialized literature.  Before getting down to business, it is important to point out that Aristotle is a synoptic thinker with an over-arching theory that ties together all aspects and fields of philosophy.  He does not view logic as a separate, self-sufficient subject-matter, to be considered in isolation from other aspects of disciplined inquiry.  Although we cannot consider all the details of his encyclopedic approach, we can sketch out the larger picture in a way that illuminates the general thrust of his system.  For the purposes of this entry, let us define logic as that field of inquiry which investigates how we reason correctly (and, by extension, how we reason incorrectly).  Aristotle does not believe that the purpose of logic is to prove that human beings can have knowledge.  (He dismisses excessive scepticism.)  The aim of logic is the elaboration of a coherent system that allows us to investigate, classify, and evaluate good and bad forms of reasoning.

Table of Contents

  1. The Organon
  2. Categories
  3. From Words into Propositions
  4. Kinds of Propositions
  5. Square of Opposition
  6. Laws of Thought
  7. Existential Assumptions
  8. Form versus Content
  9. The Syllogism
  10. Inductive Syllogism
  11. Deduction versus Induction
  12. Science
  13. Non-Discursive Reasoning
  14. Rhetoric
  15. Fallacies
  16. Moral Reasoning
  17. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. The Organon

To those used to the silver tones of an accomplished writer like Plato, Aristotle’s prose will seem, at first glance, a difficult read.  What we have are largely notes, written at various points in his career, for different purposes, edited and cobbled together by later followers.  The style of the resulting collection is often rambling, repetitious, obscure, and disjointed.  There are many arcane, puzzling, and perhaps contradictory passages.  This problem is compounded by the abstract, technical vocabulary logic sometimes requires and by the wide-ranging scope and the scattered nature of Aristotle’s observations.  Some familiarity with Greek terminology is required if one hopes to capture the nuances in his thought.  Classicists and scholars do argue, of course, about the precise Greek meaning of key words or phrases but many of these debates involve minor points of interpretation that cannot concern us here.  Aristotle’s logical vocabulary needs to be understood within the larger context of his system as a whole.  Many good translations of Aristotle are available.  (Parenthetical citations below include the approximate Bekker number (the scholarly notation for referring to Aristotelian passages according to page, column, and line number of a standard edition), the English title of the work, and the name of the translator.)

Ancient commentators regarded logic as a widely-applicable instrument or method for careful thinking.  They grouped Aristotle’s six logical treatises into a sort of manual they called the Organon (Greek for “tool”).  The Organon included the Categories, On Interpretation, the Prior Analytics, the Posterior Analytics, the Topics, and On Sophistical Refutations.  These books touch on many issues: the logical structure of propositions, the proper structure of arguments (syllogisms), the difference between induction and deduction, the nature of scientific knowledge, basic fallacies (forms of specious reasoning), debating techniques, and so on.  But we cannot confine our present investigations to the Organon.  Aristotle comments on the principle of non-contradiction in the Metaphysics, on less rigorous forms of argument in the Rhetoric, on the intellectual virtues in the Nicomachean Ethics, on the difference between truth and falsity in On the Soul, and so on.  We cannot overlook such important passages if we wish to gain an adequate understanding of Aristotelian logic.

2. Categories

The world, as Aristotle describes it in his Categories, is composed of substances—separate, individual things—to which various characterizations or properties can be ascribed.  Each substance is a unified whole composed of interlocking parts.  There are two kinds of substances.  A primary substance is (in the simplest instance) an independent (or detachable) object, composed of matter, characterized by form.  Individual living organisms—a man, a rainbow trout, an oak tree—provide the most unambiguous examples of primary substances.  Secondary substances are the larger groups, the species or genera, to which these individual organisms belong.  So man, horse, mammals, animals (and so on) would be examples of secondary substances.  As we shall see, Aristotle’s logic is about correctly attributing specific properties to secondary substances (and therefore, indirectly, about attributing these properties to primary substances or individual things).

Aristotle elaborates a logic that is designed to describe what exists in the world.  We may well wonder then, how many different ways can we describe something?  In his Categories (4.1b25-2a4), Aristotle enumerates ten different ways of describing something.  These categories (Greek=kategoria, deriving from the verb to indicate, signify) include (1) substance, (2) quantity, (3) quality, (4) relation, (5) where, (6) when, (7) being-in-a-position, (8) possessing, (9) doing or (10) undergoing something or being affected by something.  In the Topics (I.9, 103b20-25), he includes the same list, replacing “substance” (ousia) with “essence” (ti esti).  We can, along with Aristotle, give an example of each kind of description: (1) to designate something as a “horse” or a “man” is to identify it as a substance or to attribute an essence to it; (2) to say that the wall is four feet long is to describe it in terms of quantity; (3) to say that the roof  is “white” is to ascribe a quality to it; (4) to say that your weight is “double” mine is to describe a relation between the two; (5) to say something happened in the market-place is to explain where; (6) to say it happened last year is to explain when; (7) to say an old man is sitting is to describe his position; (8) to say the girl has shoes on is to describe what she possesses; (9) to say the head chef is cutting a carrot with a knife is to describe what he is doing; and finally, (10) to say wood is being burned in the fireplace is to describe what it means for the wood to undergo burning or to be affected by fire.  Commentators claim that these ten categories represent either different descriptions of being or different kinds of being.  (To be a substance is to be in a certain way; to possess quantity is to be in a certain way; to possess a quality is to be in a certain way, and so on.)  There is nothing magical about the number ten.  Aristotle gives shorter lists elsewhere. (Compare Posterior Analytics, I.22.83a22-24, where he lists seven predications, for example).  Whether Aristotle intends the longer lists as a complete enumeration of all conceivable types of descriptions is an open question.  Scholars have noticed that the first category, substance or essence, seems to be fundamentally different than the others; it is what something is in the most complete and perfect way.

3. From Words into Propositions

Aristotle does not believe that all reasoning deals with words.  (Moral decision-making is, for Aristotle, a form of reasoning that can occur without words.)  Still, words are a good place to begin our study of his logic.  Logic, as we now understand it, chiefly has to do with how we evaluate arguments.  But arguments are made of statements, which are, in turn, made of words.  In Aristotelian logic, the most basic statement is a proposition, a complete sentence that asserts something.  (There are other kinds of sentences—prayers, questions, commands—that do not assert anything true or false about the world and which, therefore, exist outside the purview of logic.)  A proposition is ideally composed of at least three words: a subject (a word naming a substance), a predicate (a word naming a property), and a connecting verb, what logicians call a copula (Latin, for “bond” or “connection”).  Consider the simple statement: “Socrates is wise.”  Socrates is the subject; the property of being wise is the predicate, and the verb “is” (the copula) links Socrates and wisdom together in a single affirmation.  We can express all this symbolically as “S is P” where “S” stands for the subject “Socrates” and “P” stands for the predicate “being wise.”  The sentence “Socrates is wise” (or symbolically, “S is P”) qualifies as a proposition; it is a statement that claims that something is true about the world.  Paradigmatically, the subject would be a (secondary) substance (a natural division of primary substances) and the predicate would be a necessary or essential property as in:  “birds are feathered,” or “triangles have interior angles equal to two right angles,” or “fire is upward-moving.”  But any overly restrictive metaphysical idea about what terms in a proposition mean seems to unnecessarily restrict intelligent discourse.  Suppose someone were to claim that “anger is unethical.”  But anger is not a substance; it is a property of a substance (an organism).  Still, it makes perfect sense to predicate properties of anger.  We can say that anger is unethical, hard to control, an excess of passion, familiar enough, and so on.  Aristotle himself exhibits some flexibility here.  Still, there is something to Aristotle’s view that the closer a proposition is to the metaphysical structure of the world, the more it counts as knowledge.  Aristotle has an all-embracing view of logic and yet believes that, what we could call “metaphysical correctness” produces a more rigorous, scientific form of logical expression.

Of course, it is not enough to produce propositions; what we are after is true propositions.  Aristotle believes that only propositions are true or false.  Truth or falsity (at least with respect to linguistic expression) is a matter of combining words into complete propositions that purport to assert something about the world.  Individual words or incomplete phrases, considered by themselves, are neither true or false.  To say, “Socrates,” or “jumping up and down,” or “brilliant red” is not to assert anything true or false about the world.  It is to repeat words without making any claim about the way things are.  In the Metaphysics, Aristotle provides his own definition of true and false: “to say of what is that it is, and of what is not that it is not, is true”; and “to say of what is that it is not, or of what is not that it is, is false.” (IV.7.1011b25, Ross.)  In other words, a true proposition corresponds to way things are.  But Aristotle is not proposing a correspondence theory of truth as an expert would understand it.  He is operating at a more basic level.  Consider the statement: “Spiders have eight legs.”  (Symbolically, “All S is P,” where S, the subject, is “spiders”; P, the predicate, is “the state of being eight-legged,” and the verb “is” functions as the copula.)  What does it mean to say that this claim is true?  If we observe spiders to discover how many legs they have, we will find that (except in a few odd cases) spiders do have eight legs, so the proposition will be true because what it says matches reality.  As we shall see, Aristotle’s logic is designed to produce just this kind of general statement.

4. Kinds of Propositions

Aristotle suggests that all propositions must either affirm or deny something.  Every proposition must be either an affirmation or a negation; it cannot be both.  He also points out that propositions can make claims about what necessarily is the case, about what possibly is the case, or even about what is impossible.  His modal logic, which deals with these further qualifications about possibility or necessity, presents difficulties of interpretation.  We will focus on his assertoric (or non-modal) logic here.  Still, many of Aristotle’s points about necessity and possibility seem highly intuitive.  In one famous example about a hypothetical sea battle, he observes that the necessary truth of a mere proposition does not trump the uncertainty of future events.  Because it is necessarily true that there will be or will not be a sea battle tomorrow, we cannot conclude that either alternative is necessarily true.  (De Interpretatione, 9.19a30ff.)  So the necessity that attaches to the proposition “there will or will not be a sea battle tomorrow” does not transfer over to the claim ‘that there will be a sea battle tomorrow” or to the claim “there will not be a sea battle tomorrow.”  Aristotle goes out of his way to emphasize the point that our personal beliefs about what will happen in the future do not determine whether the individual propositions are true.  (Note that we must not confuse the necessary truth of a proposition with the necessity that precipitates the conclusion of a deductively-valid argument. The former is sometimes called “material,” “non-logical,” or “metaphysical” necessity; the later, “formal,” “deductive,” or “logical” necessity.”  We discuss these issues further below.)

Aristotle claims that all propositions can be expressed using the “Subject copula Predicate” formula and that complex propositions are, on closer inspection, collections of simpler claims that display, in turn, this fundamental structure.  Having fixed the proper logical form of a proposition, he goes on to classify different kinds of propositions.  He begins by distinguishing between particular terms and universal terms.  (The term he uses for “universal” is the Greek “katholou.”)  Particular terms refer to individual things; universal terms refer to groups of things.  The name “Socrates” is a particular term because it refers to a single human being; the word “spiders” is a universal term for it universally applies to all members of the group “spiders.”  Aristotle realizes, of course, that universal terms may be used to refer to parts of a group as well as to entire groups.  We may claim that all spiders have eight legs or that only some spiders have book-lungs.  In the first case, a property, eight-leggedness, is predicated of the entire group referred to by the universal term; in the second case, the property of having book-lungs is predicated of only part of the group.  So, to use Aristotelian language, one may predicate a property universally or not universally of the group referred to by a universal term.

This brings us to Aristotle’s classification of the four different kinds of categorical propositions (called “categorical propositions” because they assert a relationship between two categories or kinds).  Each different categorical proposition possesses quantity insomuch as it represents a universal or a particular predication (referring to all or only some members of the subject class).  It also possesses a definite quality (positive or negative) insomuch as it affirms or denies the specified predication.  The adjectives “all,” “no,” and “some” (which is understood as meaning “at least one”) determine the quantity of the proposition; the quality is determined by whether the verb is in the affirmative or the negative.  Rather than going into the details of Aristotle’s original texts, suffice it to say that contemporary logicians generally distinguish between four logical possibilities:

1.  Universal Affirmation: All S are P (called A statements from the Latin, “AFFIRMO”: I affirm).

2.  Universal Negation: No S are P (called E statements from “NEGO”: I deny).

3.  Particular Affirmation: Some S are P (called I statements from AFFIRMO).

4.  Particular Negation: Some S are not P (called O statements from NEGO).

Note that these four possibilities are not, in every instance, mutually exclusive.  As mentioned above, particular statements using the modifier “some” refer to at least one member of a group.  To say that “some S are P” is to say that “at least one S is P”; to say that “some S are not P” is to say that “at least one S is not P.”  It must follow then (at least on Aristotle’s system) that universal statements require the corresponding particular statement.  If “All S are P,” at least one S must be P; that is, the particular statement “Some S are P” must be true.  Again, if “No S are P,” at least one S must not be P; that is, the particular statement “Some S are not P” must be true.  (More on this, with qualifications, below.)  Note also that Aristotle treats propositions with an individual subject such as “Socrates is wise” as universal propositions (as if the proposition was saying something like “all instances of Socrates” are wise.)  One caveat:  Although we cannot linger on further complications here, keep in mind that this is not the only way to divide up logical possibility.

5. Square of Opposition

Aristotle examines the way in which these four different categorical propositions are related to one another.  His views have come down to us as “the square of opposition,” a mnemonic diagram that captures, systematizes, and slightly extends what Aristotle says in De Interpretatione. (Cf. 6.17a25ff.)

Figure 1

The Traditional Square of Opposition

 

As it turns out, we can use a square with crossed interior diagonals (Fig. 1 above) to identify four kinds of relationships that hold between different pairs of categorical propositions.  Consider each relationship in turn.

1)  Contradictory propositions possess opposite truth-values.  In the diagram, they are linked by a diagonal line.  If one of two contradictories is true, the other must be false, and vice versa.  So the A proposition (All S are P) and the O proposition (Some S are not P) are contradictories.  Clearly, if it is true that “all S are P,” then the O statement that “some S are not P” must be false.  And if it is true that “some S are not P,” then the A statement that “all S are P” must be false.  The same relationship holds between E (No S are P) and I (Some S are P) propositions.  To use a simple example: If it is true that “all birds lay eggs,” then it must be false that “some birds do not lay eggs.”  And if it is true that “some birds do not fly,” then it must be false that “all birds fly.”

2)  Contrary propositions cannot both be true.  The top horizontal line in the square joining the A proposition (All S are P) to the E proposition (No S are P) represents this logical relationship.  Clearly, it cannot be true that “all S are P” and that “no S are P.”  The truth of one of these contrary propositions excludes the truth of the other.  It is possible, however, that both statements are false as in the case where some S are P and some (other) S are not P.  So, for example, the statements “all politicians tell lies” and “no politicians tell lies” cannot both be true.  They will, however, both be false if it is indeed the case that some politicians tell lies whereas some do not.

3)  The relationship of subalternation results when the truth of a universal proposition, “the superaltern,” requires the truth of a second particular proposition, “the subaltern.”  The vertical lines moving downward from the top to the bottom of the square in the diagram represent this condition.  Clearly, if all members of an existent group possess (or do not possess) a specific characteristic, it must follow that any smaller subset of that group must possess (or not possess) that specific characteristic.  If the A proposition (All S are P) is true, it must follow that the I proposition (“Some S are P”) must be true.  Again, if the E proposition (No S are P) is true, it must follow that the O proposition (Some S are not P) must be true.  Consider, for example, the statement, “all cheetahs are fast.”  If every member of the whole group of cheetahs is fast, then it must be the case that at least one member of the group of cheetahs is fast; that is, the statement “some cheetahs are fast” must be true.  And, to reformulate the same example as a negation, if it is true that “no cheetahs are slow,” then it must be the case that at least one member of the group of cheetahs is not slow; that is, the statement “some cheetahs are not slow” must be true.

Note that subalternation does not work in the opposite direction.  If “Some S are P,” it need not follow that “All S are P.”  And if “Some S are not P,” it need not follow that “No S are P.”  We should also point out that if the subaltern is false, it must follow that the superaltern is false.  If it is false to say that “Some S are P,” it must be false to say that “All S are P.”  And if it is false to say that “Some S are not P,” it must be false to say that “No S are P.”

4)  Subcontrary propositions cannot both be false.  The bottom horizontal line in the square joining the I proposition (Some S are P) to the O proposition (Some S are not P) represents this kind of subcontrary relationship.  Keeping to the assumptions implicit in Aristotle’s system, there are only three possibilities: (1) All S have property P; in which case, it must also be true (by subalternation) that “some S are P.”  (2) No S have property P; in which case it must also be true (by subalternation) that “some S are not P.”  (3)  Some S have and some S do not have property P; in which case it will be true that “some S are P” and that “some S are not P.”  It follows that at least one of a pair of subcontrary propositions must be true and that both will be true in cases where P is partially predicated of S.  So, for example, both members of the subcontrary pair “some men have beards” and “some men do not have beards” are true.  They are both true because having a beard is a contingent or variable male attribute.  In contrast, only one member of the subcontrary pair “some snakes are legless” and “some snakes are not legless” is true.  As all snakes are legless, the proposition “some snakes are not legless” must be false.

Traditional logicians, inspired by Aristotle’s wide-ranging comments, identified a series of “immediate inferences” as a way of deriving new propositions through a routine rearrangement of terms.  Subalternation is an obvious example of immediate inference.  From “All S are P” we can immediately infer—that is, without argument—that “some S are P.”  They also recognized conversion, obversion, and contraposition as immediate inferences.

In conversion, one interchanges the S and P terms.  If, for example, we know that “No S is P,” we can immediately infer that “No P is S.”  (Once we know that “no circles are triangles,” we know right away that “no triangles are circles.”)

In obversion, one negates the predicate term while replacing it with the predicate term of opposite quality.  If, for example, we know that “Some S are P,” we can immediately infer the obverse, “Some S are not non-P.”  (Once we know that “some students are happy,” we know right away that “some students are not unhappy.”)

Finally, in contraposition, one negates both terms and reverses their order.  If, for example, we know that “All S are P,” we can infer the contrapositive “All non-P are non-S.”  (Once we know that “all voters are adults,” we know right away that “all children are unable to vote.”)  More specific rules, restrictions, and details are readily available elsewhere.

6. Laws of Thought

During the 18th, 19th, and early 20th Century, scholars who saw themselves as carrying on the Aristotelian and Medieval tradition in logic, often pointed to the “laws of thought” as the basis of all logic.  One still encounters this approach in textbook accounts of informal logic.  The usual list of logical laws (or logical first principles) includes three axioms: the law of identity, the law of non-contradiction, and the law of excluded middle.  (Some authors include a law of sufficient reason, that every event or claim must have a sufficient reason or explanation, and so forth.)  It would be a gross simplification to argue that these ideas derive exclusively from Aristotle or to suggest (as some authors seem to imply) that he self-consciously presented a theory uniquely derived from these three laws.  The idea is rather that Aristotle’s theory presupposes these principles and/or that he discusses or alludes to them somewhere in his work.  Traditional logicians did not regard them as abstruse or esoteric doctrines but as manifestly obvious principles that require assent for logical discourse to be possible.

The law of identity could be summarized as the patently unremarkable but seemingly inescapable notion that things must be, of course, identical with themselves.  Expressed symbolically: “A is A,” where A is an individual, a species, or a genus.  Although Aristotle never explicitly enunciates this law, he does observe, in the Metaphysics, that “the fact that a thing is itself is [the only] answer to all such questions as why the man is man, or the musician musical.” (VII.17.1041a16-18, Ross.)  This suggests that he does accept, unsurprisingly, the perfectly obvious idea that things are themselves.  If, however, identical things must possess identical attributes, this opens the door to various logical maneuvers.  One can, for example, substitute equivalent terms for one another and, even more portentously, one can arrive at some conception of analogy and induction.  Aristotle writes, “all water is said to be . . .  the same as all water  . . .  because of a certain likeness.” (Topics, I.7.103a19-20, Pickard-Cambridge.)  If water is water, then by the law of identity, anything we discover to be water must possess the same water-properties.

Aristotle provides several formulations of the law of non-contradiction, the idea that logically correct propositions cannot affirm and deny the same thing:

“It is impossible for anyone to believe the same thing to be and not be.” (Metaphysics, IV.3.1005b23-24, Ross.)

“The same attribute cannot at the same time belong and not belong to the same subject in the same respect.” (Ibid., IV.3.1005b19-20.)

“The most indisputable of all beliefs is that contradictory statements are not at the same time true.” (Ibid., IV.6.1011b13-14.)

Symbolically, the law of non-contradiction is sometimes represented as “not (A and not A).”

The law of excluded middle can be summarized as the idea that every proposition must be either true or false, not both and not neither.  In Aristotle’s words, “It is necessary for the affirmation or the negation to be true or false.”  (De Interpretatione, 9.18a28-29, Ackrill.)  Symbolically, we can represent the law of excluded middle as an exclusive disjunction: “A is true or A is false,” where only one alternative holds.  Because every proposition must be true or false, it does not follow, of course, that we can know if a particular proposition is true or false.

Despite perennial challenges to these so-called laws (by intuitionists, dialetheists, and others), Aristotelians inevitably claim that such counterarguments hinge on some unresolved ambiguity (equivocation), on a conflation of what we know with what is actually the case, on a false or static account of identity, or on some other failure to fully grasp the implications of what one is saying.

7. Existential Assumptions

Before we move on to consider Aristotle’s account of the syllogism, we need to clear up some widespread misconceptions and explain a few things about Aristotle’s project as a whole.  Criticisms of Aristotle’s logic often assume that what Aristotle was trying to do coincides with the basic project of modern logic.  Begin with the usual criticism brought against the traditional square of opposition.  For reasons we will not explore, modern logicians assume that universal claims about non-existent objects (or empty sets) are true but that particular claims about them are false.  On this reading, the claim that “all fairy-god mothers are beautiful” is true, whereas the claim that “some fairy-god mothers are beautiful” is false.  Clearly, this clashes with the traditional square of opposition.  By simple subalternation, the truth of the proposition “all fairy-god mothers are beautiful” requires the truth of the proposition “some fairy-god mothers are beautiful.”  If the first claim is true, the second claim must also be true.  For this and similar reasons, some modern logicians dismiss the traditional square as inadequate, claiming that Aristotle made a mistake or overlooked relevant issues.  Aristotle, however, is involved in a specialized project.  He elaborates an alternative logic, specifically adapted to the problems he is trying to solve.

Aristotle devises a companion-logic for science.  He relegates fictions like fairy godmothers and mermaids and unicorns to the realms of poetry and literature.  In his mind, they exist outside the ambit of science.  This is why he leaves no room for such non-existent entities in his logic.  This is a thoughtful choice, not an inadvertent omission.  Technically, Aristotelian science is a search for definitions, where a definition is “a phrase signifying a thing’s essence.” (Topics, I.5.102a37, Pickard-Cambridge.)  To possess an essence—is literally to possess a “what-it-is-to-be” something (to ti ēn einai).  Because non-existent entities cannot be anything, they do not, in Aristotle’s mind, possess an essence.  They cannot be defined.  Aristotle makes this point explicitly in the Posterior Analytics.  He points out that a definition of a goat-stag, a cross between a goat and a deer (the ancient equivalent of a unicorn), is impossible.  He writes, “no one knows the nature of what does not exist—[we] can know the meaning of the phrase or name ‘goat-stag’ but not what the essential nature of a goat-stag is.” (II.7.92b6-8, Mure.)  Because we cannot know what the essential nature of a goat-stag is—indeed, it has no essential nature—we cannot provide a proper definition of a goat-stag.  So the study of goat-stags (or unicorns) is not open to scientific investigation.  Aristotle sets about designing a logic that is intended to display relations between scientific propositions, where science is understood as a search for essential definitions.  This is why he leaves no place for fictional entities like goat-stags (or unicorns).  Hence, the assumed validity of a logical maneuver like subalternation.

8. Form versus Content

However, this is not the only way Aristotle’s approach parts ways with more modern assumptions.  Some modern logicians might define logic as that philosophical inquiry which considers the form not the content of propositions.  Aristotle’s logic is unapologetically metaphysical.  We cannot properly understand what Aristotle is about by separating form from content.  Suppose, for example, I was to claim that (1) all birds have feathers and (2) that everyone in the Tremblay family wears a red hat.  These two claims possess the same very same propositional form, A.  We can represent the first claim as: “All S are P,” where S=birds, and P=being feathered.  And we can also represent the second claim as “All S are P,” where S=members of the Tremblay family, and P=wearing a red hat.  Considered from an Aristotelian point of view, however, these two “All S are P” propositions possess a very different logical status.  Aristotle would view the relationship between birds and feathers expressed in the first proposition as a necessary link, for it is of the essence of birds to be feathered.  Something cannot be a bird and lack feathers.  The link between membership in the Tremblay family and the practice of wearing a red hat described in the second proposition is, in sharp contrast, a contingent fact about the world.  A member of the Tremblay family who wore a green hat would still be a member of the Tremblay family.  The fact that the Tremblays only wear red hats (because it is presently the fashion in Quebec) is an accidental (or surface) feature of what a Tremblay is.  So this second relationship holds in a much weaker sense.  In Aristotle’s mind, this has important consequences not just for metaphysics, but for logic.

It is hard to capture in modern English the underlying metaphysical force in Aristotle’s categorical statements.  In the Prior Analytics Aristotle renders the phrase “S is P” as “P belongs to S.”  The sense of belonging here is crucial.  Aristotle wants a logic that tells us what belongs to what.  But there are different levels of belonging.  My billfold belongs to me but this is a very tenuous sort of belonging.  The way my billfold belongs to me pales in significance to, say, the way a bill belongs to a duck-billed platypus.  It is not simply that the bill is physically attached to the platypus.  Even if you were to cut off the bill of a platypus, this would just create a deformed platypus; it would not change the sense of necessary belonging that connects platypuses and bills.  The deep nature of a platypus requires—it necessitates—a bill.  In so much as logic is about discovering necessary relationships, it is not the mere arrangement of terms and symbols but their substantive meaning that is at issue.

As only one consequence of this “metaphysical attitude,” consider Aristotle’s attitude towards inductive generalizations. Aristotle would have no patience for the modern penchant for purely statistical interpretations of inductive generalizations.  It is not the number of times something happens that matters.  It is the deep nature of the thing that counts.  If the wicked boy (or girl) next door pulls three legs off a spider, this is just happenstance.  This five-legged spider does not (for Aristotle) present a serious counterexample to the claim that “all spiders are eight-legged.”  The fact that someone can pull legs off a spider does not change the fact that there is a necessary connection between spiders and having eight legs.  Aristotle is too keen a biologist not to recognize that there are accidents and monstrosities in the world, but the existence of these individual imperfections does not change the deep nature of things.  Aristotle recognizes then that some types of belonging are more substantial—that is, more real—than others.  But this has repercussions for the ways in which we evaluate arguments.  In Aristotle’s mind, the strength of the logical connection that ties a conclusion to the premises in an argument depends, decisively, on the metaphysical status of the claims we are making.  Another example may help.  Suppose I were to argue, first:  “Ostriches are birds; all birds have feathers, therefore, ostriches have feathers.”  Then, second, “Hélène is the youngest daughter of the Tremblay family; all members of the Tremblay family wear red hats; therefore, Hélène wears a red hat.”  These arguments possess the same form.  (We will worry about formal details later.)  But, to Aristotle’s way of thinking, the first argument is, logically, more rigorous than the second.  Its conclusion follows from the essential and therefore necessary features of birds.  In the second argument, the conclusion only follows from the contingent state of fashion in Quebec.  In Aristotelian logic, the strength of an argument depends, in some important way, on metaphysical issues.  We can’t simply say “All S are P; and so forth” and be done with it.  We have to know what “S” and “P” stand for.  This is very different than modern symbolic logic.  Although Aristotle does use letters to take the place of variable terms in a logical relation, we should not be misled into thinking that the substantive content of what is being discussed does not matter.

9. The Syllogism

We are now in a position to consider Aristotle’s theory of the syllogism.  Although one senses that Aristotle took great pride in these accomplishments, we could complain that the persistent focus on the mechanics of the valid syllogism has obscured his larger project.  We will only cover the most basic points here, largely ignoring hypothetical syllogisms, modal syllogisms, extended syllogisms (sorites), inter alia.  The syllogistic now taught in undergraduate philosophy departments represents a later development of Aristotle’s ideas, after they were reworked at the hands of Medieval and modern logicians.  We will begin with a brief account of the way syllogisms are presented in modern logic and then move on to discussion of Aristotle’s somewhat different account.

We can define a syllogism, in relation to its logical form, as an argument made up of three categorical propositions, two premises (which set out the evidence), and a conclusion (that follows logically from the premises).  In the standard account, the propositions are composed of three terms, a subject term, a predicate term, and a middle term: the subject term is the (grammatical) subject of the conclusion; the predicate term modifies the subject in the conclusion, and the middle term links the subject and predicate terms in the premises.  The subject and predicate terms appear in different premises; the middle term appears once in each premise.  The premise with the predicate term and the middle term is called the major premise; the premise with the subject term and the middle term is called the minor premise.  Because syllogisms depend on the precise arrangement of terms, syllogistic logic is sometimes referred to as term logic.  Most readers of this piece are already familiar with some version of a proverbial (non-Aristotelian) example: “All men are mortal; (all) Socrates, Plato, and Aristotle are men; therefore, Socrates, Plato and Aristotle are mortal.”  If we symbolize the three terms in this syllogism such that Middle Term, M=man; Subject Term, S=Socrates, Plato, Aristotle; Predicate Term, P=mortal; we can represent the argument as: Major Premise:  All M is P;  Minor Premise:  All S is M;  Conclusion:  So, All S is P.  In the Middle Ages, scholars came up with Latin names for valid syllogisms, using vowels to represent the position of each categorical proposition.  (Their list is readily available elsewhere.)  The precise arrangement of propositions in this syllogism goes by the Latin moniker “Barbara” because the syllogism is composed of three A propositions: hence, BArbArA: AAA.  A syllogism in Barbara is clearly valid where validity can be understood (in modern terms) as the requirement that if the premises of the argument are true, then the conclusion must be true.  Modern textbook authors generally prove the validity of syllogisms in two ways.  First, they use a number of different rules.  For example: “when major and minor terms are universal in the conclusion they must be universal in the premises”; “if one premise is negative, the conclusion must be negative”; “the middle term in the premises must be distributed (include every member of a class) at least once,” and so on.  Second, they use Venn diagrams, intersecting circles marked to indicate the extension (or range) of different terms, to determine if the information contained in the conclusion is also included in the premises.

Modern logicians, who still hold to traditional conventions, classify syllogisms according to figure and mood.  The four figure classification derives from Aristotle; the mood classification, from Medieval logicians.  One determines the figure of a syllogism by recording the positions the middle term takes in the two premises.  So, for Barbara above, the figure is MP-SM, generally referred to as Figure 1.  One determines the mood of a syllogism by recording the precise arrangement of categorical propositions.  So, for Barbara, the mood is AAA.  By tabulating figures and moods, we can make an inventory of valid syllogisms.  (Medieval philosophers devised a mnemonic poem for such purposes that begins with the line “Barbara, Celarent, Darii, Ferioque priorisis.”  Details can be found in many textbooks.)  Although traditional classroom treatments prefer to stick to this time-honoured approach, Fred Sommers and George Englebretsen have devised a more up-to-date term logic that uses equations with “+” and “−” operators and is more attuned to natural language reasoning than the usual predicate logic.  Turn then to a brief discussion of Aristotle’s own account of the syllogism.

As already mentioned, we need to distinguish between two kinds of necessity.  Aristotle believes in metaphysical or natural necessity.  Birds must have feathers because that is their nature.  So the proposition “All birds have feathers” is necessarily true.”  But Aristotle identifies the syllogistic form with the logical necessity that obtains when two separate propositions necessitate a third.  He defines a sullogismos as “a discourse [logos] in which, certain things being stated, something other than what is stated follows of necessity from them.” (Prior Analytics, I.1.24b18-20, Jenkinson.)  The emphasis here is on the sense of inevitable consequence that precipitates a conclusion when certain forms of propositions are added together.  Indeed, the original Greek term for syllogism is more rigorously translated as “deduction.”  In the Prior Analytics, Aristotle’s method is exploratory.  He searches for pairs of propositions that combine to produce a necessary conclusion.  He begins by accepting that a few syllogisms are self-evidently (or transparently) true.  Barbara, AAA-Fig.1, discussed above, is the best example of this kind of “perfect syllogism.”  Another example of a perfect syllogism is Celarent: EAE-Fig.1.  On seeing the arrangement of terms in such cases, one immediately understands that the conclusion follows necessarily from the premises.  In the case of imperfect syllogisms Aristotle relies on a method of proof that translates them, step-by-step, into perfect syllogisms through a careful rearrangement of terms.  He does this directly, through conversion, or indirectly, through the relationships of contradiction and contrariety outlined in the square of opposition.  To cite only one very simple example, consider a brief passage in the Prior Analytics (I.5.27a5ff) where Aristotle demonstrates that the propositions “No P are M,” and “All S are M” can be combined to produce a syllogism with the conclusion, “No S are P.”  If “No P are M,” it must follow that “No M are P” (conversion); but “No M are P” combined with the second premise, “All S are M” proves that “No S are P.”  (This is to reduce the imperfect syllogism Cesare to the perfect syllogism Celarent.)  This conversion of an imperfect syllogism into a perfect syllogism demonstrates that the original arrangement of terms is a genuine deduction.  In other cases, Aristotle proves that particular arrangements of terms cannot yield proper syllogisms by showing that, in these instances, true premises lead to obviously false or contradictory conclusions.  Alongside these proofs of logical necessity, Aristotle derives general rules for syllogisms, classifies them according to figure, and so on.

It is important to reiterate that Aristotelian syllogisms are not (primarily) about hypothetical sets, imaginary classes, or purely abstract mathematical entities.  Aristotle believes there are natural groups in the world—species and genera—made up of individual members that share a similar nature, and hence similar properties.   It is this sharing of individual things in a similar nature that makes universal statements possible.  Once we have universal terms, we can make over-arching statements that, when combined, lead inescapably to specific results.  In the most rigorous syllogistic, metaphysical necessity is added to logical necessity to produce an unassailable inference.  Seen in this Aristotelian light, syllogisms can be construed as a vehicle for identifying the deep, immutable natures that make things what they are.

Medieval logicians summarized their understanding of the rationale underlying the syllogism in the so-called dictum de omni et nullo (the maxim of all and none), the principle that whatever is affirmed or denied of a whole must be affirmed or denied of a part (which they alleged derived from a reading of Prior Analytics I.1.24b27-30).  Some contemporary authors have claimed that Aristotelian syllogistic is at least compatible with a deflationary theory of truth, the modern idea that truth-claims about propositions amount to little more than an assertion of the statement itself.  (To say that “S is P” is true, is just to assert “S is P.”)  Perhaps it would be better to say that one can trace the modern preoccupation with validity in formal logic to the distinction between issues of logical necessity and propositional truth implicit in Aristotle.  In Aristotle’s logic, arguments do not take the form: “this state of affairs is true/false,” “this state of affairs is true/false,” therefore this state of affairs is true/false.”  We do not argue “All S is M is true” but merely, “All S is M.”  When it comes to determining validity—that is, when it comes to determining whether we have discovered a true syllogism—the question of the truth or falsity of propositions is pushed aside and attention is focused on an evaluation of the logical connection between premises and conclusion.  Obviously, Aristotle recognizes that ascertaining the material truth of premises is an important part of argument evaluation, but he does not present a “truth-functional” logic.  The concept of a “truth value” does not play any explicit role in his formal analysis the way it does, for example, with modern truth tables.  Mostly, Aristotle wants to know what we can confidently conclude from two presumably true premises; that is, what kind of knowledge can be produced or demonstrated if two given premises are true.

10. Inductive Syllogism

Understanding what Aristotle means by inductive syllogism is a matter of serious scholarly dispute.  Although there is only abbreviated textual evidence to go by, his  account of inductive argument can be supplemented by his ampler account of its rhetorical analogues, argument from analogy and argument from example.  What is clear is that Aristotle thinks of induction (epagoge) as a form of reasoning that begins in the sense perception of particulars and ends in a understanding that can be expressed in a universal proposition (or even a concept).  We pick up mental momentum through a familiarity with particular cases that allows us to arrive at a general understanding of an entire species or genus.  As we discuss below, there are indications that Aristotle views induction, in the first instance, as a manifestation of immediate understanding and not as an argument form.  Nonetheless, in the Prior Analytics II.23 (and 24), he casts inductive reasoning in syllogistic form, illustrating the “syllogism that springs out of induction” (ho ex epagoges sullogismos) by an argument about the longevity of bileless animals.

Relying on old biological ideas, Aristotle argues that we can move from observations about the longevity of individual species of bileless animals (that is, animals with clean-blood) to the universal conclusion that bilelessness is a cause of longevity.  His argument can be paraphrased in modern English: All men, horses, mules, and so forth, are long-lived; all men, horses, mules, and so forth, are bileless animals; therefore, all bileless animals are long-lived.  Although this argument seems, by modern standards, invalid, Aristotle apparently claims that it is a valid deduction.  (Remember that the word “syllogism” means “deduction,” so an “inductive syllogism” is, literally, an “inductive deduction.”)  He uses a technical notion of “convertibility” to formally secure the validity of the argument.  According to this logical rule, terms that cover the same range of cases (because they refer to the same nature) are interchangeable (antistrepho).  They can be substituted for one another.  Aristotle believes that because the logical terms “men, horses, mules, etc” and “bileless animals” refer to the same genus, they are convertible.  If, however, we invert the terms in the proposition “all men, horses, mules, and so forth, are bileless animals” to “all bileless animals are men, horses, mules, and so forth,” we can then rephrase the original argument: All men, horses, mules, and so forth, are long-lived; all bileless animals are men, horses, mules, and so forth; therefore, all bileless animals are long-lived.  This revised induction possesses an obviously valid form (Barbara, discussed above).  Note that Aristotle does not view this inversion of terms as a formal gimmick or trick; he believes that it reflects something metaphysically true about shared natures in the world.  (One could argue that inductive syllogism operates by means of the quantification of the predicate term as well as the subject term of a categorical proposition, but we will not investigate that issue here.)

These passages pose multiple problems of interpretation.  We can only advance a general overview of the most important disagreements here.  We might identify four different interpretations of Aristotle’s account of the inductive syllogism.  (1)  The fact that Aristotle seems to view this as a valid syllogism has led many commentators (such as Ross, McKirahan, Peters) to assume that he is referring to what is known as “perfect induction,” a generalization that is built up from a complete enumeration of particular cases.  The main problem here is that it seems to involve a physical impossibility.  No one could empirically inspect every bileless animal (and/or species) to ascertain that the connection between bilelessness and longevity obtains in every case.  (2) Some commentators combine this first explanation with the further suggestion that the bileless example is a rare case and that Aristotle believes, in line with modern accounts, that most inductions only produce probable belief.  (Cf. Govier’s claim that there is a “tradition going back to Aristotle, which maintains that there are  . . .  only two broad types of argument: deductive arguments which are conclusive, and inductive arguments, which are not.”  (Problems in Argument Analysis, 52.))  One problem with such claims is that they overlook the clear distinction that Aristotle makes between rigorous inductions and rhetorical inductions (which we discuss below).  (3)  Some commentators claim that Aristotle (and the ancients generally) overlooked the inherent tenuousness of the inductive reasoning.  On this account, Empiricists such as Locke and Hume discovered something seriously wrong about induction that escaped the notice of an ancient author like Aristotle.  Philosophers in the modern Anglo-American tradition largely favor this interpretation.  (Cf. Garrett’s and Barbanell’s insistence that “Hume was the first to raise skeptical doubts about inductive reasoning, leaving a puzzle as to why the concerns he highlighted had earlier been so completely overlooked.”  (“Induction,” 172.)  Such allegations do not depend, however, on any close reading of a wealth of relevant passages in the Aristotelian corpus and in ancient philosophy generally.  (4) Finally, a minority contemporary view, growing in prominence, has argued that Aristotle did not conceive of induction as an enumerative process but as a matter of intelligent insight into natures.  (Cf. McCaskey, Biondi, Rijk , Groarke.)  On this account, Aristotle does not mean to suggest that inductive syllogism depends on an empirical inspection of every member of a group but on a universal act of understanding that operates through sense perception.  Aristotelian induction can best be compared to modern notions of abduction or inference to the best explanation.  This non-mathematical account has historical precedents in neo-Platonism, Thomism, Idealism, and in the textbook literature of traditionalist modern logicians that opposed the new formal logic.  This view has been criticized, however, as a form of mere intuitionism dependent on an antiquated metaphysics.

The basic idea that induction is valid will raise eyebrows, no doubt.  It is important to stave off some inevitable criticism before continuing.  Modern accounts of induction, deriving, in large part, from Hume and Locke, display a mania for prediction.  (Hence Hume’s question: how can we know that the future bread we eat will nourish us based on past experience of eating bread?)  But this is not primarily how Aristotle views the problem.  For Aristotle, induction is about understanding natural kinds.  Once we comprehend the nature of something, we will, of course, be able to make predictions about its future properties, but understanding its nature is the key.  In Aristotle’s mind, rigorous induction is valid because it picks out those necessary and essential traits that make something what it is.  To use a very simple example, understanding that all spiders have eight legs—that is, that all undamaged spiders have eight legs—is a matter of knowing something deep about the biological nature that constitutes a spider.  Something that does not have eight legs is not a spider.  (Fruitful analogies might be drawn here to the notion of “a posteriori necessity” countenanced by contemporary logicians such as Hilary Putnam and Saul Kripke or to the “revised” concept of a “natural kind” advanced by authors such as Hilary Kornblith or Brian Ellis.)

It is commonly said that Aristotle sees syllogisms as a device for explaining relationships between groups.  This is, in the main, true.  Still, there has to be some room for a consideration of individuals in logic if we hope to include induction as an essential aspect of reasoning.  As Aristotle explains, induction begins in sense perception and sense perception only has individuals as its object.  Some commentators would limit inductive syllogism to a movement from smaller groups (what Aristotle calls “primitive universals”) to larger groups, but one can only induce a generalization about a smaller group on the basis of a prior observation of individuals that compose that group.  A close reading reveals that Aristotle himself mentions syllogisms dealing with individuals (about the moon, Topics, 78b4ff; about the wall, 78b13ff; about the eclipse, Posterior Analytics, 93a29ff, and so on.)  If we treat individuals as universal terms or as representative of universal classes, this poses no problem for formal analysis.  Collecting observations about one individual or about individuals who belong to a larger group can lead to an accurate generalization.

11. Deduction versus Induction

We cannot fully understand the nature or role of inductive syllogism in Aristotle without situating it with respect to ordinary, “deductive” syllogism.  Aristotle’s distinction between deductive and inductive argument is not precisely equivalent to the modern distinction.  Contemporary authors differentiate between deduction and induction in terms of validity.  (A small group of informal logicians called “Deductivists” dispute this account.)  According a well-worn formula, deductive arguments are valid; inductive arguments are invalid.  The premises in a deductive argument guarantee the truth of the conclusion: if the premises are true, the conclusion must be true.  The premises in an inductive argument provide some degree of support for the conclusion, but it is possible to have true premises and a false conclusion.  Although some commentators attribute such views to Aristotle, this distinction between strict logical necessity and merely probable or plausible reasoning more easily maps onto the distinction Aristotle makes between scientific and rhetorical reasoning (both of which we discuss below).  Aristotle views inductive syllogism as scientific (as opposed to rhetorical) induction and therefore as a more rigorous form of inductive argument.

We can best understand what this amounts to by a careful comparison of a deductive and an inductive syllogism on the same topic.  If we reconstruct, along Aristotelian lines, a deduction on the longevity of bileless animals, the argument would presumably run: All bileless animals are long-lived; all men, horses, mules, and so forth, are bileless animals; therefore, all men, horses, mules, and so forth, are long-lived.  Defining the terms in this syllogism as: Subject Term, S=men, horses, mules, and so forth; Predicate Term, P=long-lived animals; Middle Term, M=bileless animals, we can represent this metaphysically correct inference as:  Major Premise: All M are P.  Minor Premise: All S are M.  Conclusion: Therefore all S are P.  (Barbara.)  As we already have seen, the corresponding induction runs: All men, horses, mules, and so forth, are long-lived; all men, horses, mules, and so forth, are bileless animals; therefore, all bileless animals are long-lived.  Using the same definition of terms, we are left with:  Major Premise: All S are P.  Minor Premise: All S are M (convertible to All M are S).  Conclusion: Therefore, all M are P.  (Converted to Barbara.)  The difference between these two inferences is the difference between deductive and inductive argument in Aristotle.

Clearly, Aristotelian and modern treatments of these issues diverge.  As we have already indicated, in the modern formalism, one automatically defines subject, predicate, and middle terms of a syllogism according to their placement in the argument.  For Aristotle, the terms in a rigorous syllogism have a metaphysical significance as well.  In our correctly formulated deductive-inductive pair, S represents individual species and/or the individuals that make up those species (men, horses, mules, and so forth); M represents the deep nature of these things (bilelessness), and P represents the property that necessarily attaches to that nature (longevity).  Here then is the fundamental difference between Aristotelian deduction and induction in a nutshell.  In deduction, we prove that a property (P) belongs to individual species (S) because it possesses a certain nature (M); in induction, we prove that a property (P) belongs to a nature (M) because it belongs to individual species (S).  Expressed formally, deduction proves that the subject term (S) is associated with a predicate term (P) by means of the middle term (M); induction proves that the middle term (M) is associated with the predicate term (P) by means of the subject term (S).  (Cf. Prior Analytics, II.23.68b31-35.)  Aristotle does not claim that inductive syllogism is invalid but that the terms in an induction have been rearranged.  In deduction, the middle term joins the two extremes (the subject and predicate terms); in induction, one extreme, the subject term, acts as the middle term, joining the true middle term with the other extreme.  This is what Aristotle means when he maintains that in induction one uses a subject term to argue to a middle term.  Formally, with respect to the arrangement of terms, the subject term becomes the “middle term” in the argument.

Aristotle distinguishes then between induction and deduction in three different ways.  First, induction moves from particulars to a universal, whereas deduction moves from a universal to particulars.  The bileless induction moves from particular species to a universal nature; the bileless deduction moves from a universal nature to particular species.  Second, induction moves from observation to language (that is, from sense perception to propositions), whereas deduction moves from language to language (from propositions to a new proposition).  The bileless induction is really a way of demonstrating how observations of bileless animals lead to (propositional) knowledge about longevity; the bileless deduction demonstrates how (propositional) knowledge of a universal nature leads (propositional) knowledge about particular species. Third, induction identifies or explains a nature, whereas deduction applies or demonstrates a nature.  The bileless induction provides an explanation of the nature of particular species: it is of the nature of bileless organisms to possess a long life.  The bileless deduction applies that finding to particular species; once we know that it is of the nature of bileless organisms to possess a long life, we can demonstrate or put on display the property of longevity as it pertains to particular species.

One final point needs clarification.  The logical form of the inductive syllogism, after the convertibility maneuver, is the same as the deductive syllogism.  In this sense, induction and deduction possess the same (final) logical form.  But, of course, in order to successfully perform an induction, one has to know that convertibility is possible, and this requires an act of intelligence which is able to discern the metaphysical realities between things out in the world.  We discuss this issue under non-discursive reasoning below.

12. Science

Aristotle wants to construct a logic that provides a working language for rigorous science as he understands it.  Whereas we have been talking of syllogisms as arguments, Aristotelian science is about explanation.  Admittedly, informal logicians generally distinguish between explanation and argument.  An argument is intended to persuade about a debatable point; an explanation is not intended to persuade so much as to promote understanding.  Aristotle views science as involving logical inferences that move beyond what is disputable to a consideration of what is the case.  Still, the “explanatory” syllogisms used in science possess precisely the same formal structures as “argumentative” syllogisms.  So we might consider them arguments in a wider sense.  For his part, Aristotle relegates eristic reason to the broad field of rhetoric.  He views science, perhaps naively, as a domain of established fact.  The syllogisms used in science are about establishing an explanation from specific cases (induction) and then applying or illustrating this explanation to specific cases (deduction).

The ancient Greek term for science, “episteme,” is not precisely equivalent to its modern counterpart.  In Aristotle’s worldview, science, as the most rigorous sort of discursive knowledge, is opposed to mere opinion (doxa); it is about what is universal and necessary as opposed to what is particular and contingent, and it is theoretical as opposed to practical.  Aristotle believes that knowledge, understood as justified true belief, is most perfectly expressed in a scientific demonstration (apodeixis), also known as an apodeitic or scientific syllogism.  He posits a number of specific requirements for this most rigorous of all deductions.  In order to qualify as a scientific demonstration, a syllogism must possess premises that are “true, primary, immediate, better known than, prior to, and causative of the conclusion.” (Posterior Analytics, I.2.71b20ff, Tredennick.)  It must yield information about a natural kind or a group of individual things.  And it must produce universal knowledge (episteme).  Specialists have disputed the meaning of these individual requirements, but the main message is clear.  Aristotle accepts, as a general rule, that a conclusion in an argument cannot be more authoritative than the premises that led to that conclusion.  We cannot derive better (or more reliable) knowledge from worse (or less reliable) knowledge.  Given that a scientific demonstration is the most rigorous form of knowledge possible, we must start with premises that are utterly basic and as certain as possible, which are “immediately” induced from observation, and which confirm to the necessary structure of the world in a way that is authoritative and absolutely incontrovertible.  This requires a reliance on first principles which we discuss below.

In the best case scenario, Aristotelian science is about finding definitions of species that, according to a somewhat bald formula, identify the genus (the larger natural group) and the differentia (that unique feature that sets the species apart from the larger group).  As Aristotle’s focus on definitions is a bit cramped and less than consistent (he himself spends a great deal of time talking about necessary rather than essential properties), let us broaden his approach to science to focus on ostensible definitions, where an ostensible definition is either a rigorous definition or, more broadly, any properly-formulated phrase that identifies the unique properties of something.  On this looser approach, which is more consistent with Aristotle’s actual practice, to define an entity is to identify the nature, the essential and necessary properties, that make it uniquely what it is.  Suffice it to say that Aristotle’s idealized account of what science entails needs to be expanded to cover a wide range of activities and that fall under what is now known as scientific practice.  What follows is a general sketch of his overall orientation.  (We should point out that Aristotle himself resorts to whatever informal methods seem appropriate when reporting on his own biological investigations without too much concern for any fixed ideal of formal correctness.  He makes no attempt to cast his own scientific conclusions in metaphysically-correct syllogisms.  One could perhaps insist that he uses enthymemes (syllogisms with unstated premises), but mostly, he just seems to record what seems appropriate without any deliberate attempt at correct formalization.  Note that most of Aristotle’s scientific work is “historia,” an earlier stage of observing, fact-collecting, and opinion-reporting that proceeds the principled theorizing of advanced science.)

For Aristotle, even theology is a science insomuch as it deals with universal and necessary principles.  Still, in line with modern attitudes (and in opposition to Plato), Aristotle views sense-perception as the proper route to scientific knowledge.  Our empirical experience of the world yields knowledge through induction.  Aristotle elaborates then an inductive-deductive model of science.  Through careful observation of  particular species, the scientist induces an ostensible definition to explain a nature and then demonstrates the consequences of that nature for particular species.  Consider a specific case.  In the Posterior Analytics (II.16-17.98b32ff, 99a24ff), Aristotle mentions an explanation about why deciduous plants lose their leaves in the winter.  The ancients apparently believed this happens because sap coagulates at the base of the leaf (which is not entirely off the mark).  We can use this ancient example of a botanical explanation to illustrate how the business of Aristotelian science is supposed to operate.  Suppose we are a group of ancient botanists who discover, through empirical inspection, why deciduous plants such as vines and figs lose their leaves.  Following Aristotle’s lead, we can cast our discovery in the form of the following inductive syllogism:  “Vine, fig, and so forth, are deciduous.  Vine, fig, and so forth, coagulate sap.  Therefore, all sap-coagulators are deciduous.”  This induction produces the definition of “deciduous.”  (“Deciduous” is the definiendum; sap-coagulation, the definiens; the point being that everything that is a sap-coagulator is deciduous, which might not be the case if we turned it around and said “All deciduous plants are sap-coagulators.”)  But once we have a definition of “deciduous,” we can use it as the first premise in a deduction to demonstrate something about say, the genus “broad-leaved trees.”  We can apply, in other words, what we have learned about deciduous plants in general to the more specific genus of broad-leaved trees.  Our deduction will read:  “All sap-coagulators are deciduous.  All broad-leaved trees are sap-coagulators.  Therefore, all broad-leaved trees are deciduous.”  We can express all this symbolically.  For the induction, where S=vine, fig, and so forth, P=deciduous, M= being a sap-coagulator, the argument is: “All S is P; all S is M (convertible to all M is S); therefore, all M are P (converted to Barbara).  For the deduction, where S=broad-leafed trees, M=being a sap-coagulator, P=deciduous, the argument can be represented: “All M are P; all S is M; therefore, all S is P” (Barbara).  This is then the basic logic of Aristotelian science.

A simple diagram of how science operates follows (Figure 2).

Figure 2

The Inductive-Deductive Method of Aristotelian Science

Aristotle views science as a search for causes (aitia).  In a well-known example about planets not twinkling because they are close to the earth (Posterior Analytics, I.13), he makes an important distinction between knowledge of the fact and knowledge of the reasoned fact. The rigorous scientist aims at knowledge of the reasoned fact which explains why something is the way it is.  In our example, sap-coagulation is the cause of deciduous; deciduous is not the cause of sap-coagulation.  That is why “sap-coagulation” is featured here as the middle term, because it is the cause of the phenomenon being investigated.  The deduction “All sap-coagulators are deciduous; all broad-leaved trees are sap-coagulators; therefore, all broad-leaved trees are deciduous” counts as knowledge of the reasoned fact because it reveals the cause of broad-leafed deciduousness.

Aristotle makes a further distinction between what is more knowable relative to us and what is more knowable by nature (or in itself).  He remarks in the Physics, “The natural way of [inquiry] is to start from the things which are more knowable and obvious to us and proceed towards those which are clearer and more knowable by nature; for the same things are not ‘knowable relatively to us’ and ‘knowable’ without qualification.”  (I.184a15, Hardie, Gaye.)  In science we generally move from the effect to the cause, from what we see and observe around us to the hidden origins of things.  The outward manifestation of the phenomenon of “deciduousness” is more accessible to us because we can see the trees shedding their leaves, but sap-coagulation as an explanatory principle is more knowable in itself because it embodies the cause.  To know about sap-coagulation counts as an advance in knowledge; someone who knows this knows more than someone who only knows that trees shed their leaves in the fall.  Aristotle believes that the job of science is to put on display what best counts as knowledge, even if the resulting theory strays from our immediate perceptions and first concerns.

Jan Lukasiewicz, a modern-day pioneer in term logic, comments that “some queer philosophical prejudices which cannot be explained rationally” made early commentators claim that the major premise in a syllogism (the one with the middle and predicate terms) must be first.  (Aristotle’s Syllogistic, 32.)  But once we view the syllogism within the larger context of Aristotelian logic, it becomes perfectly obvious why these early commentators put the major premise first: because it constitutes the (ostensible) definition; because it contains an explanation of the nature of the thing upon which everything else depends.  The major premise in a scientific deduction is the most important part of the syllogism; it is scientifically prior in that it reveals the cause that motivates the phenomenon.  So it makes sense to place it first.  This was not an irrational prejudice.

13. Non-Discursive Reasoning

The distinction Aristotle draws between discursive knowledge (that is, knowledge through argument) and non-discursive knowledge (that is, knowledge through nous) is akin to the medieval distinction between ratio (argument) and intellectus (direct intellection).  In Aristotelian logic, non-discursive knowledge comes first and provides the starting points upon which discursive or argumentative knowledge depends.  It is hard to know what to call the mental power that gives rise to this type of knowledge in English.  The traditional term “intuition” invites misunderstanding.  When Aristotle claims that there is an immediate sort of knowledge that comes directly from the mind (nous) without discursive argument, he is not suggesting that knowledge can be accessed through vague feelings or hunches.  He is referring to a capacity for intelligent appraisal that might be better described as discernment, comprehension, or insight.  Like his later medieval followers, he views “intuition” as a species of reason; it is not prior to reason or outside of reason, it is—in the highest degree—the activity of reason itself.  (Cf. Posterior Analytics, II. 19; Nicomachean Ethics, IV.6.)

For Aristotle, science is only one manifestation of human intelligence.  He includes, for example, intuition, craft, philosophical wisdom, and moral decision-making along with science in his account of the five intellectual virtues.  (Nicomachean Ethics, VI.3-8.)  When it comes to knowledge-acquisition, however, intuition is primary.  It includes the most basic operations of intelligence, providing the ultimate ground of understanding and inference upon which everything else depends.  Aristotle is a firm empiricist.  He believes that knowledge begins in perception, but he also believes that we need intuition to make sense of perception.  In the Posterior Analytics (II.19.100a3-10), Aristotle posits a sequence of steps in mental development: sense perception produces memory which (in combination with intuition) produces human experience (empeiria), which produces art and science.  Through a widening movement of understanding (really, a non-discursive form of induction), intuition transforms observation and memory so as to produce knowledge (without argument).  This intuitive knowledge is even more reliable than science.  As Aristotle writes in key passages at the end of the Posterior Analytics, “no other kind of thought except intuition is more accurate than scientific knowledge,” and “nothing except intuition can be truer than scientific knowledge.” (100b8ff, Mure, slightly emended.)

Aristotelian intuition supplies the first principles (archai) of human knowledge: concepts, universal propositions, definitions, the laws of logic, the primary principles of the specialized science, and even moral concepts such as the various virtues.  This is why, according to Aristotle, intuition must be viewed as infallible.  We cannot claim that the first principles of human intelligence are dubious and then turn around and use those principles to make authoritative claims about the possibility (or impossibility) of knowledge.  If we begin to doubt intuition, that is, human intelligence at its most fundamental level of operation, we will have to doubt everything else that is built upon this universal foundation: science, philosophy, knowledge, logic, inference, and so forth.  Aristotle never tries to prove first principles.  He acknowledges that when it comes to the origins of human thought, there is a point when one must simply stop asking questions.  As he points out, any attempt at absolute proof would lead to an infinite regress.  In his own words: “It is impossible that there should be demonstration of absolutely everything; there would be an infinite regress, so that there would still be no demonstration.” (Metaphysics, 1006a6ff, Ross.)  Aristotle does make arguments, for example, that meaningful speech presupposes a logical axiom like the principle of non-contradiction, but that is not, strictly speaking, a proof of the principle.

Needless to say, Aristotle’s reliance on intuition has provoked a good deal of scholarly disagreement.  Contemporary commentators such as Joseph Owens, G. L. Owen, and Terrence Irwin have argued that Aristotelian first principles begin in dialectic.  On their influential account, we arrive at first principles through a weaker form of argument that revolves around a consideration of “endoxa,” the proverbial opinions of the many and/or the wise.  Robin Smith (and others) severely criticize their account.  The idea that mere opinion could somehow give rise to rigorous scientific knowledge conflicts with Aristotle’s settled view that less reliable knowledge cannot provide sufficient logical support for the more reliable knowledge.  As we discuss below, endoxa do provide a starting point for dialectical (and ethical) arguments in Aristotle’s system.  They are, in his mind, a potent intellectual resource, a library of stored wisdom and right opinion.  They may include potent expressions of first principles already discovered by other thinkers and previous generations.  But as Aristotle makes clear at the end of the Posterior Analytics and elsewhere, the recognition that something is a first principle depends directly on intuition.  As he reaffirms in the Nicomachean Ethics, “it is intuitive reason that grasps the first principles.”  (VI.6.1141a7, Ross.)

If Irwin and his colleagues seek to limit the role of intuition in Aristotle, authors such as Lambertus Marie de Rijk and D. W. Hamlyn go to an opposite extreme, denying the importance of the inductive syllogism and identifying induction (epagoge) exclusively with intuition.  De Rijk claims that Aristotelian induction is “a pre-argumentation procedure consisting in . . . [a] disclosure [that] does not take place by a formal, discursive inference, but is, as it were, jumped upon by an intuitive act of knowledge.” (Semantics and Ontology, I.2.53, 141-2.) Although this position seems extreme, it seems indisputable that inductive syllogism depends on intuition, for without intuition (understood as intelligent discernment), one could not recognize the convertibility of subject and middle terms (discussed above).  Aristotle also points out that one needs intuition to recognize the (ostensible) definitions so crucial to the practice of Aristotelian science.  We must be able to discern the difference between accidental and necessary or essential properties before coming up with a definition.  This can only come about through some kind of direct (non-discursive) discernment.  Aristotle proposes a method for discovering definitions called division—we are to divide things into smaller and smaller sub-groups—but this method depends wholly on nous.  (Cf. Posterior Analytics, II.13.)  Some modern Empiricist commentators, embarrassed by such mystical-sounding doctrines, warn that this emphasis on non-discursive reasoning collapses into pure rationalism (or Platonism), but this is a caricature.  What Aristotle means by rational “intuition” is not a matter of pure, disembodied thought.  One does not arrive at first principles by closing one’s eyes and retreating from the world (as with Cartesian introspection).  For Aristotle, first principles arise through a vigorous interaction of the empirical with the rational; a combination of rationality and sense experience produces the first seeds of human understanding.

Note that Aristotle believes that there are first principles (koinai archai) that are common to all fields of inquiry, such as the principle of non-contradiction or the law of excluded middle, and that each specialized science has its own first principles.  We may recover these first principles second-hand by a (dialectical) review of authorities.  Or, we can derive them first hand by analysis, by dividing the subject matter we are concerned with into its constituent parts.  At the beginning of the Physics, Aristotle explains, “What is to us plain and obvious at first is rather confused masses, the elements and principles of which become known to us later by analysis. Thus we must advance from generalities to particulars; for it is a whole that is best known to sense-perception, and a generality is a kind of whole, comprehending many things within it, like parts.  . . .  Similarly a child begins by calling all men ‘father,’ and all women ‘mother,’ but later on distinguishes each of them.”  (I.1.184a22-184b14, Hardie, Gaye.)  Just as children learn to distinguish their parents from other human beings, those who successfully study a science learn to distinguish the different natural kinds that make up the whole of a scientific phenomenon.  This precedes the work of induction and deduction already discussed. Once we have the parts (or the aspects), we can reason about them scientifically.

14. Rhetoric

Argumentation theorists (less aptly characterized as informal logicians) have critiqued the ascendancy of formal logic, complaining that the contemporary penchant for symbolic logic leaves one with an abstract mathematics of empty signs that cannot be applied in any useful way to larger issues.  Proponents of formal logic counter that their specialized formalism allows for a degree of precision otherwise not available and that any focus on the substantive meaning or truth of propositions is a distraction from logical issues per se.  We cannot readily fit Aristotle into one camp or the other.  Although he does provide a formal analysis of the syllogism, he intends logic primarily as a means of acquiring true statements about the world.  He also engages in an enthusiastic investigation of less rigorous forms of reasoning included in the study of dialectic and rhetoric.

Understanding precisely what Aristotle means by the term “dialectics” (dialektike) is no easy task.  He seems to view it as the technical study of argument in general or perhaps as a more specialized investigation into argumentative dialogue.  He intends his rhetoric (rhetorike), which he describes as the counterpart to dialectic, as an expansive study of the art of persuasion, particularly as it is directed towards a non-academic public.  Suffice it to say, for our purposes, that Aristotle reserves a place in his logic for a general examination of all arguments, for scientific reasoning, for rhetoric, for debating techniques of various sorts, for jurisprudential pleading, for cross-examination, for moral reasoning, for analysis, and for non-discursive intuition.

Aristotle distinguishes between what I will call, for convenience, rigorous logic and persuasive logic.  Rigorous logic aims at epistē, true belief about what is eternal, necessary, universal, and unchanging.  (Aristotle sometimes qualifies this to include “for the most part” scientific knowledge.)  Persuasive logic aims at acceptable, probable, or convincing belief (what we might call “opinion” instead of knowledge.)  It deals with approximate truth, with endoxa (popular or proverbial opinions), with reasoning that is acceptable to a particular audience, or with claims about accidental properties and contingent events.  Persuasive syllogisms have the same form as rigorous syllogisms but are understood as establishing their conclusions in a weaker manner.  As we have already seen, rigorous logic produces deductive and inductive syllogisms; Aristotle indicates that persuasive logic produces, in a parallel manner, enthymemes, analogies, and examples.  He defines an enthymeme as a deduction “concerned with things which may, generally speaking, be other than they are,” with matters that are “for the most part only generally true,”  or with “probabilities and signs”  (Rhetoric, I.2.1357a, Roberts).  He also mentions that the term “enthymeme” may refer to arguments with missing premises.  (Rhetoric, 1.2.1357a16-22.)  When it comes to induction, Aristotle’s presentation is more complicated, but we can reconstruct what he means in a more straightforward manner.

The persuasive counterpart to the inductive syllogism is the analogy and the example, but the example is really a composite argument formed from first, an analogy and second, an enthymeme.  Some initial confusion is to be expected as Aristotle’s understanding of analogies differs somewhat from contemporary accounts.  In contemporary treatments, analogies depend on a direct object(s)-to-object(s) comparison.  Aristotelian analogy, on the other hand, involves reasoning up to a general principle.  We are to conclude (1) that because individual things of a certain nature X have property z, everything that possesses nature X has property z.  But once we know that every X possesses property z, we can make a deduction (2) that some new example of nature X will also have property z.  Aristotle calls (1), the inductive movement up to the generalization, an analogy (literally, an argument from likeness=ton homoion); he calls (2), the deductive movement down to a new case, an enthymeme; and he considers (1) + (2), the combination of the analogy and the enthymeme together, an example (paradeigma).  He presents the following argument from example in the Rhetoric (I.2.1357b31-1358a1).  Suppose we wish to argue that Dionysus, the ruler, is asking for a bodyguard in order to set himself up as despot.  We can establish this by a two-step process.  First, we can draw a damning analogy between previous cases where rulers asked for a bodyguard and induce a general rule about such practices.  We can insist that Peisistratus, Theagenes, and other known tyrants, were scheming to make themselves despots, that Peisistratus, Theagenes, and other known tyrants also asked for a bodyguard, and that therefore, everyone who asks for a bodyguard is scheming to make themselves dictators.  But once we have established this general rule, we can move on to the second step in our argument, using this conclusion as a premise in an enthymeme.  We can argue that all people asking for a bodyguard are scheming to make themselves despots, that Dionysius is someone asking for a bodyguard, and that therefore, Dionysius must be scheming to make himself despot.  This is not, in Aristotle’s mind, rigorous reasoning.  Nonetheless, we can, in this way, induce probable conclusions and then use them to deduce probable consequences.  Although these arguments are intended to be persuasive or plausible rather than scientific, but the reasoning strategy mimics the inductive-deductive movement of science (without compelling, of course, the same degree of belief).

We should point out that Aristotle does not restrict himself to a consideration of purely formal issues in his discussion of rhetoric.  He famously distinguishes, for example, between three means of persuasion: ethos, pathos, and logos.  As we read, at the beginning of his Rhetoric: “Of the modes of persuasion furnished by the spoken word there are three kinds. . . . [Firstly,] persuasion is achieved by the speaker’s personal character when the speech is so spoken as to make us think him credible. . . . Secondly, persuasion may come through the hearers, when the speech stirs their emotions. . . . Thirdly, persuasion is effected through the speech itself when we have proved [the point] by means of the persuasive arguments suitable to the case in question.”  (Rhetoric, I.2.1356a2-21, Roberts.)  Aristotle concludes that effective arguers must (1) understand morality and be able to convince an audience that they themselves are good, trustworthy people worth listening to (ethos); (2) know the general causes of emotion and be able to elicit them from specific audience (pathos); and (3) be able to use logical techniques to make convincing (not necessarily sound) arguments (logos).  Aristotle broaches many other issues we cannot enter into here.  He acknowledges that the goal of rhetoric is persuasion, not truth.  Such techniques may be bent to immoral or dishonest ends.  Nonetheless, he insists that it is in the public interest to provide a comprehensive and systematic survey of the field.

We might mention two other logical devices that have a place in Aristotle’s work: the topos and the aporia.  Unfortunately, Aristotle never explicitly explains what a topos is.  The English word “topic” does not do justice to the original notion, for although Aristotelian topoi may be organized around subject matter, they focus more precisely on recommended strategies for successful arguing.  (The technical term derives from a Greek word referring to a physical location.  Some scholars suggest a link to ancient mnemonic techniques that superimposed lists on familiar physical locations as a memory aid.)  In relevant discussions (in the Topics and the Rhetoric) Aristotle offers helpful advice about finding (or remembering) suitable premises, about verbally out-manoeuvring an opponent, about finding forceful analogies, and so on.  Examples of specific topoi would include discussions about how to argue which is the better of two alternatives, how to substitute terms effectively, how to address issues about genus and property, how to argue about cause and effect, how to conceive of sameness and difference, and so on.  Some commentators suggest that different topoi may have been used in a classroom situation in conjunction with student exercises and standardized texts, or with written lists of endoxa, or even with ready-made arguments that students were expected to memorize.

An aporia is a common device in Greek philosophy.  The Greek word aporia (plural, aporiai) refers to a physical location blocked off by obstacles where there is no way out; by extension, it means, in philosophy, a mental perplexity, an impasse, a paradox or puzzle that stoutly resists solution.  Aristotle famously suggests that philosophers begin with aporiai and complete their task by resolving the apparent paradoxes.  An attentive reader will uncover many aporiai in Aristotle who begins many of his treatises with a diaporia, a survey of the puzzles that occupied previous thinkers.  Note that aporiai cannot be solved through some mechanical rearrangement of symbolic terms.  Solving puzzles requires intelligence and discernment; it requires some creative insight into what is at stake.

15. Fallacies

In a short work entitled Sophistical Refutations, Aristotle introduces a theory of logical fallacies that has been remarkably influential.  His treatment is abbreviated and somewhat obscure, and there is inevitably scholarly disagreement about precise exegesis.  Aristotle thinks of fallacies as instances of specious reasoning; they are not merely errors but hidden errors.  A fallacy is an incorrect reasoning strategy that gives the illusion of being sound or somehow conceals the underlying problem.  Aristotle divides fallacies into two broad categories: those which depend on language (sometimes called verbal fallacies) and those that are independent of language (sometimes called material fallacies).  There is some scholarly disagreement about particular fallacies, but traditional English names and familiar descriptions follow.  Linguistic fallacies include: homonymy (verbal equivocation), ambiguity (amphiboly or grammatical equivocation), composition (confusing parts with a whole), division (confusing a whole with parts), accent (equivocation that arises out of mispronunciation or misplaced emphasis) and figure of speech (ambiguity resulting from the form of an expression).  Independent fallacies include accident (overlooking exceptions), converse accident (hasty generalization or improper qualification), irrelevant conclusion, affirming the consequent (assuming an effect guarantees the presence of one possible cause), begging the question (assuming the point), false cause, and complex question (disguising two or more questions as one).  Logicians, influenced by scholastic logic, often gave these characteristic mistakes Latin names: compositio for composition, divisio for division, secundum quid et simpliciter for converse accident, ignoranti enlenchi for nonrelevant conclusion, and petitio principii for begging the question.

Consider three brief examples of fallacies from Aristotle’s original text.  Aristotle formulates the following amphiboly (which admittedly sounds awkward in English): “I wish that you the enemy may capture.”  (Sophistical Refutations, 4.166a7-8, Pickard-Cambridge.)  Clearly, the grammatical structure of the statement leaves it ambiguous as to whether the speaker is hoping that the enemy or “you” be captured.  In discussing complex question, he supplies the following perplexing example: “Ought one to obey the wise or one’s father?”  (Ibid., 12.173a21.)  Obviously, from a Greek perspective, one ought to obey both.  The problem is that the question has been worded in such a way that anyone who answers will be forced to reject one moral duty in order to embrace the other.  In fact, there are two separate questions here—Should one obey the wise?  Should one obey one’s father?—that have been illegitimately combined to produce a single question with a single answer.  Finally, Aristotle provides the following time-honoured example of affirming the consequent: “Since after the rain the ground is wet, we suppose that if the ground is wet, it has been raining; whereas that does not necessarily follow”  (Ibid., 5.167b5-8.)  Aristotle’s point is that assuming that the same effect never has more than one cause misconstrues the true nature of the world.  The same effect may have several causes.  Many of Aristotle’s examples have to do with verbal tricks which are entirely unconvincing—for example, the person who commits the fallacy of division by arguing that the number “5” is both even and odd because it can be divided into an even and an odd number: “2” and “3.”  (Ibid., 4.166a32-33.)  But the interest here is theoretical: figuring out where an obviously-incorrect argument or proposition went wrong.  We should note that much of this text, which deals with natural language argumentation, does not presuppose the syllogistic form.  Aristotle does spend a good bit of time considering how fallacies are related to one another.  Fallacy theory, it is worth adding, is a thriving area of research in contemporary argumentation theory.  Some of these issues are hotly debated.

16. Moral Reasoning

In the modern world, many philosophers have argued that morality is a matter of feelings, not reason.  Although Aristotle recognizes the connative (or emotional) side of morality, he takes a decidedly different tack.  As a virtue ethicist, he does not focus on moral law but views morality through the lens of character.  An ethical person develops a capacity for habitual decision-making that aims at good, reliable traits such as honesty, generosity, high-mindedness, and courage.  To modern ears, this may not sound like reason-at-work, but Aristotle argues that only human beings—that is, rational animals—are able to tell the difference between right and wrong.  He widens his account of rationality to include a notion of practical wisdom (phronesis), which he defines as “a true and reasoned state of capacity to act with regard to the things that are good or bad for man.”  (Nicomachean Ethics, VI.5.1140b4-5, Ross, Urmson).  The operation of practical wisdom, which is more about doing than thinking, displays an inductive-deductive pattern similar to science as represented in Figure 3.  It depends crucially on intuition or nous.  One induces the idea of specific virtues (largely, through an exercise of non-discursive reason) and then deduces how to apply these ideas to particular circumstances.  (Some scholars make a strict distinction between “virtue” (areté) understood as the mental capacity which induces moral ideas and “phronesis” understood as the mental capacity which applies these ideas, but the basic structure of moral thinking remains the same however strictly or loosely we define these two terms.)

Figure 3

The Inductive-Deductive Method of Aristotelian Ethics

We can distinguish then between moral induction and moral deduction.  In moral induction, we induce an idea of courage, honesty, loyalty, and so on.  We do this over time, beginning in our childhood, through habit and upbringing.  Aristotle writes that the successful moral agent “must be born with an eye, as it were, by which to judge rightly and choose what is truly good.”  (Ibid., VI.7.1114b6ff.)  Once this intuitive capacity for moral discernment has been sufficiently developed—once the moral eye is able to see the difference between right and wrong,—we can apply moral norms to the concrete circumstances of our own lives.  In moral deduction, we go on to apply the idea of a specific virtue to a particular situation.  We do not do this by formulating moral arguments inside our heads, but by making reasonable decisions, by doing what is morally required given the circumstances.  Aristotle refers, in this connection, to the practical syllogism which results “in a conclusion which is an action.” (Movement of Animals, 701a10ff, Farquharson.)  Consider a (somewhat simplified) example.   Suppose I induce the idea of promise-keeping as a virtue and then apply it to question of whether I should pay back the money I borrowed from my brother.  The corresponding theoretical syllogism would be:  Promise-keeping is good; giving back the money I owe my brother is an instance of promise-keeping; so giving the back the money I owe my brother is good.”  In the corresponding practical syllogism, I do not conclude with a statement:  “this act is good.”  I go out and pay back the money I owe my brother.  The physical exchange of money counts as the conclusion.  In Aristotle’s moral system, general moral principles play the role of an ostensible definition in science.  One induces a general principle and deduces a corresponding action.  Aristotle does believe that moral reasoning is a less rigorous form of reasoning than science, but chiefly because scientific demonstrations deal with universals whereas the practical syllogism ends a single act that must be fitted to contingent circumstances.  There is never any suggestion that morality is somehow arbitrary or subjective.  One could set out the moral reasoning process using the moral equivalent of an inductive syllogism and a scientific demonstration.

Although Aristotle provides a logical blueprint for the kind of reasoning that is going on in ethical decision-making, he obviously does not view moral decision-making as any kind of mechanical or algorithmic procedure.  Moral induction and deduction represent, in simplified form, what is going on.  Throughout his ethics, Aristotle emphasizes the importance of context.  The practice of morality depends then on a faculty of keen discernment that notices, distinguishes, analyzes, appreciates, generalizes, evaluates, and ultimately decides.  In the Nicomachean Ethics, he includes practical wisdom in his list of five intellectual virtues.  (Scholarly commentators variously explicate the relationship between the moral and the intellectual virtues.)  Aristotle also discusses minor moral virtues such as good deliberation (eubulia), theoretical moral understanding (sunesis), and experienced moral judgement (gnome).  And he equates moral failure with chronic ignorance or, in the case of weakness of will (akrasia), with intermittent ignorance.

17. References and Further Reading

a. Primary Sources

  • Complete Works of Aristotle.  Edited by Jonathan Barnes.  Princeton, N.J.: Princeton University Press, 1984.
    • The standard scholarly collection of translations.
  • Aristotle in 23 Volumes.  Cambridge, M.A.: Harvard University Press; London: William Heinemann Ltd., 1944 and 1960.
    • A scholarly, bilingual edition.

b. Secondary Sources

This list is intended as a window on a diversity of approaches and problems.

  • Barnes, Jonathan, (Aristotle) Posterior Analytics. Oxford: Clarendon Press; New York : Oxford University Press, 1994.
  • Biondi, Paolo.  Aristotle: Posterior Analytics II.19.  Quebec, Q.C.: Les Presses de l’Universite Laval, 2004.
  • Ebbesen, Sten, Commentators and Commentaries on Aristotle’s Sophistici Elenchi, Vol. 1: The Greek Tradition. Leiden: Brill, 1981.
  • Engberg-Pedersen, Troels.  “More on Aristotelian Epagoge.” Phronesis, 24 (1979): 301-319.
  • Englebretsen, George.  Three Logicians: Aristotle, Leibnitz, and Sommers and the Syllogistic.  Assen, Netherlands: Van Gorcum, 1981.
    • See also Sommers, below.
  • Garrett, Dan, and Edward Barbanell.  Encyclopedia of Empiricism. Westport, Conn.: Greenwood Press, 1997.
  • Govier, Trudy.  Problems in Argument Analysis and Evaluation.  Providence, R.I.: Floris, 1987.
  • Groarke, Louis. “A Deductive Account of Induction,” Science et Esprit, 52 (December 2000), 353-369.
  • Groarke, Louis. An Aristotelian Account of Induction: Creating Something From Nothing.  Montreal & Kingston: McGill-Queen’s University Press, 2009.
  • Hamlyn, D. W.  Aristotle’s De Anima Books II and III.  Oxford: Clarendon Press, 1974.
  • Hamlyn, D. W. “Aristotelian Epagoge.”  Phronesis 21 (1976): 167-184.
  • Irwin, Terence.  Aristotle’s First Principles.  Oxford: Clarendon Press, 1988.
  • Keyt, David.  “Deductive Logic,” in A Companion to Aristotle, George Anaganostopoulos, London: Blackwell, 2009, pp. 31-50.
  • Łukasiewicz, Jan.  Aristotle’s Syllogistic from the Standpoint of Modern Formal Logic. Oxford University Press, 1957.
  • McCaskey, John, “Freeing Aristotelian Epagôgê from Prior Analytics II 23,” Apeiron, 40:4 (December, 2007), pp. 345–74.
  • McKirahan, Richard Jr.  Principles and Proofs: Aristotle’s Theory of Demonstrative Species.  Princeton, N.J.: Princeton University Press, 1992.
  • Parry, William, and Edward Hacker. Aristotelian Logic. Albany, NY: State University of New York Press, 1991.
  • Peters, F. E., Greek Philosophical Terms: A Historical Lexicon.  New York: NYU Press, 1967.
  • Rijk, Lambertus Marie de.  Aristotle: Semantics and Ontology.  Boston, M.A.: Brill, 2002.
  • Smith, Robin.  “Aristotle on the Uses of Dialectic,” Synthese , Vol. 96, No. 3, 1993, 335-358.
  • Smith, Robin. Aristotle, Prior Analytics.  Indianapolis, IN: Hackett, 1989.
  • Smith, Robin. “Aristotle’s Logic,” Stanford Encyclopedia of Philosophy. E, Zalta. ed. Stanford, CA., 2000, 2007.
    • An excellent introduction to Aristotle’s logic (with a different focus).
  • Smith, Robin. “Aristotle’s Theory of Demonstration,” in A Companion to Aristotle, 52-65.
  • Sommers, Fred, and George Englebretsen, An Invitation to Formal Reasoning: The Logic of Terms. Aldershot UK: Ashgate, 2000.

 

Author Information

Louis F. Groarke
Email: lgroarke@stfx.ca
St. Francis Xavier University
Canada

Michel Foucault: Ethics

Michel FoucaultThe French philosopher and historian Michel Foucault (1926-1984) does not understand ethics as moral philosophy, the metaphysical and epistemological investigation of ethical concepts (metaethics) and the investigation of the criteria for evaluating actions (normative ethics), as Anglo-American philosophers do.  Instead, he defines ethics as a relation of self to itself in terms of its moral agency.  More specifically, ethics denotes the intentional work of an individual on itself in order to subject itself to a set of moral recommendations for conduct and, as a result of this self-forming activity or “subjectivation,” constitute its own moral being.

The classical works of Foucault’s ethics are his historical studies of ancient sexual ethics in The Use of Pleasure and The Care of the Self, in addition to the late interviews “On the Genealogy of Ethics” and “The Ethics for the Concern of Self as a Practice of Freedom.”  The publication of his final three lecture courses at the Collège de France in 1982-3 considerably enhance how those texts are to be understood and provide original resources.  The Hermeneutics of the Subject provides greater insight into the ancient ethics of caring for self and how Foucault perceives it in relation to the history of philosophy.  Both The Government of Self and Others and The Courage of Truth – his final courses, respectively – make it manifest that he considered the ancient ethical practice of parrhesia or frank-speech central to ancient ethics and, indeed, important to his own philosophical practice.

The significance of this so-called ‘ethical turn’ for Foucault’s philosophy is displayed in the controversial terms through which he ultimately expressed the purpose of his work.  He lays claim to the spirit of the tradition of critical philosophy established by Immanuel Kant, and Foucault purports to exemplify this spirit by disclosing, or telling the truth about, the historical conditions of the contingent constraints that we impose on ourselves and, in doing so, opening possibilities for autonomous ethical relations.  Foucault’s claim to the spirit of critical philosophy has received, and continues to receive, criticism and considerable discussion in the scholarly literature.  Of central concern are the compatibility of his claim to critical philosophy as an ethical practice and his broader views about subjectivity, and whether his critical analysis of modern ethics is meant to be merely descriptive or also evaluative.

The primary focus of this article is the nature of ethics as Foucault conceives it, and it is unpacked by discussion of his published historical studies of ancient Greek and Roman ethics.  The article then considers his treatment of the ancient ethical injunction of the care of the self and parrhesia, transitioning into a presentation of, and opinions about, his alleged ethical turn and the contentious role that ethics might play in his critical philosophy.

Table of Contents

  1. The ‘Ethical Turn’
  2. Morality and Ethics
  3. The Elements of Ethical Relations
    1. The Ethical Substance (Ontology)
    2. Mode of Subjection (Deontology)
    3. Ethical Work (Ascetics)
    4. Telos (Teleology)
  4. The Care of the Self
    1. Caring for Oneself and Knowing Oneself
    2. Parrhesia (Frank-Speech)
  5. Ethics and Critical Philosophy
    1. Kant and Foucault
    2. Critique and Parrhesia
    3. Parrhesia and Self-Legislation
    4. The Problem of Normativity and the Aesthetics of Existence
  6. References and Further Reading
    1. Primary Sources and Abbreviations
    2. Select Secondary Sources

1. The ‘Ethical Turn’

As important as ethics becomes in Foucault’s later thought, prior to 1981 he rarely touches on themes directly related to either ethics or morality.  One rare, short, but not unimportant analysis occurs in The Order of Things.  There, Foucault maintains that modern ethical thought attempts to derive moral obligations from human nature and yet modern thought also holds that human nature can never be, given the fact of human finitude, fully given to human knowledge.  Consequently, modern thought is incapable of coherently formulating a set of moral obligations (OT 326-7; see also PPC 49).  This argument is, essentially, one piece of his larger attack on modern humanism and its conception of the human being as subject, a being that supplies for itself the foundations of knowledge, value, and freedom.  Discipline and Punish and the first volume of The History of Sexuality further this line of criticism, insisting on the historical constitution of the subject by discursive practices and techniques of power (see, for example, FL 67, PK 117, EW3 3-4, DP 30).  In short, his writings through the 1970’s comprise a multifaceted attack on the modern notion of self-constitution.

It is surprising to many commentators, then, that by 1982 Foucault elaborated a framework for his work that grants self-constitution considerable importance.  He explains his “history of thought” as a history of “focal points of experience,” the persistently occurring ways in which humans conceive and perceive themselves – as mad, diseased, sexual, and so forth.  These focal points are studied along three axes:  the axis of knowledge, or the rules of discursive practices that determine what counts as true or false; the axis of power, or the rationalities and techniques by which one governs the conduct of others; and the axis of ethics, or the practices of self through which an individual constitutes itself as a subject (GSO 1-5).  Richard Bernstein aptly characterizes the scholarly reaction to Foucault’s introduction of ethics when the former states the ethical thematic seems to presume the concept of a self-constituting subject that latter’s earlier work sought to criticize (Bernstein 1994; see also Milchman and Rosenberg 2007).

Foucault never did articulate a clear position on the conceptual fit between his critique of the modern subject and his account of ethics.  Nevertheless, he does provide some clues as to the nature of his mature position.  Late in his life he admits that his earlier work was too insistent on the formation of subjectivity by discursive practices and power-relations (EW1 177, 225).  Now, his focus is on the subject as both constituted and self-constituting, or the point at which discursive practices and power-relations dovetail with ethics.  Of course, this does not decisively resolve the problem, but it does suggest a rereading of his earlier works more conducive to the notion of self-constitution.  In fact, in later writings and interviews Foucault supports this interpretation when he explains that all the axes of analysis existed in a confused manner (EW1 262); he even retrospectively interprets his work as fitting one or more of those axes (EW1 202-5).  By admitting that, first, all three axes of analysis existed in earlier works, and, second, that the goal of his work is to study the connection of knowledge and power with ethics, Foucault suggests that there is no ethical turn.  Of course, this does not license the commentator to avoid the potentially problematic conceptual fit between Foucault’s mature conception of subjectivity and his earlier critique of the self-constituting subject.  However, it does appear to be the case that Foucault is suggesting that he is best read backwards rather than forwards.

Whatever the case may be, Foucault’s introduction of ethics added an undeniable richness to his thought that also transformed how his earlier work is to be interpreted.

2. Morality and Ethics

The most elaborate discussion of ethics that Foucault provides appears in Section Three of the Introduction to The Use of Pleasure.  There, he designates ethics as one of the three primary areas of morality.  In addition to ethics, morality consists of both a moral code and the concrete acts of moral agents.  The former consists of the more or less explicitly formulated values and rules recommended to individuals by the “prescriptive agencies” (for example, family, church, work, and so forth) in which they participate.  The latter refers to the actions of historically real persons insofar as those actions comply or fail to comply with, obey or resist, or respect or disrespect the values and rules prescribed to them by prescriptive agencies.

In addition to a moral code and the real behaviors of individuals, Foucault claims that morality also consists of a third area, namely, ethics.  He commonly and pithily defines it as a relation of the subject to itself, but a more technical definition of ethics is the conduct required of an individual so as to render its own actions consistent with a moral code and standards of moral approval.  For Foucault, conduct is a category that is broader than moral agency and includes both non-moral actions and the exercising of non-agential capacities (for example, attitudes, demeanor, and so forth).  Ethical conduct, then, consists of the actions performed and capacities exercised intentionally by a subject for the purpose of engaging in morally approved conduct.  Suppose, for example, that an individual adopts the prescription of sexual fidelity to her partner.  In this case, ethics concerns not her morally satisfactory conduct that directly satisfies her duty of being faithful to her partner, but rather the conduct through which she enables or brings herself to behave in a way that is sexually faithful to her partner.

Consistent with his distinction between moral conduct and ethical conduct, Foucault also distinguishes between moral obligations and ethical obligations.  A moral obligation is an imperative of a moral code that either requires or forbids a specific kind of conduct, whereas an ethical obligation is a prescription for conduct that is a necessary condition for producing morally approved conduct.  Foucault understands morally approved conduct to be a wide category, as it does not designate just those acts that comply with a moral code – which is, he thinks, a manifestly modern conception of moral approval.  As he is keen to show in his volumes on ancient sexuality, rigorously stylizing one’s daily existence according to self-imposed standards of conduct was at one time the measure of moral approval, and such approval was not limited to conformity to a moral code.  In this regard, the moral valorization of conduct might be, as it was with the ancients, weighted toward the satisfaction of ethical obligations, or, as it is in modernity, weighted toward the satisfaction of the moral obligations that comprise a moral code.

3. The Elements of Ethical Relations

On Foucault’s account, ethical relations are constituted by four formal elements, the contents of which are subject to historical variation:  the ontological element or “ethical substance,” the deontological element or “mode of subjection,” the ascetic element or “ethical work,” and the teleological element or “telos.”  His project in The Use of Pleasure and The Care of the Self is to articulate the sexual ethics in ancient Greece and Rome, respectively, by describing these elements and uncovering the primary ethical obligations for sexual conduct for both epochs.  These ethical obligations are, Foucault contends, deducible by analyzing the four primary themes of sexual austerity expressed throughout all of Western history: the relation one has to one’s own body and health, wives and marriage, boys, and truth.  Although these themes are occasionally mentioned below, the the focus of this section is on the four elements of ethical relations.

a. The Ethical Substance (Ontology)

The ethical substance is the material or aspect of self that is morally problematic, taken as the object of one’s ethical reflection, and transformed in one’s ethical work.  In The Use of Pleasure Foucault maintains that the ethical substance of ancient Greek sexual ethics – an ethics that was exclusively for men of the right inherited social status – was the aphrodisia or the broad range of acts, gestures, and contacts associated with pleasures to promote the propagation of the species and considered the inferior pleasures given their commonality with all animals.  The intensity of the aphrodisia induced the majority of men to behave immoderately with regard to it, and since the moral telos of ancient Greek ethics was a moderate state in which a man had succeeded in mastering his pleasures, the immoderate man was considered by ethicists to be shameful and dishonorable for allowing the inferior part of his soul to enslave his superior part.  It was also considered shameful for a man to experiment or delight in pleasures derived from the passive and subordinate rather than active and dominant role in sexual relations, the latter assigned by nature to men and the former assigned to those incapable of mastering themselves of their own power, namely, women and children.  By violating these limits out of a failure to master himself, the Greek man put himself in the position of compromising his health, household, social standing, and political ambitions.

Foucault maintains in The Care of the Self that aphrodisia remains the ethical substance for Roman sexual ethics.  But unlike the Greek ethicists before them, Roman ethicists conceived the aphrodisia as essentially and intrinsically dangerous rather than dangerous merely because of the fact that their intensity induces immoderate conduct.  According to Foucault, Roman ethicists stipulated that although sexual acts are good by nature, since nature is perfect in its designs, those acts are nevertheless fraught with a dangerous and essential passivity that causes involuntary movements of the body and soul and expenditure of the life forces.  Nature has, as it were, designed sex as good and beneficial but only on the condition that it conforms to its designs.  Thus, although sexual acts themselves were not considered intrinsically bad, when one performed a sexual act without adequate attention to both its dangers and nature’s limits for it one risked exposing both body and soul to illnesses; indeed, acting without consideration for these dangers was a sign that the soul had already been corrupted.  Foucault therefore asserts that the perception of the dangerous physical and spiritual effects of unrestrained sexual activity led to a moral and medical discourse about sex different in kind than that of ancient Greek ethical discourse.  It focused more on moderated use as a means of achieving physical and spiritual health rather than excellence.

b. Mode of Subjection (Deontology)

The mode of subjection is the way in which the individual establishes its relation to the moral code, recognizes itself as bound to act according to it, and is entitled to view its acts as worthy of moral valorization.  The mode of subjection is, as Foucault refers to it, the ‘deontological’ or normative component of ethics.  For example, consider the obligation to help someone in need.  The Kantian holds that pure practical reason vis-à-vis the categorial imperative rationally requires the charitable act and it is praiseworthy to the extent that it is performed out of respect for reason.  The practitioner of Islam, on the other hand, holds that the charitable act is morally valorized to the extent that it is produced out of respect for God’s will as revealed in sacred texts.

The mode of subjection for the ancient Greeks was a man’s free, permanent, and noble choice to fashion his life into a beautiful work according to a program of self-mastery.  The notion of use (of pleasures) was what ancient Greeks used as a standard for measuring the beauty of a man’s work with regard to his sexual conduct.  The use of pleasures refers to how a man managed or integrated pleasures into his life such that their use did not compromise but benefitted his health and social standing.  Appropriate management submitted the use of pleasures to three strategies.  The strategy of need demanded that desires for pleasures should arise from nature alone and be fulfilled neither extravagantly nor as a result of artifice.  The strategy of timeliness required the distribution of pleasures at the right times of the day, year, and life so as to maintain the well-being of oneself, one’s wife, and potential offspring.  The strategy of status demanded that a man use his pleasures consistent with his inherited status, purposes, and responsibilities.

Foucault maintains that ancient Greek sexual ethics was stricter than their moral code, as a man suffered little moral condemnation for his choice of sexual relations, provided he was neither passive nor partnered with someone under another man’s authority.  But submitting oneself to this mode of subjection meant imposing ethical requirements on oneself that were not included in the moral code.  In fact, submitting oneself to this rigorous sexual ethics was seen as a noble and fine choice precisely because it was not morally required.

The mode of subjection for ancient Roman sexual ethics is also an aesthetics of existence, but Foucault is also clear that it is more austere than the Greek ethics that preceded it.  What this means is that Roman ethical obligations became stricter despite a loose moral code regarding sex.  The increased austerity of this ethics is due in part to the perception of an intrinsic passivity of sexual acts, and also because the means of responding to this passivity required greater attention to the rationality of nature (which is not be understood according to the distinction between what is normal and abnormal).  Roman ethicists conceived that the pleasures of sex were derived by involuntary and dangerous movements of the body and soul, and that seeking pleasure as the end of an act only furthered the possibility of corrupting both body and soul. Since for Roman ethicists nothing in nature seeks sexual pleasure as an end but only as a means to other natural goods (for example, procreation, health, spiritual well-being), they maintained that the pursuit of the aphrodisia as an end in itself could arise only from the distortion of the soul’s desires for pleasure.   Consequently, the criterion by which Roman ethicists evaluated sexual conduct was whether it was born of desire conformed to the wisdom of nature.  So, where the mode of subjection of ancient Greek sexual ethics was the use of pleasures, where proper use is exemplified as the strategic integration of the pleasures into one’s life, Roman ethicists understood that nature put universal features into the aphrodisia that were also the key to discovering the prescriptions for their use.

c. Ethical Work (Ascetics)

The ethical work consists of the self-forming activities meant to ensure one’s own subjection to a moral authority and transform oneself into an autonomous ethical agent.  Foucault refers to these self-forming activities as practices or technologies of the self, and also in the ancient sense of askēsis, or ascetic practices.  These practices are not to be conflated with an asceticism that strives for the goal of freeing oneself from all desires for physical pleasures.  To be sure, all ascetic practices are, Foucault thinks, organized around principles of self-restraint, self-discipline, and self-denial.  But not all ascetic practices aim at eliminating all of one’s desires for physical pleasures.

Foucault maintains that the ethical work to be performed in ancient sexual ethics is that of self-mastery.  For the ancient Greeks, mastering oneself is an agonistic battle with oneself, where victory is achieved through careful use of the pleasures according to need, timeliness, and social status.  Greek ethicists understood that this battle required regular training in addition to the knowledge of the things to which one ought to be attracted.  The sort of training a man undertook was aimed at self-mastery through practices of self-denial and abstention, which taught him to satisfy natural needs at the right time consistent with his social status.  The moral end of such practices was not to cultivate the attitude that abstention is a moral ideal, but rather to train him to become temperate and self-controlled.  As such, successful self-mastery was exhibited by the man who did not suppress his desires, but authoritatively controlled them in a way that contributed to his excellence and the beauty of his life.  Foucault suggests that this ideal is exemplified in the literature about the love of boys, which heroized the man who could express and maintain friendly love for a boy while at the same restraining his co-present erotic love

Foucault is clear in The Care of the Self that the ethical work in ancient Roman ethics is also self-mastery, and that the ethicists reconceived the nature of this kind of ethical work.  Instead of an agonistic relationship in which a man struggles to subdue and enslave his desires for pleasures (rather than be subdued and enslaved by them) through their proper use, the work of self-mastery for Roman ethics was forcing the desires for pleasures into proper alignment with the designs of nature.  While the same is true for ancient Greek ethics, the Roman ethicists emphasized it to such a degree that social status and, to an extent, sexual anatomy were abolished as being relevant factors in determining one’s ethical duties.  What becomes essential for this ethics is grasping that all pleasures that are not internal to oneself originate in desires that might not be capable of satisfaction, and whenever one chooses to engage such desires one subjects oneself to physical and spiritual risk.  In all things regarding the aphrodisia, then, careful attention must be paid to deciphering and testing which of one’s desires originate in nature, or maintain a consistency with nature, and which transgress the limits set by nature.

The intensification of the austerity of sexual ethics this change in self-mastery produced is emphasized in marital ethics.  Greek men were not morally required to maintain sexual relations with only their wives, but a man’s sexual conduct was especially excellent when he restrained his sexual activity to his wife.  For the Roman ethicists, however, a man failed to master himself if he pursued sexual relations with anyone other than his wife, for nature designed the man and woman to contribute to each other’s physical and spiritual well-being through their sexual activity together.  Their joint spiritual well-being was considered integral to the harmony of the human community.

d. Telos (Teleology)

 

 

The telos of an ethics is the ideal mode or state of being toward which one strives or aspires in their ethical work.  For the ancient Greeks the activity of self-mastery aimed at a state of moderation that was characterized as freedom in its fullest form, and it was understood as a man’s enslavement of his desires for pleasures to himself.  A man’s domination of his desires was expressed in domestic and political metaphors:  he must exhibit the constrained strategizing necessary for maintaining an orderly and stable rule over both his household or subordinates.  The man who controlled his use of pleasures made himself personally prosperous – physically excellent and socially estimable – in the same way that a household or nation prospers as the result of the careful and skilled governance of a manager or ruler, and a man was not expected to be successful in managing his household or exercising political authority and influence without first achieving victory over his pleasures.  The man who failed to master his pleasures and yet found himself in a position of authority over others was a candidate for tyranny, while the man who mastered his pleasures was considered the best candidate to govern.

Roman ethicists conceived the activity of self-mastery as aiming at a conversion of the self to itself, which they conceived as freedom in fullest form.  Through the ethical work of self-mastery an individual conformed their desires to the rationality of nature, which resulted in a detachment from anything not given by nature as an appropriate object of desire.  Roman ethicists did not understand the telos of self-mastery as the authority over pleasures that manifested itself in their strategic use, but rather it manifested itself as a disinterestedness and detachment from the pleasures such that one finds a non-physical, spiritual pleasure in belonging to the true self nature intends.  Nature does not recommend the mere pursuit of pleasures; it recommends the pursuit of pleasures insofar as those acts are consistent with other ends that it wants met.  Hence, the end of self-mastery is achieving a perfect consistency between one’s own desires and those that nature uses to promote its ends.  For this reason the freedom achieved through self-mastery is an autonomy with regard to that which is within one’s control, namely, conforming oneself to nature.

4. The Care of the Self

A major theme that emerges in Foucault’s final volumes of The History of Sexuality and his lectures at the Collège de France is the ethical obligation to care for oneself.  Foucault certainly claims in both those volumes that the care of self is foundational to ancient ethics (UP 73, 108, 211; CS 45-54), but curiously, and despite his titling of the third volume The Care of the Self, he does not provide significant discussion of the care of self in its generality.  Yet his final three lecture courses at the Collège de France attest to the fact that not only did he have a definite view about the care of the self, it is central to the history of philosophy and critical philosophy that he articulated at the end of his life.  This history emphasizes the integral relation between the care of self and the concern for truth, notably on display in the practice of parrhesia (frank-speech), as its central mode of expression.

a. Caring for Oneself and Knowing Oneself

The ancient notion of caring for oneself acquires prominence for Foucault in the first lecture of his 1981-2 course lecture at the Collège de France, The Hermeneutics of the Subject.  For the ancients, Foucault claims, the care of the self was the foundational principle of all moral rationality.  Today, however, caring for oneself is without moral content.  By explaining the ancient conception of the care of the self and its connection to the Delphic prescription to know oneself, famously observed by Socrates, Foucault wishes to diagnose the exclusion of the care of the self by modern thought and consider whether, given his diagnosis, the care of the self might remain viable in modern ethics.

The exclusion of the care of the self is the result of a reconception of two ancient injunctions:  care for oneself and know oneself.  These two injunctions were originally expressed by Socrates – the exemplar par excellence, Foucault thinks, of the person who cares for himself – with the care of the self serving as the justification for the prescription to know oneself.  According to Foucault, Socrates and ancient ethicists understood that caring for oneself was to exhibit an attitude not only toward oneself but also toward others and the world, attend to one’s own thoughts and attitudes in self-reflection and meditation, and engage in ascetic practices aimed at realizing an ideal state of being.  The prescription to know oneself was the means through which one cared for oneself, and Socrates cared for his own soul and the souls of others by using the practice of dialectic to force the examination of the truth of his own thought and conduct and that of his interlocutors.  The salient point for Foucault is that Socrates did not practice philosophy merely as a means of arriving at true propositions.  Instead, his program was to use philosophy as a tool for examining and testing the consistency of the rational discourse he and his interlocutors employed to justify their lives and conduct.  Foucault sees this as a philosophical activity that is fundamentally oriented to the care of the self, for truth is pursued in philosophy for its own good and the sake of ethical development.  Philosophy is by Socrates’ lights a practice essential to one’s ethical development, for it is a spiritual commitment to the truth that requires self-disciplined attention to the character of one’s thinking.

Foucault therefore distinguishes between philosophy simpliciter and philosophy as a spiritual activity.  Philosophy considers what enables, conditions, and limits the subject’s access to the truth.  But philosophy as a spiritual activity – or philosophy undertaken according to the injunction to care for oneself – is philosophy conceived as ethical work that must be performed in order for an individual to gain access to the truth.  This is not to say, of course, that philosophy as a spiritual activity does not seek to acquire knowledge of things as they are.  Rather, it is to say that such knowledge requires right conduct in addition to the justification of a true belief.

The injunction to know oneself was therefore a demand to attend to one’s relationship to the truth as a function of caring for oneself.  A decisive change occurs, however, with the “Cartesian moment” (HS 14).  The kind of self-knowledge that René Descartes seeks in his Meditations on First Philosophy and Rules for the Direction of the Mind is self-evidence or that which would decisively determine the truth or falsity of a proposition through its apparent clarity and distinctness.  Now, knowing oneself becomes merely a necessary epistemic, and not moral, condition for gaining access to the truth.  (The Cartesian moment takes further hold, Foucault explains, in the philosophy of Immanuel Kant, who argues in his Critique of Pure Reason that features of the subject’s own thinking must be constitutive of the very possibility of knowledge.)  Consequently, attending to oneself becomes judging the truth of a proposition, and self-knowledge is not a directive for spiritual and ethical development.  In modernity philosophy is, for the most part (compare HS 28, where Foucault adds some qualification), not the activity of ethical transformation that aims at the existence transformed by truth.

The modern shift in the construal of self-knowledge as self-evidence required changes in moral rationality.  Modern thought construes moral self-examination as the act of determining whether one’s intentions or acts are consistent with moral obligations.  One’s moral existence is therefore reduced to whether or not one satisfies one’s moral obligations, which had the consequence that the care of the self is perceived as either amoral egoism (because it is unconcerned with the foundations of moral obligation) or melancholic withdrawal (because one cannot know one’s moral obligations).  But this is predicated upon a fundamental misconception of the care of the self.  The care of the self is the ethical transformation of the self in light of the truth, which is to say the transformation of the self into a truthful existence.

b. Parrhesia (Frank-Speech)

In the final two years of his life, Foucault began to focus his attention on a particular ancient practice of caring for the self, namely, parrhesia (alternatively, parresia) or frank-speech.  Parrhesia is the courageous act of telling the truth without either embellishment or concealment for the purpose of criticizing oneself or another.  This practice and its history are the objects of his final two lecture courses at the College de France, The Government of Self and Others and The Courage of Truth, in addition to a series of lectures, “Discourse and Truth” (compiled as Fearless Speech), given at the University of California, Berkeley in the fall of 1983.  The chief object of concern is parrhesia as a practice of self that is centered on the relation of the subject to truth, and how through engaging in parrhesia one freely constitutes one’s subjectivity.

Foucault stipulates that there are five features of the parrhesiastic act.  First, the speaker must express his own opinion directly; that is, he must express his opinion without (or by minimizing) rhetorical flourish and make it plain that it is his opinion.  Second, parrhesia requires that the speaker knows that he speaks the truth and that he speaks the truth because he knows what he says is in fact true.  His expressed opinion is verified by his sincerity and courage, which points to the third feature, namely, danger:  it is only when someone risks some kind of personal harm that his speech constitutes parrhesia.  Fourth, the function of parrhesia is not merely to state the truth, but to state it as an act of criticizing oneself (for example, an admission) or another.  Finally, the parrhesiastes speaks the truth as a duty to himself and others, which means he is free to keep silent but respects the truth by imposing upon himself the requirement to speak it as an act of freedom (FS 11-20; see also GSO 66-7).

It is in Socrates, Foucault says, that the care of the self first manifests itself as parrhesia.  (But not only Socrates; Foucault considers parrhesiastic practices throughout the ancient Greek and Roman epochs.)  The essence of Socratic parrhesia is located in his focus on the harmony between the way one lives (Greek:  bios) and the rational discourse or account (Greek:  logos) one might or might not possess that would justify the way one lives.  Socrates himself lived in a way that was in perfect conformity with his statements about how one ought to live, and those statements themselves were supported by a rigorous rational discourse defending their truth.  Because Socrates bound himself in his conduct to his own philosophically explored standards, his interlocutors understood him to be truly free.  Socrates’ harmony is the condition of his use of parrhesia in identifying and criticizing the lack of harmony in his interlocutors, with the aim of leading them to a life in which they will bind themselves in their own conduct to only those principles that they can put into a rational discourse.  Socratic parrhesia therefore manifests the care of the self because its intent is ethical, for it urges the interlocutor to pursue knowledge of what is true and conform their conduct to the truth as ethical work.

5. Ethics and Critical Philosophy

Ethics and critique emerged nearly simultaneously as objects of Foucault’s interest (1981 and 1978, respectively).  Whether or not that was accidental is an interesting area of scholarship.  But Foucault explicitly links them together in the much discussed essay, “What is Enlightenment?”, explaining that his project is critical philosophy precisely because it contributes to our abilities to autonomously fashion and constitute ourselves.  Thus, around Kant, Foucault combines critical philosophy and ethics, and that connection provides greater insight into just how Foucault conceives of ethics and the history of ethics in relation to his own project.  But his self-alignment with the tradition of critical philosophy has become the most contentious issue in the scholarship.  The criticisms are diverse, but all offer some version of the thesis that Foucault either rejects or lacks the normative criteria required for critique.

a. Kant and Foucault

Late in his life Foucault often claimed to be a descendant of the tradition of critical philosophy established by Kant.  However, it is evident that Foucault always maintained an interest in Kant’s philosophy, which is verified by his secondary thesis for his philosophy doctorate, a close reading of and commentary on Kant’s Anthropology from a Pragmatic Point of View (see Foucault 2008).  Additionally, Foucault casually aligns himself rather broadly with critical philosophy in two other works from the 1960’s, The Birth of the Clinic (1963) and The Order of Things (1966) (BC xix; OT 342).  The received view of this period of his work, especially the secondary thesis and The Order of Things, is that it provides decisive evidence of his rejection of Kant’s attempt to place all rational conditions and constraints in the subject (for example, see Habermas 1986, Schmidt and Wartenburg 1994, Han 2002, Allen 2003).  Although Kant disappears from Foucault’s work as an object of explicit discussion, there is some indirect evidence found throughout his explicitly ethical writings that strongly suggests that the self-constituting subject is his target (see again PK 117, EW3 3-4, DP 30).

Kant reappears in Foucault’s thought in the 1978 address “What is Critique?” and he remains an object of attention until Foucault’s death in 1984.  In the later work Kant is no longer discussed seemingly negatively as the philosopher that grounds thought, action, and freedom in the subject’s self-legislated laws of reason, but rather the philosopher who in his 1784 essay “What is Enlightenment?” takes aim at the ways in which human beings arbitrarily constrain themselves in their present actuality.  Foucault departs from the Kantian critical project insofar as he does not seek to provide an “analytics of truth,” which would guarantee autonomous thinking and acting in universal and necessary principles (see, for example, “What Does it Mean to Orient Oneself in Thinking,” 8:145, and Groundwork of the Metaphysics of Morals, 4:431).  Instead, he controversially claims to promote autonomy by engaging in a critical-historical ontology of the present, the purpose of which is to disclose the singular and arbitrary constraints that we impose upon ourselves so that we might, should we possess the courage, constitute ourselves differently.  Or, as Foucault puts it, the goal is to determine “what is not or is no longer indispensable for the constitution of ourselves as autonomous subjects” (EW1 313).  (For more locations where Foucault aligns himself with the tradition of critical philosophy see FS 169-173, GSO 1-39, PT 41-82, EW2 459).

The scholarship agrees that there is a prima facie incompatibility in Foucault’s treatment of Kant, but there is disagreement about whether it is more substantial.  Jürgen Habermas (1986) maintains that Foucault’s alleged critique of the Kantian self-constituting subject cannot be squared with the conception of the self-constituting subject that emerges in his ethical writings.  Allen (2003) disputes this view, maintaining that Foucault never rejects the notion of self-constitution, but rather rejects the uniquely modern conception of self-constitution as it appears in Kantian and post-Kantian philosophy.  A possible alternative is presented by Norris (1994), who claims that Foucault simply does not have a consistent position on the Kantian philosophy, but that need not necessarily diminish our appreciation of his later work.  (It is relevant to this discussion that Foucault himself says he is not above changing his mind.  See AK 17, where Foucault famously responds to critics about his perceived shiftiness by asserting his right to change his mind, which is echoed later in his life at UP 8-9.  See also EW1 177, 225, and FL 465, where admits to changing his views about power and other concepts.)

b. Critique and Parrhesia

The recent publication of Foucault’s lecture courses on parrhesia provide further material for his connection to the critical tradition.  In his conclusion to his lectures at Berkeley on parrhesia Foucault very clearly connects parrhesia to the Kantian tradition of critical philosophy.  He invokes again the distinction between two traditions of philosophy:  the analytics of truth and the critical tradition.  Instead of explaining the former as being merely Cartesian and Kantian, he explains it as a concern with the correct processes of reasoning in determining whether a statement is true (thus, Descartes and Kant exemplify a certain kind of analytics of truth, namely, that which grounds truth in the subject).  On the other side is the critical tradition that is concerned with why it is important to tell the truth and who is entitled to speak it.  He then goes on to say that the seminar on parrhesia is a part of his “genealogy of the critical attitude in Western philosophy” (FS 170), thus aligning parrhesia with Kantian critical philosophy.  In doing so Foucault establishes that his critical philosophy is a practice of parrhesia in a similar manner to the Kantian practice of parrhesia.  In “What is Enlightenment?” Kant engages in parrhesia when he encourages his contemporaries to use their own reason, consistent with universal law, of course, and refuse to merely rely on the authority of others, including the authority of the monarchy and state, as a guide to their use of reason (however, one must privately obey institutional authorities while publicly expressing one’s disagreement with them).  Foucault understands his own critical activity as a form of parrhesia in a sense similar to that which Kant exemplifies in the essay on enlightenment.  Disclosing the historicity and arbitrariness of the previously unquestioned constraints that we impose on ourselves is, Foucault thinks, a parrhesiastic act.  Determining their precise relations is at the heart of interpreting the nature and scope of Foucault’s critical project.  For more, see Flynn 1987, O’Leary 2002, McGushin 2007, and the ensuing subsection.

c. Parrhesia and Self-Legislation

 

Ethics, Foucault says, is the form that freedom takes when it is informed by reflection, and by this he means that freedom consists in reflectively informed ascetic practices or practices of self.  These informed practices are imbued with an attitude, ethos, or relationship to one’s ethical substance that Foucault understands as the activity of freedom (EW1 284).  One reason that he focused on ethical work, then, is to discover how human beings freely make themselves into moral subjects of their own conduct through techniques or practices of self-restraint and self-discipline.

In The Government of Self and Others Foucault construes parrhesia as free practice of self par excellence.  “Parrēsia,” Foucault says, “is the free courage by which one binds oneself in the act of telling the truth.  Or again, parrhesia is the ethics of truth-telling as an action which is risky and free” (GSO 66).  The language that Foucault uses to describe parrhesiastic freedom throughout this lecture hour is incredibly suggestive of its source:  it is the language of Kantian self-legislation.  For Kant, autonomy does not consist in giving oneself the moral law, since the moral law is a necessity of the rational will; rather, autonomy consists in binding oneself to the law by freely conforming one’s conduct to it (see, for example, Groundwork for the Metaphysics of Morals 4:31).  This connection suggests that Foucault understands parrhesia as the supreme act of self-legislation and autonomy, where truth rather than moral law plays the normative role  – a point already suggested in Foucault’s claims about the original meaning of the care of the self.  That is to say, it seems that the truth is for Foucault a moral value or a good one ought to pursue.  Parrhesia is the supreme act of self-legislation because the risk and danger involved in the act tests one’s self-discipline and courage in their commitment to the truth.

 

This casts more light on Foucault’s representation of his project as critical.  Because autonomy is conceived as binding oneself to the truth, truth becomes the practical goal of Foucaultian critique.  This would entail that one is to pursue the truth in both its propositional and non-propositional (or existential forms) as the highest practice of self.

d. The Problem of Normativity and the Aesthetics of Existence

The chief objection to Foucault’s self-alignment with the critical tradition is not focused on his reading of Kant, but whether he has the philosophical resources to support a properly critical philosophy.  When Kant engages in parrhesia by exhorting his peers to use their own reason he is not issuing merely an exhortation, but, per his moral philosophy, he is telling them that their own practical reason obligates the use of reason consistent with universal law.  In this regard, Kant’s parrhesia flows from, and his use of critique is grounded in, his analytics of truth.  But Foucault intentionally steers clear of that project, which raises questions about the legitimacy and force of his critical philosophy.  Now, while criticisms of Foucault’s philosophy are diverse (see especially Taylor 1986, Habermas 1986, Bernstein 1994, and Fraser 1994), a common complaint is that he owes his readers some explanation for why one ought to accept his evaluations of modern ethics.

But it is not at all obvious that Foucaultian critical philosophy is – despite the use of the term ‘critique’ – in the business of evaluation.  It is true, as Bernstein (1994) points out, that Foucault very often uses a value-laden rhetoric.  However, it is also true that his project is critical in the peculiar sense of the unmasking of some previously concealed practice or aspect of some practice as an activity of frank-speech.  His rhetoric is therefore charged not because he has some hidden normative criteria already in hand (as Habermas 1990 alleges), but because, for example, certain individuals operate in a practice (say, penitential practices) under false opinions about its supposed noble goals (for example, defending society).  To this end Foucault need only unmask the tensions and inconsistencies in a practice through his historical labors to make his project critical.

While such a maneuver is consistent with a purely descriptive interpretation of Foucault’s critical philosophy, there is a palpable sense in which he goes beyond mere unmasking to recommendation.  For example, in an interview from 1984, “An Aesthetics of Existence,” Foucault states that moral approval (or mode of subjection) conceived merely as obedience to a moral code is not only disappearing but has disappeared, and “to this absence of morality corresponds, must correspond, the search for an aesthetics of existence” (PPC 49; see also OT 326-7).  On the one hand, this appears to be a descriptive, historical statement of a matter of fact, namely, that the nature of moral approval has changed.  On the other hand, some commentators (O’Leary 2002) interpret such statements as evaluations of modern ethics and recommendations for an alternative standard of moral approval exemplified by an aesthetics of existence.  There is no doubt that Foucault commends those who might undertake an aesthetics or arts of existence (EW1 261), or those who voluntarily and rigorously elaborate their existence according to a set of self-imposed standards that aim at what they take to be the good, fine, and beautiful life.  It is unclear, however, if Foucault is merely commending or also recommending an aesthetics of existence.  Foucault’s critics see no binding or authoritative reason why one ought to pursue an aesthetics of existence instead of, say, egoism unless one has the resources for sorting out good, fine, and beautiful things.  For this reason, critics (see Thacker 1993 in addition to those noted above) who interpret Foucault as recommending the aesthetics of existence find it to be an insufficiently articulated alternative to the alleged decline of modern morality.

Additionally, some criticism of Foucault’s ethical thought is based on a reading that empties the aesthetics of existence of its robust moral content.  While Foucault does not always help himself out in playing up that content (see EW1 261), it is worth paying attention to the fact that an aesthetics of existence heeds the ancient injunction to care for oneself.  This means it is ethically oriented by the care of the self and truth, such that one ought to fashion oneself in accordance with the life that one could reasonably maintain is truly fine and beautiful, and also that the practitioner of an aesthetics of existence demands of others, as he or she demands of himself or herself, that they provide a rational discourse for the life that they believe to be truly fine and beautiful.  So, while Foucault is careful to say that a return to ancient Greek ethics – a male-oriented, class-centered ethics – is neither a solution to contemporary moral problems nor a remedy to the alleged decline of modern morality – and indeed expresses pessimism about its prospects (HS 251-2) – an aesthetics of existence properly reformulated to modernity might prove worthy of consideration as a mode of subjection. In the end, however, Foucault supplies only interesting suggestions and nothing too concrete.  For this reason this area of Foucault’s thought, and its critical scope, remains hotly debated and a fruitful area of research.  For a wide range of essays dealing with the manifold of issues related to ethics and critical philosophy in Foucault’s thought, see Norris 1994, Kelly ed. 1994, Ashenden and Owen ed. 1999, O’Leary 2002, and McGushin 2007.

6. References and Further Reading

a. Primary Sources and Abbreviations

  • Foucault, Michel.  The Order of Things:  An Archaeology of the Human Sciences.  New York: Vintage Books, 1970 (OT).
    • Chapters 7 and 9 are important for Foucault’s interpretation of modernity, including modern morality, and especially for his much discussed interpretation of Kant’s critical philosophy.
  • Foucault, Michel.  The Archaeology of Knowledge and The Discourse on Language, trans. A. M. Sheridan Smith. New York: Pantheon Books, 1972 (AK).
    • Foucault lays out the structure of his archaeological method in both texts.
  • Foucault, Michel.  The Birth of the Clinic:  An Archaeology of Medical Perception, trans. A. M. Sheridan Smith.  New York:  Vintage Books, 1973 (BC).
    • Foucault examines the genesis of modern medical perception and experience, which he characterizes in the Preface as both historical and critical.
  • Foucault, Michel.  Discipline and Punish:  The Birth of the Prison, trans. Alan Sheridan. New York: Vintage Books, 1977 (DP).
    • This book is primarily about modern penitential practices, which Foucault understands as one of the most important practices to develop, not coincidentally, at the same time as reform and liberation discourses.
  • Foucault, Michel.  Power/Knowledge:  Selected Interviews and Other Writings, 1972-1977, ed. Colin Gordon. New York: Pantheon Books, 1980 (PK).
    • This volume contains some of Foucault’s most controversial claims about the interrelations of power of knowledge and the nature of truth – claims that might be helpfully interpreted in light of his turn to ethics.
  • Foucault, Michel.  The History of Sexuality, vol. 3: The Care of the Self, trans. Robert Hurley. New York: Vintage Books, 1988 (CS).
    • Part Two, “The Cultivation of the Self,” gives an outline of Roman ethics.  The rest of the text explores changes in ancient Roman ethics and the intensification of the problematization of the aphrodisia, focusing on increased austerity in bodily health, marriage, and the love of boys.
  • Foucault, Michel.  Philosophy, Politics, Culture:  Interviews and Other Writings of Michel Foucault, ed. Lawrence D. Kritzman.  New York:  Routledge, 1988 (PPC).
    • A collection of writings and interviews.
  • Foucault, Michel.  The History of Sexuality, vol. 2: The Use of Pleasure, trans. Robert Hurley. New York: Vintage Books, 1990 (UP).
    • Chapter Three of the Introduction is the most lucid presentation of his theory of ethics.  Chapter One is also noteworthy because it offers some insight into Foucault’s critical-historical project.
  • Foucault, Michel.  Foucault Live (Interviews, 1961-1984), ed. Sylvère Lotringer.  New York: Semiotext(e), 1996 (FL).
    • A collection of interviews spanning Foucault’s career.  Some of the early interviews in this volume contain some of Foucault’s strongest critical rhetoric about the subject.
  • Foucault, Michel.  The Essential Works of Michel Foucault, vol. 1:  Ethics:  Subjectivity and Truth, ed. Paul Rabinow.  New York:  The New Press, 1997 (EW1).
    • Items of special note in this volume are “On the Genealogy of Ethics:  An Overview of Work in Progress” (253-280), “The Ethics of the Concern for Self as a Practice of Freedom” (281-302), and “What is Enlightenment?” (303-320).
  • Foucault, Michel.  The Essential Works of Michel Foucault, vol. 2: Aesthetics, Method, and Epistemology, ed. James D. Faubion. New York: The New Press, 1998 (EW2).
    • The essay, “Foucault,” penned in part pseudonymously by Foucault himself, is worth mentioning because he provides an overview of his work in addition to straightforward statements about his affiliation with the Kantian tradition of critical philosophy.
  • Foucault, Michel.  The Essential Works of Michel Foucault, vol. 3:  Power, ed. James Faubion.  New York:  The New Press, 2000 (EW3).
    • The essay “The Subject and Power” is perhaps Foucault’s clearest presentation of his view on power-relations and it is relevant to those interested in his ethics.
  • Foucault, Michel.  Fearless Speech, ed. Joseph Pearson.  Los Angeles:  Semiotext(e), 2001 (FS).
    • Foucault covers political parrhesia in the writings of Euripides, Platonic texts on Socratic and philosophical parrhesia, and parrhesia in the Epicureans and Cynics.
  • Foucault, Michel.  The Hermeneutics of the Subject:  Lectures at the Collège de France 1981-1982, trans. Graham Burchell.  New York:  Palgrave MacMillan, 2005 (HS).
    • This lecture course, especially the very first lecture, is crucial to the development of Foucault’s conception of ethics and his understanding of the history of ethics.
  • Foucault, Michel.  The Politics of Truth, ed. Sylvère Lotringer. Los Angeles: Semiotext(e), 2007 (PT).
    • This volume contains the important 1978 address, “What is Critique?”, which is the first indication of Foucault’s shift of focus from power to ethics, although it is not clearly articulated as such.  It is also noteworthy because it is Foucault’s first extended discussion of Kant’s essay “What is Enlightenment?”
  • Foucault, Michel.  Introduction to Kant’s Anthropology, trans. Roberto Nigro and Kate Biggs.  Los Angeles:  Semiotext(e), 2008.
    • Through a reading of Kant’s Anthropology from a Pragmatic Point of View and its contextualization with the critical philosophy, Foucault suggests that Kantian philosophical anthropology is at the very heart of the critical philosophy.
  • Foucault, Michel.  The Government of Self and Others:  Lectures at the Collège de France 1982-1983, trans. Graham Burchell.  New York:  Palgrave MacMillan, 2010 (GSO).
    • Foucault narrows his focus from the care of the self to parrhesia as a practice of caring for the self.  Foucault devotes the first two hours to discussing primarily Kant’s essay “What is Enlightenment?” but also his discussion of revolution in The Conflict of the Faculties.
  • Foucault, Michel.  The Courage of Truth:  Lectures at the Collège de France 1983-1984, trans. Graham Burchell.  New York:  Palgrave MacMillan, 2011.
    • Parrhesia is once again the focus of this lecture course.

b. Select Secondary Sources

  • Allen, Amy. “Foucault and Enlightenment: A Critical Reappraisal,” Constellations 10:2, 2003, pp. 180-198.
    • Allen contends that Foucault is engaged in a critique of Kantian critique in which Foucault is said to claim that Kant designs his critical philosophy around the confused doctrine of the subject.
  • Ashenden, Samantha and David Owens, ed. Foucault Contra Habermas:  Recasting the Dialogue Between Genealogy and Critical Theory.  Thousand Oaks:  SAGE Publications, Inc., 1999.
    • A collection of essays on Foucault’s engagement with Habermas.
  • Bernstein, Richard. “Foucault: Critique as a Philosophical Ethos,” Critique and Power: Recasting the Foucault/Habermas Debate, ed. Michael Kelly, pp. 211-42. Cambridge: The MIT Press, 1994.
    • Not only does Bernstein do an excellent job summarizing the complaints of critics such as Habermas and Fraser, he offers some insightful worries about Foucault’s self-alignment with the critical tradition.
  • Davidson, Arnold I.  “Archaeology, Genealogy, Ethics,” Foucault:  A Critical Reader, ed. David Couzens Hoy, pp. 221-33.  Oxford:  Blackwell Publishers, 1986.
    • Davidson provides a helpful overview of Foucault’s conception of ethics and situation of that conception within his archaeological and genealogical methods.
  • Davidson, Arnold I.  “Ethics as Ascetics:  Foucault, the History of Ethics, and Ancient Thought,” The Cambridge Companion to Foucault, 2nd Edition, ed. Gary Gutting, pp. 123-148.  Cambridge:  Cambridge University Press, 2005.
    • Yet another insightful treatment by Davidson of Foucault’s conception of ethics with discussion of the latter’s analysis of ancient sexuality.
  • Detel, Wolfgang.  Foucault and Classical Antiquity: Power, Ethics and Knowledge, trans. David Wigg-Wolf.  Cambridge:  Cambridge University Press, 2005.
    • A critical treatment of Foucault’s investigations of ancient ethics, including original discussion of ancient ethics, and his historical methodology.
  • Flynn, Thomas.  “Foucault as Parrhēsiast:  His Last Course at the Collège de France (1984),” The Final Foucault, ed. James Bernauer and David Rasmussen, pp. 102-18.  Cambridge:  The MIT Press, 1988.
    • A summary and clarification of Foucault’s last lecture course, The Courage of Truth, that connects it to his views about and attitude towards the enlightenment, and, given the suggested connections, how to read Foucault as a parrhēsiast.
  • Fraser, Nancy.  “Michel Foucault:  A ‘Young Conservative’?”, Critique and Power: Recasting the Foucault/Habermas Debate, ed. Michael Kelly, pp. 185-210. Cambridge: The MIT Press, 1994.
    • Fraser provides a helpful discussion and commentary on Habermas’ criticisms of Foucault.
  • Habermas, Jürgen.  “Taking Aim at the Heart of the Present,” Foucault:  A Critical Reader, ed. David Couzens Hoy, pp. 103-8.  Cambridge:  Blackwell Publishers Inc., 1986.
    • Habermas maintains that not only does Foucault have an incompatible interpretation of Kant’s critical philosophy, but that he is also not entitled to engage in critical philosophy because he rejects the normative requirements of critique.
  • Habermas, Jürgen.  The Philosophical Discourse of Modernity:  Twelve Lectures, trans. Frederick G. Lawrence.  Cambridge:  The MIT Press, 1990.
    • Habermas mounts a powerful critique of Foucault’s entire thought in two lengthy chapters (Chapters Nine and Ten).
  • Han, Béatrice.  Foucault’s Critical Project:  Between the Transcendental and the Historical, trans. Edward Pile.  Stanford:  Stanford University Press, 2002.
    • Han maintains that Foucault argues that Kant is unable to maintain the distinction between the transcendental and the empirical; however, she contends that Foucault himself is unable to maintain the distinction throughout his work between the transcendental and the historical.
  • Kelly, Michael, ed.  Critique and Power: Recasting the Foucault/Habermas Debate.  Cambridge:  The MIT Press.
    • This volume includes writings by both Foucault and Habermas in addition to essays dealing with value-related issues in both Foucault’s thought and Habermas’.
  • Levy, Neil.  “Foucault as Virtue Ethicist,” Foucault Studies, no. 1, 2004, pp. 20-31.
    • The author maintains that Foucault’s investigations of the care of the self show that his ethical work is best understood as a virtue theoretic ethics.
  • McGushin, Edward F.  Foucault’s Askēsis:  An Introduction to the Philosophical Life.  Evanston:  Northwestern University Press, 2007.
    • McGushin weaves together the various threads of Foucault’s thought as a spiritual practice that is exercised in the criticism of the Cartesian moment and the confluence of normalizing biopolitics.
  • Milchman, Alan and Alan Rosenberg.  “The Aesthetic and Ascetic Dimensions of an Ethics of Self-Fashioning:  Nietzsche and Foucault,” Parrhesia:  A Journal of Critical Philosophy, no. 2, 2007, pp. 44-65.
    • This essay provides a valuable discussion of Foucault’s ‘ethical turn’ and his concept of an aesthetics of existence, including how it is related to a similar view found in the philosophy of Friedrich Nietzsche, a well-known influence on Foucault.
  • Norris, Christopher.  “‘What is Enlightenment?’  Kant according to Foucault,” The Cambridge Companion to Foucault, 1st Edition, ed. Gary Gutting, pp. 159-96.  Cambridge:  Cambridge University Press, 1994.
    • Norris considers the complexity of Foucault’s conception of the subject as it appears throughout the latter’s writings and in the context of his relationship to Kant.
  • O’Leary, Timothy.  Foucault and the Art of Ethics.  London:  Continuum, 2002.
    • O’Leary lays out an account of Foucault’s ethics in which Foucault offers an aesthetics of existence as an alternative to the failure of modern theory to ground moral obligations.  Without denying potential problems in this ethics, O’Leary maintains that its goal is self-transformation and experimentation.
  • Schmidt, James and Thomas Wartenberg, “Foucault’s Enlightenment: Critique, Revolution, and the Fashioning of the Self,” Critique and Power: Recasting the Foucault/Habermas Debate, ed. Michael Kelly, pp. 283-314. Cambridge: The MIT Press, 1994.
    • The authors consider Foucault’s reading of Kant and the former’s relationship to the enlightenment, concluding that, while Foucault is not immune from criticism, critics of his work might start with the Kantian ideas that Foucault inherits.
  • Sharpe, Matthew.  “‘Critique’ as Technology of the Self,” Foucault Studies, no. 2, 2005, pp. 97-116.
    • Sharpe posits that there is a theoretical continuity in Foucault’s thought (that is, there is no ‘ethical turn’) insofar as Foucault always maintained the value of Kantian critique as a practice of self.
  • Stone, Brad E.  “Subjectivity and Truth,” Foucault:  Key Concepts, Dianna Taylor ed., pp. 143-57.  Durham:  Acumen, 2011.
    • The care of the self and its relation to parrhēsia is covered, in addition to exploring possibilities of caring for the self in the modern age.
  • Taylor, Charles.  “Foucault on Freedom and Truth,” Foucault:  A Critical Reader, ed. David Couzens Hoy, pp. 69-102.  Cambridge:  Blackwell Publishers Inc., 1986.
    • Taylor argues that Foucault’s conception of power-relations assumes views of both truth and freedom that the latter rejects.
  • Taylor, Dianna.  “Normalization and Normativity,” Foucault Studies, no. 7, 2009, pp. 45-63.
    • Taylor deals with the issue of normativity in both Foucault and Habermas, maintaining that Habermas’ conception of normativity might in practice constrain (viz. normalization) rather than emancipate.
  • Taylor, Dianna.  “Practices of the Self,” Foucault:  Key Concepts, Dianna Taylor ed., pp. 173-86.  Durham:  Acumen, 2011.
    • Taylor examines Foucault’s notion of practices of the self in the context of the Christian practice of self-sacrifice, which she contrasts with his own critical practice that, she claims, emphasizes innovative and creative practices of the self.
  • Thacker, Andrew.  “Foucault’s Aesthetics of Existence,” Radical Philosophy, no. 63, 1993, pp. 13-21.
    • Foucault’s notion of an aesthetics of existence is treated, and Thacker maintains that said notion is insufficiently articulated to stand as a criteria for personal decision-making.

 

Author Information

Bob Robinson
Email: robert.robinson@lmu.edu
Loyola Marymount University
U. S. A.

Frantz Fanon (1925—1961)

Frantz Fanon was one of a few extraordinary thinkers supporting the decolonization struggles occurring after World War II, and he remains among the most widely read and influential of these voices.  His brief life was notable both for his whole-hearted engagement in the independence struggle the Algerian people waged against France and for his astute, passionate analyses of the human impulse towards freedom in the colonial context.  His written works have become central texts in Africana thought, in large part because of their attention to the roles hybridity and creolization can play in forming humanist, anti-colonial cultures.  Hybridity, in particular, is seen as a counter-hegemonic opposition to colonial practices, a non-assimilationist way of building connections across cultures that Africana scholar Paget Henry argues is constitutive of Africana political philosophy.

Tracing the development of his writings helps explain how and why he has become an inspirational figure firing the moral imagination of people who continue to work for social justice for the marginalized and the oppressed.  Fanon’s first work Peau Noire, Masques Blancs (Black Skin, White Masks) was his first effort to articulate a radical anti-racist humanism that adhered neither to assimilation to a white-supremacist mainstream nor to reactionary philosophies of black superiority.  While the attention to oppression of colonized peoples that was to dominate his later works was present in this first book, its call for a new understanding of humanity was undertaken from the subject-position of a relatively privileged Martinican citizen of France, in search of his own place in the world as a black man from the French Caribbean, living in France.  His later works, notably L’An Cinq, de la Révolution Algérienne (A Dying Colonialism) and the much more well-known Les Damnés de la Terre (The Wretched of the Earth), go beyond a preoccupation with Europe’s pretensions to being a universal standard of culture and civilization, in order to take on the struggles and take up the consciousness of the colonized “natives” as they rise up and reclaim simultaneously their lands and their human dignity.  It is Fanon’s expansive conception of humanity and his decision to craft the moral core of decolonization theory as a commitment to the individual human dignity of each member of populations typically dismissed as “the masses” that stands as his enduring legacy.

Table of Contents

  1. Biography
  2. Africana Phenomenology
  3. Decolonization Theory
  4. Influences on Fanon’s Thought
  5. Movements and Thinkers Influenced by Fanon
  6. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Biography

Frantz Fanon was born in the French colony of Martinique on July 20, 1925.  His family occupied a social position within Martinican society that could reasonably qualify them as part of the black bourgeoisie; Frantz’s father, Casimir Fanon, was a customs inspector and his mother, Eléanore Médélice, owned a hardware store in downtown Fort-de-France, the capital of Martinique.  Members of this social stratum tended to strive for assimilation, and identification, with white French culture.  Fanon was raised in this environment, learning France’s history as his own, until his high school years when he first encountered the philosophy of negritude, taught to him by Aimé Césaire, Martinique’s other renowned critic of European colonization.  Politicized, and torn between the assimilationism of Martinique’s middle class and the preoccupation with racial identity that negritude promotes, Fanon left the colony in 1943, at the age of 18, to fight with the Free French forces in the waning days of World War II.

After the war, he stayed in France to study psychiatry and medicine at university in Lyons.  Here, he encountered bafflingly simplistic anti-black racism—so different from the complex, class-permeated distinctions of shades of lightness and darkness one finds in the Caribbean—which would so enrage him that he was inspired to write “An Essay for the Disalienation of Blacks,” the piece of writing that would eventually become Peau Noire, Masques Blancs (1952).  It was here too that he began to explore the Marxist and existentialist ideas that would inform the radical departure from the assimilation-negritude dichotomy that Peau Noire’s anti-racist humanism inaugurates.

Although he briefly returned to the Caribbean after he finished his studies, he no longer felt at home there and in 1953, after a stint in Paris, he accepted a position as chef de service (chief of staff) for the psychiatric ward of the Blida-Joinville hospital in Algeria.  The following year, 1954, marked the eruption of the Algerian war of independence against France, an uprising directed by the Front de Libération Nationale (FLN) and brutally repressed by French armed forces.  Working in a French hospital, Fanon was increasingly responsible for treating both the psychological distress of the soldiers and officers of the French army who carried out torture in order to suppress anti-colonial resistance and the trauma suffered by the Algerian torture victims.  Already alienated by the homogenizing effects of French imperialism, by 1956 Fanon realized he could not continue to aid French efforts to put down a decolonization movement that commanded his political loyalties, and he resigned his position at the hospital.

Once he was no longer officially working for the French government in Algeria, Fanon was free to devote himself to the cause of Algerian independence.  During this period, he was based primarily in Tunisia where he trained nurses for the FLN, edited its newspaper el Moujahid, and contributed articles about the movement to sympathetic publications, including Presence Africaine and Jean-Paul Sartre’s journal Les Temps Modernes.  Some of Fanon’s writings from this period were published posthumously in 1964 as Pour la Révolution Africaine (Toward the African Revolution).  In 1959 Fanon published a series of essays, L’An Cinq, de la Révolution Algérienne, (The Year of the Algerian Revolution) which detail how the oppressed natives of Algeria organized themselves into a revolutionary fighting force.  That same year, he took up a diplomatic post in the provisional Algerian government, ambassador to Ghana, and used the influence of this position to help open up supply routes for the Algerian army.  It was in Ghana that Fanon was diagnosed with the leukemia that would be his cause of death.  Despite his rapidly failing health, Fanon spent ten months of his last year of life writing the book for which he would be most remembered, Les Damnés de la Terre, an indictment of the violence and savagery of colonialism which he ends with a passionate call for a new history of humanity to be initiated by a decolonized Third World.  In October 1961, Fanon was brought to the United States by a C.I.A. agent so that he could receive treatment at a National Institutes of Health facility in Bethesda, Maryland.  He died two months later, on December 6, 1961, reportedly still preoccupied with the cause of liberty and justice for the peoples of the Third World. At the request of the FLN, his body was returned to Tunisia, where it was subsequently transported across the border and buried in the soil of the Algerian nation for which he fought so single-mindedly during the last five years of his life.

2. Africana Phenomenology

Fanon’s contribution to phenomenology, glossed as a critical race discourse (an analysis of the pre-conscious forces shaping the self that organizes itself around race as a founding category), most particularly his exploration of the existential challenges faced by black human beings in a social world that is constituted for white human beings, receives its most explicit treatment in Peau Noire, Masques Blancs.  The central metaphor of this book, that black people must wear “white masks” in order to get by in a white world, is reminiscent of W.E.B. Du Bois’ argument that African Americans develop a double consciousness living under a white power structure: one that flatters that structure (or some such) and one experienced when among other African Americans.  Fanon’s treatment of the ways black people respond to a social context that racializes them at the expense of our shared humanity ranges across a broader range of cultures than Du Bois, however; Fanon examines how race shapes (deforms) the lives of both men and women in the French Caribbean, in France, and in colonial conflicts in Africa.  Africana sociologist Paget Henry characterizes Fanon’s relation to Du Bois in the realm of phenomenology as one of extension and of clarification, since he offers a more detailed investigation of how the self encounters the trauma of being categorized by others as inferior due to an imposed racial identity and how that self can recuperate a sense of identity and a cultural affiliation that is independent of the racist project of an imperializing dominant culture.

Fanon dissects in all of his major works the racist and colonizing project of white European culture, that is, the totalizing, hierarchical worldview that needs to set up the black human being as “negro” so it has an “other” against which to define itself.  While Peau Noire offers a sustained discussion of the psychological dimensions of this “negrification” of human beings and possibilities of resistance to it, the political dimensions are explored in L’An Cinq, de la Révolution Algérienne and Les Damnés de la Terre.  Fanon’s diagnosis of the psychological dimensions of negrification’s phenomenological violence documents its traumatizing effects: first, negrification promotes negative attitudes toward other blacks and Africa; second, it normalizes attitudes of desire and debasement toward Europe, white people, and white culture in general; and finally, it presents itself as such an all-encompassing way of being in the world that no other alternative appears to be possible.  The difficulty of overcoming the sense of alienation that negrification sets up as necessary for the black human being lies in learning to see oneself not just as envisioned and valued (that is, devalued) by the white dominant culture but simultaneously through a perspective constructed both in opposition to and independently from the racist/racialized mainstream, a parallel perspective in which a black man or woman’s value judgments—of oneself and of others of one’s race—do not have to be filtered through white norms and values.  It is only through development of this latter perspective that the black man or woman can shake off the psychological colonization that racist phenomenology imposes, Fanon argues.

One of the most pervasive agents of phenomenological conditioning is language.  In Peau Noire, Fanon analyzes language as that which carries and reveals racism in culture, using as an example the symbolism of whiteness and blackness in the French language—a point that translates equally well into English linguistic habits.  One cannot learn and speak this language, Fanon asserts, without subconsciously accepting the cultural meanings embedded in equations of purity with whiteness and malevolence with blackness: to be white is to be good, and to be black is to be bad.  While Peau Noire focuses on the colonizing aspects of the French language, L’An Cinq, on the other hand, offers an interesting account of how language might enable decolonization efforts.  Fanon describes a decision made by the revolutionary forces in Algeria in 1956 to give up their previous boycott of French and instead start using it as the lingua franca that could unite diverse communities of resistance, including those who did not speak Arabic.  The subversive effects of adopting French extended beyond the convenience of a common language; it also cast doubt on the simplistic assumption the French colonizers had been making, namely, that all French speakers in Algeria were loyal to the colonial government.  After strategically adopting the colonizer’s language, one entered a shop or a government office no longer necessarily announcing one’s politics in one’s choice of language.

Fanon’s critical race phenomenology is not without its critics, many of whom read Peau Noire’s back-to-back accounts of the black woman’s desire for a white lover and the black man’s desire for a white lover as misogynistic.  According to these critiques, typically offered from a feminist point of view, the autobiography of Mayotte Capécia, a Martinican woman who seeks the love of a white man, any white man it seems, is treated by Fanon (who describes it as “cut-rate” and “ridiculous”) with far less respect than the novel by René Maran, which describes the story of Jean Veneuse, a black man who reluctantly falls in love with a white Frenchwoman and hesitates to marry her until he is urged to do so by her brother.  Although Fanon is unequivocal in his statement that both of these discussions serve as examples of “alienated psyches,” white feminists who make this charge of misogyny point to his less sympathetic account of Capécia as evidence that he holds black women complicit in the devaluing of blackness.  Where it is found at all in the work of black feminist writers, this allegation tends to be more tentative, and tends to be contextualized within a pluralist inventory of phenomenological approaches.  Just as Fanon selects race as the founding category of phenomenology, a feminist phenomenology would focus on gender as a founding category.  In this pluralist framework, Fanon’s attention to race at the expense of gender is arguably more explicable as a methodological choice than a deep-seated contempt for women.

3. Decolonization Theory

The political dimensions of negrification that call for decolonization receive fuller treatment in L’An Cinq, de la Révolution Algérienne and Les Damnés de la Terre.  But Fanon does not simply diagnose the political symptoms of the worldview within which black men and women are dehumanized.  He situates his diagnosis within an unambiguous ethical commitment to the equal right of every human being to have his or her human dignity recognized by others.  This assertion, that all of us are entitled to moral consideration and that no one is dispensable, is the principled core of his decolonization theory, which continues to inspire scholars and activists dedicated to human rights and social justice.

As the French title suggests, L’An Cinq (published in English as A Dying Colonialism) is Fanon’s first-hand account of how the Algerian people mobilized themselves into a revolutionary fighting force and repelled the French colonial government.  The lessons that other aspiring revolutionary movements can learn from Fanon’s presentation of the FLN’s strategies and tactics are embedded in their particular Algerian context, but nonetheless evidently adaptable.  In addition to describing the FLN’s strategic adoption of French as the language of communication with its sympathetic civilian population, Fanon also traces the interplay of ideological and pragmatic choices they made about communications technology.  Once the French started suppressing newspapers, the FLN had to rethink their standing boycott of radios, which they had previously denounced as the colonizer’s technology.  This led to the creation of a nationalist radio station, the Voice of Fighting Algeria, that now challenged colonial propaganda with what Fanon described as “the first words of the nation.”  Another of the fundamental challenges they issued to the colonial world of division and hierarchy was the radically inclusive statement the provisional government made that all people living in Algeria would be considered citizens of the new nation.  This was a bold contestation of European imperialism on the model of Haiti’s first constitution (1805), which attempted to break down hierarchies of social privilege based on skin color by declaring that all Haitian citizens would be considered black.  Both the Algerian and Haitian declarations are powerful decolonizing moves because they undermine the very Manichean structure that Fanon identifies as the foundation of the colonial world.

While L’An Cinq offers the kinds of insights one might hope for from a historical document, Les Damnés de la Terre is a more abstract analysis of colonialism and revolution.  It has been described as a handbook for black revolution.  The book ranges over the necessary role Fanon thinks violence must play in decolonization struggles, the false paths decolonizing nations take when they entrust their eventual freedom to negotiations between a native elite class and the formers colonizers instead of mobilizing the masses as a popular fighting force, the need to recreate a national culture through a revolutionary arts and literature movement, and an inventory of the psychiatric disorders that colonial repression unleashes.  Part of its shocking quality, from a philosophical perspective, is alluded to in the preface that Jean-Paul Sartre wrote for the book: it speaks the language of philosophy and deploys the kind of Marxist and Hegelian arguments one might expect in a philosophy of liberation, but it does not speak to the West.  It is Fanon conversing with, advising, his fellow Third-World revolutionaries.

The controversy that swirls around Les Damnés is very different from the one Peau Noire attracts.  Where feminist critiques of Peau Noire require a deep reading and an analysis of the kinds of questions Fanon failed to ask, those who find fault with Les Damnés for what they see as its endorsement of violent insurgency are often reading Fanon’s words too simplistically.   His argument is not that decolonizing natives are justified in using violent means to effect their ends;  the point he is making in his opening chapter, “Concerning Violence,” is that violence is a fundamental element of colonization, introduced by the colonizers and visited upon the colonized as part of the colonial oppression.  The choice concerning violence that the colonized native must make, in Fanon’s view, is between continuing to accept it—absorbing the abuse or displacing it upon other members of the oppressed native community—or taking this foreign violence and throwing it back in the face of those who initiated it.  Fanon’s consistent existentialist commitment to choosing one’s character through one’s actions means that decolonization can only happen when the native takes up his or her responsible subjecthood and refuses to occupy the position of violence-absorbing passive victim.

4. Influences on Fanon’s Thought

The first significant influence on Fanon was the philosophy of negritude to which he was introduced by Aimé Césaire.  Although this philosophy of black pride was a potent counterbalance to the assimilation tendencies into which Fanon had been socialized, it was ultimately an inadequate response to an imperializing culture that presents itself as a universal worldview.  Far more fruitful, in Fanon’s view, were his studies in France of Hegel, Marx, and Husserl.  From these sources he developed the view that dialectic could be the process through which the othered/alienated self can respond to racist trauma in a healthy way, a sensitivity to the social and economic forces that shape human beings, and an appreciation for the pre-conscious construction of self that phenomenology can reveal.  He also found Sartre’s existentialism a helpful resource for theorizing the process of self construction by which each of us chooses to become the persons we are.  This relation with Sartre appears to have been particularly mutually beneficial; Sartre’s existentialism permeates Peau Noire and in turn, Sartre’s heartfelt and radical commitment to decolonization suggests that Fanon had quite an influence on him.

5. Movements and Thinkers Influenced by Fanon

The pan-Africanism that Fanon understood himself to be contributing to in his work on behalf of Third World peoples never really materialized as a political movement.  It must be remembered that in Fanon’s day, the term “Third World” did not have the meaning it has today.  Where today it designates a collection of desperately poor countries that are the objects of the developed world’s charity, in the 1950s and 1960s, the term indicated the hope of an emerging alternative to political alliance with either the First World (the United States and Europe) or the Second World (the Soviet bloc).  The attempt to generate political solidarity and meaningful political power among the newly independent nations of Africa instead foundered as these former colonies fell victim to precisely the sort of false decolonization and client-statism that Fanon had warned against.  Today, as a political program, that ideal of small-state solidarity survives only in the leftist critiques of neoliberalism offered by activists like Noam Chomsky and Naomi Klein.

Instead, the discourse of solidarity and political reconstruction has retreated into the academy, where it is theorized as “postcolonialism.”  Here we find the critical theorizing of scholars like Edward Said and Gayatri Spivak, both of whom construct analyses of the colonial Self and the colonized Other that, implicitly at least, depend on the Manichean division that Fanon presents in Les Damnés.

Thinkers around the globe have been profoundly influenced by Fanon’s work on anti-black racism and decolonization theory.  Brazilian theorist of critical pedagogy Paulo Freire engages Fanon in dialogue in Pedagogy of the Oppressed, notably in his discussion of the mis-steps that oppressed people may make on their path to liberation.  Freire’s emphasis on the need to go beyond a mere turning of the tables, a seizure of the privileges and social positions of the oppressors, echoes Fanon’s concern in Les Damnés and in essays such as “Racism and Culture” (in Pour la Révolution Africaine) that failure to appreciate the deeply Manichean structure of the settler-native division could lead to a false decolonization in which a native elite simply replace the settler elite as the oppressive rulers of the still exploited masses.  This shared concern is the motivation for Freire’s insistence on perspectival transformation and on populist inclusion as necessary conditions for social liberation.

Kenyan author and decolonization activist Ngũgĩ wa Thiong’o also draws on ideas Fanon presents in Les Damnés.  Inspired mainly by Fanon’s meditations on the need to decolonize national consciousness, Ngũgĩ has written of the need to get beyond the “colonization of the mind” that occurs in using the language of imposed powers.  Like Fanon, he recognizes that language has a dual character.  It colonizes in the sense that power congeals in the history of how language is used (that is, its role in carrying culture). But it can also be adapted to our real-life communication and our “image-forming” projects, which means it also always carries the potential to be the means by which we liberate ourselves.  Ngũgĩ’s last book in English, Decolonizing the Mind, was his official renunciation of the colonizer’s language in favor of his native tongue, Gĩkũyũ, and its account of the politics of language in African literature can fruitfully be read as an illustration of the abstract claims Fanon makes about art and culture in Les Damnés and Pour la Révolution Africaine.

Maori scholar Linda Tuhiwai Smith takes up Fanon’s call for artists and intellectuals of decolonizing societies to create new literatures and new cultures for their liberated nations.  Applying Fanon’s call to her own context, Tuhiwai Smith notes that Maori writers in New Zealand have begun to produce literature that reflects and supports a resurgent indigenous sovereignty movement, but she notes that there is little attention to achieving that same intellectual autonomy in the social sciences.  Inspired by Fanon’s call to voice, she has written Decolonizing Methodologies, a book that interrogates the way “research” has been used by European colonial powers to subjugate indigenous peoples and also lays out methodological principles for indigenous research agendas that will not reproduce the same dehumanizing results that colonial knowledge production has been responsible for

In the United States, Fanon’s influence continues to grow.  Feminist theorist bell hooks, one of those who notes the absence of attention to gender in Fanon’s work, nonetheless acknowledges the power of his vision of the resistant decolonized subject and the possibility of love that this vision nurtures.  Existential phenomenologist Lewis R. Gordon works to articulate the new humanism that Fanon identified as the goal of a decolonized anti-racist philosophy.  Gordon is one of the Africana–and Caribbean–focused scholars in American academia who has been involved in founding today’s most prominent Africana-Caribbean research network, the Caribbean Philosophical Association, which awards an annual book prize in Frantz Fanon’s name.  The Frantz Fanon Prize recognizes excellence in scholarship that advances Caribbean philosophy and Africana-humanist thought in the Fanonian tradition.

In Paris, the heart of the former empire that Fanon opposed so vigorously in his short life, his philosophy of humanist liberation and his commitment to the moral relevance of all people everywhere have been taken up by his daughter Mireille Fanon.  She heads the Fondation Frantz Fanon and follows in her father’s footsteps with her work on questions of international law and human rights, supporting the rights of migrants, and championing struggles against the impunity of the powerful and all forms of racism.

 

6. References and Further Reading

a. Primary Sources

  • Fanon, Frantz.  L’An Cinq, de la Révolution Algérienne.  Paris: François Maspero, 1959.  [Published in English as A Dying Colonialism, trans. Haakon Chevalier (New York: Grove Press, 1965).]
  • Fanon, Frantz.  Les Damnés de la Terre.  Paris: François Maspero, 1961.  [Published in English as The Wretched of the Earth, trans. Constance Farrington (New York: Grove Press, 1965).]
  • Fanon, Frantz.  Peau Noire, Masques Blancs.  Paris: Editions du Seuil, 1952.  [Published in English as Black Skin, White Masks, trans. Charles Lam Markmann (New York: Grove Press, 1967).]
  • Fanon, Frantz.  Pour la Révolution Africaine.  Paris: François Maspero, 1964.  [Published in English as Toward the African Revolution, trans. Haakon Chevalier (New York: Grove Press, 1967).]

b. Secondary Sources

  • Cherki, Alice.  Frantz Fanon: A Portrait.  Trans. Nadia Benabid.  Ithaca, NY: Cornell University Press, 2006.
    • A biography of Fanon by one of his co-workers at the Blida-Joinville hospital in Algeria and fellow activists for Algerian liberation.
  • Gibson, Nigel C.  Fanon: The Postcolonial Imagination.  Cambridge, UK: Polity Press, 2003.
    • An introduction to Fanon’s ideas with emphasis on the role that dialectic played in his development of a philosophy of liberation.
  • Gibson, Nigel C. (ed.).  Rethinking Fanon: The Continuing Dialogue.  Amherst, NY: Humanity Books, 1999.
    • A collection of some of the enduring essays on Fanon, with attention to his continuing relevance.
  • Gordon, Lewis R.  Fanon and the Crisis of European Man: An Essay on Philosophy and the Human Sciences.  New York: Routledge, 1995.
    • An argument in the Fanonian vein that bad faith in European practice of the human sciences has impeded the inclusive humanism Fanon called for.
  • Gordon, Lewis R., T. Denean Sharpley-Whiting, and Renée T. White (eds.).  Fanon: A Critical Reader.  Malden, MA: Blackwell, 1996.
    • Essays on Africana philosophy, neocolonial and postcolonial studies, human sciences, and other academic discourses that place Fanon’s work in its appropriate and illuminating contexts.
  • Hoppe, Elizabeth A. and Tracey Nicholls (eds.).  Fanon and the Decolonization of Philosophy.  Lanham, MD: Lexington Books, 2010.
    • Essays by contemporary Fanon scholars exploring the enduring relevance to philosophy of Fanon’s thought.
  • Sekyi-Out, Ato.  Fanon’s Dialectic of Experience.  Cambridge, MA: Harvard University Press, 1996.
    • A hermeneutic reading of all of Fanon’s texts as a single dialectical narrative.
  • Zahar, Renate.  Frantz Fanon: Colonialism and Alienation.  New York: Monthly Review Press, 1974.
    • An analysis of Fanon’s writings through the concept of alienation.

 

Author Information

Tracey Nicholls
Email: tracey.j.nicholls@gmail.com
Lewis University
U. S. A.

Existentialism

Existentialism is a catch-all term for those philosophers who consider the nature of the human condition as a key philosophical problem and who share the view that this problem is best addressed through ontology. This very broad definition will be clarified by discussing seven key themes that existentialist thinkers address. Those philosophers considered existentialists are mostly from the continent of Europe, and date from the 19th and 20th centuries. Outside philosophy, the existentialist movement is probably the most well-known philosophical movement, and at least two of its members are among the most famous philosophical personalities and widely read philosophical authors. It has certainly had considerable influence outside philosophy, for example on psychological theory and on the arts. Within philosophy, though, it is safe to say that this loose movement considered as a whole has not had a great impact, although individuals or ideas counted within it remain important. Moreover, most of the philosophers conventionally grouped under this heading either never used, or actively disavowed, the term ‘existentialist’. Even Sartre himself once said: “Existentialism? I don’t know what that is.” So, there is a case to be made that the term – insofar as it leads us to ignore what is distinctive about philosophical positions and to conflate together significantly different ideas – does more harm than good.

In this article, however, it is assumed that something sensible can be said about existentialism as a loosely defined movement. The article has three sections. First, we outline a set of themes that define, albeit very broadly, existentialist concerns. This is done with reference to the historical context of existentialism, which will help us to understand why certain philosophical problems and methods were considered so important. Second, we discuss individually six philosophers who are arguably its central figures, stressing in these discussions the ways in which these philosophers approached existentialist themes in distinctive ways. These figures, and many of the others we mention, have full length articles of their own within the Encyclopedia. Finally, we look very briefly at the influence of existentialism, especially outside philosophy.

Table of Contents

  1. Key Themes of Existentialism
    1. Philosophy as a Way of Life
    2. Anxiety and Authenticity
    3. Freedom
    4. Situatedness
    5. Existence
    6. Irrationality/Absurdity
    7. The Crowd
  2. Key Existentialist Philosophers
    1. Søren Kierkegaard (1813-1855) as an Existentialist Philosopher
    2. Friedrich Nietzsche (1844-1900) as an Existentialist Philosopher
    3. Martin Heidegger (1889-1976) as an Existentialist Philosopher
    4. Jean-Paul Sartre (1905-1980) as an Existentialist Philosopher
    5. Simone de Beauvoir (1908-1986) as an Existentialist Philosopher
    6. Albert Camus (1913-1960) as an Existentialist Philosopher
  3. The Influence of Existentialism
    1. The Arts and Psychology
    2. Philosophy
  4. References and Further Reading
    1. General Introductions
    2. Anthologies
    3. Primary Bibliography
    4. Secondary Bibliography
    5. Other Works Cited

1. Key Themes of Existentialism

Although a highly diverse tradition of thought, seven themes can be identified that provide some sense of overall unity. Here, these themes will be briefly introduced; they can then provide us with an intellectual framework within which to discuss exemplary figures within the history of existentialism.

a. Philosophy as a Way of Life

Philosophy should not be thought of primarily either as an attempt to investigate and understand the self or the world, or as a special occupation that concerns only a few. Rather, philosophy must be thought of as fully integrated within life. To be sure, there may need to be professional philosophers, who develop an elaborate set of methods and concepts (Sartre makes this point frequently) but life can be lived philosophically without a technical knowledge of philosophy.  Existentialist thinkers tended to identify two historical antecedents for this notion. First, the ancient Greeks, and particularly the figure of Socrates but also the Stoics and Epicureans. Socrates was not only non-professional, but in his pursuit of the good life he tended to eschew the formation of a ‘system’ or ‘theory’, and his teachings took place often in public spaces. In this, the existentialists were hardly unusual. In the 19th and 20th centuries, the rapid expansion of industrialisation and advance in technology were often seen in terms of an alienation of the human from nature or from a properly natural way of living (for example, thinkers of German and English romanticism).

The second influence on thinking of philosophy as a way of life was German Idealism after Kant. Partly as a response to the 18th century Enlightenment, and under the influence of the Neoplatonists, Schelling and Hegel both thought of philosophy as an activity that is an integral part of the history of human beings, rather than outside of life and the world, looking on. Later in the 19th century, Marx famously criticised previous philosophy by saying that the point of philosophy is not to know things – even to know things about activity – but to change them.  The concept of philosophy as a way of life manifests itself in existentialist thought in a number of ways. Let us give several examples, to which we will return in the sections that follow. First, the existentialists often undertook a critique of modern life in terms of the specialisation of both manual and intellectual labour. Specialisation included philosophy. One consequence of this is that many existentialist thinkers experimented with different styles or genres of writing in order to escape the effects of this specialisation. Second, a notion that we can call ‘immanence’: philosophy studies life from the inside. For Kierkegaard, for example, the fundamental truths of my existence are not representations – not, that is, ideas, propositions or symbols the meaning of which can be separated from their origin. Rather, the truths of existence are immediately lived, felt and acted. Likewise, for Nietzsche and Heidegger, it is essential to recognise that the philosopher investigating human existence is, him or herself, an existing human. Third, the nature of life itself is a perennial existentialist concern and, more famously (in Heidegger and in Camus), also the significance of death.

b. Anxiety and Authenticity

A key idea here is that human existence is in some way ‘on its own’; anxiety (or anguish) is the recognition of this fact. Anxiety here has two important implications. First, most generally, many existentialists tended to stress the significance of emotions or feelings, in so far as they were presumed to have a less culturally or intellectually mediated relation to one’s individual and separate existence. This idea is found in Kierkegaard, as we mentioned above, and in Heidegger’s discussion of ‘mood’; it is also one reason why existentialism had an influence on psychology. Second, anxiety also stands for a form of existence that is recognition of being on its own. What is meant by ‘being on its own’ varies among philosophers. For example, it might mean the irrelevance (or even negative influence) of rational thought, moral values, or empirical evidence, when it comes to making fundamental decisions concerning one’s existence. As we shall see, Kierkegaard sees Hegel’s account of religion in terms of the history of absolute spirit as an exemplary confusion of faith and reason. Alternatively, it might be a more specifically theological claim: the existence of a transcendent deity is not relevant to (or is positively detrimental to) such decisions (a view broadly shared by Nietzsche and Sartre). Finally, being on its own might signify the uniqueness of human existence, and thus the fact that it cannot understand itself in terms of other kinds of existence (Heidegger and Sartre).

Related to anxiety is the concept of authenticity, which is let us say the existentialist spin on the Greek notion of ‘the good life’. As we shall see, the authentic being would be able to recognise and affirm the nature of existence (we shall shortly specify some of the aspects of this, such as absurdity and freedom). Not, though, recognise the nature of existence as an intellectual fact, disengaged from life; but rather, the authentic being lives in accordance with this nature. The notion of authenticity is sometimes seen as connected to individualism. This is only reinforced by the contrast with a theme we will discuss below, that of the ‘crowd’. Certainly, if authenticity involves ‘being on one’s own’, then there would seem to be some kind of value in celebrating and sustaining one’s difference and independence from others. However, many existentialists see individualism as a historical and cultural trend (for example Nietzsche), or dubious political value (Camus), rather than a necessary component of authentic existence. Individualism tends to obscure the particular types of collectivity that various existentialists deem important.

For many existentialists, the conditions of the modern world make authenticity especially difficult. For example, many existentialists would join other philosophers (such as the Frankfurt School) in condemning an instrumentalist conception of reason and value. The utilitarianism of Mill measured moral value and justice also in terms of the consequences of actions. Later liberalism would seek to absorb nearly all functions of political and social life under the heading of economic performance. Evaluating solely in terms of the measurable outcomes of production was seen as reinforcing the secularisation of the institutions of political, social or economic life; and reinforcing also the abandonment of any broader sense of the spiritual dimension (such an idea is found acutely in Emerson, and is akin to the concerns of Kierkegaard). Existentialists such as Martin Heidegger, Hanna Arendt or Gabriel Marcel viewed these social movements in terms of a narrowing of the possibilities of human thought to the instrumental or technological. This narrowing involved thinking of the world in terms of resources, and thinking of all human action as a making, or indeed as a machine-like ‘function’.

c. Freedom

The next key theme is freedom. Freedom can usefully be linked to the concept of anguish, because my freedom is in part defined by the isolation of my decisions from any determination by a deity, or by previously existent values or knowledge. Many existentialists identified the 19th and 20th centuries as experiencing a crisis of values. This might be traced back to familiar reasons such as an increasingly secular society, or the rise of scientific or philosophical movements that questioned traditional accounts of value (for example Marxism or Darwinism), or the shattering experience of two world wars and the phenomenon of mass genocide. It is important to note, however, that for existentialism these historical conditions do not create the problem of anguish in the face of freedom, but merely cast it into higher relief. Likewise, freedom entails something like responsibility, for myself and for my actions. Given that my situation is one of being on its own – recognised in anxiety – then both my freedom and my responsibility are absolute. The isolation that we discussed above means that there is nothing else that acts through me, or that shoulders my responsibility. Likewise, unless human existence is to be understood as arbitrarily changing moment to moment, this freedom and responsibility must stretch across time. Thus, when I exist as an authentically free being, I assume responsibility for my whole life, for a ‘project’ or a ‘commitment’. We should note here that many of the existentialists take on a broadly Kantian notion of freedom: freedom as autonomy. This means that freedom, rather than being randomness or arbitrariness, consists in the binding of oneself to a law, but a law that is given by the self in recognition of its responsibilities. This borrowing from Kant, however, is heavily qualified by the next theme.

d. Situatedness

The next common theme we shall call ‘situatedness’. Although my freedom is absolute, it always takes place in a particular context. My body and its characteristics, my circumstances in a historical world, and my past, all weigh upon freedom. This is what makes freedom meaningful. Suppose I tried to exist as free, while pretending to be in abstraction from the situation. In that case I will have no idea what possibilities are open to me and what choices need to be made, here and now. In such a case, my freedom will be naïve or illusory. This concrete notion of freedom has its philosophical genesis in Hegel, and is generally contrasted to the pure rational freedom described by Kant. Situatedness is related to a notion we discussed above under the heading of philosophy as a way of life: the necessity of viewing or understanding life and existence from the ‘inside’.  For example, many 19th century intellectuals were interested in ancient Greece, Rome, the Medieval period, or the orient, as alternative models of a less spoiled, more integrated form of life. Nietzsche, to be sure, shared these interests, but he did so not uncritically: because the human condition is characterised by being historically situated, it cannot simply turn back the clock or decide all at once to be other than it is (Sartre especially shares this view). Heidegger expresses a related point in this way: human existence cannot be abstracted from its world because being-in-the-world is part of the ontological structure of that existence. Many existentialists take my concretely individual body, and the specific type of life that my body lives, as a primary fact about me (for example, Nietzsche, Scheler or Merleau-Ponty). I must also be situated socially: each of my acts says something about how I view others but, reciprocally, each of their acts is a view about what I am. My freedom is always situated with respect to the judgements of others. This particular notion comes from Hegel’s analysis of ‘recognition’, and is found especially in Sartre, de Beauvoir and Jaspers. Situatedness in general also has an important philosophical antecedent in Marx: economic and political conditions are not contingent features with respect to universal human nature, but condition that nature from the ground up.

e. Existence

Although, of course, existentialism takes its name from the philosophical theme of ‘existence’, this does not entail that there is homogeneity in the manner existence is to be understood. One point on which there is agreement, though, is that the existence with which we should be concerned here is not just any existent thing, but human existence. There is thus an important difference between distinctively human existence and anything else, and human existence is not to be understood on the model of things, that is, as objects of knowledge. One might think that this is an old idea, rooted in Plato’s distinction between matter and soul, or Descartes’ between extended and thinking things. But these distinctions appear to be just differences between two types of things. Descartes in particular, however, is often criticised by the existentialists for subsuming both under the heading ‘substance’, and thus treating what is distinctive in human existence as indeed a thing or object, albeit one with different properties. (Whether the existentialist characterisation of Plato or Descartes is accurate is a different question.) The existentialists thus countered the Platonic or Cartesian conception with a model that resembles more the Aristotelian as developed in the Nichomachean Ethics. The latter idea arrives in existentialist thought filtered through Leibniz and Spinoza and the notion of a striving for existence. Equally important is the elevation of the practical above the theoretical in German Idealists. Particularly in Kant, who stressed the primacy of the ‘practical’, and then in Fichte and early Schelling, we find the notion that human existence is action. Accordingly, in Nietzsche and Sartre we find the notion that the human being is all and only what that being does. My existence consists of forever bringing myself into being – and, correlatively, fleeing from the dead, inert thing that is the totality of my past actions. Although my acts are free, I am not free not to act; thus existence is characterised also by ‘exigency’ (Marcel). For many existentialists, authentic existence involves a certain tension be recognised and lived through, but not resolved: this tension might be between the animal and the rational (important in Nietzsche) or between facticity and transcendence (Sartre and de Beauvoir).

In the 19th and 20th centuries, the human sciences (such as psychology, sociology or economics) were coming to be recognised as powerful and legitimate sciences. To some extend at least their assumptions and methods seemed to be borrowed from the natural sciences. While philosophers such as Dilthey and later Gadamer were concerned to show that the human sciences had to have a distinctive method, the existentialists were inclined to go further. The free, situated human being is not an object of knowledge in the sense the human always exists as the possibility of transcending any knowledge of it. There is a clear relation between such an idea and the notion of the ‘transcendence of the other’ found in the ethical phenomenology of Emmanuel Levinas.

f. Irrationality/Absurdity

Among the most famous ideas associated with existentialism is that of ‘absurdity’. Human existence might be described as ‘absurd’ in one of the following senses. First, many existentialists argued that nature as a whole has no design, no reason for existing. Although the natural world can apparently be understood by physical science or metaphysics, this might be better thought of as ‘description’ than either understanding or explanation. Thus, the achievements of the natural sciences also empty nature of value and meaning. Unlike a created cosmos, for example, we cannot expect the scientifically described cosmos to answer our questions concerning value or meaning. Moreover, such description comes at the cost of a profound falsification of nature: namely, the positing of ideal entities such as ‘laws of nature’, or the conflation of all reality under a single model of being. Human beings can and should become profoundly aware of this lack of reason and the impossibility of an immanent understanding of it. Camus, for example, argues that the basic scene of human existence is its confrontation with this mute irrationality.  A second meaning of the absurd is this: my freedom will not only be undetermined by knowledge or reason, but from the point of view of the latter my freedom will even appear absurd. Absurdity is thus closely related to the theme of ‘being on its own’, which we discussed above under the heading of anxiety. Even if I choose to follow a law that I have given myself, my choice of law will appear absurd, and likewise will my continuously reaffirmed choice to follow it. Third, human existence as action is doomed to always destroy itself. A free action, once done, is no longer free; it has become an aspect of the world, a thing. The absurdity of human existence then seems to lie in the fact that in becoming myself (a free existence) I must be what I am not (a thing).  If I do not face up to this absurdity, and choose to be or pretend to be thing-like, I exist inauthentically (the terms in this formulation are Sartre’s).

g. The Crowd

Existentialism generally also carries a social or political dimension. Insofar as he or she is authentic, the freedom of the human being will show a certain ‘resolution’ or ‘commitment’, and this will involve also the being – and particularly the authentic being – of others. For example, Nietzsche thus speaks of his (or Zarathustra’s) work in aiding the transformation of the human, and there is also in Nietzsche a striking analysis of the concept of friendship; for Heidegger, there must be an authentic mode of being-with others, although he does not develop this idea at length; the social and political aspect of authentic commitment is much more clear in Sartre, de Beauvoir and Camus.

That is the positive side of the social or political dimension. However, leading up to this positive side, there is a description of the typical forms that inauthentic social or political existence takes. Many existentialists employ terms such as ‘crowd’, ‘horde’ (Scheler) or the ‘masses’ (José Ortega y Gasset). Nietzsche’s deliberately provocative expression, ‘the herd’, portrays the bulk of humanity not only as animal, but as docile and domesticated animals. Notice that these are all collective terms: inauthenticity manifests itself as de-individuated or faceless. Instead of being formed authentically in freedom and anxiety, values are just accepted from others because ‘that is what everybody does’. These terms often carry a definite historical resonance, embodying a critique of specifically modern modes of human existence. All of the following might be seen as either causes or symptoms of a world that is ‘fallen’ or ‘broken’ (Marcel): the technology of mass communication (Nietzsche is particularly scathing about newspapers and journalists; in Two Ages, Kierkegaard says something very similar), empty religious observances, the specialisation of labour and social roles, urbanisation and industrialisation. The theme of the crowd poses a question also to the positive social or political dimension of existentialism: how could a collective form of existence ever be anything other than inauthentic? The 19th and 20th century presented a number of mass political ideologies which might be seen as posing a particularly challenging environment for authentic and free existence. For example, nationalism came in for criticism particularly by Nietzsche. Socialism and communism: after WWII, Sartre was certainly a communist, but even then unafraid to criticise both the French communist party and the Soviet Union for rigid or inadequately revolutionary thinking. Democracy: Aristotle in book 5 of his Politics distinguishes between democracy and ochlocracy, which latter essentially means rule by those incapable of ruling even themselves. Many existentialists would identify the latter with the American and especially French concept of ‘democracy’. Nietzsche and Ortega y Gasset both espoused a broadly aristocratic criterion for social and political leadership.

2. Key Existentialist Philosophers

a. Søren Kierkegaard (1813-1855) as an Existentialist Philosopher

Kierkegaard was many things: philosopher, religious writer, satirist, psychologist, journalist, literary critic and generally considered the ‘father’ of existentialism. Being born (in Copenhagen) to a wealthy family enabled him to devote his life to the pursuits of his intellectual interests as well as to distancing himself from the ‘everyday man’ of his times.

Kierkegaard’s most important works are pseudonymous, written under fictional names, often very obviously fictional. The issue of pseudonymity has been variously interpreted as a literary device, a personal quirk or as an illustration of the constant tension between the philosophical truth and existential or personal truth. We have already seen that for the existentialists it is of equal importance what one says and the way in which something is said. This forms part of the attempt to return to a more authentic way of philosophising, firstly exemplified by the Greeks. In a work like Either/Or (primarily a treatise against the Hegelians) theoretical reflections are followed by reflections on how to seduce girls. The point is to stress the distance between the anonymously and logically produced truths of the logicians and the personal truths of existing individuals. Every pseudonymous author is a symbol for an existing individual and at times his very name is the key to the mysteries of his existence (like in the case of Johanes de Silentio, fictional author of Fear and Trembling, where the mystery of Abraham’s actions cannot be told, being a product of and belonging to silence).

Kierkegaard has been associated with a notion of truth as subjective (or personal); but what does this mean? The issue is linked with his notorious confrontation with the Danish Church and the academic environment of his days. Kierkegaard’s work takes place against the background of an academia dominated by Hegelian dialectics and a society which reduces the communication with the divine to the everyday observance of the ritualistic side of an institutionalized Christianity. Hegel is for Kierkegaard his arch-enemy not only because of what he writes but also what he represents. Hegel is guilty for Kierkegaard because he reduced the living truth of Christianity (the fact that God suffered and died on the Cross) to just another moment, which necessarily will be overcome, in the dialectical development of the Spirit. While Hegel treats “God” as a Begriff (a concept), for Kierkegaard the truth of Christianity signifies the very paradoxicality of faith: that is, that it is possible for the individual to go beyond the ‘ethical’ and nevertheless or rather because of this very act of disobedience to be loved by ‘God’. Famously, for Hegel ‘all that is real is rational’ – where rationality means the historically articulated, dialectical progression of Spirit – whereas for Kierkegaard the suspension of rationality is the very secret of Christianity. Against the cold logic of the Hegelian system Kierkegaard seeks “a truth which is truth for me” (Kierkegaard 1996:32). Christianity in particular represents the attempt to offer one’s life to the service of the divine. This cannot be argued, it can only be lived. While a theologian will try to argue for the validity of his positions by arguing and counter-arguing, a true Christian will try to live his life the way Jesus lived it. This evidently marks the continuation of the Hellenic idea of philosophy as a way of life, exemplified in the person of Socrates who did not write treatises, but who died for his ideas. Before the logical concepts of the theologians (in the words of Martin Heidegger who was hugely influenced by Kierkegaard) “man can neither fall to his knees in awe nor can he play music and dance before this god” (Heidegger 2002:42). The idea of ‘subjective truth’ will have serious consequences to the philosophical understanding of man. Traditionally defined as animale rationale (the rational animal) by Aristotle and for a long time worshiped as such by generations of philosophical minds, Kierkegaard comes now to redefine the human as the ‘passionate animal’. What counts in man is the intensity of his emotions and his willingness to believe (contra the once all powerful reason) in that which cannot be understood. The opening up by Kierkegaard of this terra incognita of man’s inner life will come to play a major role for later existentialists (most importantly for Nietzsche) and will bring to light the failings and the weaknesses of an over-optimistic (because modelled after the Natural sciences) model of philosophy which was taught to talk a lot concerning the ‘truth’ of the human, when all it understood about the human was a mutilated version.

In the Garden of Eden, Adam and Eve lived in a state of innocence in communication with God and in harmony with their physical environment. The expulsion from the Garden opened up a wide range of new possibilities for them and thus the problem of anxiety arose. Adam (the Hebrew word for man) is now free to determine through his actions the route of things. Naturally, there is a tension here. The human, created in God’s image, is an infinite being. Like God he also can choose and act according to his will. Simultaneously, though, he is a finite being since he is restricted by his body, particular socioeconomic conditions and so forth. This tension between the finite and infinite is the source of anxiety. But unlike a Hegelian analysis, Kierkegaard does not look for a way out from anxiety; on the contrary he stresses its positive role in the flourishing of the human. As he characteristically puts it: “Because he is a synthesis, he can be in anxiety; and the more profoundly he is in anxiety, the greater is the man” (Kierkegaard 1980:154). The prioritization of anxiety as a fundamental trait of the human being is a typical existentialist move, eager to assert the positive role of emotions for human life.

Perhaps the most famous work of Kierkegaard was Fear and Trembling, a short book which exhibits many of the issues raised by him throughout his career. Fear and Trembling retells the story of the attempted sacrifice of Isaac by his father Abraham. God tells Abraham that in order to prove his faith he has to sacrifice his only son. Abraham obeys, but at the last moment God intervenes and saves Isaac. What is the moral of the story? According to our moral beliefs, shouldn’t Abraham refuse to execute God’s vicious plan? Isn’t one of the fundamental beliefs of Christianity the respect to the life of other? The answer is naturally affirmative. Abraham should refuse God, and he should respect the ethical law. Then Abraham would be in a good relation with the Law itself as in the expression ‘a law abiding citizen’. On the contrary what Abraham tries to achieve is a personal relation with the author of the moral law. This author is neither a symbolic figure nor an abstract idea; he is someone with a name. The name of ’God’ is the unpronounceable Tetragrammaton (YHVE), the unpronounceability indicates the simultaneous closeness and distance of the great Other. The Christian God then, the author of the moral law at his will suspends the law and demands his unlawful wish be obeyed. Jacques Derrida notes that the temptation is now for Abraham the ethical law itself (Derrida 1998:162): he must resist ethics, this is the mad logic of God. The story naturally raises many problems. Is not such a subjectivist model of truth and religion plainly dangerous? What if someone was to support his acts of violence as a command of God? Kierkegaard’s response would be to suggest that it is only because Abraham loved Isaac with all his heart that the sacrifice could take place. “He must love Isaac with his whole soul….only then can he sacrifice him” (Kierkegaard 1983:74). Abraham’s faith is proved by the strength of his love for his son. However, this doesn’t fully answer the question of legitimacy, even if we agree that Abraham believed that God loved him so that he would somehow spare him. Kierkegaard also differentiates between the act of Abraham and the act of a tragic hero (like Agamemnon sacrificing his daughter Iphigenia). The tragic hero’s act is a product of calculation. What is better to do? What would be more beneficial? Abraham stands away from all sorts of calculations, he stands alone, that is, free in front of the horror religiosus, the price and the reward of faith.

b. Friedrich Nietzsche (1844-1900) as an Existentialist Philosopher

“I know my lot. Some day my name will be linked to the memory of something monstrous, of a crisis as yet unprecedented on earth…” (Nietzsche 2007:88).  Remarkably, what in 1888 sounded like megalomania came some years later to be realized. The name ‘Nietzsche’ has been linked with an array of historical events, philosophical concepts and widespread popular legends. Above all, Nietzsche has managed somehow to associate his name with the turmoil of a crisis. For a while this crisis was linked to the events of WWII. The exploitation of his teaching by the Nazi ideologues (notably Alfred Rosenberg and Alfred Baeumler), although utterly misdirected, arguably had its source in Nietzsche’s own “aristocratic radicalism”. More generally, the crisis refers to the prospect of a future lacking of any meaning. This is a common theme for all the existentialists to be sure. The prospect of millennia of nihilism (the devaluation of the highest values) inaugurates for Nietzsche the era in which the human itself, for the first time in its history, is called to give meaning both to its own existence and to the existence of the world. This is an event of a cataclysmic magnitude, from now on there are neither guidelines to be followed, lighthouses to direct us, and no right answers but only experiments to be conducted with unknown results.

Many existentialists, in their attempt to differentiate the value of individual existence from the alienating effects of the masses, formed an uneasy relation with the value of the ‘everyday man’. The ‘common’ man was thought to be lacking in will, taste in matter of aesthetics, and individuality in the sense that the assertion of his existence comes exclusively from his participation in larger groups and from the ‘herd’ mentality with which these groups infuse their members. Nietzsche believed that men in society are divided and ordered according to their willingness and capacity to participate in a life of spiritual and cultural transformation. Certainly not everyone wishes this participation and Nietzsche’s condemnation of those unwilling to challenge their fundamental beliefs is harsh; however it would be a mistake to suggest that Nietzsche thought their presence dispensable. In various aphorisms he stresses the importance of the ‘common’ as a necessary prerequisite for both the growth and the value of the ‘exceptional’. Such an idea clashes with our ‘modern’ sensitivities (themselves a product of a particular training). However, one has to recognize that there are no philosophers without presuppositions, and that Nietzsche’s insistence on the value of the exceptional marks his own beginning and his own understanding of the mission of thought.

Despite the dubious politics that the crisis of meaning gave rise to, the crisis itself is only an after-effect of a larger and deeper challenge that Nietzsche’s work identifies and poses. For Nietzsche the crisis of meaning is inextricably linked to the crisis of religious consciousness in the West. Whereas for Kierkegaard the problem of meaning was to be resolved through the individual’s relation to the Divine, for Nietzsche the militantly anti-Christian, the problem of meaning is rendered possible at all because of the demise of the Divine. As he explains in The Genealogy of Morality, it is only after the cultivation of truth as a value by the priest that truth comes to question its own value and function. What truth discovers is that at the ground of all truth lies an unquestionable faith in the value of truth. Christianity is destroyed when it is pushed to tell the truth about itself, when the illusions of the old ideals are revealed. What is called ‘The death of God’ is also then the death of truth (though not of the value of truthfulness); this is an event of immense consequences for the future.

But one has to be careful here. Generations of readers, by concentrating on the event of the actual announcement of the ‘death of God’, have completely missed madman’s woeful mourning which follows the announcement. “‘Where is God?’ he cried; ‘I‘ll tell you! We have killed him – you and I! We are all his murderers. But how did we do this? How were we able to drink up the sea? Who gave us the sponge to wipe away the entire horizon? What were we doing when we unchained this earth from its sun? Where is it moving? Where are we moving to? Away from all suns?” (Nietzsche 2001:125). The above sentences are very far from constituting a cheerful declaration: no one is happy here! Nietzsche’s atheism has nothing to do with the naive atheism of others (for example Sartre) who rush to affirm their freedom as if their petty individuality were able to fill the vast empty space left by the absence of God. Nietzsche is not naive and because he is not naive he is rather pessimistic. What the death of God really announces is the demise of the human as we know it. One has to think of this break in the history of the human in Kantian terms. Kant famously described Enlightenment as “man’s emergence from his self-incurred immaturity” (Kant 1991:54). Similarly Nietzsche believes that the demise of the divine could be the opportunity for the emergence of a being which derives the meaning of its existence from within itself and not from some authority external to it. If the meaning of the human derived from God then, with the universe empty, man cannot take the place of the absent God. This empty space can only be filled by something greater and fuller, which in the Nietzschean jargon means the greatest unity of contradictory forces. That is the Übermensch (Overhuman) which for Nietzsche signifies the attempt towards the cultural production of a human being which will be aware of his dual descent – from animality and from rationality – without prioritizing either one, but keeping them in an agonistic balance so that through struggle new and exciting forms of human existence can be born.

Nietzsche was by training a Klassische Philologe (the rough equivalent Anglosaxon would be an expert in classics – the texts of the ancient Greek and Roman authors). Perhaps because of his close acquaintance with the ancient writers, he became sensitive to a quite different understanding of philosophical thinking to that of his contemporaries. For the Greeks, philosophical questioning takes place within the perspective of a certain choice of life. There is no ‘life’ and then quite separately the theoretical (theoria: from thea – view, and horan – to see) or ‘from a distance’ contemplation of phenomena. Philosophical speculation is the result of a certain way of life and the attempted justification of this life. Interestingly Kant encapsulates this attitude in the following passage: “When will you finally begin to live virtuously?’ said Plato to an old man who told him he was attending classes on virtue. The point is not always to speculate, but also ultimately to think about applying our knowledge. Today, however, he who lives in conformity with what he teaches is taken for a dreamer” (Kant in Hadot 2002:xiii). We have to understand Nietzsche’s relation to philosophy within this context not only because it illustrates a stylistically different contemplation but because it demonstrates an altogether different way of philosophizing. Thus in Twilight of the Idols Nietzsche accuses philosophers for their ‘Egyptism’, the fact that they turn everything into a concept under evaluation. “All that philosophers have been handling for thousands of years is conceptual mummies; nothing real has ever left their hands alive” (Nietzsche 1998:16). Philosophical concepts are valuable insofar as they serve a flourishing life, not as academic exercises. Under the new model of philosophy the old metaphysical and moral questions are to be replaced by new questions concerning history, genealogy, environmental conditions and so forth. Let us take a characteristic passage from 1888: “I am interested in a question on which the ‘salvation of humanity’ depends more than on any curio of the theologians: the question of nutrition. For ease of use, one can put it in the following terms: ‘how do you personally have to nourish yourself in order to attain your maximum of strength, of virtù in the Renaissance style, of moraline-free virtue?” (Nietzsche 2007:19).

What is Nietzsche telling us here? Two things: firstly that, following the tradition of Spinoza, the movement from transcendence to immanence passes through the rehabilitation of the body. To say that, however, does not imply a simple-minded materialism. When Spinoza tells “nobody as yet has determined the limits of the body’s capabilities” (Spinoza 2002: 280) he is not writing about something like bodily strength but to the possibility of an emergence of a body liberated from the sedimentation of culture and memory. This archetypical body is indeed as yet unknown and we stand in ignorance of its abilities. The second thing that Nietzsche is telling us in the above passage is that this new immanent philosophy necessarily requires a new ethics. One has to be clear here because of the many misunderstandings of Nietzschean ethics. Nietzsche is primarily a philosopher of ethics but ethics here refers to the possible justification of a way of life, which way of life in turn justifies human existence on earth. For Nietzsche, ethics does not refer to moral codes and guidelines on how to live one’s life. Morality, which Nietzsche rejects, refers to the obsessive need (a need or an instinct can also be learned according to Nietzsche) of the human to preserve its own species and to regard its species as higher than the other animals. In short morality is arrogant. A Nietzschean ethics is an ethics of modesty. It places the human back where it belongs, among the other animals. However to say that is not to equate the human with the animal. Unlike non-human animals men are products of history that is to say products of memory. That is their burden and their responsibility.

In the Genealogy of Morality Nietzsche explains morality as a system aiming at the taming of the human animal. Morality’s aim is the elimination of the creative power of animal instincts and the establishment of a life protected within the cocoon of ascetic ideals. These ‘ideals’ are all those values and ideologies made to protect man against the danger of nihilism, the state in which man finds no answer to the question of his existence. Morality clings to the preservation of the species ‘man’; morality stubbornly denies the very possibility of an open-ended future for humans. If we could summarize Nietzsche’s philosophical anthropology in a few words, we would say that for Nietzsche it is necessary to attempt (there are no guarantees here) to think of the human not as an end-in-itself but only as a means to something “…perfect, completely finished, happy, powerful, triumphant, that still leaves something to fear!” (Nietzsche 2007:25).

c. Martin Heidegger (1889-1976) as an Existentialist Philosopher

Heidegger exercised an unparalleled influence on modern thought. Without knowledge of his work recent developments in modern European philosophy (Sartre, Gadamer, Arendt, Marcuse, Derrida, Foucault et al.) simply do not make sense. He remains notorious for his involvement with National Socialism in the 1930s. Outside European philosophy, Heidegger is only occasionally taken seriously, and is sometimes actually ridiculed (famously the Oxford philosopher A.J. Ayer called him a ‘charlatan’).

In 1945 in Paris Jean-Paul Sartre gave a public lecture with the title ‘Existentialism is a Humanism’ where he defended the priority of action and the position that it is a man’s actions which define his humanity. In 1946, Jean Beaufret in a letter to Heidegger poses a number of questions concerning the link between humanism and the recent developments of existentialist philosophy in France. Heidegger’s response is a letter to Beaufret which in 1947 is published in a book form with the title ‘Letter on Humanism’. There he repudiates any possible connection of his philosophy with the existentialism of Sartre. The question for us here is the following: Is it possible, given Heidegger’s own repudiation of existentialism, still to characterise Heidegger’s philosophy as ‘existentialist’? The answer here is that Heidegger can be classified as an existentialist thinker despite all his differences from Sartre. Our strategy is to stress Heidegger’s connection with some key existentialist concerns, which we introduced above under the labels ‘Existence’, ‘Anxiety’ and the ‘Crowd’.

We have seen above that a principle concern of all existentialists was to affirm the priority of individual existence and to stress that human existence is to be investigated with methods other than those of the natural sciences. This is also one of Heidegger’s principle concerns. His magnum opus Being and Time is an investigation into the meaning of Being as that manifests itself through the human being, Dasein. The sciences have repeatedly asked ‘What is a man?’ ‘What is a car?’ ‘What is an emotion?’ they have nevertheless failed – and because of the nature of science, had to fail – to ask the question which grounds all those other questions. This question is what is the meaning of (that) Being which is not an entity (like other beings, for example a chair, a car, a rock) and yet through it entities have meaning at all? Investigating the question of the meaning of Being we discover that it arises only because it is made possible by the human being which poses the question. Dasein has already a (pre-conceptual) understanding of Being because it is the place where Being manifests itself. Unlike the traditional understanding of the human as a hypokeimenon (Aristotle) – what through the filtering of Greek thought by the Romans becomes substantia, that which supports all entities and qualities as their base and their ground – Dasein refers to the way which human beings are. ”The essence of Dasein lies in its existence” (Heidegger 1962: 67) and the existence of Dasein is not fixed like the existence of a substance is. This is why human beings locate a place which nevertheless remains unstable and unfixed. The virtual place that Dasein occupies is not empty. It is filled with beings which ontologically structure the very possibility of Dasein. Dasein exists as in-the-world. World is not something separate from Dasein; rather, Dasein cannot be understood outside the referential totality which constitutes it. Heidegger repeats here a familiar existentialist pattern regarding the situatedness of experience.

Sartre, by contrast, comes from the tradition of Descartes and to this tradition remains faithful. From Heidegger’s perspective, Sartre’s strategy of affirming the priority of existence over essence is a by-product of the tradition of Renaissance humanism which wishes to assert the importance of man as the highest and most splendid of finite beings. Sartrean existence refers to the fact that a human is whereas Heidegger’s ek-sistence refers to the way with which Dasein is thrown into a world of referential relations and as such Dasein is claimed by Being to guard its truth. Sartre, following Descartes, thinks of the human as a substance producing or sustaining entities, Heidegger on the contrary thinks of the human as a passivity which accepts the call of Being. “Man is not the lord of beings. Man is the shepherd of Being” (Heidegger 1993:245). The Heideggerian priority then is Being, and Dasein’s importance lies in its receptiveness to the call of Being.

For Kierkegaard anxiety defines the possibility of responsibility, the exodus of man from the innocence of Eden and his participation to history. But the birthplace of anxiety is the experience of nothingness, the state in which every entity is experienced as withdrawn from its functionality. “Nothing … gives birth to anxiety” (Kierkegaard 1980:41). In anxiety we do not fear something in particular but we experience the terror of a vacuum in which is existence is thrown. Existentialist thinkers are interested in anxiety because anxiety individualizes one (it is when I feel Angst more than everything that I come face to face with my own individual existence as distinct from all other entities around me). Heidegger thinks that one of the fundamental ways with which Dasein understands itself in the world is through an array of ‘moods’. Dasein always ‘finds itself’ (befinden sich) in a certain mood. Man is not a thinking thing de-associated from the world, as in Cartesian metaphysics, but a being which finds itself in various moods such as anxiety or boredom. For the Existentialists, primarily and for the most part I don’t exist because I think (recall Descartes’ famous formula) but because my moods reveal to me fundamental truths of my existence. Like Kierkegaard, Heidegger also believes that anxiety is born out of the terror of nothingness. “The obstinacy of the ‘nothing and nowhere within-the-world’ means as a phenomenon that the world as such is that in the face of which one has anxiety” (Heidegger 1962:231). For Kierkegaard the possibility of anxiety reveals man’s dual nature and because of this duality man can be saved. “If a human being were a beast or an angel, he could not be in anxiety. Because he is a synthesis, he can be in anxiety; and the more profoundly he is in anxiety, the greater is the man” (Kierkegaard 1980:155). Equally for Heidegger anxiety manifests Dasein’s possibility to live an authentic existence since it realizes that the crowd of ‘others’ (what Heidegger calls the ‘They’) cannot offer any consolation to the drama of existence.

In this article we have discussed the ambiguous or at times downright critical attitude of many existentialists toward the uncritical and unreflecting masses of people who, in a wholly anti-Kantian and thus also anti-Enlightenment move, locate the meaning of their existence in an external authority. They thus give up their (purported) autonomy as rational beings. For Heidegger, Dasein for the most part lives inauthentically in that Dasein is absorbed in a way of life produced by others, not by Dasein itself. “We take pleasure and enjoy ourselves as they [man] take pleasure; we read, see and judge about literature and art as they see and judge…” (Heidegger 1962:164). To be sure this mode of existence, the ‘They’ (Das Man) is one of the existentialia, it is an a priori condition of possibility of the Dasein which means that inauthenticity is inscribed into the mode of being of Dasein, it does not come from the outside as a bad influence which could be erased. Heidegger’s language is ambiguous on the problem of inauthenticity and the reader has to make his mind on the status of the ‘They’. A lot has been said on the possible connections of Heidegger’s philosophy with his political engagements. Although it is always a risky business to read the works of great philosophers as political manifestos, it seems prima facie evident that Heidegger’s thought in this area deserves the close investigation it has received.

Heidegger was a highly original thinker. His project was nothing less than the overcoming of Western metaphysics through the positing of the forgotten question of being. He stands in a critical relation to past philosophers but simultaneously he is heavily indebted to them, much more than he would like to admit. This is not to question his originality, it is to recognize that thought is not an ex nihilo production; it comes as a response to things past, and aims towards what is made possible through that past.

d. Jean-Paul Sartre (1905-1980) as an Existentialist Philosopher

In the public consciousness, at least, Sartre must surely be the central figure of existentialism. All the themes that we introduced above come together in his work. With the possible exception of Nietzsche, his writings are the most widely anthologised (especially the lovely, if oversimplifying, lecture ‘Existentialism and Humanism’) and his literary works are widely read (especially the novel Nausea) or performed. Although uncomfortable in the limelight, he was nevertheless the very model of a public intellectual, writing hundreds of short pieces for public dissemination and taking resolutely independent and often controversial stands on major political events. His writings that are most clearly existentialist in character date from Sartre’s early and middle period, primarily the 1930s and 1940s. From the 1950s onwards, Sartre moved his existentialism towards a philosophy the purpose of which was to understand the possibility of a genuinely revolutionary politics.

Sartre was in his late 20s when he first encountered phenomenology, specifically the philosophical ideas of Edmund Husserl. (We should point out that Heidegger was also deeply influenced by Husserl, but it is less obvious in the language he employs because he drops the language of consciousness and acts.) Of particular importance, Sartre thought, was Husserl’s notion of intentionality. In Sartre’s interpretation of this idea, consciousness is not to be identified with a thing (for example a mind, soul or brain), that is to say some kind of a repository of ideas and images of things. Rather, consciousness is nothing but a directedness towards things. Sartre found a nice way to sum up the notion of the intentional object: If I love her, I love her because she is lovable (Sartre 1970:4-5).  Within my experience, her lovableness is not an aspect of my image of her, rather it is a feature of her (and ultimately a part of the world) towards which my consciousness directs itself. The things I notice about her (her smile, her laugh) are not originally neutral, and then I interpret the idea of them as ‘lovely’, they are aspects of her as lovable. The notion that consciousness is not a thing is vital to Sartre. Indeed, consciousness is primarily to be characterised as nothing: it is first and foremost not that which it is conscious of. (Sartre calls human existence the ‘for-itself’, and the being of things the ‘in-itself’.) Because it is not a thing, it is not subject to the laws of things; specifically, it is not part of a chain of causes and its identity is not akin to that of a substance. Above we suggested that a concern with the nature of existence, and more particularly a concern with the distinctive nature of human existence, are defining existentialist themes.

Moreover, qua consciousness, and not a thing that is part of the causal chain, I am free. From moment to moment, my every action is mine alone to choose. I will of course have a past ‘me’ that cannot be dispensed with; this is part of my ‘situation’. However, again, I am first and foremost not my situation. Thus, at every moment I choose whether to continue on that life path, or to be something else. Thus, my existence (the mere fact that I am) is prior to my essence (what I make of myself through my free choices). I am thus utterly responsible for myself. If my act is not simply whatever happens to come to mind, then my action may embody a more general principle of action. This principle too is one that I must have freely chosen and committed myself to. It is an image of the type of life that I believe has value. (In these ways, Sartre intersects with the broadly Kantian account of freedom which we introduced above in our thematic section.) As situated, I also find myself surrounded by such images – from religion, culture, politics or morality – but none compels my freedom. (All these forces that seek to appropriate my freedom by objectifying me form Sartre’s version of the crowd theme.) I exist as freedom, primarily characterised as not determined, so my continuing existence requires the ever renewed exercise of freedom (thus, in our thematic discussion above, the notion from Spinoza and Leibniz of existence as a striving-to-exist). Thus also, my non-existence, and the non-existence of everything I believe in, is only a free choice away. I (in the sense of an authentic human existence) am not what I ‘am’ (the past I have accumulated, the things that surround me, or the way that others view me). I am alone in my responsibility; my existence, relative to everything external that might give it meaning, is absurd. Face to face with such responsibility, I feel ‘anxiety’. Notice that although Sartre’s account of situatedness owes much to Nietzsche and Heidegger, he sees it primarily in terms of what gives human freedom its meaning and its burden. Nietzsche and Heidegger, in contrast, view such a conception of freedom as naively metaphysical.

Suppose, however, that at some point I am conscious of myself in a thing-like way. For example, I say ‘I am a student’ (treating myself as having a fixed, thing-like identity) or ‘I had no choice’ (treating myself as belonging to the causal chain). I am ascribing a fixed identity or set of qualities to myself, much as I would say ‘that is a piece of granite’. In that case I am existing in denial of my distinctively human mode of existence; I am fleeing from my freedom. This is inauthenticity or ‘bad faith’. As we shall see, inauthenticity is not just an occasional pitfall of human life, but essential to it. Human existence is a constant falling away from an authentic recognition of its freedom. Sartre here thus echoes the notion in Heidegger than inauthenticity is a condition of possibility of human existence.

Intentionality manifests itself in another important way. Rarely if ever am I simply observing the world; instead I am involved in wanting to do something, I have a goal or purpose. Here, intentional consciousness is not a static directedness towards things, but is rather an active projection towards the future. Suppose that I undertake as my project marrying my beloved. This is an intentional relation to a future state of affairs. As free, I commit myself to this project and must reaffirm that commitment at every moment. It is part of my life project, the image of human life that I offer to myself and to others as something of value. Notice, however, that my project involves inauthenticity. I project myself into the future where I will be married to her – that is, I define myself as ‘married’, as if I were a fixed being. Thus there is an essential tension to all projection. On the one hand, the mere fact that I project myself into the future is emblematic of my freedom; only a radically free consciousness can project itself. I exist as projecting towards the future which, again, I am not. Thus, I am (in the sense of an authentic self) what I am not (because my projecting is always underway towards the future). On the other hand, in projecting I am projecting myself as something, that is, as a thing that no longer projects, has no future, is not free. Every action, then, is both an expression of freedom and also a snare of freedom. Projection is absurd: I seek to become the impossible object, for-itself-in-itself, a thing that is both free and a mere thing. Born of this tension is a recognition of freedom, what it entails, and its essential fragility. Thus, once again, we encounter existential anxiety. (In this article, we have not stressed the importance of the concept of time for existentialism, but it should not be overlooked: witness one of Nietzsche’s most famous concepts (eternal recurrence) and the title of Heidegger’s major early work (Being and Time).)

In my intentional directedness towards my beloved I find her ‘loveable’. This too, though, is an objectification. Within my intentional gaze, she is loveable in much the same way that granite is hard or heavy. Insofar as I am in love, then, I seek to deny her freedom. Insofar, however, as I wish to be loved by her, then she must be free to choose me as her beloved. If she is free, she escapes my love; if not, she cannot love. It is in these terms that Sartre analyses love in Part Three of Being and Nothingness. Love here is a case study in the basic forms of social relation. Sartre is thus moving from an entirely individualistic frame of reference (my self, my freedom and my projects) towards a consideration of the self in concrete relations with others. Sartre is working through – in a way he would shortly see as being inadequate – the issues presented by the Hegelian dialectic of recognition, which we mentioned above. This ‘hell’ of endlessly circling acts of freedom and objectification is brilliantly dramatised in Sartre’s play No Exit.

A few years later at the end of the 1940s, Sartre wrote what has been published as Notebooks for an Ethics. Sartre (influenced in the meantime by the criticisms of Merleau-Ponty and de Beauvoir, and by his increasing commitment to collectivist politics) elaborated greatly his existentialist account of relations with others, taking the Hegelian idea more seriously. He no longer thinks of concrete relations so pessimistically. While Nietzsche and Heidegger both suggest the possibility of an authentic being with others, both leave it seriously under-developed. For our purposes, there are two key ideas in the Notebooks. The first is that my projects can be realised only with the cooperation of others; however, that cooperation presupposes their freedom (I cannot make her love me), and their judgements about me must concern me. Therefore permitting and nurturing the freedom of others must be a central part of all my projects. Sartre thus commits himself against any political, social or economic forms of subjugation. Second, there is the possibility of a form of social organisation and action in which each individual freely gives him or herself over to a joint project: a ‘city of ends’ (this is a reworking of Kant’s idea of the ‘kingdom of ends’, found in the Grounding for the Metaphysics of Morals). An authentic existence, for Sartre, therefore means two things. First, it is something like a ‘style’ of existing – one that at every moment is anxious, and that means fully aware of the absurdity and fragility of its freedom. Second, though, there is some minimal level of content to any authentic project: whatever else my project is, it must also be a project of freedom, for myself and for others.

e. Simone de Beauvoir (1908-1986) as an Existentialist Philosopher

Simone de Beauvoir was the youngest student ever to pass the demanding agrégation at the prestigious École Normale Supérieure. Subsequently a star Normalienne, she was a writer, philosopher, feminist, lifelong partner of Jean-Paul Sartre, notorious for her anti-bourgeois way of living and her free sexual relationships which included among others a passionate affair with the American writer Nelson Algren. Much ink has been spilled debating whether de Beauvoir’s work constitutes a body of independent philosophical work, or is a reformulation of Sartre’s work. The debate rests of course upon the fundamental misconception that wants a body of work to exist and develop independently of (or uninfluenced by) its intellectual environment. Such ‘objectivity’ is not only impossible but also undesirable: such a body of work would be ultimately irrelevant since it would be non-communicable. So the question of de Beauvoir’s ‘independence’ could be dismissed here as irrelevant to the philosophical questions that her work raises.

In 1943 Being and Nothingness, the groundwork of the Existentialist movement in France was published. There Sartre gave an account of freedom as ontological constitutive of the subject. One cannot but be free: this is the kernel of the Sartrean conception of freedom. In 1945 Merleau-Ponty’s Phenomenology of Perception is published. There, as well as in an essay from the same year titled ‘The war has taken place’, Merleau-Ponty heavily criticizes the Sartrean stand, criticising it as a reformulation of basic Stoic tenets. One cannot assume freedom in isolation from the freedom of others. Action is participatory: “…my freedom is interwoven with that of others by way of the world” (Merleau-Ponty in Stewart 1995:315).  Moreover action takes place within a certain historical context. For Merleau-Ponty the subjective free-will is always in a dialectical relationship with its historical context. In 1947 Simone de Beauvoir’s Ethics of Ambiguity is published. The book is an introduction to existentialism but also a subtle critique of Sartre’s position on freedom, and a partial extension of existentialism towards the social. Although de Beauvoir will echo Merleau-Ponty’s criticism regarding the essential interrelation of the subjects, nevertheless she will leave unstressed the importance that the social context plays in the explication of moral problems. Like Sartre it is only later in her life that this will be acknowledged. In any case, de Beauvoir’s book precipitates in turn a major rethink on Sartre’s part, and the result is the Notebooks for an Ethics.

In Ethics of Ambiguity de Beauvoir offers a picture of the human subject as constantly oscillating between facticity and transcendence. Whereas the human is always already restricted by the brute facts of his existence, nevertheless it always aspires to overcome its situation, to choose its freedom and thus to create itself. This tension must be considered positive, and not restrictive of action. It is exactly because the ontology of the human is a battleground of antithetical movements (a view consistent with de Beauvoir’s Hegelianism) that the subject must produce an ethics which will be continuous with its ontological core. The term for this tension is ambiguity. Ambiguity is not a quality of the human as substance, but a characterisation of human existence. We are ambiguous beings destined to throw ourselves into the future while simultaneously it is our very own existence that throws us back into facticity. That is to say, back to the brute fact that we are in a sense always already destined to fail –  not in this or that particular project but to fail as pure and sustained transcendence. It is exactly because of (and through) this fundamental failure that we realize that our ethical relation to the world cannot be self-referential but must pass through the realization of the common destiny of the human as a failed and interrelated being.

De Beauvoir, unlike Sartre, was a scholarly reader of Hegel. Her position on an existential ethics is thus more heavily influenced by Hegel’s view in the Phenomenology of Spirit concerning the moment of recognition (Hegel 1977:111). There Hegel describes the movement in which self-consciousness produces itself by positing another would be self-consciousness, not as a mute object (Gegen-stand) but as itself self-consciousness. The Hegelian movement remains one of the most fascinating moments in the history of philosophy since it is for the first time that the constitution of the self does not take place from within the self (as happens with Descartes, for whom the only truth is the truth of my existence; or Leibniz, for whom the monads are ‘windowless’; or Fichte, for whom the ‘I’ is absolutely self-constitutive) but from the outside. It is, Hegel tells us, only because someone else recognizes me as a subject that I can be constituted as such. Outside the moment of recognition there is no self-consciousness. De Beauvoir takes to heart the Hegelian lesson and tries to formulate an ethics from it.

What would this ethics be? As in Nietzsche, ethics refers to a way of life (a βίος), as opposed to morality which concerns approved or condemned behaviour. Thus there are no recipes for ethics. Drawn from Hegel’s moment of recognition, de Beauvoir acknowledges that the possibility of human flourishing is based firstly upon the recognition of the existence of the other (“Man can find a justification of his own existence only in the existence of the other men” (Beauvoir 1976:72) and secondly on the recognition that my own flourishing (or my ability to pose projects, in the language of existentialists) passes through the possibility of a common flourishing. “Only the freedom of others keeps each one of us from hardening in the absurdity of facticity,” (Beauvoir 1976:71) de Beauvoir writes; or again “To will oneself free is also to will others free” (Beauvoir 1976:73). The Ethics of Ambiguity ends by declaring the necessity of assuming one’s freedom and the assertion that it is only through action that freedom makes itself possible. This is not a point to be taken light-heartedly. It constitutes a movement of opposition against a long tradition of philosophy understanding itself as theoria: the disinterested contemplation on the nature of the human and the world. De Beauvoir, in common with most existentialists, understands philosophy as praxis: involved action in the world and participation in the course of history. It is out of this understanding that The Second Sex is born.

In 1949 Le Deuxième Sexe is published in France. In English in 1953 it appeared as The Second Sex in an abridged translation. The book immediately became a best seller and later a founding text of Second Wave Feminism (the feminist movement from the early 60’s to the 70’s inspired by the civil rights movement and focusing at the theoretical examination of the concepts of equality, inequality, the role of family, justice and so forth). More than anything, The Second Sex constitutes a study in applied existentialism where the abstract concept ‘Woman’ gives way to the examination of the lives of everyday persons struggling against oppression and humiliation. When de Beauvoir says that there is no such thing as a ‘Woman’ we have to hear the echo of the Kierkegaardian assertion of the single individual against the abstractions of Hegelian philosophy, or similarly Sartre’s insistence on the necessity of the prioritization of the personal lives of self-creating people (what Sartre calls ‘existence’) as opposed to a pre-established ideal of what humans should be like (what Sartre calls ‘essence’). The Second Sex is an exemplary text showing how a philosophical movement can have real, tangible effects on the lives of many people, and is a magnificent exercise in what philosophy could be.

“I hesitated a long time before writing a book on woman. The subject is irritating, especially for women…” (Beauvoir 2009:3). The Second Sex begins with the most obvious (but rarely posed) question: What is woman? De Beauvoir finds that at present there is no answer to that question. The reason is that tradition has always thought of woman as the other of man. It is only man that constitutes himself as a subject (as the Absolute de Beauvoir says), and woman defines herself only through him. “She determines and differentiates herself in relation to man, and he does not in relation to her; she is the inessential in front of the essential…” (Beauvoir 2009:6). But why is it that woman has initially accepted or tolerated this process whereby she becomes the other of man? De Beauvoir does not give a consoling answer; on the contrary, by turning to Sartre’s notion of bad faith (which refers to the human being’s anxiety in front of the responsibility entailed by the realization of its radical freedom) she thinks that women at times are complicit to their situation. It is indeed easier for one – anyone – to assume the role of an object (for example a housewife ‘kept’ by her husband) than to take responsibility for creating him or herself and creating the possibilities of freedom for others. Naturally the condition of bad faith is not always the case. Often women found themselves in a sociocultural environment which denied them the very possibility of personal flourishing (as happens with most of the major religious communities). A further problem that women face is that of understanding themselves as a unity which would enable them to assume the role of their choosing. “Proletarians say ‘we’. So do blacks” (Beauvoir 2009:8). By saying ‘we’ they assume the role of the subject and turn everyone else into ‘other’. Women are unable to utter this ‘we’. “They live dispersed among men, tied by homes, work, economic interests and social conditions to certain men – fathers or husbands – more closely than to other women. As bourgeois women, they are in solidarity with bourgeois men and not with women proletarians; as white women, they are in solidarity with white men and not with black women” (Beauvoir 2009:9). Women primarily align themselves to their class or race and not to other women. The female identity is “very much bound up with the identity of the men around them…” (Reynolds 2006:145).

One of the most celebrated moments in The Second Sex is the much quoted phrase: “One is not born, but rather becomes, woman” (Beauvoir 2009:293). She explains: “No biological, physical or economic destiny defines the figure that the human female takes on in society; it is civilization as a whole that elaborates this intermediary product between the male and the eunuch that is called feminine” (Beauvoir 2009:293). For some feminists this clearly inaugurates the problematic of the sex-gender distinction (where sex denotes the biological identity of the person and gender the cultural attribution of properties to the sexed body). Simply put, there is absolutely nothing that determines the ‘assumed’ femininity of the woman (how a woman acts, feels, behaves) – everything that we have come to think as ‘feminine’ is a social construction not a natural given. Later feminists like Monique Wittig and Judith Butler will argue that ‘sex’ is already ‘gender’ in the sense that a sexed body exists always already within a cultural nexus that defines it. Thus the sex assignment (a doctor pronouncing the sex of the baby) is a naturalized (but not at all natural) normative claim which delivers the human into a world of power relations.

f. Albert Camus (1913-1960) as an Existentialist Philosopher

Albert Camus was a French intellectual, writer and journalist. His multifaceted work as well as his ambivalent relation to both philosophy and existentialism makes every attempt to classify him a rather risky operation. A recipient of the 1957 Nobel Prize for Literature primarily for his novels, he is also known as a philosopher due to his non-literary work and his relation with Jean-Paul Sartre. And yet his response was clear: “I am not a philosopher, because I don’t believe in reason enough to believe in a system. What interests me is knowing how we must behave, and more precisely, how to behave when one does not believe in God or reason” (Camus in Sherman 2009: 1). The issue is not just about the label ‘existentialist’. It rather points to a deep tension within the current of thought of all thinkers associated with existentialism. The question is: With how many voices can thought speak? As we have already seen, the thinkers of existentialism often deployed more than one. Almost all of them share a deep suspicion to a philosophy operating within reason as conceived of by the Enlightenment. Camus shares this suspicion and his so called philosophy of the absurd intends to set limits to the overambitions of Western rationality. Reason is absurd in that it believes that it can explain the totality of the human experience whereas it is exactly its inability for explanation that, for example, a moment of fall designates. Thus in his novel “The Fall” the protagonist’s tumultuous narrative reveals the overtaking of a life of superficial regularity by the forces of darkness and irrationality. “A bourgeois hell, inhabited of course by bad dreams” (Camus 2006:10). In a similar fashion Camus has also repudiated his connection with existentialism. “Non, je ne suis pas existentialist” is the title of a famous interview that he gave for the magazine Les Nouvelles Littéraires on the 15 of November, 1945. The truth of the matter is that Camus’ rejection of existentialism is directed more toward Sartre’s version of it rather than toward a dismissal of the main problems that the existential thinkers faced. Particularly, Camus was worried that Sartre’s deification of history (Sartre’s proclaimed Marxism) would be incompatible with the affirmation of personal freedom. Camus accuses Hegel (subsequently Marx himself) of reducing man to history and thus denying man the possibility of creating his own history, that is, affirming his freedom.

Philosophically, Camus is known for his conception of the absurd. Perhaps we should clarify from the very beginning what the absurd is not. The absurd is not nihilism. For Camus the acceptance of the absurd does not lead to nihilism (according to Nietzsche nihilism denotes the state in which the highest values devalue themselves) or to inertia, but rather to their opposite: to action and participation. The notion of the absurd signifies the space which opens up between, on the one hand, man’s need for intelligibility and, on the other hand, ‘the unreasonable silence of the world’ as he beautifully puts it. In a world devoid of God, eternal truths or any other guiding principle, how could man bear the responsibility of a meaning-giving activity? The absurd man, like an astronaut looking at the earth from above, wonders whether a philosophical system, a religion or a political ideology is able to make the world respond to the questioning of man, or rather whether all human constructions are nothing but the excessive face-paint of a clown which is there to cover his sadness. This terrible suspicion haunts the absurd man. In one of the most memorable openings of a non-fictional book he states: “There is but one truly serious philosophical problem and that is suicide. Judging whether life is or is not worth living amounts to answering the fundamental question of philosophy. All the rest – whether or not the world has three dimensions, whether the mind has nine or twelve categories – comes afterwards. These are games; one must first answer” (Camus 2000:11). The problem of suicide (a deeply personal problem) manifests the exigency of a meaning-giving response. Indeed for Camus a suicidal response to the problem of meaning would be the confirmation that the absurd has taken over man’s inner life. It would mean that man is not any more an animal going after answers, in accordance with some inner drive that leads him to act in order to endow the world with meaning. The suicide has become but a passive recipient of the muteness of the world. “…The absurd … is simultaneously awareness and rejection of death” (Camus 2000:54). One has to be aware of death – because it is precisely the realization of man’s mortality that pushes someone to strive for answers – and one has ultimately to reject death – that is, reject suicide as well as the living death of inertia and inaction. At the end one has to keep the absurd alive, as Camus says. But what does it that mean?

In The Myth of Sisyphus Camus tells the story of the mythical Sisyphus who was condemned by the Gods to ceaselessly roll a rock to the top of a mountain and then have to let it fall back again of its own weight. “Sisyphus, proletarian of the gods, powerless and rebellious, knows the whole extent of his wretched condition: it is what he thinks of during his descent. The lucidity that was to constitute his torture at the same time crowns his victory. There is no fate that cannot be surmounted by scorn” (Camus 2000:109). One must imagine then Sisyphus victorious: fate and absurdity have been overcome by a joyful contempt. Scorn is the appropriate response in the face of the absurd; another name for this ‘scorn’ though would be artistic creation. When Camus says: “One does not discover the absurd without being tempted to write a manual of happiness” (Camus 2000:110) he writes about a moment of exhilarated madness, which is the moment of the genesis of the artistic work. Madness, but nevertheless profound – think of the function of the Fool in Shakespeare’s King Lear as the one who reveals to the king the most profound truths through play, mimicry and songs. Such madness can overcome the absurd without cancelling it altogether.

Almost ten years after the publication of The Myth of Sisyphus Camus publishes his second major philosophical work, The Rebel (1951). Camus continues the problematic which had begun with The Myth of Sisyphus. Previously, revolt or creation had been considered the necessary response to the absurdity of existence. Here, Camus goes on to examine the nature of rebellion and its multiple manifestations in history. In The Myth of Sisyphus, in truly Nietzschean fashion, Camus had said: “There is but one useful action, that of remaking man and the earth” (Camus 2000:31). However, in The Rebel, reminiscent of Orwell’s Animal Farm, one of the first points he makes is the following: “The slave starts by begging for justice and ends by wanting to wear a crown. He too wants to dominate” (Camus 2000b:31). The problem is that while man genuinely rebels against both unfair social conditions and, as Camus says, against the whole of creation, nevertheless in the practical administration of such revolution, man comes to deny the humanity of the other in an attempt to impose his own individuality. Take for example the case of the infamous Marquis de Sade which Camus explores. In Sade, contradictory forces are at work (see The 120 Days of Sodom). On the one hand, Sade wishes the establishment of a (certainly mad) community with desire as the ultimate master, and on the other hand this very desire consumes itself and all the subjects who stand in its way.

Camus goes on to examine historical manifestations of rebellion, the most prominent case being that of the French Revolution. Camus argues that the revolution ended up taking the place of the transcendent values which it sought to abolish. An all-powerful notion of justice now takes the place formerly inhabited by God. Rousseau’s infamous suggestion that under the rule of ‘general will’ everyone would be ‘forced to be free’ (Rousseau in Foley 2008:61) opens the way to the crimes committed after the revolution. Camus fears that all revolutions end with the re-establishment of the State. “…Seventeen eighty-nine brings Napoleon; 1848 Napoleon III; 1917 Stalin; the Italian disturbances of the twenties, Mussolini; the Weimar Republic, Hitler” (Camus 2000b:146). Camus is led to examine the Marxist view of history as a possible response to the failed attempts at the establishment of a true revolutionary regime. Camus examines the similarities between the Christian and the Marxist conception of history. They both exhibit a bourgeois preoccupation with progress. In the name of the future everything can be justified: “the future is the only kind of property that the masters willingly concede to the slaves” (Camus 2000b:162). History according to both views is the linear progress from a set beginning to a definite end (the metaphysical salvation of man or the materialistic salvation of him in the future Communist society). Influenced by Kojève’s reading of Hegel, Camus interprets this future, classless society as the ‘end of history’. The ‘end of history’ suggests that when all contradictions cease then history itself will come to an end. This is, Camus argues, essentially nihilistic: history, in effect, accepts that meaning creation is no longer possible and commits suicide. Because historical revolutions are for the most part nihilistic movements, Camus suggests that it is the making-absolute of the values of the revolution that necessarily lead to their negation. On the contrary a relative conception of these values will be able to sustain a community of free individuals who have not forgotten that every historical rebellion has begun by affirming a proto-value (that of human solidarity) upon which every other value can be based.

3. The Influence of Existentialism

a. The Arts and Psychology

In the field of visual arts existentialism exercised an enormous influence, most obviously on the movement of Expressionism. Expressionism began in Germany at the beginning of the 20th century. With its emphasis on subjective experience, Angst and intense emotionality, German expressionism sought to go beyond the naiveté of realist representation and to deal with the anguish of the modern man (exemplified in the terrible experiences of WWI). Many of the artists of Expressionism read Nietzsche intensively and following Nietzsche’s suggestion for a transvaluation of values experimented with alternative lifestyles. Erich Heckel’s woodcut “Friedrich Nietzsche” from 1905 is a powerful reminder of the movement’s connection to Existentialist thought. Abstract expressionism (which included artists such as de Kooning and Pollock, and theorists such as Rosenberg) continued with some of the same themes in the United States from the 1940s and tended to embrace existentialism as one of its intellectual guides, especially after Sartre’s US lecture tour in 1946 and a production of No Exit in New York.

German Expressionism was particularly important during the birth of the new art of cinema. Perhaps the closest cinematic work to Existentialist concerns remains F.W. Murnau’s The Last Laugh (1924) in which the constantly moving camera (which prefigures the ‘rule’ of the hand-held camera of the Danish Dogma 95) attempts to arrest the spiritual anguish of a man who suddenly finds himself in a meaningless world. Expressionism became a world-wide style within cinema, especially as film directors like Lang fled Germany and ended up in Hollywood. Jean Genet’s Un chant d’amour (1950) is a moving poetic exploration of desire. In the sordid, claustrophobic cells of a prison the inmates’ craving for intimacy takes place against the background of an unavoidable despair for existence itself. European directors such as Bergman and Godard are often associated with existentialist themes. Godard’s Vivre sa vie (My Life to Live, 1962) is explicit in its exploration of the nature of freedom under conditions of extreme social and personal pressure. In the late 20th and early 21st centuries existentialist ideas became common in mainstream cinema, pervading the work of writers and directors such as Woody Allen, Richard Linklater, Charlie Kaufman and Christopher Nolan.

Given that Sartre and Camus were both prominent novelists and playwrights, the influence of existentialism on literature is not surprising. However, the influence was also the other way. Novelists such as Dostoevsky or Kafka, and the dramatist Ibsen, were often cited by mid-century existentialists as important precedents, right along with Kierkegaard and Nietzsche. Dostoevsky creates a character Ivan Karamazov (in The Brothers Karamazov, 1880) who holds the view that if God is dead, then everything is permitted; both Nietzsche and Sartre discuss Dostoevsky with enthusiasm. Within drama, the theatre of the absurd and most obviously Beckett were influenced by existentialist ideas; later playwrights such as Albee, Pinter and Stoppard continue this tradition.

One of the key figures of 20th century psychology, Sigmund Freud, was indebted to Nietzsche especially for his analysis of the role of psychology within culture and history, and for his view of cultural artefacts such as drama or music as ‘unconscious’ documentations of psychological tensions. But a more explicit taking up of existentialist themes is found in the broad ‘existentialist psychotherapy’ movement. A common theme within this otherwise very diverse group is that previous psychology misunderstood the fundamental nature of the human and especially its relation to others and to acts of meaning-giving; thus also, previous psychology had misunderstood what a ‘healthy’ attitude to self, others and meaning might be.  Key figures here include Swiss psychologists Ludwig Binswanger and later Menard Boss, both of who were enthusiastic readers of Heidegger; the Austrian Frankl, who invented the method of logotherapy; in England, Laing and Cooper, who were explicitly influenced by Sartre; and in the United States, Rollo May, who stresses the ineradicable importance of anxiety.

b. Philosophy

As a whole, existentialism has had relatively little direct influence within philosophy. In Germany, existentialism (and especially Heidegger) was criticised for being obscure, abstract or even mystical in nature. This criticism was made especially by Adorno in The Jargon of Authenticity, and in Dog Years, novelist Gunter Grass gives a Voltaire-like, savage satire of Heidegger. The criticism was echoed by many in the analytic tradition. Heidegger and the existentialist were also taken to task for paying insufficient attention to social and political structures or values, with dangerous results. In France, philosophers like Sartre were criticised by those newly under the influence of structuralism for paying insufficient attention to the nature of language and to impersonal structures of meaning. In short, philosophy moved on, and in different directions. Individual philosophers remain influential, however: Nietzsche and Heidegger in particular are very much ‘live’ topics in philosophy, even in the 21st century.

However, there are some less direct influences that remain important. Let us raise three examples. Both the issue of freedom in relation to situation, and that of the philosophical significance of what otherwise might appear to be extraneous contextual factors, remain key, albeit in dramatically altered formulation, within the work of Michel Foucault or Alain Badiou, two figures central to late 20th century European thought. Likewise, the philosophical importance that the existentialists placed upon emotion has been influential, legitimising a whole domain of philosophical research even by philosophers who have no interest in existentialism. Similarly, existentialism was a philosophy that insisted philosophy could and should deal very directly with ‘real world’ topics such as sex, death or crime, topics that had most frequently been approached abstractly within the philosophical tradition. Mary Warnock wrote on existentialism and especially Sartre, for example, while also having an incredibly important and public role within recent applied ethics.

4. References and Further Reading

a. General Introductions

  • Warnock Mary. Existentialism (Oxford: Oxford University Press, 1970)
  • Barrett William. Irrational Man: A Study in Existential Philosophy (New York: Anchor House, 1990)
  • Cooper E. David. Existentialism (Oxford: Wiley-Blackwell, 1999)
  • Reynolds Jack. Understanding Existentialism (Stocksfield: Acumen, 2006)
  • Earnshaw Steven. Existentialism: A Guide for the Perplexed (London: Continuum, 2006)

b. Anthologies

  • Kauffman Walter.  Existentialism from Dostoevsky to Sartre (New York: Penguin, 1975)
  • Paul S. MacDonald. The Existentialist Reader An Anthology of Key Texts (Edinburgh: Edinburg University Press, 2000)
  • Solomon C. Robert. Existentialism (USA: Oxford University Press, 2004)

c. Primary Bibliography

  • Beauvoir de Simone. The Ethics of Ambiguity (New York: Citadel Press, 1976)
  • Beauvoir de Simone. The Second Sex (London: Jonathan Cape, 2009)
  • Camus Albert. The Myth of Sisyphus (London: Penguin, 2000)
  • Camus Albert. The Rebel (London: Penguin, 2000b)
  • Camus Albert.  The Fall, (London: Penguin, 2006)
  • Heidegger Martin, Introduction to Metaphysics (New Heaven & London: Yale University Press,2000)
  • Heidegger Martin. Letter on Humanism: in Heidegger Martin. Basic Writings, (London: Routledge, 1993)
  • Heidegger Martin. Being and Time (Oxford: Blackwell, 1962)
  • Heidegger Martin. Identity and Difference (Chicago: Chicago University Press, 2002)
  • Kierkegaard Søren. The Concept of Anxiety (Princeton: Princeton University Press, 1980)
  • Kierkegaard Søren. Fear and Trembling (New Jersey: Princeton University Press, 1983)
  • Kierkegaard Søren. Papers and Journals: A Selection, (London: Penguin Book, 1996)
  • Nietzsche Friedrich. Ecce Homo (Oxford: Oxford University Press, 2007)
  • Nietzsche Friedrich. The Gay Science (Cambridge: Cambridge University Press, 2001)
  • Nietzsche Friedrich. Twilight of the Idols (Oxford: Oxford University Press, 2008)
  • Nietzsche Friedrich. On the Genealogy of Morality (Cambridge: Cambridge University Press, 2007)
  • Sartre Jean-Paul. Being and Nothingness (London and New York: Routledge, 2003)
  • Sartre Jean-Paul, “Intentionality: A fundamental idea of Husserl’s Phenomenology.” Trans. by Joseph P. Fell, Journal of the British Society for Phenomenology, 1970, Vol. 1, No. 2

d. Secondary Bibliography

  • Camus
  • Todd Oliver. Albert Camus A Life (London: Vintage, 1998)
  • Sherman David. Camus (Oxford: Blackwell, 2009)
  • Foley John. Albert Camus From the Absurd to Revolt (Stocksfield: Accumen, 2009)
  • Sartre
  • Cox Gary. Sartre A guide for the Perplexed (London: Continuum, 2006)
  • Gardner Sebastian. Sartres Being and Nothingness (London: Continuum, 2009)
  • Stewart John, “Merleau-Ponty’s criticisms of Sartre’s theory of freedom. Philosophy Today, 39:3 (1995:Fall)
  • Heidegger
  • Beistegui de Miguel. The New Heidegger (London & New York: Continuum, 2005)
  • Marx Werner. Heidegger and the Tradition (Evanson: Northwestern University Press, 1971)
  • Polt Richard. Heidegger An Inroduction (London: UCL Press, 1999)
  • Safranski Rüdiger. Martin Heidegger: Between Good and Evil (Cambridge, Massachusetts: Harvard University Press, 1999)
  • Watts Michael. The philosophy of Heidegger (Durham: Acumen, 2011)
  • Nietzsche
  • Ansell-Pearson Keith. An Introduction to Nietzsche as Political Thinker (Cambridge: Cambridge University Press, 1994)
  • Burnham Douglas. Reading Nietzsche An Analysis of Beyond Good an Evil (Stocksfield: Accumen, 2007)
  • Burnham Douglas and Jesinghausen Martin. Nietzsches Thus Spoke Zarathustra (Edinburgh: Edinburgh University Press, 2010)
  • Burnham Douglas and Jesinghausen Martin. Nietzsches The Birth of Tragedy (London: Continuum, 2010)
  • Safranski Rüdiger. Nietzsche – A Philosophical Biography (London: Granta Books, 2002)
  • Kierkegaard
  • Pattison George. The Philosophy of Kierkegaard (Chesham: Acumen, 2005)
  • Weston Michael. Kierkegaard and Modern Continental Philosophy: An Introduction (London: Routledge, 1994)

e. Other Works Cited

  • Hegel G.W.F. Phenomenology of Spirit, (Oxford and New York, Oxford University Press, 1977)
  • Spinoza Baruch Ethics in: Spinoza Baruch Complete Works, (Indianapolis, Hackett Publishing, 2002)
  • Kant Immanuel An Answer to the Question: What is Enlightenment? in Kant Immanuel Political Writings, (Cambridge: Cambridge University Press, 1991)

 

Author Information

Douglas Burnham
Email: h.d.burnham@staffs.ac.uk
Staffordshire University
United Kingdom

and

George Papandreopoulos
Email: g.papandreopoulos@staffs.ac.uk
Staffordshire University
United Kingdom

Epistemic Luck

Epistemic luck is a generic notion used to describe any of a number of ways in which it can be accidental, coincidental, or fortuitous that a person has a true belief. For example, one can form a true belief as a result of a lucky guess, as when one believes through guesswork that “C” is the right answer to a multiple-choice question and one’s belief just happens to be correct. One can form a true belief via wishful thinking; for example, an optimist’s belief that it will not rain may luckily turn out to be correct, despite forecasts for heavy rain all day. One can reason from false premises to a belief that coincidentally happens to be true. One can accidentally arrive at a true belief through invalid or fallacious reasoning. And one can fortuitously arrive at a true belief from testimony that was intended to mislead but unwittingly reported the truth. In all of these cases, it is just a matter of luck that the person has a true belief.

Until the twenty-first century, there was nearly universal agreement among epistemologists that epistemic luck is incompatible with knowledge. Call this view “the incompatibility thesis.” In light of the incompatibility thesis, epistemic luck presents epistemologists with three distinct but related challenges. The first is that of providing an accurate analysis of knowledge (in terms of individually necessary and jointly sufficient conditions for “S knows that p,” where ‘S’ represents the knower and ‘p’ represents the proposition known). An adequate analysis of knowledge must succeed in specifying conditions that rule out all instances of knowledge-destroying epistemic luck. The second challenge is to resolve the skeptical paradox that the ubiquity of epistemic luck generates: As will become clear in section 2c, epistemic luck is an all-pervasive phenomenon. Coupling this fact with the incompatibility thesis entails that we have no propositional knowledge. The non-skeptical epistemologist must somehow reconcile the strong intuition that epistemic luck is not compatible with knowledge with the equally evident observation that it must be. The third challenge concerns the special skeptical threat that epistemic luck seems to pose for more reflective forms of knowledge, such as knowing that one knows. Each of these challenges will be explored in the present article.

Table of Contents

  1. Epistemic Luck and the Analysis of Knowledge
    1. The Incompatibility Thesis
    2. The Justified-True-Belief Analysis of Knowledge
    3. The Gettier Problem
    4. Purported Solutions to the Gettier Problem
      1. No False Grounds
      2. No Essential False Grounds
      3. Defeasibility Approaches
      4. The Externalist Turn
      5. The Causal Theory of Knowing
    5. Controversial Cases
      1. Beneficial Falsehoods
      2. Misleading Evidence One Does Not Possess
      3. Impact of These Cases
    6. Where Things Stand
  2. The Paradox of Epistemic Luck
    1. The Knowledge Thesis
    2. The Incompatibility Thesis (Again)
    3. The Ubiquity Thesis
    4. The Skeptical Challenge
    5. Rejecting the Incompatibility Thesis
    6. Knowledge-Destroying Epistemic Luck
      1. Evidential vs. Veritic Luck
      2. Justification-Oriented Luck
      3. Modal Veritic Luck
    7. Second-Wave Anti-Luck Epistemologies
      1. Sensitivity
      2. Safety
    8. Paradox Lost
  3. Epistemic Luck and Knowing that One Knows
    1. Internalism, Epistemic Luck, and the Problem of Knowing that One Knows
    2. Epistemic Luck and Reflective Knowledge
  4. Conclusion
  5. References and Further Reading

1. Epistemic Luck and the Analysis of Knowledge

There is no settled agreement as to how best to characterize the accidentality or fortuitousness of an epistemically lucky true belief. Some have attempted to cash out the accidentality of epistemically lucky beliefs modally. For example, Mark Heller (1999) contends that person S’s belief that p is epistemically lucky (and hence not knowledge) if p is true in the actual world, but there is at least one world, in a contextually-determined set of possible worlds, where S’s belief that p is false. On Duncan Pritchard’s modal characterization (2005), S’s belief is epistemically lucky if it is true in the actual world, but false in a majority of nearby possible worlds where S forms the belief in the same way. Others (Riggs 2007; Coffman 2007) insist that epistemic luck be cashed out in terms of a lack of control condition. Each of these proposals has been criticized in the literature. Despite the lack of agreement concerning the exact nature of epistemic luck, there is widespread agreement that epistemic luck is incompatible with knowledge.

One of the earliest recorded illustrations of knowledge-destroying luck can be found in Plato’s Theaetetus. In this dialogue, Socrates inquires as to what knowledge is. When Theaetetus suggests that knowledge is true belief, Socrates quickly convinces him that he is mistaken by noting that a jury may luckily arrive at a true belief either as a result of the rhetorical skill of a jurist intent on getting a certain verdict or on the basis of unsubstantiated hearsay, and in either case, the lucky true belief would fall short of knowledge. The Socratic challenge posed in the Theaetetus is to specify what must be added to true belief to get knowledge. To meet that challenge, one must provide an analysis of knowledge that correctly identifies the conditions that are individually necessary and jointly sufficient for S to know that p (where ‘S’ represents the knower and ‘p’ represents the proposition known). As will become readily apparent in what follows, the possibility of epistemic luck makes the already difficult task of meeting the Socratic challenge all the more difficult.

a. The Incompatibility Thesis

Epistemologists have long agreed with Plato that epistemic luck is incompatible with knowledge. To see just how widespread commitment to the incompatibility thesis is, consider the remarks of just few representative epistemologists. In The Problems of Philosophy (1912, p. 131), Bertrand Russell asks the question: “Can we ever know anything at all, or do we merely sometimes by good luck believe what is true?”—the implication being that lucky true belief is not knowledge. In Theory of Knowledge (1990, p. 12), Keith Lehrer stresses that knowledge requires more than lucky true acceptance: “If I accept something without evidence or justification . . . and, as luck would have it, this turns out to be right, I fall short of knowing that what I have accepted is true.” In Reasons and Knowledge (1981, p. 31), Marshall Swain maintains that: “lucky guesses do not constitute factual knowledge.” In his Stanford Encyclopedia of Philosophy article on the analysis of knowledge (2006), Matthias Steup expressly endorses the incompatibility thesis: “Let us refer to a belief’s turning out to be true because of mere luck as epistemic luck. It is uncontroversial that knowledge is incompatible with epistemic luck.” In his Internet Encyclopedia of Philosophy article on epistemology (2007), David Truncellito concurs: “a lucky guess cannot constitute knowledge. Similarly, misinformation and faulty reasoning do not seem like a recipe for knowledge, even if they happen to lead to a true belief.” In Epistemic Luck (2005, p. 1), Duncan Pritchard calls attention to “the seemingly universal intuition that knowledge excludes luck, or, to put it another way, that the epistemic luck that sometimes enables one to have true beliefs . . . is incompatible with knowledge.”

The nearly universal intuition that epistemic luck is incompatible with knowledge is rooted in compelling examples like the following:

Jack of Hearts

Dylan is an avid euchre player. One night between hands, the dealer asks Dylan which card he believes to be on the top of the freshly shuffled euchre deck. Dylan thinks for a moment and, recalling his fondness of bowers, comes to believe that the top card is the jack of hearts. After Dylan reports his belief, the dealer turns over the top card, which just so happens to be the jack of hearts.

Since the probability of the jack of hearts being the top card of a randomly shuffled euchre deck is 1/32, it is just a matter of luck that Dylan’s belief was true. Dylan certainly didn’t know that the jack of hearts was the top card. He just happened to guess correctly, and knowledge requires more than lucky guesswork.

b. The Justified-True-Belief Analysis of Knowledge

Examples like Jack of Hearts clearly show that true belief is not sufficient for knowledge. What, then, must be added to true belief in order to get knowledge? Prior to 1963, most epistemologists maintained that justification is what is required to convert true belief to knowledge, and as a result, they endorsed the justified-true-belief analysis of knowledge:

(JTB)   For any subject S and any proposition p, S knows that p if and only if:

(i) p is true,

(ii) S believes that p [Bp], and

(iii) S is justified in believing that p [Jp].

Fallibilists and infallibilists disagree about the kind of justification required by (iii). Infallibilists maintain that knowledge requires infallible justification. Infallible justification entails the truth of the proposition for which it is justification. Fallibilists, on the other hand, endorse a weaker justification requirement. They contend that the kind of justification requisite for knowledge need only render probable, but need not entail, that for which it is justification.

At first blush, it might look as if infallible justification holds the key to eliminating epistemic luck and is, thus, the kind of justification needed for knowledge. After all, if S believes that p on the basis of infallible truth-entailing justification for p, it is impossible for S to be mistaken with respect to p. Unfortunately, the legacy of infallibilism is nearly wholesale skepticism. The point can be demonstrated as follows: Since our evidence for the non-cogito contingent empirical propositions we believe never entails the truth of those propositions, it follows that if the kind of justification required for knowledge is infallible truth-entailing justification, then we are never justified in believing, and hence never know, that such propositions are true. An infallibilist justification requirement would go a long way toward eliminating epistemic luck, but it would do so at the cost of making empirical knowledge impossible—hardly an adequate non-skeptical solution to the problem of epistemic luck.

Recognizing the skeptical implications of infallibilism, most contemporary epistemologists have embraced fallibilism so that empirical knowledge remains at least in principle possible. Fallibilistic justification is thought to rule out epistemic luck by making one’s belief extremely probable. When one’s belief that p is extremely probable, it is not just a matter of luck that one’s belief is true. Recall Jack of Hearts. Prior to the dealer’s turning over the top card, Dylan has no evidence as to what the top card is. As such, it is extremely improbable that the top card is the jack of hearts. Consider how Dylan’s epistemic situation changes after the dealer turns over the top card, and Dylan sees the jack of hearts. Now Dylan has good perceptual evidence that the card is the jack of hearts. Given his newly-acquired perceptual evidence, it is now extremely probable that the card is the jack of hearts, and as a result, it is no longer just a matter of luck that his belief that it is the jack of hearts is true. Granted, it is possible that a Cartesian evil demon could have caused Dylan to hallucinate the jack of hearts right as the dealer flipped over some other card (which illustrates that Dylan’s perceptual evidence doesn’t entail that the card is the jack of hearts), and so, his evidence doesn’t eliminate all chance of error; but it does make the chance of error extremely low, and when error is extremely improbable, it is not simply a matter of luck that one’s belief is true.

c. The Gettier Problem

Although the role of the justification condition in the JTB-analysis is to rule out lucky guesses as instances of knowledge, it remains possible, given any fallibilistic account of justification, to have a justified belief that is only luckily true, a fact that went largely unnoticed until the publication of Edmund Gettier’s seminal article “Is Justified True Belief Knowledge?” (1963). Therein, Gettier provides two compelling counterexamples to the JTB-analysis of knowledge. He dubs these examples “Case I” and “Case II.” Both cases involve a person who justifiably comes to believe a true proposition by validly deducing it from a justified-but-false belief. Consider first Gettier’s Case II.

Case II: Smith has good evidence for believing that Jones owns a Ford [J]. Indeed, Smith’s evidence for thinking that Jones owns a Ford is at least as strong as the evidence that we typically have for thinking that our friends and family members own the cars they do. Smith’s evidence consists of the following: As far back as Smith can remember, Jones has always owned a Ford; just that morning, Jones gave Smith a ride while driving a Ford; and Smith was with Jones a few months back when Jones purchased a Ford exactly like the one she was driving when she offered Smith the ride earlier that morning. Based on this evidence, Smith justifiedly believes that Jones owns a Ford [J]. On the basis of her justified belief that J, Smith justifiedly deduces and comes to believe the disjunction that either Jones owns a Ford or Brown is in Barcelona [J or B], despite having no idea of Brown’s whereabouts. As it turns out, Jones no longer owns a Ford. She recently sold her Ford and is driving a rental. However, purely by coincidence, Brown happens to be in Barcelona. Obviously, it is just a matter of luck that Smith’s justified belief that J or B is true. Nearly every epistemologist who has considered this case agrees that Smith’s luck-infused justified-true-belief that J or B falls short of knowledge.

Here is a slightly modified version Gettier’s other example. Case I: While waiting for a job interview, Smith sees Nelson take the coins out of her pocket, count them (ten coins in all), and then put them back in her pocket. Smith also overhears the boss on the phone telling someone that Nelson is the person who will get the job. On the basis of this evidence, Smith justifiedly believes the conjunction:

(N)  Nelson will get the job, and Nelson has ten coins in her pocket.

On basis of her justified belief that N, Smith deduces and justifiedly comes to believe:

(P)  The person who will get the job has ten coins in her pocket.

Despite Smith’s evidence, N is false. The boss misspoke on the phone. Actually, it is Smith, not Nelson, who will get the job, and purely by chance, Smith happens to have exactly ten coins in her pocket. Once again, it is just a matter of luck that Smith’s belief—this time her belief that P—is true. With these two examples, Gettier showed that fallibilistic justification is incapable of eliminating all forms of knowledge-destroying epistemic luck and that, as a result, justified true belief is not sufficient for knowledge.

d. Purported Solutions to the Gettier Problem

Gettier’s paper gave rise to a plethora of articles attempting to solve the problem that now bears his name. Many of these purported solutions sought to resolve the problem by supplementing the JTB-analysis with a fourth condition, while others abandoned the JTB-analysis in favor of non-traditional ajustificational accounts of knowledge. Consider first some of the prominent fourth condition responses.

i. No False Grounds

In both of Gettier’s examples, Smith justifiably infers a true belief from a justified-but-false belief, and it has seemed to many that a true belief is not knowledge when it is deduced from a false belief. As a result, a number of epistemologists sought to resolve the Gettier problem by supplementing JTB with a “No False Grounds” clause along the following lines:

(NFG) S knows that p if and only if (i) p is true, (ii) S believes that p, (iii) S is justified in believing that p, and (iv) S’s justification for p does not rest on any false beliefs.

An analysis of knowledge can be too strong or too weak: It is too strong if it is possible for a person to know that p without satisfying all of the conditions spelled out in the analysis. It is too weak if one can fail to know that p when all the conditions in the analysis have been met. To see that NFG is too strong, we need only modify Gettier’s Case II as follows:

Café

Smith is sitting in a café in Barcelona with Brown having a cup of espresso. While there, with Brown, Smith justifiably infers and comes to believe that J or B on the basis of her justified-but-false belief that Jones owns a Ford [J] and on the basis of her justified-true-belief that Brown is Barcelona [B].

In this scenario, Smith has excellent evidence for B along with her misleading evidence for J. Since Smith knows B is true and validly deduces J or B from her knowledge that B, it is not at all lucky that her justified belief that J or B is true; and so, Smith knows that J or B, despite the fact that part of her evidence, namely, J, is false. Hence, NFG is false, for it entails that a person fails to know that p whenever any part (even a dispensable and thus superfluous part) of her justification is false, when, intuitively, a person with some false evidence for p can still know that p provided she has at least one independent chain of all-true-evidence justification for p.

ii. No Essential False Grounds

In Gettier’s Case II (where Smith clearly fails to know that J or B), Smith’s justification for J or B essentially depends on Smith’s justified-but-false belief that J. In Café (where intuitively Smith does know that J or B), Smith has two independent strands of justification for J or B. The first strand is her justified-but-false belief that J. The second strand is her justified-true-belief that B. As a result, Smith could dispense with the first strand entirely and still be justified in believing the disjunction J or B. Our markedly different appraisals of Smith’s epistemic status vis-à-vis J or B in these two cases suggest that the presence of false grounds precludes the knowledge that p only when those grounds play an indispensable role in a person’s justification for p. Given this insight, it might seem that the no false grounds condition in NFG should be replaced with a no essential false grounds condition as follows:

(NEFG)  S knows that p if and only if (i) p is true, (ii) S believes that p, (iii) S is justified in believing that p, and (iv) S’s justification for p does not essentially depend on any false beliefs.

Unfortunately, NEFG is too weak because there can be all-true-evidence Gettier cases—cases where the person’s justification for her lucky true belief does not depend on any false beliefs. An example of an all-true-evidence Gettier case is provided by Brian Skyrms’s (1967) case involving Sure-Fire matches:

Pyromaniac

Pete knows that Sure-Fire matches have always lit in the past when struck. Pete also knows that the match he is holding is a Sure-Fire match. Based on this evidence, which he knows to be true, Pete justifiably believes that the match he is holding will light when struck [L]. Unbeknownst to Pete, the match he is holding is a defective Sure-Fire match (the first ever!) with impurities that raise its combustion temperature above that which can be produced by striking friction. As luck would have it, just as Pete strikes the match, a sudden burst of Q-radiation ignites the match.

In Pyromaniac, Pete has a justified true belief that L, which is based entirely on true evidence that Pete knows, and yet, it is still just a matter of luck that his belief is true. This example shows that one can have a lucky true belief that p that falls short of knowledge, even when all of one’s evidence for p is true. Thus, NEFG is too weak. There are genuine Gettier cases that it fails to rule out.

iii. Defeasibility Approaches

In each of Gettier’s original cases, there is a true proposition unbeknownst to Smith such that were that proposition added to the rest of Smith’s evidence, Smith would no longer be justified in believing the Gettiered belief. Call such a proposition a defeater. In Case I, the defeater is the true proposition that Nelson will not get the job [~N]. If ~N were added to Smith’s evidence, Smith would not be justified in believing that the person who will get the job has ten coins in her pocket, for she would no longer have any idea who will get the job. In Case II, the defeater is the true proposition that Jones does not own a Ford [~J]. Since Smith has no knowledge as to Brown’s whereabouts, if ~J were added to Smith’s evidence, she would no longer be justified in believing that J or B. Notice, however, that in the case of Café (where Smith is with Brown in Barcelona), the true proposition ~J is not a defeater, because adding ~J to Smith’s evidence in Café would not prevent Smith from being justified in believing that J or B. Smith would still be justified in believing J or B on the basis of her justified true belief that B.

Defeasibility theorists contend that a person fails to know that p whenever there is a defeater for her justification for p. Their proposal for solving the Gettier problem is to supplement the JTB-analysis with a No Defeaters condition as follows:

(ND)    S knows that p if and only if (i) p is true, (ii) S believes that p, (iii) S is justified in believing that p, and (iv) there are no defeaters for S’s justification for p.

The biggest problem facing the No Defeaters approach is that there is no agreement among defeasibility theorists themselves as to the correct account of defeaters. For example, Roderick Chisholm (1964) and Peter Klein (1971) have characterized defeaters as follows:

(D1)     When evidence e justifies S in believing that p, then proposition d is a defeater for S’s justification if and only if (i) d is true and (ii) the conjunction of d and e does not justify S in believing that p.

Keith Lehrer and Thomas Paxson Jr. (1969) contend that D1 is too weak, as a definition of defeaters, because it counts as defeaters certain statements that intuitively are not defeaters. They offer the following case in point:

Grabit

While at the library, I see a student of mine, Tom Grabit, take a book from the shelf, conceal it under his coat, and leave the library without checking it out. I know Tom Grabit well, and I am sure that he stole the book. I justifiedly believe that Tom Grabit stole the book, and he did.

Intuitively, I know that Tom Grabit stole the book. But here’s the rub: Unbeknownst to me, Tom Grabit’s mother said that on the day in question Tom was not in the library, indeed, he was thousands of miles away, and that Tom’s identical twin, John Grabit, was in the library. On the D1 account of defeaters, the following true proposition is a defeater for my justification for thinking that Tom stole the book:

(M) Tom’s mother said that Tom was not in the library at the time of the theft, but his identical twin John was.

If M were added to my evidence, I would no longer be justified in believing that Tom stole the book. This result might seem like the right result until we discover that Tom’s mother is both delusional and a pathological liar, that she said these things to herself in her padded cell, that John Grabit is a figment of her demented mind, and that Tom stole the book just as I thought. Lehrer and Paxson argue that the fact that it is true that a delusional mental patient uttered false statements about Tom Grabit’s location on the day of the theft should not defeat my knowledge that Tom Stole the book. They conclude that the Chisholm/Klein account of defeaters should be replaced with the follow account:

(D2)     When evidence e justifies S in believing that p, then proposition d is a defeater for S’s justification if and only if (i) d is true, (ii) S is completely justified in believing that d is false, and (iii) the conjunction of d and e does not justify S in believing that p.

In Grabit, I do not have any evidence concerning what Tom’s mother said or didn’t say, and so, I am not completely justified in believing that it is false that she said those things. As a result, condition (ii) of D2 is not satisfied, and so, on the Lehrer/Paxson account of defeaters that fact that Ms. Grabit said those things is not a defeater for my evidence that Tom stole the book. Consequently, on the D2-account of defeaters, I have an undefeated justified true belief that Tom stole the book and thus know that Tom stole the book, which is the intuitively correct result.

The Chisholm/Klein D1-account of defeaters gets the Grabit case wrong, for it entails that the true statement M defeats my justification for thinking that Tom stole the book. Since M is a defeater on the Chisholm/Klein account, their account entails that I do not know that Tom stole the book; when, intuitively, I do know that Tom stole the book. I saw him steal it, and the insane ramblings of his demented mother do nothing to undermine my knowledge.

Now consider a different case:

Locked

John Lock is compulsive when it comes to locking his doors. This morning when he left for work, he locked the front door and tripled checked that the door was locked. It is now 11:00 a.m., and John is sitting in his office recalling his morning ritual. He clearly and distinctly remembers locking his front door and triple checking to make sure that it was in fact locked. On the basis of this vivid memorial evidence e, he comes to believe that his front door is locked. Lucy Lock, John’s wife, is notoriously unreliable about locking the doors when she leaves home, which is why John always insists on leaving home after Lucy leaves for work. Unbeknownst to John, Lucy forgot her workout clothes and returned home at 10:30 a.m. to retrieve them, and she just happened to lock the door when she left five minutes later.

So, at 11:00 a.m., John’s belief that the front door is locked is true. Presumably, John does not know that the front door is locked. He thinks the door is locked because he remembers locking it, but that is not why it is locked. It is locked because Lucy absentmindedly and uncharacteristically happened to lock it on her way out. Intuitively, John’s knowledge is defeated by the following true proposition:

(U) The door was unlocked by Lucy at 10:30 a.m.

If U were added to John’s memorial evidence e, John would no longer be justified in believing that his front door is locked. On the Chisholm/Klein D1-account of defeaters, U is a defeater because U is true and the conjunction of U and e would not justify John in believing that his front door is locked. However, on the Lehrer/Paxson D2-account of defeaters, U would not count as a defeater because sitting in his office at 11:00 a.m., John has no evidence concerning whether or not his wife returned home to retrieve her gym clothes, and so, he is not completely justified in believing it false that the door was unlocked by Lucy Lock at 10:30 a.m. Since U is not a defeater on the Lehrer/Paxson account, their account entails that John knows that his front door is locked; when, intuitively, he fails to know that his door is locked, because it is just a matter of luck that Lucy absentmindedly locked it when she left.

The problem for the No Defeaters approach, then, is this: D1 is too weak of an account of defeaters, and as a result, employing a D1-account of defeaters in ND would make ND too strong an account of knowledge; whereas D2 is too strong an account of defeaters, and so, employing it in ND would make ND too weak. Absent an adequate account of defeaters, the No Defeaters approach fails to provide a solution to the problem of epistemic luck.

iv. The Externalist Turn

Externalist theories of justification maintain that epistemic justification is (at least) partly a function of features external to the cognizer, that is, features outside the cognizer’s ken. For example, one prominent externalist theory, process reliabilism, makes a belief’s justificatory status a function of the actual reliability (rather than the perceived reliability) of the process producing that belief. One motivation behind externalism with respect to justification is its unique ability to provide a truth connection that conceptually links justification with truth. To appreciate the importance of this motivation, recall that the role of the justification condition in the JTB-analysis is to rule out lucky guesses as instances of knowledge. In order for justification to be able to properly play that role, there must be some sort of internal connection between justification and truth that makes the former objectively indicative of the latter. Indeed, many epistemologists insist that it is precisely its internal connection to truth that distinguishes epistemic justification from moral and pragmatic justification. To be objectively indicative of truth, justification must be conceptually connected (not merely coincidentally or contingently connected) with truth. In order for there to be a conceptual connection between justification and truth, the following condition must hold: In every possible world W, if conditions C make belief b justified in W, then conditions C also make b objectively probable in W. The rationale for requiring such a truth connection is this: If there were no conceptual connection between justification and truth, it would be just as much a matter of luck when a justified belief turned out to be true as when an unjustified belief turned out to be true. Moreover, a better justified belief would be no more likely to be true than a much less well justified belief, for without a truth connection, no amount of justification is an objective indication of truth.

Unlike externalist theories of justification, no internalist theory of justification can provide the desired conceptual connection between justification and truth. Internalist theories maintain that epistemic justification is solely a function of states internal to the cognizer, such as perceptual states, belief states, memorial seemings, and introspective states. Examples of such theories include classical foundationalism, coherentism, and evidentialism. That no internalist theory of justification can provide a truth connection can be demonstrated as follows: Every internalist theory of justification maintains that the conditions that make a belief justified are entirely specifiable in terms of states internal to the cognizer, and for any set of entirely internally specifiable justification-conferring conditions, CI, there will always be a possible world, WD, where a Cartesian evil demon has seen to it that S possesses the requisite internal states and, hence, satisfies CI, even though all of S’s contingent empirical beliefs are false. Since the conditions CI that make S’s belief b internalistically justified in WD­­ do not make b objectively probable in WD, no internalist theory is capable of providing a truth connection. Because internalistic justification is not conceptually connected to truth, one can easily be internalistically justified in holding a false belief, which can in turn be used to justifiably infer some other belief that may coincidentally turn out to be true. Consequently, employing an internalistic justification condition in the JTB-analysis makes JTB particularly susceptible to Gettier cases.

At first glance, externalistic justification looks more promising as a means of preventing luck from playing a role in the acquisition of true belief, for some externalist theories of justification do provide a conceptual connection between justification and truth. Consider, for example, the following simplified version of process reliabilism:

(PR)     S’s belief b is justified in world W if and only if S’s belief b is produced by a belief-forming cognitive process [BCP] that is W-reliable (where a -reliable BCP is a process that tends to produce beliefs in W that are true in W).

Since PR asserts that a belief is justified in W if and only if it is produced by a W-reliable BCP, and since, by definition, the beliefs produced by a W-reliable process tend to be true in W, PR-justified beliefs have a high objective probability of being true. Because reliably-produced, externalistically-justified beliefs are objectively likely to be true, one might think that replacing the internalistic justification condition in the traditional JTB-analysis with an externalistic justification condition would render JTB immune to Gettier-style counterexamples. William Harper (1996) quickly dispels any such notion, with the following counterexample:

Falcon

Smith believes that Jones owns a Ford. Smith was with Jones when Jones purchased her Pinto; Smith has seen the official title to the car in Jones’s name; Jones is a reliable informant that has never deceived anyone; and just this morning, Jones gave Smith a ride to work in her Pinto. Smith has a reliably-produced and reliably-sustained belief that Jones owns a Ford. It is now 1:00 p.m. Unbeknownst to Smith, at noon Jones’s Pinto was vaporized by a terrorist bomb; but, also unbeknownst to Smith, exactly at noon Jones won a Ford Falcon in the State Lottery. Hence, Smith has a reliably-formed true belief that Jones owns a Ford, but her belief is not knowledge.

While internalistic justification may be particularly susceptible to being undermined by Gettier-style knowledge-destroying luck, Harper’s counterexample shows that the Gettier problem plagues all fallibilistic theories of justification, both internalistic and externalistic alike. Whatever virtues externalistic justification might have, solving the Gettier problem is not among them.

v. The Causal Theory of Knowing

In his early work, Alvin Goldman (1967) offers a different diagnosis of what has gone wrong in Gettier cases. In Case II, what makes J or B true is the fact that Brown is in Barcelona, but this fact plays no causal role in Smith’s coming to believe that J or B. In Case I, what makes P (P = the person who will get the job has ten coins in her pocket) true is the number of coins in Smith’s pocket, but this fact plays no role in Smith’s coming to believe P. What causes Smith to believe P is the fact that Nelson has ten coins in her pocket, and this latter fact is not what makes P true. Goldman observes that in these cases there is no causal connection between the Gettiered belief and the fact that makes it true. It is the absence of such a connection that allows for the possibility of belief’s being true purely by luck. Goldman concludes that the traditional JTB-analysis should be replaced with the following causal theory of knowledge:

(CTOK)  S knows that p if and only if the fact that p is causally connected in an appropriate way with S’s believing that p.

The appropriate knowledge-producing causal processes that Goldman identifies include: (i) perception, (ii) memory, (iii) inferentially reconstructed causal chains, each inference of which is warranted, and (iv) combinations of (i)-(iii). The causal theory correctly handles all of the cases we have considered so far. We have already seen how it handles Gettier’s original cases. In Café, what makes J or B true is the fact that Brown is in Barcelona, and that fact is appropriately causally connected with Smith’s believing that J or B, because Smith is having an espresso with Brown in Barcelona. Accordingly, CTOK correctly entails that, in Café, Smith knows that J or B. In Grabit, I see Tom steal the book. Tom’s stealing the book in plain eyesight perceptually causes me to believe that he did, and so, once again, CTOK yields the right result: I know that Tom Grabit stole the book. In Locked, what makes it true that the front door is locked is the fact that Lucy locked it, and this fact plays no causal role in John’s believing his front door is locked. In this case, CTOK correctly entails that John does not know that his front door is locked. He’s just lucky that Lucy happened to lock it. Finally, in Falcon, what makes it true that Jones owns a Ford is the fact that she just won a Ford Falcon in the state lottery, and that fact plays no causal role in Smith’s believing that Jones owns a Ford, and so, Smith fails to know that Jones owns a Ford.

Despite its success in handling these cases, the causal theory falls prey to the following counterexample:

Fake Barn County

An eccentric farmer in Minnesota owns all of the land in Fake Barn County. Wanting to appear much richer than he is, this farmer has erected fake barns all throughout the county. From the road, these fake barns look exactly like real barns, when, in reality, they are just two dimensional barn façades. While nearly every barn-looking structure in the county is a fake, there are a few real barns interspersed among the myriad fakes. Henry, who is driving through Fake Barn County, has no idea that there are any fake barns in the county. Looking out the window of his car, Henry sees what looks to be a barn on the hill just up the road and comes to believe that there is a barn on the hill. Purely by chance, Henry happens to be looking at one of the few real barns in the county.

Intuitively, Henry does not know that there is a barn on the hill. He is just lucky to be looking at one of the few real barns in the county. The lucky nature of his present belief becomes even more obvious once we discover that Henry has been forming barn beliefs ever since entering Fake Barn County, and all of these other barn beliefs have been false. Henry has consistently been duped by the façades.

The causal theory fails because it cannot account for Henry’s lack of knowledge in this case. Henry is now looking at one of the few real barns in the county, and this real barn is what is causing him to believe that there is a barn on the hill. Since Henry’s true belief that there is a barn on that hill is appropriately caused via perception by that very barn on that hill, the causal theory mistakenly entails that Henry knows there is a barn on that hill, when clearly he does not.

e. Controversial Cases

As analyses of knowledge aimed as at solving the Gettier problem have grown in sophistication and complexity, so have the purported counterexamples aimed at refuting these analyses. Some of these purported counterexamples are sufficiently complex and controversial that there is no consensus among epistemologists as to whether or not the person in the example knows the proposition in question. Two such cases are discussed below.

i. Beneficial Falsehoods

Although the no essential false grounds approach was largely abandoned once it was shown that there can be all-true-evidence Gettier cases—cases where S’s justification for her lucky belief p does not depend on any false beliefs—there has remained nearly universal agreement among epistemologists that a person fails to know that p if her justification for p essentially depends on a false belief. Peter Klein (2008) is a noteworthy exception. He contends that there can be beneficial falsehoods—falsehoods essential to one’s justification that nevertheless give one knowledge. Here is one example that Klein offers in support of his controversial view:

Appointment

Based on memory, I believe that my secretary told me on Friday that I have an appointment with a student on Monday. Based on that justified-but-false memorial belief, I come to justifiedly believe that I have an appointment on Monday. As it turns out, I do have that appointment on Monday, and my secretary did tell me of the appointment. However, he didn’t tell me on Friday. He told me on Thursday.

Klein contends that I know that I have an appointment on Monday [A], even though my belief that A essentially depends on my false belief that my secretary told me on Friday about my Monday appointment. It might seem that the false belief that my secretary told me on Friday that I have a Monday appointment is not essential to my justification for A, because if I “remember” that my secretary told me on Friday of my Monday appointment, then presumably I also actually remember that my secretary told me I have an appointment on Monday, and this latter belief is true. But suppose that the secretary was out with the flu the first three days of the week, and also suppose that I do not remember being on campus on Thursday. In fact, I’m confident that I wasn’t on campus on Thursday, having totally forgotten that I briefly stopped in on Thursday to get my mail. Klein contends that in such a situation I would not believe that my secretary told me of the appointment at all, unless I believed that he told me this on Friday. Klein contends that I know that A, even though that belief essentially depends on my false belief that my secretary told me on Friday about my Monday appointment.

What distinguishes beneficial falsehoods from knowledge-destroying falsehoods? Under what circumstances does a false belief f allow S to acquire knowledge that p? Klein’s answers to these questions are rooted in and flow out of his preferred theory of knowledge. Klein contends that knowledge requires both propositional and doxastic justification. Proposition p is propositionally justified for S if and only if S has an epistemically adequate basis for p. S’s belief that p is doxastically justified for S if and only if S’s belief that p has an appropriate causal basis. The basic idea is that in order for S to know that p, S’s belief that p must be epistemically justified and appropriately caused. Armed with the distinction between propositional and doxastic justification, Klein argues that a false belief f is a beneficial falsehood just in case the following seven conditions are met: (i) f is false, (ii) S’s belief that f is doxastically justified (that is, S’s belief that f has an appropriate causal pedigree), (iii) the belief that f is essential in the causal production of the belief that p, (iv) f propositionally justifies p, (v) f entails a true proposition t, (vi) t propositionally justifies p, and (vii) whatever doxastically justifies S in believing that f also propositionally justifies t for S. When these conditions are met, Klein contends that the false belief f is “close enough to the truth” to give one knowledge that p. Applied to the case at hand, F is the false proposition that my secretary told me on Friday that I have an appointment on Monday, and T is the true proposition that my secretary told me that I have an appointment on Monday. Klein contends that my belief that F meets all the conditions for being a beneficial falsehood: (i) F is false, (ii) my belief that F is doxastically justified (appropriately caused) by the fact that he did tell me, (iii) my belief that F is essential to my believing that A (for if I didn’t believe F, I would not believe he had told me about an appointment at all and so I would not believe A), (iv) F propositionally justifies A, (v) F entails the true proposition T, (vi) T propositionally justifies A, and (vii) the fact that my secretary told me on Thursday about my Monday appointment propositionally justifies T for me.

Klein contends that, in the case at hand, it doesn’t really matter what day my secretary told me that I have an appointment on Monday. What matters is the fact that he told me. The false belief that he told me on Friday is close enough to the true proposition that he told me as to give me knowledge that I have an appointment on Monday.

While interesting and provocative, Klein’s case is difficult to assess because it depends on controversial assumptions about belief individuation. Is it possible, for example, to believe that my secretary told me on Friday that I have an appointment on Monday [F], without also believing that my secretary told me that I have an appointment on Monday [T]? If not, then rather than providing us with a case of an indispensable knowledge-generating false belief, Klein may have simply given us another case of justificatory over-determination; for if it is impossible to believe F without also believing T, then there seem to be two independent strands of justification only one of which depends on a false belief, in which case Appointment is simply an analogue of Café above.

ii. Misleading Evidence One Does Not Possess

Gilbert Harman (1973) contends that S’s knowledge that p can be undermined by readily available misleading evidence that S does not possess. In Harman cases, despite the fact that the undermining evidence is misleading, if S were to possess it, S would no longer be justified in believing that p. The idea behind Harman cases seems to be this: Since the misleading evidence is readily available, it is just a matter of luck that S does not possess that evidence, and since luck is incompatible with knowledge, S fails to know that p. Here is one of Harman’s cases:

Assassination

A political leader is assassinated. His associates, fearing a coup, decide to pretend that the bullet hit someone else. On Nationwide television they announce that an assassination attempt has failed to kill the leader but has killed a secret service man by mistake. However, before the announcement is made, an enterprising reporter on the scene telephones the real story to his newspaper, which has included the story in its final edition. Jill buys a copy of that paper, reads the story of the assassination, and believes that the President has been assassinated based on the story. What she reads is true, and so are her assumptions about how the story came to be in the paper. (1973, 143)

Harman insists that Jill does not know that the President has been assassinated. He finds it highly implausible that Jill should know simply because she lacks evidence that everyone else possesses. Harman’s diagnosis is that Jill’s knowledge is undermined by readily available evidence – the misleading televised retraction – that she does not possess.

Epistemologists who have reflected on Harman’s Assassination case remain divided over whether or not Jill knows that the President has been assassinated. Those who think that she does know that the President has been assassinated tend to focus on the facts that (i) all of her evidence is true, (ii) she knows her evidence is true, and (iii) the evidence she has is an accurate indicator of the President’s assassination.

Those epistemologists who think that Jill does not know that the President has been assassinated do not focus on the quality of Jill’s evidence, which is impeccable. Rather, they focus on the lucky nature of her evidence. If Jill had turned on the TV when she got home, like she usually does, she would have seen the televised retraction, and she would have found herself in the same epistemic predicament as everyone else. Given the conflicting reports, she would not have known what to believe. Clearly, Jill is lucky to be in the evidential situation she is in. Since luck is generally thought to be incompatible with knowledge, these epistemologists conclude that Jill fails to know that the President has been assassinated.

iii. Impact of These Cases

Controversial cases like these make the challenge of providing an accurate analysis of knowledge even more difficult. If Jill does know that the President has been assassinated, then all those theories of knowledge that imply that she lacks such knowledge (including Harman’s own theory) are mistaken. On the other hand, if Jill does not know that the President has been assassinated, then all those theories that imply she does are mistaken. Similarly, if I do not know that I have an appointment on Monday, then all those theories that imply I do (including Klein’s theory) are mistaken. If I do know that I have an appointment on Monday, then all those theories that imply I lack such knowledge are mistaken. The competing intuitions these cases engender make the already difficult task of arriving at a mutually agreed upon account of knowledge even more formidable.

f. Where Things Stand

While various proponents of the above proposals might still embrace them, the general consensus is that none of the above attempts at eliminating epistemic luck succeeds. One problem with these first attempts at resolving the Gettier problem is that they tended to emerge in a piecemeal fashion as responses to specific counterexamples, only to fall prey to more elaborate counterexamples themselves. What seems to be needed is a better understanding of epistemic luck itself. If we can get clear on the exact nature of knowledge-destroying luck, we might be in a better position to formulate a condition that can eliminate it. The next section will examine a number of attempts at clarifying the nature of knowledge-destroying luck and will assess several modal conditions that have been proposed to eliminate such luck.

2. The Paradox of Epistemic Luck

In addition to generating problems for those epistemologists seeking an analysis of knowledge, the phenomenon of epistemic luck gives rise to an epistemological paradox in its own right. The paradox is generated by the following three theses: the knowledge thesis, the incompatibility thesis, and the ubiquity thesis. The paradox arises because each of these theses is antecedently plausible, but together they form an inconsistent triad. Each thesis is discussed below.

a. The Knowledge Thesis

According to the knowledge thesis, we possess a great deal of knowledge about the world around us. Commonsense tells us that the knowledge thesis is true. For example, I know that I am in a coffee shop. I know that I am drinking a cup of coffee. I know that I am wearing a blue shirt. I know that I am typing on a laptop computer. And I know that the person sitting next to me is talking on his cell phone at an inappropriate volume. You know that you have eyes. You know that you are reading an IEP article on epistemic luck. You know that the article you are reading is written in English. Together, we know a lot. At least, we think we do, until we encounter a skeptical paradox like the paradox of epistemic luck.

b. The Incompatibility Thesis (Again)

The incompatibility thesis is the thesis that epistemic luck simpliciter is incompatible with knowledge. As noted above, there has been nearly universal agreement among epistemologists that knowledge is incompatible with epistemic luck. The post-Gettier literature is replete with evermore-sophisticated counterexamples to the array of purported accounts of knowledge proffered in an effort to resolve the Gettier problem. The standard formula for generating a counterexample to a purported analysis of knowledge is to conjure up a case where, despite satisfying all the conditions in the analysis, it is still just a matter of luck that the person’s belief that p is true. The element of luck involved is ipso facto thought to prevent the belief from being an instance of knowledge. The nearly unanimous acceptance of such examples illustrates just how widespread commitment to the incompatibility thesis is.

c. The Ubiquity Thesis

Epistemic luck is an all-pervasive phenomenon that infects every fallibilistic epistemology in one form or other. Its inescapability can be demonstrated as follows: To convert true belief to knowledge, every viable fallibilistic epistemology requires satisfying either some internalistic justification condition or some externalistic condition (that may or may not be a justification condition). But neither an internalistic nor an externalistic condition can completely succeed in eliminating epistemic luck. A little recognized consequence of the new evil demon problem is that internalistic justification is not conceptually connected to truth in any robust way, for demon-world victims have internalistically justified beliefs almost all of which are false. Given the absence of a robust truth connection, it is always in some sense a matter of luck when a merely internalistically justified belief turns out to be true. To see why, consider my twin in an evil demon world WD. By hypothesis, he has the same beliefs that I have, he has the same memorial seemings that I have, he possesses the same experiential evidence that I possess, and he goes through exactly the same internal reflections that I do. In short, our internal cognitive lives are phenomenologically, doxastically, and reflectively indistinguishable. Consequently, if I satisfy the internal conditions for justifiedness (whatever they may be), then my demon-world twin satisfies them as well, and so, we are both internalistically justified in our beliefs. If, on the other hand, I fail to satisfy those conditions, then my twin also fails to satisfy them, and so neither of us is internalistically justified in our beliefs. Now assume the former scenario where both of us are internalistically justified in our beliefs. The only relevant difference between my twin and me is that he is being systematically deceived, whereas, as epistemic good fortune would have it, I am not. If he and I were to change places, there would be no introspectable difference, and each of us would continue to believe as we do, only now I would be the hapless victim of demon deception. Clearly, I am epistemically fortunate to be in the world I am in (assuming I am in the world I take myself to be in) and not in WD. Since I am lucky to be in the world I am in, there is a clear sense in which it is epistemically lucky that my internalistically justified beliefs are true. My twin is not nearly so lucky, for, thanks to the demon, all of his internalistically justified beliefs are false. Since these results can be generated no matter which internalistic theory of justification one employs, it is always a matter of luck when a merely internalistically justified belief happens to be true.

Truth-connected externalist approaches (for example, reliabilist, truth-tracking, and safety-based accounts) avoid this kind of epistemic luck. However, they are subject to another kind of ineliminable epistemic luck. Recall, from section 1, the externalistic process-reliabilist account of epistemic justification:

(PR)     S’s belief b is justified in world W if and only if S’s belief b is produced by a belief-forming cognitive process that is W-reliable.

Call a belief that is justified in virtue of being reliably produced a PR-justified belief. Although it is not typically a matter of luck when a PR-justified belief turns out to be true (since PR-justification is conceptually connected to truth), it is a matter of luck when a belief turns out to be PR-justified. To see why, consider, once again, my twin in the demon world WD. By hypothesis, he and I share the same beliefs, possess the same evidence, go through the same internal reflections, and have phenomenologically, doxastically, and reflectively indistinguishable cognitive lives. Even so, our beliefs do not have the same PR-justificatory status. His beliefs are not PR-justified, because they are produced by processes that the demon has rendered unreliable in WD, whereas my beliefs are PR-justified because they are produced by processes that are reliable in the actual world (Again, I’m assuming, for the sake of the example, that the actual world is the world we think it is.). According to PR, it is not a matter of luck that my beliefs are true and his beliefs are false, because my beliefs are PR-justified and his are not, and PR-justified beliefs have a high objective probability of being true. What is a matter of luck is the fact that my beliefs are PR-justified and his are not. After all, we both take ourselves to be in non-demon-manipulated worlds, and we both take ourselves to have reliably-produced PR-justified beliefs. As luck and ill luck, respectively, would have it, I am correct and he is incorrect. Since there is no introspectively discernible difference between our worlds, given what each of us has to go on, there is a clear sense in which I could have just as easily been mistaken and been the one with demon-rendered-unreliable processes. Compared to my twin, I am epistemically fortunate to be in a non-demon world where my cognitive faculties are reliable. Since I am epistemically lucky (compared with my twin) to be in a world where I have reliable cognitive processes, there is clearly a sense in which it is just a matter of luck that I have PR-justified beliefs.

Analogous considerations can be applied to any externalistic constraint on knowledge. Consider the externalistic condition of being a safe belief (to be explained below). While a safe belief’s being true is not epistemically lucky, having safe beliefs is epistemically lucky, for in a demon world none of one’s beliefs are safe. Since every fallibilistic epistemology incorporates either an internalistic justification condition or an externalistic condition, no fallibilistic epistemology can rid us of epistemic luck’s intractable presence.

d. The Skeptical Challenge

Epistemic luck, then, is ubiquitous and unavoidable. If all forms of epistemic luck are incompatible with knowledge, as the incompatibility thesis maintains, skepticism is correct and the knowledge thesis is false. And yet, we remain convinced that we possess lots of knowledge. The task facing the anti-skeptical epistemologist is to reconcile the rather strong intuition that epistemic luck is not compatible with knowledge with the equally evident observation that it must be. Since the ubiquity thesis is unassailable, the anti-skeptical epistemologist must reject the incompatibility thesis.

e. Rejecting the Incompatibility Thesis

Peter Unger (1968) was the first epistemologist to note that not all forms of epistemic luck are incompatible with knowledge. He identified the following three types of benign epistemic luck: (1) Propositional luck: It can be entirely accidental that p is true, and S can still know that p. For example, a person who witnesses an automobile accident can certainly know that the accident occurred. (2) Existential luck: For S to know that p, S must exist, and it might be extraordinarily lucky that S exists. If S is the lone survivor of a fiery plane crash, S is lucky to be alive, but S’s existential luck does not preclude her from knowing that she survived the crash. (3) Facultative luck: To know that p, S must possess the cognitive skills requisite for knowledge. Suppose S is shot in the head but the bullet narrowly misses all vital regions of the brain required for conceptual thought and knowledge. S is overwhelmingly lucky that she still possesses the cognitive capacities needed for knowledge, but since she does possess them, she is still capable of knowing many things, including that she was shot in the head.

f. Knowledge-Destroying Epistemic Luck

Unger has successfully identified three types of harmless epistemic luck, but not all forms of epistemic luck are benign. What is needed is an account of knowledge-undermining luck.

i. Evidential vs. Veritic Luck

Mylan Engel Jr. (1992) distinguishes two kinds of epistemic luck, evidential luck and veritic luck, and argues that only the latter is incompatible with knowledge. Engel characterizes these two types of luck as follows:

(EL)     A person S is evidentially lucky in believing that p in circumstances C if and only if it is just a matter of luck that S has the evidence e for p that she does, but given her evidence e, it is not a matter of luck that her belief that p is true in C.

(VL)    A person S is veritically lucky in believing that p in circumstances C if and only if, given S’s evidence for p, it is just a matter of luck that S’s belief that p is true in C.

To see that evidential luck is compatible with knowledge, suppose that a bank robber’s mask slips momentarily during a holdup and the startled teller sees clearly that the robber is the bank president. In such a situation, the teller would clearly be lucky to have the evidence she does, but she would nevertheless know that the bank president is the villain.

Engel argues that all genuine Gettier cases involve veritic luck. In Gettier’s Case II presented above, Smith’s belief that J or B is veritically lucky: Given Smith’s misleading evidence of Jones’s Ford-ownership status and her total lack of evidence concerning Brown’s whereabouts, it is just a matter of luck that Smith’s belief that J or B is true. Veritic luck with respect to p is incompatible with knowing that p, because it undercuts the connection between S’s evidence for p and the truth of p in a way that makes it entirely coincidental from S’s point of view that p is true.

Engel then uses the distinction between evidential and veritic luck to assess Harman cases. Jill is not veritically lucky in believing that the President has been assassinated, for she has accurate, reliable evidence concerning the assassination in the form of a reputable newspaper’s column, and given this evidence, it is not a matter of luck that her belief is true. However, Jill is evidentially lucky—she is lucky to be in the evidential situation that she is in, for had she turned on the TV and seen the fabricated retraction, she would have been in a much worse evidential situation vis-à-vis the President’s assassination. Lucky for her, she did not turn on the TV Like the bank teller above, Jill is lucky to have the evidence she does, but given her evidence, she is not lucky that her belief is true. Having argued that only veritic luck is incompatible with knowledge, Engel concludes that Jill does know the President has been assassinated. If Engel is right, then Harman cases do not provide examples of knowledge-undermining luck.

ii. Justification-Oriented Luck

Hamid Vahid (2001) maintains that there are two types of knowledge-destroying epistemic luck. He agrees with Engel that veritic luck as characterized by VL is incompatible with knowledge, but he argues, contra Engel, that there is a kind of evidential luck (which he dubs ‘justification-oriented luck’) that is also incompatible with knowledge. Vahid contends that knowledge-precluding justification-oriented luck is a function of how easily a person’s belief could have been unjustified:

(JL)      A person suffers from knowledge-precluding justification-oriented luck, when she is justified in believing that p, but given her epistemic circumstances, she could have easily been unjustified in holding that very belief.

Vahid contends that Harman’s Assassination case provides an example of knowledge-precluding justification-oriented luck. Jill could have easily been unjustified in believing that the President was assassinated. Had she turned on the TV like she usually does, she would not have been justified in holding that belief. Vahid concludes that Jill does not know that the President was assassinated—her knowledge is destroyed by justification-oriented luck.

While JL might yield the right result in Harman’s Assassination case, it seems to yield the wrong result with respect to the bank teller case. The teller is justified in believing that the bank president is the robber because she just happened to look up during the brief moment when his mask had slipped and clearly saw the robber’s face, but she could have easily been unjustified in this belief. Had she continued to look in her cash drawer while nervously collecting the cash for the robber, she would not have seen the robber’s face. Clearly, the teller knows that the bank president is the robber, and yet, JL implies that she lacks such knowledge.

iii. Modal Veritic Luck

Duncan Pritchard (2003) agrees that, of these types of luck, only veritic luck is incompatible with knowledge, but he replaces Engel’s evidence-based characterization of veritic luck with the following modal analysis:

(MVL)  For all agents S and propositions p, the truth of S’s belief that p is veritically lucky if and only if S’s belief that p is true in the actual world a but false in nearly all nearby possible worlds in which S forms the belief in the same manner as in a.

MVL differs from VL in the following way: it concerns the connection between the method of belief formation and proposition believed, rather than the connection between S’s evidence and the proposition for which it is evidence. Pritchard argues that a safety-based neo-Moorean account, according to which knowledge is safe true belief, is capable of eliminating veritic luck. In a moment, we will see, contra Pritchard, that safe true belief is incapable of ruling out certain paradigm cases of veritic luck.

g. Second-Wave Anti-Luck Epistemologies

The post-Gettier literature is rife with attempts at supplementing or amending the traditional JTB-analysis with a satisfactory anti-luck constraint on knowledge. As surveyed in Section 1, the first wave of proposals included adding a no-false-grounds or no-essential-false-grounds condition to JTB, supplementing JTB with a defeasibility condition, incorporating an externalistic justification condition in JTB, and replacing JTB with a causal theory of knowing. These and similar proposals have fallen prey to ever-more-complicated Gettier-style examples. The general consensus is that none of these proposals succeeds. Second-wave luck-eliminating proposals invoke counterfactual or subjunctive constraints on knowing, principal among them: sensitivity and safety. Let us consider each of these proposals in turn.

i. Sensitivity

S’s belief that p is sensitive to p’s truth-value if and only if S would not believe that p if p were false (that is, if and only if S does not believe p in any of the closest ~p-worlds). To be sure, sensitive belief does preclude veritic luck, but it does so at a steep price. First, the sensitive-true-belief account of knowledge results in closure failure. Second, there are compelling reasons to think that knowledge does not require sensitivity. Let’s examine each cost in turn.

Most epistemologists regard it as all but axiomatic that we can expand our knowledge by competently deducing some currently unknown proposition u from some other known proposition k whenever we know that k entails u. This widely-embraced idea is codified in the principle of epistemic closure which has been formulated in each of the following ways:

(PEC1)   If S knows that p and S knows that p entails q, then S knows (or is in a position to know) that q.

(PEC2)   If (i) S knows that p, (ii) S knows that p entails q, (iii) S competently deduces q from her knowledge that p and that p entails q, and (iv) S comes to believe q as a result of that competent deduction, then S knows that q.

One reason the principle of epistemic closure has enjoyed such widespread endorsement is this: If I know that p and know that p entails q and I deduce and come to believe q from that knowledge, my belief that q could not be false (because knowledge is factive and the truth of p entails q, together with the truth of p, guarantees the truth of q).

The following example illustrates why sensitive-true-belief accounts of knowledge result in closure failure. I currently believe that I am in a coffee shop [C]. My belief that C is sensitive. If I were not in a coffee shop, I would not believe that I was, for if I were not in a coffee shop, I would be somewhere else, for example, the grocery store or my office, and would not mistakenly think that I was at a coffee shop. Since my belief that C is sensitive (that is, I would not believe it if it were false), the sensitive-true-belief account of knowledge entails that I know that C. I also currently believe that I am not at home in bed having a lifelike dream of being in a coffee shop [~H], but my belief that ~H is not sensitive, for if I were at home in bed having a lifelike dream of being in a coffee shop (that is, if ~H were false), I would still believe that ~H. So, according to the sensitive-true-belief account, I do not know that ~H. Of course, my being at the coffee shop entails that I am not at home in bed dreaming that I am in a coffee shop (that is, C ==> ~H), and I know that C ==> ~H. The sensitive-true-belief account results in closure failure because it entails that I know that C and know that C ==> ~H, but I do not know (and cannot come to know) that ~H on that basis.

Most epistemologists regard the principle of epistemic closure to be so plausible that they find any theory of knowledge that results in closure failure deeply problematic if not outright absurd. In fairness to sensitivity theorists, they recognize that their theories entail closure failure and acknowledge the antecedent implausibility of closure failure, but they argue that, despite its counterintuitiveness, there are principled reasons for thinking that knowledge is not closed under known implication. They grant that we have all sorts of ordinary knowledge, but insist that we do not know and cannot know that the skeptic’s hypotheses are false. Thus, they embrace closure failure because they think that it accurately captures our actual epistemic situation. Perhaps sensitivity theorists are right, but given how widely accepted the principle of epistemic closure is, it would be preferable to identify an anti-luck constraint that avoids closure failure.

The second major problem facing the sensitivity proposal, as Jonathan Vogel (1999) shows with Hole-In-One, is that knowledge does not require sensitivity. The fourth hole at Augusta National Golf Course where The Masters is played is a tricky 240-yard par 3, euphemistically called “Flowering Crabapple.” In 2007, not one player shot a hole-in-one on this diabolical hole, and there were only eleven birdies throughout four rounds of play. Right now, I know that not all seventy-two players in this year’s Masters will shoot a hole-in-one on Flowering Crabapple in the first round of play, but my belief to this effect is not sensitive. Were every golfer to shoot a hole-in-one on Flowering Crabapple in Round One of the Masters in defiance of the astronomical odds against it, I would still believe that they were not going to do so. So, sensitivity is not necessary for knowledge.

ii. Safety

Considerations such as these have led a number of epistemologists (Sosa 1999 & 2000, Williamson 2000a & 2000b, Pritchard 2005) to replace the sensitivity condition with some sort of safety condition. Safety comes in different strengths: S’s true belief that p is strongly safe if and only if were S to believe that p, p would be true (that is, in all the closest worlds where S believes p, p is true). S’s true belief that p is weakly safe if and only if S would not easily be mistaken with respect to p (that is, in the overwhelming majority of nearby worlds where S believes that p, p is true).

Peter Murphy (2005) employs Saul Kripke’s famous counterexample to sensitivity to show that strong safety results in closure failure. Suppose the following is true of Fake Barn County: The landscape is peppered with barn façades, there are a few real barns in the county, some of the real barns are red and some are blue, but all of the façades are red. Driving through Fake Barn County, Mary is unaware that the most of the barn-looking structures are façades. She looks at a blue barn and comes to believe that she is looking at a blue barn. Her belief is safe. In all nearby worlds where she believes she is looking at a blue barn, she is looking at a blue barn, for there are no blue façades. However, her belief that she is looking at a barn is not safe. There are many nearby worlds where she believes she’s looking at a barn, but is really just looking at a façade. So, strong safety entails that Mary knows she’s looking at a blue barn, but does not know she’s looking at a barn.

Weak safety is open to a different worry. If knowledge only requires weakly-safe justified true belief, then a person who justifiably believes her lottery ticket will lose knows that her ticket will lose (unless, of course, it happens to win), because in the overwhelming majority of nearby worlds, her ticket is a loser. Many epistemologists (though not all) insist that people do not know their lottery tickets will lose, prior to hearing the announced results. Anyone convinced that people do not know their tickets will lose, before learning of the results, will think that weak safety is too weak of an anti-luck constraint on knowledge.

Avram Hiller and Ram Neta (2007) convincingly argue that no safe belief condition can eliminate all cases of veritic luck as follows: Start with a justified-but-false-and-unsafe belief like Smith’s belief that Jones owns a Ford. Next, have Smith justifiably infer a disjunction of the form J or ~G, where Smith has no evidence whatsoever that ~G is true and where unbeknownst to Smith, ~G is true in all nearby worlds. Let ~G = Brown will not win a Grammy. Suppose that, unbeknownst to Smith, Brown is totally devoid of musical talent and there is no remotely close world where Brown wins a Grammy. Then, Smith’s true belief that J or ~G will be safe, but veritically lucky nonetheless, because given Smith’s evidence, it is just a matter of luck that J or ~G is true. Since the safe-true-belief account cannot rule out all cases of veritic luck, safe-true-belief is not sufficient for knowledge.

Hiller and Neta’s example also shows that Pritchard’s modal account of veritic luck [MVL] is not the correct analysis of veritic luck. Smith’s belief that J or ~G is clearly veritically lucky: Smith bases her belief that J or ~G on her justified-but-false-and-unsafe-belief that Jones owns a Ford. Since Smith has absolutely no knowledge or evidence of Brown’s total lack of musical talent, given Smith’s evidence, it is just a matter of luck that her belief that J or ~G is true. But MVL entails that Smith’s belief is not veritically lucky. According to MVL, a belief is veritically lucky if it is true in the actual world but false in nearly all nearby worlds where Smith forms the belief in the same manner. In Hiller and Neta’s case, Smith’s belief that J or ~G is true in the actual world, but it is also true in all nearby worlds where it is formed in the same way (because ~G is true in all nearby worlds). Thus, according to MVL, Smith’s belief that J or ~G is not veritically lucky. Since Smith’s belief is veritically lucky, the MVL analysis of veritic luck is mistaken.

h. Paradox Lost

The paradox of epistemic luck dissolves once we recognize that the incompatibility thesis is false. Not all forms of epistemic luck are incompatible with knowledge. Certainly propositional, existential, and facultative luck are compatible with knowledge, and at least some forms of evidential luck, like the evidential luck had by the bank teller above, are also compatible with knowledge. There is growing consensus that veritic luck is the principal form of knowledge-destroying luck. Since veritic luck is far from ubiquitous, the incompatibility of veritic luck with knowledge poses no general threat to the possibility of knowledge. One can know that p whenever it is not a matter of veritic luck that one’s justified belief that p is true.

3. Epistemic Luck and Knowing that One Knows

Although there remains broad disagreement over how exactly to formulate the condition needed to rule out knowledge-destroying epistemic luck in a theory of knowledge, there is widespread consensus that whatever the correct condition is, S does not need to know that that condition has been met in order to know that p. The point can be illustrated as follows: Let the expression “S is not Gettiered with respect to p” serve as a placeholder for whatever the correct substantive luck-eliminating condition is. If we add this condition to the traditional justified-true-belief analysis, we get the following schema for analyzing knowledge:

(K) S knows that p if and only if:

(i) p is true,

(ii) S believes that p,

(iii) S is justified in believing that p, and

(iv) S is not Gettiered with respect to p.

According to (K), S does not need to know that conditions (i)-(iv) are met in order to know that p. All that (K) requires for S to know that p is that conditions (i)-(iv) be met. Since S need not know or even believe that she is not Gettiered with respect to p in order to know that p, the possibility of Gettier-style, knowledge-destroying, veritic luck poses no special obstacle to first-order knowledge (where ‘first-order knowledge’ refers to knowing that p and ‘second-order knowledge’ refers to knowing that one knows that p). As long as S is not veritically lucky with respect to p, she will know that p, according to schema (K), provided she has a justified true belief that p.

The situation seems to be quite different when it comes to knowing that one knows, for one of the most natural ways of coming to know that one knows that p is by knowing that one has met the conditions required for knowing that p, and knowing the latter requires knowing that one is not Gettiered with respect to p. The burden of the present section is to examine whether the phenomenon of knowledge-destroying epistemic luck undermines more reflective forms of knowledge, such as, knowing that one knows.

a. Internalism, Epistemic Luck, and the Problem of Knowing that One Knows

Arch internalist H.A. Pritchard (1950) famously remarked: “We must recognize that whenever we know something we either do, or at least can, by reflecting, directly know that we are knowing it.” Other internalists have been less sanguine about the prospects of second-order knowledge. For example, Roderick Chisholm (1986) argues that one cannot generally know that one knows on the grounds that one cannot generally know whether or not one’s evidence for p is defeated by Gettier considerations. Is Chisholm right? Does the Gettier problem pose special—indeed, generally insurmountable—obstacles to internalistically knowing that one internalistically knows that p? Richard Feldman (1981) does not think so. He thinks that the Gettier problem poses a minor obstacle to second-order knowledge, but one that can be easily overcome with minimal intellectual effort. Mylan Engel Jr. (2000) disagrees. Siding with Chisholm, Engel argues that the Gettier problem poses three distinct challenges to second-order knowledge, which, when taken together, threaten to undermine the possibility of knowing that one knows. Michael Roth (1990) contends that the Gettier problem poses no threat to second-order knowledge whatsoever. To assess these competing views, it will be helpful to have a clearer idea of just what is required for internalistic knowledge.

Post-Gettier internalists with respect to knowledge tend to work within the JTB+ tradition in that they maintain that, in addition to true belief, knowledge requires internalistic justification as well as some fourth externalistic anti-luck condition to rule out Gettier cases. Accordingly, by replacing condition (iii) in schema (K) above with an explicitly internalistic justification condition, we arrive at a schema for internalistic knowledge that most internalists would readily embrace:

(Ki)      S internalistically knows (knowsi) that p if and only if:

(k1) p is true,

(k2) S believes that p,

(k3) S is internalistically justified (justifiedi) in believing that p, and

(k4) S is not Gettiered with respect to p.

Since (Ki) provides a perfectly general account of knowledgei, we can arrive at the conditions for second-order knowledgei simply by substituting S knowsi that p for p in schema (Ki):

(KiKi) S knowsi that S knowsi that p if and only if:

(kk1) S knowsi that p is true,

(kk2) S believes that S knowsi that p,

(kk3) S is justifiedi in believing that S knowsi that p, and

(kk4) S is not Gettiered with respect to S knowsi that p.

Chisholm doubts that (kk3) can be satisfied. To appreciate Chisholm’s worry, consider one of the most natural and straightforward ways of satisfying condition (kk3), namely, being justifiedi in believing that one has met all of the conditions required for knowingi that p:

(JiKip)    S is justifiedi­­ in believing that S knowsi that p if and only if:

(jk1) S is justifiedi­­ in believing that p,

(jk2) S is justifiedi­­ in believing that S believes that p,

(jk3) S is justifiedi­­ in believing that S is justifiedi in believing that p, and

(jk4) S is justifiedi­­ in believing that S is not Gettiered with respect to p.

Since (jk1) is identical to (k3), (jk1) is satisfied whenever S knowsi that p; and if we assume both doxastic and justificationali transparency (that is, if we assume that we have introspective access to what we believe and to our justificationi for what we believe), as do many internalists, then (jk2) and (jk3) also pose no special problems for the would-be second-order knower.

Chisholm’s concern is with (jk4). He contends that we cannot typically tell whether or not our evidence for p is defeated by Gettier considerations. Based on this contention, Chisholm argues as follows: Let S be any one of us and let p be a proposition that S knowsi. Since S cannot tell whether S’s evidence for p is defeated by Gettier considerations, S is not justifiedi in believing that S is not Gettiered with respect to p. Hence, (jk4) is not satisfied. Since (jk4) is not satisfied, S is not justifiedi­ in believing that S knowsi that p, that is, (kk3) is not satisfied. Since (kk3) is a necessary condition for knowingi that one knowsi that p, S does not knowi­ that S knowsi that p. The gist of Chisholm’s argument is this: Since we are not justifiedi in believing that we are not Gettiered with respect to p, we do not knowi that we knowi that p.

Feldman disagrees. He thinks that, with minimal effort, a person who knowsi that p can be justifiedi in believing that she is not Gettiered with respect to p. Feldman offers two reasons for thinking that it is relatively easy to be justifiedi in believing that one’s evidence for p is not defective and thus that one is not Gettiered with respect to p. Since Feldman is primarily concerned with determining when a person who knowsi that p knowsi that she knowsi that p, he assumes that S has first-order knowledgei that p when presenting his reasons.

No False Evidence

Assume that S knowsi that p. S’s knowingi that p entails that S is justifiedi in believing that p. Since S is justifiedi in believing that p, S is also justified­i­ in believing that all of her evidence for p is true. Since false evidence is usually what makes one’s evidence defective, S is justified in believing that her justificationi for p is not defective and thus that she is not Gettiered with respect to p.

Induction

Since S has very rarely found herself to be the victim of Gettier-type situations, she is justifiedi in believing that such situations are very rare and atypical. Given their rarity and atypicality, S is justifiedi in believing that she is not is such a situation with respect to p.

Feldman contends that No False Evidence and Induction provide S with good internalistic reasons for believing that she is not Gettiered with respect to p. Since internalistic justification is a function of having good internalistic reasons and S has good internalistic reasons for believing that she is not Gettiered with respect to p, S is justifiedi in believing that she is not Gettiered with respect to p, that is, (jk4) is satisfied. Since (jk1)-(jk3) are also easily satisfiable, with minimal intellectual effort, S can be justifiedi in believing that she knowsi that p. Feldman concludes that satisfying (kk3) poses no special obstacle to knowingi that one knowsi.

Engel contends that the Gettier problem generates three distinct challenges for the would-be second-order knower—challenges that threaten to undermine the satisfaction of (kk1), (kk3), and (kk4), respectively:

(1) First-order actual Gettierization: One way the Gettier problem can preclude S from knowingi that she knowsi that p is by preventing S from knowingi that p. If S is Gettiered with respect to p, then S fails to knowi that p, and thus, she fails to knowi that she knows that p, since (kk1) is unsatisfied. However, since first-order actual Gettierization precludes second-order knowledgei only when it obtains, it poses no greater threat to second-order knowledgei than it poses to first-order knowledgei.

(2) First-order possible (but non-actual) Gettierization: While actual first-order Gettierization, when it obtains, undermines second-order knowledgei by falsifying (kk1), possible (but non-actual) first-order Gettierization threatens to thwart one of the most natural ways of satisfying (kk3), namely, satisfying conditions (jk1)-(jk4) of JiKip. Like Chisholm, Engel’s concern here is with (jk4). He argues that the reasons Feldman offersNo False Evidence and Inductiondo not provide adequate reasons for thinking that one is not Gettiered with respect to p. No False Evidence is not a good reason to think that one has not been Gettiered with respect to p because, as noted in Section 1, there can be all-true-evidence Gettier cases, a point that Feldman himself demonstrated in an earlier article (Feldman, 1974). While No False Evidence may provide S with a reason for thinking that she is not the victim of a Gettier case involving a justified-false-belief, it provides her with no reason to think that she is not the victim of an all-true-evidence Gettier case. The problem with Induction is that many of the Gettier cases described in the literature are what we might call “invisible” Gettier cases, that is, they are cases such that, were they to obtain, the Gettier victim would never find out. They are cases that look and feel like knowledge and pass away unnoticed. Unless Pyromaniac Pete is wearing a Geiger counter, he will never discover that it was Q-radiation and not striking friction that caused his defective Sure Fire match to light. Unless John Lock interrogates Lucy Lock about her morning routine, he will likely never discover that she unlocked the doors to their house at 10:30 a.m. Unless Henry leaves the highway and investigates, he will likely never discover that most of the barn-looking structures are façades. Considerations such as these make it plausible to think that invisible Gettier cases are more likely to be the norm than visible Gettier cases. The fact that S has rarely found herself to be Gettiered in the past may provider her with a reason for thinking that visible Gettier cases are rare, but it provides her no reason to think that invisible Gettier cases are rare, and without such a reason, she is not justified­i in believing that she is not being (invisibly) Gettiered with respect to p. Engel concludes that it is much more difficult to be justifiedi in believing that one is not Gettiered with respect to p than Feldman alleges.

(3) Meta-Gettierization: Engel dubs second-order Gettierization “meta-Gettierization.” Just as first-order Gettierization occurs when S’s justification for p is defective in a way that makes S veritically lucky with respect to p, meta-Gettierization occurs when S’s justification for believing that S knowsi that p is defective in a way that makes S veritically lucky with respect to S knowsi that p. By way of illustration, Engel asks us to consider Professor Cleaver, a fictitious philosophy professor from the 1950s, who, as a pre-Gettier epistemologist, justifiably accepts the JTB-analysis of knowledge. Since Cleaver is justifiedi in believing that knowledgei is justifiedi true belief, he is justifiedi in believing that (jk1)-(jk3) are jointly sufficient for being justifiedi in believing that one knowsi that p. Since he is justifiedi in believing that (jk1)-(jk3) are jointly sufficient for being justifiedi in believing that one knowsi that p, he is justifiedi in believing that he knowsi that p provided that he is justifiedi in believing that he has justifiedi-true-belief that p. Let p be a proposition that Cleaver knowsi. If he believes that he knowsi that p, and if he is justifiedi in believing that he knowsi that p on the basis of his justifiedi-but-false-belief that knowledgei is justifiedi true belief, together with his justifiedi-true-belief that he has a justifiedi-true-belief that p, then Cleaver will have a justifiedi-true-belief that he knowsi that p, which falls short of knowledgei because his justificationi essentially depends on his justifiedi-but-false-belief that knowledgei is justifiedi true belief. The point generalizes. Anytime that Cleaver comes to believe that he knowsi that p on the basis of his justifiedi-but-false-belief that the JTB-analysis is correct, he will automatically be meta-Gettierized and will, thus, fail to knowi that he knowsi that p. Engel then argues that whether those of us who have grown up in the post-Gettier enlightenment can avoid Cleaver’s fate depends on whether any of us justifiedly­i believes a true epistemology. Since no epistemology to date is immune to objection, Engel thinks it doubtful that any of us holds a true epistemology (no matter how well justifiedi we might be in our preferred epistemology). Given how likely it is that we are operating with a false epistemology, Engel contends that whenever we come to believe that we knowi that p on the basis of our preferred epistemology, we are almost certain to become yet another meta-Gettier casualty, for we are almost certain to have based our belief that we ­­knowi that p on a justifiedi false belief about the requirements for knowledgei.

Roth contends that the debate over whether the Gettier problem poses a major or minor obstacle to second-order knowledgei is entirely misguided. He argues that Gettier considerations pose no obstacle to second-order knowledgei whatsoever. His argument is rooted in what he calls the Fallibilist Assumption Governing Empirical Knowledge:

(FA)    For every proposition of the form Kp (where p is empirical and K is the knowledge operator), there are certain contingencies such that: (i) their obtaining is physically possible, (ii) were they to obtain, Kp would be false, and (iii) S is completely justified in disregarding any of these contingencies in considering whether she has adequate justification for p.

Roth contends that there are two types of Kp-falsifying contingencies. “Type I contingencies” satisfy conditions (i), (ii), and (iii) of (FA). “Type II contingencies” satisfy conditions (i) and (ii), but not (iii). Roth asks us to imagine a great dividing wall – The Wall of Fallibilism – that separates the Type I contingencies from the Type II contingencies. As Roth envisions it, the Wall of Fallibilism plays an important role in protecting us from knowledge-destroying epistemic luck. If, given S’s evidence for p in circumstances C, it is simply a matter of luck that p is true in C, then S does not know that p in C. To ensure that it is not just a matter of veritic luck that S’s belief that p is true (in C), S must be suitably protected from error with respect to p (in C). According to Roth, the Wall protects us from the slings and arrows of outrageous Type I error possibilities by cordoning us off from these remote properly ignorable Kp-falsifying contingencies. We do not need evidence that these contingencies do not obtain in order to knowi that p. Being safely outside the Wall, we do not need to take them into account in our epistemic reflections at all. Their sheer remoteness and improbability protects us from having to worry about them. As long as they do not actually obtain, these contingencies provide no obstacle to knowledgei whatsoever. But the Wall does not provide us with all the protection from luck and error that we need in order to possess knowledgei. We must also be protected from error with respect to those Type II contingencies that are inside the Wall. These p-falsifying contingencies are genuinely in doubt. Were any of these contingencies to obtain, p would be false, and as a result, so too would Kp. To protect us from these realistic non-ignorable ~p-possibilities, we need justification that precludes them. The picture of fallible knowledgei that emerges is this:

S knowsi that p only if (i) S’s justificationi is strong enough to rule out all of the relevant Type II ~p-possibilities inside the Wall and (ii) none of the Type I contingencies outside the Wall obtain.

Roth thinks that the Wall metaphor explains why Gettier considerations pose no obstacle to second-order knowledgei­­. Gettier considerations are paradigm cases of Type I contingencies. We do not need to knowi or even believe that Type I contingencies do not obtain in order to knowi that p. As long as no Type I contingencies obtain, S will knowi that p provided she satisfies the other conditions required for knowingi that p. Like Type I contingencies generally, Gettier considerations only undermine knowledgei when they obtain. We do not need to knowi or even believe that no Gettier circumstances obtain in order to knowi that p. As long as they do not obtain, we will knowi that p provided we have met the other conditions required for knowingi that p. Since Gettier contingencies are outside the Wall, Roth contends that it is perfectly proper to ignore them when trying to determine whether one knowsi that p.

Roth’s reason for thinking that Gettier contingencies pose no obstacle to knowingi that one knowsi is that he thinks that Gettier possibilities are properly ignorable Type I contingencies that lie safely outside the Wall. The problem with Roth’s argument is that the Wall’s location is not fixed. As Roth himself admits, where the Wall is situated is relativized to a particular attempt to acquire knowledgei of a particular proposition. Which contingencies are outside the Wall and which are not, that is, which contingencies are properly ignorable and which are not, is a function of the proposition one is attempting to come to knowi and the circumstances under which one is trying to come to knowi it. While Gettier contingencies vis-à-vis p are clearly properly ignorable where coming to knowi that p is concerned, they are not properly-ignorable when it comes to knowingi that Kp. To the contrary, it seems that Kp-destroying Gettier contingencies are precisely the kind of contingencies that one needs to be able to rule out in order to know that one knows that p. Gettier contingencies are not p-falsifying contingencies (for p is true in Gettier situations), but they are Kp-falsifying contingencies. As such, they are Type I contingencies when it comes to knowingi that p, but Type II contingencies when it comes to knowingi that one knowsi that p. In effect, the Wall moves outward where second-order knowledgei is concerned. The very same Gettier contingencies that are outside the p-Wall are inside the Kp-Wall. Being inside the Kp-Wall, they are not properly ignorable when it comes to knowingi that Kp. To knowi that one knowsi that p, one must knowi that no Gettier Kp-falsifying contingencies obtain. It is precisely because we cannot generally knowi that no Gettier contingencies obtain that Chisholm and Engel contend that second-order knowledgei is difficult to attain.

b. Epistemic Luck and Reflective Knowledge

Even if veritic luck poses no special problem for reflectively knowing that one knows, Duncan Pritchard contends that another more worrisome kind of epistemic luck does preclude such knowledge. Reflective epistemic luck arises when, from the agent’s reflective position, it is just a matter of luck that her belief is true. More precisely:

MRL   For all S and p, the truth of S’s belief that p is reflectively lucky if and only if S’s belief that p is true in the actual world but, in nearly all nearby possible worlds consistent with what S is able to know by reflection alone, were S to believe p, p would be false.

When it comes to modal reflective luck, the epistemically relevant possible worlds are ordered in a non-standard way solely in terms of what the agent is able to know on the basis of her subjective internal reflections alone. Accordingly, any possible world consistent with S’s having that same internally accessible evidence that she has in the actual world will be reflectively equally close to the actual world. Since, by hypothesis, S would have exactly the same internally accessible evidence in a demon world or a BIV-world that she has in the actual world, these worlds are just as close, reflectively, to the actual world as is the world where everything is just as it seems. Since our ordinary commonsense perceptual beliefs are false in a wide variety of these reflectively equally close skeptical-scenario possible worlds, Pritchard maintains that MRL entails that our ordinary commonsense perceptual beliefsif true in the actual worldare reflectively lucky. [Whether MRL actually entails that all of our true commonsense perceptual beliefs are reflectively lucky is by no means obvious. The fact that our commonsense beliefs are false in malevolent demon and BIV worlds does not show that these beliefs are false in nearly all reflectively equally close possible worlds. After all, for every malevolent demon world where we are systematically deceived, there is a corresponding benevolent demon world that is just as close, reflectively, in which the benevolent demon sees to it that all of our commonsense beliefs are true.]

Pritchard thinks that reflective luck is not incompatible with ordinary knowledge (he thinks only veritic luck is), but he insists that reflective luck is incompatible with a much-desired internalistic kind of robust reflective knowledge. Pritchard contends that skeptical challenges force us to confront the fundamental human epistemic predicament, to wit, that we cannot know, on the basis of reflection alone, that the skeptic’s radical hypotheses are false. For example, he thinks that we cannot know, by reflection alone, that we are not bodiless brains being kept alive in vats of nutrient being deceived into thinking we have hands.

If Pritchard is right that we lack reflective knowledge that the skeptic’s hypotheses are false, then those who think that reflective knowledge is closed under known entailment face an even greater skeptical threat. According to the principle of epistemic closure (PEC1): If S knows that p and also knows that p entails q, then S either knows or is in a position to know that q. Since we know that having hands entails not being a deceived bodiless brain in a vat, if we cannot have reflective knowledge that we are not deceived bodiless brains in vats, then given PEC1, we cannot have reflective knowledge that we have hands. The point can, of course, be generalized. Since radical skeptical hypotheses are incompatible with virtually all of the ordinary propositions we routinely take ourselves to know, if we lack reflective knowledge that radical skeptical hypotheses are false, then we lack reflective knowledge of the most mundane of ordinary propositions.

Pritchard contends that skeptical challenges force us to recognize the reflectively lucky nature of our anti-skeptical beliefs and that this, in turn, explains the enduring epistemic angst that skeptical hypotheses engender. Pritchard argues that the ineliminability of reflective luck shows that we not only lack reflective knowledge that the skeptic’s hypotheses are false, we also lack reflective knowledge that our ordinary commonsense beliefs are true. If Pritchard is right, we may, indeed, possess a great deal of ordinary knowledge, but the ineliminability of reflective luck will forever preclude us from reflectively being able to tell that we do.

4. Conclusion

Reflecting on the nature and scope of epistemic luck gives us deeper insight into the nature and scope of knowledge. Gettier cases demonstrate that fallible justification is not capable of ruling out all forms of knowledge-destroying epistemic luck and that thus knowledge requires more than justified true belief. Just what anti-luck condition must be added justified true belief to arrive at an adequate analysis of knowledge remains an open question.

Recognizing which forms of epistemic luck are incompatible with knowledge and which are not puts us one step closer to identifying the correct luck-eliminating condition. It is now generally acknowledged that veritic luck is incompatible with knowledge. Whether other forms of epistemic luck, such as, justification-oriented luck, are incompatible with knowledge is a question that deserves more attention. At a minimum, any adequate theory of knowledge must be capable of ruling out all cases of veritic luck and to date no theory has been able to do so.

The possibility of knowledge-destroying veritic luck poses no special skeptical threat where first-order knowledge is concerned. As long as a person is not veritically lucky with respect to p, she will know that p, provided she has met the other conditions required for knowledge. The situation appears to be different where second-order knowledge is concerned. While there is no consensus to date as to how serious an obstacle the Gettier problem poses for second-order knowledge, it poses enough of an obstacle to such knowledge to render implausible the once widely held KK-thesis according to which knowing entails knowing that one knows.

Veritic luck is not the only form of epistemic luck that threatens more reflective forms of knowledge. Reflective luck also threatens to undermine the possibility of reflectively knowing that one knows. Our apparent inability to know, on the basis of reflection alone, that the skeptic’s radical hypotheses are false, together with the principle of  epistemic closure, threatens to undermine the possibility of reflective knowledge altogether.

5. References and Further Reading

  • Chisholm, Roderick. 1986. “The Place of Epistemic Justification.” Philosophical Topics 14: 85-92.
    • Argues that one cannot generally know that one knows on the grounds that one cannot generally know whether or not one’s evidence for p is defeated by Gettier considerations.
  • Chisholm, Roderick. 1964. “The Ethics of Requirement.” American Philosophical Quarterly 1: 147-153.
    • Provides a No Defeaters response to the Gettier problem.
  • Clarke, Michael. 1963. “Knowledge and Grounds: A Comment on Mr. Gettier’s Paper.” Analysis XXIV: 46-48.
    • Argues that No False Grounds is mistaken since S can derive a justified true belief that p from a justified true belief that q and still fail to know that p because S’s grounds for q are false. Contends that knowledge is “fully grounded” justified true belief, where in order to be fully grounded, the chain of reasons leading up to S’s proximate grounds for p must itself contain no false grounds at any point in the chain.
  • Coffman, E.J. 2007. “Thinking about Luck.” Synthese 158: 385-398.
    • Defends a lack of control account of luck.
  • Dretske, Fred. 1971. “Conclusive Reasons.” Australasian Journal of Philosophy 49: 1-22.
    • Argues that in order to rule out knowledge-destroying luck, one’s reasons for p must be conclusive in the sense that one would not have had those reasons if p were false.
  • Engel Jr., Mylan. 2000. “Internalism, the Gettier Problem, and Metaepistemological Skepticism.” Grazer Philosophische Studien 60: 99-117.
    • Argues that the Gettier problem poses three distinct challenges to second-order knowledge which, when taken together, threaten to undermine the possibility of knowing that one knows.
  • Engel Jr., Mylan. 1992. “Is Epistemic Luck Compatible with Knowledge?” Southern Journal of Philosophy 30: 59-75.
    • Identifies veritic luck as the principal form of knowledge-destroying luck. Distinguishes veritic luck from evidential luck. Argues that, of these two types of luck, only veritic luck is incompatible with knowledge. Further argues that only externalist epistemologies are capable of ruling out veritic luck.
  • Feldman, Richard. 1981. “Fallibilism and Knowing that One Knows.” Philosophical Review XC: 266-282.
    • Defends the iterative KK-thesis. Argues that the Gettier problem poses a minor, but hardly insurmountable, obstacle to second-order knowledge.
  • Feldman, Richard. 1974. “An Alleged Defect in Gettier Counterexamples.” Australasian Journal of Philosophy 52: 68-69.
    • Provides a decisive example of an all-true-evidence Gettier case that shows that No False Grounds is too weak.
  • Fumerton, Richard. 1995. Metaepistemology and Skepticism. Lanham, MA: Rowman and Littlefield Publishers.
    • Argues that second-order knowledge is too easy on externalistic accounts of knowledge and that, therefore, such accounts fail to capture the kind of knowledge that interests us.
  • Gettier, Edmund. 1963. “Is Justified True Belief Knowledge?” Analysis 23: 121-3.
    • Demonstrates that justified true belief is not sufficient for knowledge. Highlights two paradigm examples of knowledge-destroying epistemic luck.
  • Greco, John. 2004. “A Different Sort of Contextualism. Erkenntnis 61: 383-400.
    • Defends a contextualist virtue epistemology. Offers a situationalist account of veritic luck, that is, an account tied to one’s epistemic situation rather than to one’s evidence: S is veritically lucky in believing that p if and only if, given S’s epistemic situation, it is just a matter of luck that S’s belief that p is true.
  • Greco, John. 2003. “Virtue and Luck, Epistemic and Otherwise.” Metaphilosophy 34: 353-366.
    • Defends a virtue theoretic solution to the Gettier problem. Argues that when S has a true belief that p because S believes out of intellectual virtue (that is, when S’s believing out of intellectual virtue is what accounts for her have a true belief that p rather than a false belief or no belief), then S’s true belief that p is not veritically lucky.
  • Goldman, Alvin. 1979. “What Is Justified Belief?” In Justification and Knowledge. Ed. George Pappas. Dordrecht, Holland: D. Reidel Publishing Company.
    • Develops and defends an externalistic, process reliabilist account of justified belief.
  • Goldman, Alvin. 1967. “A Causal Theory of Knowing.” The Journal of Philosophy 64: 355-372.
    • Attempts to solve the Gettier problem by replacing the traditional justification condition with a causal constraint requiring that one’s belief that p be caused by the fact that makes p true.
  • Harman, Gilbert. 1973. Thought. Princeton, NJ: Princeton University Press.
    • Presents three much-discussed examples intended to show that knowledge can be undermined by readily available misleading evidence that one does not possess. Defends a No Essential False Grounds response to the Gettier problem.
  • Harper, William. 1996. “Knowledge and Luck.” Southern Journal of Philosophy 34: 273-283.
    • Demonstrates that the Gettier problem plagues all fallibilistic theories of justification, both internalistic and externalistic alike. Argues that in addition to the traditional justification, truth, and belief conditions, an adequate analysis of knowledge must incorporate a “no luck” condition.
  • Heller, Mark. 1999. “The Proper Role for Contextualism in an Anti-Luck Epistemology.” Philosophical Perspectives, 13, Epistemology: 115-29.
    • Proposes a context-sensitive modal account of epistemic luck according to which ‘S’s belief that p is epistemically lucky’ is true if and only if there is at least one world (in a contextually-determined set of epistemically relevant worlds) where S’s belief that p is false. Defends a contextualist anti-luck epistemology which maintains that ‘S knows that p’ is true if and only if there is no world (in a contextually-determined set of epistemically relevant worlds) where S’s belief that p is false.
  • Hetherington, Stephen. 2005. “Gettier Problems.” Internet Encyclopedia of Philosophy.
    • Canvasses various purported solutions to the Gettier problem. Concludes with the contentious suggestion that justified true belief is sufficient for knowledge and that veritically-lucky justified true beliefs, like those in Gettier’s original examples, are actually cases of knowledge.
  • Hiller, Avram and Ram Neta. 2007. “Safety and Epistemic Luck.” Synthese 158: 303-13.
    • Demonstrates that safe true belief is not sufficient for knowledge by providing an example of a veritically lucky safe true belief that clearly falls short of knowledge.
  • Klein, Peter. 2008. “Useful False Beliefs.” In Epistemology: New Essays. Ed. Quentin Smith. Oxford: Oxford University Press.
    • Argues that there can be beneficial falsehoods—falsehoods essential to one’s justification—that nevertheless give one knowledge.
  • Klein, Peter. 1971. “A Proposed Definition of Propositional Knowledge.” Journal of Philosophy 68: 471-482.
    • Defends a No Defeaters solution to the Gettier problem.
  • Lackey, Jennifer. 2007. “Why We Don’t Deserve Credit for Everything We Know.” Synthese 158: 345-361.
    • Argues that knowledge is not credit-worthy true belief and that thus virtue theoretic accounts of knowledge are mistaken.
  • Lackey, Jennifer. 2006. “Pritchard’s Epistemic Luck.” The Philosophical Quarterly 56: 284-289.
    • Provides a counterexample to Pritchard’s modal account of luck.
  • Lehrer, Keith. 1990. Theory of Knowledge. Boulder, CO: Westview Press.
    • Defends a coherence theory of justification. Argues that knowledge is undefeated justified true acceptance.
  • Lehrer, Keith and Thomas Paxson Jr. 1969. “Knowledge: Undefeated Justified True Belief.” The Journal of Philosophy 66: 225-237.
    • Defends an alternative No Defeaters response to the Gettier problem. Introduces the Tom Grabit counterexample to the Chisholm/Klein account of defeaters.
  • Lycan, William. 1977. “Evidence One Does Not Possess.” Australasian Journal of Philosophy 55: 114-26.
    • Argues that misleading evidence one does not possess does not undermine one’s knowledge and that, thus, Harman Cases are actually cases of knowledge.
  • Murphy, Peter. 2005. “Closure Failure for Safety.” Philosophia 33: 331-34.
    • Adapts Kripke’s famous “blue barn” counterexample to Nozick’s analysis of knowledge to show that safe true belief accounts of knowledge also result in closure failure.
  • Myers, Robert G. and Kenneth Stern. 1973. “Knowledge without Paradox.” Journal of Philosophy 70: 147-160.
    • Argues that p can justify S in believing some other proposition q only if p is true and that, thus, Gettier’s original cases do not provide examples of justified true beliefs that fall short of knowledge.
  • Nozick, Robert. 1981. “Knowledge and Skepticism.” In Philosophical Explanations. Cambridge, MA: Harvard University Press.
    • Develops and defends a sensitivity-based subjunctive conditionals analysis of knowledge.
  • Plato: Theaetetus in Plato: Collected Dialogues. Eds. E. Hamilton and H. Cairns. Princeton, NJ: Princeton University Press, 1961.
  • Pritchard, Duncan. 2005. Epistemic Luck. Oxford: Oxford University Press.
    • Proposes a modal account of veritic luck. Argues that safety precludes veritic luck. Defends an externalist neo-Moorean safe true belief account of ordinary knowledge. Concedes to the skeptic that reflective luck is ineliminable and that such luck is incompatible with reflective knowledge.
  • Pritchard, Duncan. 2003. “Virtue Epistemology and Epistemic Luck.” Metaphilosophy 34: 106-30.
  • Pritchard, H.A. 1950. Knowledge and Perception. Oxford: The Clarendon Press.
  • Riggs, Wayne. 2007. “Why Epistemologists Are So Down on their Luck.” Synthese 158: 329-344.
    • Defends a lack of control account of luck. Argues that knowledge is credit-worthy true belief.
  • Roth, Michael. 1990. “The Wall and the Shield: K-K Reconsidered.” Philosophical Studies 59: 147-157.
    • Argues that the Gettier problem poses no obstacle to second-order knowledge on the grounds that Gettier-type contingencies lie safely outside the wall of fallibilism and can simply be ignored (unless they actually obtain).
  • Russell, Bertrand. 1912. The Problems of Philosophy. Oxford, England: Oxford University Press.
  • Skyrms, Brian. 1967. “The Explication of ‘X Knows that p’.” Journal of Philosophy 64: 373-389.
    • Provides one of the first cases of an all true evidence Gettier case.
  • Sosa, Ernest. 2007. A Virtue Epistemology: Apt Belief and Reflective Knowledge, Volume 1. Oxford, England: Oxford University Press.
    • Develops and defends a virtue epistemology which maintains that knowledge is reliably-produced safe true belief, the correctness of which is attributable to one’s epistemic competence. Argues that when the correctness of a reliably-produced safe belief is attributable to the proper exercise of an epistemic competence, then the resultant belief is not epistemically lucky.
  • Sosa, Ernest. 2000. “Skepticism and Contextualism.” Philosophical Issues, 10, Skepticism: 1-18.
    • Defends a non-contextualist safety-based Moorean response to the skeptical paradox.
  • Sosa, Ernest. 1999. “How to Defeat Opposition to Moore.” Philosophical Perspectives, 13, Epistemology: 141-54.
    • Develops a safety-based Moorean response to the skeptical paradox. Argues that such a response is preferable to skeptical, tracking, relevant-alternative, and contextualist accounts.
  • Steup, Matthias. 2006. “The Analysis of Knowledge.” Stanford Encyclopedia of Philosophy.
    • Discusses the necessary conditions for knowledge. Examines internalistic and externalistic analyses of knowledge.
  • Swain, Marshall. 1981. Reasons and Knowledge. Ithaca, NY: Cornell University Press.
  • Truncellito, David A. 2007. “Epistemology,” Internet Encyclopedia of Philosophy.
  • Unger, Peter. 1968. “An Analysis of Factual Knowledge.” Journal of Philosophy 65: 157-70.
    • Shows that various forms of epistemic luck – including propositional luck, existential luck, and facultative luck – are compatible with knowledge. Argues that knowledge is non-accidentally true belief.
  • Vahid, Hamid. 2001. “Knowledge and Varieties of Epistemic Luck.” Dialectica 55: 351-362.
    • Argues that truth-oriented veritic luck and justification-oriented luck are both incompatible with knowledge.
  • Vogel, Jonathan. 1999. “The New Relevant Alternatives Theory.” Philosophical Perspectives, 13, Epistemology: 155-80.
    • Uses Hole-in-One to argue that sensitivity is not necessary for knowledge.
  • Williamson, Timothy. 2000a. “Scepticism and Evidence.” Philosophy and Phenomenal Research 60: 613-28.
  • Williamson, Timothy. 2000b. Knowledge and Its Limits. Oxford, England: Oxford University Press.
  • Zagzebski, Linda. 1996. Virtues of the Mind. Cambridge, England: Cambridge University Press.
    • Characterizes Gettier-style knowledge-destroying luck as cases of “double luck” where epistemic bad luck is cancelled out by epistemic good luck. Argues that no fallibilist epistemology can rule out knowledge-destroying luck. Defends a virtue-based epistemology according to which knowledge is a state of cognitive contact with reality arising out of acts of intellectual virtue, and argues that this definition of knowledge is immune to the Gettier problem because truth is entailed by the other components of the definition.

 

Author Information

Mylan Engel Jr.
Email: mylan-engel@niu.edu
Northern Illinois University
U. S. A.

Edmund Husserl: Phenomenology of Embodiment

HusserlFor Husserl, the body is not an extended physical substance in contrast to a non-extended mind, but a lived “here” from which all “there’s” are “there”; a locus of distinctive sorts of sensations that can only be felt firsthand by the embodied experiencer concerned; and a coherent system of movement possibilities allowing us to experience every moment of our situated, practical-perceptual life as pointing to “more” than our current perspective affords. To identify such experiential structures of embodiment, however, Husserl must clarify and set aside not only the ways in which the natural sciences approach the body, but also the ways in which we have tacitly taken over natural-scientific assumptions into our everyday understanding of embodiment. Husserl’s phenomenological investigations eventually lead to the notion of kinaesthetic consciousness, which is not a consciousness “of” movement, but a consciousness or subjectivity that is itself characterized in terms of motility, that is, the very ability to move freely and responsively. In Husserl’s phenomenology of embodiment, then, the lived body is a lived center of experience, and both its movement capabilities and its distinctive register of sensations play a key role in his account of how we encounter other embodied agents in the shared space of a coherent and ever-explorable world. Many of Husserl’s findings were taken up by such later figures in the phenomenological tradition as Heidegger and Merleau-Ponty, who gave these findings an ontological interpretation. However, Husserl’s main focus is epistemological, and for him, lived embodiment is not only a means of practical action, but an essential part of the deep structure of all knowing.

Table of Contents

  1. Introduction
    1. Sources and Themes
    2. Terms and Concepts
  2. Naturalistic Presuppositions about the Body
  3. Embodied Personhood
  4. The Structure of Embodied Experience
    1. The Body as a Center of Orientation
    2. Distinctive Bodily Sensations
    3. Movement and the “I Can”
  5. Kinaesthetic Consciousness
    1. Systems of Kinaesthetic Capabilities
    2. Kinaesthetic Capabilities and Perceptual Appearances
    3. Kinaesthetic Experience and the Experience of Others
    4. Further Philosophical Issues
  6. Conclusion
  7. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Introduction

a. Sources and Themes

Edmund Husserl (1859–1938), the founder of phenomenology, addressed the body throughout his philosophical life, with much of the relevant material to be found in lecture courses, research manuscripts, and book-length texts not published during his lifetime. One of the most important texts—the second volume of his Ideas Pertaining to a Pure Phenomenology and to a Phenomenological Philosophy, subtitled Studies in the Phenomenology of Constitution and usually referred to as Ideas 2—was particularly influential. Heidegger, for example, had access to it in manuscript before writing his own major work, Being and Time (1927), and Merleau-Ponty consulted it while working on his Phenomenology of Perception (1945); indeed, Ideas 2 first became generally known on the basis of Merleau-Ponty’s references to it in Phenomenology of Perception. It has long been known that the text posthumously published in 1952 as Ideas 2 had been shaped by not one, but two editors, Edith Stein and Ludwig Landgrebe (each of whom worked on the text while serving as Husserl’s assistant). But more recent scholarship by Sawicki (1997) suggests that Edith Stein (1891–1942) should be seen as the guiding architect of the work, which she attempted to recast in terms of her own philosophical commitments so as to “correct” what she saw as problems and shortcomings in Husserl’s original 1912 draft. This may be why the text as we currently have it is marked by certain gaps and tensions. In fact, no faithful account of this seminal work will be possible until a new edition is published, fully disentangling Husserl’s own train of thought from Stein’s argument. The present article is therefore based on texts from all periods, and the copious amount of relevant material has been organized in terms of four main tasks of a Husserlian phenomenology of embodiment: bringing naturalistic presuppositions about the body to light; setting aside the naturalized body in favor of embodied personhood; offering phenomenological descriptions of the structure of embodied experience; and demonstrating that transcendental (inter)subjectivity itself must be thought as kinaesthetic consciousness. Before turning to these themes, however, let us pause for a brief overview of some of the key Husserlian terms and concepts used in this article.

b. Terms and Concepts

Husserlian phenomenology stands in opposition to naturalism, for which material nature is simply a given and conscious life itself is part of nature, to be approached with natural-scientific methods oriented toward empirical facts and causal explanations. In contrast, phenomenology turns directly to the evidence of lived experience—of first-person subjective life—in order to provide descriptions of experiencing and of objects as experienced, rather than causal explanations. For Husserl, these descriptions are to be eidetic (or “essential”) insofar as what is being described is not a specific set of empirical facts considered for their own sake, but invariants governing a certain range of facts—for instance, structural patterns that must obtain for something to be an object of a certain type at all, or eidetically necessary laws such as “any conceivable color has some extension.” Husserl’s investigations of essential structures of conscious life and experience further focus on consciousness as transcendental rather than mundane, which means that consciousness is taken not as a part of the world, but as the constitutive presupposition for experiencing any world whatsoever.

Husserl’s technical term constitution takes on many nuances as his work develops. But all constitutive phenomenology is concerned with the correlation between “experiencing” and “that which is experienced”—for example, between perceiving and the perceived, remembering and the remembered, and so on. This “universal a priori of correlation” (Husserliana 6, §46) encompasses not only conscious performances actively carried out by the I (for instance, a judging whose correlate is the corresponding judgment), but also deeper strata of subjective experience that often remain unnoticed in everyday life. They can, however, be brought to light by reflecting on the structure of the type of experience concerned. For example, that only one side of the perceptual object actually appears to me at any given moment has its subjective correlate in the situatedness of embodied experience, so that any spatial thing is always seen from a particular standpoint; at the same time, that I am currently seeing “this side” of the object has its subjective correlate in my capability for movement, since I am able in principle to move in such a way as to bring “other sides” into view. In short, Husserl does not presuppose a subject-object split, but operates with a subject-object correlation—a correlation he works out in detail for almost every sphere and stratum of experience.

Moreover, as the examples indicate, a Husserlian approach to consciousness or subjectivity is not restricted to the realm of the mental as traditionally understood; instead, the phenomenological notion of embodied experience offers an alternative to mind-body dualism. And Husserl’s investigations ultimately embrace not only the achievements and correlates of constituting subjectivity, but also those of intersubjectivity, that is, of the “we” rather than solely the “I.”

Finally, a general feature of Husserl’s terminology must also be mentioned: he frequently takes over words used differently in other contexts and expects the reader to understand these words not in terms of linguistic definitions set forth in advance, but in light of their referents—the experiential features or nuances that he is describing. Thus the Husserlian tradition is not merely a tradition of texts to comment upon or argue against, but a permanent possibility of checking descriptive claims against the touchstone of the appropriate experiential evidence so as to confirm or correct such claims. Bearing this in mind, let us now return to the four main moves accomplished by a Husserlian phenomenology of embodiment: criticizing naturalistic presuppositions about the body; thematizing embodied personhood; describing the structure of embodied experience; and investigating kinaesthetic consciousness.

2. Naturalistic Presuppositions about the Body

Summary: Husserl criticizes the assumption that the body is a psychophysical entity, in order to make “the body as directly experienced by the embodied experiencer concerned” a theme for phenomenological investigation.

Let us begin by sketching Husserl’s response to the philosophical and scientific tradition in which he found himself—and in particular to the naturalism of the positivistic natural sciences, which he addresses through a critique of its presuppositions. He is specifically concerned to demonstrate how a natural-scientific tradition that has inherited a Cartesian dualism of substances (res extensa/res cogitans), and is committed to mathematization as the measure of truth, deals with the “mental” by approaching the “psyche” in terms of the “psychophysical”: it is only by taking intangible minds as localizable in tangible living bodies that natural science can bring the “mental” side of the inherited dualism into the realm of real-spatial causality, and thus into the domain of calculability, prediction, and control. Rather than automatically accepting these assumptions, Husserl brings them to light; traces their historical development; establishes the limits of their legitimacy; and offers an alternative account of “consciousness” or “subjectivity,” an account that relies on rigorous philosophical methods and on a radical turn to the evidence of lived experience, rather than on the assumptions and methods of natural-scientific cognition.

But in the course of carrying out these larger tasks, Husserl highlights a major presupposition concerning embodiment. The received tradition, with its tendency to think in terms of the “psychophysical” (even when one is not actively carrying out psychophysical investigations or making specifically psychophysical claims), not only attempts to tie the “mind” to a material “body,” but is already operating under a more basic assumption—namely, that this body can itself be taken as a physical body (Körper) like any other spatial thing, albeit a thing with certain distinctive sorts of characteristics. For even if “organisms” are the province of special natural sciences (for example, anatomy and physiology) having to do with living rather than non-living things, it is still taken for granted that like “inanimate” objects, the “animate” ones too belong to the realm of real, spatially extended entities to be explained in terms of causal laws. Yet such a presupposition completely ignores what is essential to the body as a lived body (Leib)—as my body, someone’s body, experienced in a unique way by the embodied experiencer concerned. In other words, what is missing in naturalism is the body of embodiment, which must not be taken physically, but as directly experienced from within.

Here Husserl is not challenging the right of scientific practice to approach living bodies in causal terms; in Ideas 3 (originally written in 1912, but not published until 1952), he even proposes a new science—somatology—that would incorporate both physiological investigation of the material properties of the body as a living organism and experiential investigation of firsthand, first-person somatic perception (for example, of sensing tactile contact). But he does indeed insist on clarifying the presuppositions governing natural-scientific cognition, recognizing them for what they are and acknowledging their limits, so that, as he puts it in 1936 in §9h of The Crisis of European Sciences and Transcendental Phenomenology, we do not “take for true being what is actually a method.” Thus the historical fact that living bodies can be, and have been, approached with natural-scientific methods does not automatically allow us to relegate the body of embodiment to the res extensa side of Cartesian dualism. Instead, appropriate modes of inquiry must be developed to do justice to the body of direct experience.

Accordingly, Husserl not only provides a critique of the presupposition of the “psychophysical” (and of the lived body as a physical body), but opens up several further ways in which a phenomenology of embodiment can be pursued. In Ideas 1 (first published in 1913), he sets the body aside in order to reach the realm of “pure consciousness.” Commentators sometimes mistake this strategic move for Husserl’s “position,” and accuse him of postulating a disembodied, desituated consciousness. But the body that is set out of play here is merely the body that is assumed to be the “physical” half of the inherited dualism. Moreover, this is only the first step in the critique: Husserl is effectively suspending the tacit hegemony of the prevailing presupposition whereby it is automatically accepted, as a matter of course, that the body is a physical reality that is a part of nature—and setting this assumption out of play frees us to address the body and embodiment phenomenologically rather than naturalistically. After suspending the unquestioned validity of naturalistic presuppositions concerning the body, then, the next step is to retrieve the body of experience, and Husserl employs various pivotal distinctions in order to open up the experience of embodiment for phenomenological investigation.

3. Embodied Personhood

Summary: Husserl shows that embodied experience is geared into the world as a communal nexus of meaningful situations, expressive gestures, and practical activities.

One key distinction emphasized in Ideas 2 contrasts the “naturalistic” attitude, as the theoretical attitude within which natural science is practiced, with the “personalistic” attitude that characterizes personal and social experience in the world of everyday life—the “lifeworld” (Lebenswelt), the cultural world that is the province of the cultural or human sciences. Within the personalistic attitude, our intersubjective encounters are always experienced as embodied encounters, and our ongoing practical life is already an embodied one. Thus, for example, we greet one another with culturally specific gestures such as shaking hands; we communicate with others, responding to their facial expressions, gestures, and tones of voice; we use tools in practical, goal-directed actions; we rely on bodily capabilities and develop new skills that improve with practice or grow rusty with disuse; and so on. In other words, what we come upon are others embodying themselves in particular ways (serenely or impatiently, adroitly or clumsily, buoyantly or dragged down by pain or fatigue, and so forth): we immediately see embodied persons, not material objects animated by immaterial minds, and the immediacy of this carnal intersubjectivity is the foundation of community and sociality (with culturally specific “normal” embodiment playing a privileged role as the measure from which the “anomalous” and the “abnormal” diverge). Similarly, we make immediate use of the bodily possibilities at our disposal, which serve as the “means whereby” we carry out our everyday activities, without having to appeal to psychophysical explanations: I simply reach for my cup, pick it up, and drink from it, without ever giving a thought to the neurophysiological processes that allow me to keep my balance as I reach, move the cup without spilling the liquid, and swallow without choking. And even if my abilities are compromised by illness or injury, the lived experience of “I can no longer do it” is qualitatively different from the physician’s causal explanations for my condition.

For the most part, Husserl himself provides passing examples, rather than extended analyses, of embodied experience in the personalistic attitude. Yet if we recall that his aim is not to carry out concrete cultural-scientific investigations but to clarify the philosophical bases of the cultural or human sciences, we can see that his critique of naturalistic presuppositions about the body both secures a theoretical foundation for work in such areas as nonverbal communication (as well as other sorts of studies of embodiment carried out within phenomenological psychology, phenomenological sociology, and so on), and anticipates more recent concerns with socially shaped patterns of embodiment (including, for example, issues of gendered embodiment, as contrasted with the biological “sex” of an individual—although even the medical assignment of sex at birth may display, in certain problematic cases, social/cultural assumptions and priorities).

Husserl’s discussions of the “personalistic” attitude in Ideas 2 are echoed in his extensive discussions of the lifeworld in the Crisis, and several further points concerning embodiment can be made in this connection. First of all, for Husserl, the “prescientific” world of experience is more basic than the “objective” world constituted as a correlate to scientific practice in the naturalistic attitude; for example, natural-scientific investigation of the body as an object presupposes a functioning bodily subjectivity on the part of each of the scientists concerned, for whom their own lived bodies tacitly serve as organs of perception, communication, and action, even while they are engaged in carrying out detailed research into, say, the neurophysiology of motor behavior. At the same time, however, scientific assumptions and constructs “flow back into” everyday lifeworldly language and experience, so that, for instance, I may refer to my own body in anatomical terms as a matter of course, or offer causal explanations (rather than experiential descriptions) of my own bodily condition, even in a casual conversation with a friend. Thus although there is a functional priority of the personalistic over the naturalistic attitude, the former is ongoingly shaped and reshaped by the historical acquisitions of the latter—as well as by its unnoticed philosophical presuppositions and its habitual abstractions. Moreover, despite their important differences, both the naturalistic attitude and the personalistic attitude fall within a more general attitude that Husserl terms the “natural attitude.” In the natural attitude, not only are we typically straightforwardly directed toward objects rather than reflecting on the structures of our own subjective experience, but entities such as “bodies” (whether these are taken as “psychophysical realities” or “embodied persons”) are given as ready-made realities within a pregiven world; even the experiencer for whom such entities are given is him/herself taken as one entity among others in the world. And the natural attitude is both all-pervasive and anonymous—it is so taken for granted that we are not even cognizant of it as an “attitude” at all. But when we do become aware of it, still further insights into embodied experience become possible.

4. The Structure of Embodied Experience

Summary: Husserl’s phenomenological investigations emphasize that the lived body functions as the central “here” from which spatial directions and distances are gauged; that it is the locus of distinctive sorts of directly felt sensations such as the experience of tactile contact; and that it is capable of self-movement, opening a rich range of practical possibilities.

Husserl’s approach to disclosing the natural attitude for what it is and suspending its wholesale, automatic efficacy is termed the phenomenological reduction, which leads us from the natural attitude of everyday life to the phenomenological attitude. Within the phenomenological attitude, we set aside questions framed in terms of an ultimate “being” or “reality” existing utterly in itself; instead, we make experiencing—and correlatively, phenomena, which means whatever is experienced, exactly as experienced—the focus of our investigations. For a phenomenology of embodiment, this means turning to the body of direct experience in a way that is even more radical than acknowledging everyday encounters with embodied persons in the personalistic attitude. Why is it more radical? It is because in everyday practical life, we are typically occupied with things and tasks, and ignore the bodily “means whereby” we perceive things and carry out our activities. Although the “anonymity” of this tacitly functioning, everyday body becomes a key theme in existential phenomenology of the body, Husserl too was well aware of it, and it was his groundbreaking research that initially retrieved this lived body and bodily experience from its anonymity.

a. The Body as a Center of Orientation

One mode of inquiry that Husserl uses in his descriptive investigations of the body of lived experience is eidetic phenomenology. The eidetic reduction—which is the shift whereby we enter the eidetic attitude—takes whatever it is that we are experiencing as but one “example of” a particular structure or possibility. (Although Husserl speaks of “essences” in this connection, his use of the term must be distinguished both from Platonic essences and from more recent concerns with “essentialism.”) Thus, for example, as I write these words, the carrots growing in my garden are to my left; later in the day, when I have moved to a different spot in the sun, the carrots will be to my right. But in each case, what I experience is not an empty, homogeneous, mathematical space; instead, I experience lived space as an oriented space whose directional axes—left/right, above/below, in front/behind—are gauged from my own lived body as the central “here” from which all there’s are “there” and from which things are relatively “near” or “far” (right now, the lettuce is “closer to me” than the carrots). One way to refer to this invariant structural feature of embodied experiencing (of which my current relation to the plants in my garden is but one of innumerable possible variations—each of us could contribute a different example, but they would all be examples “of” the same experiential structure) is to speak of the lived body as the “nullpoint of orientation.” But Husserl’s account is more nuanced than this. Although visual experience does indeed seem to proceed from a “point” somewhere in the head, behind the eyes (so that, for example, what you can see of your nose is “in front,” what you can see of your lower lid is “below,” and so on), Husserl also refers to the bodily “here” as a whole with such expressions as “null-position” and “null-posture,” so that the structure of the experiential “center” need not be point-like. And in exploring, say, the underside of my own chin and jaw with my hand, I may find that I am living in the touching hand as the functional center of orientation and experiencing what I am touching as being “above” this hand. Like all descriptive phenomenological claims, the latter claim—namely, that the functional center of orientation can vary from the central “point” from which vision proceeds—is an invitation to consult the relevant experiential evidence for yourself; is the example I have mentioned a possibility that you can actualize? Can you “find” it, experientially, immediately … or does this structure of experience only emerge after a while, or in a different way? Spiegelberg (1966/1986/2004), for example, explores further experiential variations concerning the lived location of the embodied “center” of experiencing, and more descriptive work on this theme (especially work carried out by phenomenologists of diverse cultural backgrounds) would be welcome.

b. Distinctive Bodily Sensations

However, the lived body is more than a tacit “zero,” an abiding “here” from which spatial dimensions of perception and action unfold; it is not an abstract or empty center, but a filled one, with its own familiar feel, for to be embodied is to experience certain sorts of sensations as “mine” in a unique way. In some passages, Husserl replaces the usual German term for sensations—Empfindungen—with a new term, “Empfindnisse” (translated as “feelings” or “sensings”). Such distinctive sensitivities may be collectively referred to as the “somaesthetic” dimension of experience, including, for example, sensations felt in our bodily depths as well as on our bodily surfaces, and encompassing many nuances beyond “pleasure” and “pain.” But one of Husserl’s most important examples is tactile contact: when you touch my body, you are touching me, and I feel it. Sometimes one and the same episode of touching can be experienced in a double way: I might, for example, be exploring a small sculpture with my fingers, intent on its contours, textures, variations in temperature, and so on, or I can continue to palpate the object, but shift to an experiential attitude focused on sensing myself in contact with it precisely here, in exactly this way—retrieving the “bodily” side of my embodied commerce with the thing. Or I myself can furnish both sides of the example, touching one hand with the other (an example of Husserl’s to which Merleau-Ponty accords great importance). Here it becomes clear not only that my own body can be given to me both as the organ and as the object of touch—both as the means whereby the activity of touching is carried out, and as the phenomenon I experience through this activity (for example, the contours and textures I can feel on the surface of my touched hand)—but also that the same touched hand that is the object explored by the touching hand is itself alive to this contact, feeling it subjectively, so that I am living in this hand too as “mine.” In this connection the term “lived” body may connote a certain “undergoing,” emphasizing “affectivity” (being affected) rather than “activity” (although both are important for Husserl, who routinely mentions them together in his later research manuscripts).

c. Movement and the “I Can”

Nevertheless, actions too are “mine” (albeit in a qualitatively different way than the immediate bodily feelings of contact, pleasure, pain, warmth, cold, and so forth, are). And along with the body’s role as the center of orientation and its unique somaesthetic sensations, Husserl also emphasizes bodily motility—the capability for self-movement per se—as an essential feature of embodiment. “Being able to move” is the foundation for any specific bodily “I do” and for what he typically terms the bodily “I can” (which can be experienced as such even without actually performing the movement concerned—for instance, one can find the lived consciousness, “I can nod my head,” without actually doing it, experiencing it instead as a practical possibility given in the sheer “I could”). The range of the “I can” is enriched when I cultivate my capabilities or learn new skills, although as I have already indicated, it may also be temporarily eroded or permanently truncated in cases of illness or injury, so that the “I can” becomes an “I cannot.” For Husserl, however, the lived experience of embodied motility goes far beyond movement that is actively initiated by the I: there are also movements such as breathing, which normally goes on without my active intervention, yet can indeed be deliberately altered to some extent. Husserl therefore speaks of all such bodily movement as pertaining to the I in a broad sense that encompasses, but also includes more than, the active, awake I. For example, habitual movement patterns such as playing a familiar piece on the piano can indeed proceed without my explicit, moment by moment direction, yet are still lived as “mine,” and although they may often remain marginal, they can also be informed with awareness—or with a kind of “active allowing,” as when I lend them my “fiat” and am consciously letting the movement unfold. Thus here motility is a broader concept than agency in the strict sense whereby an “agent” would be actively, explicitly involved in initiating and directing the action throughout.

5. Kinaesthetic Consciousness

 

Summary: Husserl describes the articulation of kinaesthetic capabilities into coordinated systems of specific movement possibilities; outlines the “if-then” structure through which actualizing certain kinaesthetic possibilities brings coherent fields of appearances to givenness; suggests how a different “if-then” structure—one linking the deployment of my own kinaesthetic capability with the bodily feel of the movement concerned—is implicated in coming to experience other moving bodies as other sentient beings “like me”; and addresses the tension between “embodiment” as an ongoing dynamic, subjective process and the “body” as one object among others in the world.

Husserl devotes considerable attention to the theme of motility, and sketching out some of this work in more detail will allow us to see how his descriptive phenomenological work on embodiment fits into the larger philosophical context of his constitutive phenomenology (recalling that here “constitution” ultimately refers to the correlations between that which is experienced and the relevant performances and achievements of “consciousness” or “subjectivity”). Here a distinction given terminological form by one of Husserl’s assistants, Ludwig Landgrebe (1902–1991), is particularly helpful: that between the body-as-constituted and the body-as-constituting. The body-as-constituted is the body as experienced, that is, it is “that which” is experienced in the experience; the body-as-constituting is the experiencing body “by means of which” something is experienced. And for Husserl, this embodied, experiencing subjectivity (the body-as-constituting) is above all a kinaesthetic consciousness (Claesges 1964)—not as a consciousness “of” movement, but as a consciousness or subjectivity capable of movement.

a. Systems of Kinaesthetic Capabilities

Thus Husserl’s recourse to “kinaestheses” does not refer to “sense data” (for example, sensations pertaining to muscles or joints) postulated as “ingredients” of perceptual experience (for instance, of my own limbs given to me as material objects moving in space), but to the sheer experience of the subjective capability for movement per se (including the “I could” already mentioned) and to its organization into kinaesthetic systems, each with its own (multidimensional) leeway of movement possibilities. For example, in visual perception, the movement of the eyes alone forms one system; head movement affords a second system; the possibilities of rotating one’s entire body on the spot counts as a third system; and locomotor movement (for instance, walking) adds yet another system. When I turn to the left to look for the bird in the birdbath, my eye, head, and torso movements are typically vectorially combined into one integrated gesture. Turning my head allows me to see farther to my left than if eye movements alone were involved, and turning my torso expands my view beyond what eye and head movements can offer together—but whatever combination of eye, head, and torso movements is swung into play when I hear the splash in the birdbath, “turning to the left” will eventually allow me to bring what initially appeared only at (or beyond) the left-hand periphery of the visual field into the center of the field. Kinaesthetic systems can also stand in for one another—if my arms are full, I may hold the door open with my hip or acknowledge a friend’s wave with a gesture of my head rather than my hand. In this way the interarticulated kinaesthetic systems work together as one total kinaesthetic system whose multifarious possibilities of coordination typically take on the more circumscribed form of a habitual repertoire of familiar movement possibilities and customary ways to move.

Even within this more limited leeway, however, motility is characterized by a certain essential freedom that can be contrasted with the physical motion of spatial objects. This by no means implies complete freedom in every case—once I jump off the diving board, it is too late to change my mind, and I am headed for the water, since—unlike a bird—I have no way to fly back up into the sky. But the lived motility in which kinaesthetic consciousness holds sway is more typically experienced as reversible: having turned my head to the left, I can turn it back to the right; having extended my hand, I can withdraw it; having gone in one direction, I can retrace my steps. Moreover, the lived movement can be not only reversed, but repeated, interrupted, and inhibited; for Husserl, even “holding still” is a dynamic event, since it involves ongoingly maintaining a certain kinaesthetic “constellation” or “situation.”

b. Kinaesthetic Capabilities and Perceptual Appearances

Such descriptions retrieve kinaesthetic functioning from its anonymity, but remain abstract as long as its constitutive role is not specified more precisely. For example, enacting certain kinaesthetic possibilities brings certain correlative perceptual appearances to givenness in a concordant, regulated, non-arbitrary manner. “From here” I can see “this side” of the house, but this side already promises more, a situation for which Husserl uses the technical terms “inner horizon” and “outer horizon.” The current appearance of this side points to an inner horizon of possible future perceptions in which this very same side would itself be more fully given—for instance, if I were to move closer, then it could be touched as well as seen, or what is currently seen indistinctly could be seen in more detail, and so on. But “this” side of the building also points to an outer horizon of possible future perceptions of other “sides,” as well as further features of the surroundings, including currently unseen sides of other objects in the background, and so on.

Here what is important is not merely that Husserl’s account of perception emphasizes a correlation between, on the one hand, an embodied perceiver functioning as a center of orientation and, on the other hand, the perspectivity that is the invariable mode of givenness of perceived things in space; rather, what is at stake is a coherent, explorable, transcendent, open world. In other words, it is not merely that I see things from my own standpoint: it is that my own motility is the subjective correlate both of the world’s open explorability—its transcendence “beyond” the aspect of it given at any moment—and of its concordant coherence, since if I enact the appropriate kinaesthetic sequences, then what is currently “emptily” predelineated can be “fulfilled” in itself-givenness of the anticipated side or feature concerned (or can be “disappointed” and corrected instead). For example, I see a “corner” of the house; inseparable from the experience of this as a “corner” is that there is “more” to the house to be seen “around the corner” (even if this “more” is as yet indeterminate), and “if” I move there, “then” I will see precisely this “more,” determine its features in more detail, and so forth (or perhaps discover that all that is left of the building is a facade). However, the “if-then” relation that is at stake here is not a causal one, since the correlations in question pertain to the ordered structure of experience purely as experienced, not to real relations between physical entities considered in the naturalistic attitude (an attitude that we are, of course, free to take up if we wish).

Within the phenomenological attitude, in other words, the point is not to establish causal relations between “turning my head to the left” and “seeing a birdbath”; instead, the horizon of freedom pertaining to kinaesthetic consciousness opens ordered fields of display that can be seamlessly expanded as I move, so that turning my head to the left allows the corresponding further stretch of the visible world to come into view, whatever there may in fact be for me to see in any given situation or on any given occasion. And the same fundamental correlation between kinaesthetic capabilities and coherent fields of spatial display holds good for movement in any direction, as well as for the intersensorial world. Thus the description identifies an essential structure of experience per se, rather than offering a causal explanation of a particular empirical/factual event. Moreover, it turns out that Husserl’s analyses are not confined to the kinaesthetic circumstances swung into play in experiencing individual transcendent things “in” space, but demonstrate that kinaesthetic consciousness is itself space-constituting. (Early extensive analyses are found in the 1907 lectures published in Thing and Space, but Husserl refined his account throughout his life.) This, then, is another example of a Husserlian critique of presuppositions: he does not naively assume “space” as a pregiven framework for embodied perception and action (for example, as some kind of ready-made “container”), but devotes many pages to the experiential evidence that is at stake in the givenness of various types or levels of “space,” including not only the most immediate, “preobjective” space, but the infinite and homogeneous space of the natural sciences.

c. Kinaesthetic Experience and the Experience of Others

At this point, a second set of analyses come into play, for it is a feature of lived embodiment that I cannot jump out of my own skin and walk around myself in order to survey myself from all sides: the seeing consciousness is always at the center of orientation, and although I may be able to see parts of myself from various angles, I cannot see myself as a whole, as a figure on a ground or as an object “over there” from which I could definitively move away. Instead, I function as the uncancellably abiding “here” from which space-perception invariably proceeds. This means, however, that my “solo” experience of situated motility leaves me with a “hole” in space wherever I go—a mobile but non-surveyable center around which the rest of the panorama unfolds. The constitution of a genuinely homogeneous, objective, three-dimensional space requires the contribution of others, for whom I myself am indeed “over there,” inhabiting one among many possible “there’s.”  Thus space-constitution is tied up with the Husserlian theme of intersubjectivity, which is also a key motif in his phenomenology of embodiment. Although Husserl gives various accounts of intersubjectivity, the present article pulls together some pieces of the puzzle that depend directly on his work with kinaesthetic consciousness. Note, however, that this account is not a linear account of discrete “steps” to be carried out, as though we began our existence utterly alone and only gradually discovered fellow living beings; rather, the explication furnishes a kind of “exploded diagram” of certain structural moments involved in the lived experience of recognizing embodied others—here construed broadly enough to encompass non-human as well as human cases. (Thus in the technical language of phenomenology, the “exploded diagram” account is “static,” rather than providing a “genetic” description of the origin and development of a certain type of experience as an abiding acquisition.)

For Husserl, a double dimension of “localization” of kinaestheses comes into play in this regard (always recalling that here the term “kinaesthetic” refers to motility per se, to the sheer “I can”/“I could” rather than to specific sorts of “sense data”). First of all, it is possible for at least some enactments of my own directly experienced motility to be co-given to me in the form of something perceivable in the same way as things of the world are. Thus, for example, not only can I move my own limbs, but—within limits—I can see them as moving objects in the same field of vision where other spatial things are given: subjective motility is “localized” in objectively appearing movements displaying certain distinctive styles of movement and modes of relating to the surrounding world (think, for example, of my own active/responsive hands being visible to me as I reach for an object and grasp it). Similarly, the kinaesthetic experience of speaking, singing, or crying out is paired with sounds appearing in the same audial field in which other sounds are given. (Although what I am providing here is, as I have indicated, a structural explication of intersubjectivity rather than a genetic-developmental account, it should be pointed out that in one brief passage on the mother-child relationship, Husserl emphasizes the child linking his/her own kinaesthetic capability for vocalization with certain heard sounds in the audial sphere in general—and then hearing sounds resembling these in certain respects, but without simultaneously experiencing the relevant kinaestheses, so that this contrast mediates the emerging own/other distinction.) But at the same time, enacting this or that kinaesthetic possibility (or constellation of possibilities) from the total kinaesthetic horizon yields yet another “if-then” order, above and beyond the coherent correlations discussed above whereby kinaesthetic circumstances motivate corresponding perceptual appearances. For “if” I move in a certain way, “then” even without touching myself, I can experience correlative somaesthetic sensations or sensings (Empfindnisse): kinaesthetic enactments are “localized” in corresponding patterns of felt embodiment (for instance, experiences of straining or releasing) through which my own lived body is concretely, sensuously present for me (whether marginally, as when I am immersed in something I am reading, or thematically—think, for example, of how it feels to stretch luxuriously).

To put it another way, the “mineness” of my own act of moving is linked with the “mineness” of the accompanying somaesthetic sensations, as well as with recognizable styles of externally perceivable movement. When I perceive movement in such a style, then, but without the correlative kinaesthetic consciousness (the tacit or explicit “I move”) and its accompanying patterns of felt somaesthetic localization, I experience (via what Husserl terms “passive syntheses of association”—which, however, must not be confused with “associationistic” psychological theories) another subjectivity who, like me, is a subject of both action and affection, both agency and ownership, both doing and undergoing. Thus it is not necessary to see another body that looks the same as mine in the sense of being roughly the same size, shape, and color in order to motivate the experience of recognizing the other’s subjectivity—in fact, the view of myself “from the outside” that this would require is precisely something that I can never fully have: it is a possibility that is itself motivated from the experience of the other as having his/her own point of view on me, and thus cannot serve to motivate my recognition of the other as another subjectivity in the first place. Instead, what I experience when I see the other stands at a higher degree of universality: I see a style of movement associated with certain eidetic features proper to sentient/sensitive motility per se, namely, kinaesthetic capability and somaesthetic sensibility. But exactly because these invariants are open to exemplification in so many ways, they provide the foundation for the lived experience of difference-from-the-other as well as that of similarity-with-the-other, since they are the very identity that permits the experience of “difference” here at all.

I do not, in other words, recognize others because I see them as reiterations of myself in my concrete embodiment; the I-other pairing does not consist of a model and a replica, but of two mutually contrasting variations of “embodiment per se,” only one of which I have genuinely original access to (when I pick up the heavy stone, I experience both my own effort and the stone’s resistance firsthand; seeing the other struggle with the stone, I may understand the degree of effort involved and realize that I am the stronger of the two of us, but I do not experience the other’s effort in the same direct way I experience my own, nor do I directly experience the other’s pain if the stone slips and lands on the other’s toe). Thus the other active, sentient, sensitive, relational body is not some sort of duplicate of my own body, but precisely “a” lived body lived from an experiential standpoint I myself can never inhabit, a “here” that is truly transcendent to my own precisely because I inevitably experience it as a “there” in paired contrast to my own “here.”

d. Further Philosophical Issues

So far, I have sketched out how embodiment understood as kinaesthetic consciousness functions in Husserl’s philosophical accounts of the transcendent spatial world and transcendent fellow subjectivities. Here it is not possible to flesh out these accounts in any more detail, although it can be said that for Husserl, our very openness to the world essentially involves a kinaesthetic engagement with what is most immediately, sensuously given in such a way that the genetic origins of transcendental logic itself can be traced back to these kinaesthetic capabilities and performances and their correlative sensuous “givens” (see Husserliana 11), matters he thematizes under the title of “transcendental aesthetics” (although he takes this term in a different sense than Kant’s). However, a further step must at least be touched on, one that draws upon yet another important distinction—that between the transcendental and the mundane. Husserl’s analyses of kinaesthetic consciousness assume a transcendental attitude, yet in the natural attitude, the body is—as we have seen—“obviously” a mundane reality, a part of the world. Although his earlier efforts were geared toward clarifying the philosophical foundations of the sciences that study such a reality, some of his later writings (see, for example, Husserliana 15, 282–328, 648–57) are framed as an inquiry into the experiential achievements whereby transcendental consciousness “mundanizes” itself in the first place (that is, takes itself as part of the world), even prior to “naturalizing” itself in psychophysical terms. Without going into detail about his approach to the problem (which is also known as the paradox of subjectivity—how can the very consciousness that constitutes the world simultaneously be a part of this world?), it should be emphasized that for Husserl, what is at stake is ultimately not at all how a “disembodied” consciousness could somehow acquire a “body.” Instead, after demonstrating that kinaesthetic capability is an essential structural moment of transcendental subjectivity itself, he asks how kinaesthetic consciousness as an ongoing flow of purely experiential potentialities (the possibilities of primal motility per se), and of ever-changing actualizations of these possibilities, can come to count as a mundane entity apprehended as one thing among others in the world (and here Husserl’s descriptions of the lived experience of “resistance” offer important clues). In any case, however, the Husserlian critique of presuppositions concerning the body leads to something like the possibility of transcendental corporeality—a notion that places many aspects of the Western philosophical tradition itself into question.

6. Conclusion

Recognizing the tension between the transcendental experience of embodiment as kinaesthetic consciousness (or indeed, of “consciousness” or “subjectivity” as kinaesthetic) on the one hand and the mundane experience of the body as a material, psychophysical reality on the other can now allow us to summarize two of Husserl’s most important contributions to a phenomenology of embodiment (above and beyond his pioneering descriptions of essential features of bodily subjectivity). First, taken transcendentally, embodiment is not something accomplished once and for all, but is—to borrow a telling phrase from Zaner’s The Problem of Embodiment (1964)—“a continuously on-going act”: at every moment (even during periods of relative quiescence), I am involved in a dynamic process of “embodying” that is carried out through the current actualization of my own kinaesthetic capabilities, with certain possibilities rather than others being actualized in this or that way. This is the case whether the particular kinaestheses swung into play at any given moment arise from instinctual strivings, involuntary adjustments, acquired habits, or volitionally directed free movement, and whether these patterns of kinaesthetic actualization are going completely unnoticed; are marginally present for me; are experientially prominent due to difficulty or discomfort; or are consciously appreciated in lucid awareness “from within” (note that these two sets of possibilities—one having to do with volition, the other with awareness—can intersect in a number of ways). Second, that I can apprehend myself as a “psychophysical unity” is not simply something to be naively accepted, but something to be clarified as a historical achievement whereby embodied experience is localized in a mundane object, “the body,” as one item among others in a world of material, natural realities. Thus within the natural attitude, “embodiment” winds up signifying the external expression of the inwardness always already essentially pertaining to “bodies” insofar as they are lived bodies (as opposed to mere physical things). And indeed, experiential evidence for the latter sense of “embodiment” is readily available in everyday life in our times—we immediately encounter one another as embodied persons, not as machines that we suspect or conclude must harbor minds. However, experiencing myself as an ongoing realization of my own kinaesthetic capabilities taken not “psychophysically,” but sheerly experientially (which deactivates, rather than presupposing, mind-body dualism) requires shifting from the mundane to the transcendental attitude (in Husserl’s sense of the term “transcendental”), although once this insight has been historically achieved, it too, like the achievements of naturalism, can “flow back into” everyday experience.

In the end, then, whether he is providing a phenomenological genealogy of the “psychophysical” or offering an alternative account of embodiment in terms of “kinaesthetic consciousness,” Husserl provides a powerful critique of Cartesian dualism. Nevertheless, his own interests are basically epistemological in character: the accent lies not on claims about what the body really “is,” but on the epistemic contribution of embodiment itself to our knowledge of the world in the first place (as well as on the legitimacy of the foundations of our knowledge of such matters). And as in all of his phenomenological work, Husserl does not merely “hold a position” and offer arguments to support it, but consistently and rigorously takes the ultimate court of appeal to be the experiential evidence pertaining to the phenomena themselves—evidence that continually outruns our inherited terms and concepts and requires us to place them in question.

7. References and Further Reading

a. Primary Sources

  • Husserl, Edmund. Ding und Raum. Vorlesungen 1907. Ed. Ulrich Claesges. Husserliana 16. Den Haag: Martinus Nijhoff, 1973; Thing and Space: Lectures of 1907. Trans. Richard Rojcewicz. Dordrecht: Kluwer Academic Publishers, 1997, Sections IV–VI (129–245).
  • Husserl, Edmund. Ideen zu einer reinen Phänomenologie und phänomenologischen Philosophie. Zweites Buch. Phänomenologische Untersuchungen zur Konstitution [1912]. Ed. Marly Biemel. Husserliana 4. Den Haag: Martinus Nijhoff, 1952; Ideas Pertaining to a Pure Phenomenology and to a Phenomenological Philosophy. Second Book. Studies in the Phenomenology of Constitution. Trans. Richard Rojcewicz and André Schuwer. Dordrecht: Kluwer Academic Publishers, 1989, especially §§18a–b (60–70), §§36–42 (152–69), §§59–60a (266–77), et passim.
  • Husserl, Edmund. Ideen zu einer reinen Phänomenologie und phänomenologischen Philosophie. Drittes Buch. Die Phänomenologie und die Fundamente der Wissenschaften [1912]. Ed. Marly Biemel. Husserliana 5. Den Haag: Martinus Nijhoff, 1952; Ideas Pertaining to a Pure Phenomenology and to a Phenomenological Philosophy. Third Book. Phenomenology and the Foundations of the Sciences. Trans. Ted E. Klein and William E. Pohl. The Hague: Martinus Nijhoff, 1980, §2 (4–9); Supplement I, §4 (103–12).
  • Husserl, Edmund. Analysen zur passiven Synthesis. Aus Vorlesungs- und Forschungsmanuskripten 1918–1926. Ed. Margot Fleischer. Husserliana 11. Den Haag: Martinus Nijhoff, 1966; Analyses Concerning Passive and Active Synthesis: Lectures on Transcendental Logic. Trans. Anthony J. Steinbock. Dordrecht: Kluwer Academic Publishers, 2001, §3 (47–53); “Perception and its Process of Self-Giving,” §2 (581–88); Appendix 25 (534–36).
  • Husserl, Edmund. Phänomenologische Psychologie. Vorlesungen Sommersemester 1925. Ed. Walter Biemel. Husserliana 9. Den Haag: Martinus Nijhoff, 1962, Beilage VIII (“Die somatologische Struktur der objektiven Welt,” 390–95, not translated);Phenomenological Psychology: Lectures, Summer Semester, 1925. Trans. John Scanlon. The Hague: Martinus Nijhoff, 1977, §15 (79–83), §21 (99–101), §39 (150–53).
  • Husserl, Edmund. Cartesianische Meditationen [1931] und Pariser Vorträge. Ed. Stephan Strasser. Husserliana 1. Den Haag: Martinus Nijhoff, 1950; Cartesian Meditations: An Introduction to Phenomenology. Trans. Dorion Cairns. The Hague: Martinus Nijhoff, 1960, Fifth Meditation, especially §44 (92–99), §§51–56 (112–31).
  • Husserl, Edmund. Die Krisis der europäischen Wissenschaften und die transzendentale Phänomenologie. Eine Einleitung in die phänomenologische Philosophie [1936]. Ed. Walter Biemel. Husserliana 6. Den Haag: Martinus Nijhoff, 1954; The Crisis of European Sciences and Transcendental Phenomenology: An Introduction to Phenomenological Philosophy. Trans. David Carr. Evanston, IL: Northwestern University Press, 1970, §28 (103–11), §47 (161–64), §62 (215–19).
  • Husserl, Edmund. Zur Phänomenologie der Intersubjektivität. Texte aus dem Nachlass. Erster Teil: 1905–1920; Zweiter Teil: 1921–1928; Dritter Teil: 1929–1935. Ed. Iso Kern. Husserliana 13, 14, 15. Den Haag: Martinus Nijhoff, 1973, passim.
  • Husserl, Edmund. Transzendentaler Idealismus. Texte aus dem Nachlass (1908–1921). Ed. Robin D. Rollinger with Rochus Sowa. Husserliana 36. Dordrecht: Kluwer Academic Publishers, 2003, Text Nr. 7 (132–45), Text Nr. 9 (151–66).
  • Husserl, Edmund. Die Lebenswelt. Auslegungen der vorgegebenen Welt und ihrer Konstitution. Texte aus dem Nachlass (1916–1937). Ed. Rochus Sowa. Husserliana 39. Dordrecht: Springer, 2008, especially Part IX (603–672).

b. Secondary Sources

  • Behnke, Elizabeth A. “Edmund Husserl’s Contribution to Phenomenology of the Body in Ideas II” [1989]. Rpt. in Issues in Husserl’s “Ideas II.” Ed. Thomas Nenon and Lester Embree. Dordrecht: Kluwer Academic Publishers, 1996, 135–60; rev. in Phenomenology: Critical Concepts in Philosophy. Ed. Dermot Moran and Lester E. Embree with Tanja Staehler and Elizabeth A. Behnke. Volume 2. Phenomenology: Themes and Issues. London: Routledge, 2004, 235–64 [includes further references to work in this area].
  • Bernet, Rudolf, Iso Kern, and Eduard Marbach. Edmund Husserl. Darstellung seines Denkens [1989]. 2nd rev. ed. Hamburg: Felix Meiner, 1996; An Introduction to Husserlian Phenomenology. Evanston, IL: Northwestern University Press, 1993, Chapter 4, §3 (“The Kinaesthetic Motivation in the Constitution of Thing and Space,” 130–40, 259–60); Chapter 5, §2 (“Our Experience of the Other,” 154–65, 261–62).
  • Claesges, Ulrich. Edmund Husserls Theorie der Raumkonstitution. Den Haag: Martinus Nijhoff, 1964, Parts II and III (55–144) [includes significant citations on lived body and kinaesthetic consciousness from Husserl’s D manuscripts].
  • Depraz, Natalie. Lucidité du corps. De l’empirisme transcendantal en phénoménologie. Dordrecht: Kluwer Academic Publishers, 2001.
  • Dodd, James. Idealism and Corporeity: An Essay on the Problem of the Body in Husserl’s Phenomenology. Dordrecht: Kluwer Academic Publishers, 1997.
  • Mohanty, J. N. “Intentionality and the Mind/Body Problem.” In Organism, Medicine, and Metaphysics: Essays in Honor of Hans Jonas. Ed. Stuart F. Spicker. Dordrecht: D. Reidel, 1978, 283–300; rpt. in his The Possibility of Transcendental Philosophy. Dordrecht: Martinus Nijhoff, 1985, 121–38; rpt. in Phenomenology: Critical Concepts in Philosophy. Ed. Dermot Moran and Lester E. Embree with Tanja Staehler and Elizabeth A. Behnke. Volume 2. Phenomenology: Themes and Issues. London: Routledge, 2004, 316–32.
  • Sawicki, Marianne. Body, Text, and Science: The Literacy of Investigative Practices and the Phenomenology of Edith Stein. Dordrecht: Kluwer Academic Publishers, 1997, Chapter 2, D (“Nature and Intellect in Ideen II,” 73–89); Chapter 4, B, 1 (“Stein’s work for Husserl,” 153–65).
  • Seebohm, Thomas M. Hermeneutics: Method and Methodology. Dordrecht: Kluwer Academic Publishers, 2004, §12 (“The givenness of the other living body and animal understanding,” 98–105).
  • Spiegelberg, Herbert. “On the Motility of the Ego.” In Conditio Humana: Erwin W. Straus on his 75th birthday. Ed. Walter von Baeyer and Richard M. Griffith. Berlin: Springer-Verlag, 1966, 289–306; rpt., with Postscript 1978, in Spiegelberg, Steppingstones toward an Ethics for Fellow Existers: Essays 1944–1983. Dordrecht: Martinus Nijhoff, 1986, 65–86; rpt. in Phenomenology: Critical Concepts in Philosophy. Ed. Dermot Moran and Lester E. Embree with Tanja Staehler and Elizabeth A. Behnke. Volume 2. Phenomenology: Themes and Issues. London: Routledge, 2004, 217–34.
  • Ströker, Elisabeth. Philosophische Untersuchungen zum Raum. Frankfurt am Main: Vittorio Klostermann, 1965; Investigations in Philosophy of Space. Trans. Algis Mickunas. Athens, OH: Ohio University Press, 1987, Part One (“Lived Space,” 13–172).
  • Zahavi, Dan. “Husserl’s Phenomenology of the Body.” Études Phénoménologiques No. 19 (1994), 63–84.
  • Zaner, Richard M. The Problem of Embodiment: Some Contributions to a Phenomenology of the Body. The Hague: Martinus Nijhoff, 1964, 249–61, 287–89.

 

Author Information

Elizabeth A. Behnke
Email: sppb@openaccess.org
U. S. A.

American Transcendentalism

American transcendentalism is essentially a kind of practice by which the world of facts and the categories of common sense are temporarily exchanged for the world of ideas and the categories of imagination. The point of this exchange is to make life better by lifting us above the conflicts and struggles that weigh on our souls. As these chains fall away, our souls rise to heightened experiences of freedom and union with the good. Emerson and Thoreau are the two most significant nineteenth century proponents of American transcendentalism.

Looking at the world through common sense categories, such as time, space, and causation, yields hard and fast limits that can hurt us. Causation seems to make certain outcomes unavoidable whether we like them or not. Space separates us from the ones we love and the places we would rather be. Not to be outdone, time brings all good things to an end and converts the living into the dead. The categories of imagination free us from these detestable limits. We can imagine a world in which physical space is no more than an idea, enabling us to move from place to place at the speed of our thoughts. Emanation and fulguration make congenial substitutes for causation, because they generate only what is true, beautiful, and good. Not even time presents a problem for imagination, since we can readily view all things from the standpoint of eternity.

Most philosophers start with theories, searching for ways in which to practice what they preach only if they are serious about their philosophies. The transcendentalists reversed this procedure. They began with practices and then attempted to establish them on solid theoretical foundations. Yet these practices all involved spurning certain facts in favor of ideas, leading them invariably to theories that are inconsistent and vague. Their honesty would not allow them to spurn all facts, so they were ever at work reshaping intractable facts to fit their theories or stretching the fabric of their views to cover uncooperative facts. Unwitting victims of their own scruples, they found themselves hating facts that did not fit the mold and being frustrated with theories they knew failed to capture all the facts.

The final victim was transcendentalism itself. Critics, eager to wield the sword of criticism, overlooked the life-enhancing practices at the core of transcendentalism, concentrating their efforts on the many chinks and thin plates in its theoretical armor. Their blades penetrated easily, and they quickly pronounced their victim hopelessly baffling. Even friendly critics felt obliged to begin their articles with the proviso that transcendentalism is not easily articulated.

The transcendentalists were suspended between imagination and common sense. If they had been consistent empiricists or materialists, their theories might have been securely founded on facts. Had they been fully fledged idealists or rationalists, their theories might have been firmly fixed on logical relations. In reality, they were neither consistent nor fully fledged theorists. Emerson complained of a see-saw in his voice. Yet what is most valuable in the legacy of transcendentalism is not theoretical and is not in need of theoretical backing. It is the practices by which the transcendentalists managed, at least occasionally, to re-make the world in the image of what they loved.

Table of Contents

  1. Emerson and His Practices
  2. German Influence
  3. British Influence
  4. Idealism
  5. Morality
  6. Beauty
  7. Contemporary Relevance
  8. References and Further Reading

1. Emerson and His Practices

Although he denied he was a transcendentalist, Ralph Waldo Emerson (1803-1882) was rightly viewed by his peers and is rightly viewed by contemporary scholars as the primary philosophical exponent of American transcendentalism, followed by Henry David Thoreau (1817-1862). Emerson distinguished at least three practices by which facts may be exchanged for ideas. The first enacts a form of idealism. Instead of seeing the world as an independent power that may lay waste to our purposes and plans, we can view it as a display of images or pictures created by us, rendering it harmless and even benevolent. Secondly, we can focus on moral actions and rejoice in their goodness. The third practice distinguished by Emerson is perhaps the one for which transcendentalism is best known. It is that of contemplating beauty.

These practices come naturally to many of us. We many not connect them to Emerson, his contemporaries, or the period in American intellectual history─roughly between the publication of Emerson’s “Nature” in 1836 and Thoreau’s death in 1862─when transcendentalism flourished as a movement; but inasmuch as we seek to improve our lives by turning away from facts and embracing ideas, we are transcendentalists.

2. German Influence

Word of Kant’s transcendental idealism may have reached Emerson through Frederick Henry Hedge (1805-1890), a Unitarian minister who had studied in Germany and knew German philosophy in its native tongue. In 1836, Hedge, Emerson, and George Ripley (1802-1880) founded an informal group they called Hedge’s Club for the purpose of stimulating discussion of current topics in philosophy and theology. The group convened irregularly for about seven years and grew to include at least a dozen members. It became known as the Transcendental Club. These meetings provided ample opportunity for Hedge to share his knowledge of Kant’s transcendental philosophy with Emerson.

The heart of Kant’s Critique of Pure Reason is the distinction he draws between the transcendental and the transcendent. The transcendental refers to the necessary conditions of the possibility of experience. Input from perception is grasped through twelve categories, space, time, and what he calls the transcendental unity of apperception. These are structures of mind, so without them experience would be impossible. In contrast, the transcendent is that which lies beyond the scope of experience and is therefore inaccessible to conceptual knowledge. In his Critique of Pure Reason, Kant rejects the classic arguments for the existence of God on the grounds that knowledge of the transcendent is impossible. Ironically, the transcendental structure of mind is necessarily incapable of providing knowledge of the transcendent.

But Kant followed the Critique of Pure Reason with the Critique of Practical Reason, in which he adds an important qualification to his original view that God is unknowable. The transcendent, he argues, is the very foundation of morality. If not for God, the wicked might go unpunished and the righteous unrewarded. We may not be able to have conceptual knowledge of the transcendent, but we are morally obligated to act as the transcendent in the form of the free and rational moral will.

Kant’s view of our relation to the transcendent underwent a second transformation in his third major work, the Critique of Judgment. There he reconsiders some of the classic arguments for God’s existence and opts for the teleological. Organic beings are purposive, he tells us, though we cannot glean what their purposes are. Their purposiveness consists in the fact that they and their parts are mutually supporting. The parts are means to the wholes, and the wholes are means to the parts. Two important conclusions fall out of this analysis. The first is that everything can be seen as beautiful, because all objects have form, which hints at a kind of purposiveness based on the internal complexity of objects. This purposiveness of form creates a universal disinterested satisfaction that is experienced as beauty. The second conclusion is that conceptual understanding of beauty is impossible for human beings.

Although they are very different philosophies, the influence of Kant’s transcendental idealism on American transcendentalism is easy to see. The philosophies are markedly different because the Americans did not preserve Kant’s distinction between the transcendent and the transcendental. This distinction provides the framework for Kant’s entire system as presented in the Critique of Pure Reason, but the transcendentalists were not interested in systems or the frameworks of systems. What attracted them to Kant’s philosophy was the sentiment behind his words. One look at the prevailing sentiment of American transcendentalism and Kant’s influence is unmistakable. The Americans eagerly joined him in celebrating the rightness of moral action, the beauty of the world, and the majesty of God. Kant’s influence also shows itself in the view of the nature of beauty embraced by the transcendentalists, namely that it surpasses all understanding.

3. British Influence

The word “transcendental” brings to mind Kant and the German philosophers he influenced, but German thinkers were not the only ones to leave their mark on American transcendentalism. Emerson was a great admirer of William Wordsworth and Samuel Taylor Coleridge, both of whom he met when he traveled to Europe in 1832. Their romanticism was intoxicating to him, and he seems to have passed some of that intoxication to his friend Thoreau. The British romantics shared the same love of beauty, morality, and God that animated both Kant and the American transcendentalists, but the romantics had developed a unique perspective on our relation to those realities. This perspective provided one of the central features of American transcendentalism.

The British romantics saw tremendous beauty and goodness in the world. At the same time, they saw that all of that goodness and beauty is flawed. Human beings often embody great virtues, but this is not always so. Sometimes their behavior is monstrous in its selfishness and cruelty. The sky, the meadow, and the rose are breathtakingly beautiful, but as time passes their beauty fades. This double vision of the romantics, although it did not betray any facts, nevertheless placed them in the uncomfortable position of both hating and loving the world.

To get out of their predicament, the romantics made a bold move. They set their sights on the perfect, which for them could exist only beyond the awful limits of the world. Yet they could not forget that they were, as flesh and blood, inextricably tied to those very limits. Nor could they forget that it was those very limits that provided the precious glimpses of beauty and goodness, however degraded, that they cherished. This was a great tragedy, they decided, and it was made even greater by the fact that it was inevitable. If you live in this world and you have enough humanity to love the good and the beautiful, you will be constantly assailed by the pain of falling short of those ideals. Yet, they suggested, the more the tragedy of life appeared to us in all of its inevitability and pain, the more beautiful life would be in our eyes.

Had they embraced this perspective at face value, the transcendentalists might have been cheered. As a sequence of random events, some good and others bad, life is arguably meaningless and not worth living. But view it as a tragedy and life takes on a marvelous aesthetic unity. Anguish and tears become literary realities, beautiful in their significance and in the timeless moral lessons they convey. But the transcendentalists were too pragmatic to embrace such an intellectual view of life. The world was too much with them, and although they never tired of translating facts into ideas, they could not shake the sense that facts were somehow more real. Instead of cheering them up, their contact with romanticism ultimately saddened them. They fell in love with the perfect like good romantics, but they could find little beauty in the countless misfortunes that befell them. They felt betrayed by life. In Emerson, this feeling expressed itself in the form of sheer disbelief at the terrible things that happened to him. In Thoreau, it created a thin layer of bitterness and resentment that never dissipated.

The influence of the British romantics shaped American transcendentalism at least as much and probably more than that of Kant’s transcendental philosophy. Their influence contributed a longing for the perfect, one of the central features of transcendentalism in America. The other side of this contribution, equally central, was a treacherous undercurrent of disappointment and sadness.

4. Idealism

The idealism of the American transcendentalists, like their morality and their love of beauty, took the form of practices before it became, as an afterthought, a sort of theory. Emerson stood with his head between his legs and took note of the fact that this opened a very different reality. His long country rambles produced in him a profound feeling of the lawfulness and rationality of nature. The passions that stirred in his breast often burst forth in the form of an essay or a poem. Looking at the world from different angles, delighting in the patterns nature manifests, and writing poetry or prose are idealistic practices in the sense that they give consciousness a kind of priority. In creating new experiences or ideas, we seem to create new worlds, and mind takes on a status close to that of a divinity. The old familiar facts, when filtered through the categories of imagination, are given an almost miraculous appearance. We are free from their tedious and often sorrowful limits to roam at liberty in thought.

For the transcendentalists, this freedom was almost always short-lived. This is because they felt they should ground their idealistic practices in a consistent theory. The freedom and satisfaction their practices provided, they reasoned, would be more secure if given an adequate theoretical backing. Their reasoning may have been sound, but their attempt to ground their practices in an adequate theory had the opposite effect. They became tangled in theoretical problems that proved intractable, and this made engaging with ideas for the sake of the activity itself more difficult. An ulterior motive for this engagement was always pressing on them. The ideas could not be fully trusted unless somehow it could be shown that they captured the inner nature of things.

But the main idea implied by the transcendentalists’ practices, that all existence must conform to consciousness, was verified by their experience only occasionally. There were flashes of verification, as when Emerson dreamed he ate the world, but all too often it was consciousness that had to give way to the cold facts of existence. The loss of his beloved wife Ellen Tucker, his cherished son Waldo, and his dear friend Thoreau signaled to Emerson that something alien to mind was at work in the world.

What this alien something might be, the transcendentalists had no clear idea. Their idealism gave consciousness, rational principles, and human values the status of omnipotent governing powers. Evil was that for which there would be compensation, or it was an instrument necessary for the creation of a good far greater than any that would have been possible without its use. It was, in short, thoroughly intelligible, just, and even benevolent: a low mood or a contradictory thought passing through the Oversoul for the sake of its ultimate enrichment. Evil is good, or rather it has to be good if one takes the idealism of the transcendentalists at face value. Not even they were capable of doing this all the time, yet they had no means of understanding evil except through the lens of their idealism, nor would they have been comfortable viewing it through a different lens as a brute fact or an irrational power.

The only option for the transcendentalists was to live with one more evil, namely the fact that evil positively confounded their attempts to explain it. This made the evils they suffered that much worse, adding avoidable surprise and puzzlement to unavoidable pain. Had they been content to practice their idealism without attempting to expound it, they might have saved themselves considerable grief. Their idealistic practices alone do not give mind the kind of priority proper to a power, but they do give it a sort of valuational priority. In lavishly applying the categories of imagination to the world and marveling at the results, we affirm the priority of consciousness and its products in the sense of loving them the most. As long as this does not lead us to the tenuous theory that all existence must submit to mind, we are free to understand evil through the categories of common sense, as a rogue power that goes against our purposes and often overwhelms them. This does not translate evil into good, but it at least removes the sting of surprise and confusion when evil strikes.

5. Morality

Emerson was often accused of being a reluctant reformer, and behind those accusations there was a kernel of truth. His contemporaries in the United States and Europe were hungry for moral progress, and they wasted no time putting shoulder to wheel for their favorite causes. Emerson was different in that his temperament inclined him to be first a scholar. The purpose of scholars, he said, is to nurture the good in others; but what makes a scholar is the ability to see the larger picture of things, and for this a certain distance from the heat of action is required. Emerson was by nature a visionary and a poet, not a man of action. No matter how much he sympathized with the ideals to which reformers aspired, he could not engage in actual reform without some initial discomfort. It was not what he was born to do.

Yet Emerson’s accusers failed to see the full reality of the accused. He may have hesitated before throwing his weight behind a cause for fear of losing the reflective distance he naturally valued; but if the cause was just he almost always ended up fighting for it. When the government of the United States announced plans to force Cherokees from their native lands, Emerson wrote President Van Buren in protest. The reflective but deeply moral Emerson opposed slavery openly both in writing and in public lectures. Inspired by his friend Margaret Fuller, Emerson supported the burgeoning women’s rights movement, becoming Vice President of the New England Women’s Suffrage Association in 1869. It is ironic that for all the accusations of reluctance made against him by his peers, today’s scholars tend to view Emerson as one of the nineteenth century’s most important reformers.

Emerson’s reflective temperament made him skeptical of reform movements, which seemed to him to be driven by narrow and hasty views. At the same time, he was convinced that it is not the group but the individual that is the ultimate agent of moral progress. He admired and celebrated the moral actions of principled individuals and was often spurred by them to act in spite of his temperament. This is transcendentalism at its moral best. Moral action is not governed or called forth by a theory; it is a spontaneous response to the feeling of one’s individual potentiality combined with one’s natural love of the good. Assuming the good is not conceived narrowly, as it almost never was by Emerson, this kind of morality is less problematic than many others. Emerson was lead by it to some of his most important contributions to the reform movements of his day.

Again, the problem came when the transcendentalists attempted to ground their spontaneous practices in a theory that lodged their values in the nature of things. Emerson said many times that nature itself is the supreme model and ultimate ground of morality, since it is a manifestation of timeless moral laws. All evil is a form of instruction, pointing the way to better lives and a better world. No doubt Emerson embraced this view wholeheartedly, but its implications for specific evils that visited him created turmoil in his soul. He could not hide from himself the fact that some evils seemed to lack pedagogical value. It was hardly possible for him to view the death of his five year old son as instruction for the improvement of life. Nor was he easily able to see the fire that consumed his home as a lesson in how to make the world a better place. Their view of the world as inherently moral, like the idealism they attempted to develop, created for the transcendentalists a painful rift between the theory they thought they should live by and the actual events, actions, and emotions that filled their lives.

This was less so, at least as regards morality, for Thoreau. Emerson’s greatest student was less committed than his mentor to the view that nature is intrinsically moral. Thoreau, moreover, was more practical than Emerson in moral matters. He perceived with greater clarity the fact that institutions exist because of the free actions of individuals. If individual slaveholders decided to stop holding slaves, slavery would gradually be destroyed. Nor did Thoreau confuse this practical insight with Emerson’s more theoretical position that individuals are the ultimate moral agents because they have access, through reason and contemplation, to the moral laws inherent in nature.

While Emerson’s love of reflection often slowed his response time, Thoreau tended to react to moral problems quickly and decisively. He immediately urged those around him to examine their consciences and change their behaviors accordingly. Thoreau’s letter in support of John Brown, a controversial abolitionist convicted of treason, captures this pragmatic approach to morality. The letter is full of motivational rhetoric. Advancing the cause of abolition, Thoreau seems to have reasoned, was simply a matter of convincing enough individuals to oppose Brown’s conviction.

In their morality, the transcendentalists did not abandon their practice of exchanging facts and the categories of common sense for ideas and the categories of imagination. Nor did they lose all awareness of common sense or all contact with facts. This combination of circumstances might have propelled them to dizzying heights of theorizing in an attempt to reconcile the two poles of their vision, as it often did in relation to their idealism. But on the whole, not counting the theoretical flights in which Emerson argued for a moral structure of the world, the transcendentalists were more down to earth about morality than they were about metaphysics. Not only did they tend to avoid too much theorizing, they took their practice a step further. Having seen and appreciated a vision of how things ought to be, they went to work to improve the relevant facts in light of their ideas. In a word, the transcendentalists were meliorists.

6. Beauty

If there is a single practice with which American transcendentalism can be identified, it is contemplation of beauty. Emerson responded to Plato’s theory that beauty, truth, and goodness are one by saying that even so beauty is the best of the three. Children seem to see it radiating from the most ordinary objects to their exquisite delight. Adults sometimes find themselves feeling like children again in its presence. The transcendentalists thought of beauty as eternal, because a mere glimpse of it was enough to make them drop everything and simply take in what they heard or saw with neither motive nor intention. This activity satisfied them so deeply that while they were thus engaged it was as if time stood still.

Perhaps the most famous experience of beauty described by Emerson is the one in which he became a “transparent eyeball.”  Alone in the woods, “head bathed by the blithe air, and uplifted into infinite space”, he found that he had vanished from his own experience. It was as if he consisted of nothing but impersonal vision, the object of which was “unconstrained and immortal beauty.”  Thoreau was equally susceptible to such enthralling experiences of beauty.  Snow drifts, the shapes and colors of leaves, and the way light falls revealed to him so much beauty that he thought of them as imprints of the divine.

Of the three practices distinguished by Emerson, contemplation of beauty is perhaps the one that came most naturally to the transcendentalists. They were ready, like Socrates, for beauty to give them wings on which they could ascend to heaven and see reality from the standpoint of the gods. Facts, with all of their hard edges, quickly melted into images or ideas under beauty’s divine influence. The contemplative absorptions this created were immensely satisfying, but they were also deceptive. Had the facts actually melted or did it merely seem as if they had?

Motivated by the tremendous appeal of the former hypothesis, Emerson attempted to extend the influence of beauty far beyond momentary absorptions. He reached the conclusion that everything is beautiful by arguing that beauty derives from purposiveness. Emerson thought of nature as a single, all-embracing system governed by immutable moral laws. In such a system, everything has a purpose in relation to the whole and is rendered beautiful by that relation. Marcus Aurelius proposed something similar in his Meditations. He said that even the foam at the mouths of ravening beasts takes on a certain beauty once its purpose is known.

The argument that purposiveness confers beauty is plausible when purposes are present and when they are at least arguably benevolent. A towering concrete dam may spoil the beauty of a river, until we understand that it was built to provide water to surrounding communities. Yet even though we see a benevolent purpose behind it, the ugliness of the dam may not be diminished. The argument is much weaker when applied to objects or events the purposes of which are evil, and it fails altogether in the case of realities that are non-purposive. Weapons of mass destruction are not rendered beautiful in light of their purpose. Earthquakes that strike major cities may occur for the sake of maintaining the structural equilibrium of the planet, but this adds little beauty to them. Moreover, nothing prevents us from understanding natural disasters as mechanical rather than purposive processes.

The transcendentalists were eminently capable of stretching their imaginations. When they exercised this capacity to the fullest, they saw around them an abstract world of interrelated ideas. The beauty of that world was so captivating that it tended to blind them to all external realities. Emerson went as far as to say there is a certain beauty in a corpse. We can hardly fault the transcendentalists for wishing to live always in the presence of the beautiful; yet the feats of imagination by which they conjured an ideal world could not be sustained forever. The transcendentalists were drawn to the beauty of ideas, but they knew they had to make their way in a world that also included stubborn facts. Once more we can see that it was not their practices, but their efforts to ground them in theories that created problems for the transcendentalists. Emerson’s attempt to demonstrate that all things are beautiful made ugliness a little uglier and a little sadder. Even worse, it made it confounding. When a homely or a grotesque fact intruded into the beautiful world of his ideas, he loathed it all the more because he could not make sense of the intrusion.

7. Contemporary Relevance

Theories that attempt to establish the inner nature of the world will always be interesting and instructive. They capture the imagination and, if we care to see, show us the limits of what we know. The transcendentalists never produced a complete theory. Producing one that placed their values at the core of reality would have required them to set aside their interest in action and their instinctive loyalty to facts. Instead, they theorized spontaneously in an attempt to shore up the practices that brought them closer to the good. The bits and pieces of theory they devised are of continuing relevance not because they capture corresponding portions of ultimate reality but because they show us the extent to which human beings are capable of loving all that is good in the world.

Although the transcendentalists did not succeed in grounding their practices in a fully developed theory of absolute reality, they did not need to succeed in this. Appreciating the marvelous creativity of consciousness, affirming moral action, and contemplating beauty are self-standing practices. One might explain them and the values they uphold equally well through a variety of theories, and many philosophers have developed complete systems that assign to beauty, morality, or consciousness the status of the real. The transcendentalists sought to secure their practices to theoretical foundations, but their practices are independent of all attempts to develop a satisfactory account of them. They do not need the support of theories as an airplane does not need wires to hold it in the air. Not only that, but the effort to ground practices in theories is fraught with frustration, since there are many plausible theories, and those that one dislikes must constantly be defended against. The life-long devotion of the transcendentalists to their practices, even as their theories changed and vexed them anew, suggests they sensed their practices would and perhaps should stand on their own.

It is hard to overstate the value of the practices that form the heart of transcendentalism. We tend to lose sight of the sheer improbability of awareness and the wonder of its products. The rightness of moral action does not always impress us, and we often fail to see beauty in ordinary objects and events. The focus on improvement instilled in many of us from childhood bogs us down in facts that demand accounting and predicting. We grow increasingly blind to the realm of imagination and possibilities. Consider what the world would be like if we practiced transcendentalism all the time. We would view consciousness as a wonder that is without equal in the universe. A single moral action either performed or witnessed would be cause for feeling good. Perhaps best of all, we would not miss even the smallest particle of beauty. A pattern, a color, a sparkle seen out of the corner of the eye would lift us above all dreary facts to the heights of contemplative joy. None of this would establish the good or the beautiful or even the true in the inner sanctum of reality, but it would enrich the reality that is our experience, and that is what the transcendentalists sought above all.

8. References and Further Reading

  • Emerson, R. W. Emerson’s Complete Works. 12 Vols. Boston: Houghton, Mifflin, and Company, 1883-93.
  • Emerson, R. W. Emerson in His Journals. Joel Porte, Ed. Cambridge, MA: Harvard University Press, 1982.
  • Gougeon, L. Virtue’s Hero: Emerson, Antislavery, and Reform. Athens, GA: University of Georgia Press, 1990.
  • Gray, H. D. Emerson: A Statement of New England Transcendentalism as Expressed in the Philosophy of its Chief Exponent. New York: Frederick Ungar, 1970.
  • McAleer, J. J. Ralph Waldo Emerson: Days of Encounter. Boston: Little, Brown, and Company, 1984.
  • Packer, B. L. The Transcendentalists. Athens, GA: University of Georgia Press, 2007.
  • Richardson, R. D. Henry Thoreau: A Life of the Mind. Berkeley: University of California Press, 1986.
  • Thoreau, H. D. The Best of Thoreau’s Journals. Carl Bode, Ed. Carbondale, IL: Southern Illinois University Press, 1971.
  • Thoreau, H. D. Walden. Michael Meyer, Ed. London: Macmillan, 1995.
  • Thoreau, H. D. A Week on the Concord and Merrimack Rivers. Carl Hovde, Ed. Princeton, NJ: Princeton University Press, 1980.
  • Myerson, Joel, Ed. Transcendentalism: A Reader. New York: Oxford University Press, 2000.

 

Author Information

Michael Brodrick
Email: michael.brodrick@gmail.com
Indiana University Purdue University Indianapolis
U. S. A.

Hedonism

The term “hedonism,” from the Greek word ἡδονή (hēdonē) for pleasure, refers to several related theories about what is good for us, how we should behave, and what motivates us to behave in the way that we do. All hedonistic theories identify pleasure and pain as the only important elements of whatever phenomena they are designed to describe.  If hedonistic theories identified pleasure and pain as merely two important elements, instead of the only important elements of what they are describing, then they would not be nearly as unpopular as they all are. However, the claim that pleasure and pain are the only things of ultimate importance is what makes hedonism distinctive and philosophically interesting.

Philosophical hedonists tend to focus on hedonistic theories of value, and especially of well-being (the good life for the one living it). As a theory of value, hedonism states that all and only pleasure is intrinsically valuable and all and only pain is intrinsically not valuable. Hedonists usually define pleasure and pain broadly, such that both physical and mental phenomena are included. Thus, a gentle massage and recalling a fond memory are both considered to cause pleasure and stubbing a toe and hearing about the death of a loved one are both considered to cause pain. With pleasure and pain so defined, hedonism as a theory about what is valuable for us is intuitively appealing. Indeed, its appeal is evidenced by the fact that nearly all historical and contemporary treatments of well-being allocate at least some space for discussion of hedonism.  Unfortunately for hedonism, the discussions rarely endorse it and some even deplore its focus on pleasure.

This article begins by clarifying the different types of hedonistic theories and the labels they are often given. Then, hedonism’s ancient origins and its subsequent development are reviewed. The majority of this article is concerned with describing the important theoretical divisions within Prudential Hedonism and discussing the major criticisms of these approaches.

Table of Contents

  1. Types of Hedonism
    1. Folk Hedonism
    2. Value Hedonism and Prudential Hedonism
    3. Motivational Hedonism
    4. Normative Hedonism
    5. Hedonistic Egoism
    6. Hedonistic Utilitarianism
  2. The Origins of Hedonism
    1. Cārvāka
    2. Aritippus and the Cyrenaics
    3. Epicurus
    4. The Oyster Example
  3. The Development of Hedonism
    1. Bentham
    2. Mill
    3. Moore
  4. Contemporary Varieties of Hedonism
    1. The Main Divisions
    2. Pleasure as Sensation
    3. Pleasure as Intrinsically Valuable Experience
    4. Pleasure as Pro-Attitude
  5. Contemporary Objections
    1. Pleasure is Not the Only Source of Intrinsic Value
    2. Some Pleasure is Not Valuable
    3. There is No Coherent and Unifying Definition of Pleasure
  6. The Future of Hedonism
  7. References and Further Reading
    1. Primary Sources
    2. Secondary and Mixed Sources

1. Types of Hedonism

a. Folk Hedonism

When the term “hedonism” is used in modern literature, or by non-philosophers in their everyday talk, its meaning is quite different from the meaning it takes when used in the discussions of philosophers. Non-philosophers tend to think of a hedonist as a person who seeks out pleasure for themselves without any particular regard for their own future well-being or for the well-being of others. According to non-philosophers, then, a stereotypical hedonist is someone who never misses an opportunity to indulge of the pleasures of sex, drugs, and rock ‘n’ roll, even if the indulgences are likely to lead to relationship problems, health problems, regrets, or sadness for themselves or others. Philosophers commonly refer to this everyday understanding of hedonism as “Folk Hedonism.” Folk Hedonism is a rough combination of Motivational Hedonism, Hedonistic Egoism, and a reckless lack of foresight.

b. Value Hedonism and Prudential Hedonism

When philosophers discuss hedonism, they are most likely to be referring to hedonism about value, and especially the slightly more specific theory, hedonism about well-being. Hedonism as a theory about value (best referred to as Value Hedonism) holds that all and only pleasure is intrinsically valuable and all and only pain is intrinsically disvaluable. The term “intrinsically” is an important part of the definition and is best understood in contrast to the term “instrumentally.” Something is intrinsically valuable if it is valuable for its own sake. Pleasure is thought to be intrinsically valuable because, even if it did not lead to any other benefit, it would still be good to experience. Money is an example of an instrumental good; its value for us comes from what we can do with it (what we can buy with it). The fact that a copious amount of money has no value if no one ever sells anything reveals that money lacks intrinsic value. Value Hedonism reduces everything of value to pleasure. For example, a Value Hedonist would explain the instrumental value of money by describing how the things we can buy with money, such as food, shelter, and status-signifying goods, bring us pleasure or help us to avoid pain.

Hedonism as a theory about well-being (best referred to as Prudential Hedonism) is more specific than Value Hedonism because it stipulates what the value is for. Prudential Hedonism holds that all and only pleasure intrinsically makes people’s lives go better for them and all and only pain intrinsically makes their lives go worse for them. Some philosophers replace “people” with “animals” or “sentient creatures,” so as to apply Prudential Hedonism more widely. A good example of this comes from Peter Singer’s work on animals and ethics. Singer questions why some humans can see the intrinsic disvalue in human pain, but do not also accept that it is bad for sentient non-human animals to experience pain.

When Prudential Hedonists claim that happiness is what they value most, they intend happiness to be understood as a preponderance of pleasure over pain. An important distinction between Prudential Hedonism and Folk Hedonism is that Prudential Hedonists usually understand that pursuing pleasure and avoiding pain in the very short-term is not always the best strategy for achieving the best long-term balance of pleasure over pain.

Prudential Hedonism is an integral part of several derivative types of hedonistic theory, all of which have featured prominently in philosophical debates of the past. Since Prudential Hedonism plays this important role, the majority of this article is dedicated to Prudential Hedonism. First, however, the main derivative types of hedonism are briefly discussed.

c. Motivational Hedonism

Motivational Hedonism (more commonly referred to by the less descriptive label, “Psychological Hedonism“) is the theory that the desires to encounter pleasure and to avoid pain guide all of our behavior. Most accounts of Motivational Hedonism include both conscious and unconscious desires for pleasure, but emphasize the latter. Epicurus, William James, Sigmund Freud, Jeremy Bentham, John Stuart Mill, and (on one interpretation) even Charles Darwin have all argued for varieties of Motivational Hedonism. Bentham used the idea to support his theory of Hedonistic Utilitarianism (discussed below). Weak versions of Motivational Hedonism hold that the desires to seek pleasure and avoid pain often or always have some influence on our behavior. Weak versions are generally considered to be uncontroversially true and not especially useful for philosophy.

Philosophers have been more interested in strong accounts of Motivational Hedonism, which hold that all behavior is governed by the desires to encounter pleasure and to avoid pain (and only those desires). Strong accounts of Motivational Hedonism have been used to support some of the normative types of hedonism and to argue against non-hedonistic normative theories. One of the most notable mentions of Motivational Hedonism is Plato’s Ring of Gyges example in The Republic. Plato’s Socrates is discussing with Glaucon how men would react if they were to possess a ring that gives its wearer immense powers, including invisibility. Glaucon believes that a strong version of Motivational Hedonism is true, but Socrates does not. Glaucon asserts that, emboldened with the power provided by the Ring of Gyges, everyone would succumb to the inherent and ubiquitous desire to pursue their own ends at the expense of others. Socrates disagrees, arguing that good people would be able to overcome this desire because of their strong love of justice, fostered through philosophising.

Strong accounts of Motivational Hedonism currently garner very little support for similar reasons. Many examples of seemingly-pain-seeking acts performed out of a sense of duty are well-known – from the soldier who jumps on a grenade to save his comrades to that time you rescued a trapped dog only to be (predictably) bitten in the process. Introspective evidence also weighs against strong accounts of Motivational Hedonism; many of the decisions we make seem to be based on motives other than seeking pleasure and avoiding pain. Given these reasons, the burden of proof is considered to be squarely on the shoulders of anyone wishing to argue for a strong account of Motivational Hedonism.

d. Normative Hedonism

Value Hedonism, occasionally with assistance from Motivational Hedonism, has been used to argue for specific theories of right action (theories that explain which actions are morally permissible or impermissible and why). The theory that happiness should be pursued (that pleasure should be pursued and pain should be avoided) is referred to as Normative Hedonism and sometimes Ethical Hedonism.  There are two major types of Normative Hedonism, Hedonistic Egoism and Hedonistic Utilitarianism. Both types commonly use happiness (defined as pleasure minus pain) as the sole criterion for determining the moral rightness or wrongness of an action. Important variations within each of these two main types specify either the actual resulting happiness (after the act) or the predicted resulting happiness (before the act) as the moral criterion. Although both major types of Normative Hedonism have been accused of being repugnant, Hedonistic Egoism is considered the most offensive.

e. Hedonistic Egoism

Hedonistic Egoism is a hedonistic version of egoism, the theory that we should, morally speaking, do whatever is most in our own interests. Hedonistic Egoism is the theory that we ought, morally speaking, to do whatever makes us happiest – that is whatever provides us with the most net pleasure after pain is subtracted. The most repugnant feature of this theory is that one never has to ascribe any value whatsoever to the consequences for anyone other than oneself. For example, a Hedonistic Egoist who did not feel saddened by theft would be morally required to steal, even from needy orphans (if he thought he could get away with it). Would-be defenders of Hedonistic Egoism often point out that performing acts of theft, murder, treachery and the like would not make them happier overall because of the guilt, the fear of being caught, and the chance of being caught and punished. The would-be defenders tend to surrender, however, when it is pointed out that a Hedonistic Egoist is morally obliged by their own theory to pursue an unusual kind of practical education; a brief and possibly painful training period that reduces their moral emotions of sympathy and guilt. Such an education might be achieved by desensitising over-exposure to, and performance of, torture on innocents. If Hedonistic Egoists underwent such an education, their reduced capacity for sympathy and guilt would allow them to take advantage of any opportunities to perform pleasurable, but normally-guilt-inducing, actions, such as stealing from the poor.

Hedonistic Egoism is very unpopular amongst philosophers, not just for this reason, but also because it suffers from all of the objections that apply to Prudential Hedonism.

f. Hedonistic Utilitarianism

Hedonistic Utilitarianism is the theory that the right action is the one that produces (or is most likely to produce) the greatest net happiness for all concerned. Hedonistic Utilitarianism is often considered fairer than Hedonistic Egoism because the happiness of everyone involved (everyone who is affected or likely to be affected) is taken into account and given equal weight. Hedonistic Utilitarians, then, tend to advocate not stealing from needy orphans because to do so would usually leave the orphan far less happy and the (probably better-off) thief only slightly happier (assuming he felt no guilt). Despite treating all individuals equally, Hedonistic Utilitarianism is still seen as objectionable by some because it assigns no intrinsic moral value to justice, friendship, truth, or any of the many other goods that are thought by some to be irreducibly valuable. For example, a Hedonistic Utilitarian would be morally obliged to publicly execute an innocent friend of theirs if doing so was the only way to promote the greatest happiness overall. Although unlikely, such a situation might arise if a child was murdered in a small town and the lack of suspects was causing large-scale inter-ethnic violence. Some philosophers argue that executing an innocent friend is immoral precisely because it ignores the intrinsic values of justice, friendship, and possibly truth.

Hedonistic Utilitarianism is rarely endorsed by philosophers, but mainly because of its reliance on Prudential Hedonism as opposed to its utilitarian element. Non-hedonistic versions of utilitarianism are about as popular as the other leading theories of right action, especially when it is the actions of institutions that are being considered.

2. The Origins of Hedonism

a. Cārvāka

Perhaps the earliest written record of hedonism comes from the Cārvāka, an Indian philosophical tradition based on the Barhaspatya sutras. The Cārvāka persisted for two thousand years (from about 600 B.C.E.). Most notably, the Cārvāka advocated scepticism and Hedonistic Egoism – that the right action is the one that brings the actor the most net pleasure. The Cārvāka acknowledged that some pain often accompanied, or was later caused by, sensual pleasure, but that pleasure was worth it.

b. Aritippus and the Cyrenaics

The Cyrenaics, founded by Aristippus (c. 435-356 B.C.E.), were also sceptics and Hedonistic Egoists. Although the paucity of original texts makes it difficult to confidently state all of the justifications for the Cyrenaics’ positions, their overall stance is clear enough. The Cyrenaics believed pleasure was the ultimate good and everyone should pursue all immediate pleasures for themselves. They considered bodily pleasures better than mental pleasures, presumably because they were more vivid or trustworthy. The Cyrenaics also recommended pursuing immediate pleasures and avoiding immediate pains with scant or no regard for future consequences. Their reasoning for this is even less clear, but is most plausibly linked to their sceptical views – perhaps that what we can be most sure of in this uncertain existence is our current bodily pleasures.

c. Epicurus

Epicurus (c. 341-271 B.C.E.), founder of Epicureanism, developed a Normative Hedonism in stark contrast to that of Aristippus. The Epicureanism of Epicurus is also quite the opposite to the common usage of Epicureanism; while we might like to go on a luxurious “Epicurean” holiday packed with fine dining and moderately excessive wining, Epicurus would warn us that we are only setting ourselves up for future pain. For Epicurus, happiness was the complete absence of bodily and especially mental pains, including fear of the Gods and desires for anything other than the bare necessities of life. Even with only the limited excesses of ancient Greece on offer, Epicurus advised his followers to avoid towns, and especially marketplaces, in order to limit the resulting desires for unnecessary things. Once we experience unnecessary pleasures, such as those from sex and rich food, we will then suffer from painful and hard to satisfy desires for more and better of the same. No matter how wealthy we might be, Epicurus would argue, our desires will eventually outstrip our means and interfere with our ability to live tranquil, happy lives. Epicureanism is generally egoistic, in that it encourages everyone to pursue happiness for themselves. However, Epicureans would be unlikely to commit any of the selfish acts we might expect from other egoists because Epicureans train themselves to desire only the very basics, which gives them very little reason to do anything to interfere with the affairs of others.

d. The Oyster Example

With the exception of a brief period discussed below, Hedonism has been generally unpopular ever since its ancient beginnings. Although criticisms of the ancient forms of hedonism were many and varied, one in particular was heavily cited. In Philebus, Plato’s Socrates and one of his many foils, Protarchus in this instance, are discussing the role of pleasure in the good life. Socrates asks Protarchus to imagine a life without much pleasure but full of the higher cognitive processes, such as knowledge, forethought and consciousness and to compare it with a life that is the opposite. Socrates describes this opposite life as having perfect pleasure but the mental life of an oyster, pointing out that the subject of such a life would not be able to appreciate any of the pleasure within it. The harrowing thought of living the pleasurable but unthinking life of an oyster causes Protarchus to abandon his hedonistic argument. The oyster example is now easily avoided by clarifying that pleasure is best understood as being a conscious experience, so any sensation that we are not consciously aware of cannot be pleasure.

3. The Development of Hedonism

a. Bentham

Normative and Motivational Hedonism were both at their most popular during the heyday of Empiricism in the 18th and 19th Centuries. Indeed, this is the only period during which any kind of hedonism could be considered popular at all. During this period, two Hedonistic Utilitarians, Jeremy Bentham (1748-1832) and his protégé John Stuart Mill (1806-1873), were particularly influential. Their theories are similar in many ways, but are notably distinct on the nature of pleasure.

Bentham argued for several types of hedonism, including those now referred to as Prudential Hedonism, Hedonistic Utilitarianism, and Motivational Hedonism (although his commitment to strong Motivational Hedonism eventually began to wane). Bentham argued that happiness was the ultimate good and that happiness was pleasure and the absence of pain. He acknowledged the egoistic and hedonistic nature of peoples’ motivation, but argued that the maximization of collective happiness was the correct criterion for moral behavior. Bentham’s greatest happiness principle states that actions are immoral if they are not the action that appears to maximise the happiness of all the people likely to be affected; only the action that appears to maximise the happiness of all the people likely to be affected is the morally right action.

Bentham devised the greatest happiness principle to justify the legal reforms he also argued for. He understood that he could not conclusively prove that the principle was the correct criterion for morally right action, but also thought that it should be accepted because it was fair and better than existing criteria for evaluating actions and legislation. Bentham thought that his Hedonic Calculus could be applied to situations to see what should, morally speaking, be done in a situation. The Hedonic Calculus is a method of counting the amount of pleasure and pain that would likely be caused by different actions. The Hedonic Calculus required a methodology for measuring pleasure, which in turn required an understanding of the nature of pleasure and specifically what aspects of pleasure were valuable for us.

Bentham’s Hedonic Calculus identifies several aspects of pleasure that contribute to its value, including certainty, propinquity, extent, intensity, and duration. The Hedonic Calculus also makes use of two future-pleasure-or-pain-related aspects of actions – fecundity and purity. Certainty refers to the likelihood that the pleasure or pain will occur. Propinquity refers to how long away (in terms of time) the pleasure or pain is. Fecundity refers to the likelihood of the pleasure or pain leading to more of the same sensation. Purity refers to the likelihood of the pleasure or pain leading to some of the opposite sensation. Extent refers to the number of people the pleasure or pain is likely to affect. Intensity refers to the felt strength of the pleasure or pain. Duration refers to how long the pleasure or pain are felt for. It should be noted that only intensity and duration have intrinsic value for an individual. Certainty, propinquity, fecundity, and purity are all instrumentally valuable for an individual because they affect the likelihood of an individual feeling future pleasure and pain. Extent is not directly valuable for an individual’s well-being because it refers to the likelihood of other people experiencing pleasure or pain.

Bentham’s inclusion of certainty, propinquity, fecundity, and purity in the Hedonic Calculus helps to differentiate his hedonism from Folk Hedonism. Folk Hedonists rarely consider how likely their actions are to lead to future pleasure or pain, focussing instead on the pursuit of immediate pleasure and the avoidance of immediate pain. So while Folk Hedonists would be unlikely to study for an exam, anyone using Bentham’s Hedonic Calculus would consider the future happiness benefits to themselves (and possibly others) of passing the exam and then promptly begin studying.

Most importantly for Bentham’s Hedonic Calculus, the pleasure from different sources is always measured against these criteria in the same way, that is to say that no additional value is afforded to pleasures from particularly moral, clean, or culturally-sophisticated sources. For example, Bentham held that pleasure from the parlor game push-pin was just as valuable for us as pleasure from music and poetry. Since Bentham’s theory of Prudential Hedonism focuses on the quantity of the pleasure, rather than the source-derived quality of it, it is best described as a type of Quantitative Hedonism.

b. Mill

Bentham’s indifferent stance on the source of pleasures led to others disparaging his hedonism as the philosophy of swine. Even his student, John Stuart Mill, questioned whether we should believe that a satisfied pig leads a better life than a dissatisfied human or that a satisfied fool leads a better life than a dissatisfied Socrates – results that Bentham’s Quantitative Hedonism seems to endorse.

Like Bentham, Mill endorsed the varieties of hedonism now referred to as Prudential Hedonism, Hedonistic Utilitarianism, and Motivational Hedonism. Mill also thought happiness, defined as pleasure and the avoidance of pain, was the highest good. Where Mill’s hedonism differs from Bentham’s is in his understanding of the nature of pleasure. Mill argued that pleasures could vary in quality, being either higher or lower pleasures. Mill employed the distinction between higher and lower pleasures in an attempt to avoid the criticism that his hedonism was just another philosophy of swine. Lower pleasures are those associated with the body, which we share with other animals, such as pleasure from quenching thirst or having sex. Higher pleasures are those associated with the mind, which were thought to be unique to humans, such as pleasure from listening to opera, acting virtuously, and philosophising. Mill justified this distinction by arguing that those who have experienced both types of pleasure realise that higher pleasures are much more valuable. He dismissed challenges to this claim by asserting that those who disagreed lacked either the experience of higher pleasures or the capacity for such experiences. For Mill, higher pleasures were not different from lower pleasures by mere degree; they were different in kind. Since Mill’s theory of Prudential Hedonism focuses on the quality of the pleasure, rather than the amount of it, it is best described as a type of Qualitative Hedonism.

c. Moore

George Edward Moore (1873-1958) was instrumental in bringing hedonism’s brief heyday to an end. Moore’s criticisms of hedonism in general, and Mill’s hedonism in particular, were frequently cited as good reasons to reject hedonism even decades after his death. Indeed, since G. E. Moore, hedonism has been viewed by most philosophers as being an initially intuitive and interesting family of theories, but also one that is flawed on closer inspection. Moore was a pluralist about value and argued persuasively against the Value Hedonists’ central claim – that all and only pleasure is the bearer of intrinsic value. Moore’s most damaging objection against Hedonism was his heap of filth example. Moore himself thought the heap of filth example thoroughly refuted what he saw as the only potentially viable form of Prudential Hedonism – that conscious pleasure is the only thing that positively contributes to well-being. Moore used the heap of filth example to argue that Prudential Hedonism is false because pleasure is not the only thing of value.

In the heap of filth example, Moore asks the reader to imagine two worlds, one of which is exceedingly beautiful and the other a disgusting heap of filth. Moore then instructs the reader to imagine that no one would ever experience either world and asks if it is better for the beautiful world to exist than the filthy one. As Moore expected, his contemporaries tended to agree that it would be better if the beautiful world existed.  Relying on this agreement, Moore infers that the beautiful world is more valuable than the heap of filth and, therefore, that beauty must be valuable. Moore then concluded that all of the potentially viable theories of Prudential Hedonism (those that value only conscious pleasures) must be false because something, namely beauty, is valuable even when no conscious pleasure can be derived from it.

Moore’s heap of filth example has rarely been used to object to Prudential Hedonism since the 1970’s because it is not directly relevant to Prudential Hedonism (it evaluates worlds and not lives). Moore’s other objections to Prudential Hedonism also went out of favor around the same time. The demise of these arguments was partly due to mounting objections against them, but mainly because arguments more suited to the task of refuting Prudential Hedonism were developed. These arguments are discussed after the contemporary varieties of hedonism are introduced below.

4. Contemporary Varieties of Hedonism

a. The Main Divisions

Several contemporary varieties of hedonism have been defended, although usually by just a handful of philosophers or less at any one time. Other varieties of hedonism are also theoretically available but have received little or no discussion. Contemporary varieties of Prudential Hedonism can be grouped based on how they define pleasure and pain, as is done below. In addition to providing different notions of what pleasure and pain are, contemporary varieties of Prudential Hedonism also disagree about what aspect or aspects of pleasure are valuable for well-being (and the opposite for pain).

The most well-known disagreement about what aspects of pleasure are valuable occurs between Quantitative and Qualitative Hedonists. Quantitative Hedonists argue that how valuable pleasure is for well-being depends on only the amount of pleasure, and so they are only concerned with dimensions of pleasure such as duration and intensity. Quantitative Hedonism is often accused of over-valuing animalistic, simple, and debauched pleasures.

Qualitative Hedonists argue that, in addition to the dimensions related to the amount of pleasure, one or more dimensions of quality can have an impact on how pleasure affects well-being. The quality dimensions might be based on how cognitive or bodily the pleasure is (as it was for Mill), the moral status of the source of the pleasure, or some other non-amount-related dimension. Qualitative Hedonism is criticised by some for smuggling values other than pleasure into well-being by misleadingly labelling them as dimensions of pleasure. How these qualities are chosen for inclusion is also criticised for being arbitrary or ad hoc by some because inclusion of these dimensions of pleasure is often in direct response to objections that Quantitative Hedonism cannot easily deal with. That is to say, the inclusion of these dimensions is often accused of being an exercise in plastering over holes, rather than deducing corollary conclusions from existing theoretical premises. Others have argued that any dimensions of quality can be better explained in terms of dimensions of quantity. For example, they might claim that moral pleasures are no higher in quality than immoral pleasures, but that moral pleasures are instrumentally more valuable because they are likely to lead to more moments of pleasure or less moments of pain in the future.

Hedonists also have differing views about how the value of pleasure compares with the value of pain. This is not a practical disagreement about how best to measure pleasure and pain, but rather a theoretical disagreement about comparative value, such as whether pain is worse for us than an equivalent amount of pleasure is good for us. The default position is that one unit of pleasure (sometimes referred to as a Hedon) is equivalent but opposite in value to one unit of pain (sometimes referred to as a Dolor). Several Hedonistic Utilitarians have argued that reduction of pain should be seen as more important than increasing pleasure, sometimes for the Epicurean reason that pain seems worse for us than an equivalent amount of pleasure is good for us. Imagine that a magical genie offered for you to play a game with him. The game consists of you flipping a fair coin. If the coin lands on heads, then you immediately feel a burst of very intense pleasure and if it lands on tails, then you immediately feel a burst of very intense pain. Is it in your best interests to play the game?

Another area of disagreement between some Hedonists is whether pleasure is entirely internal to a person or if it includes external elements. Internalism about pleasure is the thesis that, whatever pleasure is, it is always and only inside a person. Externalism about pleasure, on the other hand, is the thesis that, pleasure is more than just a state of an individual (that is, that a necessary component of pleasure lies outside of the individual). Externalists about pleasure might, for example, describe pleasure as a function that mediates between our minds and the environment, such that every instance of pleasure has one or more integral environmental components. The vast majority of historic and contemporary versions of Prudential Hedonism consider pleasure to be an internal mental state.

Perhaps the least known disagreement about what aspects of pleasure make it valuable is the debate about whether we have to be conscious of pleasure for it to be valuable. The standard position is that pleasure is a conscious mental state, or at least that any pleasure a person is not conscious of does not intrinsically improve their well-being.

b. Pleasure as Sensation

The most common definition of pleasure is that it is a sensation, something that we identify through our senses or that we feel. Psychologists claim that we have at least ten senses, including the familiar, sight, hearing, smell, taste, and touch, but also, movement, balance, and several sub-senses of touch, including heat, cold, pressure, and pain. New senses get added to the list when it is understood that some independent physical process underpins their functioning. The most widely-used examples of pleasurable sensations are the pleasures of eating, drinking, listening to music, and having sex. Use of these examples has done little to help Hedonism avoid its debauched reputation.

It is also commonly recognised that our senses are physical processes that usually involve a mental component, such as the tickling feeling when someone blows gently on the back of your neck. If a sensation is something we identify through our sense organs, however, it is not entirely clear how to account for abstract pleasures. This is because abstract pleasures, such as a feeling of accomplishment for a job well done, do not seem to be experienced through any of the senses in the standard lists. Some Hedonists have attempted to resolve this problem by arguing for the existence of an independent pleasure sense and by defining sensation as something that we feel (regardless of whether it has been mediated by sense organs).

Most Hedonists who describe pleasure as a sensation will be Quantitative Hedonists and will argue that the pleasure from the different senses is the same. Qualitative Hedonists, in comparison, can use the framework of the senses to help differentiate between qualities of pleasure. For example, a Qualitative Hedonist might argue that pleasurable sensations from touch and movement are always lower quality than the others.

c. Pleasure as Intrinsically Valuable Experience

Hedonists have also defined pleasure as intrinsically valuable experience, that is to say any experiences that we find intrinsically valuable either are, or include, instances of pleasure. According to this definition, the reason that listening to music and eating a fine meal are both intrinsically pleasurable is because those experiences include an element of pleasure (along with the other elements specific to each activity, such as the experience of the texture of the food and the melody of the music). By itself, this definition enables Hedonists to make an argument that is close to perfectly circular. Defining pleasure as intrinsically valuable experience and well-being as all and only experiences that are intrinsically valuable allows a Hedonist to all but stipulate that Prudential Hedonism is the correct theory of well-being. Where defining pleasure as intrinsically valuable experience is not circular is in its stipulation that only experiences matter for well-being. Some well-known objections to this idea are discussed below.

Another problem with defining pleasure as intrinsically valuable experience is that the definition does not tell us very much about what pleasure is or how it can be identified. For example, knowing that pleasure is intrinsically valuable experience would not help someone to work out if a particular experience was intrinsically or just instrumentally valuable. Hedonists have attempted to respond to this problem by explaining how to find out whether an experience is intrinsically valuable.

One method is to ask yourself if you would like the experience to continue for its own sake (rather than because of what it might lead to). Wanting an experience to continue for its own sake reveals that you find it to be intrinsically valuable. While still making a coherent theory of well-being, defining intrinsically valuable experiences as those you want to perpetuate makes the theory much less hedonistic. The fact that what a person wants is the main criterion for something having intrinsic value, makes this kind of theory more in line with preference satisfaction theories of well-being. The central claim of preference satisfaction theories of well-being is that some variant of getting what one wants, or should want, under certain conditions is the only thing that intrinsically improves one’s well-being.

Another method of fleshing out the definition of pleasure as intrinsically valuable experience is to describe how intrinsically valuable experiences feel. This method remains a hedonistic one, but seems to fall back into defining pleasure as a sensation.

It has also been argued that what makes an experience intrinsically valuable is that you like or enjoy it for its own sake. Hedonists arguing for this definition of pleasure usually take pains to position their definition in between the realms of sensation and preference satisfaction. They argue that since we can like or enjoy some experiences without concurrently wanting them or feeling any particular sensation, then liking is distinct from both sensation and preference satisfaction. Liking and enjoyment are also difficult terms to define in more detail, but they are certainly easier to recognise than the rather opaque “intrinsically valuable experience.”

Merely defining pleasure as intrinsically valuable experience and intrinsically valuable experiences as those that we like or enjoy still lacks enough detail to be very useful for contemplating well-being. A potential method for making this theory more useful would be to draw on the cognitive sciences to investigate if there is a specific neurological function for liking or enjoying. Cognitive science has not reached the point where anything definitive can be said about this, but a few neuroscientists have experimental evidence that liking and wanting (at least in regards to food) are neurologically distinct processes in rats and have argued that it should be the same for humans. The same scientists have wondered if the same processes govern all of our liking and wanting, but this question remains unresolved.

Most Hedonists who describe pleasure as intrinsically valuable experience believe that pleasure is internal and conscious. Hedonists who define pleasure in this way may be either Quantitative or Qualitative Hedonists, depending on whether they think that quality is a relevant dimension of how intrinsically valuable we find certain experiences.

d. Pleasure as Pro-Attitude

One of the most recent developments in modern hedonism is the rise of defining pleasure as a pro-attitude – a positive psychological stance toward some object. Any account of Prudential Hedonism that defines pleasure as a pro-attitude is referred to as Attitudinal Hedonism because it is a person’s attitude that dictates whether anything has intrinsic value. Positive psychological stances include approving of something, thinking it is good, and being pleased about it. The object of the positive psychological stance could be a physical object, such as a painting one is observing, but it could also be a thought, such as “my country is not at war,” or even a sensation. An example of a pro-attitude towards a sensation could be being pleased about the fact that an ice cream tastes so delicious.

Fred Feldman, the leading proponent of Attitudinal Hedonism, argues that the sensation of pleasure only has instrumental value – it only brings about value if you also have a positive psychological stance toward that sensation. In addition to his basic Intrinsic Attitudinal Hedonism, which is a form of Quantitative Hedonism, Feldman has also developed many variants that are types of Qualitative Hedonism. For example, Desert-Adjusted Intrinsic Attitudinal Hedonism, which reduces the intrinsic value a pro-attitude has for our well-being based on the quality of deservedness (that is, on the extent to which the particular object deserves a pro-attitude or not). For example, Desert-Adjusted Intrinsic Attitudinal Hedonism might stipulate that sensations of pleasure arising from adulterous behavior do not deserve approval, and so assign them no value.

Defining pleasure as a pro-attitude, while maintaining that all sensations of pleasure have no intrinsic value, makes Attitudinal Hedonism less obviously hedonistic as the versions that define pleasure as a sensation. Indeed, defining pleasure as a pro-attitude runs the risk of creating a preference satisfaction account of well-being because being pleased about something without feeling any pleasure seems hard to distinguish from having a preference for that thing.

5. Contemporary Objections

a. Pleasure is Not the Only Source of Intrinsic Value

The most common argument against Prudential Hedonism is that pleasure is not the only thing that intrinsically contributes to well-being. Living in reality, finding meaning in life, producing noteworthy achievements, building and maintaining friendships, achieving perfection in certain domains, and living in accordance with religious or moral laws are just some of the other things thought to intrinsically add value to our lives. When presented with these apparently valuable aspects of life, Hedonists usually attempt to explain their apparent value in terms of pleasure. A Hedonist would argue, for example, that friendship is not valuable in and of itself, rather it is valuable to the extent that it brings us pleasure. Furthermore, to answer why we might help a friend even when it harms us, a Hedonist will argue that the prospect of future pleasure from receiving reciprocal favors from our friend, rather than the value of friendship itself, should motivate us to help in this way.

Those who object to Prudential Hedonism on the grounds that pleasure is not the only source of intrinsic value use two main strategies. In the first strategy, objectors make arguments that some specific value cannot be reduced to pleasure. In the second strategy, objectors cite very long lists of apparently intrinsically valuable aspects of life and then challenge hedonists with the prolonged and arduous task of trying to explain how the value of all of them can be explained solely by reference to pleasure and the avoidance of pain. This second strategy gives good reason to be a pluralist about value because the odds seem to be against any monistic theory of value, such as Prudential Hedonism. The first strategy, however, has the ability to show that Prudential Hedonism is false, rather than being just unlikely to be the best theory of well-being.

The most widely cited argument for pleasure not being the only source of intrinsic value is based on Robert Nozick’s experience machine thought-experiment. Nozick’s experience machine thought-experiment was designed to show that more than just our experiences matter to us because living in reality also matters to us. This argument has proven to be so convincing that nearly every single book on ethics that discusses hedonism rejects it using only this argument or this one and one other.

In the thought experiment, Nozick asks us to imagine that we have the choice of plugging in to a fantastic machine that flawlessly provides an amazing mix of experiences. Importantly, this machine can provide these experiences in a way that, once plugged in to the machine, no one can tell that their experiences are not real. Disregarding considerations about responsibilities to others and the problems that would arise if everyone plugged in, would you plug in to the machine for life? The vast majority of people reject the choice to live a much more pleasurable life in the machine, mostly because they agree with Nozick that living in reality seems to be important for our well-being. Opinions differ on what exactly about living in reality is so much better for us than the additional pleasure of living in the experience machine, but the most common response is that a life that is not lived in reality is pointless or meaningless.

Since this argument has been used so extensively (from the mid 1970’s onwards) to dismiss Prudential Hedonism, several attempts have been made to refute it. Most commonly, Hedonists argue that living an experience machine life would be better than living a real life and that most people are simply mistaken to not want to plug in. Some go further and try to explain why so many people choose not to plug in. Such explanations often point out that the most obvious reasons for not wanting to plug in can be explained in terms of expected pleasure and avoidance of pain. For example, it might be argued that we expect to get pleasure from spending time with our real friends and family, but we do not expect to get as much pleasure from the fake friends or family we might have in the experience machine. These kinds of attempts to refute the experience machine objection do little to persuade non-Hedonists that they have made the wrong choice.

A more promising line of defence for the Prudential Hedonists is to provide evidence that there is a particular psychological bias that affects most people’s choice in the experience machine thought experiment. A reversal of Nozick’s thought experiment has been argued to reveal just such a bias. Imagine that a credible source tells you that you are actually in an experience machine right now. You have no idea what reality would be like. Given the choice between having your memory of this conversation wiped and going to reality, what would be best for you to choose? Empirical evidence on this choice shows that most people would choose to stay in the experience machine. Comparing this result with how people respond to Nozick’s experience machine thought experiment reveals the following: In Nozick’s experience machine thought experiment people tend to choose a real and familiar life over a more pleasurable life and in the reversed experience machine thought experiment people tend to choose a familiar life over a real life. Familiarity seems to matter more than reality, undermining the strength of Nozick’s original argument. The bias thought to be responsible for this difference is the status quo bias – an irrational preference for the familiar or for things to stay as they are.

Regardless of whether Nozick’s experience machine thought experiment is as decisive a refutation of Prudential Hedonism as it is often thought to be, the wider argument (that living in reality is valuable for our well-being) is still a problem for Prudential Hedonists. That our actions have real consequences, that our friends are real, and that our experiences are genuine seem to matter for most of us regardless of considerations of pleasure. Unfortunately, we lack a trusted methodology for discerning if these things should matter to us. Perhaps the best method for identifying intrinsically valuable aspects of lives is to compare lives that are equal in pleasure and all other important ways, except that one aspect of one of the lives is increased. Using this methodology, however, seems certain to lead to an artificial pluralist conclusion about what has value. This is because any increase in a potentially valuable aspect of our lives will be viewed as a free bonus. And, most people will choose the life with the free bonus just in case it has intrinsic value, not necessarily because they think it does have intrinsic value.

b. Some Pleasure is Not Valuable

The main traditional line of criticism against Prudential Hedonism is that not all pleasure is valuable for well-being, or at least that some pleasures are less valuable than others because of non-amount-related factors. Some versions of this criticism are much easier for Prudential Hedonists to deal with than others depending on where the allegedly disvaluable aspect of the pleasure resides. If the disvaluable aspect is experienced with the pleasure itself, then both Qualitative and Quantitative varieties of Prudential Hedonism have sufficient answers to these problems. If, however, the disvaluable aspect of the pleasure is never experienced, then all types of Prudential Hedonism struggle to explain why the allegedly disvaluable aspect is irrelevant.

Examples of the easier criticisms to deal with are that Prudential Hedonism values, or at least overvalues, perverse and base pleasures. These kinds of criticisms tend to have had more sway in the past and doubtless encouraged Mill to develop his Qualitative Hedonism. In response to the charge that Prudential Hedonism mistakenly values pleasure from sadistic torture, sating hunger, copulating, listening to opera, and philosophising all equally, Qualitative Hedonists can simply deny that it does. Since pleasure from sadistic torture will normally be experienced as containing the quality of sadism (just as the pleasure from listening to good opera is experienced as containing the quality of acoustic excellence), the Qualitative Hedonist can plausibly claim to be aware of the difference in quality and allocate less value to perverse or base pleasures accordingly.

Prudential Hedonists need not relinquish the Quantitative aspect of their theory in order to deal with these criticisms, however. Quantitative Hedonists, can simply point out that moral or cultural values are not necessarily relevant to well-being because the investigation of well-being aims to understand what the good life for the one living it is and what intrinsically makes their life go better for them. A Quantitative Hedonist can simply respond that a sadist that gets sadistic pleasure from torturing someone does improve their own well-being (assuming that the sadist never feels any negative emotions or gets into any other trouble as a result). Similarly, a Quantitative Hedonist can argue that if someone genuinely gets a lot of pleasure from porcine company and wallowing in the mud, but finds opera thoroughly dull, then we have good reason to think that having to live in a pig sty would be better for her well-being than forcing her to listen to opera.

Much more problematic for both Quantitative and Qualitative Hedonists, however, are the more modern versions of the criticism that not all pleasure is valuable. The modern versions of this criticism tend to use examples in which the disvaluable aspect of the pleasure is never experienced by the person whose well-being is being evaluated. The best example of these modern criticisms is a thought experiment devised by Shelly Kagan. Kagan’s deceived businessman thought experiment is widely thought to show that pleasures of a certain kind, namely false pleasures, are worth much less than true pleasures.

Kagan asks us to imagine the life of a very successful businessman who takes great pleasure in being respected by his colleagues, well-liked by his friends, and loved by his wife and children until the day he died. Then Kagan asks us to compare this life with one of equal length and the same amount of pleasure (experienced as coming from exactly the same sources), except that in each case the businessman is mistaken about how those around him really feel. This second (deceived) businessman experiences just as much pleasure from the respect of his colleagues and the love of his family as the first businessman. The only difference is that the second businessman has many false beliefs. Specifically, the deceived businessman’s colleagues actually think he is useless, his wife doesn’t really love him, and his children are only nice to him so that he will keep giving them money. Given that the deceived businessman never knew of any of these deceptions and his experiences were never negatively impacted by the deceptions indirectly, which life do you think is better?

Nearly everyone thinks that the deceived businessman has a worse life. This is a problem for Prudential Hedonists because the pleasure is quantitatively equal in each life, so they should be equally good for the one living it. Qualitative Hedonism does not seem to be able to avoid this criticism either because the falsity of the pleasures experienced by the deceived businessman is a dimension of the pleasure that he never becomes aware of. Theoretically, an externalist and qualitative version of Attitudinal Hedonism could include the falsity dimension of an instance of pleasure even if the falsity dimension never impacts the consciousness of the person. However, the resulting definition of pleasure bears little resemblance to what we commonly understand pleasure to be and also seems to be ad hoc in its inclusion of the truth dimension but not others. A dedicated Prudential Hedonist of any variety can always stubbornly stick to the claim that the lives of the two businessmen are of equal value, but that will do little to convince the vast majority to take Prudential Hedonism more seriously.

c. There is No Coherent and Unifying Definition of Pleasure

Another major line of criticism used against Prudential Hedonists is that they have yet to come up with a meaningful definition of pleasure that unifies the seemingly disparate array of pleasures while remaining recognisable as pleasure. Some definitions lack sufficient detail to be informative about what pleasure actually is, or why it is valuable, and those that do offer enough detail to be meaningful are faced with two difficult tasks.

The first obstacle for a useful definition of pleasure for hedonism is to unify all of the diverse pleasures in a reasonable way. Phenomenologically, the pleasure from reading a good book is very different to the pleasure from bungee jumping, and both of these pleasures are very different to the pleasure of having sex. This obstacle is unsurpassable for most versions of Quantitative Hedonism because it makes the value gained from different pleasures impossible to compare. Not being able to compare different types of pleasure results in being unable to say if a life is better than another in most even vaguely realistic cases. Furthermore, not being able to compare lives means that Quantitative Hedonism could not be usefully used to guide behavior since it cannot instruct us on which life to aim for.

Attempts to resolve the problem of unifying the different pleasures while remaining within a framework of Quantitative Hedonism, usually involve pointing out something that is constant in all of the disparate pleasures and defining that particular thing as pleasure. When pleasure is defined as a strict sensation, this strategy fails because introspection reveals that no such sensation exists. Pleasure defined as the experience of liking or as a pro-attitude does much better at unifying all of the diverse pleasures. However, defining pleasure in these ways makes the task of filling in the details of the theory a fine balancing act. Liking or pro-attitudes must be described in such a way that they are not solely a sensation or best described as a preference satisfaction theory. And they must perform this balancing act while still describing a scientifically plausible and conceptually coherent account of pleasure. Most attempts to define pleasure as liking or pro-attitudes seem to disagree with either the folk conception of what pleasure is or any of the plausible scientific conceptions of how pleasure functions.

Most varieties of Qualitative Hedonism do better at dealing with the problem of diverse pleasures because they can evaluate different pleasures according to their distinct qualities. Qualitative Hedonists still need a coherent method for comparing the different pleasures with each other in order to be more than just an abstract theory of well-being, however. And, it is difficult to construct such a methodology in a way that avoids counter examples, while still describing a scientifically plausible and conceptually coherent account of pleasure.

The second obstacle is creating a definition of pleasure that retains at least some of the core properties of the common understanding of the term ‘pleasure’. As mentioned, many of the potential adjustments to the main definitions of pleasure are useful for avoiding one or more of the many objections against Prudential Hedonism. The problem with this strategy is that the more adjustments that are made, the more apparent it becomes that the definition of pleasure is not recognisable as the pleasure that gave Hedonism its distinctive intuitive plausibility in the first place. When an instance of pleasure is defined simply as when someone feels good, its intrinsic value for well-being is intuitively obvious. However, when the definition of pleasure is stretched, so as to more effectively argue that all valuable experiences are pleasurable, it becomes much less recognisable as the concept of pleasure we use in day-to-day life and its intrinsic value becomes much less intuitive.

6. The Future of Hedonism

The future of hedonism seems bleak. The considerable number and strength of the arguments against Prudential Hedonism’s central principle (that pleasure and only pleasure intrinsically contributes positively to well-being and the opposite for pain) seem insurmountable. Hedonists have been creative in their definitions of pleasure so as to avoid these objections, but more often than not find themselves defending a theory that is not particularly hedonistic, realistic or both.

Perhaps the only hope that Hedonists of all types can have for the future is that advances in cognitive science will lead to a better understanding of how pleasure works in the brain and how biases affect our judgements about thought experiments. If our improved understanding in these areas confirms a particular theory about what pleasure is and also provides reasons to doubt some of the widespread judgements about the thought experiments that make the vast majority of philosophers reject hedonism, then hedonism might experience at least a partial revival. The good news for Hedonists is that at least some emerging theories and results from cognitive science do appear to support some aspects of hedonism.

7. References and Further Reading

a. Primary Sources

  • Bentham, Jeremy (1789). An Introduction to the Principles of Morals and Legislation, First printed in 1780 and first published in 1789. A corrected edition with extra footnotes and paragraphs at the end was published in 1823. Recent edition: Adamant Media Corporation, 2005.
    • Bentham’s main discussion of his Quantitative Hedonistic Utilitarianism.
  • Blake, R. M. (1926). Why Not Hedonism? A Protest, International Journal of Ethics, 37(1): 1-18.
    • An excellent refutation of G. E. Moore’s main arguments against hedonism.
  • Crisp, Roger (2006). Reasons and the Good, Oxford: Clarendon Press.
    • Discusses the importance of ultimate reasons and argues that the best of these do not use moral concepts. The volume also defends Prudential Hedonism, especially Chapter 4.
  • Crisp, R. (2006). Hedonism Reconsidered, Philosophy and Phenomenological Research, LXXIII(3): 619-645.
    • Essentially the same as Chapter 4 from his Reasons and the Good.
  • De Brigard, F. (2010). If You Like it, Does it Matter if it’s Real?, Philosophical Psychology, 23(1): 43-57.
    • Presents empirical evidence that the experience machine thought experiment is heavily affected by a psychological bias.
  • Feldman, Fred (1997). Utilitarianism, Hedonism, and Desert: Essays in Moral Philosophy, Cambridge: Cambridge University Press.
    • Contains a mixture of topics relevant to hedonism, including modern and ancient theories and objections. There is a detailed section on adjusting pleasure to take deservedness into account (Part III).
  • Feldman, Fred (2004). Pleasure and the Good Life, Oxford: Clarendon Press.
    • The best and most detailed account of Attitudinal Hedonism. This volume also includes a very detailed account of how Prudential Hedonism should be defined.
  • Kagan, Shelly (1998). Chapter 2: The Good, in his Normative Ethics, Oxford: Westview Press, pp. 25-69.
    • See especially pp. 34-36 for the first discussion of the Deceived Businessman thought experiment.
  • Kawall, J. (1999). The Experience Machine and Mental State Theories of Well-being, The Journal of Value Inquiry, 33: 381-387.
    • An excellent article about the strengths and weaknesses of the experience machine thought experiment as it is used against hedonism.
  • Kringelbach, Morten L. & Berridge, Kent B. (eds.) (2010). Pleasures of the Brain, Oxford University Press.
    • This edited volume collects papers from the leading experts on pleasure from the disciplines of psychology and neuroscience. Perhaps of most value is a chapter at the front of the book in which the experts all answer a standard set of questions posed by the editors. The questions include: “Is pleasure necessarily a conscious feeling?”, “Is pleasure simply a sensation, like sweetness?”, and “Is there a common currency for all sensory pleasures… [o]r are different sensory pleasures mediated by different neural circuits?” The experts answers to these questions is the perfect starting point for a philosopher looking to find out more about pleasure from cognitive science.
  • Mill, John Stuart (1861). Utilitarianism, Indianapolis: Bobbs-Merrill, 1957.
    • Mill’s main discussion of his Qualitative Hedonistic Utilitarianism.
  • Moore, George E. (1903). Principia Ethica, Cambridge: Cambridge University Press.
    • See especially Chapter 3 on hedonism, which contains Moore’s influential arguments against hedonism.
  • Nozick, R. (1974). Anarchy, State, and Utopia, Oxford: Blackwell, 1991.
    • See especially pp. 42-45 for the first discussion of the experience machine thought experiment.
  • Plato (1937). Philebus, in The Dialogues of Plato, trans. by B. Jowett, New York: Random House.
    • See especially Part ii, p. 353 for the oyster example.
  • Plato (1974). Book II: Preliminaries, in The Republic, trans. by Desmond Lee, second edition (revised), Penguin Books, 1983.
    • Original discussion of the Ring of Gyges example.
  • Sobel, D. (1999). Pleasure as a Mental State, Utilitas, 11(2): 230-234.
    • Argues against the viability of defining pleasure as intrinsically valuable experience.
  • Sobel, D. (2002). Varieties of Hedonism, Journal of Social Philosophy, 33(2): 240-256.
    • Describes some of the main types of Prudential Hedonism and the problems with them.
  • Tännsjö, T. (1998). Hedonistic Utilitarianism, Edinburgh University Press.
    • Tännsjö endorses unconscious pleasures as being valuable, an unusual contemporary position. This book can be difficult to acquire.
  • Tännsjö, T. (2007). Narrow Hedonism, Journal of Happiness Studies, 8:79-98.
    • Worth a look if you do not have access to his Hedonistic Utilitarianism.
  • Weijers, D. (2011). Intuitive Biases in Judgements about Thought Experiments: The Experience Machine Revisited, Philosophical Writings, 50 & 51.
    • An explanation of how psychological biases can affect our judgements about thought experiments using the experience machine thought experiment as an example.

b. Secondary and Mixed Sources

  • Gunaratna. Tarkarahasyadīpika. Cārvāka/Lokāyata: an Anthology of Source Materials and Some Recent Studies. Ed. Debiprasad Chattopadhyaya. New Delhi: Indian Council of Philosophical Research in association with Rddhi-India Calcutta, 1990.
    • An anthology of primary source materials on the Cārvāka with some more recent analysis.
  • Inwood, B., & Gerson, L. P. (eds.) (1994). The Epicurus Reader: Selected Writings and Testimonia. Indianapolis, Hackett Publishing.
    • An inexpensive collection that has most of the major extant writings of Epicurus, in addition to other ancient sources such as Cicero and Plutarch who wrote about Epicureanism. However, there is little commentary or explication of the material, and some of the primary sources are fairly opaque. Unusually, the writing of Lucretius does not feature much in this collection.
  • Laertius, Diogenes (1925) Aristippus, in Volume I, Book II of his Lives of the Philosophers, trans. by R. D. Hicks, The Loeb Classical Library, Harvard University Press.
  • Laertius, Diogenes (1925) Epicurus, in Volume II, Book X of Lives of Eminent Philosophers, trans. by R. D. Hicks, The Loeb Classical Library, Harvard University Press.
  • Mitsis, Phillip (1988). Epicurus’ Ethical Theory: The Pleasures of Invulnerability, Ithaca: Cornell University Press.
    • Covers all of the major areas of Epicurean ethics, from pleasure, to friendship, justice, and human freedom. Mitsis is especially good at showing how Epicurus’ conception of pleasure differs from that of the more modern Utilitarians.
  • O’Keefe, Tim (2002). The Cyrenaics on Pleasure, Happiness, and Future-Concern, Phronesis, 47(4), pp. 395-416.
    • Explores the question of why the Cyrenaics, alone among ancient Greek ethical theorists, claim that happiness is not the highest good, but particular pleasures are instead, and that one should not worry about the long-term consequences of one’s actions but instead concentrate on obtaining pleasures that are near at hand.
  • Smith, James and Sosa, Ernest (eds.) (1969). Mill’s Utilitarianism: Text and Criticism, Belmont CA: Wadsworth.
    • A great collection of Mill’s writing and commentaries on it by Mill scholars. The volume also includes an extensive section on suggested further reading. The Further reading section is helpfully broken down by which of Mill’s essays they are most relevant to.
  • West, Henry R. (ed.) (2006). The Blackwell Guide to Mill’s Utilitarianism, Oxford: Blackwell.
    • A collection of essays on different aspects of Mill’s Hedonistic Utilitarianism and the relevant original passages from Mill. See especially Chapter 4, Wendy Donner’s article, Mill’s Theory of Value.

 

Author Information

Dan Weijers
Email: danweijers@gmail.com
Victoria University of Wellington
New Zealand

The Safety Condition for Knowledge

A number of epistemologists have defended a necessary condition for knowledge that has come to be labeled as the “safety” condition. Timothy Williamson, Duncan Pritchard, and Ernest Sosa are the foremost defenders of safety. According to these authors an agent S knows a true proposition P only if S could not easily have falsely believed P. Disagreement arises, however, with respect to how they capture the notion of a safe belief.

Unlike Pritchard and Sosa, who have gone on to incorporate the safety condition into a virtue account of knowledge, Williamson distances himself from the project of offering reductive analyses of knowledge. Williamson’s project can best be thought of as an illumination of the structural features of knowledge by way of safety. The maneuvers of Pritchard and Sosa into the domain of virtue epistemology are not discussed here.

This article is a treatment of the different presentations and defenses of the safety condition for knowledge. Special attention is first paid to an elucidation of the various aspects or features of the safety condition. Following a short demonstration, of the manner in which the safety condition handles some rather tough Gettier-like cases in the literature, some problems facing safety conclude this article.

Table of Contents

  1. Historical Background
  2. The Safety Condition as a Necessary Condition for Knowledge
    1. Timothy Williamson
    2. Duncan Pritchard
    3. Ernest Sosa
  3. Elucidating the Safety Condition
    1. What Counts as a Close World?
      1. The Time Factor
      2. What Type of Reliability does Safety Require?
      3. Methods
      4. Skepticism
    2. How do the Safety and Sensitivity Conditions Differ?
    3. The Semantics of Safety
  4. Safety in Action
    1. Gettier and Chisholm
    2. Fake Barns
    3. Matches
  5. Problems for Safety
    1. Knowledge of Necessarily True Propositions
    2. Knowledge of the Future
      1. Williamson’s Response
      2. Pritchard’s Response
    3. Safety and Determinism
  6. References and Further Reading

1. Historical Background

Knowledge is incompatible with accidentally true belief. That is to say, if an agent S is lucky that her belief P is true, S does not know P. This feature of knowledge was made explicit by Bertrand Russell (1948: 170) and, more famously, by Edmund Gettier (1963) who demonstrated that a justified true belief (JTB) is insufficient for knowledge. Gettier provided us with cases in which there is strong intuitive pull towards the judgment that S can have a justified true belief P yet not know P because S is lucky that S’s belief P is true. To use Russell’s case, suppose S truly believes it’s noon as a result of looking at a clock that correctly reads noon. However, unbeknownst to S this clock broke exactly twelve hours prior. Even though S has good reasons to believe it’s noon and S’s belief is true, S does not know it’s noon since S is lucky that her belief is true.

Several notable attempts were made to improve the JTB analysis of knowledge; in particular, some were attracted to the idea that a stronger justification condition would resolve Gettier problems (Shope 1983: 45-108). Thus began the vast literature on the nature of epistemic justification. Others, though disagreeing among themselves about the place of justification in an account of knowledge, sought a solution to the Gettier problem in a new anti-luck condition for knowledge. (The majority of these accounts dropped the justification requirement.) One of these attempts is particularly relevant here. Fred Dretske (1970) and Robert Nozick (1981) proposed accounts of knowledge central to which were a  counterfactual condition, Nozick’s being the more popular of the two. Nozick proposed the following counterfactual as a necessary condition for knowledge (1981: 179): S knows P via a method M only if, were P false, S would not believe P via MP ☐→ ¬B(P)]. This came to be termed the sensitivity condition for knowledge. To satisfy this condition it must be the case that in the closest world in which P is false S does not believe P. That is, S must track the truth of P to know P (where possible worlds are ordered as per their similarity to the actual world).

Nozick’s account enjoyed widespread popularity because of its anti-skeptical capabilities. Following Nozick, I count as knowing that there is tree in my garden since I would not believe that if none were planted there, that is, in the closest world in which there is no tree in my garden (for example, when none is planted there), I do not believe that there is a tree in my garden. Worlds where radically skeptical scenarios are true count as further off since those worlds are more dissimilar to the actual world than the world in which no tree is planted in my garden. That I would believe falsely in those worlds is thus irrelevant. In other words, that I would falsely believe in such a far off world is inconsequential to whether I believe truly in the actual world.

Nozick’s account came with two significant costs, however. Firstly, it cannot accommodate the very intuitive principle that knowledge is closed under known entailment. Roughly, this principle states that if S knows P and S knows that P entails Q then S knows Q. It follows, then, that if I know that I have hands, and I know that if I have hands entails that I am not a handless brain in the vat, then I know that I am not a handless brain in the vat. However, I fail to know that I am not a handless brain in the vat since I would falsely believe I was not a handless brain in the vat in the closest world in which the proposition “I am not a handless brain in the vat” is false (that is, the world in which I am a handless brain in the vat). In other words, the sensitivity condition for knowledge cannot be satisfied when it comes to the denial of radically skeptical hypotheses. Seeing no way to redeem his account from this problem, Nozick (1981: 198ff) was forced into the rather unorthodox position of having to deny the universal applicability of closure as a feature of knowledge.

Secondly, Nozick admits that the sensitivity condition cannot feature as a condition for knowledge of necessarily true propositions as there is no world in which such propositions are false since, by definition, necessarily true propositions are true in every possible world. The scope of the sensitivity condition is thus limited to knowledge of contingently true propositions. That the sensitivity condition cannot, for example, illuminate the nature of our mathematical or logical knowledge makes it less preferable, ceteris paribus, than a condition that can.

At the end of the twentieth century and the beginning of the twenty-first, several authors proposed a novel and relatively similar condition for knowledge that has come to be known as the safety condition, the elucidation of which being the objective here. As the relevant features of the safety condition are presented and explained, the following salient points will emerge. The safety condition is similar to the sensitivity condition in that it too is a modal condition for knowledge. That’s where any significant similarity ends. As shall be demonstrated at length, safety differs from sensitivity in the following ways. Firstly, and most importantly, safety permits knowing the denial of a radically skeptical hypothesis in a manner that maintains the closure principle. This advantage by itself acts as a strong point in favor of the safety condition. Secondly, most formulations of the safety condition are not in the form of a counterfactual. Thirdly, the safety condition is more expansive than the sensitivity condition in that its scope includes knowledge of both necessarily true and contingently true propositions. Lastly, epistemologists since then generally believe the safety condition opens the way to a more enlightened response to skepticism.

2. The Safety Condition as a Necessary Condition for Knowledge

The literature on the safety condition is challenging for even the seasoned philosopher. Seeing that Williamson, Pritchard, and Sosa have developed their thoughts over a lengthy period of time and in a large number of publications, it has become quite a task to keep track of the epicycles in the conceptual development and defense of the safety condition. Additionally, each of its advocates is motivated to formulate the safety condition in a distinct way, where even slight differences in formulation make for significant conceptual divergence. In light of these considerations, it is best to begin with a separate treatment of each author’s presentation of the safety condition before proceeding to an overall elucidation of the safety condition.

a. Timothy Williamson

Williamson (2000) is involved in the project of illuminating several structural features of knowledge. His safety condition is both the result of this project and an integral part of it.

Williamson, in stark opposition to the standard practice in the post-Gettier period, resists being drawn into offering a conceptual analysis of knowledge in terms of non-trivial and non-circular necessary and jointly sufficient conditions for knowledge, a project he thinks is futile given its history of repetitive failures. Knowledge, for Williamson, requires avoidance of error in similar cases. This is to be taken as a schema by which to elucidate the structural features of knowledge. The basic idea, then, is that S knows P only if S is safe from error; that is, there must be no risk or danger that S believes falsely in a similar case. The relevant modal notions of safety, risk, and danger are cashed out in terms of possible worlds such that there is no close world surrounding the actual world in which S falls into error: “safety is a sort of local necessity” (Williamson 2009d: 14). These possible worlds in which S truly believes P act as a kind of “buffer zone” from error and thereby prevent the type of epistemic luck that characterize Gettier cases. In Russell’s case, for example, S does not know that it’s noon since there is a close world in which S falsely believes that it’s noon, for instance, one in which S looks at the clock slightly before or after noon.

Despite Williamson’s opposition to the project of analyzing knowledge into non-trivial necessary and sufficient conditions, it seems clear enough that Williamson should be read as putting forward safety as a necessary condition for knowledge given that he presents the safety condition as a conditional using the appropriate locution only if. And this is how his critics typically interpret him. As Williamson formulates the safety condition in a number of different ways on different occasions, it is impossible to pin down one formulation as representing Williamson’s view. Here is one formulation that will suffice for the time being:

(SF)     If one knows, one could not easily have been wrong in a similar case (2000: 147)

Nevertheless, the manner in which Williamson expresses the safety condition still separates him from those who offer necessary conditions for knowledge. As Williamson emphasizes time and again, the safety condition, as he states it, is to be taken as a circular necessary condition in that whether or not a case β counts as a relevantly similar case to α is in part determined by whether we are inclined to attribute knowledge to the agent in α; safety (reliability in similar enough cases) cannot be defined without reference to knowledge, and knowledge without reference to safety (2000: 100; 2009d: 9-10). Safety, by Williamson’s lights is thus not to be taken as a recipe by which to determine whether or not the agent is to be attributed knowledge in each and every case. Rather, it is a model by which to illuminate the structural features of knowledge and by which we can begin talking about knowledge in individual cases. As Williamson observes, “the point of the safety conception of knowing is not to enable one to determine whether a knowledge attribution is true in a given case by applying one’s general understanding of safety, without reference to knowing itself. If one tried to do that, one would very likely get it wrong” (2009d: ibid.).

b. Duncan Pritchard

Pritchard is attracted to the idea that a conceptual analysis of our concept “luck” will yield sufficient insight from which to build a satisfactory anti-luck condition for knowledge. In other words, with a conceptual mastery of the nature of luck in hand, the problem of epistemic luck can, in theory, be overcome. Pritchard’s safety condition is thus formulated in a manner which reflects his work on the conceptual analysis of luck.

For Pritchard (2005: 128) an event E counts as lucky for an agent S if and only if E is significant to S and E obtains in the actual world but does not obtain in a wide class of nearby possible worlds in which the relevant initial conditions for that event are the same as in the actual world. For example, one is lucky not to be killed by a sniper’s bullet since in the actual world the bullet misses but it does not miss in the close worlds. Importantly, luck comes in degrees. One naturally counts as lucky if the sniper missed by a meter. But one counts as luckier if the sniper missed by a centimeter. The agent counts as luckier in the latter case, claims Pritchard (2009b: 39), because the world in which one is killed in that case is much closer to the actual world than the world in which one is killed in the former case (since the second sniper is better). Close worlds, then, can be roughly divided into two classes—near and non-near, and are to be weighted accordingly—the near close worlds count for more than the non-near close worlds.

The foregoing analysis of luck motivates the following analysis of epistemic luck: S is very lucky that her belief P is true in the actual world if P is false in at least one of the near close worlds. And S is lucky, but not as lucky, that her belief P is true if P is true in the actual world but false in at least one of the non-near close worlds. Stated otherwise, false belief in a very close world is incompatible with knowledge while false belief in a non-near close world is compatible with knowledge. Here is a formulation of the safety condition by Pritchard (2007, 2008, 2009a) as a non-circular necessary condition in a standard account of knowledge:

(SF*)     S’s belief is safe if and only if in most nearby possible worlds in which S continues to form her belief about the target proposition in the same way as in the actual world, and in all very close nearby possible worlds in which S continues to form her belief about the target proposition in the same way as in the actual world, the belief continues to be true.

That is to say, as long as S truly believes P using the same method in all of the very close worlds and in nearly all of the non-near close worlds, S’s belief P is safe. Accordingly, the agent in Russell’s case fails to know that it’s noon since there is a very close world in which she falsely believes that it’s noon, for example, the very close world in which that clock stops slightly before or after noon.

Pritchard’s focus is knowledge of contingently true propositions. However, Pritchard (2009a: 34) claims that to extend the safety condition to handle knowledge of a necessarily true proposition P, which is true in all possible worlds, his safety condition can easily be augmented in such a way as to require that S not falsely believe a different proposition Q in a very close world and nearly all non-near close worlds using the same method that S used in the actual world.

Of the many ways in which Pritchard’s condition differs from Williamson’s, it is evident that they differ in one very important respect: Pritchard’s condition permits relatively few cases of falsely believing P in non-near close worlds. Pritchard is motivated to make this concession since his safety condition is informed by his account of luck, which counts S lucky vis-à-vis an event E even though E occurs in some non-near close worlds. Williamson’s condition, by contrast, has a zero tolerance policy for false belief in any close world.

c. Ernest Sosa

Sosa arrives at his formulation of the safety condition as a necessary condition for knowledge by way of working through some of the fundamental shortcomings he identifies in Goldman’s relevant alternatives condition and Nozick’s sensitivity condition. As Sosa puts it, both Goldman and Nozick failed to adequately capture the way in which the proposition believed must be modally related to the truth of that proposition. For Sosa, an agent S counts as knowing P only if S believes P by way of a safe method or, in Sosa’s words, a safe “indication” or “deliverance.”

Sosa’s formulation of the safety condition differs from both Williamson’s and Pritchard’s in that it is stipulated in the form of the following counterfactual (1999a: 146):

(SF**)       If S were to believe P, P would be true [B(P) ☐→ P]

The following short note on counterfactuals helps explain the logic of (SF**). Firstly, according to Lewis’s semantics for counterfactuals (1973), a counterfactual of the form P ☐→ Q is true at a world W only if some world in which P and Q are true is closer to W than any world in which P is true but Q false. Since Lewis thinks that the closest world to W is W itself, the counterfactual PQ is trivially true at W if P and Q are both true at W. Accordingly, when the antecedent of a counterfactual is true, it follows that P & Q entails P ☐→ Q. Nozick (1981: 176, 680 n.8) finds this result untenable and rejects Lewisian semantics for counterfactuals with true antecedents. Sosa concurs with Nozick. On their semantics for counterfactuals with true antecedents, the counterfactual B(P) ☐→ P is true at a world W if and only if S truly believes P by method M in W and in all close worlds in which S believes P by method M, P is true. It follows, then, that like (SF) and unlike (SF*), Sosa’s condition entails zero tolerance for false belief in any close world.

Secondly, though remarkably similar to the sensitivity condition, (SF**) is not logically equivalent to the sensitivity condition [¬P ☐→ ¬B(P)] since contraposition is invalid for counterfactuals. The following example, from Lewis (1973: 35) demonstrates that contraposition (A→B) ↔ (¬B → ¬ A) is invalid for counterfactuals. Consider the following counterfactual: (A) If Boris had gone to the party, then Olga would still have gone. It should be clear that (A) is not equivalent to its contraposition (B) If Olga had not gone to the party then Boris would still not have gone, because althoughwhile (A) is true (B) is false since Boris would have gone had Olga been absent from the party.

In light of these considerations about counterfactuals, Sosa’s formulation of safety explains why the agent in Russell’s case lacks knowledge. Since there is a close world in which he uses the same method as he does in the actual world at a slightly earlier or later time, namely consulting a broken clock, and thereby comes to falsely believe it to be noon, his belief in the actual world is not safe.

Sosa has since moved on from defending a “brute” safety condition as a necessary condition for knowledge. Sosa (2007, 2009) argues that an agent’s belief must be apt and adroit to count as knowledge, where such virtues differ from safety considerations.

3. Elucidating the Safety Condition

The presentation of the safety condition thus far has been intentionally bare-boned for introductory purposes. This section is devoted to spelling out the finer details or characteristics of the condition, which is a rather challenging task given the presence of some vague patches in the safety literature.

It goes without saying that for epistemic purposes possible worlds W1, …, WN count as relevantly closer to or further from the world W in which S believes P at time T on a case by case basis relative to most or all of the following factors: the belief P, time T, the agent S, and the method M by which S formed the belief P at T in W. In other words, the conditions of belief formation, represented by the set {S, P, T, M}, play a constitutive, though not exclusive, role in a determination of closeness. (With respect to safety, one can either think of these possible worlds as branching possibilities à la Hawthorne and Lasonen-Aarnio (2009) or as concentric circles surrounding a subject-centered world, as Lewis (1973: 149) does in his semantics for counterfactuals.) It follows, then, that the adequacy of the safety condition will turn on, among other things, how close worlds are to be specified, the time of the belief formation, what type of reliability is at play, and how safety theorists understand methods. A foray into these important questions follows.

a. What Counts as a Close World?

Before attempting to answer this important question, four points must be made. Firstly, to satisfy the safety condition it is not the case that in every close world the agent must truly believe the relevant proposition; that is to say, S can safely believe P in W even though there are close worlds in which the agent does not form the belief P, for example, where S does not believe the target proposition in several of the close worlds because S is distracted or preoccupied. For instance, in world W S comes to believe that a car is approaching when S sees a car coming down the road. There may very well be a close world in which S is standing in exactly that same position at that very time but does not form the belief that a car is approaching because S turns her head in the opposite direction to look at a squirrel in a tree. The lack of belief about the approaching car in these close worlds does not prevent S from safely believing in W that a car is approaching. In light of such considerations, it is useful to consider close worlds as divided into two broad categories—relevant and irrelevant—a distinction which will prove important in the discussion on skepticism. below.

Secondly, as Williamson points out (2000: 100), the safety condition is notoriously vague owing to knowledge and reliability being vague concepts. As such it is unlikely that we will arrive at a very determinate answer as to exactly which worlds count as close; our expectations must be lowered. The problems this vagueness generates will become evident in section 4.

Thirdly, as Hawthorne (2004: 56) notes, closeness, as it pertains to safety, cannot be cashed out in terms of the notion of similarity found in counterfactuals. A counterfactual of the form P ☐→ Q is non-vacuously true at a world W only if some world in which P and Q are true is closer to W than any world in which P is true but Q false. When determining the truth conditions for counterfactuals, the history of both the actual world and the close world in which the antecedent is true are held fixed. When it comes to safety, possible worlds with a different history to W can nevertheless count as close, as will become evident below. Additionally, unlike the similarity of two worlds for epistemic purposes, the similarity of worlds for the purposes of counterfactuals need not be agent-relative.

Lastly, it is unclear whether believing a truthvalueless proposition (for example, one that fails to refer) in a close world should count as a knowledge-denying error possibility. Hawthorne (2004: 56) thinks it should since these count as “failed attempts at a true belief.” None of the safety theorists discuss this type of case.

Now on to the four main determinants of closeness:

i. The Time Factor

As far as safety goes, two worlds W and W* may count as similar at a time T with respect to the set {S, P, M} yet count as distant from each another, with respect to that same set, at a time prior to or following T. Consequently, if S falsely believes P in W* at T, then S’s belief P in W at T is unsafe. The following two cases illustrate that for the purposes of safe belief closeness must be understood as indexed to a point in time.

Cases concerning knowledge of the future demonstrate that similarity between two worlds at the time of belief formation trumps dissimilarity at a later time. Suppose, for the sake of illustration, that in a world W at time T (sometime in May 2009) an agent S truly believes that London will host the 2012 Olympics as a result of reading so in a local newspaper. In many possible worlds S similarly believes as much from reading the paper.  Yet in some of these worlds things in 2012 may be radically different from the way things will be in W in 2012 when the Olympics indeed take place in London. For example, in one of these worlds W* the British economy collapses and no Olympics take place in London in 2012. In W* S’s belief at T is thus false. Nonetheless, W and W* may count as close at T despite these significant differences between these two worlds in 2012 given how similar these two worlds are with respect to the set {S, M, P, T} i.e. the details of S’s belief episode at T in which she comes to believe that London will host the 2012 Olympics as a result of reading so in the newspaper.

It is not the case, however, that for a world W* to be close to world W at T it must share a complete history with W up to and including time T. The following case elucidates this point. It is taken for granted that if in W Sally walks into a showroom displaying red shoes under red overhead lights she does not know that there are red shoes on display if there is a close world W* in which there are white shoes on display but which look red under red lights. Notice that W* counts as close to W at T even though they do not share an identical history: at T-N, where N is some duration, the factory owner in W* is placing white shoes on the display shelves and turning red lights on.

Additionally, insisting on shared histories would make safety trivially true in some cases where the target proposition believed is true and concerns the present or the past; namely, were close worlds only those worlds which share complete histories with the actual world until the moment at which the belief is formed, then it would follow that in some cases the proposition believed would be trivially safe, which is an unacceptable consequence. Accordingly, if I recall going to the gym yesterday then I know I went to the gym yesterday only if there is no close world which differs from the actual world with respect to my going to the gym yesterday and in which I falsely believe I went to the gym yesterday.

There is room to think that the conceptual content of “could easily have falsely believed” permits playing around with the time of the belief formation itself. It stands to reason, then, cases of belief formation in a possible world W* which occur shortly before or after the belief formation in W should be factored into knowledge determinations as well. If S forms a false belief in those cases then S’s belief in W is unsafe. The motivation for permitting this flexibility with the time factor is that it allows safety to handle a wide variety of cases in which time is part of the content of the proposition believed, as exemplified by the Russell case. For example, S looks at two people kissing at a new year’s party and forms the true belief that it’s the new year. S does not count as knowing that it’s the new year if there is a close world in which just prior to midnight these two people begin kissing slightly before midnight, as a result of which S falsely believes it’s the new year.

ii. What Type of Reliability does Safety Require?

Reliability, as a property of a belief-forming method, comes in different kinds, two of which are important for the purpose at hand—local and global. The latter refers to a method M’s reliability in producing a range of token output beliefs in different propositions P, Q, R, …, and so forth. A method M is globally reliable if and only if it produces sufficiently more true beliefs than false beliefs in a range of different propositions. For example, M could be the visual process and P the proposition that there is a pencil on the desk, Q the proposition that there are clouds in the sky, and R the proposition that the bin is black. If a sufficiently high number of P, Q, R, … are true then method M is globally reliable. A method M is locally reliable with respect to an individual target belief P if and only if M produces a sufficient ratio of more true beliefs than false beliefs in that very proposition P.

Accounts of knowledge in the post-Gettier period differ with regards to which type of reliability is necessary for knowledge. Nozick and Dretske think only local reliability is needed, McGinn (1999) requires global reliability to the exclusion of local reliability, and Goldman (1986: 47) requires both. Where do Williamson, Pritchard, and Sosa fall on this spectrum? With respect to (SF**), it is evident from the manner in which Sosa formulates his safety condition that he thinks that only local reliability is necessary for knowledge in so far as (SF**) concerns truly believing a specific proposition P; that is, no mention is made of not falsely believing a different proposition Q. Notice, however, that as far as safety goes, Sosa requires that the agent exhibit perfect local reliability; that is, there can be no close world in which S falsely believes P.

Unlike Sosa, Pritchard, in order to handle knowledge of necessarily true propositions, requires global reliability, but a nuanced version thereof. Recall that Pritchard permits some false beliefs in non-near close worlds but has a zero tolerance for false beliefs in the nearer close worlds. Therefore, Pritchard can be classified as requiring perfect global reliability in the near close worlds and regular global reliability in the non-near close worlds. Additionally, both Pritchard and Sosa permit falsely believing P in a close world via a different method than the one used in the actual world.

With regards to Williamson, it is much harder to pin down the type of reliability at work in (SF). As mentioned, Williamson formulates the safety condition in different ways in different places. Some of these formulations clearly advocate for local reliability only, while others incorporate global reliability. And, further still, others push for subtler versions of both. Starting with local reliability, consider this formulation:

(SF1)     “[I]n a case α one is safe from error in believing that [a condition] C obtains if and only if there is no case close to α in which one falsely believes that C obtains” (2000: 126-7).

A condition, for Williamson (ibid.: 52), is specified by a “that” clause relative to an agent and a time. Thus, “S believes that the tree is i inches tall” counts as S believing that a certain condition obtains. According to Williamson (ibid.: 114ff), a typical agent who looks at a tree and believes “that the tree is i inches tall” does not know “that the tree is i inches tall” because there is a close world in which the agent uses that same method and comes to falsely believe “that the tree is i inches tall” when in fact it is i+1 inches tall. Most people are unreliable about the height of trees to the nearest inch because our eyesight is not that powerful; we cannot tell the height of a tree to the nearest inch just by looking at it. This case demonstrates that Williamson requires local reliability since this is a case in which the agent lacks knowledge because there is a close world in which he falsely believes the same proposition using the same method as that used in the actual world. Given that for Williamson safe belief entails a zero tolerance for false belief in a close world, Williamson requires perfect local reliability.

Here is another formulation of the safety condition by Williamson (2000: 124):

(SF2)     “One avoids false belief reliably in α if and only if one avoids false belief in every  case similar enough to α.”

This formulation seems to rule out knowledge in the following case. Pat is pulling cards out of a hat on which sentences are written. Pat pulls the first out and upon reading it truly believes that oranges are fruits. Pat then pulls a second card out and upon reading the sentence written on it falsely believes that America is a province of Australia. Pat’s true belief that oranges are fruits is unsafe because Pat does not avoid false belief in a similar case; that is, Pat could easily have falsely believed a different proposition using the same method in a close world. Because Pat uses a globally unreliable method she lacks knowledge. Given that for Williamson, safe belief entails a zero tolerance for false belief in a close world, Williamson therefore also requires perfect global reliability.

Yet further formulations of safety by Williamson advocate for subtler versions of local and global reliability. Recall that as Pritchard and Sosa present the safety condition, knowing P is compatible with falsely believing P via a different method in a close world. Williamson agrees, but with a caveat:

(SF3)    “P is required to be true only in similar cases in which it is believed on a similar basis” (2009: 364-5).

So for S to safely believe P via M not only must S not falsely believe P in any close world via M, S must also not falsely believe P using a relevantly similar method to M. Williamson extends this principle in a way that results in a non-standard version of global reliability:

(SF4)   If in a case α one knows P on a basis B, then in any case close to α in which one believes a proposition P* close to P on a basis [B*] close to B, then P* is true (2009: 325).

In other words, to safely believe P via M in α it must also be the case that one does not falsely believe P* via M* in a close case. For ease of reference, here is a gloss in the vicinity of Williamson’s conception of a safe belief:

(SF!)  S safely believes P via a method M in world W if and only if there is no close world to W in which:

(i)    S falsely believes P via M or a relevantly similar method M*; or

(ii)   S falsely believes any proposition via M; or

(iii)  S falsely believes a relevantly similar proposition P* using a relevantly similar method M*.

Williamson is thus committed to S knowing P in W at T only if S (SF!)-safely believes P. Since Williamson’s picture of “could easily have falsely believed” is richer than Pritchard’s or Sosa’s, more is needed to be safe from error for Williamson than for the latter two.

There are reasons independent of any of these three authors that suggest that knowledge should require both global and a local reliability. Firstly, the problem of vagueness supports a global reliability formulation of safety as follows. Some vague concepts may have different meanings in different worlds. It follows, then, that sentences with the same words can express different propositions in different worlds even when these worlds are very close (Williamson 1994: 230-4). For example, the property expressed by bald in the actual world might be having less than twenty hairs on one’s head while the property expressed by bald in a close world W might be having less than eighteen hairs on one’s head. If this is the case, then the sentence Pollock is bald expresses different propositions in these two worlds. Hence if Jackson, in the actual world, believes of Pollock that he is bald (Pollock having nineteen hairs on his head) then his belief will turn out to be unsafe as there is a close world, namely W, in which Jackson falsely believes of Pollock that he is bald. In cases such as these, for an agent to know P via M it must be the case that the agent could not easily have falsely believed P* via M (where P* counts as a different proposition in that close world).

Knowledge of propositions with singular content requires safety to be formulated in a globally reliable way. Consider the case in which Jones, looking at a real barn surrounded by fake barns, forms the true belief that “that is a barn.” The intuition is to deny Jones knowledge despite the fact that there is no close world in which that very barn is not a barn (assuming that a barn is essentially a barn). Since Jones could easily have falsely believed of a fake barn that “that is a barn,” which expresses a different and false proposition, Jones is denied knowledge.

iii. Methods

Methods can be individuated in a variety of ways: internally or externally, and in a coarse-grained or fine-grained way.

A way of individuating methods is internal if it respects the constraint that agents who form a belief P and who are internal duplicates share the same method; and external if it does not respect that constraint. Alternatively, if method individuation supervenes solely on brain states, then methods are internally individuated; if two agents can be in the same brain state yet be using different methods, then methods are individuated externally.

A way of individuating methods is coarse-grained if methods are described broadly or generally for example, the visual method. On the other hand, a way of individuating methods is fine-grained if methods are described in detail for example, the visual method for large objects at close range under favorable lighting conditions. As the degree of detail to which a method can be described is a parameter along a continuous spectrum, fine-grained and coarse-grained individuation permit of a wide range of generality or detail. Specifying the relevant detail for each method is known as the generality problem for reliabilism. Given that reliably believing is part of safety, safety faces the generality problem, something Williamson acknowledges (2009: 308).

Nozick (1981: 233) argues for an accessibility constraint on method individuation; that is, regardless of how methods are individuated, a difference in methods must always be accessible to the agent. It is evident, then, that an accessibility constraint is in tension with both external and fine-grained individuation since, ex hypothesi, neither the difference between seeing and hallucinating nor the difference between two finely-grained methods would be detectable by the typical agent.

Williamson and Pritchard deny such an accessibility constraint, thereby opening the way for external, fine-grained individuation of methods. For Williamson the accessibility constraint assumes that methods are a luminous condition, where a luminous condition is defined as a condition such that whenever it obtains the agent is in a position to know that it obtains (Williamson 2000: 95). But, as Williamson (ibid.: 96-8) argues, no non-trivial condition is luminous. Therefore the accessibility condition should be disregarded.

Pritchard (2005: 153) argues that safety will get the wrong result in some cases unless the accessibility condition is dropped because agents are fallible when it comes to determining which methods they use. For example, S might incorrectly think that she believes P via method M when in fact she believes it via M*. In some cases M delivers safe belief while M* doesn’t. Were the relevant method for a determination of safety the method the agent considers to be the one by which she believes, safety would get the wrong result in such cases.

One further argument against the accessibility condition is that it generates an infinite regress: S must be aware of which method she uses to believe P, the method she used to determine that, the method she used to determine that, and so on. Although these three arguments do not entail that internal and coarse-grained individuation are unsustainable, they do show that one reason in favor of such positions is unpromising.

We typically talk about methods or bases of belief in a coarse-grained way.  Williamson, however, adopts a fine-grained, external individuation of bases. For example, Williamson (2009b: 307, 325 n.13) thinks that, other things being equal, seeing a daschund and seeing a wolf count as different bases; believing that one is drinking pure, unadulterated water on the basis of drinking pure, unadulterated water from a glass is not the same basis as believing as much when drinking water from a glass that has been doctored with undetectable toxins by conniving agents; believing that one was shown x number of flashes after drinking regular orange juice does not count as the same basis as believing that one was shown x number of flashes after drinking a glass of orange juice with a tasteless mind-altering drug; and, finally, believing that S1 is married by looking at S1’s wedding ring and believing that S2 is married by looking at S2’s wedding ring count as different methods if S1 reliably wears her ring and S2 does not.

Williamson is inclined towards external, (super) fine-grained individuation of methods owing to his position vis-à-vis luminosity and skepticism. Regarding the former, in some cases the circumstances of a case can change in very gradual ways that the agent fails to detect such that at the start of the case the basis of belief is reliable while unreliable at the end of the case. Consider, for example, a case in which I see a pencil on a desk in front of me under favorable conditions. Assumedly I know that there is a pencil on the desk. I then begin to gradually walk backwards from the desk all the while keeping my eyes on the pencil until I reach a point at which it appears as a mere blur in the distance. At that point beliefs I form based on vision are no more than guesses. At each point in my growing distance from the desk my visual abilities start deteriorating slowly such that at some indiscernible point my eyesight no longer counts as reliable with respect to the pencil. Were bases of belief individuated in an internal, coarse-grained manner such that my looking at the pencil close-up and my looking at the pencil at a distance count as the same method, then I would fail to know that there is a pencil on the desk when close to the table since there is a close world in which I look at it from a distance and form a false belief that there is pen on the desk, which is intuitively the incorrect result. Consequently, minimal changes in the external environment result in a difference in the basis of belief formation.

iv. Skepticism

One of the selling points of safety is that it, unlike the relevant alternatives and sensitivity conditions, permits one to know the denial of skeptical hypotheses, thereby maintaining closure. Here is the skeptical argument from closure:

(1)   I know I have hands.

(2)   If I know I have hands then I know I am not a brain in the vat.

(3)   I don’t know that I am not a brain in the vat.

This triad is inconsistent because, claims the skeptic, one cannot know the denials of skeptical hypotheses; that is, one cannot know that one is not in the bad case (the denial of (3)). In other words, if I know I have hands, then by closure I should know I am not a handless brain in the vat. But, claims the skeptic, one is never in a position to know that one is not a handless brain in the vat. It follows, then, that I do not know that I have hands.

Pritchard (2005: 159) claims that if one is in the good case then one sees that one has hands based on perception. In the bad case one does not see that one has hands; rather, one is fed images of hands. As a result of this difference in method, the bad case automatically counts as irrelevant since only those cases in which one forms beliefs based on veridical perception count as relevant: “only those nearby possible worlds in which the agent formed her belief in the same way as in the actual world are at issue” (ibid. 161). Since, by definition of the cases, the brain in the vat is not using the same method as the agent in the good case, one can consequently know the denial of the skeptical hypothesis entailed by one’s knowledge of everyday propositions since there is no close world to the good case in which one falsely believes the denial of the skeptical hypothesis.

Williamson resists skepticism by exposing and undermining those claims that tempt us towards (3); namely the idea that a brain in the vat and the agent in the good case have exactly the same evidence. According to Williamson (2000: 9) “one’s total evidence is simply one’s total knowledge.” Since the agent in the good case has good evidence and the brain the vat has bad evidence, this constitutes a sufficient dissimilarity between the cases. Therefore, the false belief in the bad case counts as irrelevant to true belief in the good case. Alternatively, Williamson can be read as saying that individuating methods externally and in a fine-grained manner leads to the conclusion that believing truly on the basis of good evidence is sufficiently dissimilar to believing falsely on the basis of bad evidence (ibid.: 169). The epistemic impoverishment of the brain in the vat is thus irrelevant. Williamson (2009d: 21) has made the following further claim:

The idea is that when one knows p “on basis b,” worlds in which one does not believe p “on basis b” do not count as close; but knowing “on basis b” requires p to be true in all close worlds in which one believes p “on basis b;” thus p is true in all close worlds. In this sense, the danger from which one is safe is p’s being false, not only one’s believing p when it is false.

Thus the bad case counts as far off because in the bad case P is false. This difference between the good and bad cases constitutes a sufficient dissimilarity to permit one to know in the good case.

Since Sosa is not as explicit about how he builds methods into his safety condition, all three strategies are compatible with what he says. For example, he sometimes talks as if the bad case is far off (1999a: 147; 2000: 15), while at other times (1999b: 379) he can be read as thinking that even if it were close it would be irrelevant because the agent is using a different method in that case.

There are thus three different strategies a safety theorist can employ to oppose skepticism:

(i)  Since the agent in the bad case uses a different method from the agent in the good case, the bad case is sufficiently dissimilar from the good case and thus does not count as close;

(ii) The bad case counts as close to the good case yet is irrelevant given that the agent in the bad case uses a different method from the agent in the good case;

(iii) While the agents in the good and bad cases use the same method, the bad case counts as far off given the overall dissimilarities between it and the good case;

The safety condition is therefore a powerful tool against skepticism. For skepticism to be an appealing theory the skeptic would have to provide some reason for thinking that in  every case α involving an agent S, method M, time T, and proposition P, there is a close  and relevant case β in which a skeptical hypothesis is true such that S could easily have failed to be locally or globally reliable in α with respect to P at T (where the definitions of local and global reliability differ depending on which safety theorist is in question).

b. How do the Safety and Sensitivity Conditions Differ?

Given that the sensitivity condition for knowledge enjoyed such prominence, it is important to determine how the safety condition differs from it. Such a comparison will shed light on some virtues of the safety condition relative to the sensitivity condition.

In some cases sensitivity is the more stringent condition, while in others safety is. The following two points of logic elicit the difference between the safety and sensitivity conditions. When it comes to cases concerning knowledge of the denial of skeptical hypotheses, the safety principle is less demanding than the sensitivity principle. The latter principle requires that the agent not believe P in the nearest possible world in which P is false. As such no agent can know the denial of skeptical hypotheses by the simple sensitivity test, for example, I am not a brain in the vat, because in the nearest possible world in which the agent is a brain in the vat the agent continues to believe (falsely) that he is not a brain in the vat. So while agents typically satisfy the sensitivity condition with respect to everyday propositions and thus count as knowing many everyday propositions, they cannot satisfy the sensitivity condition with respect to the denial of skeptical hypothesis. Hence the incompatibility of the sensitivity condition and single-premise closure, for knowledge of everyday propositions entails knowledge of the denial of skeptical hypotheses incompatible with those propositions.

The safety principle, however, is compatible with single-premise closure for it permits knowing the denial of skeptical hypotheses. By the safety principle I count as knowing the everyday proposition P “that I have hands” by method M only if I safely believe P. It follows, then, that if I safely believe P then there is no close world in which I am a brain in the vat and am led to falsely believe that I have hands by M (as explained in the previous section). Consequently, if I know that I have hands and I know that that entails that I am not a brain in the vat, then I know that I am not a brain in the vat.

On the other hand, cases can be constructed in which safety is more demanding than sensitivity. Consider the following case: S truly believes P via M in the actual world but (i) in the closest world in which P is false S does not believe P, and (ii) there is a close world in which S falsely believes P via M. In this case S satisfies the sensitivity condition but fails to satisfy the safety condition. A case by Goldman (1986: 45) can be used to illustrate this point. Mary has an unreliable thermometer in her medicine cabinet which she uses to measure her temperature. It just so happens to correctly read her temperature of 38°C in this case. However, in the nearest world in which her temperature is not 38°C and she uses this thermometer to take her temperature, she is distracted by her son and she doesn’t form any belief about her temperature. She accordingly satisfies the sensitivity condition for knowledge since she does not believe P in the nearest world in which P is false. However, there is some other close world in which she uses this thermometer to take her temperature and forms a false belief thereby. Mary thus fails to satisfy the safety condition. It follows, then, that the following pair of conditionals are false:

If S safely believes P then S sensitively believes P.

If S sensitively believes P then S safely believes P.

The logic of these conditionals makes explicit the respects in which safety is similar to and different from the sensitivity condition.

c. The Semantics of Safety

In a non-epistemic context it is easy to see that “safe” can function as a gradable adjective. For instance, if S has three paths to choose from to get to her destination, it is perfectly acceptable to say that although path X is safe, Y is safer, and that path Z the safest of the three paths. “Similarity” also comes in degrees: London is more similar to Manchester than to Kabul. Possible worlds can thus be closer to or further from the actual world on a sliding scale of similarity. S’s belief P, therefore, can be safer than S’s belief Q. Although “safe” is a gradable adjective, the safety condition is not presented within the framework of a contextualist semantics for “knowledge,” where, roughly speaking, contextualism about ”knowledge” is the claim that the truth conditions of the proposition “S knows P” depend on the context of the attributer. In other words, “knowledge” picks out different relations in the different contexts of attribution where said contexts are a function of the varying interests of the attributer, not the possessor, of knowledge. Contextualism has gained its popularity through, among other things, its proposed solution to the skeptical challenge from closure. Sosa, Williamson, and Pritchard are all standard invariantists about the semantics of knowledge, invariantism being the denial of contextualism. (See Williamson (2009d: 18) for two different ways in which the gradability of safety can be accommodated without adopting a contextualist semantics for “know.”) If one’s main concern is skepticism, then the safety theorist has no need for a contextualist semantics for “knowledge” given the three strategies available to them for opposing skepticism (listed above). Nonetheless, it is easy enough to see how one could model the safety condition along contextualist lines if one had independent reasons for adopting a contextualist semantics for “knowledge”—those factors that weigh in on the similarity measure of close worlds will be those salient to the attributer, not the agent.

4. Safety in Action

To get a better feel for how the safety condition works, it proves beneficial to undertake an exercise in seeing how safety handles some of the troubling cases in the literature. Obviously each case can be modified in such a way as to make things harder or easier for the safety theorist. For present purposes such cases will be ignored.

a. Gettier and Chisholm

Jones is told by his boss that Smith will get the promotion. Jones then sees Smith putting ten  coins in his pocket. Jones accordingly infers that the man who will get the promotion has ten coins in his pocket. However, Jones (not Smith) gets the job and Jones just so happens to have ten coins in his pocket. According to Gettier (1963) Jones’s belief does not amount to knowledge. How does the safety condition handle this case? Jones’s belief is unsafe because there are close worlds in which (a) in which Carter gets the job but has no coins in his pocket, or (b) in which Jones get the job but has nine coins in his pocket.

The same reasoning applies to Chisholm’s (1977) case in which Jones believes that there is a sheep in the field upon seeing a fluffy white animal in the distance. However, while what Jones sees is a white dog there is indeed a sheep in the field lying behind a rock hidden from Jones’s sight. According to Chisholm, Jones doesn’t count as knowing that there is a sheep in the field. The safety condition captures this intuition. Jones’s belief is unsafe because there is a close world in which there is no sheep behind the rock and Jones falsely believes that there is a sheep in the field; that is, the method of inferring the presence of sheep by seeing dogs is unreliable.

b. Fake Barns

Jones is in an area with many fake barns. Jones sees a real barn in the field and forms the belief that there is a barn in the field. Does Jones know that there is a barn in the field? Prima facie, Jones’s belief counts as unsafe as there is a close world in which he looks at a fake barn and falsely believes that it is a (real) barn.

However, this case turns out to be a little harder to explain because the details of the case can be manipulated into yielding bizarre intuitions in similarly structured cases (Hawthorne and Gendler 2005). What if, for example, Jones would not have come across such a fake barn because he wasn’t in walking distance of it? The permutations of the standard setup of this case abound (see for example, Peacocke (1999: 324), Neta and Rohrbaugh (2004: 399), Comesaña (2005: 396), and Lackey (2006)). Similar permutations can be made for the Gettier and Chisholm cases, for example, where circumstances are such that the person who gets the job in all close worlds has ten coins in his or her pocket or that in all close worlds there is a sheep behind the rock.

This is one of those cases that manifests the vagueness present in the safety condition. As Williamson (2000: 100; 2009b: 305) indicates, there will be cases in which whether or not one thinks that there is a close world in which the agent falsely believes depends on whether or not one is inclined to attribute knowledge to that agent in that case; the vagueness in “relevantly similar,” “reliable,” and “knowledge” knowledge determinations in some cases notoriously difficult. Accordingly, the direction of one’s intuitions about whether or not Jones knows in each permutation of these cases will influence whether or not one thinks Jones has a false belief in a close world, and vice versa.

There is one significant permutation of this case that requires attention. Suppose the details of the case remain identical except that instead of forming the belief P that there is a barn in the field, Jones forms the belief Q that that is a barn (Hawthorne 2004: 56). Recall that Q is a singular proposition but P is not, where, roughly, a singular proposition is one that is constitutively about some particular. Sosa would have to find other reasons to deny Jones knowledge in this case, if he thinks he lacks it, given that his safety condition requires local reliability and true singular propositions are true in all close worlds. According to Williamson and Pritchard, Jones lacks knowledge in this case because there is a close world in which Jones looks at a fake barn and his belief that that is a barn expresses a different and false proposition.

c. Matches

Jones is about to light a match and forms the belief that the match will light once struck since all dry matches of this brand that he has struck have lit after being struck. However, the match doesn’t light because it was struck but rather does so because of some rare burst of radiation (adapted from Skyrms 1967: 383). Stipulate further that in all close worlds the match lights by friction. Is Jones’s belief safe?

The safety theorist seems drawn into denying knowledge in this case because there is a sense in which Jones is still lucky, in an epistemically malignant way, that his belief is true. When described in this way, this case is a stronger version of many of the Gettier cases mentioned so far because Jones’s belief is true by luck in the actual world but not so in any close world. Such cases would demonstrate that safety is not necessary for knowledge.

One way around this difficulty would be via Williamson’s claim that worlds which differ as far as trends go count as far off (see below B(i)). Hence, only worlds in which the match lights by a freak burst of radiation count as close. If worlds are ordered in this way, the example is presented in a flawed way that incorrectly indicates a problem for safety. Since the match lights in all those close worlds via radiation, Jones knows that his match will light.

5. Problems for Safety

As epistemologists ponder the details of the safety condition, it is to be expected that some will identify what they perceive to be its weaknesses or its failures. This section is devoted to three problem areas for safety.

a. Knowledge of Necessarily True Propositions

A necessarily true proposition is one which is true in all possible worlds. One might think, therefore, that knowledge of such propositions presents a problem for safety since there can be no close world in which S falsely believes such propositions. It should be clear at this point that this is a problem primarily for Sosa since his condition requires local reliability only; that is, not falsely believing P in close worlds. In other words, the counterfactual B(P) ☐→ P will be trivially true for any proposition P which is necessarily true. So knowledge of necessarily true propositions is going to be a problem for any account of knowledge that requires local reliability only.

Williamson and Pritchard have no such problems with knowledge of necessary truths since both require global reliability. There are cases that demonstrate that the method used to believe a necessarily true proposition can be globally unreliable. For example, suppose I use a coin to decide whether to believe 42 x 17 = 714 or to believe 32 ÷ 0.67 = 40, where I have no idea which is true without the use of a calculator. If the coin lands in such a way indicating that I should believe the first, which is necessarily true, then I am lucky to believe the necessary truth and not the necessary falsehood. I consequently do not know that 42 x 17 = 714 as I could just have easily have falsely believed the different proposition expressed by  32 ÷ 0.67 = 40.

b. Knowledge of the Future

The following lottery puzzle is particularly troublesome for safety. On the assumption that a proposition about a future state of affairs is either true or false, we take ourselves to know many things about the future, for example, that the Lakers game is next Tuesday, or that the elections will be held next month. This being the case, intuitively at least, Suzy knows that she won’t be able to afford to buy a new house this year. On the other hand, we deny that Suzy knows that her lottery ticket will lose (even if the draw has already taken place and Suzy has not yet learnt of the draw result). This state of affairs, however, presents the following puzzle: assuming single-premise closure true, if Suzy knows that she won’t be able to afford to buy a new house this year, and knows that this entails that her ticket is a loser, then Suzy should be in a position to know that her ticket will lose (by deduction). But it is commonly held that agents do not know that their lottery tickets will lose. (The aptness of this intuition is often demonstrated by the impropriety of flatly asserting that one knows that one’s ticket will lose, or selling one’s ticket for a penny before learning of the draw results.) The intuitive pull of single-premise closure is in tension with intuitions about what can be known about the future and about lottery tickets.

Problems involving lotteries generalize (Hawthorne 2004: 3). For instance, we are willing to say that Peter knows that (P) he will be living in Sydney this coming year. Yet we are hesitant to say that Peter knows that (Q) he won’t be one of those unfortunate few to be involved in a fatal car accident in the coming months. Assuming single premise closure true, if we are willing to attribute to Peter knowledge of P, and Peter knows that P entails Q, we should then be willing to attribute Peter knowledge of Q.

One way of explaining why agents do not know that their lottery tickets will lose or that they won’t die in unexpected accidents is that both events have a non-zero objective probability of occurring. That is, events with a non-zero probability of occurring can occur in close worlds. Naturally, then, one might think that the world in which one’s lottery ticket wins or in which one dies from an unexpected motor accident is close and that therefore one’s beliefs that one will lose the lottery or not die in an accident are unsafe.

This line of thinking is devastating for safety, however, as it would effectively rule out knowledge of any propositions the content of which regards the future since, assuming indeterminism true, there is a non-zero probability that any proposition about the future will be false; that is, for any true proposition P about the future there will be a close world in which P is false and one believes P. If safety leads directly to skepticism about knowledge of the future this would be a good reason to give up safety.

One line of thought for a safety theorist to pursue in response to this problem is to support the following high-chance-close-world principle (HCCW): if there is a high objective chance at T1 that the proposition P believed by S at T1 will be false at T2 given the state of the world at T1 and the laws of nature, then S does not know P at T1 as P is unsafe (even if P is true). The thinking behind this response is that if there is a high chance of some event occurring then that event could easily have occurred, which indicates that there is a natural connection between high chance and danger. For instance, if there is a high objective chance that the tornado will move in the direction of Kentucky, then it seems natural to say that Kentucky’s inhabitants are in danger.

Hawthorne and Lasonen-Aarnio (2009) demonstrate that HCCW presents some rather unwelcomed problems for the safety theorist. Firstly, HCCW is in tension with knowledge by multi-premise closure. Suppose, by way of example, that at T1 a subject S knows a range of chancy propositions P, Q, R, … about the future; that is, there is no close world in which any of those propositions are false. That said, while there may be a low probability for each proposition in that set that it will be false, for a sufficiently high number of propositions the probability at T1 that the conjunction of {P, Q, R, …} will be true at T2 will be very low . Accordingly, the probability of the negation of {P, Q, R, …} is very high at T1. By the lights of HCCW there will then be a close world in which that conjunction is false. Therefore, while an agent may know each conjunct in a set of chancy propositions about the future, the safety theorist who is committed to HCCW must deny that the agent knows the conjunction of those propositions. HCCW is therefore incompatible with multi-premise closure.

HCCW also creates problems for single-premise closure. Consider Plumpton who is about to begin a significantly long series of deductions from a true premise P1 towards a true conclusion PN. Suppose that at every step there is a significantly low objective probability that Plumpton’s deductive faculty will misfire leading him towards a false belief. If the chain is sufficiently long then there will be a high enough probability that the belief at the end of Plumpton’s deductive chain will be false, in which case, by HCCW, such a possibility counts as close. If closeness of worlds is cashed out in terms of HCCW, then Plumpton does not know PN if he deduced it from PN-1, which is effectively the denial of single-premise closure for whenever the chance that the next step will be false is high enough (for example, the step leading from PN-1 to PN in Plumpton’s case) the deduction from that previous step will be ruled out as unsafe. The same problem arises for knowing a proposition at the end of a very long testimony or memory chain when there is a non-zero objective probability that the process will go astray at any given link of the chain.

Moreover, HCCW also struggles to explain the inconsistency of why, in some cases, we do attribute knowledge to agents concerning events with substantially low probabilities of occurring while in some case we do not. For instance, we are happy to say, following Greco (2007) and Vogel (1999), that a veteran cop knows that his rookie partner will fail to disarm the mugger by shooting a bullet down the barrel of the mugger’s gun, or that not all sixty golfers will score a hole-in-one on the par three hole, or that this monkey will not type out a copy of War and Peace if placed in front of a computer. Yet it is common to deny knowledge in the lottery case where the chances are substantially lower.

The safety theorist, therefore, owes us some story about how close worlds calibrate in cases involving objective chance.

i. Williamson’s Response

Williamson denies that there is a straightforward correlation between safety and objective probability. When it comes to knowledge there are two conceptions of safety that one can have—a no risk conception or a small risk conception. Williamson (2009d) rejects the latter owing to the way we use the concepts of safety and danger in ordinary, non-epistemic contexts. By way of argument, Williamson (ibid.: 11) asks us to consider the following two valid arguments that involve the use of our ordinary, non-epistemic concept “safe,” where the context is held fixed between premises and conclusion:

Argument Asafety S was shot
───────────────────────
S was not safe from being shot

 

Argument Bsafety S was safe from being shot by X
S was safe from being shot by Y
S was safe from being shot by Z
S was safe from being shot other than by X, Y, or Z
───────────────────────────
S was safe from being shot

Williamson then asks us to consider which of the two competing conception of safety (the “small risk” or “no risk”) secures the validity of these arguments by plugging in these conceptions in the relevant premises and conclusions:

Argument Asmall risk S was shot
─────────────────────────
S’s risk of being shot was not small  

 

Argument Bsmall risk S’s risk of being shot by X was small
S’s risk of being shot by Y was small
S’s risk of being shot by Z was small
S’s risk of being shot other than by X, Y, or Z was small
───────────────────────────────────────
S’s risk of being shot was small

 

Argument Ano risk S was shot
───────────────────────────
S was at some risk of being shot

 

Argument Bno risk S was at no risk of being shot by X
S was at no risk of being shot by Y
S was at no risk of being shot by Z
S was at no risk of being shot by other than X, Y, or Z
──────────────────────────────────────
S was at no risk of being shot

With regards to the “small risk” conception of safety, the argument A small risk is invalid since even events with a small risk of occurring in a world W do occur in W, for example, lottery wins. Argument B small risk is invalid because small risks add up to large ones. On the other hand, the “no risk” conception of safety fairs much better for these reasons. Since S was shot in some world close to W, and W being the closest world to itself, S was at some risk of being shot, which demonstrates the validity of Argument A no risk. This explains why S is not safe from being shot in W at a time T. Similarly, Argument B no risk is valid since if S was not shot by X in any close world to W at T, and so on with respect to Y, or Z or anyone else, then there is no close world in which S was shot. This exercise with the ordinary conception of safety demonstrates that the ordinary conception thereof is not in terms of small risk or probability. (Peacocke (1999: 310-11) likewise understands the concept of safety in this way: “The relevant kind of possibility is one under which something’s not being possible means that in a certain way one can rely on its not obtaining” (original emphasis).) Therefore, argues Williamson, the notion of a safe belief is not one correlated with probability.

In light of this divergence between safety and probability, one counts as safely believing a conjunction, by Williamson’s lights,  if and only if one safely believes the conjunction on a basis that includes safely believing each conjunct. Similarly, if one safely believes P and safely believes PQ, then one safely believes Q if and only if the basis on which one believes Q includes the basis on which one believes P and PQ, for in that case there will be no close world in which one believes Q and Q is false. It stands to reason then, that there will be cases in which S safely believes P and safely believes PQ, yet does not safely believe Q since the basis on which S believes the latter does not include the basis of the former two beliefs. One must safely derive that which is entailed by what one already safely believes before one counts as safely believing the entailment: “We might say that safe derivation means that one makes a ‘knowledgeable’ connection from premises to conclusion, rather than that one knows the connection” (Williamson 2009d: 27).

Given these arguments, Williamson (ibid.: 19), demonstrates that in some cases knowing and objective probability dramatically diverge. For example, suppose I designate the winning lottery ticket “Lucky” and then believe that Lucky will win the lottery (where “Lucky” is a rigid designator). Nonetheless, I count as knowing in advance that Lucky will win despite each ticket having the very same low probability of winning.

For these reasons the cases involving knowledge of risky propositions do not bother a no risk conception of safety so long as one safely believes the conjunction on a basis that includes the bases on which one safely believes each conjunct. The same applies to very lengthy derivations. It stands to reason, then, that Plumpton knows PN despite there being a very high objective probability that PN is false. And so long as there is no close world in which one falsely believes a proposition P about the future, then one safely believes P despite there being a non-zero-probability that P is false, for example, that no monkey will type out War and Peace, that not all sixty golfers will score a hole-in-one, or that the rookie will not disarm the mugger. With respect to knowledge of the future, Williamson (2009c: 327) writes that “the occurrence of an event in β that bucks a relevant trend in α may be a relevant lack of closeness between α and β, even though the trend falls well short of a being a strict law.” Trends are further indicators of closeness between cases. So in a case α an agent S can be in a position to know a proposition P about the future even though there is a non-zero probability that P will be false since the case β in which it is false is sufficiently distant from α owing to P’s being false in β bucking a trend in α.

Matters involving lottery puzzles remain troublesome for Williamson, however. In the cases where the known proposition entails a risky proposition about the future for example, that one will be healthy for the rest of the year, Williamson is happy to admit that one does safely believe that risky proposition given the divergence between safety and small risk (as explained above). However, this seems to indicate that Williamson is happy to permit that one can safely infer that one’s lottery ticket will lose, which is problematic since it contradicts a widely-held intuition and goes against Williamson’s prior commitment in print that one does not know that one’s ticket will lose (2000: 117, 247). In conversation Williamson has made two salient remarks in response to these points. First, he still maintains that one does not know one’s ticket will lose when this belief is formed on the basis of reflecting on the low odds of it winning. He is open to one’s knowing that one’s ticket will lose by other bases of belief, for example, safe derivation from known propositions about the future. So in some lottery puzzles Williamson will concede that one can know that one’s ticket will lose. Second, Williamson has emphasized that lottery puzzles are unstable since one readily attributes knowledge about the future only to retract it when the lottery entailment becomes salient. Since Williamson’s concerns are the structural features of knowledge, he is not overly perturbed by problems generated by specific cases which rest on very unstable intuitions.

ii. Pritchard’s Response

Pritchard (2008: 41; 2009: 29), like Williamson, argues that the relationship between objective probability and safety is not one of direct correlation but motivates his claim using intuitions from a different lottery case. We say that S does not know by reflecting on the extremely long odds of winning a lottery that her ticket will lose (even if the draw has already occurred and S is unaware of the results) but that S does know that it lost from reading the result in the newspaper. This is a somewhat surprising result given that the objective probability of being wrong in the former case is lower than in the latter case since newspapers do sometimes print errors. Were closeness determined according to the HCCW principle, the the intuitions should be the converse. Safety, argues Pritchard, captures the intuitions in this case since the world in which one wins a lottery is very much like the actual world since all that differentiates the two worlds in this context is a bunch of balls falling differently. That is why one cannot know that one’s ticket will lose. However, given the copious editing processes at newspapers, quite a bit would have to go wrong for there to be a printing error.

Using this understanding of closeness Pritchard believes he can answer the lottery puzzles Hawthorne raises. Pritchard contends that we are mistaken in thinking that these are puzzles because our intuitions are being misled by a lack of detail in the presentation of the cases (ibid. 43-8). If S has a lottery ticket in his pocket for a draw taking place tomorrow, Pritchard claims that we ought to resist attributing knowledge to S that he won’t have enough money to go on a safari this year since the world in which he wins a major prize in the forthcoming lottery is close. In such a case, argues Pritchard, the agent also does not know that his ticket will lose. Conversely, if S does not have a lottery ticket in hand, then S knows he won’t go on safari and knows that he won’t win the lottery. Either way closure is preserved.

In a similar fashion Pritchard argues away some of the other lottery-like puzzles. If we are told that S is a healthy person then we are prone to affirm that S knows that S will be living in Wyoming this coming year and that S knows that S won’t have a heart attack since the world in which S, a healthy person drops dead from a totally unexpected heart attack, is far off. Likewise, if we are told that S has very high cholesterol, then we will deny that S knows that S will be living in Wyoming this year and that S won’t have a heart attack. Closure is maintained in both cases.

Some might have reservations about the adequacy of Pritchard’s response, however. It is a matter of differing intuitions whether or not there is a relevant difference between the actual world and worlds in which perfectly healthy people die from a sudden and unexpected heart attack or are involved in a fatal car accident. If such worlds are relevantly similar to the actual world, then such worlds should accordingly count as close on Pritchard’s line of thought. Therefore, contrary to Pritchard, such agents should be denied knowledge of their future whereabouts. The same line of reasoning can be applied to the lottery and newspaper case; the world in which the type setting machine prints an error owing to a technical glitch is much closer to the actual world than the world in which the seven balls corresponding to the numbers on one’s lottery ticket fall into the dedicated slots because much less has to change in the former case than in the latter case. If closeness of worlds is determined by how much the two worlds actually differ on the details of the case, then one ought to be unable to know stuff by reading the newspaper, which is an untenable result. Finally, it is also unclear how Pritchard’ strategy can handle the troublesome cases involving multi-premise closure that Hawthorne and Lasonen-Aarnio describe. The world in which Plumpton makes a mistake in the very long deductive chain he is about to embark upon seems very similar to the actual world. A natural reading of “at each step the chance that he will make a mistake is exceedingly low but that he will make a mistake overall exceedingly high” is that the two worlds are very similar; not much change is required for Plumpton to make a mistake somewhere along the way.

Despite these concerns, the disparity between closeness and objective probability that Pritchard is urging does seem to handle the Vogel and Greco cases quite well. Events in the actual would have to change significantly for sixty golfers all to score holes-in-one, or for the rookie to disarm the mugger, or for the monkey to type War and Peace.  The angles of the club face, timing, ball spin, wind speeds, strength of swing, and so forth. would all have to somehow fall together in such a way on sixty different occasions for all sixty golfers to succeed in scoring holes-in-one. Similar thoughts apply to the rookie and monkey cases.

c. Safety and Determinism

The safety theorist argues that if S knows P then S could not have easily been wrong. Suppose, for the sake of argument, that our world is a deterministic world  in the sense that the state of the world at TN is determined by the state of the world at TN—1 plus the laws of nature.. In what sense, then, could S have easily gone wrong since, if determinism is true, S could not but have believed P truly? Williamson (2000: 124, 2009: 325) argues that “determinism does not trivialize safety.” Williamson demonstrates this point by way of an example of a ball balanced on the tip of a cone. Such a ball, even in a deterministic world, is not safe from falling because, argues Williamson, the initial conditions could easily have been different such that the ball falls. By the “initial conditions” he means “the time of the case, not to the beginning of the universe” (2000: 124).

The suggestion, then, seems to be that in a case α in a deterministic world W, S safely believes P if and only if had the initial conditions of the case been slightly different S would still have truly believed P. What remains unclear, however, is why Williamson says that only the initial conditions of the case need to be changed and not the initial conditions of the universe, for, after all, altering the initial conditions of the case in a deterministic world can only be achieved if one alters the initial conditions of the universe itself. So altering the initial conditions of the case necessitates altering the initial conditions of the universe. In addition, on some conceptions of determinism, small scale changes at the beginning of the universe generate large-scale changes further down the chain of events. Consequently, it is unclear whether altering the initial conditions of the universe will generate sufficiently similar cases in which S falsely believes P. Finally, it seems somewhat odd to say that even if the actual world is a deterministic world, then even though I am currently typing in Oxford I could just have easily been hunting bears in Mongolia since a slight alteration in the initial conditions of the universe would have resulted in my being a bear hunter.

One maneuver a safety theorist can make in response to the foregoing difficulties is to adopt a move Lewis makes in his work on the semantics of counterfactuals. Suppose a world W is a deterministic world and in a case α in W S truly believes P at T. The safety theorist could argue that S safely believes P at T in W if and only if had there been a small miracle at T or some time shortly before T such that different conditions prevailed in a case β very similar to α, S truly believes P. (Williamson has raised such an option in conversation.)

Some might be wary of such a metaphysics since they would assume that miracles are not the kind of things we want in our ontology or epistemology. So it appears that unless the safety theorist wishes to adopt a somewhat unorthodox metaphysics, safety, despite Williamson’s insistence to the contrary, is hostage to determinism. But in the safety theorist’s defense, our best physics seems to provide a better case for indeterminism than determinism. It remains the case, nevertheless, that the safety theorist needs be more forthcoming about the relationship between the physical conditions of the world and the modality of the safety condition.

6. References and Further Reading

  • Armstrong, D. 1973. Belief, Truth, and Knowledge. Cambridge: Cambridge University Press.
    • An important early contribution to the study of knowledge in the post-Gettier period, particularly the idea that knowledge requires reliability.
  • Chisholm, R. 1977. Theory of Knowledge. 2nd ed. NJ: Prentice Hall.
    • One of the notable works in the early period of contemporary analytic epistemology.
  • Comesaña, J. 2005. “Unsafe Knowledge.” Synthese 146: 395-404.
    • This author argues that safe belief is not necessary for knowledge.
  • Dretske, F. 1971. “Conclusive Reasons.” Australasian Journal of Philosophy 49: 1-22.
    • In this paper Dretske argues for a sensitivity condition for knowledge.
  • Gettier, E. 1963. “Is Justified True Belief Knowledge?” Analysis 23: 121-3.
    • Here the famous counterexamples to the justified true belief account of knowledge are presented.
  • Goldman, A. 1967. “A Causal Theory of Knowing.” The Journal of Philosophy, 64 (12): 357-372.
    • Goldman presents a causal account of knowledge, which was an early attempt at solving the Gettier problem. Goldman later abounded this account in favor of his relevant alternatives account, a position he still maintains today.
  • Goldman, A.  1976. “Discrimination and Perceptual Knowledge.” The Journal of Philosophy, 73: 771-91.
    • The relevant alternatives condition for knowledge is explicated and defended.
  • Goldman, A. 1986. Epistemology and Cognition. USA: Harvard University Press.
    • A contemporary classic that presents Goldman’s epistemics—his multidisciplinary project of bringing the developments in cognitive psychology to bear on questions in individual and social epistemology.
  • Goldman, A. 2007. “Philosophical Intuitions: Their Target, Their Source, and Their Epistemic Status.”  Grazer Philosophische Studien 74: 1-26.
    • In this paper Goldman discusses the place of intuition in philosophy and the epistemic status of such intuitions, which is currently a hot topic in epistemology.
  • Greco, J. 2007. “Worries about Pritchard’s Safety.” Synthese 158: 299-302.
    • Problems for Pritchard’s safety condition are raised.
  • Hawthorne, J. 2004. Knowledge and Lotteries. Oxford: Oxford University Press.
    • This is a masterful treatment of the lottery problem and includes a helpful comparative assessment of the various semantic solutions proposed to this problem.
  • Hawthorne, J. & Gendler, T. 2005. “The Real Guide to Fake Barns.” Philosophical Studies 124: 331-352.
    • A humorous and pointed display of how some Gettier cases can be manipulated into yield even tougher cases for accounts of knowledge to handle.
  • Hawthorne, J. & Lasonen-Aarnio, M. 2009. “Knowledge and Objective Chance”. In: Greenough, P. & Pritchard, D. (eds.). Williamson on Knowledge. Oxford: Oxford University Press, pp. 92-108.
    • In this piece the problematic relationship between safety and probability is identified.
  • Lackey, J. 2006. “Pritchard’s Epistemic Luck.” Philosophical Quarterly 56: 284-9.
    • This author argues for inadequacies in Pritchard’s work on safety.
  • Lewis, D. 1973. Counterfactuals. Oxford: Blackwell.
    • Here Lewis presents his modal semantics for counterfactuals.
  • McGinn, C. 1999. “The Concept of Knowledge.” In: McGinn, C. Knowledge and Reality: Selected Essays. Oxford: Oxford University Press, pp. 7-35.
    • In this collection of his essays, McGinn defends his favored account of knowledge.
  • Neta, R. & Rohrbaugh, G. “Luminosity and the Safety of Knowledge.” Pacific Philosophical Quarterly 85 (2004) 396–406.
    • Arguments against safety are presented.
  • Nozick, R. 1981. Philosophical Explanations. Oxford: Oxford University Press.
    • Chapter 3 contains Nozick’s defense of his sensitivity condition for knowledge.
  • Peacocke, C. 1999. Being Known. Oxford: Oxford University Press.
    • In §7.5 Peacocke presents a useful elaboration of the notion of “could easily have.”
  • Pritchard, D. 2005. Epistemic Luck. Oxford: Oxford University Press.
    • A masterful exposition of the place luck plays in epistemology.
  • Pritchard, D. 2007. “Anti-Luck Epistemology.” Synthese 158: 277-98.
    • An argument for a refined safety condition for knowledge.
  • Pritchard, D. 2008. “Knowledge, Luck, and Lotteries.” In: Hendricks, V. & Pritchard, D. (eds.). New Waves in Epistemology. London: Palgrave Macmillan, pp. 28-51.
    • Here Pritchard discusses the lottery problem for safety at length.
  • Pritchard, D. 2009a. “Safety-Based Epistemology: Whither Now?” Journal of Philosophical Research 34: 33-45.
    • Further refinements of the safety condition.
  • Pritchard, D. 2009b. Knowledge. London: Palgrave Macmillan
    • A general and accessible introduction to knowledge.
  • Russell, B. 1948. Human Knowledge: Its Scope and its Limits. London: Allen & Unwin.
    • Here Russell lays out a general treatment of human knowledge part of which discusses his famous clock case.
  • Sainsbury, R.M. 1997. “Easy Possibilities.” Philosophy and Phenomenological Research 57(4): 907-919.
    • A discussion of easy possibility with respect to S not easily falsely believing P.
  • Shope, R. 1983. An Analysis of Knowing: A Decade of Research. Princeton: Princeton University Press.
    • A helpful overview of the early post-Gettier literature.
  • Skyrms, F.B. 1967. “The Explication of ‘X knows that P’.” Journal of Philosophy 64: 373-89.
    • An early work in epistemology in the post-Gettier period.
  • Sosa, E. 1999a. “How to Defeat Opposition to Moore.” Philosophical Perspectives 13: 141-54.
    • A discussion of safety in the context of skepticism.
  • Sosa, E. 1999b. “How must knowledge be modally related to what is known?” Philosophical Topics 26 (1&2): 373-384.
    • Sosa argues that a contraposition of Nozick’s sensitivity condition of knowledge is a superior condition for knowledge.
  • Sosa, E. 2007. A Virtue Epistemology: Apt Belief and Reflective Knowledge Volume I. Oxford: Oxford University Press.
  • Sosa, E. 2009. Reflective Knowledge: Apt Belief and Reflective Knowledge Volume II. Oxford: Oxford University Press.
    • In these two publications Sosa develops and refines his work on safety into a virtue account of knowledge that does not lean so heavily on a “brute” safety condition for knowledge. As a result, Sosa (and Pritchard) can no longer be strictly labeled as a safety theorist. Indeed, Sosa is open to there being cases of lucky knowledge.
  • Vogel, J. 1999. “The New Relative Alternative Theory”. Philosophical Perspectives 13: 155-80.
    • Here one finds, among other things, some interesting cases involving luck.
  • Williamson, T. 1994. Vagueness. London: Routledge.
    • Here Williamson presents a  case for his epistemic conception of vagueness.
  • Williamson, T. 2000. Knowledge and its Limits. Oxford: Oxford University Press.
    • A contemporary classic in epistemology in which Williamson argues for some rather iconoclastic positions about knowledge and evidence, among other important questions.
  • Williamson, T. 2009a. “Reply to Cassam.” In: Greenough, P. & Pritchard, D. (eds.). Williamson on Knowledge. Oxford: Oxford University Press, pp. 285-292.
    • This is a collection of concerns several authors raise about various aspects of Williamson’s work in epistemology. The book concludes with Williamson’s replies.
  • Williamson, T. 2009b. “Reply to Goldman.” In: Greenough, P. & Pritchard, D. (eds.). Williamson on Knowledge. Oxford: Oxford University Press, pp. 305-312.
  • Williamson, T. 2009c. “Reply to John Hawthorne and Maria Lasonen-Aarnio.” In: Greenough, P. & Pritchard, D. (eds.). Williamson on Knowledge. Oxford: Oxford University Press, pp. 313-29.
  • Williamson, T. 2009d. “Probability and Danger.” The Amherst Lecture in Philosophy.
    • A clarification of the relationship between safe belief and probability.

 

Author Information

Dani Rabinowitz
Email: dani.rabinowitz@philosophy.ox.ac.uk
Oxford University
United Kingdom

Surveillance Ethics

Surveillance involves paying close and sustained attention to another person. It is distinct from casual yet focused people-watching, such as might occur at a pavement cafe, to the extent that it is sustained over time. Furthermore the design is not to pay attention to just anyone, but to pay attention to some entity (a person or group) in particular and for a particular reason. Nor does surveillance have to involve watching. It may also involve listening, as when a telephone conversation is bugged, or even smelling, as in the case of dogs trained to discover drugs, or hardware which is able to discover explosives at a distance.

The ethics of surveillance considers the moral aspects of how surveillance is employed. Is it a value-neutral activity which may be used for good or ill, or is it always problematic and if so why? What are the benefits and harms of surveillance? Who is entitled to carry out surveillance, when and under what circumstances? Are there any circumstances under which someone should never be under surveillance?

This article provides a brief overview of the history of surveillance ethics, beginning with Jeremy Bentham and George Orwell. It then looks at the development of surveillance studies in the light of Michel Foucault and the challenges posed by new techniques of surveillance which allow unprecedented collection and retention of information. The bulk of this article focuses on considering the ethical challenges posed by surveillance. These include why surveillance is undertaken and by whom, as well as when and how it may be employed. This is followed by an examination of a number of concerns regarding the impact of surveillance such as social sorting, distance and chilling effects.

Table of Contents

  1. Origins
  2. Recent History
  3. Privacy
  4. Trust and Autonomy
  5. Cause
  6. Authority
  7. Necessity
  8. Means
  9. Social Sorting
  10. Function Creep
  11. Distance
  12. Chilling Effects
  13. Power
  14. References and Further Reading

1. Origins

Jeremy Bentham’s idea of the Panopticon is arguably the first significant reference to surveillance ethics in the modern period (Bentham 1995). The Panopticon was to be a prison, comprising a circular building with the cells adjacent to the outside walls. In the centre was a tower in which the prison supervisor would live and monitor the inmates. Large external windows and smaller internal windows in each cell would allow the supervisor to monitor the activities of the inmates, while a system of louvres in the central tower would prevent the inmates from seeing the supervisor. A rudimentary form of directed loudspeaker would enable the supervisor to communicate with the prisoners. Through not knowing when they were under surveillance, Bentham argued, the inmates would come to assume that they were always under surveillance. This would encourage them to be self-disciplined and well-behaved during their incarceration. The prospect of living in this way would also deter those who visited the prison from wanting to commit crimes. Hence the Panopticon would serve as a deterrent to the inmates from misbehaving or committing future crimes and to general society from committing crimes and finding themselves so incarcerated.

George Orwell’s 1984 extended the Panopticon to encompass the whole of society, or at least the middle classes (Orwell 2004). In this novel the Panopticon became electrical with the invention of the telescreen, a two-way television which allowed the state almost total visual and auditory access to the homes, streets and workplaces of the citizens. As the inmates of the Panopticon were reminded of the supervisor’s presence by the loudspeaker, so citizens in Orwell’s vision were told repeatedly that “Big Brother is watching you”. Orwell used the novel to discuss, among other things, both the reasons of the state for wanting ubiquitous surveillance and the impact that this has on the individual and the nature of a society under ubiquitous surveillance.

The theme of the Panopticon was revisited by Michel Foucault in Discipline and Punish, an overview of the history of prisons and the value they serve (Foucault 1991). Foucault’s particular concern was with the use of power and its increasing bureaucratization in the modern period. His study began with torture and the emphasis on the sovereignty and power of the king. With the Enlightenment the prison was introduced as a more efficient means of punishment, supported by society’s increasing acceptance of the value of discipline beyond merely the military or religious arenas. Oversight became a fundamental tool in enforcing discipline, and so the Panopticon served as both a means of punishment and a form of discipline of the inmates, owing to the seemingly persistent gaze of the supervisor. With time, Foucault argued, the prison was combined with the workhouse and the hospital to simultaneously deprive inmates of their freedom whilst attempting to discipline and reform them.

Aside from Foucault’s comments on the nature of prisons and their value in society, his reference to the Panopticon introduced the concept to a new generation of scholars unfamiliar with Bentham’s penal theories. As such it is the Panopticon read through the lens of Foucault, along with Orwell’s dystopian vision, that came to dominate early discussions of surveillance and its impact on society and the individual.

2. Recent History

While Bentham/Foucault and Orwell successfully raised questions about the value and harms of surveillance, these had limited impact in many philosophy departments. As such there is little written on the ethics of surveillance from a strictly philosophical perspective. However, the interest sparked by Foucault, coupled with recent advances in technology, has led to a questioning of the role surveillance plays in contemporary society. This questioning has been increasingly reflected in academia with the creation of the inter-disciplinary field of Surveillance Studies, bringing together sociologists, jurists, political scientists, geographers, and increasingly philosophers, to consider issues connected with and arising from surveillance.

Although there may be a degree of continuity with earlier forms of surveillance, the “new surveillance” (Marx 1998) introduced by technological advances adds degrees of complexity and mobility with which society has not been faced before. Closed Circuit Television (CCTV) cameras offer a potentially ubiquitous gaze and a hidden, anonymous watcher akin to the Panopticon on a hitherto unimaginable scale. Wireless networks transmit vast quantities of information on systems vulnerable to intercept. The Internet has seen the creation of virtual identities, “data doubles” – reflections of the “real” person in cyberspace – which are vulnerable to abuse and theft; online storing of medical, banking and other personal data which may be hacked or simply lost by the institution responsible; and the increased commodification of personal information by web sites which sell that data to advertising companies or governments. In each of these cases not only are the technology and services offered new but the nature of the technology means that almost limitless information can be collected, stored indefinitely and returned to or searched at will.

Taken together these issues have moved on the discussion from analogies drawn with the Panopticon or 1984. While each maintains rhetorical force, the computerization of society has rendered them limited in their ability to capture the complexities of contemporary surveillance, still less the benefits and harms that it can bring. Furthermore, both the Panopticon and Big Brother are authoritarian and negative images which lend weight to the suggestion that surveillance is always unethical or problematic. However, this is not the case. There are instances in which surveillance can be not only justified but even embraced by the surveilled. Surveillance is itself an ethically neutral concept. What determines the ethical nature of a particular instance of surveillance will be the considerations which follow, such as justified cause, the means employed, and questions of proportionality. Before turning to these, however, we will discuss the areas of life most impacted by surveillance: Privacy, trust and autonomy.

3. Privacy

One of the core arguments against surveillance is that it poses a threat to privacy, which is of value to the individual and to society. This raises a number of questions about privacy, what it is and to what extent and why it is valuable.

Much of the early work on privacy was carried out in the legal realm, particularly in the United States. Warren and Brandeis’ The Right to Privacy (Warren and Brandeis 1890) is generally taken as the first attempt to define the concept of privacy. Here the authors claim that the right to privacy is an instance of the “right to be let alone” and establish limits to that right, arguing that it is not absolute. Developments in technology then gave rise to defining legal cases, such as Katz v. United States (1967) which related privacy and surveillance to the Fourth Amendment of the US Constitution (forbidding unreasonable search and seizure by the state). Eisenstadt v. Baird (1972) then established that the right to privacy involved the right to make important choices without government intervention, drawing a connection between privacy and autonomy. This was drawn upon in Roe vs. Wade (1972) to argue for a woman’s rights in abortion.

In the aftermath of these legal decisions the concept of privacy was increasingly debated by philosophers. Judith Jarvis Thomson (Thomson 1975) argued that the right to privacy consists of a cluster of rights which overlap with both property rights and rights of the person. She held that there are no privacy rights which do not overlap with clusters of other rights, and so there is no distinct right to privacy. A violation of someone’s right to privacy only occurs when one of these other rights has also been violated in a relevant manner. Hence the illicit viewing of another’s diary involves a breach of his right to dispose of his property as he sees fit; extracting information through torture involves a violation of someone’s right not to be injured. In both cases there is a violation of a person’s privacy, but this is only because other, more fundamental rights have been violated.

Thomas Scanlon (Scanlon 1975) responded by arguing that Thomson’s analysis was convoluted and counter-intuitive. Instead he proposed that we have socially-defined zones of privacy which enable us to act with the assumption that we are not being monitored. These zones are motivated by our interest in not having to be alert to specific observation at all times. James Rachels (Rachels 1975), responding to both Thomson and Scanlon, argued that privacy was rather a matter of relationships. In defining our relationships with others, we use varying degrees of privacy to establish intimacy. With a stranger we uphold a high degree of privacy, whilst with a close family member we may have and expect much less privacy. Indeed, he argued, what it means to be a friend is for the relationship to involve less privacy than would otherwise be the case.

More recently W.A. Parent (Parent 1983) argued that privacy involved the control of undocumented information about oneself. This has been contested by Jeffrey Reimann (Reiman 2004) and Tony Doyle (Doyle 2009), who hold that privacy is not restricted to information. A porn star whose body is freely available for all to see may still have his or her privacy violated if spied upon in his or her own home. Daniel Nathan (Nathan 1990) and Danah Boyd (Boyd 2010) agree with Parent that control is an important issue, while Herman Tavani and James Moor (Tavani and Moor 2001) hold that privacy relates more accurately to the access another has to me than to who controls the information about me.

Despite the disagreements, most would agree that on an individual level, privacy affords us the space to be ourselves and to define ourselves through giving us a degree of autonomy and protecting our dignity. In our interactions with others we may define the intimacy of our relationships with them through the amount of privacy we relinquish in that relationship. As we engage with society at large we gain confidence and security from our privacy, safe that those we do not know do not in turn know all about us. We fear the stranger and what they might do if they knew our vulnerabilities. Through keeping those vulnerabilities private, we maintain a level of personal safety.

Privacy is also of value to society at large. As noted, we may appear in public safe in the knowledge that our weaknesses are not on display for all to see, allowing for confident personal interaction. When we vote we do so in the belief that no-one can see our decision and treat us well or poorly in the light of how we voted. Privacy is thus important in the social context of democracy. In many cases we do not want to know everything about everyone around us and so privacy can protect the rest of us from being exposed to too much information. Thanks to a level of anonymity I may also feel emboldened to speak out publicly against corruption or injustice, or simply to be more creative in self-expression. Many of these benefits can be seen through the contrast with states employing high levels of surveillance, such as the former German Democratic Republic. Here the surveillance carried out by the Ministerium für Staatssicherheit (Stasi) was instrumental in quashing open dissent and enforcing the behavioural uniformity foreseen by Orwell (Funder 2004).

There is also of a tension between the safety of the individual as granted by his or her privacy, and the safety of the community which comes from denying the individual his or her privacy. On the most basic level, I feel safest if you know nothing about me but I know everything about you. This is reversed from your perspective, leading to the tension of balancing privacy against security. This balance suggests that it may be morally justifiable to deny one person’s privacy in the interests of the security of the community, although it is by no means always clear when these situations might arise.

4. Trust and Autonomy

Linked closely to the issue of privacy is that of trust. As highlighted by Rachels (Rachels 1975), privacy is often held in an inverse relationship to trust such that the more trust exists between two people, the less need there is for privacy. This is not universally true as intimate partners may still lock the bathroom door. Nonetheless committed relationships are often marked by a higher degree of trust and a reduced level of privacy. When one of those elements is breached, either through intruding on (limited) privacy or through a breaking of trust, the relationship is damaged. One reflection of diminished trust in a relationship is increased surveillance, as when suspicious partners hire private investigators to determine an infidelity. Conversely, the discovery of increased surveillance, especially when the surveilled party is innocent, may also lead to decreased levels of trust. At a personal level trust is often reciprocal: Why should I trust you if you don’t trust me? The discovery of surveillance could well therefore damage personal relationships.

Surveillance also limits the opportunity to present oneself in the manner of one’s own choosing. It is hence limiting on the individual’s autonomy, impacting how that individual interacts with the world. While Bentham believed the Panopticon would encourage inmates to self-discipline, this would only occur through fear of repercussions. The inmates would be denied the opportunity to demonstrate willingness to reform without the surveillance. There would therefore be no opportunities for the supervisor of the prison to place his trust in the prisoner, nor for that prisoner to demonstrate his trustworthiness other than in the presence of surveillance. Any traits displayed would then arguably not be genuine reflections of the character of the inmate. The same is true of surveillance in the workplace, schools and society at large. If the surveilled is suspicious of or conscious of the surveillance then they might conform to the expected norm, but this will not necessarily reflect their character.

Surveillance therefore diminishes the need to trust the surveilled person. Its presence will pressure that person to conform and so render his actions more predictable. Furthermore, as in the Panopticon, if he does not conform there is the chance he will be subject to sanctions. Surveilled people therefore can become more predictable if they fear reprisals for acting in ways that merit the disapproval of the surveillant. In that sense they are therefore more trustworthy (an authority can trust that they will act in such a manner). If the purpose of surveillance is to control or deter people, then surveillance of which the subject is aware could be effective. If, on the other hand, the purpose is to assess the character of people as that character is expressed in integrity, then surveillance of which the subject is aware will be of little help.

We have seen the impacts of surveillance on privacy, trust and autonomy. We are now in a position to consider when surveillance may be justified in spite of (or because of) those impacts.

5. Cause

The purpose of surveillance, or one particular instantiation of surveillance, is probably the most fundamental ethical question that can be asked on this subject. We may think of security as an obvious response, especially as it concerns state surveillance in the form of espionage, or in the form of security cameras surrounding particular buildings. In a sense this throws the question back one degree to ask whether security, or this degree of security, is justified under the circumstances. This will then hinge in part on who it is that is carrying out the surveillance and in part on whom they are monitoring. Is state surveillance of political dissidents, for instance, really necessary for state security?

Security isn’t the only use of surveillance, however. Many retail establishments use surveillance for the mutual benefit of themselves and their customers. Loyalty cards in supermarkets enable the stores to see who is buying which goods and build up detailed pictures of their customer base. Customers participate in this surveillance in return for exclusive deals. Frequent users receive special offers either to widen their shopping experience or to encourage loyalty to the particular store.

Efficiency savings such as these are not limited to retail. They also apply on public and private transport when smart cards enable a person to use the subway or a toll road without using cash. They can aid the rapid transfer of information regarding a person’s health if they fall ill or have an accident when away from home. Security and customer benefit may also come together as, for example, when credit cards are suspended following atypical spending habits of the user. This might also be the case if law enforcement agencies find that they need to establish an alibi or build a profile of a suspect.

Finally there is the possibility of using surveillance for personal gain. This might be financial or emotional, but can extend to other reasons. An unethical computer hacker might break into a website to steal credit card numbers which she can then use for her own ends. Alternatively a Peeping Tom might steal up to someone’s window with voyeuristic intent, or an ex-spouse might seek to gain incriminating information in order to secure custody of their child (Allen 2008).

While issues of simple personal gain which involve violating the privacy of another seem to be unacceptable, although there might be exceptions, questions of security and efficiency are less clear-cut. Many choose to opt-in to supermarket or transport surveillance precisely for the benefits that these systems offer, despite the intensely personal knowledge of the customer that the store can gain from these interactions. In the case of state security the questions often fall along the lines of how far should the privacy of the few be sacrificed for the security of the many. As shall be seen when we come to consider social sorting, however, questions of distribution also arise: Who stands to gain and who to lose from a particular instance of surveillance?

Consent is a major consideration in the justification of surveillance, and particularly the cause of surveillance. If I invite you into my home I am consenting for you to see me in a context which would hitherto have been private and secluded from you. In the popular game show Big Brother contestants consented to being monitored round the clock for up to three months. This does not appear to be problematic from the perspective of the surveillance. As noted above, we do not feel an imposition has occurred if we choose to take up a supermarket’s offer of a loyalty card and the convenience that it brings. We might, however, object strongly if it transpires that the store has been monitoring the spending of individuals without such cards by recording their credit card usage and correlating this with itemised receipts.

While consent can justify surveillance, however, the lack of consent does not automatically thereby invalidate it. Law enforcement does not need to seek the consent of the criminals it wishes to monitor to accumulate evidence against them, nor does the state need to gain consent of those who are genuine threats to its security. As such, we must look to justifiable causes for non-consensual surveillance.

One justification often given for large-scale surveillance is the consequentialist appeal to the greater good. This might apply when the security of the community is best served by monitoring some or all in that community. If the community in question is a state then the numbers involved will be too great to realistically gain complete acceptance of the surveillance by every citizen. As such the state may then appeal to the benefits that will come to more people as a result of the surveillance to justify the imposition.

Deontologists are likely to resist this justification as it implies that the rights of the few may be overridden by the interests of the many. A deontological justification will look rather to the entity to be surveilled and ask what it is about that entity that means it deserves or is in some way liable to be monitored in this way. Given the aforementioned harms of surveillance, there must be a good reason as to why this person or group should be exposed to those harms.

In practice, justifications for surveillance often include both consequentialist and deontological considerations. Hence state security is justified in both protecting the majority and focusing its attention on particular wrongdoers who pose a threat to that majority. Similarly, CCTV in the public square is justified in providing peace of mind to the general public by monitoring all, but targeting only particular individuals or groups who are believed to pose a threat.

The type of surveillance might also have a bearing on whether a consequentialist or  deontological justification is sought. CCTV, which is indiscriminate in whom it monitors, lends itself to a consequentialist perspective. In shopping malls the majority of people surveilled by CCTV have done nothing wrong and have no intention of wrongdoing. Nonetheless, the benefits which CCTV brings in detecting the minority of wrongdoers and punishing them may be taken to justify the surveillance of all. By contrast, a more discriminating form of surveillance, such as tapping a suspect’s telephone, lends itself more to a deontological approach. If a person has given an authority such as the police reasonable suspicion to believe he has committed a crime, so he has rendered himself liable to be monitored in this way.

Finally, differences between deontologists and consequentialists emerge in opposition to surveillance. Deontologists will typically find surveillance less acceptable when it violates certain rights of individuals such as the right to privacy. By contrast, consequentialists will tend to be more sanguine about concerns with individual rights in favour of overall costs and benefits to society. If a particular instance of surveillance can be shown to improve the wellbeing of society, albeit at the cost of the privacy of a few individuals, then consequentialists are less likely to see this as problematic than deontologists.

6. Authority

Much of the justification of surveillance, and particularly the cause of that surveillance, will depend on who it is that is carrying out the surveillance. State security can and should be carried out by state intelligence agencies. By contrast it should not be carried out by journalists or foreign aid workers, who need to maintain a level of neutrality in order to carry out their work effectively. If this is the role of state intelligence agencies then those agencies would not be justified in the surveillance of domestic employers to ensure that they are not abusing their workforce. This should rather be the domain of domestic law enforcement.

State surveillance of genuine enemies of the state is one of the less controversial elements of surveillance. Even here, though, it is important to be clear as to precisely whose security is being guarded: That of the state or of those currently empowered to run the state? When the protests occurred in Tiananmen Square in 1989, were the protestors challenging 1) the security of China, 2) the security of the Communist Party running China or 3) the security of those individuals leading the Communist Part of China? To what extent was China the Communist Party and how much of the identity of the state is tied up with those who run the state?

The decision to employ surveillance does not lie entirely with the state, although the state may chose to regulate the use of surveillance. Employers sometimes monitor their employees, either to prevent theft or whistle-blowing or to ensure that they are working to their maximum ability. Retailers, as noted above, monitor customer spending habits to improve efficiency and sales. Parents monitor sleeping infants so as to respond should the child wake in the night. Private investigators might engage in surveillance to establish infidelity, while Peeping Toms might do so for kicks. While it might be felt that the investigator is justified and the Peeping Tom is not, what of the case when the private investigator is attempting to establish infidelity and simultaneously enjoying his work a little too much?

In each case the ethical authority to carry out surveillance is intimately linked to the justifying cause of that surveillance. Hence an individual is justified in carrying out surveillance of his property if it is to secure the property from theft, but not if it is to spy on his tenants. Parents are justified (indeed, often expected) to monitor their infant children as they sleep, but whether they are also justified in monitoring the babysitter watching over their children is far more controversial. Groups of people are justified in watching their street, particularly if it has been subject to a recent spate of theft, through Neighbourhood Watch schemes, but not in intimidating an unpopular neighbour through persistent overt surveillance. This is not to suggest that intention alone can justify surveillance. A landlord might wish to secure his property by placing a camera in the bathroom (lest a burglar enter through the window). While his intention might not be to spy on his tenants the effect will be precisely that. Similarly, baby monitors left in areas where they are likely to record intimate phone conversations of a babysitter are still an invasion of the babysitter’s privacy, irrespective of the parents’ intentions.

7. Necessity

Necessity is often cited as an important condition for justified surveillance. Article 8 of the European Union Convention on Human Rights, for example, states that “there shall be no interference by a public authority with the exercise of this right [to privacy] except such as is in accordance with the law and is necessary in a democratic society in the interests of national security, public safety or the economic well-being of the country, for the prevention of disorder or crime, for the protection of health or morals, or for the protection of the rights and freedoms of others” (Council of Europe 1950). We shall discuss proportionality and discrimination below. Here we shall focus on what is meant by necessity in the context of surveillance.

When is surveillance necessary, though? Should surveillance, like war, be a matter of last resort? If so, when is that moment of last resort reached?

The concept of necessity can limit surveillance from being undertaken arbitrarily or prematurely. An authority may not monitor anyone at any time. Surveillance must rather be required by the circumstances of the case. However, this is simply to replace “necessary” with “required” and so does not help. We are still left with the question as to when surveillance is required by the circumstances of the case.

John Lango (Lango 2006) has suggested two criteria for necessity: The feasibility standard and the awfulness standard. The first occurs when there is sufficient evidence to suggest that there is no feasible alternative, the second when the alternatives are worse than the proposed course of action. When one of these criteria is met the action may be deemed necessary. Given the harms of surveillance, it should therefore be avoided if there are less harmful alternatives. However, surveillance becomes necessary when either there is no alternative, or when the alternatives such as physical intrusion or arrest are more harmful than the surveillance itself.

8. Means

How surveillance is carried out is a further consideration which should be taken into account. Is the surveillance proportionate to its aim and is it discriminate in whom it targets? Proportionality of action is a familiar concept in legal and military ethics, but it has application to surveillance as well. We might return to the images of Big Brother or the Panopticon to picture scenarios in which surveillance is total and unending, and the horror which this often arouses in our minds. In these cases it is hard to imagine the occasioning justification which would see such surveillance as a proportionate response. Even major wars do not justify the perpetual monitoring of all citizens around the clock.

More recent, non-fictional cases exist in the surveillance of school children through using fingerprinting technology either to grant entrance and egress from the school, or to pay for school lunches. While the former case might be seen as providing protection to the children from those who should not be in the school, the latter seems highly invasive and an extreme manner to respond to playground bullies stealing lunch money or parents’ desire to know what food their children are eating. Similar questions have been raised about the full-body screening of airline passengers which was introduced in 2009 in the US and the UK, leading to monochrome “nude” images of all those who went through the scanners. Irrespective of health concerns associated with the scanners, they were seen by many to be extremely invasive of privacy without offering a concomitant level of security to those flying on the airline.

If proportionality questions the depth, or intrusiveness of surveillance, discrimination considers its breadth. It asks how many people are likely to be monitored as a result of the particular form of surveillance. Some aspects of surveillance, such as wire tapping, are highly discriminating and target only those using the particular phone under observation. Others, such as CCTV in public places, are broadly indiscriminate and collect information about a great number of people, only some of which will be of interest to the surveillant. We may ask if there is an onus on the surveillant to be as discriminating as possible and only collect information or invade the privacy of as few people as absolutely necessary, given the confines of what is reasonably possible.

A related question is whether any form of surveillance should be absolutely prohibited. Possible candidates for impermissible surveillance would be that of public toilets or private bedrooms. However even here it would appear as if there are cases when these might become of critical importance to justifying causes, such as state security. This might occur if a civil servant with access to state secrets is believed to be involved in a sexual liaison with a member of a foreign intelligence agency. Less exotically, an organised crime syndicate might use a public toilet as a dead letter drop for passing drugs, guns or money. In each of these cases it might be felt that the perhaps obvious places for banning surveillance could in fact become legitimate contexts. In these cases, however, it would be important to protect the innocent as much as possible by limiting the intrusion. Film which is not useful as evidence should be promptly deleted; the monitoring of toilets should be carried out by a member of the same sex; and if possible software should be used which grants anonymity to all captured on film by default and can only reveal individual details upon request.

9. Social Sorting

Much of the discussion surrounding the ethics of surveillance concerns threats to individual or group privacy, and the balance of power between the individual and the state or the individual’s employers. There is a further potential harm of surveillance in the form of social sorting (Lyon 2002). The purpose of surveillance, it is argued, is to sort people into categories for ends which are either good or ill. The danger, however, is that social stereotypes are carried over into these categories and may even be enshrined and institutionalized in them. As a result particular forms of surveillance might serve to have real impact on people’s life chances owing to such institutionalized prejudice. For example, a recent study found that CCTV operators were disproportionately monitoring the young, the male and ethnic minorities “for no obvious reason” (Norris & Armstrong 1999). That is, in the absence of suspicious behaviour they were choosing to focus their attention on these categories of people. The result is that anyone falling into these categories is more likely to be caught if doing something wrong than someone else, thus perpetuating the stereotype. Furthermore, as these groups were being watched more frequently than others, they were more likely to be seen as doing something suspicious. This in turn could lead to disproportionate response rates by security forces on the ground, contributing to a sense of alienation and rejection by society.

10. Function Creep

Function creep (Winner 1977) involves extending the use of a technology from the cause for which it was initially intended to a different cause. This is readily seen in the use of identity cards in the UK, introduced in the 1939 National Registration Act for the purposes of security, national service and rationing. By 1950 the same cards were being used by 39 government agencies for reasons as diverse as collecting parcels from the post office to routine police enquiries. While any or even all of these were arguably justified, few could be justified under the terms of the initial Act. It was a combination of protest and the eventual recognition of this extension of use which led to the abolition of the Act that same year.

It is not just an extension of surveillance technology which can count as function creep but also an extension of the information retrieved by that technology. CCTV may be installed in a public transport hub in order to better ease traffic flows and predict suicides in order to facilitate timely intervention. In the event of a terrorist atrocity occurring in that hub, though, the same images can be used to identify the terrorist and the means of carrying out the atrocity. In this way function creep can be seen to be complex in its application: Its new use might be fully justifiable. What is problematic is the application of the technology in a new area in one instance leading to its regular and repeated use in that area, especially when this extension has not been subject to ethical scrutiny.

11. Distance

Surveillance typically puts a distance between the surveillant and the person or group surveilled. This can be of benefit to both as it removes the surveillant from the immediacy of the situation and may provide her with time and space to deliberate before reacting to a situation. It might also mean that she does not feel personally threatened in a situation and so react more calmly than would otherwise be the case. However it also simplifies everyday levels of human interaction such as negotiation, discretion, and the use of subtlety: From the surveillant’s perspective someone is either a target or not, and the surveilled subject is not given a platform to respond. This is a concern which is exacerbated by the automation of surveillance and threat detection as the software operating the surveillance can only see people in these terms. There is a further concern that the distance between operator and subject means that the two might never meet. Yet without personal confrontation an operator with social prejudices may never be challenged in her views. She might never meet a person from an ethnic minority (or not one from the minority of which she is suspicious) and so fail to be challenged in her view that all members of that social group are, by virtue of their membership, inherently worthy of suspicion.

12. Chilling Effects

International law states that people have certain human rights, such as the right to free speech, the right to association and the right to protest (United Nations 1948). Suspicion as to a state’s motives, however, may lead to cynicism as to how the state will employ its surveillance technology in self-protection. Even if there is no evidence of wrong-doing the state may nonetheless choose to keep records on those who publicly confess to a certain belief, or who choose to associate with those whom the state believes pose a threat. These records may then be used against citizens at a later date by the state, or by a future iteration of the state if the individuals running the executive change. The knowledge of the accumulation and possession of these records by the state may disincline some citizens from engaging in these legitimate activities, preferring to keep their heads down and avoid notice by the state. These so-called “chilling effects” are at odds with human rights and democratic practice and can lead to behavioural uniformity and a stifling of creativity. In certain dictatorial regimes this may be seen as advantageous. Again one can return to Orwell’s 1984 for a dystopian vision of chilling effects (see also Funder 2004).

13. Power

Throughout this article there has been a recurring theme of power. Through the act of surveillance the surveillant gains power over the surveilled, either through the gathering of information regarding that person which they would rather keep secret (or, at least, keep control over its distribution), or through distancing the person and treating them as acceptable or unacceptable for whatever is the purpose of that surveillance. The balance of power between individuals, or between individuals and groups such as employers or the state, is therefore an important consideration in assessing what it is that is wrong or dangerous about many forms of surveillance.

If we return to the parental monitoring of infants, the context is one of the empowered over the powerless and the cause of the monitoring is paternal care. As noted, this is often seen as a duty of the parent and so one which is justified. As children grow and become more independent, however, they require less care and gain an increasingly strong claim to their own privacy. This is true of surveillance in general as it transfers power from the surveilled to the surveillant. When consent is given then this is more, although possibly not always, justifiable. In the absence of consent, however, this disempowerment of the individual is highly problematic, threatening their dignity and ultimately their responsibility for their own lives.

14. References and Further Reading

  • Allen, A.L. (2008). “The Virtuous Spy: Privacy as an Ethical Limit”, The Monist 91.1: 3-22.
  • Bentham, J. (1995). The Panopticon Writings. Verso Books.
  • Boyd, D. (2010). “Making Sense of Privacy and Publicity”. SXSW. Austin, Texas, March 13.
  • Council of Europe (1950). Convention for the Protection of Human Rights and Fundamental Freedoms as amended by Protocols No. 11 and No. 14.
  • Doyle, T. (2009). “Privacy and Perfect Voyeurism”. Ethics and Information Technology 11: 181-189.
  • Foucault, M. (1991). Discipline and Punish: The Birth of the Prison new edn., Penguin.
  • Funder, A. (2004). Stasiland: Stories from Behind the Berlin Wall new edn., Granta Books.
  • Lango, J. (2006). “Last Resort and Coercive Threats: Relating a Just War Principle to a Military Practice”. Joint Services Conference on Professional Ethics.
  • Lyon, D. (2002). Surveillance as Social Sorting: Privacy, Risk and Automated Discrimination, Routledge.
  • Marx, G.T. (1998). “Ethics for the New Surveillance”. The Information Society 14: 171-185.
  • Nathan, D. (1990). “Just Looking: Voyeurism and the Grounds of Privacy”. Public Affairs Quarterly 4.4: 365-386.
  • Norris, C. and Armstrong, G. (1999). “CCTV and the Social Structuring of Surveillance”. In K. Painter and N. Tilley, eds. Surveillance of Public Space: CCTV, Street Lighting and Crime Prevention, Crime Prevention Studies, Monsey, New York, Criminal Justice Press: 157-78.
  • Orwell, G. (2004). 1984 Nineteen Eighty-Four new edn., Penguin Classics.
  • Parent, W.A. (1983). “Privacy, Morality and the Law”. Philosophy and Public Affairs 12.4: 269-288.
  • Rachels, J. (1975). “Why Privacy is Important”. Philosophy and Public Affairs 4.4: 323-333.
  • Reiman, J. (2004). “Driving to the Panopticon: A Philosophical Exploration of the Risks to Privacy Posted by the Information Technology of the Future”. In Privacies: Philosophical Evaluations, Stanford, Stanford University Press.
  • Scanlon, T. (1975). “Thomson on Privacy”. Philosophy and Public Affairs 4.4: 315-322.
  • Tavani, H.T. and Moor, J.H. (2001). “Privacy Protection, Control of Information, and Privacy-Enhancing Technologies”. Computers and Society 31.1: 6-11.
  • Thomson, J.J. (1975). “The Right to Privacy”. Philosophy and Public Affairs 4.4: 295-314.
  • United Nations (1948). “The Universal Declaration of Human Rights”.
  • Warren, S.D. and Brandeis, L.D. (1890). “The Right to Privacy”. Harvard Law Review: 1-19.
  • Winner, L. (1977). Autonomous Technology: Technics-out-of-control as a Theme for Political Thought, The MIT Press.

 

Author Information

Kevin Macnish
Email: Kevin.Macnish@gmail.com
University of Leeds
United Kingdom

Johann Wolfgang von Goethe (1749—1832)

GoetheGoethe defies most labels, and in the case of the label ‘philosopher’ he did so intentionally. “The scholastic philosophy,” in his opinion, “had, by the frequent darkness and apparent uselessness of its subject- matter, by its unseasonable application of a method in itself respectable, and by its too great extension over so many subjects, made itself foreign to the mass, unpalatable, and at last superfluous” (Goethe 1902, 1: 294). But it is nothing exceptional for a philosopher to disdain the character of what is passed along under the name philosophy by professional academics. If Diogenes, Montaigne, Nietzsche, Wittgenstein, Sartre, or Rorty, can be considered philosophers, then it may even be a rule that to reject the appellation is a condition of having earned it. That said, Goethe is certainly not a philosopher in the sense made popular in his day: a builder of self-grounding systems of thought. Neither is he a philosopher by today’s most common definitions: either a professional analyzer of arguments or a critic of contemporary cultural practices. The paradigm under which Goethe might be classified a philosopher is much older, recalling the ancient and then renaissance conception of the polymath, the man of great learning and wisdom, whose active life serves as the outward expression of his thinking.

In terms of influence, Goethe’s upon Germany is second only to Martin Luther’s. The periods of his dramatic and poetic writing –Sturm und Drang, romanticism, and classicism— simply are the history of the high-culture in Germany from the late eighteenth to the early nineteenth century. Philosophically, his influence is indelible, though not as wide-reaching. His formulation of an organic ontology left its mark on thinkers from Hegel to Wittgenstein; his theory of colors challenged the reigning paradigm of Newton’s optics; and his theory of morphology, that of Linnaeus’ biology.

Table of Contents

  1. Life and Works
  2. Philosophical Background
  3. Scientific Background and Influence
  4. Morphology, Compensation, and Polarity
  5. Theory of Colors
  6. Philosophical Influence
  7. References and Further Reading
    1. Primary Sources
      1. German Editions of Goethe’s Works
      2. Letters and Conversations
      3. English Translations of Goethe’s Works
    2. Selected Secondary Scholarship
      1. Historical and Philosophical Context
      2. Science and Methodology
      3. Aesthetics, Politics, and Theology

1. Life and Works

Historical studies should generally avoid the error of thinking that the circumstances of a philosopher’s life necessitate their theoretical conclusions. With Goethe, however, his poetry, scientific investigations, and philosophical worldview are manifestly informed by his life, and are indeed intimately connected with his lived experiences. In the words of Georg Simmel, “…Goethe’s individual works gradually appear to take on less significance than his life as a whole. His life does not acquire the sense of a biography that strings together external phenomena, but is rather like the portrait of a singular vastness, depth and dynamism of existence, the pure expression of an internal vigor in its relation to the world, the spiritualization of an extraordinary sphere of reality,” (Simmel 2007, 85f).

Johann Wolfgang von Goethe was born August 28, 1749 in Frankfurt, Germany. His father was the Imperial Councillor Johann Kaspar Goethe (1710-1782) and his mother Katharina Elisabeth (Textor) Goethe (1731-1808). Goethe had four siblings, only one of whom, Cornelia, survived early childhood.

Goethe’s early education was inconsistently directed by his father and sporadic tutors. He did, however, learn Greek, Latin, French, and Italian relatively well by the age of eight. In part to satisfy his father’s hope for material success, Goethe enrolled in law at Leipzig in 1765. There he gained a reputation within theatrical circles while attending the courses of C.F. Gellert. And there he gained notoriety for his extracurricular activities at what would become Faust’s haunt, Auerbach’s Keller. In 1766 he fell in love with Anne Catharina Schoenkopf (1746-1810) and wrote his joyfully exuberant collection of nineteen anonymous poems, dedicated to her simply with the title Annette.

After a case of tuberculosis and two years convalescence, Goethe moved to Strassburg in 1770 to finish his legal degree. There he met Johann Gottfried Herder (1744-1803), unofficial leader of the Sturm und Drang movement. Herder encouraged Goethe to read Homer, Ossian, and Shakespeare, whom the poet credits above all with his first literary awakening. Inspired by a new flame, this time Friederike Brion, he published the Neue Lieder (1770) and his Sesenheimer Lieder (1770-1771). Though set firmly on the path to poetry, he was promoted Licentitatus Juris in 1771 and returned to Frankfurt where with mixed success he opened a small law practice. Seeking greener pastures, he soon after moved to the more liberal city of Darmstadt. Along the road, so the story goes, Goethe obtained a copy of the biography of a noble highwayman from the German Peasants’ War. Within the astounding span of six weeks, he had reworked it into the popular anti-establishment protest, Götz von Berlichingen (1773).

His next composition, Die Leiden des jungen Werther (1774), brought Goethe nearly instant worldwide acclaim. The plot of the book is mostly a synthesis of his friendships with Charlotte Buff (1753-1828) and her fiancé Johann Christian Kestner (1741-1800), and the suicide of Goethe’s friend Karl Wilhelm Jerusalem (1747-1772). It remains the archetype of the Sturm und Drang’s elevation of emotion over reason, disdain for social proprieties, and exhortation for action in place of reflection. Besides Werther, Goethe composed Die Hymnen (among them Ganymed, Prometheus and Mahomets Gesang), and several shorter dramas, among them Götter, Helden und Wieland (1774), and Clavigo (1774).

On the strength of his reputation, Goethe was invited in 1775 to the court of then eighteen-year-old Duke Carl August (1757-1828), who would later become Grand Duke of Saxe-Weimar-Eisenach. Although Weimar was then a village of only six thousand residents, it was in the process of a cultural revolution thanks to the foresight and aesthetic vision of Duchess Anna Amalia (1739-1807), mother of the Duke and matron of the “Court of the Muses.” Goethe became enveloped in court life, where he could turn his limitless curiosity to an astonishing range of civic activities. As court-advisor and special counsel to the Duke, he took directorship of the mining concern, the finance ministry, the war  and roads commission, the local theater, not to mention construction of the beautiful Park-am-Ilm. He was eventually granted nobility by Emperor Joseph II, and became Geheimrat of Weimar in 1782.

From 1786 to 1788 Goethe took his Italienische Reise, in part out of his growing enthusiasm for the Winckelmannian rebirth of classicism. There he met the artists Kaufmann and Tischbein, and also Christiane Vulpius (1765–1816), with whom he held a rather scandalous love affair until their eventual marriage in 1806.

Although Goethe had first met Friedrich Schiller (1759-1805) in 1779, when the latter was a medical student in Karlsruhe, there was hardly an immediate friendship between them. When Schiller came to Weimar in 1787, Goethe dismissively considered Schiller an impetuous though undeniably talented upstart. As Goethe wrote to his friend Körner in 1788, “His entire being is just set up differently than mine; our intellectual capacities appear essentially at odds.” After some years of maturation on Schiller’s part and of mellowing on Goethe’s, the two found their creative spirits in harmony. In 1794, the pair became intimate friends and collaborators, and began nothing less than the most extraordinary period of literary production in German history. Working alongside Schiller, Goethe finally completed his Bildungsroman, the great Wilhelm Meisters Lehrjahre (1795-6), as well as his epic Hermann und Dorothea (1796-7) and several balladic pieces. Schiller, for his part, completed the Wallenstein trilogy (1799), Maria Stuart (1800), Die Jungfrau von Orleans (1801), Die Braut von Messina (1803) and Wilhelm Tell (1804). To Goethe’s great sorrow and regret, Schiller died at the height of his powers on April 29, 1805. Of their collaboration’s historical importance, Alfred Bates commemorates, “Schiller and Goethe have ever been inseparable in the minds of their countrymen, and have reigned as twin stars in the literary firmament. If Schiller does not hold the first place he is more beloved, though Goethe is more admired,” (Bates 1906, 11: 75).

Johann Wolfgang von Goethe died on March 22, 1832 in Weimar, having finally finished Faust the previous year. His famous last words were a request that his servant let in “more light.” The prince of poets, Goethe was laid to rest in the Fürstengruft of the Historischer Friedhof in Weimar, side by side with his friend Schiller.

2. Philosophical Background

The Kultfigur of Goethe as the unspoiled and uninfluenced genius is doubtless over-romanticized. Goethe himself gave rise to this myth, both in his conversations with others and in his own quasi-biographical work, Dichtung und Wahrheit (1811-1833). About his study of the history of philosophy, he writes, “one doctrine or opinion seemed to me as good as another, so far, at least, as I was capable of penetrating into it,” (Goethe 1902, 182). Albert Schweitzer, usually even-handed in his attributions, writes, “Goethe borrows nothing from any of the philosophies with which he is in contact. Thanks, however, to his conscientious study of the thought of others, he attains an ever clearer grasp of his own ideas,” (Schweitzer 1949, 70).

Goethe’s way of reading was neither that of the scholar seeking out arguments to analyze nor that of the historian curious about the ideas of the great minds. No disciple of any particular philosopher or system, he instead borrows in a syncretic way from a number of different and even opposing thought systems in the construction of his Weltanschauung. And whenever particular subjects could not be put to practical use, Goethe’s attention quickly moved on. In a rather telling recollection, Goethe characterizes his philosophy lectures thusly, “At first I attended my lectures assiduously and faithfully, but the philosophy would not enlighten me at all. In logic it seemed strange to me that I had so to tear asunder, isolate, and, as it were, destroy, those operations of the mind which I had performed with the greatest ease from my youth upwards, and this in order to see into the right use of them. Of the thing itself, of the world, and of God, I thought I knew about as much as the professor himself; and, in more places than one, the affair seemed to me to come into a tremendous strait. Yet all went on in tolerable order till towards Shrovetide, when, in the neighborhood of Professor Winkler’s house on the Thomas Place, the most delicious fritters came hot out of the pan just at the hour of lecture,” (Goethe 1902, 205). Philosophy apparently held just slightly less interest than good pastry. Notwithstanding this estimation, indelible philosophical influences are nevertheless discernible.

For many intellectuals in Goethe’s generation, Rousseau (1712-78) represented the struggle against the Cartesian mechanistic world view. Rousseau’s elevation of the emotional and instinctual aspects of human subjectivity galvanized the traditional German Wanderlust into a far reaching cry to ‘return to nature’ in terms of a longing for pre-civilized society and pre-Enlightenment efforts to harmonize with rather than conquer nature. Goethe felt this unity with nature keenly in his Sturm und Drang period, something equally evident in Werther’s desire for aesthetic wholeness and in his emotional outbursts. From 1784 to 1804, there is a notable decline in enthusiasm for Rousseau’s privileging emotion over reason, though never an explicit rejection. Some scholars attribute this to Goethe’s participation in the sorts of civic bureaucracies that Rousseau so lamented in modern life. But it is clear that there are philosophical reasons besides these practical ones. Goethe’s classical turn in these years is marked by his view that the fullest life was one that balanced passion and duty, creativity and regulation. Only through the interplay of these oppositions, which Rousseau never came to recognize, could one attain classical perfection.

Although educated in a basically Leibnizian-Wolffian worldview, it was Spinoza (1632-77) from whom Goethe adopted the view that God is both immanent with the world and identical with it. While there is little to suggest direct influence on other aspects of his thought, there are certain curious similarities. Both think that ethics should consist in advice for influencing our characters and eventually to making us more perfect individuals. And both hold that happiness means an inner, almost stoically tranquil superiority over the ephemeral troubles of the world.

Kant (1724-1804) was doubtless the most famous living philosopher of Goethe’s youth. Yet Goethe only came to read him seriously in the late 1780s, and even then only with the help of Karl Reinhold (1757-1823). While he shared with Kant the rejection of externally imposed norms of ethical behavior, his reception was highly ambivalent. In a commemoration for Wieland (1773-1813) he asserts that the Kritik der reinen Vernunft (1781/7) is “a dungeon which restrains our free and joyous excursions into the field of experience.” Like Aristotle before him, Goethe felt the only proper starting point for philosophy was the direct experience of natural objects. Kant’s foray into the transcendental conditions of the possibility of such an experience seemed to him an unnecessary circumvention of precisely that which we are by nature equipped to undertake. The critique of reason was like a literary critique: both could only pale in value to the original creative activity. Concerning Kant’s Kritik der praktischen Vernunft (1788), Goethe was convinced that dicta of pure practical reason, no matter how convincing theoretically, had little power to transform character. Perhaps with Kant’s ethics in mind, he wrote, “Knowing is not enough; we must apply. Willing is not enough; we must do” On the other hand, a letter to Eckermann of April 11, 1827, indicates that he considers Kant to be the most eminent of modern philosophers. And he certainly appreciated Kant’s Kritik der Urteilskraft (1790) for having shown that nature and art each have their ends within themselves purposively rather than as final causes imposed from without.

Influenced in part by Herder’s conception of Einfühlen, Goethe formulated his own morphological method (see below). More the Kantian than Goethe, Herder’s belief in Über den Ursprung der Sprache (1772) that language could be explained naturalistically as a creative impulse within human development rather than a divine gift influenced Goethe’s theoretical work on poetry. And the trace of Herder’s claims about the equal worth of historical epochs and cultures can still be seen in the eclectic art collection in Goethe’s house on Weimar’s Frauenplan.

3. Scientific Background and Influence

 

Goethe considered his scientific contributions as important as his literary achievements. While few scholars since have shared that contention, there is no doubting the sheer range of Goethe’s scientific curiosity. In his youth, Goethe’s poetry and dramatic works featured the romantic belief in the ‘creative energy of nature’ and evidenced a certain fascination with alchemy. But court life in Weimar brought Goethe for the first time in contact with experts outside his literary comfort zone. His directorship of the silver-mine at nearby Ilmenau introduced him to a group of mineralogists from the Freiburg Mining Academy, led by Johann Carl Voigt (1752-1821). His 1784 discovery of the intermaxillary bone was a result of his study with Jena anatomist Justus Christian Loder (1753-1832). Increasingly fascinated by botany, he studied the pharmacological uses of plants under August Karl Batsch (1761-1802) at the University of Jena, and began an extensive collection of his own. He grew dissatisfied with the system of Linnaeus as an artificial taxonomy of plants, considering it “a shade of a great harmony, which one must study as a whole, otherwise each individual is a dead letter,” (Letter to Knebel, 17 November, 1784).

There is a passionate ambivalence about Goethe’s scientific reputation. He has alternately been received as a universal man of learning whose methods and intuitions have contributed positively to many aspects of scientific discourse, or else denounced as a dilettante incapable of understanding the figures— Linnaeus and Isaac Newton—against whom his work is a feeble attempt to revolt. Goethe’s scientific treatises were neglected by many in the nineteenth century as the amateurish efforts of an otherwise great poet, one who should have stayed within the arena that best suited him. Positivists of the early twentieth century virtually ignored him. Erich Heller claims Goethe “made no contribution to scientific progress or technique,” (Heller 1952, 7). On the other hand, some of the great scientific minds have expressed enthusiastic respect and even approval of Goethe’s contributions, among them Helmholtz, Einstein, and Planck (Cf. Stephenson 1995).

4. Morphology, Compensation, and Polarity

In Goethe’s day, the reigning systematic botanical theory in Europe was that of Carl Linnaeus (1707-1778). Plants were classified according to their relation to each other into species, genera, and kingdom. As an empirical method, Linnaeus’s taxonomy ordered external characteristics — size, number, and location of individual organs — as generic traits. The problem for Goethe was two-fold. Although effective as an organizational schema, it failed to distinguish organic from inorganic natural objects. And by concentrating only on the external characteristics of the plant, it ignored the inner development and transformation characteristic of living things generally. Goethe felt that the exposition of living objects required the same account of inner nature as it did for the account of the inner unity of a person.

Goethe believed that all living organisms bore an inner physiognomic ‘drive to formation’ or Bildungstrieb. In his “First Sketch of a General Introduction into Comparative Anatomy, Starting from Osteology” (1795), Goethe discussed a law binding the action of the Bildungstrieb, that “nothing can be added to one part without subtracting from another, and conversely,” (Goethe 1961-3, 17: 237). This notion of ‘compensation’ bears a likeness to the laws of vital force put forward by Johann Friedrich Blumenbach (1752-1840) and Carl Friedrich Kielmeyer (1765-1844) in the early 1790s. But whereas their versions dealt with the generation and corruption of living beings, Goethe sought the common limitations imposed on organic beings by external nature.

 

Whereas his earlier romanticism considered nature the raw material on which human emotions could be imparted, Goethe’s studies in botany, mineralogy, and anatomy revealed to him certain common patterns in the development and modifications of natural forms. The name he gave to this new manner of inquiry was ‘morphology’. No static concept, morphology underwent its own metamorphosis throughout Goethe’s career. Morphology is first named as such in Goethe’s notes of 1796. But he only fully lays out the position as an account of the form and transformation of organisms in the 1817 Zur Morphologie. He continued to publish articles in his journal “On Science in General, On Morphology in Particular” from 1817 to 1824. Goethe’s key contention here is that every living being undergoes change according to a compensatory dynamic between the successive stages of its development. In the plant, for example, this determination of each individual member by the whole arises insofar as every organ is built according to the same basic form. As he wrote to Herder on May 17, 1787:

It has become apparent to me that within the organ that we usually address as ‘leaf’ there lies hidden the true Proteus that can conceal and manifest itself in every shape. Any way you look at it, the plant is always only leaf, so inseparably joined with the future germ that one cannot think the one without the other. […]With this model and the key to it, one can then go on inventing plants forever that must follow lawfully; which, even if they don’t exist, still could exist…

Goethe’s morphology, in opposition to the static taxonomy of Linnaeus, studied these perceptible limitations not merely in order to classify plants in a tidy fashion, but as instances of natural generation for the sake of intuiting the inner working of nature itself, whole and entire. Since all organisms undergo a common succession of internal forms, we can intuitively uncover within these changes an imminent ideal of development, which Goethe names the ‘originary phenomenon’ or Urphänomen. These pure exemplars of the object in question are not some abstracted Platonic Idea of the timeless and unchanging essence of the thing, but “the final precipitate of all experiences and experiments, from which it can ever be isolated. Rather it reveals itself in a constant succession of manifestations,” (Goethe 1981, 13: 25). The Urphänomen thus offer a sort of “guiding thread through the labyrinth of diverse living forms,” (Goethe 1961-3, 17: 58), which thereby reveals the true unity of the forms of nature in contrast to the artificially static and lifeless images of Linneaus’ system. Through the careful study of natural objects in terms of their development, and in fact only in virtue of it, we are able to intuit morphologically the underlying pattern of what the organic object is and must become. “When, having something before me that has grown, I inquire after its genesis and measure the process as far back as I can, I become aware of a series of stages, which, though I cannot actually see them in succession, I can present to myself in memory as a kind of ideal whole,” (Goethe 1947ff, I/10: 131).

The morphological method is thus a combination of careful empirical observation and a deeper intuition into the idea that guides the pattern of changes over time as an organism interacts with its environment. Natural observation is the necessary first step of science; but because the senses can only attend to outer forms, a full account of the object also requires an intuition that apprehends an object with the ‘eyes of the mind’. Morphology reveals, “the laws of transformation according to which nature produces one part through another and achieves the most diversified forms through the modification of a single organ,” (Goethe 1961-3, 17: 22). While the visible transformations are apparent naturalistically, the inner laws by which they are necessary are not. They are, in Goethe’s word, dämonisch, apparent intuitively but unable to be explicated more concretely by means of the understanding.

Whereas Linneaus’ taxonomy only considered the sensible qualities of the object, Goethe believed a sufficient explanation must address that object in terms of organic wholeness and development. To do that, the scientist needs to describe the progressive modification of a single part of an object as its modification over time relates to the whole of which it is the part. Considering the leaf as an example of this Urphänomen, Goethe traced its metamorphosis from a seed into the stem, then leaves, then flowers, and finally its stamen or pistil. This continuous development was described by Goethe as an ‘intensification’ or Steigerung of the original form.

The oppositional tension between the creative force and the compensatory limitations within all living things exemplifies the notion of ‘polarity’ or Polarität. In his 1790 essay, “The Metamorphosis of Plants,” Goethe represented the intensification of a plant as the result of the interaction between the nutritive forces of the plant and the organic form of the primal leaf. Polarity between a freely creative impulse and an objectively structuring law is what allows the productive restraint of pure creativity and at the same time the playfulness and innovation of formal rules. Polarity also plays a marked role in Goethe’s Farbenlehre (see below), as the principle of interplay between light and darkness out of which the Urphänomen of color is exhibited. “With light poise and counterpoise, nature oscillates within her prescribed limits, yet thus arise all the varieties and conditions of the phenomena which are presented to us in space and time,” (Goethe 1970, xxxix).

Goethe’s theories of morphology, polarity, and compensation each have their roots in his dramatic and poetic writings. But rather than a fanciful application of an aesthetic doctrine to the nature, Goethe believed that the creativity great artists, insofar as they are great, was a reflection of the purposiveness of nature. After all, “masterpieces were produced by man in accordance with the same true and natural laws as the masterpieces of nature,” (Goethe 1961-3, 11: 435–6). Goethe’s classicism features a similarly polarized intertwining of the unbridled creativity of the artistic drives and the formal rules of technique. As with a plant, the creative forces of life must be guided, trained, and restricted, so that in place of something wild and ungainly can stand a balanced structure which achieves, in both organic nature and in the work of art, its full intensification in beauty. As the work of the botanist is to trace the morphology of an individual according to an ideal Urphänomen, so does it fall to the classical author to intensify his characters within the contextualized polarity of the plot in a way simultaneously unique and yet typical. The early drafts of Torquato Tasso (begun in the 1780s), for example, reveal its protagonist as a veritable force of nature, pouring out torrential feelings upon a conservative and repressed external world. By the time of the published version in 1790, the Sturm und Drang character of Tasso is polarized against the aristocratically reposed and reasonable character of Antonio. Only in conjunction with Antonio can Tasso come into classical fullness and perfection. As the interplay of polarities in nature is the principle of natural wholeness, so is it the principle of equipoise in the classical drama. Polarities are also visible in Wilhelm Meister’s Lehrjahr (1795-6). Again in marked contrast to an earlier version of the text, in the final version Wilhelm’s romantic love of art and theatre is now just one piece of his coming-into-himself, which requires its polar opposite: the restraint inculcated within a conservatively aristocratic society. Only from the polarized tension does his drive to self-formation achieve intensification and eventually classical perfection.

5. Theory of Colors

“As to what I have done as a poet… I take no pride in it… but that in my century I am the only person who knows the truth in the difficult science of colors – of that, I say, I am not a little proud, and here I have a consciousness of a superiority to many,” (Goethe 1930, 302). Coming from the preeminent literary figure of his age, Goethe’s remarkable statement reveals to what extent he considered the Farbenlehre (1810) his life’s true work. At the same time, it was the source of perhaps his greatest disappointment. Like his work on morphology, his theory of colors fell on mostly deaf ears.

As his morphology targeted the system of Linnaeus, Goethe’s Farbenlehre challenged what was then and among the general public still remains the leading view of optics, that of Isaac Newton (1642-1727). However, most of Goethe’s vitriol was not directed at Newton himself, but the dismissive attitudes of his adherents, who would not so much as entertain the possibility that their conceptual framework was inadequate. He compares Newton’s optics, “to an old castle, which was at first constructed by its architect with youthful precipitation […] The same system was pursued by his successors and heirs: their increased wants within, and harassing vigilance of their opponents without, and various accidents compelled them in some place to build nearby, in others in connection with the fabric, and thus to extend the original plan,” (Goethe 1970, xlii). Thus, while Goethe esteems Newton as a redoubtable genius, his issue is with those half-witted apologists who effectively corrupted that very same edifice they fought to defend. His aim is accordingly to, “dismantle it from gable and roof downwards; so that the sun may at last shine into the old nest of rats and owls…” (Goethe 1970, xliii).

As was the case with Linnaeus, Goethe’s guiding criticism of Newton concerned his ostensibly artificial method. Through Newton’s famous experiments with prismatic phenomenon, he discovered that pure light already contained within itself all the colors available to the human visual spectrum. The refraction of pure white light projected at a prism produces the seven individual colors. Pragmatically, this allowed Newton to quantify the angular bending of light beams and to predict which colors would be produced at a given frequency. That frequency could be calculated simply by accounting for the distance between the light source and the prism and again the distance from the prism to the surface upon which the color was projected.

But by reducing the thing itself to its perceptible qualities, the Newtonians had made a grave methodological mistake. The derivative colors produced by the prismatic experiments are identified with the spectrum that appears in the natural world. But since the light has been artificially manipulated to fit the constraints of the experiment, there is no prima facie reason to think that natural light would feature the same qualities. Sending a beam of light through a turbid prismatic medium ─ one among a nearly infinite variety of media ─ produced a reliably quantifiable set of results, but by no means either the only or even an obviously preferable set. In Goethe’s words, “[Newton] commits the error of taking as his premise a single phenomenon, artificial at that, building a hypothesis on it, and attempting to explain with it the most numerous and unlimited phenomena,” (Goethe 1981, 13: 50).

Goethe’s alternative relies upon his ideas of morphology and polarity. Just as the study of a plant had to proceed from the empirical observation of a great variety of particulars in order to intuit the Urphänomen that was common to all of them, so too should a Farbenlehre proceed from as great a variety of natural observations as possible. Whereas Newton universalizes from a controlled and artificial experiment, Goethe thinks “[i]t is useless to attempt to express the nature of a thing abstractedly. Effects we can perceive, and a complete history of those effects would, in fact, sufficiently define the nature of the thing itself. We should try in vain to describe a man’s character, but let his acts be collected and an idea of the character will be presented to us. The colors are acts of lights; its active and passive modifications: thus considered we may expect from them some explanation respecting life itself,” (Goethe 1970, xxxvii). These ‘acts’ of light reveal the same coordinate tension found in the rest of polarized nature. A light beam is no static thing with a substantial ontological status, but an oppositional tension that we perceive only relationally. Through careful observation of their interplay alone do we apprehend color. As defined by Goethe, “color is an elementary phenomenon in nature adapted to the sense of vision; a phenomenon which, like all others, exhibits itself by separation and contrast, by commixture and union, by augmentation and neutralization, by communication and dissolution: under these general terms its nature may be best comprehended,” (Goethe 1970, liv). Color arises from the polarity of light and darkness. Darkness is not the absence of light, as both Newton and most contemporary theorists believe, but its essential antipode, and thereby an integral part of color.

Through a series of experiments on his thesis that color is really the interplay of light and dark, Goethe discovered a peculiarity that seemed to confute the Newtonian system. If Newton is right that color is the result of dividing pure light, then there should be only one possible order to the spectrum, according to the frequency of the divided light. But there are clearly two ways to produce a color spectrum: with a light beam projected in a dark room, and with a shadow projected within a lighted room. Something bright, seen through something turbid, appears yellow. If the turbidity of the medium gradually increases, then what had appeared as yellow passes over into yellowish-red and eventually into bright-red as its frequency proportionally decreases. Something dark, seen through something turbid, appears blue; with a decreasing turbity, it appears violet. The color produced also depends upon the color of the material on which the light or shadow is cast. If a white light is projected above a dark boundary, the light extends a blue-violet edge into the dark area. A shadow projected above a light boundary, on the other hand, yields a red-yellow edge. When the distances between the projection and the surface are increased, the boundaries will eventually overlap. Done in a lighted room, the result of the overlap is green. The same procedure conducted in a dark room, however, produces magenta. If Newton was correct that only the bending of the light beam affects the given color, then neither the relative brightness of the room, the color of the background, nor the introduction of shadow should have altered the resultant color.

Reversing the artificial conditions of Newton’s original experiment, Goethe reformulated the problem of color to account for the role of both the observer and his or her context. Alongside the physical issues involved with optics, Goethe thus also realized the aesthetic conditions in the human experience of color. The perceptual capacities of the brain and eye, and their situatedness in a real world of real experience must be considered essential conditions of how colors could be seen. But while his observations of the double color-spectrum are intriguing, Goethe’s physiognomic speculations as to how the subject renders perceptual experience are, even by his contemporary standards, quite amateur. His reification of darkness, moreover, remains difficult to conceptualize coherently, much less to accept.

Although almost entirely ignored in his own time, and even undermined by his once and former collaborator, Schopenhauer, Goethe’s theory did win some later acclaim. His call to recognize the role of the subject in the perception of color does have positive echoes in the neo-Kantian theories of perception of Lange, Helmholtz, and Boscovich. Traces can also be found in twentieth century thinkers as divergent as Wittgenstein and Merleau-Ponty. Despite the fact that almost no serious thinker has ever counted themselves a strict adherent of Goethe’s Farbenlehre, the theory has had a remarkable persistence. Part of the explanation for this may be the obvious superiority of Goethe’s prose; his text is one of very few scientific treatises that can be read by amateurs with pleasure. Part is also due to decline of Newtonian physics generally.

6. Philosophical Influence

 

 

Goethe’s general influence on European culture is gargantuan. In 19th century Germany alone, authors like Heine, Novalis, Jean Paul, Tieck, Hoffman, and Eichendorff all owe tremendous debts to Götz and Werther. Thomas Carlyle, Ralph Waldo Emerson, Mark Twain, Kurt Tucholsky, Thomas Mann, James Joyce and too many others to name have since paid tribute to the master from Weimar. Composers like Mozart, Liszt, and Mahler dedicated works to Goethe’s drama, while Beethoven himself mused that the greatest musical accomplishment possible would be a perfect musical expression Faust. Goethe’s ideas have truly launched a thousand ships upon their cultural and intellectual expeditions. Philosophically, the lineage is comparatively more defined.

In his mature years, Goethe was to witness the philosophical focus in Germany shift from Kant to the Idealists. But by the early 1800s, Goethe was too convinced of the worth of his own ideas to be much influenced by what he considered philosophical fashions. Despite his proximity to and considerable influence at the University of Jena, Goethe had little positive contact with Fichte (1762-1814), who arrived there in 1794. Neither Fichte’s Pecksniffian sermonizing nor nearly illegible compositional style would have endeared him personally to the poet. Goethe’s more ambivalent attitude toward Schelling (1775-1854) vacillated between an approval of his appreciation for the deep mysteriousness of nature and an aversion to his futile attempt to solve it by means of an abstracted and artificial system. Schelling’s Naturphilosophie, like Goethe’s morphology, views nature as a constant organic development. But where Goethe saw polarity as an essential part of growth, Schelling understood dualities generally as something to be overcome in the intuition of the ‘absolute’.

Goethe’s relationship with Hegel (1770-1831) was both more direct and more influential. Most overtly, Hegel’s logic draws upon Goethe’s conception of metamorphosis. A letter from Hegel to Goethe on February 20, 1821 reads:

The simple and abstract, what you quite aptly call the archetypal phenomenon, this you put first, and then show the concrete phenomena as arising through the participation of still other influences and circumstances, and you direct the whole process in such a way that the sequence proceeds from the simple determining factors to the composite ones, and, thus arranged, something complex appears in all its clarity through this decomposition. To seek out the archetypal phenomenon, to free it from other extraneous chance surroundings — to grasp it abstractly, as we call it — this I consider to be a task for a great spiritual sense for nature, just as I consider that procedure altogether to be what is truly scientific in gaining knowledge in this field.

For Hegel, famously, a natural object has achieved its greatest perfection when it brings forth its full implicit content in explicit conceptual representation. Because the intellectual world ranks higher than the material, a phenomenology of the whole must observe the gradual unfolding of all possible logical forms from mere sense certainty through the self-recognition of consciousness to absolute knowing. To no small degree, Hegel’s criticism of Kant’s lifeless schematism of the understanding was foreshadowed by Goethe, who wrote, “Reason has to do with becoming, understanding with what has become. The former does not bother with the question, ‘what use?’; the latter does not ask ‘whence?’. Reason takes pleasure in development; understanding wishes to hold everything fixed so that it can exploit it,” (Goethe 1907, 555). Hegel’s formulation of Begriff, which designates the inner plan of the development of an object, was not wholly unlike Goethe’s Urphänomen (see below). The Hegelian dialectic, as an unveiling the movement of the concept would then correspond to the morphology. The problem, for Goethe, was that Hegel’s attempt to articulate wholeness began by the analysis of the logical concept of Being in the Logik and by the sublimation of the sense-certain observation of natural objects in the Phänomenologie, which for Goethe unjustifiably overlooks precisely that which it was the task of science to understand: the development of the natural forms of life, of which the mind is certainly a central one, but indeed only one example. As Goethe writes in a letter to Soret on February 13, 1829, “Nature is always true, always serious, always severe; it is always right, and mistakes and errors are always the work of men.” Similar to his critique of Kant, then, Goethe accused Hegel of creating a grand and abstract system to explain a phenomenon which in both ordinary life and in scientific observation could simply be assumed. Nature presents itself to the epistemologically reflective and to the naïve equally and without preference.

Arthur Schopenhauer’s (1788-1860) mother Johanna became fast friends with Goethe and his lover Christiane Vulpius when she moved to Weimra in 1804. His sister Adele was the lifelong confident of Ottile Pogwisch, who married Goethe’s and Christiane’s son Auguste. But for the young Arthur, due in part to an unavoidable clash of personalities, the established Goethe had little patience. Goethe recognized his intelligence early on, but declined to provide him a letter of recommendation to the university at Göttingen and offered him only a tepid letter of introduction to the classicist Friedrich August Wolf in Berlin. Schopenhauer’s dissertation, however, interested Goethe very much. In the winter of 1813-4, Goethe and Schopenhauer were engaged in extensive philosophical conversation concerning the former’s anti-Newtonian Farbenlehre (see below), out of which grew the latter’s Über das Sehen und die Farben in 1815. When Schopenhauer sent him the manuscript in the hopes of a recommendation, he grew impatient with the elder’s reticence to take his efforts sufficiently seriously. In truth, Schopenhauer’s work largely revealed Goethe’s as a failed attempt to overcome Newtonian visual theory, a fact which wounded Goethe deeply. Goethe followed Schopenhauer’s career with interest, however, and generally praised Die Welt als Wille und Vorstellung. It remains a question, though, whether Goethe ever read the book carefully since scant reference to its ideas can be found.

Like that of his Erzieher Schopenhauer, Nietzsche’s (1844-1900) relationship with Goethe’s thought was deeply ambivalent. Nietzsche often admired Goethe as emblematic of a healthy, fully-formed individual. Goethe is said to be “the last German for whom I feel reverence,” (Nietzsche, Twilight of the Idols, “Skirmishes of an Untimely Man,” section 51). Nietzsche’s early contention that the tragic age of culture began only with the fortuitous interaction of the Apollonian and Dionysian drives bears a similarity to Goethe’s classical understanding of art as a tensional polarity between the blindly creative will and the constraint of formal rules. Yet Nietzsche takes Goethe to task for having invested too much in Winckelmann’s attribution of ‘Heiterkeit’ to classical antiquity and thereby for having ignored its deeply irrational underside. Moreover, Nietzsche’s ontology, if indeed he had one, is like Goethe’s in its rejection of static atomic substances and in its attempt to conceive an intrinsically agonistic process of becoming as the true character of the world. Similar, too, to Goethe’s ‘intensification’ principle, Nietzsche’s notoriously ambiguous ‘Will to Power’ characterizes the dynamic process by which entities ‘become what they are’ by struggling against oppositional limitations that are at the same time the necessary condition for growth. Due to this shared ontological outlook, Goethe and Nietzsche both thought contemporary science was constricted by an outdated conception of substance and, as a result, mechanistic modes of explanation should be reformulated to account for the dynamic character of nature. Despite these commonalities, Nietzsche jettisoned Goethe’s Bildungstrieb for an overarching drive–not to expression or growth within formal constraint—but for overcoming, for power.

 

Finally, Wittgenstein’s (1889-1951) claim that things which cannot be put into propositional form might nevertheless be shown bears a family resemblance to Goethe’s formulation of the daimonisch. But where Wittgenstein removes the proverbial ladder on which he ascends to his intuitions about the relation between logic and the world, thereby reducing what cannot be bound by the rules of logic as nonsensical, Goethe believed he could communicate what were admittedly ineffable Urphänomene in a non-propositional way, through the feelings evoked by drama. There is, moreover, a distinct similarity in Goethe’s and Wittgenstein’s views on the proper task of philosophy. Its aim, for both, can never be accomplished, once and for all, by means of ‘the right argument’. Argumentation, explanation, and demonstration only go so far in their attempt to unravel the mysteries of the world. “Philosophy simply puts everything before us; it fails to deduce anything,” (Wittgenstein, Philosophical Investigations, 126).

Philosophy’s role in our life should guide us to be reflective people, ever ready to critique inherited dogmas, and always ready to revise our hypotheses in light of new observations. Goethe, through his ceaseless energy, limitless fascination with the world as it was presented to him, and his perpetual willingness to test his convictions against new evidence, carries a timeless appeal to philosophers, not because he demonstrated or explained what it meant to live philosophically, but because, through the example of the course of his life, he showed it.

7. References and Further Reading

a. Primary Sources

i. German Editions of Goethe’s Works

  • Akademie-Ausgabe: Werke, edited under the Institut für Deutsche Sprache und Literatur der Deutschen Akademie der Wissenschaften zu Berlin (Berlin: Akademie-Verlag, 1952ff).
  • Berliner Ausgabe: Poetische Werke. Kunsttheoretische Schriften und Übersetzungen, edited by the Bearbeiter-Kollektiv unter Leitung von Siegfried Seidel et al., 22 Volumes (Berlin/Weimar: Aufbau-Verlag, 1965-78).
  • Die Schriften zur Naturwissenschaft, edited by Kuhn et al. (Weimar: Deutschen Akademie der Naturforscher, 1947ff).
  • DTV-Gesamtausgabe: Sämtliche Werke: Nach den Texten der Gedenkausgabe des Artemis-Verlages, edited by Peter Boerner, 45 Volumes (München: Deutscher Taschenbuch Verlag, 1961-63).
  • Frankfurter Ausgabe: Sämtliche Werke. Briefe, Tagebücher und Gespräche, edited by Dieter Borchmeyer et al., 40 volumes in 2 divisions (Frankfurt a. M.: Deutscher Klassiker Verlag, 1985ff.).
  • Hamburger Ausgabe: Werke Hamburger Ausgabe in 14 Bänden, edited by Erich Trunz (Hamburg: Chr. Wegner, 1948-60; Reprinted, C. H. Beck, 1981).
  • Maximen und Reflexionen, edited by Max Hecker (Weimar: Schriften der Goethe Gesellschaft, 1907).
  • Münchner Ausgabe: Sämtliche Werke nach Epochen seines Schaffens, edited by Karl Richter et al., 20 volumes (München: C. Hanser, 1985-1998).
  • Weimarer Ausgabe (Sophienausgabe): Goethes Werke, edited under the sponsorship of Großherzogin Sophie von Sachsen, 143 Volumes in 4 divisions (Weimar: H. Böhlau, 1887-1919; Reprinted München: Deutscher Taschenbuch Verlag, 1987).
  • ii. Letters and Conversations

ii. Letters and Conversations

  • Eckermann, J.P., Gespräche mit Goethe in den letzten Jahren seines Lebens: 1823-1832, 3 Volumes (Leipzig: Geiger, 1836-1848).
  • Goethes Briefe: Hamburger Ausgabe, edited by Karl Robert Mandelkow, 4 Volumes (Hamburg, 1962-67 [Post-1972 Publication Site: München: Beck, 1972ff.).
  • Goethe: Begegnungen und Gespräche, edited by Ernst und Renate Grumach, 14 Volumes (Berlin: De Gruyter, 1965-2011).

iii. English Translations of Goethe’s Works

  • Conversations of Goethe with Johann Peter Eckermann, translated by John Oxenford (London: J.M. Dent & Sons, 1930).
  • Theory of Colors, translated by C.L. Eastlake (Boston: MIT Press, 1970).
  • Truth and Fiction Relating to my Life, translated by John Oxenford (Boston: Simonds & Co., 1902).

b. Selected Secondary Scholarship

i. Historical and Philosophical Context

  • Bates, A. (ed.), The Drama: Its History, Literature and Influence on Civilization, 20 vols. (London: Historical Publishing Company, 1906).
  • Borchmeyer, D., Goethe: Der Zeitbürger (München/Wien: Hanser, 1999).
  • Boyle, N., Goethe: The Poet and the Age (Oxford: Oxford University Press, 1991).
  • Breithaupt, F., Jenseits der Bilder: Goethes Politik der Wahrnehmung (Freiburg im Breisgau: Rombach, 2000).
  • Breithaupt, F., et al. (eds.), Goethe and Wittgenstein: Seeing the World’s Unity in its Variety (Frankfurt a.M.: Peter Lang, 2003).
  • Bruford, W.H., Culture and Society in Classical Weimar: 1775-1806 (Cambridge: Cambridge University Press, 1962).
  • Cassirer, E., Goethe und die geschichtliche Welt (Repr. Hamburg: Meiner, 1932).
  • Hildebrandt, G., Goethes Naturerkenntnis (Hamburg: Stromverlag, 1949).
  • Heller, E., The Disinherited Mind: Essays in Modern German Literature and Thought (Harmondsworth: Penguin Books, 1952).
  • Hinderer, W., Goethe und das Zeitalter der Romantik (Würzburg: Königshausen & Neumann, 2002).
  • Hofman, P., Goethes Theologie (Paderborn: Schöningh, 2001).
  • Lauxtermann, P., Schopenhauer’s Broken World-View: Colours and Ethics between Kant and Goethe (Dordrecht: Kluwer, 2000).
  • Möckel, C., Anschaulichkeit des Wissens und kulturelle Sinnstiftung: Beiträge aus Lebensphilosophie, Phänomenologie und symbolischem Idealismus zu einer Goetheschen Fragestellung (Berlin: Logos, 2003).
  • Nicholls, A.J., Goethe’s Concept of the Daemonic: After the Ancients (Rochester, NY: Camden House, 2006).
  • Reed, T.J., Goethe (Oxford: Oxford University Press, 1984).
  • Richards, R.J., The Romantic Conception of Life: Science and Philosophy in the Age of Goethe (Chicago: University of Chicago Press, 2002).
  • Schweitzer, A., Goethe: Four Studies, edited and translated by Charles R. Joy (Boston: Beacon Press, 1949).
  • Simmel, G., “Goethe und die Jugend,” in Der Tag 395 [6] (August, 1914), translated by Ulrich Teucher and Thomas M. Kemple in Theory, Culture, Society 24 (2007): 85-90.
  • Stephenson, R.H., Studies in Weimar Classicism: Writing as Symbolic Form (Oxford: Peter Lang, 2010).
  • Tantillo, A.O., The Will to Create: Goethe’s Philosophy of Nature (Pittsburgh: University of Pittsburgh Press, 2002).
  • Weier, W., Idee und Wirklichkeit: Philosophie deutscher Dichtung (Paderborn: Schöningh, 2005).

ii. Science and Methodology

  • Breidbach, O., Goethes Metamorphosenlehre (München: Fink, 2006).
  • Burwick, F., The Damnation of Newton: Goethe’s Color Theory and Romantic Perception (Berlin, Walter de Gruyter, 1986).
  • Ciamarra, L.P., Goethe e la storia: studi sulla “Geschichte der Farbenlehre” (Napoli: Liguori, 2001).
  • Holland, J., German Romanticism and Science: The Procreative Poetics of Goethe, Novalis, and Ritter (New York: Routledge, 2009).
  • Jardine, N., Scenes of Inquiry: On the Reality of Questions in the Sciences (Oxford: Clarendon Press, 2000).
  • Jürgen, T., Hoffnung und Gefahr (Frankfurt a.M.: Suhrkamp, 2001).
  • Krätz, O., Goethe und die Naturwissenschaften (München: Callwey, 1992).
  • Moiso, F., Goethe: La Natura e le sue Forme (Milano: Mimesis, 2002).
  • Nisbet, H.B., Goethe and the Scientific Tradition (London: Institute of Germanic Studies, 1972).
  • Nussbaumer, I., Zur Farbenlehre: Entdeckung der unordentlichen Spektren (Wien: Ed. Splitter, 2008).
  • Richards, R.J., The Tragic Sense of Life: Ernst Haeckel and the Struggle over Evolutionary Thought (Chicago: University of Chicago Press, 2008).
  • Seamon, D., & Zajonic, A., Goethe’s Way of Science (Albany: SUNY Press, 1998).
  • Sepper, D.L., Goethe contra Newton: Polemics and the Project for a New Science of Color (Cambridge: Cambridge University Press, 2007).
  • Sherrington, C., Goethe on Nature and Science (Cambridge: Cambridge University Press, 1942).
  • Steigerwald, J., “Goethe’s Morphology: Ürphänomene and Aesthetic Appraisal,” Journal of the History of Biology 35 (2002): 291-328.
  • Stephenson, R.H., Goethe’s Conception of Knowledge and Science (Edinburgh: Edinburgh University Press, 1995).
  • Wells, G.A., Goethe and the Development of Science: 1750-1900 (Alphen aan den Rijn: Sijthoff & Noordhoff, 1978).

iii. Aesthetics, Politics, and Theology

  • Bell, M., The German Tradition of Psychology in Literature and Thought, 1700-1840 (Cambridge: Cambridge University Press, 2009).
  • Dönike, M., Pathos, Ausdruck und Bewegung: zur Ästhetik des Weimarer Klassizismus 1796 – 1806 (Berlin: Walter de Gruyter, 2005).
  • Fröschle, H., Goethes Verhältnis zur Romantik (Würzburg: Königshausen & Neumann, 2002).
  • Hibbitt, R., Dilettantism and its Values: from Weimar Classicism to the fin de siècle
  • (London: Legenda, 2006).
  • Kuhn, B.H., Autobiography and Natural Science in the Age of Romanticism: Rousseau, Goethe, Thoreau (Farnham/Surrey: Ashgate, 2009).
  • Oergel, M., Culture and Identity: Historicity in German Literature and Thought 1770 – 1815 (Berlin: Walter de Gruyter, 2006).

 

Author Information

Anthony K. Jensen
Email: anthony.jensen@lehman.cuny.edu
City University of New York / Lehman College
U. S. A.

Causal Role Theories of Functional Explanation

Functional explanations are a type of explanation offered in the natural and social sciences. In giving these explanations, researchers appeal to the functions that a structure or system has. For instance, a biologist might say, “The kidney has the function of eliminating waste products from the bloodstream.” Or a sociologist might say, “The purpose of monogamy is to preserve the family structure.” Each of these is concerned with a function that a structure or system is believed to possess. Philosophical interest in this issue concerns understanding what exactly these statements amount to, and whether they are explanatory. Of particular concern is whether such statements commit us to problematic views about the existence of teleology, or purposes, in nature, and whether this is legitimate in the sciences.

This article considers the debate over functional explanations in the philosophical literature from the 1950’s to the early 21st century. It begins by considering the background to philosophical interest in this subject. Then it looks at two prominent early approaches to functional explanation: Ernest Nagel’s deductive-nomological approach from the 1950’s, and Robert Cummins’ causal account from the 1970’s, as well as objections to both. Throughout there is consideration of illustrative examples of functional explanations from different sciences. Although there are other accounts of functional explanation in the literature, such as the evolutionary and design-oriented accounts, they will be mentioned only in relation to the other two. The broad history of the concept of teleology and the details of the other accounts will not be developed here.

Table of Contents

  1. Background
  2. Nagel’s Early Account
  3. Difficulties
  4. Cummins’ View
  5. An Example
  6. Objections and Replies
  7. Other Developments
  8. References and Further Reading
    1. References
    2. Suggested Reading

1. Background

Prior to the 1950’s, philosophers and scientists were concerned with appeals to teleological concepts in the sciences. These concepts have a history going back to Aristotle, who claimed that understanding such things as physical objects or an animal’s physiological structures involves knowing what they are for. In his view, a complete explanation of these structures requires understanding the purposes towards which they are directed. For instance, he thought that one does not understand what a kidney is merely by knowing the material it is made from; one also has to understand that it has the purpose of filtering blood (what it’s for). In Aristotle’s view purposes were conceived as unusual properties like “ends” or “final causes”. But after the scientific revolution these properties were hard to understand in a manner consistent with the sciences, and were considered to be obscure. At a later point this way of thinking was also believed by many to have become questionable because of Darwin’s theory of evolution, which held that talk of Aristotelian purposes was problematic. The idea was to replace talk of such purposes with reference to the notion of natural selection and the environment. The theory of evolution was taken by many scientists to show that appeals to purposive concepts in biology and the social sciences were merely misguided appeals to an outmoded form of explanation. However, the difficulty remained and scientists often continued through the 1900’s to use purposive language in explaining the phenomena that interested them. If appeals to purposive concepts were misguided, then one would have expected these appeals to wither away. So a problem remained in the scientific community over what this situation implied. There was concern about whether this continued talk of purposes was illegitimate in the sciences, or whether there was an acceptable way of understanding such language.

2. Nagel’s Early Account

Modern discussions of functional explanation usually begin with the views developed by Ernest Nagel and others around the 1950’s in the context of scientific explanation (Nagel 1961; Hempel 1959). In his book The Structure of Science, one of Nagel’s concerns was describing the various forms of explanation that occur in the sciences. When we consider the biological and social sciences, he observes, we often find researchers describing the structures or systems that concern them in terms of the functions they have. For instance, a biologist might say, “The heart has the function of pumping blood through the circulatory system.” Or a sociologist might say, “The purpose of the religious ritual is to increase cohesion in society.” Put generally, Nagel says these statements can be understood as stating that “the function of system X is to do Y.” He claims that there are several issues that such statements raise for further examination. We want to understand the detailed structure of such statements and how they work. We also want to understand how these statements are related to other kinds of explanations offered in the natural and social sciences.

Nagel claims that functional statements can be understood in the following manner. These statements are explanation sketches that when fully spelled out reduce to another form of explanation common in the physical sciences called the Deductive-Nomological model. Nagel’s account focuses on the attributions of functions to the components of a structure (or system). Consider the statement, “The heart has the function of pumping blood through the circulatory system.” When understood, this statement serves to explain why hearts are present in vertebrates. To see this, we have to note that hearts occur only together with a certain physical organization of the vertebrate body and in a certain external environment that the organism lives in. So, what the statement really says is that, in vertebrate bodies with an organization of blood and blood vessels and in a certain external environment, circulation occurs only if an organism has a heart. If we focus on this latter statement, Nagel says that the information in it can be expanded into a D-N explanation. When this is done, we then have the following explanation: Every vertebrate body with the appropriate organization and in a certain environment engages in circulation. If the vertebrate body does not have a heart, then it does not engage in circulation. Hence, the vertebrate body must have a heart.

This means functional statements in general have the following form for Nagel: The function of A in a system S with organization C is to enable S in environment E to engage in process P. And this can be expanded into an explicit explanation in this way: Every system S with organization C and in environment E engages in process P. If S with organization C and in environment E does not have A, then S does not engage in P. Hence, S with organization C must have A (1961, 403).

Understood this way, functional statements can be seen as explaining why components like hearts are present in certain organisms in which circulation occurs. For what such statements say is that for organisms having a heart is a necessary condition for pumping blood in the circulatory system. Nagel says this means the statement “The heart has the function of pumping blood through the circulatory system” says the same thing as the statement “Organisms in which circulation occurs pump blood only if they have a heart.” Because of the equivalence, he writes that it appears that “when a function is ascribed to a constituent element in an organism, the content of the teleological [functional] statement is fully conveyed by another statement that is not explicitly teleological and that simply asserts a necessary . . . condition for the occurrence of a certain trait or activity of the organism” (1961, 405).

There are two features of Nagel’s account worth noting at this point. First, he holds that when we attribute a function to a component, this is always relative to a goal state of the larger system. Researchers are not interested in merely any effects of the components a system has. Rather, they are interested in certain effects that are important to the maintenance of the organism. Biologists, for example, are interested in understanding the heart’s pumping blood because this effect contributes to the activity of circulation, which is important for the organism’s survival. It is important to note that for Nagel talk of goals in this context is not intended to make reference to conscious entities of some kind. It only concerns the characteristic activities that researchers believe to be present in the systems that concern them (for example, survival and reproduction).

Second, we saw that functional statements that mention the functions of components can be translated into equivalent statements that lack these notions. Nagel claims this shows there’s nothing scientifically suspect about these statements. We shouldn’t think that such statements commit us to problematic entities like “purposes” in nature that somehow attach to components, or to “ends” or “final causes” towards which components are believed to strive (as in Aristotle’s view of teleology). Instead, what the account makes clear is that, in attributing a function to a component, researchers are merely concerned with explaining why the component is present in the larger system. In light of this, Nagel suggests that functional statements are unproblematic despite their earlier associations in history with unacceptable teleological notions. Understood properly he thinks these statements should be seen as belonging with other legitimate forms of explanation in the sciences (on this point compare Ayala 1970).

3. Difficulties

There are two difficulties commonly noted with the account presented. The first concerns the reference to goals in identifying the effects of the components that are the targets of explanation. As we have seen for Nagel, the function of a component is identified in relation to the effects that contribute towards the important activities of an organism, like survival and reproduction. But this is problematic for some (Cummins 1975) since it suggests there are components that researchers might want to say have functions, but with this account do not. For instance, let us suppose that the wings of a particular species of bird stopped contributing to the capacity for survival and reproduction (maybe this is due to a specific type of airborne predator). In this situation, it seems researchers would not say that the wings did not have any function to perform; they would still want to understand how the wings contributed to the birds’ capacity for flight. The present account would classify these structures as lacking functions when some would say they have functions.

The second problem concerns the sense in which functional statements explain the presence of the components involved. In Nagel’s view, we explain the presence of a component by inferring that it is necessary for the performance of a capacity of a system. In the example considered, the heart is said to be a necessary condition for the occurrence of blood pumping in vertebrates. But it has been held false by some (Wright 1973; Cummins 1975) that having a heart is a necessary condition for pumping blood. For surely there are functionally equivalent structures like artificial hearts that are capable of pumping blood through the circulatory system, or circulation might even be achieved in other ways. If this is the case, however, then functional statements cannot be interpreted as explaining why certain structures must be present in an organism (because they needn’t be). Nagel knew of this concern and said his interest was with actual living systems and what they include (as opposed to logical possibilities). But it is not clear this resolves the worry since we find components like artificial hearts in actual living systems (Buller 1999). Aside from this issue, there are believed to be general problems with the framework of Deductive-Nomological explanation that lies behind Nagel’s account of functional explanation, which have raised concerns with his approach. It is no longer accepted by everyone, for example, that scientific explanations have to be seen as involving deductions from universal, law like statements as required with the Deductive-Nomological model of explanation. The result of this was that people became less inclined to think that an account of functional explanation had to be incorporated into the particular explanatory framework Nagel employed. This was important in making people receptive to the alternative accounts that were being developed.

4. Cummins’ View

After Nagel the most prominent view developed along these lines was by Robert Cummins (1975, 1983). Cummins agrees that the previous account suffers from the problems that were described. The point of functional statements is not to explain why certain components are present in a structure in relation to some goal state the structure has. Instead, Cummins suggests that functional statements are merely used to explain the contributions made by components of a structure to a capacity of a containing system. The performance of a capacity of a system is explained in terms of the capacities of the components it contains, and how they are organized. Consider researchers’ interest in explaining what it is for a system S to have property P. Cummins writes that “the natural strategy for answering such a question is to construct an analysis of S that explains S’s possession of P by appeal to the properties of S’s components and their mode of organization” (1983, 15). For example, let us suppose that researchers are interested in understanding how circulation occurs in vertebrates. To explain this capacity, they search for the structure in the body that contributes to this capacity by moving the blood around. They observe that blood is moved through the arteries by some sort of pumping motion. When they learn that the heart serves as the pumping mechanism in the body, they identify this with its function (they report “the heart has the function of pumping blood”). The capacity for circulation is thus explained in terms of the capacities of the components of the system that enable it to perform the task.

There are different stages that are involved in giving the explanation. Researchers begin with a specification of the larger function of the system they want to explain. The explanation then consists in showing how the function depends on the capacities of the components of the system, and their organization. There are two stages that are involved in this process. The first stage is to analyze the function in question in terms of the capacities involved in bringing about the function, which Cummins calls the analytical strategy. He says “The Analytical Strategy proceeds by analyzing a disposition [function] into a number of other relatively less problematic dispositions such that [the] organized manifestation of these analyzing dispositions amounts to a manifestation of the analyzed disposition” (1977, 272). The second stage is to show that there is a physical structure present that realizes the various capacities. This is needed to show that the function is, in fact, realized by an actual structure or mechanism. As Cummins explains, “Ultimately . . . a complete property theory for a dispositional property must exhibit the details of the target property’s instantiation in the system (or system type) that has it. Analysis of the disposition . . . is only the first step; instantiation is the second” (1983, 31). While the two stages are independent of one another, it is important to note that both stages are needed for the explanation to be complete. This is worth keeping in mind because one sometimes finds discussions in the literature that focus merely on one stage of the explanation and not the other.

Cummins notes that the explanation can be iterated by applying it to the functions of the components cited in the earlier explanation. This process can be repeated until researchers are satisfied with the level reached, or when they reach a level of physical components where no further explanation can be given. In practice, where this line is drawn is relative to the particular interests the researcher has.

Understood this way, functional statements are not used, as Nagel says, in explaining why certain components are present in a system, but to explain how a component contributes to the capacity of the system that contains it. This concern with the causal organization of components is why Cummins’ account is referred to as the “causal role” account of functional explanation. Furthermore, there is no requirement with the account that the larger function being explained be related to the organism’s survival and reproduction (or similar activity). This means the goal state requirement of the previous account has been dropped. In this respect, Cummins’ account can be seen as broadening the number of capacities of systems that are the appropriate subjects of explanation. The broader applicability of the account is seen by many to be a benefit of the view, but we will see later that for some it is thought to raise problems.

5. An Example

With Cummins’ account, the same form of explanation is said to be applicable to a range of different structures or systems in the sciences. The account applies to the functions of structures like the heart in physiology, but it can also be applied to other kinds of systems, including chemical systems, psychological systems, social systems, and others. We can illustrate this with an example from psychology. Consider the explanation of color vision in the human system (Dawson 1998, 163). The function of color vision consists in the capacity (F) to perceive information about the colors of objects in the environment. The trichromatic theory of color vision provides an explanation of how this works. It holds that the function is performed in virtue of the capacities (C1a, C2a, . . . Cna) of the components of the visual system (S1a, S2a, . . . Sna), and the way they are organized. In particular, the function depends on the capacities of the parts of the eye to produce differential responses to wavelengths of light. Researchers have learned that when light falls on the retina there are three kinds of cone cells there containing photopigments (red, green, and blue) that respond differently to the different wavelengths of light present. These responses are combined together in the retina through cellular connections and produce a distinctive response signal in the nervous system. The signal is sent to the visual cortex in the brain, and leads to the color perceptions we have. In turn, the subcapacities of the individual pigments in the cones (say C1a) have themselves been explained in terms of the capacities (C1b, C2b, . . . Cnb) of the molecular components (S1b, S2b, . . . Snb) of the photopigments and how they respond to light (for example, the capacities of vitamin A and various proteins to change when exposed to light). In this way, the function of color vision has been decomposed into the various capacities of the anatomical components within the eye and nervous system that underlie the function.

In this respect functional explanation is intended to be a general strategy of explanation that can be applied in different sciences. What is needed is for researchers to identify a capacity of the system they want to explain, and then describe how this occurs as a result of the organized behavior of the components which make up the system. In pursuing this strategy, researchers can be seen as undertaking a kind of mechanical analysis in attempting to explain the behaviors of the system that interest them. It is, in part, the broad applicability of the account to different sciences that has made philosophers interested in understanding its details and implications. One will find further illustrations of the account by looking at discussions of functionalism in the philosophy of mind. This will reveal how the account has been used in theories in other areas.

6. Objections and Replies

There are several objections that have been made to the causal role account. Here we will consider four of the common ones. The first is the concern that too many kinds of components can be ascribed functions that on their face don’t seem to have functions. Consider a bit of dirt that has become lodged in a pipe and which operates as a one-way valve (Griffiths 1993). This material can be seen as contributing to the capacity of the pipe to control the flow of liquid, and so can be part of a functional explanation in line with the account. It seems odd to attribute a function to the dirt in this situation, but it becomes a possibility once we have dropped the notion of a goal state from the account. Once this occurs, it seems any effect of a structure that contributes to a capacity can be used in an explanation.

A second objection concerns the various kinds of things that we know objects like hearts are capable of doing. Millikan (1989a) claims that objects like hearts not only move blood through the circulatory system, but also make a thumping noise that doctors can listen to. Making a noise is an effect of the structure that can be explained in terms of the account presented before. But while biologists take the function of the heart to be the circulation of blood, they do not say that making thumping noises is. So the account seems too liberal since it fails to distinguish between genuine functions and mere side effects of the systems.

In reply to these sorts of concerns, Cummins (1975) argues that there is no objective way of making the distinction between genuine functions and other effects. The effects of a component may be relevant to the explanation of different overall capacities. The limits on what capacities should be explained depend on the particular explanatory interests researchers have. Relative to the capacity for blood circulation in the body, the heart can be said to function as a pumping mechanism; but relative to the capacity for making sounds, the heart can be said to function as a noise maker. There is no saying which of these counts as a genuine function in an absolute sense since researchers’ interests are what matter. This response raises issues about the nature of scientific explanations and whether these should be seen as objective, or whether it is sufficient merely to appeal to the interests researchers have. The answer to this depends on what one sees as the appropriate characteristics of a scientific explanation. In addition to making this point, Cummins also added a general restriction on the kinds of explanations that should be given. He said that the appropriateness of a functional explanation is related to the “interestingness” of the explanation being offered. An explanation counts as interesting when the component capacities appealed to in the explanation are less complex and different in kind from the larger capacity being explained. We can illustrate this with the piece of dirt which is lodged in the pipe. For example, the capacity of the dirt to obstruct the flow of liquid is neither less complex nor really different from the overall capacity of the pipe being explained, and so a functional explanation has no interest in this case. This response is intended to place limits on the functional explanations that are appropriate to make in these sorts of cases. But it has been perceived as being somewhat vague in describing the systems to which it applies.

This sort of concern has also been considered by Davies (2001), who argues that there are specific constraints on the effects that are appropriate to use in an explanation. He suggests we can supplement the account offered by recognizing that functions are appropriately attributed, not just to any components, but to those in a hierarchically organized system. A system is hierarchically organized just when the function is performed in virtue of the lower-level organization of the system in question. In this view, the effects of a component are not functional unless they are due to the specific hierarchical organization of the structure. For example, aside from pumping blood the heart beat has the effect of vibrating the sternum in the chest. But this effect does not contribute anything to a larger capacity of the circulatory system, or to other related capacities of the organism. Therefore, there is no reason to accept this as a genuine function of the component in question.

A third problem concerns the character of some of the components to which researchers ascribe functions. Neander (1991; see Millikan 1989b) claims that researchers in sciences like biology commonly refer to components that may be diseased and malformed as having functions. Due to congenital disease, for example, a heart may lack the parts necessary to pump blood around the circulatory system in an organism and thus not work. This presents a problem because here the component will be unable to perform its causal role, and lack the function as a result. Despite this fact, Neander claims that, in this situation, researchers still classify the components functionally as being hearts. She claims this shows we need another notion of function independent of the causal role notion. The evolutionary account she prefers is presently the main rival to the causal role account. It holds that functional explanations are a type of evolutionary explanation. Roughly, to say that a component has a function F is to say that F is an effect of the component that was selected for by natural selection in the past. So the heart has the function of pumping blood because hearts were selected for pumping blood in our ancestors, and this led to the present existence of hearts. With this view the idea is that natural selection confers on components functional roles they are supposed to perform despite their inability to perform their causal role.

Different replies have been offered to this objection. Cummins (1975) accepts that malfunctioning components do not have their causal role functions to perform. If a component is unable to perform its causal role, then this implies the loss of the relevant capacity. A similar sort of view has also been supported by Davies (2001, 176). He maintains that we should not classify components as being malfunctional in these cases. He says that components are wrongly classified this way on the basis of our prior experience of physically similar structures, which leads us to expect the structures will function as the other structures do. But, properly speaking, the structures should be classified as nonfunctional “because natural traits cannot malfunction.” This point is made in relation to a larger complaint he makes that the notion of function appealed to in evolutionary theories does not fit well with the ontologies of the natural sciences.

Another reply has also been offered by Amundson and Lauder (1994). They argue it is false that malfunctioning components can only be classified in terms of the evolutionary functions they perform. They claim that researchers in physiology commonly classify structures in terms of their homologous relationships to other structures, and independently of their functions. Homologies are defined as traits in different species that are similar due to common ancestry (a standard example is the forelimbs of humans and bats that are structurally similar). These traits can be identified in terms of such features as the physical similarity present, correspondence of parts, and other features. These criteria enable researchers to classify structures on the basis of their anatomical features alone. Since researchers can classify a malformed heart as a heart by appeal to its structural features, it is claimed that there is no problem for the account with structures that malfunction. Whether this response is correct depends on how classification works in the practice of researchers in physiology. This has been a subject of early 21st century controversy among philosophers working in this area.

The final problem concerns the role of functional statements in relation to what they explain. As was noted before, on the evolutionary account a functional statement is said to explain the presence of a component of a system. For instance, the statement “the heart functions to pump blood” serves to explain why hearts exist in certain organisms. The idea is that in the past, hearts that pumped blood contributed to the survival of an organism, which explains the present existence of hearts. So, the functional statement points in the direction of an evolutionary account for the rise of the traits which are subject to explanation. In contrast, the causal role account does not provide an explanation in this sense. Functional statements do not serve to explain the presence of the component, but explain the contribution of the component to a capacity of a particular system. This is not a matter of why the component exists in the system, but the task the component performs. The different accounts raise issues about the aims theories of functional explanation are believed to have and what needs explaining. The different perspectives people have taken on this topic are related to how the explanations are used by researchers in different areas of science, and the particular roles the explanations have in these areas.

7. Other Developments

So far, we have seen that the causal role account is applicable to different fields of science. Another issue is discussion over the exact fields it applies to, and how it relates to the other accounts mentioned. In this respect, it will help to describe the relation between the causal role and other accounts as they have been discussed in the biological sciences.

According to Neander (1991), there is a single notion of function used across different areas of biological research. The basic notion is the evolutionary notion we described before that is explained in terms of natural selection. The idea is that the heart functions to pump blood because pumping blood was the effect that hearts were selected for in the past, and which led to the present existence of hearts. Neander claims this is the basic notion at work when researchers appeal to the functions of a component and not the causal notion. In another vein, Kitcher (1993) argues that the concept of design can be seen to underlie all functional explanations. Roughly, to say that a component has a function F is to say that F is what the component was designed to do (the account allows there are different sources of design). He believes the notion applies in evolutionary contexts that involve a past selection process, as well as in physiological investigations that concern the current causal contributions of a component to a system’s capacity (in the latter case, Kitcher claims that a selection process is involved in an indirect way). In both accounts, appeals to functions can be unified under some general concept that applies across different areas of research.

Not everyone agrees, though, that the notion of function can be treated in this way. Godfrey-Smith (1993) argues that it is wrong to think there is a unified concept of function at work in different areas. He suggests there are distinct notions of function that are appropriate to different fields. The causal role notion is appropriate in physiological investigations where researchers are concerned with understanding how the capacities of a system depend on the capacities of its components. These investigations can be undertaken independently from historical considerations about selection. Alternatively, the evolutionary notion is appropriate in areas like evolution and behavioral ecology where researchers are interested in explaining why organisms have the structures and behaviors they have. In this context, the focus is on past selection pressures in the environment, and a historical approach is appropriate. So, in Godfrey-Smith’s view it is a mistake to think that we should be attempting to unify the various uses of functional language under a single account; we should rather accept pluralism. The different notions should merely be seen as reflecting the different kinds of information researchers are concerned with in different areas of investigation. This point can be related to the previous issue concerning the interest-relative character of the explanations researchers offer.

Not only are there concerns about the areas of research where the causal role notion is applicable, but there have been questions raised about similar notions in the vicinity. The causal notion is often thought to be the basic notion at work in physiology (this is controversial for some who hold the evolutionary or other account). Wouters (1995) argues, though, that there is another notion that has been neglected by philosophers in this area. He says that when researchers talk of functional explanations they are often referring to what he calls “viability explanations.” These have a different focus than explaining how a function depends on the capacities of the components of a system. In these cases, researchers are interested in explaining the traits that individuals need to survive and reproduce in their environments. For example, given the distance between the central organs and the outer periphery of the human body, the function of circulating oxygen cannot be performed by simple diffusion. This is why a circulatory system is needed for the performance of the function. This explanation contributes to our understanding by showing why the circulatory system has to be present for maintaining the viability of the organism. Wouters claims that this form of explanation is distinct from the previous accounts we described, and involves its own explanatory structure. Moreover, this explanation is said to share features with the earlier notion of functional explanation described by those like Nagel. In this respect, it is suggested that philosophers may have overlooked an important notion of functional explanation worthy of further examination.

There is a lot more that could be said about the subject of causal role functional explanation, and the debate about functions. We have not covered everything that might be considered on this issue. One thing that is clear from our discussion, though, is that a proper understanding of functional explanations cannot be achieved independently from considering how they are used in the sciences. Whether, and to what extent, the causal role notion is applicable in a particular area needs to be determined by examining the science in question. In this respect, those interested in furthering our understanding of the notion will have to familiarize themselves with the details of the examples being considered. An understanding of how functional explanations are used is an important part of helping us improve our understanding of this concept.

8. References and Further Reading

a. References

  • Amundson, R., & Lauder, G. (1994). “Function without purpose: the uses of causal role function in evolutionary biology.” Biology and Philosophy 9: 443-469.
  • Ariew, A., Cummins, R., & Perlman, M. (eds.) (2002). Functions: New Essays in the Philosophy of Psychology and Biology. Oxford: Oxford University Press.
  • Ayala, F. (1970). “Teleological explanations in evolutionary biology.” Philosophy of  Science 37: 1-15.
  • Block, N. (1980). “Introduction: what is functionalism?” In Block, N. (ed.) Readings in Philosophy of Psychology, vol. 1. Cambridge, MA: Harvard University Press.
  • Cummins, R. (1977). “Programs in the explanation of behavior.” Philosophy of Science 44: 269-287.
  • Cummins, R. (1983). The Nature of Psychological Explanation. Cambridge, MA: MIT Press.
  • Davies, P. (2001). Norms of Nature: Naturalism and the Nature of Functions. Cambridge, MA: MIT Press.
  • Dawson, M. (1998). Understanding Cognitive Science. Malden, MA: Blackwell.
  • Enç, B. & Adams, F. (1992). “Functions and goal directedness.” Philosophy of Science 59: 635-654.
  • Godfrey-Smith, P. (1993). “Functions: consensus without unity.” Pacific Philosophical Quarterly 74: 196-208.
  • Griffiths, P. E. (1993). “Functional analysis and proper functions.” British Journal for the Philosophy of Science 44: 409-422.
  • Hempel, C. G. (1959). “The logic of functional analysis.” In Gross, L. (ed.) Symposium on Sociological Theory. Evanston, IL: Harper and Row Publishers.
  • Hempel, C. G. & Oppenheim, P. (1948). “Studies in the logic of explanation.” Philosophy of Science 15: 135-175.
  • Kitcher, P. (1993). “Function and design.” Midwest Studies in Philosophy 18: 379-397.
  • McLaughlin, P. (2001). What Functions Explain: Functional Explanation and Self-Reproducing Systems. Cambridge: Cambridge University Press.
  • Millikan, R. G. (1989a). “An ambiguity in the notion of function.” Biology and Philosophy 4: 172-176.
  • Millikan, R. G. (1989b). “In defense of proper functions.” Philosophy of Science 56: 288- 302.
  • Nagel, E. (1961). The Structure of Science. Indianapolis, IN: Hackett.
  • Nagel, E. (1977). “Teleology revisited: goal-directed processes in biology.” Journal of Philosophy 74: 261-301.
  • Neander, K. (1991). “The teleological notion of ‘function’.” Australasian Journal of Philosophy 69 (4): 454-468.
  • Neander, K. (2002). “Types of traits: the importance of functional homologies.” In Ariew, A., Cummins, R., & Perlman, M. (eds.) (2002).
  • Polger, T. (2004). Natural Minds. Cambridge, MA: MIT Press.
  • Wouters, A. (1995). “Viability explanation.” Biology and Philosophy 10: 435-457.
  • Wright, L. (1973). “Functions.” Philosophical Review 82: 139-168.

b. Suggested Reading

  • Allen, C., Bekoff, M., & Lauder, G. (eds.) (1998). Nature’s Purposes: Analyses of Function and Design in Biology. Cambridge, MA: MIT Press.
  • Buller, D. (ed.) (1999). Function, Selection, and Design. Albany, NY: State University of New York Press.
  • Cummins, R. (1975). “Functional Analysis.” Journal of Philosophy 72: 741-765. Reprinted with minor alterations in Allen, Bekoff, & Lauder (1998) and Buller (1999).
  • Wouters, A. (2005). “The function debate in philosophy.” Acta Biotheoretica 53: 123-151.

 

Author Information

Mark B. Couch
Email: mark.couch@shu.edu
Seton Hall University
U. S. A.

The Third Earl of Shaftesbury (1671—1713)

ShaftesburyAnthony Ashley Cooper, the Third Earl of Shaftesbury (1671-1713) was an English philosopher who profoundly influenced 18th century thought in Britain, France, and Germany.  As a part of an important social circle of English Freethinkers along with early deists such as John Toland, Matthew Tindal, and Anthony Collins, Shaftesbury’s work had a significant influence on French deists such as Voltaire and Rousseau.  He also corresponded with some of the most important thinkers of his day, including Locke, Leibniz, and Bayle.  Shaftesbury was most influential in the history of English language philosophy through his concept of the moral sense which heavily influenced Hutcheson, Butler, Hume, and Adam Smith; and Shaftesbury was influential in Germany through his concept of enthusiasm which recovered (intuitive) reason from mere (discursive) reasoning and influenced the Romantic idea of the creative imagination as found in German thinkers such as Lessing, Mendelssohn, Goethe, Herder, and Schiller.

Although Shaftesbury was enormously influential in the 18th century, his prestige declined in the 20th century, primarily due to the rise of analytic philosophy which defined philosophy such that Shaftesbury’s work seemed more like literature or rhetoric than proper philosophy. Those trained in analytic philosophy continue to have trouble reading Shaftesbury, largely because he self-consciously rejects systematic philosophy and focuses more on rhetoric and literary persuasion than providing numbered premises.  Shaftesbury is interested as much in moral formation as he is in moral theorizing, though his work does contain some, albeit intentionally veiled, discussion of theoretical concerns.

As Shaftesbury saw it, Hobbes had set the agenda of British moral philosophy (a search for the grounding of universal moral principles), and Locke had established its method (empiricism).  Shaftesbury’s important contribution was to focus that agenda by showing what a satisfactory response to Hobbes might look like but without giving up too much of Locke’s method.  Shaftesbury showed the British moralists that if we think of moral goodness as analogous to beauty, then (even within a broadly empiricist framework) it is still possible for moral goodness to be non-arbitrarily grounded in objective features of the world and for the moral agent to be attracted to virtue for its own sake, not merely out of self-interest.

In his most influential works, Shaftesbury thinks of moral judgment as self-reflection. First we have motives, and then we reflect on those motives resulting in a feeling of moral approval or condemnation. The process is the same when evaluating other agents:  we reflect on their motives and feel approval or condemnation.  In Shaftesbury’s aesthetic language, the state of having the morally correct motives is the state of being “morally beautiful,” and the state of approving the morally correct motives upon reflection is the state of having “good moral taste.” Shaftesbury argues that the morally correct motives which constitute moral beauty turn out to be those motives which are aimed at the good of one’s society as a whole.  This good is understood teleologically.  Furthermore Shaftesbury argues that both the ability to know the good of one’s society and the reflective approval of the motivation toward this good are innate capacities which must nevertheless be developed by proper socialization.

Table of Contents

  1. Life
  2. Works
  3. Aims and Methods
  4. Major Themes
    1. Moral Realism
    2. Moral Beauty
    3. Moral Sense
    4. Personal Identity
  5. References and Further Reading
    1. Primary Texts
    2. Secondary Texts

1. Life

Shaftesbury was part of an important political family.  Shaftesbury’s grandfather, the First Earl of Shaftesbury (1621-1683), was an influential and controversial Whig politician.  The Whigs were the party in favor of the supremacy of parliament over the monarchy in England.  The opposing party, the Tories, supported the monarchy and also tended to support a hierarchical state-sponsored religion, either Anglicanism or Roman Catholicism.  The Whigs favored freedom of religion, supporting religious “Dissenters,” at first Puritans, Calvinists, Quakers, etc., and later Deists.  In 1679 the First Earl of Shaftesbury introduced a bill into Parliament attempting to exclude King Charles II’s brother James (later King James II) from the throne because James was Roman Catholic.  The bill failed, and the First Earl was eventually charged with treason and fled to Holland where he died in exile.

Shaftesbury was very close to his grandfather and revered the memory of the First Earl.  Because Shaftesbury’s father had an unidentified degenerative illness, Shaftesbury was raised in the household of the First Earl from the age of four.  After the First Earl’s disgrace, Shaftesbury made it one of his life’s goals to rehabilitate his family’s reputation. Though his votes in Parliament occasionally sided with the Tories, Shaftesbury always stayed true to the political principles of his grandfather, consistently fighting for religious tolerance and a balance of powers at both the national and international level (see Voitle, p. 73; cf. p. 414).

John Locke (1632-1704) was a close friend of the First Earl and an advisor to the family for years to come after the First Earl’s death.  Locke was the personal physician and general advisor to the First Earl.  He supervised the childhood medical care of Shaftesbury’s father, the Second Earl (1652-1699). He also helped find a wife for the Second Earl and he cared for her during  her pregnancy  with the Third Earl.  Most significantly for our purposes, Locke supervised the Third Earl’s education.  He personally chose Shaftesbury’s governess Elizabeth Birch and designed a curriculum for her to follow in her instruction of the child.  This experience was, presumably, the basis for Locke’s later work Thoughts Concerning Education.  Under Birch’s tutelage, Shaftesbury received a strong education in the Classics and became fluent in Greek and Latin by the age of eleven.  Locke continued to check on Shaftesbury’s progress over the years.  After the First Earl’s death when Shaftesbury was twelve years old, he attended Winchester College, a secondary school which at the time was dominated by Tory sentiment. Shaftesbury felt persecuted by his peers on account of the First Earl’s political reputation.

In 1687, at the age of 16, Shaftesbury began his two-year “Grand Tour” of Europe, a customary part of a British nobleman’s education during the period.  After an extended stay in Paris, Shaftesbury spent most of his tour in Italy where, based on his diary, he focused his attention on art and architecture.  He was especially interested in ruins from the classical Roman period.  The first stop on his tour, however, was Holland where Shaftesbury spent several months visiting John Locke.

After returning from his Grand Tour in 1689, Shaftesbury took over managing much of the family estates and interests from his bedridden father.  Shaftesbury also had to supervise the education of his brothers and the marriages of his sisters; oversee the family finances and investments; govern the family lands, a job which included adjudicating disputes among the tenants; and, in 1695, take his place as a member of Parliament in the House of Commons.  Locke served as a primary advisor to the young Shaftesbury as he found his footing in these new duties, though Shaftesbury did not always follow Locke’s advice.  Shaftesbury had many philosophical conversations with Locke, some of which are preserved in correspondence. During this time, Shaftesbury wrote his first philosophical works, An Inquiry Concerning Virtue or Merit and the “Preface” to his edition of Whichcote’s sermons.

The smoky, polluted air of London did not agree with Shaftesbury, and he developed what would become a life-long and eventually fatal respiratory disease. Shaftesbury was diagnosed with a form of asthma, though Voitle suggests that the evidence points toward tuberculosis (Voitle, p. 226).  In 1698, due to his health, he retired from public life and spent a year in Holland where he met important thinkers of the day including Pierre Bayle (1647-1706), who became a close friend, despite their philosophical disagreements.

While in retirement he also began keeping his philosophical journal, which he labeled Askemata (Greek: exercises), posthumously published under the title of Philosophical Regimen.  The Askemata reveals Shaftesbury as a disciple of the ancient Stoics, especially Epictetus and Marcus Aurelius.

After the death of his father, Shaftesbury inherited the title of Earl and felt obligated to return to Parliament in 1700 (this time in the House of Lords).  Yet his health continued to worsen, and he gradually spent more and more time in retirement, during which time he prepared his philosophical works for publication.  By the time his collected works appeared in 1711 as Characteristics of Men, Manners, Opinions, Times, Shaftesbury’s health was so poor he decided to move to Italy in search of a more hospitable climate. There he continued to write. He prepared a revised second edition of the Characteristics, reading the work aloud to see how it sounded and making changes mostly in style and grammar.  He also added important illustrations, an allegorical headpiece for each treatise.  Finally, he began a sequel to the Characteristics to be titled Second Characters. The warm, sulphurous air off the Bay of Naples did help Shaftesbury’s health, but not enough.  He died in 1714 without finishing his work.

2. Works

 

Shaftesbury’s first publication was a collection of sermons written by Cambridge Platonist Benjamin Whichcote.  His introduction to that volume praised Whichcote for maintaining the goodness of human nature and the existence of a natural impulse toward benevolence. This was in contrast to most other 17th century divines who followed secular thinkers in holding that self-interest is the only motive to action and were therefore required to ground moral motivation in the rewards and punishments of the afterlife.

Shaftesbury’s major work Characteristics of Men, Manners, Opinions, Times (first edition published 1711) is an anthology of five previously published essays, sometimes with substantial revisions: An Inquiry Concerning Virtue or Merit (1699); A Letter Concerning Enthusiasm (1708); Sensus Communis, An Essay on the Freedom of Wit and Humor (1709); The Moralists, A Philosophical Rhapsody (1709); and Soliloquy, or Advice to an Author (1710). Along with these earlier works, Shaftesbury appended five new chapters of Miscellaneous Reflections roughly corresponding to the five essays which attempt to bring some coherence to the collection by commenting on and qualifying Shaftesbury’s earlier views.

His other published philosophical works include A Notion of the Historical Draught or Tablature of the Judgment Hercules and A Letter Concerning Design, originally a set of instructions for a painting Shaftesbury had commissioned and a letter commenting on those instructions, both written in 1712.  Shaftesbury planned to include these works in a projected sequel to the Characteristics called Second Characters, but he died before the project could be completed.  The Notion was subsequently included in the posthumous 1714 edition of the Characteristics, while the Letter Concerning Design was also added in the 1732 edition.  These two late works were included, along with some of Shaftesbury’s unfinished works (including a dialogue called The Picture of Cebes and a treatise to be entitled Plastics, an Epistolary Excursion in the Original Progress and Power of Designatory Art), in Benjamin Rand’s attempted reconstruction of Second Characters, published in 1914.

Finally, we have some of Shaftesbury’s correspondence and private journals (the Askemata), albeit in an unreliable transcription reordered and edited by Rand, published in 1900 under the title The Life, Unpublished Letters, and Philosophical Regimen of Anthony, Earl of Shaftesbury

3. Aims and Methods

 

 

Shaftesbury is primarily known in the history of philosophy for two things.  To moral philosophers he is known as the father of moral sense theory in British moralism; and to philosophers of art, he is known as “the first great aesthetician that England produced” (Cassirer 1953, 166) whose work was seminal for the German Romantics. But neither of these is what Shaftesbury himself thought was most important about his work.  Shaftesbury was not simply working out an epistemology of ethics or an account of aesthetic experience.  He did examine both of these issues, but his more direct interest was in transforming British moral inquiry by synthesizing ethics and aesthetics.

To use Shaftesbury’s own terms, the chief aim of his work is to introduce the concepts of “moral beauty” and “moral taste” to eighteenth  century British society.  In the final chapter of the Characteristics Shaftesbury sums up his overall project: “It has been the main scope and principal end of these volumes to assert the reality of a beauty and charm in moral as well as natural subjects, and to demonstrate the reasonableness of a proportionate taste and determinate choice in life and manners” (Miscellaneous Reflections V.iii, 466). Earlier he claims he is “intent chiefly on this single point, to discover how we may to best advantage form within ourselves what in the polite world is called a relish or good taste” (Miscellaneous Reflections III.i, 404).  Therefore Shaftesbury’s goal is to show that not every preference is equally appropriate to human nature and that there is such a thing as “good taste” in art and morality.

Shaftesbury’s writing style is intrinsically related to his philosophical goals.  Since Shaftesbury’s major audience was genteel or “polite” society, he often writes in a playfully oblique and ironic rhetorical style.  He uses elaborate analogies and metaphors to entertain and disarm his readers but not necessarily to carry any great philosophical weight (the most significant and easily misunderstood being the famous analogy of moral judgment with sensation). Therefore modern readers must always keep in mind the looseness and lack of analytic rigor with which Shaftesbury approaches his material.  He is trying to provide powerful suggestions aimed at forming his readers’ moral sentiments rather than to give detailed arguments to establish a theoretical system.  In other words, Shaftesbury wants to help his readers actually develop good moral taste, not merely to theorize about it.

4. Major Themes

a. Moral Realism

Shaftesbury did not see himself as inventing a new synthesis of aesthetics and ethics.  Rather, he thought he was protecting a classical synthesis.  And Shaftesbury thought the primary threat to the classical notions of moral beauty and moral taste came from the empiricist philosophy of Hobbes and Locke.

The four elements of Hobbes’s view to which Shaftesbury objected were empiricism, mechanism, voluntarism, and egoism.  Empiricism rejected innate ideas of morality.  Instead, moral principles were understood as a result of subjective emotions whereas classical moral philosophy saw moral principles as deriving from the human being’s objective teleology.  The modern mechanistic physics, however, rejected natural teleology.  If there was to be a set of universal moral principles, it could not be grounded on universal human nature, but it must be, as voluntarism asserts, grounded on a sovereign will (either God’s or the human government’s) expressed in positive law.

Shaftesbury believed Hobbes had reduced morality to self-interest, and it is to this Hobbesian “skepticism” that Shaftesbury is responding.  But Shaftesbury also had another, more personal target.  As a child Shaftesbury had been tutored by John Locke, a personal advisor of  his grandfather.  But as  Shaftesbury grew up, he came to reject the moral skepticism he thought followed from Locke’s empiricism and voluntaristic divine command theory. According to Shaftesbury, many of those who rejected Hobbes’s political philosophy, including the “free writers” (read: deists) and Locke, nevertheless went “in the self-same tract” as Hobbes’s philosophy.  Shaftesbury goes on to argue that Locke was in fact more dangerous than Hobbes or the Deists because, unlike them, Locke had the reputation of “sincerity as a most zealous ‘Christian’ and believer” and was thus able to make the nominalist position attractive to a wide audience.  And it was Locke who had succeeded in convincing many of the British moralists to give up the idea of goodness as natural rather than as socially constructed.

It was Mr. Locke that struck the home blow: for Mr. Hobbes’s character and base slavish principles in government took off the poison of his philosophy. ’Twas Mr. Locke that struck at all fundamentals, threw all order and virtue out of the world, and made the very ideas of these (which are the same as those of God) “unnatural,” and without foundation in our minds. (Rand 1900, p. 403)

Hence it was against Locke that Shaftesbury thought morality most needed to be defended.

What bothered Shaftesbury and many of his contemporaries about Hobbes and Locke were the empiricists’ apparent rejection of the “reality” of virtue. In his dialogue The Moralists, Shaftesbury has the character Philocles distinguish two ways modern religious philosophers defended the link between religion and morality: “Some of them hold zealously for virtue, and are realists in the point. Others, one may say, are only nominal moralists by making virtue nothing in itself, a creature of will only or a mere name of fashion” (The Moralists, II.2, p. 262, my emphasis).  Later in the dialogue, the character Theocles says that the author of “a certain fair Inquiry” (i.e., Shaftesbury’s own Inquiry Concerning Virtue and Merit) argued against a specifically religious basis for ethics:

For being, in respect of virtue, what you lately called a realist, he endeavours to show that it is really something in itself and in the nature of things, not arbitrary or factitious (if I may so speak), not constituted from without or dependent on custom, fancy or will, not even on the supreme will itself, which can no way govern it but, being necessarily good, is governed by it and ever uniform with it. (The Moralists, II.3, p. 266-7)

Here a “realist” about virtue is someone who holds the view that morality is “in the nature of things.”  On this scheme, then, moral realism is opposed not only to relativism (the view that morality is constituted by “custom”) and subjectivism (the view that morality is constituted by an individual’s “fancy”) but also to voluntarism (the view that morality is constituted by the “will” of a sovereign, whether Locke’s God or Hobbes’s Leviathan).  So, according to Shaftesbury, to give morality a subjective basis in individual self-interest (even if one then attempted to construct on this subjective basis a set of objective and universal moral laws), rather than an objective basis in some intrinsic feature of character or action, is to deny the reality of moral distinctions, a position synonymous in the early modern mind with moral skepticism. Conversely, to call morality “real” was to commit oneself to what Shaftesbury’s predecessor Ralph Cudworth called “eternal and immutable” principles of morality.

b. Moral Beauty

 

Throughout the Characteristics, Shaftesbury argues that moral beauty is a “beauty of the sentiments, the grace of actions, the turn of characters, and the proportions of a human mind” (Sensus Communis IV.ii, p. 62).  In general, for Shaftesbury, beauty is a matter of harmonious proportion or “numbers.” The “beauties of the human soul,” then, are “the harmony and numbers of an inward kind” (Sensus Communis IV.ii, p. 63).  They are an “inward anatomy” of soul which, like the outward anatomy of the body, must be brought into the “order or symmetry” that is constitutive of beauty and health (Inquiry 2.I.ii, p. 194).

For Shaftesbury, the concept of moral beauty is not merely a metaphorical comparison between ethics and aesthetics.  Rather beauty and goodness are “one and the same” (The Moralists III.ii, p. 320) such that moral or mental beauty turns out to be more fundamental than physical beauty.  Beauty, Shaftesbury argues, is primarily a property of souls or minds, not of bodies at all: “the beautifying not the beautified, is the really beautiful” (Moralists III.ii, p. 322).   When we judge a body to be beautiful we are really judging the act of designing and creating the body to be beautiful.  Shaftesbury argues for this conclusion by pointing out that when we say a statue is beautiful, we aren’t admiring the “matter” (the marble or bronze or whatever) but the “art and design” which Shaftesbury calls “the form or forming power.”

Yet terms like “design” and “form” can be either nouns or verbs.  That is, we can speak either of the form of an object or the act of forming the object.  Shaftesbury concludes, “Here therefore is double beauty. For here is both the form, the effect of mind, and mind itself.” (Moralists III.ii, p. 323)  He calls the passive objects “dead forms … which bear a fashion and are formed, whether by man or nature, but have no forming power, no action or intelligence,” and he calls the active subjects variously “living forms,” “forming forms,” or “the forms which form, that is, which have intelligence, action and operation.”

Thus Shaftesbury distinguishes two distinct “degrees or orders of beauty” before going on to argue for a third order of beauty “which forms not only such as we call mere forms but even the forms which form” (Moralists III.ii, p. 323-4). Hence we have these three orders of beauty:  first the dead forms, second the forming forms, and third the “supreme and sovereign beauty.” If the first order of beauty is the form of the object in the sense of the object’s design, then the second order of beauty is the active mental subject capable of creating this sort of intelligent design. In other words, the second order of beauty is the human mind itself which, through its intelligent creativity, imposes ordered design on the matter.  But, while the mind is a forming power which gives form to the body, at the same time the mind has its own form which is given to it by its participation in the divine Mind, “the principle, source, and fountain of all beauty” (Moralists III.ii, p. 324). Thus the three forms or orders of beauty seem to be natural beauty, moral beauty, and the beauty of God.

Following ancient Stoicism, Shaftesbury thinks of the world as a unified organism infused by the immanent living “soul” or “mind” of God without which even the natural world would be dead and hence could not be beautiful.  God (“the universal and sovereign Genius”) is a “uniting principle” which makes individual parts of nature into a system, a living organism directed to a teleological end (Moralists III.i, p. 301). Nature, then, is not simply a “mere body, a mass of modified matter,” but is a rationally structured “whole” which constitutes a “self” or mind whose body is the world (Moralists III.i, p. 302-3).

The teleological element of this view is emphasized when Shaftesbury describes his vision of an ever-widening system of interconnectedness.  Shaftesbury starts with the concept of an ordered system:  “Whatever things have order, the same have unity of design and concur in one, are parts constituent of one whole or are, in themselves, entire systems” (The Moralists II.iv, p. 274).  In other words, the concept of order is teleological: a system has order insofar as its parts are aimed at a single end.  Organisms and artifacts are examples of this sort of system: “Such is a tree with all its branches, an animal with all its members, and edifice with all its exterior and interior ornaments” (ibid.).  Just as the parts of a human artifact, such as a piece of architecture, are designed so as to form a unified whole, the parts of a plant or animal are also interconnected in such a way as to form a complete system.   Thus something forms a system if its parts are not “independent but all apparently united … according to one simple, consistent and uniform design” (ibid.).  For example, this sort of “mutual dependency of things” can be seen “in any dissected animal, plant or flower where [even] he who is no anatomist nor versed in natural history sees that the many parts have a relation to the whole, for thus much even a slight view affords” (The Moralists II.iv, p. 275).

But individual organisms are only relatively self-sufficient.  Their parts are internally united, but at the same time organisms are externally united to other organisms.  As Shaftesbury puts it in the Inquiry:

If therefore, in the structure of this or any other animal, there be anything which points beyond himself and by which he is plainly discovered to have relation to some other being or nature besides his own, then will this animal undoubtedly be esteemed a part of some other system. (Inquiry I.ii.2, p. 168).

So, for example, human organisms, especially as infants, are “helpless, weak, and infirm” and are thus inherently (“purposely, and not by accident”) “rational and sociable” such that humanity “can no otherwise increase or subsist than in that social intercourse and community which is his natural state” (The Moralists II.iv, p. 283). Likewise the human species is dependent on other species of plants and animals for their survival just as, for example, “to the existence of the spider that of the fly is absolutely necessary,” showing that each individual species is “in general, a part only of some other system,” namely “the system of all animals” (Inquiry I.ii.2, p. 168).

Thus human organisms form a system called a community.  Likewise, all human communities form the human species (“the system of his kind”), which fits into a certain ecosystem of the planet Earth, which has its ordered place in the universe as a whole.  Thus Shaftesbury concludes, “all things in this world are united” (The Moralists II.iv, p. 274).

For Shaftesbury, this cosmic order has moral implications.  If man is an ordered system of parts, then “there must be somewhere a last or ultimate end in man” (Regimen, p. 48).  Because human beings have instinctive “dispositions of mind such as plainly refer to a species and society, and to the enjoyment of converse, mutual alliance, and friendship, then is the end of man society” (Regimen, p. 48-9; cf. the similar argument at Inquiry II.i, p. 167).

The virtues (things such as “integrity, justice, faith” etc.) are those character traits which allow us to live in society with other humans thereby fulfilling our “end.”  Therefore the virtues are “part of a man, as he is a man” (Regimen, p. 50) – they allow us to be fully human and to “live according to nature” (Regimen p. 52).

In this way, the natural order grounds the normativity of individual moral beauty.  Following classical Platonic and Stoic sources Shaftesbury holds that everything else is beautiful to the degree that it works in harmony with the supreme beauty of providential design (The Moralists II.iii, p. 277).  Thus there is a “nature upon which the world depends, and … every genius else must be subordinate to that one good genius” (Moralists III.i, p. 300).

While the supreme beauty can serve as a standard to ground the particular choices of particular minds, it is not a subjectively chosen standard.  It is the objective ordering of the universe. For Shaftesbury beauty in general is a proper ordering between the parts of something according to the universal natural rules of harmony and proportion.  Therefore a viewer’s subjective failure to judge the proper objective value of this ordering does not diminish its value.  This value is a “symmetry and proportion founded still in nature” (Soliloquy III.iii, p. 157-8).  And when “we are reconciled to the goodly order of the universe” by developing beautiful souls “we harmonize with nature and live in friendship with God and man” (Moralists III.iii, p. 334). It is this harmonious relationship to the natural order that Shaftesbury calls moral beauty.

In summary, beauty, whether of a body or a soul, is grounded in an objective standard of order – namely the mind of God as expressed in the natural order.  At the highest level this order is the “supreme beauty” of God which guides God’s own creation of the natural order and which we in turn imitate when we bring order to our bodies, souls, or artworks.

c. Moral Sense

 

In his essay Sensus Communis, Shaftesbury argues for an understanding of “common sense” as a sense of the common good (Sensus Communis III.1-2, 48-53). Shaftesbury finds a predecessor in the Roman tradition which followed Marcus Aurelius’s coining of the term koinonoemosune to describe the same sort of sense of the common good (Sensus Communis III.1, 48n19).  This notion of the common good recalls the distinction between one’s “private good” and one’s “real good” which Shaftesbury draws in his essay An Inquiry Concerning Virtue or Merit. The private good or “self-interest” is the “end” or “interest” which is “right” for an individual of one’s species and toward which the natural affections point when they are not “ill.”  And the real good or “virtue” is the end in which one’s private good harmonizes with the common good of one’s species as a whole (Inquiry I.II.1, p. 167).  Note that pursuing one’s private good is not necessarily selfish.  In fact, for Shaftesbury, pursuing one’s private good is necessary, natural, and therefore good (insofar as it does not conflict with the public good).  “Selfishness” is not just any regard for one’s private good, but an “immoderate” one which is “inconsistent with the interest of the species or public” (Inquiry I.II.2, p. 170).

Shaftesbury emphasizes the importance of one’s relation to society when he says that a creature is “nowise” good (that is, neither “privately” nor “really” good) if it is naturally part of a “system” but is either detached from the system or harms that system (Inquiry I.II.1, p. 168).  Recall, as discussed above, that a human’s most immediate “system” is society. In this way the sensus communis becomes a necessary component in Shaftesbury’s ethics.  On Shaftesbury’s view, for any action to be considered good, the agent must be moved to action by an affection for the good of the system: one can only be “supposed good when the good or ill of the system to which he has relation is the immediate object of some passion or affection moving him” (Inquiry I.II.1, p. 169).  According to Shaftesbury, then, we could not have an affection toward the common good if we didn’t somehow represent the common good to ourselves.  And it is the sensus communis which allows us to do that. Shaftesbury is clear that it is not enough that our actions be in fact aimed at the common good though still inwardly motivated by self-interest: “as soon as he has come to have any affection towards what is morally good and can like or affect such good for its own sake, as good and amiable in itself, then is he in some degree good and virtuous, and not till then” (Inquiry I.iii.3, p. 188).  To be virtuous, an action must be aimed at the common good because we recognize that it is the common good and have an affection toward it as such.  Thus a truly virtuous and good creature is “one as by the natural temper or bent of his affections is carried primarily and immediately, and not secondarily and accidentally, to good and against ill” (Inquiry I.ii.2, 171).  Shaftesbury thinks this affection toward the good of one’s species is natural and common to every member of the species.  Thus a virtuous action “ought by right” to have as its “real motive” the natural affection for one’s species.

Being motivated by an affection toward the common good is, however, only a necessary, not a sufficient, condition for being virtuous. While anything can be good under Shaftesbury’s definition, only a human being can be virtuous.  This is because virtue requires a “reflected sense” (that is, the ability to reflect on what is good and right) which requires a high degree of reason.  Shaftesbury says:

But to proceed from what is esteemed mere goodness and lies within the reach and capacity of all sensible creatures, to that which is called virtue or merit and is allowed to man only: In a creature capable of forming general notions of things, not only the outward beings which offer themselves to the sense are the objects of affection, but the very actions themselves and the affections of pity, kindness, gratitude and their contraries, being brought into the mind by reflection, become objects. So that, by means of this reflected sense, there arises another kind of affection towards those very affections themselves, which have been already felt and have now become the subject of a new liking or dislike. (Inquiry I.ii.3, p. 172)

The view seems to be that the sensus communis shows us what is good for our species and we naturally “approve” of that good and have an “affection” towards it, thereby motivating us to act.  Those actions are individually good which are motivated by an affection toward the good of the whole. Then our “reflected sense” gives us a “new affection” towards the motives which result in good actions.   On the next page Shaftesbury refers to this “reflected sense” as a “sense of right and wrong” which he defines as “a sentiment or judgment of what is done through just, equal and good affection or the contrary” (Inquiry I.ii.3, p. 173).  The notion of the moral sentiments, as Shaftesbury employs it, presupposes the existence of the sensus communis.  A properly functioning person is already motivated by the right affections as represented by the sensus communis, and then our moral sentiment (our “sense of right and wrong”) confirms that those are in fact the right motivations by giving us a higher-order “feeling,” “affection,” or “sentiment” of which actions are done by the right affections. In other words, moral sentiment is a second-order affection toward the “right” first-order affections. Note that, while Shaftesbury also talks as if not only first-order affections but also actions, tempers, etc., can be the objects of the moral affection, it must be remembered that for Shaftesbury no action or temper is truly good or virtuous unless it is motivated by affection for the common good.  In sum, after the sensus communis determines the moral action and motivates us to pursue it as good, then moral sentiment approves of what the common sense tells us via a feeling of affection and thereby motivates us to pursue it as virtuous.

It is important to notice here that, while Shaftesbury refers to our moral sentiments as our “conscience” and even as our “sense of right and wrong,” he is not trying to establish a “moral sense” as a distinct mental “faculty” for receiving moral ideas.  As D.D. Raphael notes, “the casual application of the word ‘sense’ to the moral faculty is hardly more significant in Shaftesbury than it is in Samuel Clarke, who was a severe rationalist” (The Moral Sense, p. 16). We talk of a “sense of purpose,” a “sense of urgency,” a “sense of adventure,” a “sense of humor,” etc.   Sometimes we even speak of morally relevant “senses” such as a “sense of decency,” a “sense of shame,” a “sense of duty,” etc.  But we don’t mean to suggest that any of these “senses” ought to be thought of as analogous to the physical senses or that they are special mental faculties metaphysically distinct from our ordinary mental faculties.  Likewise, Shaftesbury’s use of the phrase “sense of right and wrong” is simply a figure of speech.  He thought we used our ordinary faculties of thinking, feeling, and desiring to make moral judgments.

Shaftesbury sometimes seems to suggest that moral judgment is instinctive, yet this is not his considered view. For example, in the dialogue titled The Moralists, A Philosophical Rhapsody, Shaftesbury seems to advance the claim that our sense of beauty is innate: “Nothing surely is more strongly imprinted on our minds or more closely interwoven with our souls than the idea or sense of order and proportion” (The Moralists II.4, p. 273-4).   In this context, Shaftesbury is specifically talking about natural beauty, but, as we have seen above, moral beauty is a function of one’s relationship to the natural order.  Shaftesbury notes that we can easily tell the difference between a structure created by an architect and a mere “heap of sand and stones” and claims that “this difference is immediately perceived by a plain internal sensation.”  The source of this sensation seems to be the common sense.  In the Sensus Communis essay, Shaftesbury argues that true beauty in art requires the artist to submit the “particulars” of the artwork “to the general design” and make “all things subservient to that which is principal” (Sensus Communis IV.3, p. 66), adding that “common sense (according to just philosophy) judges of those works which want the justness of a whole and show their author, however curious and exact in particulars, to be in the main a very bungler” (Sensus Communis IV.3, p. 67). Hence it is the common sense (or “sense of beauty” as he calls it in The Moralists) which discerns “order and proportion” so that taste can approve or disapprove of them.

Now, Shaftesbury seems to think this ability of common sense to detect beauty is innate.  When we perceive an object or action we immediately (“straight”) distinguish the beautiful from the ugly (The Moralists III.2, p. 326),  Similarly, he says in the Inquiry that the mind “cannot be without .. nor can it withhold” judgments of moral taste, and he compares the functioning of the moral faculty to the functioning of a bodily organ:  “this affection of a creature towards the good of the species or common nature is as proper and natural to him as it is to any organ, part or member of an animal body, or mere vegetable, to work in its known course and regular way of growth” (Inquiry II.I.1, 192). But these statements are misleading in isolation.

By this point in The Moralists, Shaftesbury has already observed that taste requires cultivation: “How long before a true taste is gained! How many things shocking, how many offensive at first, which afterwards are known and acknowledge the highest beauties! For it is not instantly we acquire the sense by which these beauties are discoverable” (The Moralists III. 2, p. 320).  Shaftesbury also says (following the Cambridge Platonists) that the affection for and knowledge of the good can be lost by vice: “contrary habit and custom (a second nature) is able to displace” even the most natural instincts (Inquiry I.III.1, 179).  Likewise in the Miscellaneous Reflections, Shaftesbury writes that “a legitimate and just taste can neither be begotten, made, conceived or produced without the antecedent labour and pains of criticism” (Miscellany III.2, p. 408).

If anything about the sensus communis or moral taste is innate, it is the potential to develop good taste.  Everyone is born with these faculties.  But everyone must be educated in how to use them.  Moral taste is a natural faculty but it is also a cultivated faculty.  Elsewhere Shafesbury argues that though “good rustics who have been bred remote from the formed societies of men” might have been “so happily formed by nature herself that, with the greatest simplicity or rudeness of education, they have still something of a natural grace and comliness in their action,” it is nevertheless “undeniable, however, that the perfection of grace and comliness of action and behavior can be found only among the people of a liberal education” since such perfection requires knowledge of “those particular rules of art which philosophy alone exhibits” (Soliloquy I.3 p. 85-7). So virtue must be cultivated like good taste in art or wine.  Only then can one act “from his nature, in a manner necessarily and without reflection” (Sensus Communis IV.1, p. 60).

In summary, our moral sense is a not a special instinctive faculty, but an innate potential to approve of certain actions that must be activated by good education in society. Once we have been trained in the art of sociable conversation, our moral sense will inevitably approve of those actions which are motivated by the teleological good of society as a whole.

d. Personal Identity

 

In his essay Soliloquy Shaftesbury describes moral reasoning through the mechanism of conscience as requiring the agent to partition herself into multiple voices (or “selves”) in order to engage in fruitful internal discussion on the model of a Socratic dialogue.  Soliloquy, he says, is a kind of “self-dissection” in which an individual “becomes two distinct persons” in order to “be his own subject” of advice and edification (Soliloquy I.i, p. 72).  He calls “this method of soliloquy” an “art” or “regimen” which is “practiced” by “all great wits,” especially by “the poet and philosopher” and even “the orator” (Soliloquy I.i, p. 73).

Here soliloquy means something like the examination of conscience.  The point of dividing oneself into two dialogue partners is to achieve the kind of consensus that results from rational discussion (Soliloquy I.ii, p. 77).  We reflect within ourselves and notice that we are of two minds about something (we “discover a certain duplicity of soul”).  Then we discuss the issue with ourselves until we bring the two views into dialectical agreement.  In this way we achieve integrity and self-unity within our mind (we “make us agree with ourselves and be of a piece within”).  In aesthetic terms, we are trying to bring our soul into harmony with itself.

For Shaftesbury, the purpose of soliloquy is not only self-creation, but also preparation for public discourse.  It is significant that the full title of the essay is Soliloquy, or Advice to an Author, an “author” being one who “publishes” (makes public) his “meditations” (private thoughts). Shaftesbury’s advice is that we test our thoughts by the method of soliloquy before we presume to share them: “so that, unless the party has been used to play the critic thoroughly upon himself, he will hardly be found proof against the criticisms of others” (Soliloquy I.i, p. 76).  What is significant here is that public edification is the assumed goal of philosophical thinking.

However, prior to public discourse, we must endeavor to construct a coherent self through the method of soliloquy.  “Our thoughts,” says Shaftesbury, “have generally such an obscure implicit language that it is the hardest thing in the world to make them speak out distinctly. For this reason, the right method is to give them voice and accent” (Soliloquy I.ii, p. 78).  By the method of giving voice to our thoughts here, Shaftesbury has in mind the “meditations, occasional reflections, solitary thoughts or other such exercises as come under the notion of this self-discoursing practice” (Soliloquy I.i, p. 74) that make up his own private notebooks which he labeled Askemata (exercises or “regimen”). In his Regimen Shaftesbury applies the practice of dialectical reasoning to his own inner life via the method of soliloquy.

For Shaftesbury, the result of achieving harmony of soul is the construction of a unified “self.”  “It is the known province of philosophy,” Shaftesbury writes, “to teach us ourselves, keep us the self-same person and to regulate our governing fancies, passions and humors as to make us comprehensible to ourselves” (Soliloquy III.i, p. 127).   With regard to the question of the self, Shaftesbury ridicules that “which stands for philosophy in some famous schools,” saying it cannot generate “manners or understanding” because “It pretends indeed some relation to manners as being definitive of the natures, essences and properties of spirits” (Soliloquy III.i, p. 128).   In other words, scholastic philosophy confuses an accidental property (a “relationship”) of the self with an essential one.  It does this by “defining ‘material’ and ‘immaterial substances’ and distinguishing their properties and modes” as if this were “the right manner of proceeding in the discovery of our own natures” (Soliloquy III.i, p. 129-130).  This focus on the metaphysics of “modes and substances” is, however, “beside the mark and reaches nothing we can truly call our interest or concern.”  It does not tell us who we really are (Soliloquy III.i, p. 130).  The scholastics make the same mistake as a person who attempts to understand the nature of a watch by asking “of what metal or what matter each part was composed” rather than “what the real use was of such an instrument or by what movements its end was best attained and its perfection acquired” (Soliloquy III.i, p. 131).  Likewise, the philosopher engaged in metaphysical speculation has “considered not the real operation or energy of his subject, nor contemplated the man as real man and as a human agent, but as a watch or common machine” (ibid).

Shaftesbury argues that true self-knowledge comes from the study of the passions. This is because I am my passions:  “These passions, according as they have the ascendancy in me and differ in proportion with one another, affect my character and make me different with respect to myself and others” (Soliloquy III.i, p. 132).  My character or self is a function of my passions, and that character is the real me, not the material (or immaterial) substance that my passions are made out of (or inhere in).  Were my “passions, affections, and opinions” to change radically enough, then I would become a different self, even if, contra Locke, I retained in my “memory the faint marks or tokens of former transactions” (Soliloquy III.i, p. 127).  This is because my passions are aimed at what I take to be my happiness (Soliloquy III.i, p 132).  And, as the teleological end of my life, my happiness is what makes me who I am.

True philosophy, then, is the kind of self-reflection which makes known to an agent what her passions are aimed at so that she can bring them into harmony with one another and thereby construct a coherent self.  Until I can understand my own passions (“ascertain my ideas”) and control them (“keep my opinion, liking and esteem of things the same” from moment to moment), I will remain “the same mystery to myself as ever” (Soliloquy III.i, p. 134), regardless of the truth of my metaphysical arguments.

The problem of an incoherent self arises primarily, in Shaftesbury’s view, when we define our lives in pursuit of pleasure.  Pleasure is not stable, since pleasure comes from a variety of sources and the pursuit of pleasure demands a constant search for new sources, for “when we follow pleasure merely, we are disgusted and change from one sort to another, condemning that at one time which at another we earnestly approve, and never judging equally of happiness while we follow passion and mere humor” (Soliloquy III.ii, p. 138).  What we need is a “rule of good” which can “control my fancy and fix it, if possible, on something which may hold good” (ibid).  This is what Shaftesbury finds in the “honest pleasure” of moral beauty, the honestum which is both attractive and right.

Only the “pleasure of society” is “constant” enough to ground a coherent self, enabling me to “bring my other pleasures to correspond and be friends with it” (Soliloquy III.ii, p. 139).  Thus, “when I employ my affection in friendly and social actions, I find I can sincerely enjoy myself” without risking the kind of self-dissolution which comes from pursuit of self-interested pleasures (Soliloquy III.ii, p. 138).  Shaftesbury argues the pleasure I receive from moral affection is derived via sympathy (“by communication, a receiving it, as it were, by reflection”) from your enjoyment of my actions (Inquiry II.ii.1, p. 204).  In the Inquiry Shaftesbury argues that human beings have natural affections for the good of society, and we cannot flourish as human beings unless we live in society and develop the virtues which allow us to live according to our nature.  Thus we are not fully human if we are cut off from a sympathetic relationship with a community. What Shaftesbury adds in Soliloquy is to draw out the implication that we can only construct a self-identity on the basis of sympathetic pleasure.  In this way we construct our identities out of our social interactions with others.

Thus Shaftesbury’s account of self-construction is essentially intersubjective and dialectical.  It involves at least soliloquy if not actual interpersonal dialogue.  Since it is often difficult to know what our true passions and opinions are, we need talk therapy (a “vocal looking-glass”) in the form of dialogue or soliloquy: “Our thoughts have generally such an obscure implicit language that it is the hardest thing in the world to make them speak out distinctly. For this reason, the right method is to give them voice and accent” (Soliloquy I.ii, p. 78).

Shaftesbury’s own dialogue The Moralists seems to be an example of this process since both characters in the dialogue present Shaftesburian viewpoints and help each other come to the truth (see Prince, p. 69). Indeed the assembled text of the Characteristics itself expresses this view through its literary structure.   The Moralists is explicitly a dialogue.  The treatise Soliloquy, or Advice to an Author, as its title implies, is an internal dialogue in which Shaftesbury is addressing himself.  The Miscellaneous Reflections on the Preceding Treatises and Other Critical Subjects, Shaftesbury’s self-commentary, written in the third-person, are in effect an extended soliloquy that can be read as a dialogue between Shaftesbury the literary critic and Shaftesbury the philosopher.  In this light we can see that even the (seemingly) ordinary philosophical treatise An Inquiry Concerning Virtue or Merit takes on a dialogical character.  Not only does the author of the Inquiry show up as a character in The Moralists (see II.3, p. 265), the Inquiry itself, when read in the overall context of the other more obviously dialogical works of the Characteristics and thus located amidst a series of overheard conversations, begins to read like an overheard scholastic-style philosophy lecture.

None of the individual treatises of the Characteristics is written unambiguously in Shaftesbury’s own voice. The character of “Shaftesbury,” the author of Characteristics of Men, Manners, Opinions, Times, emerges only as the harmonious unity of the other voices. In this way, the structure of Shaftesbury’s work as a whole is an embodiment of intersubjective reasoning.  The truth of Shaftesbury’s philosophy is the product of a (metaphorical) community of persons reasoning together through (simulated) interpersonal dialogue.  He is trying to achieve what he says Plato achieved in his Socratic dialogues: “they exhibited [real characters and manners] alive and set the countenances and complexions of men plainly in view. And by this means they not only taught us to know others, but, what was principal and of highest virtue in them, they taught us to know ourselves” (Soliloquy I.iii, p. 87).

5. References and Further Reading

a. Primary Texts

  • Shaftesbury, Anthony Ashley Cooper, Third Earl of. Characteristics of Men, Manners, Opinions, Times, ed. Lawrence E. Klein (Cambridge: Cambridge University Press, 1999) [Cited by treatise title, part, section, and page number.]
  • Shaftesbury, Anthony Ashley Cooper, Third Earl of. The Life, Unpublished Letters, and Philosophical Regimen of Anthony, Earl of Shaftesbury, ed. Benjamin Rand (Macmillan, 1900)
  • Shaftesbury, Anthony Ashley Cooper, Third Earl of. Second Characters or the Language of Forms, ed. Benjamin Rand (Cambridge University Press, 1914)

b. Secondary Texts

  • Secondary Texts
  • Aldridge, A.O. “Shaftesbury and the Deist Manifesto” Transactions of the American Philosophical Society, new series 41:2 (June, 1951)
  • Bernstein, John Andrew. Shaftesbury, Rousseau and Kant: An Introduction to the Conflict between Aesthetic and Moral Values in Modern Thought (Rutherford: Fairlegh Dickinson, 1980)
  • Cassirer, Ernst. The Platonic Renaissance in England, trans. James P. Pettegrove. (Austin: University of Texas Press, 1953)
  • Darwall, Stephen. The British Moralists and the Internal ‘Ought’ (Cambridge University Press, 1995)
  • Den Uyl, Douglas J. “Shaftesbury and the Modern Problem of Virtue” Social Philosophy and Policy 15:1 (Winter 1998)
  • Gill, Michael. The British Moralists on Human Nature and the Birth of Secular Ethics (Cambridge, 2006)
  • Grean, Stanley. Shaftesbury’s Philosophy of Religion and Ethics (Ohio University Press, 1967)
  • Klein, Lawrence E. Shaftesbury and the Culture of Politeness: Moral Discourse and Cultural Politics in Early Eighteenth-Century England (Cambridge: Cambridge University Press, 1994)
  • Lawrence E. Klein, ‘Cooper, Anthony Ashley, third earl of Shaftesbury (1671–1713)’, Oxford Dictionary of National Biography, Oxford University Press, 2004; online edn, Jan 2008, http://www.oxforddnb.com/view/article/6209
  • Prince, Michael. Philosophical Dialogue in the British Enlightenment (Cambridge, 1996)
  • Raphael, D.D. The Moral Sense (Oxford University Press, 1947)
  • Rivers, Isabel. Reason, Grace, and Sentiment: A Study of the Language of Religion and Ethics in England, 1660-1780, Vol. II: Shaftesbury to Hume. (Cambridge University Press, 2000)
  • Schneewind, J.B. The Invention of Autonomy (Cambridge, 1998)
  • Voitle, Robert. The Third Earl of Shaftesbury, 1671-1713 (Louisiana State University Press, 1984)
  • Winkler, Kenneth P. “‘All is Revolution in Us’: Personal Identity in Shaftesbury and Hume” Hume Studies 26:1 (April, 2000)

Author Information

John McAteer
Email: jmcateer@hbu.edu
Houston Baptist University
U. S. A.

Personalism

Personalism is any philosophy that considers personality the supreme value and the key to the measuring of reality. Its American form took root in the late nineteenth century, flowered in the twentieth century, and continues its life in the twenty-first century. Yet, those roots can be traced to Europe and back through Western philosophy to the Mediterranean basin. However, Personalism did not originate exclusively in America, Europe, the Mediterranean basin, or in the West. Personalism thrived in India through the six orthodox schools of Indian philosophy scattered along the Indus River Valley of the Indian subcontinent, and developed parallel to Personalism in the West.

Personalists claim that the person is the key in the search for self-knowledge, for correct insight into reality, and for the place of persons in it. Other than giving centrality to the person, Personalism has no other set of principles or unified doctrine. Although many prominent personalists have been theists, this doctrine is not a requirement.  There is also not a common set of methods or definitions, including the definition of person. Respecting that caution, personalists defend the primacy and importance of persons against any attempt to reduce persons either to the Impersonalism of an infrastructure, such as scientific naturalism, or suprastructure, such as metaphysical absolutism. Personalists focus on the concerns of persons living in a personal world. Between the Scylla and Charybdis of either type of Impersonalism, personalists trace the origin of the concept of person and the development of metaphysical personalism from the ancient world to its flowering in Europe and America. Open to the richness of their philosophical tradition, personalists trace their origin and development both on the Indian subcontinent and in the West.

Table of Contents

  1. South and East Asian Personalism
    1. India
    2. China and Japan
  2. Historical Roots of Personalism in the Mediterranean Basin
  3. European Development and Flowering
  4. North American Personalism
    1. Branches of Personalism
    2. Major figures
      1. Harvard University
      2. Boston University
      3. California
    3. African Personalism
    4. American Indian Personalism
  5. Latin American Personalism
  6. Current Trends
  7. References and Further Reading

1. South and East Asian Personalism

a. India

The religious practice and thought spawned by the Vedic (from Veda, “knowledge,” “wisdom”) texts from at least 1500 BCE, form the back drop of Personalism. The term “Hindu” is derived from the river Sindhu (the Indus) where various schools of practice and thought had formed.

Broadly conceived, Personalism in India originates within the main goal of Hindu philosophical inquiry, which is the freedom from misery. Each system of Hindu philosophy seeks to help persons to that end by giving them insight into the nature of ultimate reality and their place in it. These systems advocate self-knowledge, atmavidya, without which the desired freedom is impossible. The nature and destiny of individual persons is the common theme of the six orthodox Hindu philosophical systems: Nyaya, Vaisesika, Sankhya, Yoga, Purva-mimamsa, and Vedanta. The Vaisesika school is frequently lumped together with the Nyaya (“Logic”) school, and Yoga is classically grouped with Sankhya. Each system promises self-knowledge, atmavidya that bonds the systems into a single philosophical tradition.

Seeking freedom from misery through self-knowledge, Hindu personalist schools of thought center on four questions. What is the self? How is it related to the material world? What is the relation of the self to ultimate reality? And, what is the path from pain and misery to liberation?

First, according to each orthodox school, persons are marked by various characteristics, including a permanent and eternal soul (atman) that exists behind the veil of empirical consciousness, and that possesses a physical body (jiva) that exists as part of a changing material world. While it is agreed that the Atman is eternal, unchanging, independent essence, the six orthodox schools differ whether the transcendent I is conscious or unconscious, active or passive. Each school also recognizes that by being connected to the material world persons possess other characteristics, including agency, will, thought, desire, free will, intention, and identity.

Second, personalists focus on the indissoluble reality of the individual soul and on its relation to the empirical consciousness. That soul, the basic reality in humans and all living things, is a transcendent “I,” (atman) and is veiled by a person’s empirical consciousness. It cannot be the object of experience. The empirical consciousness, the experience of objects sensed or being sensed, comes to be interpreted as alien, attributive, essential, adventitious, permanent, or temporary. Schools differ on how to correlate the transcendent “I” and the empirical consciousness. Hindu Personalism views the empirical consciousness as either attributive or alien, monist or dualist.

At one extreme, Sankhya, the oldest school, interprets the dualism of the transcendent “I” and the empirical consciousness as a dualism of spiritual consciousness (purusa) and material nature (prakrti). Purusa is sentient and passive; prakrti is insentient and active. As sentient, purusa experiences products of prakrti and desires emancipation. As passive, purusa can be understood as unaffected and secluded. In Samkhya, the material world is not an illusion; it is real and stands over against the spiritual person. This dualism is motivated by final beatitude. However, achieving it requires, in theistic versions of Sankhya, moral support, compassionate companionship and guidance from a Supreme Being who possesses perfect knowledge and is capable of perfect action.  The Yoga thinker Pantanjali (ca. 300 CE) introduced God into atheistic Samkhyan dualism to satisfy the moral demand of the spiritual aspirant. With that addition, the Samkhyan school becomes a theistic Personalism.

At the other extreme, monism is represented as Advaita Vedanta (non-dualistic Vedanta). Sankara (c. 788-820), the leading expounder of Vedanta (literally, “the end of the Veda”) philosophy, states its principle insight that the self is One with Ultimate Reality (Brahman).  Thus, the transcendent I includes the empirical many and the Divine One.  The triune of Divine One (Brahman), the transcendent I (atman), and the empirical many is a grand unity. Sankara was the most influential Vedanta thinker who espoused the monistic framework as defined in the Upanishadstat vam asi )”Thou art that” or (“Atman is Brahman”).

Self-knowledge is necessary for the soul to enter beatitude, to be one with Brahman. During a person’s life cycle, the caste system prescribed in the Vedas, eliminated the possibility of social movement, from lower to higher caste. Self-knowledge focused on one’s place in the caste system and its accompanying duties. The soul through its life cycle within a caste system sought virtue, allowing reincarnation in a higher caste. In this way, the virtuous soul achieves release from pain and suffering to Nirvana.

Within the unorthodox systems, such as Ajivikas (fatalists) Charvakas (materialists), Jains (who accept the existence of eternal selves but reject the existence of a supreme God) and Buddhism, Personalism does not develop. Ajivikas adopted materialism on the ground that sense-perception was the only valid means of knowledge. The Ajivika materialists questioned the validity of theological and metaphysical theories that do not come within the ambit of sense-experience. This explains why they rejected the religious version of atmavada, the belief in a metaphysical self.

Buddhism was founded by Siddhārtha Gautama (c. 563 BCE to 483 BCE), rejected the doctrines of atman or purusa and accepted instead a causal account (paticcasumuppada) of the human personalituy. The person, for Siddhartha, is a causally connected bundle of psychophysical aggregates (namarupa). Kasulis says, “According to Buddhism, therefore, I am not a self-existent being who chooses with what or how I wish to relate to external circumstances.” (Kasulis, 62-63) A Buddhist Personalism, the Pudgalavada arose two centuries after the lifetime of Siddhartha. Smet says, “The pudgalavadins thought that behind the aggregates or groups (skandha) of mental and physical conditions observed by introspection, there must a substrate. Had not the Budda, in a well-known passage, spoken of the ‘bearer of the burden’ – an expression seeming to indicate some sort of ego underlying the aggregates? At the same time the pudgala could by no means be identified with the Atman, because it was merely an integrating function demanded by the aggregates and expressed by them.” (De Smet. 38) Its teaching came too close to the heresy of the eternalism of the Atman and soon died out.

b. China and Japan

Regarding China and Japan, in neither country’s faiths are persons understood as an eternal essence. The Chinese, deeply influenced by Confucianism (551-479 BCE), believed that humans elevated themselves to a position through examinations and service. The Japanese, deeply influenced by Buddhism, understood persons in terms of their relationships with other humans, nature, and the totality of things. They held to a hierarchical dyadic view of persons.

Parallel to the origin and formation of Personalism in India, China, and Japan, Personalism in the West began in the Mediterranean basin, and through Christianity it spread north to the Atlantic Rim, northern Europe and the British Isles, and America.

2. Historical Roots of Personalism in the Mediterranean Basin

Personalists trace the origin of the ontological nature of persons and their supreme importance as key to understanding of Reality to the confluence of Greco-Roman philosophy and Christian experience and theology. Both made significant contributions to the formation of the concept of person.

In its early uses, the individual person had no ontological import. Person is first found in Greek and Roman culture. Its roots lie in the Greek word prosopon that refers to the face consisting of that around and near the eyes (pros + accusative of ops). Soon it designated the masks or faces used in the Greek theatre. Its Latin cognate is persona, probably of Etruscan derivation, phersu.   Persona referred to a mask functioning as loudspeaker (persono, per, “through” + sona, “resound,”  “resound thoroughly”). The mask was worn by actors on stage aiding them by “sounding through” to be heard by an audience. In the Roman theatre persona meant a character and role in tragedy or comedy. In Roman society, the personae of individuals gain their identity, status, and responsibilities from their roles in a hierarchical, honor-shame society. For example, persona came to be used in reference to the king as king, implying a difference between the important social man and the relatively unimportant singular empirical man. By the end of the second century CE persona became a judicial term referring to a Roman citizen as possessor of legal rights, in contrast to a slave who possesses no legal rights, a non-persona

Meanwhile, as Pythagorean, Platonic and Aristotelian philosophical influences continued, individual persons had little philosophical importance. Plato distinguishes between the individual and the universal, and thereby understands the individual through the universal. The individual Socrates participates in the universal, “human being.” To understand the particular “Socrates,” first know the universal, then one can understand and account for the particular. Pythagoras and Plato used the term soma, body, and played on the similarity between soma and sema, body and tomb. Aristotle, against Plato, calls the individual primary substance and the universal conceptual. First substance is that which stands under (hypostasis) a general term referring to whatever stands under something else. But prosopon gained no ontological meaning through that understanding of substance.

Later, persona took on scant ontological meaning among the Stoics and the Neoplatonists. Stoics thought that God forms an ordered universe, a stage on which each human being as rational plays an assigned part. Each prosopon or persona is not only a social role but also the essence of a human being as constituted by God.  Possessing no ontological significance in and of themselves, persons are microcosms of the Macrocosm.

In the eastern Mediterranean among the Jews, the Hebrew word, nephesh is sometimes translated as “person.” However, in ancient Hebrew life and culture no word analogous to prosopon or persona appears. Nephesh is more often translated as soul, life, creature, or self. Nephesh can refer to the animating principle of a physical entity or the existential quality or state of life. Usually referring to a human being as a unified entity, no distinction is made between immaterial and material aspects. Nephesh as a whole is created by God; nephesh is not an attribute of a substance. The form/matter and substance attribute distinctions are foreign to ancient Hebrew thinking. However, beginning with Alexander the Great in the 4th century BCE and continuing through the Roman period, the Eastern Mediterranean was Hellenized. New Testament writers, St. Paul for example, would have known nephesh, prosopon, and persona, likely aware of semantic tensions that later found their way in theological debates within the Christian church.

The different Greek and Hebrew-Christian understandings of person moved into focus in the 4th and 5th centuries CE as the Christian church attempted to work out a satisfactory understanding of the Trinity and the individual personhood of Jesus the Christ. The details of the controversies that arose are beyond the limits here. However, central to the controversy was the understanding of the individual person. During the time of Origen (185-254 CE) under the influence of Plotinus (204-269 CE), personae lacked ontological content. Is an individual person an attribute of being; or is an individual person being who, having been created by the free and independent God and who bears God’s image, is free and dependent? If the former, the Greek metaphysical word, ousia, expresses the Trinity, as in una substantia (God) and tres personae, where Father, Son, and the Holy Spirit are understood as three independent Gods. If the latter, person is not an attribute of ousia, but upostasis. Earlier both ousia and upostasis meant substance. Eventually, they were used separately, ousia referring to substance and upostasis referring to individual person. This means that persona is no longer a kind of mask worn by an ontological substrate, ousia. The Greek Fathers, particularly the Cappadocians, led by Gregory of Nazianus (c. 329 – 389 or 390) understood that individual persons are ontologically ultimate, the central thesis of Personalism. However, an understanding of the interior life of persons lay beyond their metaphysical interests.

The analysis of the interior life of persons fell to Augustine (354 – 430) who continued the substance view by defining  person as “a rational soul using a mortal and earthly body,” (substantia quaedam rationis particeps, regendo corpora accomodata). Nevertheless, a person is one; “a soul in possession of a body does not constitute two persons but one man.” His contribution to Personalism lies elsewhere. His investigation of the inner experience of persons set a new course in philosophy that would not be developed until the modern period. In doing so he developed a key insight of Personalism, an understanding of reality as Person through an understanding of the interior life of persons. He wrote that knowledge of God moves “from the exterior to the interior and from the inferior to the superior.” Further, he argues that in persons, free will is superior to rationality. Yet Augustine continued the metaphysical principle that the higher can affect the lower, but the lower cannot affect the higher.

In the late Roman era or early Middle Ages, the Roman Catholic Church adopted Boethius’ (ca. 480–524 or 525) definition of person, as the Naturæ rationalis individua substantia (an individual substance of a rational nature). In the meantime, the Greek Orthodox Church continued the doctrines of the Cappadocians, particularly Gregory of Nazianus. Though medieval philosophers, such as Thomas Aquinas modified the definition and some such as Scotus and William of Occam were critical, the substance view of person became firmly entrenched in Western philosophy. During the modern period and the nineteenth and twentieth century personalists continued to debate the substance view of persons.

3. European Development and Flowering

As the grand systems of Christendom in the high Middle Ages cracked under the weight of heavy criticisms from Scotus, Occam, Montaigne, and the new science, a new vision arose in the Renaissance, the emerging self. Though the substance view of persons continued, aided by its institutionalization in the Western church, it was soon challenged. Under Pico della Mirandola, Luther, Descartes, and Locke, Augustine’s careful descriptions and insights into the interior life of persons contributed to emerging selves.

Influenced of pyrrhonistic skepticism, Descartes (1596 – 1650) searched for a new foundation for society, culture, and knowledge, one that measures up to the ideal of certainty as in mathematics. He argues that we can know for certain that we exist and that we can doubt every other knowledge claim, including those of the external world. In this way, inspired by new scientific investigations, he raises problems, particularly the mind-body problem. Rather than the view that God created ex nihilo substances with a rational nature, or persons are substances using a body, Descartes contends that God created two substances, res cogitans and res extensa, mind and body. Central to his view of mind is freedom of the will and rationality.  In freedom of the will we find a characteristic of God that is exactly the same as we find in ourselves. God’s reason is so far beyond our finite minds that we cannot with confidence claim that God is rationality. Descartes’ discussion of the interior life of persons in the early 17th century CE continues Augustine’s insights in the late 4th century CE.  However, Descartes’ dualism of two kinds of created substances significantly differs from Boethius’ view that a person is an individual substance with a rational nature. Though modified, the substance of persons persisted.

The dichotomy of thought (res cogitans) and extension (res extensa) raises formidable problems regarding the relation between them, encouraging some philosophers to emphasize one or the other. For example, Hobbes’(1588 – 1679) materialism on the side of extended things, and Berkeley’s (1685-1753 CE) spiritualism on the side of thinking things. Hobbes’ view is a good example of appealing to impersonal principles to account for persons, a view personalists uniformly reject as a form of Impersonalism. Berkeley’s view moves Personalism into modern Idealism (mentalism), in contrast to classical Idealism (Ideaism) such as Plato’s, and against the Impersonalism of materialism. Under the influence of Locke and against any form of materialism, Berkeley took what he believed a common sense approach. Holding to a substance view of person, he claimed that “to be is to be perceived or perceive,” esse est percipi aut percipere. The key lies in the word “exist.” Descartes had said that things exist either as thought or extension. However, thought Berkeley, whenever we use the word “exist” we must assume that the mind is involved perceiving something. And, when we or no other person perceives an object, that object exists due to its being perceived by a cosmic mind, God. The “absolute existence of unthinking things [matter] are words without meaning.” Neither do eternal ideas, Plato’s forms, exist apart from perceiving minds. They are abstractions only.

Descartes’ position helped create a modern version of the One and Many problem, first spawned by the Pre-Socratics. Descartes held that God can be grasped through ideas in the mind. Spinoza (1632 –1677) responded that God as substance is not dependent on any other than itself. If God could be grasped through a dependent substance, such as thought, God would be dependent on something other than God’s self for God’s existence. Here, two fundamental characteristics of Personalism were threatened, the rational relation of finite persons to God, and persons as free. Since knowledge of the Cosmic Person through a finite person challenges God as Substance, the relation of the Cosmic Person to finite person becomes problematic. Furthermore, persons as free can be held only so long as Cosmic Person and finite persons are in some way independent. Spinoza claimed that substance can be known only through itself, implying that persons are modifications of being, that they are not distinct as required for individual freedom.

In reaction to Descartes’ dualism and Spinoza’s monism, Leibniz’s (1646 –1716) doctrine of monads offers a pluralism. Both Descartes and Spinoza assumed that extension implies actual size and shape. Leibniz wondered why we cannot assume that all things are compounds or aggregates of simple substances. These substances are not the extended atoms of Democritus or Epicurus. Each simple substance is a monad that is unextended and has no size or shape. Each is a metaphysical point that Leibniz calls souls to emphasize their nonmaterial nature. And, each possesses its own principle of action within itself and behaves according its own created purpose, yet they work together according to God’s preestablished harmony. A person’s identity centers on a dominant monad, his soul, whose life is an “unfolding,” set from the beginning. Since the basic nature of persons is thought, development through life means moving from murky confused ideas to true ones, the way things really are. In this way, Leibniz was the first philosopher to reject the substance of persons and to adopt an agency view, even if deterministic. Some philosophers, such as Leroy E. Leomker (1770-1830), consider Leibniz the first modern personalist, where persons are agents, not substances with an attribute.

Immanuel Kant (1724-1804) and Hegel (1770-1830) exerted major influences on the formation and development of Personalism in the West.  Kant’s distinction between the phenomenal and noumenal world reinforced Berkeley’s view of “material” substance and emphasized that the only path to reality is through the practical reason of persons. With his claim that compliance with moral law is the essence of human dignity and personhood, Kant exerted the single most influence on ethical personalists. That influence was transmitted into American philosophy largely through the work of Hermann Lotze (1817-1881).

Within that background, the modern Personalist vision was first stated in the context of a philosophical issue lying at the core of 18th and 19th century German philosophy. The issue was raised in the debate between the followers of Spinoza and those of Leibniz. For Spinozists, Being is one and independent. If Being were more than one, it would not be independent; and, if Being is independent it cannot be many. For Leibnizians, reality is a pluralism of monads. The debate between the two systems sharpened to the debate between monism and pluralism. The problem of the One and the Many resurfaced. How can they be reconciled? What philosophical view can do so? At least two alternatives surfaced at the end of the 18th century and the beginning of the 19th.

The first alternative was Hegel’s. According to a recent interpreter, he sought a “‘unification philosophy’ – the need to unify not only life’s various and conflicting powers, but especially the opposing human craving – for individuality and finitude, on the one hand, and for the absolute and the infinite, on the other.” (Hegel, 48) Hegel sought it by brilliantly blending the organic growth of an Aristotle and the Absolutism of a Spinoza into a dynamic monistic system marked by idealism, pantheism, and rationalism.

In reaction to the rationalism of Absolute Idealism and to individual realism, a poet and philosopher and older contemporary of Hegel, Friedrich Heinrich Jacobi (1743-1819) offered the second alternative, Personalism. He thought that Personalism is “‘that form of idealism which gives equal recognition to both the pluralistic and monistic aspects of experience and which finds in the conscious unity, identity, and free activity of personality the key to the nature of reality and the solution of the ultimate problems of philosophy.’” (Bengtsson, 53) The insight of Jacobi continued in Schelling, in the Speculative theists (Immanuel Hermann Fichte, Weisse, Ulrici), to Hermann Lotze, the preeminent philosopher in mid-19th century Germany. It was primarily through Lotze that Personalism arrived in Boston. When Personalism arrives in Boston the distinctive modern characteristics of persons are in place: numerically distinct; individual interiority; freedom of choice among genuine options; autonomy; dignity; and agency. As Personalism makes its way to Boston and the West Coast, Personalism on the European continent and in England responds to German Idealism, specifically to Hegel.

In the debate between monism and pluralism, the traditional problem of the One and the Many resurfaces. But more, metaphysical monism and pluralism lie beneath many modern philosophies that Personalism rejects as impersonal, dehumanizing. Absolute idealism leaves little room for free will and self-determination and cannot be reconciled with the worth of the singular person. Totalitarianisms see persons as means to an end that exist for the interests of the state. Personalists respond insisting on self-determination, responsibility, inherent dignity of all persons. Individualism champions the autonomous self as its own law giver, making all other persons a means to one’s own ends. Personalism contends persons are communal, open to, cooperating with, and respecting the viewpoints of others. Personalism also rejects any reduction of persons to impersonal, deterministic laws, whether those of society, for example Auguste Comte (1798-1857), or of nature, Darwinism evolution. Personalists challenge Comtean philosophical positivism and Naturalism whether that of Darwinism or Samuel Alexander (1859-1938) by appealing to the dignity of individual persons, their free will, and values.

On the European continent, responses to Hegel led to the development of three schools: Paris, Gottingen/Freiburg, and Lublin. In Paris and under the influence of Existentialism, Mounier (1905-1950), Marcel (1889-1973), Paul Ricoeur (1913-2005), and Jacques Maritain (1882-1973) developed distinctive types of Personalism. In Gottingen and Feiburg Phenomenology developed under Husserl (1859-1938) who addressed the question of the relation of objective reality and philosophical reflection.  Later he returned to Idealism, precipitating a break with his former students, who, when on their own, made significant contributions to Personalism. These included Max Scheler (1874 – 1928), Dietrich von Hildebrand (1889-1977), Roman Ingarden (1893-1970), and Edith Stein (1891-1942). In Poland, the Catholic University of Lublin is a center of personalist thought whose foremost representative is Karol Wojtyla (1920-2005).  Personalism also developed in Prague at Charles University and under the leadership of Jan Patočka (1907 – 1977), one of Husserl’s last students. In Spain José Ortega y Gasset (1883 – 1955) espoused personalist themes. In Italy, Antonio Pavan of University of Padua ably represents Personalism. Personalism also has its adherents in Scandanavia, such as Jan Olof Bengtsson in Sweden. In Scotland the most notable 19th century personalist was Seth Andrew Pringle-Pattison (1856 – 1931), whose thought influenced William James (1842-1910), George Santayana (1863-1952), and George Herbert Mead (1863-1931). In England, Austin Farrer (1904-1968) argued for a personalist theism. John MacMurray (1891 – 1976) was the most notable Scottish Personalist in the first half of the 20th century. In Russia we find a version of Personalism in Berdyaev’s (1874-1948) thought.

4. North American Personalism

Before the mid-19th century few in North America discussed the thought of German philosophers such as Kant, Johann Gottlieb Fichte (1762-1814), Schelling (1775-1854), Hegel, and Lotze. As demands of academic life increased, young American philosophers completed their philosophical preparation with a year or two of study in Germany. When they returned, no longer fully embracing the old Scottish orthodoxy, their thinking was framed by the Spinoza-Leibniz debate, sometimes understood by theologians and many philosophers as the pantheism-individual freedom debate, and by reductions of persons to deterministic laws of society and nature. Deliberating within that framework, they thoroughly discussed the Personalism they learned while studying with Hermann Lotze at Gottingen. Among that group were George Santayana (who wrote his doctoral dissertation at Harvard University on Lotze), William James (1863-1952), Josiah Royce (1855-1916), and Borden Parker Bowne (1847-1910). That conversation grew into what Werkmeister in the mid-20th century calls the “first complete and comprehensive system of philosophy developed in America which has had lasting influence and which still counts some of our outstanding thinkers among its adherents.” (Werkmeister, 103.)

a. Branches of Personalism

Those historical roots found their way into American philosophy and formed at least four distinctive branches of Personalism. These four branches are idealistic (against threat of naturalism and realism), realistic (against reducing all to mind or person), organismic (against idealism, personalistic realism), and ethical (against collectivism and reduction of personality to mechanism and the body-brain).

Idealistic Personalism – The most distinctive type of Personalism in America, excluding Platonism or Kantianism, this idealism is expressed in three different forms: absolutistic, panpsychistic, and personalistic. Influenced by Jamesian pragmatism, Absolutistic idealists contend that reality is quantitatively and qualitatively one absolute mind, spirit, or person. All other beings, including physical and human ones, are ontologically manifestations of the absolute mind. Josiah Royce, William Ernest Hocking (1873-1966), and Mary Whiton Calkins (1863-1929) represented this view. Panpsychists are deeply influenced by Leibniz, who held that God, the supreme monad, creates all other monads and places them in a preestablished harmony. Rejecting absolute idealism, they hold that reality is composed of psychic entities of varying degrees of consciousness. Both A. N. Whitehead (1861-1947) and Charles Hartshorne (1897-2000) can be called, with qualification, panpsychists. Finally, for personalistic idealists, quantitatively, reality is pluralistic, a society of persons; and qualitatively, reality is monistic; it is person. The Infinite Person or God is the ground of all beings and the creator and sustainer of finite persons. In that sense, personalistic idealists are theistic. Representatives of this branch of Personalism include Borden Parker Bowne, Edgar Sheffield Brightman (1884-1953), Peter A. Bertocci (1910-1989), and Leroy Loemker (1900-1985).

Realistic Personalism – These personalists agree with idealistic personalists that Reality is spiritual, mental, and personal. They disagree about the ontological status of the natural order. Nature is neither intrinsically mental nor personal. It is a natural order created by God.  Realistic personalism is most notably expressed by Neo-Scholastics in Europe such as Jacques Maritain (1882-1973), Emmanuel Mounier (1905-1950), and Pope John Paul II (1920-2005), and in America W. Norris Clarke (1915- 2008) and John F. Crosby (1944 -). In America some realistic personalists stand outside the scholastic tradition, notably Georgia Harkness (1891-1974).

Personalistic Organicism – A recent form of Personalism was developed by Frederick Ferre (1933-2013). Rejecting panpsychism and personalistic idealism and influenced by Whitehead’s philosophy of organism, Ferre argues for a personalistic organicism. He claims in Living and Values that persons are “organisms with especially well-developed mental capacities leading to special needs and powers.” (Ferre, Living, 140) By these powers they can “perceive and manipulate the world, can vocalize and socialize, can create language, can imagine and plan by use of symbols freed from the immediate environment, and can guide behavior by ideal norms.” (Ferre, Living, 140)

Ethical Personalism – These personalists stress the crucial role of values in ontology and the moral life. Ethical Personalism is well represented by George Holmes Howison (1834-1916) who focuses on the Ideal or God toward which all uncreated persons move and the standard by which they measure the degree of their individual self-definition. Practically, ethical personalists concentrate on the dignity and value of persons in moral decision making.

b. Major figures

i. Harvard University

Josiah Royce’s thought was motivated by a religious view of life and reality, with an emphasis on the self and community. He sought to realize his philosophical goals through a synthesis of two traditions: the rationalistic system building of philosophers in the West, and the pragmatic emphasis on experience and practice, distinctive of American philosophical activity since the late nineteenth century. Royce also had a long and abiding interest in science and scientific inquiry and was deeply influenced by Charles Sanders Peirce (1839-1914). He wove these strands during his long and productive career.

At the root of Royce’s system is a concept of the self. Early in his career, the Absolute appears as the Self who knows all in one synoptic vision. Rejecting realism, mysticism, and critical rationalism, his central thesis is that to be real is to be a determinate, individual fulfillment of a purpose. Later he focused more on mediation and the idea of system. Toward the end of his career, the self appears as social. He developed a social theory of reality, a community of interpretation. He called this community “the Beloved Community” whose goal was to possess the truth in its totality.

William James, a leading pragmatist, shared with personalists a key insight. James said, “The more perfect and more eternal aspect of the universe is represented in our religions as having personal form. The universe is no longer a mere It to us, but a Thou, if we are religious; and any relation that may be possible from person to person might be possible here.” (William James, 27-28)

Mary Whiton Calkins, a student of Josiah Royce and William James at Harvard, taught psychology, classics, and philosophy at Smith College. Influenced by Royce and James, she adopted a monistic personal idealism and a personalistic psychology. In 1905, Calkins was elected president of the American Psychological Association and in 1918, she was elected president of the American Philosophical Association.

William Ernest Hocking believed the universe is independent of human minds but is discoverable through phenomenology. Sometimes thought of as the American Husserl, he studied for three months with Husserl at Gottingen. Scolded by the Harvard Philosophy Department for wasting his time with an unknown philosopher, he went to Berlin to complete his year abroad.  Yet, Husserl’s phenomenology made a deep impression on Hocking. Through careful phenomenological analysis, Hocking unpacked everyday phenomena and found that “nature can no longer be fully understood from the atoms upward but only from consciousness or selfhood outwardly.” (Howie, “Hocking’s ‘Transfigured Naturalism,’” 219)  Philosophy must be idealistic. Further, values keep emerging as we learn more about the world and ourselves. The mental life has unity, is deep and mysterious, and finally coheres in a single will. The finite person is an imperfect image of the universe. Influenced by personal idealism and Royce’s absolute idealism, the final unity is a self infinite in depth and mystery. The self or person is also a natural thing that is completely determined. More than a natural thing, the self is free to determine what will be fact in the next moment. Though nature and mind are in opposition to each other, one subject to the laws of nature, the other transcending them, through the ceremonies of religion that opposition is overcome.

ii. Boston University

Borden Parker Bowne claimed to be the first personalist in any thoroughgoing sense, having developed a systematic metaphysics, epistemology, ethics, and psychology. He taught at Boston University from 1876 until his death in 1910. Metaphysically Bowne was a pluralistic idealist like Howison. But his theism distinguishes his Personalism from Howison’s. God, the Divine Person, is both creator and world ground. Finite selves are created, and nature is the energizing of the Cosmic Mind. As world ground, the Divine Mind is the “self-directing intelligent agency” that accounts for the order and continuity of the phenomenal world.

Bowne was not only a systematic philosopher but also a caustic critic of Hegel’s absolutism, Spencer’s evolutionism, and all forms of materialism. These criticisms were expressed in his famous chapter in Personalism, “The Failure of Impersonalism.” In addition, any form of dogmatism or fundamentalism was the target of his searing attacks, especially when held by religious leaders in the Methodist Church.

Bowne’s teaching at Boston University attracted many young talented philosophers, some of whom formed the second generation of personalists in America. The most important among them were Albert Knudson (1873-1953), who continued the personalist tradition in the Divinity School of Boston University; Ralph Tyler Flewelling (1871-1960), who developed the School of Philosophy at the University of Southern California; and Edgar Sheffield Brightman, who led the Philosophy Department at Boston University from 1919 until his death in 1953.

Brightman (1884-1953) was the leading exponent in America of Personalist Idealism during the first half of the 20th century CE. Educated at Brown, Brightman earned his doctorate in Philosophy at Boston University under the founder of Personalism in America, Borden Parker Bowne.

Though an ordained Methodist minister and an authority on the Old Testament, for most of his scholarly life his central interests lay in the fields of Ethics, Philosophy of Religion, and Metaphysics.

A creative, brilliant, original philosopher, Brightman, in agreement with other Boston University personalists, sought truth to guide creative living in the most empirically coherent interpretation of experience. Rejecting the skepticism of Descartes, beginning the search for truth within experience, and advancing and testing hypotheses, Brightman developed the distinction between the shining present and the illuminating absent. Pointing beyond itself, the shining present is unintelligible without reference to an illuminating absent. Though the shining present does not prejudice the nature of the illuminating absent, Person is the hypothesis that most coherently illumines the shining present.

Brightman contended that everything that exists [or subsists] is in, of, or for a mind on some level. He defined Personalism as the hypothesis that all being is either a personal experience (a complex unity of consciousness) or some phase or aspect of one or more such experience. Nature is an order generated by the mind of Cosmic Person. Finite persons are created and grounded by the uncreated God, and as such possess free will. Reality is a society of persons.

Brightman’s most impressive work is his Moral Laws, in which he works out, along lines heavily indebted to Hegel, a thoroughgoing ethical theory. In ethics Brightman adopted perfectionism that moved from the abstract universal to the concrete universal. In its moral development, personality should be guided by moral laws, a kind of “regulatory system.” Understood dialectically, “the moral life is a special instance of the relation of the universal to the particular,” wherein the personality can achieve both the best possible and rational freedom. (Deats and Robb, 111) In this way, personality under the guidance of reason, seeks to become the best it can be, a fully integrated personality.

Central to his philosophy of religion is his well-known revision of the traditional view of God. If personality is the basic explanatory model, God must be seen as temporal. As temporal, God is not timeless but omnitemporal. Brightman agrees with the traditional view of God as infinite in goodness, but he disagrees that God is infinite in power. To maintain that God’s power is infinite seriously compromises the goodness of God. If evil is to be taken seriously, the will of God must be understood as limited by the nonrational Given within God’s nature. This nonrational condition in God is neither created nor approved by God, but God maintains constant and growing control of it. This controversial view was debated within personalist circles. For example, L. Harold DeWolf (1905-1906) followed Bowne’s traditional theism rather than Brightman’s, and Peter A. Bertocci (1910-1989) found in Brightman’s revisions a cogent and intelligible theism.

Bertocci, following Brightman as the leading personalist at Boston University, enriched the understanding of person through his work in psychology. Bertocci claims in “Why Personalistic Idealism?” that the person “is a self-identifying, being-becoming agent who maturing and learning as he interacts with the environment, develops a more or less systematic, learned unity of expression and adaptation that we may call his personality.” Bertocci is well known for his view that the essence of person is time. He is best known in the field of philosophy of religion for his wider teleological argument that provided increased evidence for God’s existence.

iii. California

Personalism simultaneously developed in Boston and California. One of the first American philosophers to employ the term Personalism was Howison at the University of California. After graduating from Harvard and early in his career, he was one of the St. Louis Hegelians. A thorough discussion of Hegel, however, led Howison to champion the finite individual and reject the absorption of the individual in the Absolute. In this way, Howison opposes Royce’s absolutism.

Howison succinctly stated his position, quoted by Buckman and Stratton in George Holmes Howison, “All existence is either (1) the existence of minds, or (2) the existence of the items and order of their experience; all the existences known as ‘material’ consisting in certain of these experiences, with an order organized by the self-active forms of consciousness that in their unity constitute the substantial being of a mind, in distinction from its phenomenal life.” Devoted to empiricism, Howison rejected creation. “These many minds . . . have no origin at all – no source in time whatever. There is nothing at all, prior to them, out of which their being arises. . . . They simply are, and together constitute the eternal order.” Collectively they move toward their own fulfillment as measured by the eternal standard to God.

Later at the Univesity of Southern California, Ralph Tyler Flewelling, a student of Bowne’s Personalism, taught Boston University Personalism as enriched into Democratic Personalism. He defined person as “A self-conscious unique unity capable of reflection upon its conscious states, of self-direction and transcending time. The self-identifying subject of experience, possessor of intrinsic values and creative powers. A continuum in a time-space world.” (quoted in Gacka, “American Personalism,” 160; also see R. T. Flewelling, The Person; or The Significance of Man,” 332). Emphasizing personal freedom, dignity, human potential, creativity, intrinsic moral worth, and community, Flewelling promoted Personalistic Democracy. He said, “The only abiding basis for democracy is respect for the sanctity of the person.” This includes respect for those “possibilities which reside in varying degree in every person. . . This means that personality is recognized as an intrinsic value, the most precious possession of society and the greatest source of social ‘advance and welfare.’” (Gacka, 161)

c. African Personalism

African personalists focus on total liberation and empowerment of African Americans, releasing them from oppression, and on the dignity and self-worth, especially lacking among young African American males. The conception of persons and God and the primacy of person are two appealing features of Personalism. Among American African personalists, the best known was Martin Luther King (1929-1968). King translated Personalism into social action by applying it to racism, economic exploitation, and militarism. Following closely its major themes, he emphasized the existence of a personal God, the dignity and sacredness of persons, the existence of an objective moral order and corresponding moral laws, freedom, and moral agency. ” (Burrows, Personalism, 77-78) However, the precedent for King’s social Personalism was set by John Wesley Edward Bowen (1855-1923), a student of Bowne’s, whom Burrows cites in Personalism as the “first African American academic personalist.” Rufus Burrow, Jr. (1951-) argues for a militant Personalism that considers the African American experience. Holding firmly to central personalist themes, he argues in Personalism for the sanctity of the body, the dignity of women, “we-centeredness plus I-centeredness,” preference for the poor and oppressed, immediate and radical social change, and respect for non-human life forms.

Earlier, John Wesley Edward Bowen (1855-1933) became the first African American to earn a Ph.D. degree at Boston University. Devoted to the centrality of person, Bowen argued that the importance of higher education for blacks lay in developing persons into men and women who would occupy important positions in society. Bowen also argued that progress must be intentional and accepted as slow, that social problems must be solved individualistically, and for a “concrete, not abstract ‘brotherhood’ of all persons.” (Burrows, Personalism, 80)

Recently, J. Deotis Roberts (1927-  ), a student of the British personalist Herbert H. Farmer and a black liberation theologian, emphasized that the conscious person is both “the highest intrinsic value and is personal, emphasis on freedom and self-determination, and focus on persons-in-community.” (Burrows, Personalism, 80). His thought can be organized around four personalist principles: the dignity of the whole person, God as personal, freedom and moral agency, and persons-in-community. Blacks are not subhuman, as they have often been treated; they possess intrinsic worth as whole persons and not as minds and bodies. The God of the Bible is personal and loves each of the creatures. Though God is responsible for all that happens in the world, humans are responsible for all moral wrongdoing. Finally, humans can fulfill, develop themselves only in community, which implies “sharing and caring based upon fellow feeling and deep fellowship. Ujamaa, ‘togetherness,’ ‘familyhood,’ is descriptive of community.” (Roberts, quoted by Burrows, Personalism, 85)

Feminists agree with the Personalism of Roberts and other black liberation theologians, but they emphasize the dignity and worth of black women to a degree unknown before. They do so in the context of the four personalist principles mentioned above.

d. American Indian Personalism

Vine Deloria, Jr. (1933 – 2005), a Standing Rock Sioux, exploring the metaphysics of American Indians finds personalistic themes, including a personal universe, dignity and sacredness of life, the existence of a moral order, and moral responsibility.

Every individual, whether a person, a tree, a bison, an alligator, or the sun are fundamental to the world we live in. Never isolated, what they are is constituted by their relationships. Each individual has a personality distinguished by its power and place. Power is the living energy that inhabits the universe, and place is the relationship an individual has to other individuals. More broadly, place is the relationships of things to each other.  In this way, an ear of corn is distinguished from the person who picks it and from the buffalo that provides meat for nourishment and hides for shelter and clothing. Power and place contribute to one’s habitude, “an attitude or awareness of a deep system of experiential relations on which the world is building or living. The key here is recognizing that experience is the undeveloped and untheorized site where the divisions between subjective and objective, material and spiritual, and an entire series of dichotomies disappear.” (Wildcat, “Understanding the Crisis,” in Power and Place, 34). One acquires this through the clan system developed in geographical and ecological environments. For example, the Seminole, living in the wetlands of Florida establish an important relationship the alligator, while the Cherokee, living in the mountains of North Carolina do not. One’s habitude contributes to the richness of one’s personality, to one’s interrelationships with other individuals, and to an understanding of the path one is to walk. Power, place, and habitude suggest that the interrelated universe is alive and personal and must be approached with respect. Living and its quality depend on it.

All relationships have a moral content. Contemplating an action, a person must consider whether the proposed action is appropriate. Harvesting plants involves respecting the plants, their power and place in relationship to other individuals. Considering the impact on others and the consequences of one’s action, one must never intrude into the lives of other. The universe is built upon constructive and cooperative relationships that must be maintained.

Not only must one’s actions correlate with other personalities but also with the larger movements of the universe. They followed the principle that whatever is above must be reflected below. In their villages most tribes constructed their dwellings after some model of the universe. They reproduced the cosmos in miniature and believed that spiritual change would be followed by physical change. In this way, they participated in cosmic rhythms.

Through these relationships humans understand what they are, what they are to be, and what they are to do. Deloria points out that “everything that humans experience has value and instructs in some aspect of life. . . . The real interest of the old Indians was not to discover the abstract structure of physical reality but rather to find the proper road along which for the duration of a person’s life, individuals were supposed to walk. . . . The universe is a moral universe.” (Mankiller, “Foreward,” in Spirit and Reason, vii)

5. Latin American Personalism

Personalism in Latin America developed in the 20th century against the historical background of scholasticism (16th – 19th centuries) and naturalism and positivism (19th century). The contemporary period (late 20th into 21st centuries) continued idealistic and personalistic discussions of axiology and social philosophy, manifested a shyness regarding metaphysics, emphasized existentialist themes, and witnessed the rise of dialectical materialism. The discussion of Personalism chiefly took place in three centers of philosophical activity, Argentina, Mexico, and Puerto Rico.

In Argentina, two philosophers distinguished themselves. Alejandro Korn (1860-1936), in reaction to positivism, introduced German philosophy to his countrymen and was known as “the teacher of knowledge and virtue” and “The Philosopher of Liberty.” Emphasizing the role of intuition as the basis of knowledge and the social idealism, his views were not fully developed.  Franscisco Romero (1891-1962), a younger contemporary of Korn, arriving at his philosophy by way of psychology, was a sworn foe of mechanistic and behaviorist view of persons. Persons are whole, a structure not determined by its parts. They are both of the psyche, the lower, subjective, egotistic aspect of the self; and spirit, the objective and altruistic tendencies of the self. He thought that person is the key to reality. Persons have the ability to transcend subjectivity and grasp a superindividual order, and order that transcends him. Romero thought Josiah Royce’s The World and the Individual as the greatest contribution America has made to systematic and speculative philosophy.

Mexico is the second outstanding center of philosophical activity. Chief among its eminent thinkers is José Vasconcelos (1882-1959). Though critical of idealism and leaning decidedly toward Thomistic realism, he is deeply theistic and personalistic. Holding to a theistic monism, the universe is a living whole that finds its unity in God. His chief themes are individuality, freedom, purposeful creativity, cosmic reality in process, personality, and God. Vasconcelos, unlike most philosophers in North America, was a man of action, standing for the president of Mexico, though never elected. Bergson’s call to philosophers to “think like men of action and act like men of thought” was often heeded in Latin America.

The third center is Puerto Rico, whose most distinguished thinker was Eugenio Maria de Hostos (1839-1903). An ethical and social idealist, Hostos stressed the supreme worth personality, the dignity of persons. That is the foundation stone of civilization itself. No mere ivory tower, idealistic thinker, Hostos gave a realistic analysis of the danger inherent in what he called our “machine civilization.”

In addition to those centers of philosophical activity and their signal figures, other philosophers who discussed personalist themes were Antonio Caso in Mexico (1883-1946), Alejandro Deustua (1849-1945) and Victor Andres Belaunde (1883-1966) in Peru, Enrique Molina in Chile, and Carlos Vas Ferreira (1872-1959) in Uruguay.  Recently, Ignacio Ellacuria (1930-1989) of San Salvador developed Liberation Philosophy that focused on the social and personal imperative to overcome dependency as the path toward the fullness of one’s humanity. Common themes among them include dynamic stress on action, the philosophy of persons, freedom of persons, and the law.

Regarding direct of influence of North American Personalism on Latin American philosophers, when Latin American philosophers became aware of North American philosophy, it was Personalism, especially that of Edgar Sheffield Brightman that attracted them most among then-living philosophers. Josiah Royce also attracted them, especially The World and the Individual, as we have seen. But, it was Brightman’s Personalism that exerted the greatest influence. The interest was reciprocal. Brightman established the first graduate course in Latin American philosophy in the United States. (Cornelius Kruse, 149)

6. Current Trends

Personalists in North America carry on a vibrant philosophical discussion. They are developing, modifying, and challenging concepts and themes central to 20th century Personalism. They include Richard C. Bayer at Fordham University, drawing on Catholic social thought and affirming the dignity of persons, focuses on personal development and a modified market economy. Patrick Grant at University of Victoria, British Columbia, outlines a Personalism approach appropriate for a post-modern and post-Marxist cultural phase. Thomas R. Rourke at Clarion University and Rosita A. Chazarreta Rourke at Duquesne University, heavily influenced by Mounier, Dorothy Day and the Catholic Worker movement,  defend Personalism as an alternative to liberal capitalist and socialism. Erazim Kohak (1933-), drawing on the early work of Edmund Husserl (1859-1938) and Max Scheler (1874-1928), developed a personalistic view of nature. John Howie (1929-2000) developed an environmental ethics along personalist lines. Randall Auxier (1961-), editor of Library of Living Philosophers, writes on Brightman, Hartshorne, Royce, and Whitehead and is rethinking time, a category central to Brightman’s thought. Doug Anderson writes on Pierce and American philosophy. Currently, the center of studies in Personalism is in the department of philosophy of South Illinois University, where it is taught in the American philosophy program. Rufus Burrow, Jr. writes on African Personalism, particularly Martin Luther King, Jr.  Thomas O. Buford founded and edited The Personalist Forum, now The Pluralist, and writes in education, epistemology, American Personalism, and philosophy of culture. Also, he and Charles Conti of University of Sussex Brighton England formed The International Forum on Persons in 1988.  It holds biennial meetings alternating between North American and Europe. Alternating with the international meetings, Jim McLachlin holds a week-long summer conference on Personalism at Western Carolina University in the mountains of North Carolina.

7. References and Further Reading

  • Auxier, Randall E.  Hartshorne and Brightman on God, Process, and Persons: TheCorrespondence, 1922-1945. Nashville, TN: Vanderbilt University Press, 2001.
  • Bengtsson, Jan Olof. The Worldview of Personalism, Origins and Early Development. Oxford: Oxford University Press, 2006.
  • Bertocci, Peter A.  Introduction to the Philosophy of Religion. New York, NY: Prentice-Hall, Inc., 1951.
  • Bertocci, Peter A, and Richard M. Millard.  Personality and the Good. New York, NY: David McKay, Co., 1963.
  • Blau, Joseph L. Men and Movements in American Philosophy. New York, NY: Prentice-Hall, Inc., 1955.
  • Bertocci, Peter A. “Why Personalistic Idealism?” Idealistic Studies. 10, no. 3 (1980): 181-198.
  • Boethius, Liber de Persona et Duabus Naturis. Rome: Tuguri, 1571.
  • Bowne, Borden Parker.  Metaphysics. New York, NY: Harper and Brothers, 1882.
  • Bowne, Borden Parker.  A Theory of Thought and Knowledge. New York, NY: Harper and Brothers, 1987.
  • Bowne, Borden Parker.  Principles of Ethics.  New York, NY: Harper and Brothers, 1892
  • Bowne, Borden Parker. Personalism. Boston, MA: Houghton Mifflin Company, 1908.
  • Bowne, Borden Parker.  Kant and Spencer, a Critical Exposition. Boston, MA: Houghton Mifflin, 1912.
  • Brightman, Edgar Sheffield. An Introduction to Philosophy. New York, NY: Henry Holt and Co., Inc, 1925.
  • Brightman, Edgar Sheffield.  Moral Laws. New York, NY: Abingdon Press, 1933.
  • Brightman, Edgar Sheffield.  A Philosophy of Religion. Englewood Cliffs, NJ: Prentice-Hall, Inc., 1940.
  • Brightman, Edgar Sheffield.  Person and Reality. Edited by Peter A. Bertocci with Janette E. Newhall and Robert S. Brightman. New York, NY: Ronald Press, 1958.
  • Buford, Thomas O. Trust, Our Second Nature; Crisis, Reconciliation, and the Personal. Lanham, Maryland: Lexington Books, 2008.
  • Buford, Thomas O. Self-Knowledge, An Essay in Social Personalism. Lanham, Maryland: Lexington Books, 2011.
  • Buford, Thomas O., and Harold H. Oliver, eds. Personalism Revisited, Its Proponentsand Critics. New York, NY: Rodopi, 2002.
  • Buford, Thomas O. In Search of a Calling, The College’s Role in Shaping Identity. Macon, GA: Mercer University Press, 1995.
  • Burrows, Rufus R. Personalism, a Critical Introduction. St. Louis, MO: The Chalice Press, 1999.
  • Buckham, J. W., and G. M. Stratton, eds.  George Holmes Howison, Philosopher andTeacher. Berkeley, CA: University of California Press, 1934.
  • Calkins, Mary W.  The Persistent Problems of Philosophy. New York, NY: The Macmillan Company, 1910.
  • Conti, Charles. Metaphysical Personalism, An Analysis of Austin Farrer’s Metaphysicsof Theism. Oxford: Oxford University Press, 1995.
  • Deats, Paul, and Carol Robb, eds. The Boston Personalist Tradition in Philosophy, Social Ethics, and Theology. Macon, GA: Mercer University Press, 1986.
  • Deloria, Barbara, Kristen Foehner, and Sam Scinta, eds. Spirit and Reason, the Vine
  • Deloria, Jr., Reader.  Foreward by Wilma P. Mankiller. Golden, Colorado: Fulcrum Publishing, 1999.
  • Deloria, Jr., Vine. The Metaphysics of Modern Existence. New York, NY: Harper and Row Publishers  1979.
  • Deloria, Vine, Jr., and Daniel Wildcat, eds. Power and Place: Indian Education inAmerica. Golden, Colorado: American Indian Graduate Center, 2001.
  • De Smet, Richard. Brahman and Person, Essays by Richard De Smet. Edited by Ivo Coelho. Delhi: Motilal Banarsidass Publishers, 2010.
  • DeWolf, L. H.  The Religious Revolt Against Reason. New York, NY: Harper, 1949.
  • Flewelling, Ralph Tyler. Creative Personality. New York, NY: The Macmillan Co., 1926.
  • Flewelling, Ralph Tyler. The Person, or the Significance of Man. Los Angeles, CA The Ward Ritchie Press, 1952.
  • Flewelling, Ralph Tyler. “Personalism.” In Dictionary of Philosophy, pp. 229-230. Edited by Dagobert D. Runes. New York, NY: Philosophical Library, 1943.
  • Ferre, Frederick.  Being and Value: Toward a Constructive Postmodern Metaphysics. Albany, NY: The State University of New York Press, 1996.
  • Ferre, Frederick. Knowing and Value: Toward a Constructive Postmodern Epistemology. Albany, NY: The State University of New York Press, 1998.
  • Ferre, Frederick.  Living and Value. Toward a Constructive Postmodern Ethics. Albany, NY: The State University of New York Press, 2001.
  • Fixico, Donald. The American Indian Mind in a Linear World.  New York: Routledge, 2003.
  • Franquiz, Jose A. “Personalism in Latin American Philosophy,” Philosophical Forum. XII (1954): 68-81.
  • Gacka, Bogumil.  Bibliography of American Personalism. Oficyna Wydawbucza Czas: Lublin, 1994.
  • Gallagher, Shaun. Personalism – A Brief Account.
  • Harkness, Georgia.  The Providence of God. New York, NY: Abingdon Press, 1960.
  • Hartshorne, Charles. The Divine Relativity, A Social Conception of God. New Haven, CT: Yale University Press, 1948.
  • Hartshorne, Charles. Reality as Social Process; Studies in Metaphysics and Religion. Glencoe, IL: Free Press, 1953.
  • Garcia, Jorge J.E. and Elizabeth Millan-Zeibert,eds.  Latin American Philosophy for the21st Century: the Human Condition, Values, and the Search for Values. Amherst, New York: Prometheus Books, 2004.
  • Georg W. F. Hegel. Hegel’s Preface to the Phenomenology of Spirit. Translated with running commentary by Yovel Yirmiyahu. Princeton, NJ: Princeton University Press,    2005.
  • Hocking, William Ernest.  The Meaning of God in Human Experience.  New Haven, CT: Yale University Press, 1912.
  • Howie, John. “W. E. Hocking’s ‘Transfigured Naturalism.’” In A William Ernest
  • Hocking Reader with Commentary, 217-230. Edited by John Lachs and D. Micah
  • Hester. Nashville, TN: Vanderbilt University Press, 2004.
  • Howison, George Holmes. (ed.)  The Conception of God: A Philosophical DiscussionConcerning the Nature of the Divine Idea as a Demonstrable Reality. New York,                                 NY: Macmillan, 1898.
  • Howison, George Holmes. (ed.) The Limits of Evolution and Other Essays Illustrating the MetaphysicalTheory of Personal Idealism.  New York, NY: Macmillan Co., 1901.
  • Howison, George Holmes. (ed.)  The Origin of Evolution.  New York, NY:  Macmillan Co., 1905.
  • James, William. The Will to Believe and Other Essays in Popular Philosophy. New York, NY: Dover, 1956.
  • Kasulis, Thomas P. Intimacy or Integrity, Philosophy and Cultural Difference. Honolulu, HI: The University of Hawai’i Press, 2002.
  • Kohak, Erazim  The Embers and the Stars. Chicago, IL: University of Chicago Press, 1984.
  • Knudson, Albert C.  The Philosophy of Personalism.  New York, NY: Abingdon Press, 1927.
  • Kruse, Cornelius. “Personalism in Latin America.”  In Personalism Revisited, ItsProponents and Critics, 147-156. Edited by Thomas O. Buford, and Harold H. Oliver. New York, NY: Rodopi, 2002.
  • Lachs, John and D. Micah Hester, eds.  A William Ernest Hocking Reader with -Commentary. Nashville, TN: Vanderbilt University Press, 2004.
  • Loemker, Leroy E. “Some Problems in Personalism.” In Personalism Revisited, ItsProponents and Critics, 171-185. Edited by Thomas O. Buford and Harold H. Oliver. New York, NY: Rodopi, 2002,
  • Mankiller, Wilma P. “Foreward.”  In Spirit and Reason, the Vine Deloria, Jr., Reader, pp. vii-ix. Edited by Barbara Deloria, Kristen Foehner, and Sam Scinta. Golden, Colorado: Fulcrum Publishing, 1999.
  • Mendieta, Eduarto, ed. Latin American Philosophy: Currents, Issues, and Debates. Bloomington, Indiana: Indiana University Press, 2003.
  • Muelder, Walter G.  Foundations of the Responsible Society. New York, NY: Abingdon   Press, 1960.
  • Monk, Arthur W. “The Spirit of Latin American Philosophy.” Ethics 72, 3 (April, 1962): 197-201.
  • Norton-Smith, Thomas. The Dance of the Person and Place. Albany: State University of New York Press, 2010.
  • Pavan, Antonio. Enciclopedia della persona nel xx secolo. Napoli: Edizioni Scientifiche Italiane, 2008.
  • Plotinus. The Six Enneads. Translated by Stephen MacKenna and B. S. Page. Chicago, IL: Encyclopedia Britannica. 1952.
  • Royce, Josiah.  The Philosophy of Loyalty.  New York, NY: The Macmillan Company, 1908.
  • Royce, Josiah. The Problem of Christianity. Chicago, IL: University of Chicago Press, 1968.
  • Royce, Josiah.  The World and the Individual. New York, NY: Macmillan Company, 1899.
  • Srinivason, Gummaraju. Personalism, An Evaluation of Hundu and Western Types. Delhi: Research Publication in Social Sciences, 1972.
  • Steinkraus, Warren E, ed. Representative Essays of Borden Parker Bowne. Utica, NY: Meridian Publishing Company, n.d.
  • Steinkraus, Warren E. and Robert N. Beck, eds. Studies in Personalism. Selected Writings of Edgar Sheffield Brightman. Utica, New York: Meridian Publishing Company, n.d.
  • Werkmeister, W.H. A History of Philosophical Ideas in America. New York, NY: Ronald, 1949. (Westport, Connecticut: Greenwood, 1981.)
  • Wildcat, Daniel. “Understanding the Crisis in American Education.” In Power and Place, Indian Education in America, pp. 29-39. Edited by Vine Deloria, Jr., and Daniel Wildcat.  Golden, Colorado: American Indian Graduate Center, 2001
  • Zizioulas, John D. Being as Communion. Studies in Personhood and the Church. Forward by John Meyendorff. Crestwood, NY: St Valdimir’s Seminary Press, 1985.

 

Author Information

Thomas O. Buford
Email: tom.buford@furman.edu
Furman University
U. S. A.

Individualism in Classical Chinese Thought

“Individualism” is used here to denote inborn and inalienable prerogatives, powers, or values associated with the self and person as found throughout much of the Chinese philosophical tradition. Unlike individualism in modern European and American contexts, Chinese manifestations of “individualism” do not stress an individual’s separation, total independence, and uniqueness from external authorities of power. Rather, individualism in the Chinese tradition emphasizes one’s power from within the context of one’s connection and unity (or harmony) with external authorities of power.  So while both the modern Western and Chinese contexts share a belief that individuals are morally valuable and may attain an outstanding status as such, the Western tradition tends to view the individual in an atomized, disconnected manner, whereas the Chinese tradition focuses on the individual as a vitally integrated element within a larger familial, social, political, and cosmic whole.  Chinese thinkers frequently address issues related to individual value, empowerment, authority, control, creativity, and self-determination, yet they package these crucial aspects of individualism in ways that are generally different from the way individualism has been packaged in the West.

Since the term is not indigenous to China, there is a general scholarly dispute about the relevance and appropriateness of applying the term “individualism” to Chinese philosophy. The inability of mainstream scholarship and discourse to locate and come to terms with native forms of individualism in China has had important ramifications for scholarship, politics, and international relations as well. For example, the current debate about universal human rights is founded on beliefs that individuals can lay claim to certain prerogatives simply by virtue of their existence as individuals. Some Asian polities have used the argument that Asian traditions are not individualistic in order to claim that human rights discourse is not only not universal in scope, but that it is also incompatible with traditional Asian values.

Table of Contents

  1. Dispute over “Individualism” in Chinese Philosophy
  2. The Concept of Autonomy in Chinese Individualism
  3. The Self as Individual
  4. Individualism in Classical Confucian Thought
  5. Moral Autonomy in the Mohist Writings
  6. Individualism in the Zhuangzi
  7. Individualism in the Thought of Yang Zhu
  8. References and Further Reading

1. Dispute over “Individualism” in Chinese Philosophy

Scholars of early Chinese thought such as Chad Hansen, Henry Rosemont, and Michael Nylan have often considered the term “individualism” to be irrelevant or inappropriate for studying Chinese culture and history. Popular perceptions also tend to view Chinese culture as characterized by obligation and duty rather than by individual freedoms. This characterization of Chinese culture as group-oriented rather than individual-oriented helps promote the notion that individualism, especially as it is perceived – as a doctrine that protects individual autonomy against obligations stemming from external, familial or social institutions – is inappropriate for the Chinese context.

Other scholars such as Yu Ying-shih, Donald Munro, Erica Brindley, and Irene Bloom accept the concept of individualism as relevant for the Chinese tradition, at least as a point of discussion. Brindley goes the farthest to contend that by denying individualism in Chinese thought, one effectively ignores the multiple ways in which goals and values for the individual are in fact underscored in the tradition. While Brindley, Yu, and perhaps Bloom readily concede that the term “individualism” stems historically from European and American contexts, they generally agree that this need not limit the term’s usefulness as a tool for understanding concepts relating to the value and powers of the individual in China. For, even in the West, there is no single definition of the term “individual” that has escaped scholarly and public challenge and contestation. Nor does “individualism” always strictly connote one’s uniqueness, separation, and distinction, even in Western usages. Furthermore, the lack of a term or even explicit debate over doctrines of the individual, free will, or autonomy does not mean that Chinese thinkers or even ordinary Chinese people did not imply such things in their writings, or experience them in their lives. Making use of such arguments, scholars of this persuasion therefore assert that one can apply “individualism” to Chinese philosophy to gain rich comparative insights and shed light upon the importance of the integrated individual in Chinese philosophy.

The following analysis of texts and their embedded assumptions and claims serves to draw out possible Chinese forms of individualism that appear to differ considerably from Western forms of possessive individualism, which arose specifically in seventeenth-century English contexts. The latter forms focus on an individual’s possessive claims to uniqueness, and autonomy from surroundings. Chinese forms of individualism, on the contrary, tend to stress an individual’s achievement or fulfillment of some potential from within and in terms of a larger familial, social, and cosmic whole. This concept of individualism does not support a strong sense of autonomy and independence as defined through separation or freedom from others, but rather it reveals the autonomy and independence of the individual as a fully attained and integrated being within a larger web of relationships and authorities.

2. The Concept of Autonomy in Chinese Individualism

The notion of autonomy arguably serves as a distinguishing aspect of any form of individualism. The autonomous agent in many Western discursive models is free from certain external influences. This can be seen in the fact that various individualisms of today generally recast the individual as someone with the potential to be separate and different from his environment and conventional norms. They empower individuals by emphasizing their ability to make decisions and judgments independent of mundane influences and norms in the world.

Early Chinese forms of individualism, on the contrary, do not generally focus on the radical autonomy of the individual; but rather on the holistic integration of the individual with forces and authorities in his or her surroundings (family, society, and cosmos). For early Chinese thinkers, there is no such thing as unfettered autonomy or freedom of will. Rather, early Chinese thinkers posit the existence of a relative and relational sort of autonomy; or, a type of autonomy that grants individuals the freedom to make decisions for themselves, and to shape the course of their own lives to the fullest degree that they can—all from within an intricate system of interrelationships. This type of autonomy grants authority to the individual to fulfill his or her potentials as an integrated individual. The goal of such an individual is to achieve authoritativeness as a person while at the same time duly negotiating influences, commands, and responsibilities that stem from his or her larger environment. Therefore, a crucial back-and-forth tug between the self and the various authorities surrounding it is woven into the very fabric of what it means to be a fully attained, authoritative, empowered, and integrated individual.

3. The Self as Individual

Free from the radical dichotomy between truth/essence and appearance that is characterized by Descartes, the early Chinese “self” is not encumbered by a gross split between mind and body, or between true nature and experience. Rather, the early Chinese “self” is more akin to an organism, which both consists in and emerges out of complex processes occurring inside and outside of it as it interacts with and relates to his or her environment. In such a way, the concepts of self and person are much more integrated than in certain, extreme dualistic Western traditions, as stand in constant and ever-changing relationship to what occurs both within and without.

To the extent that the self is conceived as physical, embodied, and dynamic, the early Chinese “self” necessarily entails a different definition of  “individual.” While there is no clear term in Classical Chinese that might translate consistently into “individual,” this latter term facilitates discussion of those aspects of the self that emphasize its particularity within a whole. We use the term “individual” here to refer to early Chinese notions of self that concern not so much the subjective, psychological sense of “self,” but the qualities of a person that mark him or her as a single, particular entity capable of exerting agency from within a web of relationships. In other words, we refer to the individual not as an atomistic, isolated, and undifferentiated part of a whole, but as a distinct organism that must serve particular functions and fulfill a unique set of relationships in the worlds of which he or she is a part. The individual is thus a unique participant in a larger whole—integral to both, the processes that define the whole, as well as to the change and transformation that stems from itself.

4. Individualism in Classical Confucian Thought

One of the abiding concepts in Chinese philosophy, irrespective of the school of thought, is that of self-cultivation. The Ru, or Confucian lineage, places a premium on the moral cultivation of the individual using a variety of tools and resources, both internal and external. In the Analects of Confucius, the junzi (gentleman, or  nobleman) constitutes the most important ideal for the individual, and any person who strives for such an ideal is to do so by a complicated moral regimen of intense involvement with the rites of the Zhou (dynastic house) and its music; moral education through a morally achieved ruler, master or moral exemplar; and training—involving texts and histories as well as personal resources such as will-power, moral desire, inward reflection and thought, and the active appraisal of how one’s own thoughts and actions compare to those of others.

While one may not wish to call anything mentioned in the Analects “individualism,” it is clear that the individual holds the most valuable key insofar as he or she serves as the locus for self-cultivation and, hence, for the transformation of himself or herself to contribute to a moral society and cosmos. The individual forms the basis upon which authoritative, moral meaning and behavior is to be constructed. Insofar as the individual is considered to be the fundamental site of moral transformation, it is an absolutely crucial element of Confucian thought. So, while the philosophy represented by the Analects does not promote individualism as a moral stance that stresses individual autonomy and freedom from social constraints, it does establish the individual as inherently valuable in the process of moral cultivation, with the potential to be authoritative and fully integrated as a junzi figure within a web of intricate social, political, and cosmic forces. Thus, a type of integrated individualism seems to exist even in the most basic of early Chinese Confucian texts.

The figure whose writings provide us with one of the earliest, and perhaps clearest, representations of early Chinese individualism is Mencius. In the literature prior to Mencius, the individual represents a foundational site for moral cultivation, but the source of one’s moral motivation and insight may stem largely from external authorities. Mencius changes this by appealing to the innate moral agencies of the individual through the concept of xing, (human nature). By naturalizing moral motivation through the concept of xing, Mencius reveals what appears to be a new orientation towards human agency: one that sees the individual body as a universal source of cosmic authority and natural patterns.

Mencius defines sources of moral agency and authority by outlining an internal-external dichotomy and emphasizing the internal resources of the individual in moral cultivation. This is best demonstrated in Mencius 2A2 and the entire Chapter Six, Part A of the text, where Mencius debates with an opponent, Gaozi, over the idea that xing is a source of moral agency and insight. Unlike Mencius, Gaozi advocates the total subordination of the human heart-mind, the seat of a person’s controlling mechanism, the will (zhi), to yan, or what might be translated in the passage as “sayings,” or “teachings.” In such a way, Gaozi declares the absolute necessity of study and discipline through tradition, culture, and other external inputs. Mencius counters this by showing the necessity of stilling one’s heart-mind so that it will allow for its natural, innate moral tendencies to guide the body in correct thinking and behavior.

In another famous debate, Gaozi compares moral refinement to cups and saucers, which have been constructed by man through hard work and external imprinting. His view of moral cultivation strongly denies that an individual’s internal xing could have any moral quality or potential. Mencius responds with an analogy of equal force, describing human xing in terms of water. Just as the flow of water naturally tends downward, he claims, so does human xing naturally move toward goodness. Denouncing Gaozi’s views on the external origins of morality, Mencius insists that only when internal resources such as xing are obstructed, violated, and destroyed through external forces, does immoral behavior arise.

Mencius’ claims integrate the moral motivation of xing with life processes associated with the human body. Taking advantage of a linguistic connection between the terms for “life” and “human nature” in classical Chinese, Mencius argues that the moral agency of xing is intrinsic to basic life processes. To him, moral motivation, rooted in human nature, is inextricably tied to the agency that fills our very lives with health and vitality.

In sum, to Mencius, each individual person is his or her own moral agent by virtue of living properly and healthfully as a human being. By locating the seeds of morality in xing, one’s Heaven-endowed agency for human life, Mencius demonstrates that cultivating oneself morally is tantamount to attaining the proper measures for the basic vital functions of human beings. Mencius therefore not only naturalizes moral agency by making it a universally inherent trait in every individual, he also proposes a radical, physiological claim for a type of individualism that connects proper moral cultivation to the natural growth of one’s inherent xing and life forces.

Mencius is important in the history of Chinese individualism because he grounds ultimate moral authority in the inner, innate resources of the individual. What characterizes Mencius’ form of individualism as a stronger form of individualism than that outlined in the Analects is its emphasis on the human body not merely as a medium of authority or primary locus for the attainment of idealized authority (as exemplified through self-cultivation), but as an individualized source of it as well.

It is noteworthy that all Confucians who postdate Mencius seem to understand xing in terms of powerful, innate tendencies of individuals, but some, like Xunzi, fought vigorously to deny that such tendencies were morally positive. While Xunzi may not be called an individualist in the sense that Mencius may, his thought nonetheless supports a strong notion of individual moral autonomy as represented in the Analects.

5. Moral Autonomy in the Mohist Writings

The early Mohists were famous for their views in social conformity and obedience to political authorities, such as rulers and the Son of Heaven, who abided by the authority of Heaven. There is little that is individualistic about such conformist ideals in a Western sense. However, when one considers that the basis of their views on moral meritocracy and Heaven’s Will are grounded on a fundamental belief in an individual’s rational capacity to know and learn about morality, then the Mohist individual starts to appear much more individualistic than he would at first glance. Indeed, in early Mohist writings, individuals are required to know and choose the morally correct path – that which conforms with Heaven’s Will – on their own. They are thus morally autonomous in two senses: (1) They have the ability to use their rational minds to decipher, come to know, or (in the case of unexceptional commoners and people) at least be tacitly familiar with Heaven’s Will, and (2) They have the ability to choose to conform with what is right.

The early Mohists, who argue explicitly against contemporary beliefs in ming (fate, destiny, derived from Heaven), grant the individual a high degree of control over outcomes in this world. So while the early Mohists do not place extra value or emphasis on the individual or its powers and prerogatives, much less on its self-cultivation, they implicitly grant the individual much agency and control over the course of its life and the type of moral path it wishes to follow. Through their writings one gains insights into the ways in which concepts like conformity may actually go hand-in-hand with beliefs in autonomy and free will.

6. Individualism in the Zhuangzi

The Inner Chapters of the Zhuangzi, generally considered by scholars to have been written by Zhuangzi (or Zhuang Zhou), promote a vision of the individual’s unity with the Dao of Heaven. Whether such a vision is individualistic or not is open to debate. On the one hand Zhuangzi does not explicitly attribute the processes of the Dao to powers inherent in an individual’s body or spirit. Therefore, his writings do not technically fall under the definition of “individualism,” used above when discussing Mencius, which locates the primary source of idealized agency within the mundane individual. In fact, Zhuangzi openly advocates the notion of losing one’s self-identity and sense of self or body in order to fully embrace the agency of Dao. This appears to go against any kind of individualism that might place value on the self.

On the other hand, however, Zhuangzi hopes that every individual might achieve a transcendent self, along with a freedom associated with the transcendent individual. Such freedom – spiritual in nature – is not freedom from a higher source of power, but freedom through it. Insofar as Zhuangzi promotes an ideal of spiritual freedom through individual self-cultivation, his thought is characteristic of the holistic individualism described previously. Individuals are not valued in and of themselves but through their connection with a higher authority or power.  Realized individuals – the goal in Zhuangzian thought – are not unique, autonomous individuals who stand apart from external powers, but unique manifestations of the workings of a shared Dao.

The so-called “Primitivist,” whose writings in the Outer Chapters of the Zhuangzi seem to represent a coherent voice in that text, presents a form of individualism more akin to that described in the Mencius above. Whereas the Inner Chapters expound on a philosophy whose goals appear compatible with individualistic goals, this strand of the Outer Chapters goes further to locate value inside the individual from the beginning, even in an individual’s mundane state.

The primitivist writings uniquely emphasize the idealized powers of xing in every individual, which ultimately link a person with the Dao. Using a strong language of internal-external, the Primitivist denounces morality as an external overlay and unnecessary pollution of internal xing. By recommending that each individual place all of his or her faith in the natural, innate powers of xing, the Primitivist suggests that one can rid oneself of impulses responsible for the creation of cultural and social norms. This results in the reversion of the individual not just back to his or her most basic nature – one that is not coincidentally in accordance with the Dao of the natural world – but a reversion of society to an era of primitive political structures and human interactions as well.

By rejecting the necessity of social structures, institutions, knowledge, technologies, and cultural practices in favor of a cosmic or natural law and power that is accessible through the individual, human body, the proponents of the primitivist ideology share a basic individualistic point of view. Such a view assumes that ultimate value lies in what humans possess innately and in what is naturally accessible to every individual. For the Primitivist, this internal, innate, and universal human agency to interact ideally in the world derives from xing, which is ultimately a part of the natural cycles of the cosmic Dao.

The Primitivist illuminates polarities between what is external and alien or internal and inalienable to a given object. In such a manner he pits knowledge and culture in society against an individual’s personal vitality and innate powers. This naturalizes what is ideal by locating it in the cosmic capacity and authority of an individual’s xing. In the Laozi, a text upon which the Primitivist writing heavily relies, the ruler serves as the main conduit that enables everyone’s individual access to the Dao. Unlike the Laozi, the Primitivist presents a utopian vision that speaks to every individual’s direct, bodily relationship to cosmic power. This difference points to a noteworthy distinction between theocratic conceptualizations of cosmic authority and power as expressed in the Laozi; and biocratic, individualized ones as expressed in the Primitivist ideal.

7. Individualism in the Thought of Yang Zhu

One cannot speak of individualistic movements in early China without at least coming to terms with what we know about Yang Zhu, or Yangzi (c. 4th century B.C.E.), and his legacy. Mencius claimed that Yang Zhu promoted a doctrine of egoism, which the former deemed tantamount to anarchism. Though there is no solid evidence that anything Yangzi may have authored has been transmitted through the ages, we can still gain insight into his views from descriptions and condemnations of his teachings by Mencius and other writers of the slightly later Han period. It is possible that what we have described as primitivist above is nothing more than a strain of thought influenced by Yangist tenets and beliefs.

Yang Zhu, like Mencius, appears to have viewed the self and human body as an important resource for universal, objective forms of authority through xing. We see this through the following quote from Mencius, which states: “Even if he were to benefit the world by pulling out a single hair, he would not do it.” It appears that Yangzi’s so-called egoism is founded on a principle of preserving some aspect of one’s self or body over and above anything else. A later author claims that what Yangzi valued was self in and of itself, while others described his thinking in the following way: “Keeping one’s nature whole, preserving one’s genuineness, and not letting things tire one’s form (body) – these Yangzi advocated but Mencius denounced.” In this example, the self to be valued consists in xing, the body, and in “genuineness” – a vague concept that seems to refer to a spiritual ideal – inherent or original to the individual. Based on such a description, Yang Zhu appears to have idealized certain aspects of the self that help define its essence, whether material, spiritual, or both. By insisting on a sharp separation between that which is internal or associated with the person on the one hand, and external things that might tire it on the other, Yang Zhu joins Mencius in basing his ideals on a fundamental inner/outer distinction. However, his recommendation that one keep the self and its aspects free of outside contamination, if accurate, would constitute an even more extreme form of individualism than what we have encountered with Mencius.

Like Zhuangzi, Yang Zhu (as characterized by later texts that attribute a certain, relatively consistent perspective to his beliefs) seems to have supported the preservation of some essential and vital spirit that is ultimately related to the human body and its wholeness. Unlike Zhuangzi, who wishes for individuals to transcend their own awareness of the boundaries of the self and its materiality, Yang Zhu appears to glorify the existence of these, and to call for the preservation of a strict separation between what is inside and belonging to the sphere of the self, and what is outside and belonging to the sphere of things. Thus, the main distinction between Zhuangzi and Yang Zhu lies in the fact that Yang Zhu appears to value the self as a material body that is sacred precisely because of its essential materiality and life-producing qualities. Zhuangzi, on the other hand, does not directly embrace the cult of bodily vitality. He calls for individuals to transcend their bodies and their materiality so as to embrace what he sometimes refers to as the spirit of the Dao, which should be understood as an ethereal type of vitality.

Given these descriptions of Yang Zhu’s thought, it seems fair to call him an individualist rather than an apologist for selfish egoism. After all, there is no convincing evidence that Yang Zhu promoted selfishness in the sense that he inspired individuals to seek self-profit through the exploitation of public resources or goods. Moreover, there is no clear indication that Yang Zhu tacitly condoned harming or destroying society through his ideals. Rather, most of the reliable evidence points to the fact that Yang Zhu redefined what it meant to value the self in terms of one’s personal, material-spiritual salvation. Indeed, Yang Zhu was perhaps one of the first thinkers, like Mencius, to see xing and the self as a primary source of idealized individual agency and meaning.

Individualism, as has been introduced here, was a broad orientation in early Chinese thought that posited the value and autonomy of the individual and, in some instances, located sources of idealized cosmic power and authority within the individual body. Widespread notions of self-cultivation viewed the individual as the key site of moral or spiritual transformation and, hence, the individual was the primary medium for assimilating social and cosmic authority and order. Early Chinese thinkers also presumed the moral or spiritual autonomy of the individual, granting individuals the power to effect changes in their lives and make important choices concerning morality, self-cultivation, and conformity to external sources of authority. Individualistic authors like Mencius, the Primitivist, and possibly Yang Zhu, went so far as to naturalize cosmic or divine sources of authority in the world by locating them within the human body itself. They thereby made the individual body the primary source for idealized agencies, and valued one’s cultivation of such innate agencies as the highest good.

8. References and Further Reading

  • Ames, Roger, and David L. Hall. “The Problematic of Self in Western Thought,” Thinking from the Han: Self, Truth, and Transcendence in Chinese and Western Culture. Albany: State University of New York Press, 1998.
  • Ames, Roger, Wimal Dissanayake, and Thomas Kasulis, ed. Self as Person in Asian Theory and Practice. Albany: State University of New York Press, 1994.
  • Ames, Roger, Wimal Dissanayake, and Thomas Kasulis, ed. Self as Image in Asian Theory and Practice. Albany: State University of New York Press, 1998.
  • Angle, Stephen. Human Rights in Chinese Thought: A Cross-Cultural Inquiry. Cambridge: Cambridge University Press, 2002.
  • Bauer, Joanne and Daniel Bell, eds. The East Asian Challenge for Human Rights. Cambridge: Cambridge University Press, 1999.
  • Bloom, Irene eds. “Confucian Perspectives on the Individual and the Collective,” Religious Diversity and Human Rights, Irene Bloom, J. Paul Martin, and Wayne L. Proudfoot, 114-151. New York: Columbia University Press, 1996.
  • Brindley, Erica. Individualism in Early China: Human Agency and the Self in Thought and Politics. University of Hawaii Press, 2010.
  • Chan, Joseph. “Moral Autonomy, Civil Liberties, and Confucianism,” Philosophy East and West, 52.3 (2002): 281-310.
  • Chen, Albert H. Y. “Is Confucianism Compatible with Liberal Constitutional Democracy?” Journal of Chinese Philosophy 35.2 (June 2007): 195-216.
  • Csikszentmihalyi, Mark. Material Virtue: Ethics and the Body in Early China. Leiden: Brill, 2004.
  • Emerson, John. “Yang Chu’s Discovery of the Body,” Philosophy East and West. 46.4 (1996): 533-566.
  • Graham, Angus C. Disputers of the Tao: Philosophical Argument in Ancient China. La Salle, IL: Open Court, 1989.
  • Graham, Angus C. “The Background of the Mencian Theory of Human Nature,” Tsing Hua Journal of Chinese Studies, vol. 6 (1957): pp. 215-271.
  • Greenwood, John. “Individualism and Collectivism in Moral and Social Thought,” The Moral Circle and the Self: Chinese and Western Approaches, eds., Kim-chong Chong, Sor-hoon Tan, and C. L. Ten, 163-73. La Salle, IL: Open Court, 2003.
  • Hansen, Chad. “Individualism in Chinese Thought,” Individualism and Holism: Studies in Confucian and Taoist Values, ed. Donald Munro, 35-55. Ann Arbor: Center for Chinese Studies, University of Michigan, 1985.
  • Ivanhoe, P. J. Confucian Moral Self Cultivation. New York: Peter Lang, 1993.
  • Kline, T. C. III and P. J. Ivanhoe, eds. Virtue, Nature, and Moral Agency in the Xunzi. Indianapolis: Hackett Publishing Company, Inc., 2000.
  • Kline, T. C. III. “Moral Agency and Motivation in the Xunzi,” Virtue, Nature, and Moral Agency in the Xunzi, eds. T. C. Kline III and P. J. Ivanhoe, 155-75. Indianapolis: Hackett Publishing Company, Inc., 2000.
  • Karyn Lai. “Understanding Change: The Interdependent Self in Its Environment,” New Interdisciplinary Perspectives in Chinese Philosophy, ed. Karyn Lai. Journal Supplement Series to the Journal of Chinese Philosophy (2007): 81-99.
  • Lin, Yüsheng. “The Evolution of the Pre-Confucian Meaning of Jen and the Confucian Concept of Moral Autonomy,” Monumenta Serica 31 (1974-75): 172-83.
  • Liu, Lydia H. “Translingual Practice: The Discourse of Individualism between China and the West,” Narratives of Agency: Self-making in China, India, and Japan, ed. Wimal Dissanayake. Minneapolis: University of Minnesota Press, 1996.
  • Liu, Qingping. “Filiality versus Sociality and Individuality: On Confucianism as ‘Consanguinitism,” Philosophy East and West 53.2 (2003): 234-250.
  • Liu, Xiusheng. “Mengzian Internalism,” Essays on the Moral Philosophy of Mengzi, ed. Xiusheng Liu and Philip Ivanhoe, 101-31. Indianapolis: Hackett Publishing Co., Inc., 2002.
  • Munro, Donald. The Concept of Man in Early China, reprint. Ann Arbor: Center for Chinese Studies, University of Michigan, 2001.
  • Munro, Donald, ed. Individualism and Holism: Studies in Confucian and Taoist Values. Ann Arbor: Center for Chinese Studies, University of Michigan, 1985.
  • Nylan, Michael. “Confucian Piety and Individualism in Han China,” Journal of the American Oriental Society 116.1 (1996): 1-27.
  • Rosemont, Henry, Jr. “Rights-Bearing Individuals and Role-Bearing Persons,” Rules, Rituals, and Responsibility: Essays Dedicated to Herbert Fingarette, ed., Mary Bockover, 71-101. Chicago: Open Court, 1991.
  • Rosemont, Henry, Jr. “Who Chooses?” Chinese Texts and Philosophical Contexts, ed. Henry Rosemont, Jr., 227-263. LaSalle: Open Court, 1991.
  • “Two Loci of Authority: Autonomous Individuals and Related Persons,” Confucian Cultures of Authority, ed. Peter D. Hershock and Roger T. Ames, 1-20. Albany: State University of New York Press, 2006.
  • Roth, Harold. “Psychology and Self-Cultivation in Early Taoistic Thought,” Harvard Journal of Asiatic Studies 51.2 (1991): 599-650.
  • Rubin, Vitaly A. Individual and State in Ancient China: Essays on Four Chinese Philosophers. Trans. Steven I. Levine. New York: Columbia University Press, 1976.
  • Shun, Kwong-loi. “Conception of the Person in Early Confucian Thought,” Confucian Ethics: A Comparative Study of Self, Autonomy, and Community, eds., Kwong-loi Shun and David Wong, 183-99. Cambridge: Cambridge University Press, 2004.
  • Shun, Kwong-loi and David Wong, ed. Confucian Ethics: A Comparative Study of Self, Autonomy, and Community. Cambridge: Cambridge University Press, 2004.
  • Vinograd, Richard. Boundaries of the Self: Chinese Portraits, 1600-1900. Cambridge: Cambridge University Press, 1992.
  • Wilson, Stephen A. “Conformity, Individuality, and the Nature of Virtue: A Classical Confucian Contribution to Contemporary Ethical Reflection,” Confucius and the Analects: New Essays, ed. Bryan W. Van Norden, 94-115. Oxford: Oxford University Press, 2002.
  • Yearley, Lee. “Chuang Tzu’s Cosmic Identification,” Taoist Spirituality, Vol. 10 of World Spirituality: An Encyclopedic History of the Religious Quest, edited by Tu Wei-ming, New York: Crossroads, forthcoming.
  • Yu, Ying-shih. “Individualism and the Neo-Taoist Movement in Wei-Chin China,” Individualism and Holism: Studies in Confucian and Taoist Values, ed. Donald Munro. Ann Arbor: Center for Chinese Studies, University of Michigan, 1985.
  • Zhang Qianfang. “Human Dignity in Classical Chinese Philosophy: Reinterpreting Mohism,” Journal of Chinese Philosophy 34.2 (June 2007): 239-255.

 

Author Information

Erica Brindley
Email: efb12@psu.edu
The Pennsylvania State University
U. S. A.

Supervenience and Mind

This article is an informal introduction to the concept of supervenience and the role it plays in the philosophy of mind.  It surveys some of the many ways the concept has been used to reveal the manner and degree to which mental phenomena depend on facts about our bodies and their physical features. Philosophers usually construe the supervenience relation as a relation between classes of properties, where a class of properties, F, supervenes on a class of properties, G, just in case there is no difference in F-properties without some difference in G-properties.  As David Lewis puts it, “no difference of one sort without differences of another sort” (1986, p. 14).  It is in the philosophy of mind that we find the term’s most frequent contemporary occurrence.

The goal of asking whether one set of properties supervenes on another is to better understand the ontological relation between the two sets — especially, whether the one set of properties depends entirely on the other.  Suppose, for example, that two individuals can have different moral properties while being exactly alike in terms of their actual and potential behavior; that is, suppose that one’s moral features do not supervene on one’s behavioral features.  Then we can conclude that the former depend on something more than the latter.  And if we accept this conclusion, we are then led to search for a set of properties on which our moral features do supervene, a set of properties in terms of which any two individuals must differ with any moral difference.  The goal is to isolate just that set of features on which our moral properties do wholly rely.

Suppose we succeed in identifying a set of features on which F-properties supervene (where F-properties might be moral, mental, aesthetic, economic, or any other higher-level properties).  Then we can try to discover the nature of the dependence of F-properties on the underlying G-properties (for example, behavioral, physical, neurological, or intrinsic) by asking about the manner in which the former supervene on the latter.  Is it a logical truth that a difference in F-properties requires a difference in G-properties?  Is this covariance due to the causal laws that actually obtain?  Is it a matter of metaphysical necessity?  Asking these questions about the way in which F-properties supervene may help us decide whether the dependence is, for example, a wholly analytic affair, a type of causal dependence, a matter of constitution, or a matter of genuine identity.

Table of Contents

  1. Supervenience: The Basic Idea
  2. Supervenience and Non-Reductive Physicalism
  3. Varieties of Supervenience
    1. Global and Local Versions
    2. Varieties of Necessitation
  4. Two Common Complaints with Supervenience Theses
    1. Explanatory Failure
    2. Ontological Failure
  5. Concluding Remarks
  6. References and Further Readings

1. Supervenience: The Basic Idea

Nora’s latest sculpture has many intrinsic features, including its shape, density, texture, and constituent matter.  It also has various aesthetic properties — beauty, grace, elegance, and expressive power.  No doubt, the aesthetic properties of the sculpture are in some way and to some degree a result of its intrinsic features.  But in what way exactly, and to what degree?  Thinking in terms of supervenience is a good start to finding the answer.  Imagine an artwork, x*, that is intrinsically indistinguishable from Nora’s sculpture, x — a perfect duplicate of x.  Is it possible that despite the indiscernability, x* might differ aesthetically from x?  If it is not possible for x and the intrinsically indiscernable x* to differ aesthetically, then we say that the object’s aesthetic features supervene on its intrinsic features, where a class of properties, F, supervenes on a class of properties, G, just in case a difference in F-properties requires a difference in G-properties; in other words, all the same G-properties guarantee all the same F-properties.

If we decide that the object’s aesthetic properties do supervene on its intrinsic features, then we are led to inquire whether the former are identical with the latter or whether the dependence relation is of some weaker sort — for example, causal dependence or constitution.  On the other hand, if we conclude that the object’s aesthetic properties do not supervene on its intrinsic features, that is, if x* might differ aesthetically from x despite their intrinsic similarity, then we can conclude that those aesthetic properties are at least partly a function of certain relations the object bears to external items.  We are then led to ask what the relevant external relations are.  We think in terms of supervenience again, imagining various changes in x’s environment (different origins, differences in historical context, different standards of the qualified judges, differences in popular opinion), and for each of those changes we decide whether x’s aesthetic features might also differ, until we isolate just those features of the environment on which the aesthetic properties do rely.  The conclusion would then be that the object’s aesthetic features supervene on its intrinsic properties together with those external features.

As this line of inquiry shows, the concept of supervenience is an invaluable tool for deciding whether and how one set of properties depends on another.  An analogous line of inquiry is found in discussions of mental content.  The content of one’s mental states depends largely on what the individual is like internally — on the state of the brain and the brain’s causal relations to other parts of the body, including sense organs and limbs.  But does the content of one’s mental states depend entirely on these intrinsic features?  To decide this issue, we consider whether it is possible for an indistinguishable individual, a molecule-for-molecule duplicate, to differ in terms of the content of her mental states.  And thanks to the thought experiments of Hilary Putnam (1973, 1975) and Tyler Burge (1979), it is widely thought that intrinsic duplicates can indeed differ in the content of their mental states.  Putnam has us imagine a twin-earth that is exactly like earth except that what they call “water” on twin-earth is comprised of something other than H2O molecules.  The content of your water-thoughts, it seems, differs from the content of your doppelganger’s “water”-thoughts on twin-earth — simply because of the difference in the liquid toward which those thoughts are directed.  (But note that Putnam’s example is actually designed to show a difference in linguistic content, meaning, which does not in itself entail a difference in mental content.)  Likewise, Burge shows that given suitable differences in surrounding linguistic practice, the thoughts one expresses with the word ‘arthritis’ might differ in content from those that one’s doppelganger expresses.  For example, if your duplicate inhabits a possible world in which ‘arthritis’ is regularly used to describe various conditions in addition to inflammation of the joints, then it seems that the content of the duplicate’s ‘arthritis’ thoughts will differ from yours.  Examples such as these seem to show that the content of one’s mental states does not supervene on one’s intrinsic features alone, but only on a set of features that includes features of one’s environment.

While Putnam and Burge do not use the term ‘supervenience’ in the essays mentioned above (though Burge does use it in his 1986 discussion of externalism), it is clear that the concept of “no difference of one sort without differences of another sort” is being utilized.  It was Davidson’s use of ‘supervenience’ in “Mental Events” (1970) that made the term popular in the philosophy of mind.

2. Supervenience and Non-Reductive Physicalism

While Davidson denies that there are psychophysical laws, he acknowledges (in a widely cited passage) that

mental characteristics are in some sense dependent, or supervenient, on physical characteristics.  Such supervenience might be taken to mean that there cannot be two events alike in all physical respects but differing in some mental respect, or that an object cannot alter in some mental respect without altering in some physical respect” (1970, p. 88).

Not long after the appearance of Davidson’s essay, discussions of Non-Reductive Physicalism became the major locus of supervenience-talk in the philosophy of mind and the philosophical literature in general.  Due to the popularity of functionalist accounts of mentality and the wide degree of multiple realizability they entail (that is, that the same mental property can be realized by events of different physical, chemical, and neural types), a dominant view in the philosophy of mind for the past few decades is the belief that mental properties are not identical with neural properties or any other properties of the natural sciences.  Yet, many of those who reject psychophysical property-identities also claim to support Physicalism regarding mentality, the view that all mental phenomena obtain solely by virtue of physical phenomena.  One wonders: how can mentality obtain solely by virtue of physical phenomena, as Physicalism maintains, if mental properties are not physical?  The most popular answer is that while mental properties are not identical with physical properties, they nonetheless depend on nothing other than physical properties — that is, they supervene on physical properties.

Whether a mental-physical supervenience thesis captures the content of Physicalism regarding mentality depends on how exactly the supervenience relation is to be understood.  To say that there is no mental difference without some physical difference leaves the matter rather unclear.  Much of the literature on supervenience in the philosophy of mind is devoted to adding the needed precision.  Let us consider some of the many issues that arise.

3. Varieties of Supervenience

The philosophical literature is replete with all manner of ways to describe the supervenience relation — “an unlovely proliferation,” as Lewis puts it (1986, p. 14).  Here are some of the most popular brands.

a. Global and Local Versions

John Haugeland expresses the idea that all properties supervene on physical properties as follows: “[t]he world could not have been different in any respect, without having been different in some strictly physical respect” (1984, p. 1).  This is a global supervenience thesis, claiming that nonphysical difference entails physical difference at the level of possible worlds as a whole (where a possible world is a way the world could have been, which includes the actual world, the way the world actually is).  Applied to mental and physical properties, Haugeland’s global supervenience claim is that the total state of any possible world could not have been any different mentally without differing physically.  That is,

(GS)  for any possible worlds, w1 and w2, if w1 and w2 differ mentally, then w1 and w2 differ physically.

Equivalently, if w1 and w2 are exactly the same physically, then they are exactly the same mentally.

While GS goes a long way toward capturing the physicalist belief that the mental depends entirely on the physical, it is arguable that it does not go far enough.  Kim (1987, p. 321) has us imagine that some possible world b differs physically from the actual world in only the following respect: in b one of Saturn’s rings contains an additional ammonia molecule.  GS requires mental similarity only between worlds that are physically indistinguishable as a whole.  So despite the slight and innocuous physical difference between b and the actual world, GS allows that b mentally differs from the actual world as greatly as you please, perhaps being completely devoid of mentality.  This result clearly goes against the physicalist intuition that mental phenomena obtain solely by virtue of physical phenomena.  For in the case Kim describes, all of the physical features that are relevant to mentality remain constant.  So it seems that if b differs mentally from the actual world, as GS allows, then whatever mental differences there are would have to be due to something other than physical differences.  (Note that several authors identify and formulate different types of global supervenience; for a thorough description of varieties of global supervenience, see McLaughlin and Bennett, 2006.  These complexities are ignored in this introductory survey; here the concern is with global supervenience in general.)

To come closer to capturing the content of Physicalism regarding the mind, a supervenience thesis needs to require not only that worlds differing mentally differ physically, but also that individual objects and events cannot differ mentally without differing physically.  Consider, then, the following local supervenience thesis:

(LS)  for any worlds, w1 and w2, and any individuals, x in w1 and y in w2, if x in w1 differs mentally from y in w2, then x in w1 differs physically from y in w2.

Or one might choose what Kim (1984) calls “strong” supervenience.  To say that mental properties strongly supervene on physical properties is to say that

(SS) necessarily, for any mental property M, and any individual x that has M, there is a physical property (or set of physical properties) P, such that x has P, and necessarily, for any individual y, if y has P, then y has M.

The difference between LS and SS is that LS allows the possibility that some entities have mental properties without having any physical properties.  (Yet, SS and LS are equivalent when the base set of physical properties is closed under negation, that is, when for every physical property P in the base set, its negation, ~P, is also included.)

Now suppose that Carla and Marla inhabit worlds that are physically indistinguishable in every respect except for the extra ammonia molecule in a ring of Saturn.  While the worlds themselves differ physically, Carla and Marla do not.  So unlike GS, LS and SS entail that Carla and Marla are mentally indistinguishable.  So it seems that LS and SS better capture the physicalist intuition that mental facts obtain solely in virtue of physical facts.  (However, there is some debate over whether the global thesis might actually be equivalent to SS given the right closure principles.  See, for example, Petrie, 1987, Kim, 1987, Paull & Sider, 1992, and Stalnaker, 1996.)

Note that SS differs from Kim’s formulation of what he calls “weak” supervenience (WS), which lacks the second occurrence of the word ‘necessarily.’

(WS) necessarily, for any mental property M, and any individual x that has M, there is a physical property (or set of physical properties) P, such that x has P, and for any individual y, if y has P, then y has M.

Unlike SS and LS, WS requires only that physical duplicates are mental duplicates within possible worlds, thereby allowing that physical duplicates differ mentally across possible worlds.  So unlike SS and LS, WS allows that you could have had different mental properties from those you actually have without differing in any physical way.  But if you could have had different mental properties without differing physically in any way, then the mental facts about you do not depend solely on the way you are physically, which seems to be contrary to Physicalism.  Thus, SS and LS are preferable to WS.

As indicated above, by not allowing that Carla and Marla differ mentally, LS and SS might seem preferable to GS.  However, one might think that given externalist intuitions, GS is more desirable.  If externalism regarding mental content is correct, then individuals that are the same in terms of their intrinsic physical properties are not guaranteed to be mentally the same.  GS honors externalist intuitions by requiring sameness only at the level of whole worlds, thereby allowing individuals with all the same intrinsic physical properties to differ mentally.  However, Kim (1987, pp. 322-4) points out that the strong supervenience thesis, SS, can also allow the truth of externalism simply by including extrinsic properties of individuals in the supervenience base, properties such as being causally related to stuff comprised of H2O.  If the underlying physical properties, the subvening properties, include relations to external items, then LS can also accommodate externalist intuitions.  (Although, we cannot let just any extrinsic property into the supervenience base.  If we allow the extrinsic feature of occupying a world with such-and-such complete physical profile, then the strong and local supervenience theses automatically collapse into the global version.  For in that case, having all the same mental properties is not required unless the individuals occupy worlds that are physically indistinguishable in every respect.  Vera Hoffmann and Albert Newen, 2007, develop the idea of property-dependent supervenience as a way to include only those extrinsic properties that are relevant to the instantiation of a higher-level property.)

We saw that one worry about GS is that it allows great mental differences to be accompanied by what seem to be wholly irrelevant physical differences — allowing, for example, that Carla and Marla differ mentally despite their physical similarity, simply because in Marla’s world there is one more ammonia molecule in one of the rings of Saturn.  LS and SS prevent this possibility but they still fall short of fully capturing physicalist intuitions since differences irrelevant to one’s mentality are to be found not only in distant regions of space.  Suppose that Carla and Marla live in physically indistinguishable environments and their bodies are physically indistinguishable in all but the following respect: Marla has an additional electron in one of her toenails.  Since this cuticle difference seems to be completely irrelevant to mentality, we would expect that Carla and Marla are mentally indistinguishable.  However, since they are not physically indistinguishable, LS and SS allow vast mental differences between the two.  This result seems contrary to the spirit of Physicalism since Carla and Marla are physically indistinguishable in all the ways that are relevant to mentality.

The move from GS to LS and SS is an attempt to isolate those physical properties that are relevant to the exemplification of a mental property.  For a more successful attempt, one might appeal to Terence Horgan’s regional supervenience thesis.  With his notion of a P-region, a spatio-temporal region of a physically possible world, Horgan expresses his regional supervenience thesis as: “There are no two P-regions that are exactly alike in all qualitative intrinsic physical features but different in some other qualitative intrinsic feature” (1993a, p. 571).  (Also see Horgan 1982, p. 37).  Consider the region of space occupied by Marla’s whole body minus the toenail with the extra electron and the region of space occupied by the corresponding part of Carla’s body.  Since these two regions are physically indistinguishable, the regional supervenience thesis yields the correct result that Carla-minus (Carla minus the toenail) does not differ mentally from Marla-minus.  This result together with the fact that there is no mentality supervening on the physical features of the toenail itself yields that further desired conclusion that Marla as a whole is mentally the same as Carla as a whole.  (By the way, those mental and other higher-order states that require an externalist individuation will supervene on the intrinsic features of an expanded region of space, which Horgan points out, is “a region large enough to encompass, as intrinsic features, all the contextually relevant facts”: 1982, p. 39.)

Another way to isolate just those physical features that are relevant to mentality is to utilize Kim’s notion of a B-minimal property.  A property is B-minimal when “any property weaker than it is not a supervenience base” (1984, p. 165).  If a physical property, P, is B-minimal with respect to mental property M, then P is a least sufficient condition for M — that is, P’s instantiation guarantees M’s instantiation, and there is no proper constituent of P an instance of which guarantees an instance of M.  The properties that are B-minimal with respect to M do not include the number of electrons in one’s toenails.  Thus, with only B-minimal properties in the supervenience base, Carla and Marla have all the same subvening properties despite their cuticle difference, which guarantees that they have all the same mental properties.  Suppose, then, that we strengthen LS and SS to read:

(LS*) for any mental property M, there is a physical property P that is B-minimal with respect to M, such that for any possible worlds, w1 and w2, and any individuals x in w1 and y in w2, if x in w1 differs from y in w2 in terms of M, then x in w1 differs from y in w2 in terms of P

and

(SS*) necessarily, for any mental property M, and any individual x that has M, there is a physical property (or set of physical properties) P, such that (i) x has P, (ii) P is B-minimal with respect to M, and (ii) necessarily, for any individual y, if y has P, then y has M,

respectively.  Since no physical property that is B-minimal property with respect to M includes having an extra electron in a toenail, neither LS* nor SS* allows that Carla and Marla differ mentally, which is just as Physicalism seems to require given that they are physically indistinguishable in all respects relevant to mentality.

Jeffrey Poland’s (1994) formulation of Physicalism further narrows the class of relevant base properties by adding the notion of a B-minimal property to a regional supervenience thesis.  Poland worries that a physical property might qualify as a B-minimal supervenience base with respect to some higher-level (for example, mental) property without being the property by virtue of which the higher-level property is instantiated.  To remedy this defect Poland proposes that “[f]or each non-physical attribute, N, and for each region of space-time, R, if N is actually (or possibly) instantiated in R, then there exists a minimal class of physically-based attributes, P, such that the instantiation of the members of P does (or would) provide a realization of N on that occasion” (p. 191).

Apart from deciding which of these supervenience theses to endorse, there is another issue that needs to be addressed.  In formulating a supervenience thesis adequate for understanding the ontological relation between two sets of properties, we need to decide which brand of modality is to figure in our formulation?  How should the necessity operators in WS, SS, and SS* be interpreted, and what is the range of the possible worlds mentioned in GS, LS, and LS*?

b. Varieties of Necessitation

Suppose it is true that whenever there is a mental difference there is a physical difference.  It would seem that this is not merely an accidental fact, not merely a matter of the way things happen to be.  Rather it seems that the physical facts that obtain in some way necessitate the mental facts that obtain:

(N)  facts about the distribution of physical properties necessitate all the facts about the distribution of mental properties.

But what brand of necessity is at issue here?  Answering this modal question is essential to understanding how the mental depends on the physical.  The answer is also crucial to deciding whether a supervenience thesis can adequately capture all that Physicalism regarding mentality entails.

The physical facts clearly do not logically necessitate the mental facts.  The laws of logic alone do not allow us to derive the latter from the former.  However, one might wonder whether the laws of logic together with the meanings of physical and mental terms allow us to derive all true mentalistic sentences from sentences expressed in physical vocabulary.  That is, one might wonder whether

(NL-C)  facts about the distribution of physical properties logically/conceptually necessitate all the facts about the distribution of mental properties.

Yet, NL-C seems implausible on any reasonable interpretation of ‘physical.’  If we restrict the term ‘physical’ to properties described by the science of physics itself, then the obvious difference in meaning between mental vocabulary and the vocabulary of physics seems to show that NL-C is false.  Even if the word ‘physical’ were used loosely enough to include brain properties, and even if mental properties were identical with brain properties, NL-C would still be highly dubious.  Since mental talk is not synonymous with neural talk, mind-brain identity theorists rightly held their view, not as an analytic truth, but as a significant empirical hypothesis.  (See, for example, J.J.C. Smart, 1959 and U.T. Place, 1956.)  Suppose ‘physical’ is used liberally enough to include overt behavioral responses to environmental input — for example, bringing an umbrella when confronted with rain, grimacing and groaning as the punching continues, and responding appropriately in French to questions posed in French.  With this liberal use of ‘physical’ NL-C would be accepted by logical behaviorists.  Of course, this is no credit to NL-C given the well-known problems with logical behaviorism.  Although, one might think that with such a generous use of ‘physical,’ analytic functionalism (which is not as implausible as logical behaviorism) is committed to NL-C as well.  But that is not so.  Functionalists characterize mental properties in terms of their relations to environmental input, behavioral output, and other mental properties.  For instance, the belief that it is raining will be characterized in terms of an inclination to bring an umbrella if one wishes to keep dry.  Given that mental predicates are to be interdefined, even with a liberal definition of ‘physical’ the analytic functionalist would seem compelled to deny that a purely physical description logically/conceptually guarantees the truth of any mental description.

Not only does NL-C seem to be false, it also appears to be much more than what Physicalism requires.  It might be that mental phenomena depend entirely on physical phenomena (as physicalists regarding mentality contend) without there being a logical or conceptual tie between the two.  Since predicates that differ in meaning might denote the very same property, it seems that even if mental properties were identical with physical properties, it would not follow that facts about the latter logically or conceptually guarantee facts about the former.  (However, Robert Kirk claims otherwise.  Imagine the complete set, P, of facts about the world expressed in the vocabulary of an ideal physics, and suppose that this set includes all of the physical laws that obtain.  According to Kirk, Physicalism requires that the relation between P and the set of mental facts is one of strict implication, where “statement A strictly implies a statement B just in case ‘A and not-B’ involves inconsistency of a broadly logical or conceptual kind,” 2006, p. 525.  There are also the arguments of Jackson (1994 & 1998) and Chalmers’ (1996) to consider, arguments purporting to show that much more follows a priori from the physical facts than what we might be inclined to think.  Although, for Chalmers and Jackson, these do not include facts about the qualitative character of conscious experience.)

The fact that mental differences require physical differences would seem to have something, perhaps everything, to do with the laws of nature that actually obtain.  It is arguable that the laws of nature that actually obtain are what make it the case that mental sameness guarantees physical sameness.  Consider, then, the proposal that:

(NN)  facts about the distribution of physical properties nomologically necessitate all the facts about the distribution of mental properties.

However, while it is reasonable to think that the supervenience of the mental on the physical is a matter of the laws of nature that actually obtain, NN is too weak to do the work a physicalist would want a supervenience thesis to do.  The physicalist who appeals to supervenience is trying to honor the fact that the mental depends entirely on the physical without being committed to the view that mental properties are identical with physical properties.  Suppose, as is widely believed, that mental properties are not identical with physical properties.  Then the psychophysical laws by virtue of which the physical facts fix the mental facts are not purely physical laws.  In that case, NN allows that there is a possible world that is physically indistinguishable from the actual world, including all the same purely physical laws, but with a very different distribution of mental properties.  As Crane puts it, “if fixing the mental facts requires psychophysical laws, then fixing the physical facts alone is not sufficient to fix the mental facts” (1991, pp. 237-8).

To support our physicalist intuitions, it seems that we need a supervenience relation that is committed to the following necessitation claim:

(NP)  facts about the distribution of physical properties physically necessitate all the facts about the distribution of mental properties,

where p physically necessitates q just in case ‘p and not q’ is not true in any possible world with all the same physical laws as those that actually obtain.  If the physical laws did allow worlds with the same distribution of physical properties but a different distribution of mental properties, then there would be a clear sense in which the mental facts are at least partly due to something other than physical facts.  So it is arguable that our physicalist intuitions do entail just what NP states. Indeed, Np does capture a popular way that the necessity involved in supervenience theses applied to mentality are in fact understood.  (See, for example, Papineau’s formulation of Physicalism: 1993, p. 21.)

Yet, there are some worries about NP.  Lewis, Horgan, and Jackson address what is called the Problem of Extras.  Lewis claims that “Materialism is meant to be a contingent thesis, a merit of our world that not all other worlds share” (1983, p. 362).  Even if all concrete phenomena obtain solely by virtue of physical phenomena, as Physicalism maintains, it seems that things did not have to be that way.  The world could have been such that angels, ghosts, or other immaterial beings reside alongside the physical items that actually exist.  It is also arguable that Physicalism allows non-actual possible worlds where all the actual physical laws obtain but with immaterial extras — provided that these extras do not causally interfere with the physical world.  Horgan imagines that “[i]n such worlds the spirits would not interfere with the ordinary operations of physical laws upon physical substances; they would simply co-exist with the physical” (1982, p. 35).  The concern, then, is that a possible world with the same distribution of physical properties that actually obtains and all the same physical laws might nonetheless differ from the actual world by having immaterial mental extras.  If such a possible world is consistent with the truth of Physicalism, as Lewis and Horgan think, then the truth of Physicalism does not require that physical sameness (including physical laws) guarantees mental sameness.  And if so, then NP is not necessary for the truth of Physicalism.

One way to solve the Problem of Extras is to identify some restricted class of physically possible worlds and then characterize Physicalism as the view that physical sameness entails mental (and other higher-order) sameness in that restricted class of worlds.  For example, Frank Jackson (1998) appeals to the notion of a minimal physical duplicate, where “a minimal physical duplicate of our world is a world that (a) is exactly like our world in every physical respect (instantiated property for instantiated property, law for law, relation for relation), and (b) contains nothing else in the sense of nothing more by way of kinds or particulars than it must to satisfy (a)” (p. 13).  With this notion of a minimal physical duplicate, Jackson proposes that we characterize Physicalism in general as the view that “[a]ny world which is a minimal physical duplicate of our world is a duplicate simpliciter of our world” (p. 12).  That is, if you physically duplicate the actual world and stop right there, then what results does not differ mentally or in any other way from the actual world.  To restrict the class of physically possible worlds where physical sameness entails mental sameness, Lewis (1983) relies on the notion of a property’s being “alien” to a world, where “a property is alien to a world iff (1) it is not instantiated by any inhabitant of that world, and (2) it is not analysable as a conjunction of, or as a structural property constructed out of, natural properties all of which are instantiated by inhabitants of that world” (p. 364).  With the notion of an alien property, Lewis offers the following supervenience claim: “[a]mong worlds where no natural properties alien to our world are instantiated, no two differ without differing physically; any two such worlds that are exactly alike physically are duplicates” (p. 364).  If we think that a physically possible world with the distribution of physical properties that actually obtains might nonetheless contain immaterial mental extras, then we might restrict NP with the help of either Lewis’ proposal or Jackson’s (or Horgan’s proposal, which appeals to the notion of a physically accessible world, a P-world, 1982, p. 36-7).

Another potential concern about NP is expressed by Francescotti (2000, 1998).  Suppose, as many believe, that mental properties are not identical with physical properties.  Then the purely physical laws do not range over mental properties.  In that case, Francescotti argues, the physical properties instantiated would determine which mental properties are instantiated only given the truth of irreducibly psychophysical laws.  But if so, it is arguable that the truth of Np requires that mental properties are identical with physical properties (which seems to be a threat to Non-Reductive Physicalism assuming that Physicalism requires the physical necessitation of mental facts).

The search for the exact way in which the physical facts necessitate the mental facts continues.  There are also the remaining issues described in section 3-a — whether to prefer local to global supervenience, and whether and how to make the thesis super-local to capture only those physical properties that are relevant to mentality.  There is also the issue of whether the supervenience base should be restricted to qualitative properties or whether non-qualitative, impure properties should also be included — properties such as containing a neural event that is numerically identical with neural event x.  (Recall that Horgan’s regional supervenience thesis is restricted to qualitative properties.)  There is also the question of whether it is acceptable for a supervenience thesis to be restricted to same-subject necessitation, where the base properties are restricted to properties of the very same object that bears the supervening properties.  Should we prefer multiple-domain supervenience (where the supervening properties are exemplified by a domain of items that differs from the domain of the subvening properties) — allowing, for example, that the base properties are properties of constituents of the individuals with the supervening properties?  While supervenience theorists have been dealing for years with these technical matters and many others regarding the details of the supervenience relation, some general objections have been raised to the whole project of trying to describe the dependence of the mental on the physical in terms of supervenience.  Let’s consider two common complaints.

4. Two Common Complaints with Supervenience Theses

Kim (1993) tells us that a supervenience thesis “itself says nothing about the nature of the dependence involved; it tells us neither what kind of dependency it is, nor how the dependency grounds or explains the property covariation” (pp. 165-6).  So a supervenience thesis leaves us wondering:

Is it a matter of causal dependence?  Is it in some way analogous to mereological supervenience?  Is it after all a matter of meaning dependence, as logical behaviorists and some functionalists claim?  Perhaps, a matter of divine intervention or plan as Malebranche and Leibniz thought?   Or a brute and in principle unexplainable relationship which we must accept “with natural piety,” as some emergentists used to insist?  (p. 167)

There are two distinct worries expressed here — the failure of a supervenience thesis to explain mental phenomena and its failure to ontologically ground mental phenomena.

a. Explanatory Failure

If the mental supervenes on the physical as a matter of logical-conceptual necessity, then there would be an easy explanation (in terms of the laws of logic and meanings of our mental and physical terms) for why physical sameness guarantees mental sameness.  Yet, if NL-C is to be rejected, as it seems it should, then the worry is that the dependence of the mental on the physical is left unexplained.  One might appeal to psychophysical laws as the explanation — P guarantees M because it is a law that P → N.  But this does not explain why the psychophysical law P → N obtains.  The complaint that an account expressed solely in terms of supervenience commits us to unexplained psychophysical laws has been raised by many.  See, for example, Gardner (2005, p. 201-2), Kim (1989, sec. IV, 1993, pp. 165-9), Heil, (1998), Horgan (1993a, sec. 8, 1993b, sec. 5), and Moreland (1998, pp. 50-1).  A physicalist might allow that there are brute laws, provided that these are purely physical.  But if a law is not purely physical, if it is irreducibly psychophysical, then as a physicalist one would expect an explanation in terms of purely physical laws of why that psychophysical law obtains, and this explanation is what a mere supervenience claim does not provide.  As a result, a physicalist might be compelled to find some suitable brand of what Horgan calls “superdupervenience” — “ontological supervenience that is robustly explainable in a materialistically acceptable way” (1993, p. 577).

Regarding the explanatory concern, two points are worth mentioning.  First, if we are offering an ontological account of mentality, then it is not clear that a “materialistically acceptable” explanation is required.  According to Physicalism as an ontological doctrine, mental (and other higher-level) phenomena obtain solely by virtue of physical phenomena.  However, it might be that mental phenomena are entirely due to physical phenomena in a way that is inexplicable to us.  So if our concern is with the ontological status of mentality, then it is arguably not a fault of a supervenience-based account that it falls short of superdupervenience.  Secondly, it seems that a supervenience thesis by itself can take us some way, perhaps a long way, toward understanding the nature of the psychophysical dependence.  Recall that an adequate formulation of a supervenience thesis will need to make clear what brand of necessity is involved.  Suppose that mental properties supervene on physical properties with physical necessity.  Then the purely physical laws that actually obtain provide the explanation of why changes in mental properties require changes in physical properties.  Suppose that mental properties supervene on physical properties with nomological necessity only.  Then the explanation of why the mental supervenes on the physical would appeal to irreducibly psychophysical laws.  This explanation might not (and should not) satisfy a physicalist, but it is an explanation nonetheless, and perhaps even the correct explanation.  Or maybe the physical facts fix the mental facts with a type of necessity that lies between the logical/conceptual variety and the physical brand — with the metaphysical necessity that some philosophers discuss.  Then we might decide that the mental supervenes on the physical, not because of the physical laws that actually obtain, but due to some other type of relation, perhaps identity or maybe some mereological (part-whole) relation.  It seems, then, that thinking about the modality involved in a supervenience thesis can profitably guide our thoughts about why mental properties covary with physical properties in the way that they do.

There is another reason, and perhaps a better reason than explanatory failure, to be dissatisfied with a mere supervenience thesis.

b. Ontological Failure

Since a mental-physical supervenience thesis tells us only how mental properties covary with physical properties, it is compatible not only with property dualism (as the non-reductive physicalist would hope) but also with substance dualism.  Even if substance dualism were true, it might be that immaterial minds are causally connected or otherwise related to physical bodies in such a way that any variation in the properties of these immaterial minds occurs only with a variation in physical properties of the body.  Physicalism certainly does not allow that substance dualism is true.  So, since a supervenience thesis is compatible with substance dualism, it does not fully capture our physicalist intuitions.

However, there is still hope for an adequate formulation of Physicalism regarding mentality that is largely supervenience-based.  To avoid substance dualism, we simply need to conjoin a supervenience thesis with some constraint on the composition of mental items.  For example, as Geoffrey Hellman and Frank Thompson (1975) state with their Principle of Physical Exhaustion, “everything concrete is exhausted by basic physical objects” (p. 555).  Likewise, Phillip Pettit (1993) insists that “[e]verything in the empirical world is composed in some way — composed without remainder — out of (subatomic) entities of the kind that microphysics posits, or it is itself uncomposed and microphysical” (p. 215).  Applied to mentality, the claim is: all mental particulars (all instances and bearers of mental properties) are ultimately comprised entirely of physical particulars.

Or we might wish to combine a supervenience thesis with a realization claim.  The claim that mental properties are realized physically is popular among those who support Physicalism while denying psychophysical identities.  The notion of physical realization adds to the Principle of Physical Exhaustion the idea that mental properties are functional properties that are exemplified by virtue of instances of physical properties playing the definitive functional roles.  So the idea that mental properties are realized physically would also seem to rule out immaterial mental items.  (Indeed, Andrew Melynk, for example, 1996, 2003, and 2006, argues that a realization thesis itself, suitably refined, is enough to capture the content of Physicalism even without an independent supervenience claim.)

5. Concluding Remarks

It is widely agreed that the notion of supervenience cannot by itself fully explain the dependence of the mental on the physical.  Yet, we must not underestimate the value of the concept to understanding how mental properties relate to the physical properties on which they depend.  Whether or not we actually use the term ‘supervenience,’ our first step in deciding whether F-properties depend solely on G-properties is to decide whether a difference in the former requires a difference in the latter.  On the basis of various thought-experiments, we might conclude that (i) F-properties do not supervene on G-properties, that is, that the former are not entirely a function of the latter (as many conclude regarding the relation between mental content and intrinsic bodily features).  While (i) is a negative result, it is quite useful insofar as it directs our attention to features, perhaps previously overlooked, on which F-properties do depend (for example, surrounding linguistic practice or the internal structure of the external objects of our thought).  Suppose, on the other hand, we conclude that F-properties do supervene on G-properties.  Establishing this conclusion is an essential step to concluding further that (ii) F-properties are identical with G-properties (since any set of properties trivially supervenes on itself).  Or instead of (ii), we might conclude that (iii) F-properties depend entirely on but are not identical with G-properties.  Whichever of (i)-(iii) we choose, that choice inevitably involves deciding whether supervenience obtains.

Regarding the mental and the physical, we might decide either that (ii*) mental properties are physical properties or that (iii*) while non-physical, mental properties nonetheless depend entirely on physical properties.  Being a physicalist regarding mentality seems to require accepting at least (iii*).  And since both (ii*) and (iii*) entail that the mental supervenes on the physical, it seems Kim is right to note that “mind-body supervenience represents the minimal physicalist commitment” (1993, p. 168).  A supervenience thesis, however, is not merely a minimal physicalist commitment, for it need not leave the mental-physical covariance wholly unexplained.  Suppose we accept (ii*).  Then we have a simple explanation of the covariance: changes in the mental require changes in the physical simply because the mental is the physical.  On the other hand, if we accept (iii*), then as noted in section 3-a, thinking about the brand of necessity involved in our supervenience thesis (conceptual, metaphysical, physical, or nomological) can take us some way, perhaps a long way, toward figuring out what type of dependence obtains.  And since even making a decision regarding (i)-(iii), or (ii*)-(iii*), requires engaging in thoughts about supervenience, the concept is not only helpful, but indispensible to understanding the relation between the two sets of properties.  So whether or not the term ‘supervenience’ remains in vogue, the very notion will remain a crucial and potentially highly useful part of our inquiry into the relation between the mental and the physical.  As Dean Rickles, another writer for this encyclopedia puts it, “supervenience deserves the central place that is has found in the philosophers’ toolbox” (2006).

6. References and Further Readings

  • Beckermann, A., H. Flohr, and J. Kim (1992).  Emergence or Reduction? Essays on the Prospects of Nonreductive Physicalism (Berlin: Walter de Gruyter).
  • Bennett, K. (2004). “Global Supervenience and Dependence,” Philosophy and Phenomenological Research 68: 510-529.
  • Burge, T. (1979).  “Individualism and the Mental,” Midwest Studies in Philosophy 4: 73-121.
  • Burge, T. (1986).  “Individualism and Psychology,” The Philosophical Review 95: 3-45.
  • Chalmers, D. (1996).  The Conscious Mind (New York: Oxford University Press).
  • Chalmers, D. and F. Jackson (2001).  “Conceptual Analysis and Reductive Explanation,” Philosophical Review 110: 15-60.
  • Crane, T. (1991).  “All God Has To Do,” Analysis 51: 235-244.
  • Davidson, D. (1970).  “Mental Events,” in L. Foster and J. W. Swanson (eds.), Experience and Theory (Amherst, MA: University of Massachusetts Press): 79-101.
  • Francescotti, R. (2000).  “Ontological Physicalism and Property Pluralism: Why They are Incompatible,” Pacific Philosophical Quarterly 81: 349-362.
  • Francescotti (1998).  “The Non-Reductionist’s Troubles with Supervenience,” Philosophical Studies 89: 105-124.
  • Gardner, T. (2005).  “Supervenience Physicalism: Meeting the Demands of Determination and Explanation,” Philosophical Papers 34: 189-208.
  • Hare, R.M. (1952).  The Language of Morals (Oxford: Oxford University Press).
  • Haugeland, J. (1984). “Ontological Supervenience,” The Southern Journal of Philosophy, Supplement 22: 1-12.
  • Heil, J. (1998).  “Supervenience Deconstructed,” European Journal of Philosophy 6: 146-155.
  • Hellman, G. and F. W. Thompson, (1975). “Physicalism: Ontology, Determination, and Reduction,” The Journal of Philosophy 72: 551-564.
  • Hoffmann-Kolss, V. (2010).  The Metaphysics of Extrinsic Properties (Frankfurt: Ontos Verlag).
  • Hoffmann, V. and A. Newen (2007).  “Supervenience of Extrinsic Properties,” Erkenntnis 67: 305-319.
  • Hofweber, T. (2005).  “Supervenience and Object-Dependent Properties,” The Journal of Philosophy 102: 5-32.
  • Horgan, T. (1993a).  “From Supervenience to Superdupervenience: Meeting the Demands of a Material World,” Mind 102: 555-586.
  • Horgan, T. (1993b).  “Nonreductive Materialism and the Explanatory Autonomy of Psychology,” in S. J. Wagner and R. Warner (eds.), Naturalism (Notre Dame: University of Notre Dame Press): 295-320.
  • Horgan, T. (ed.) (1984). Southern Journal of Philosophy 22: The Spindel Conference 1983 Supplement, Supervenience.
  • Horgan, T. (1982).  “Supervenience and Microphysics,” Pacific Philosophical Quarterly 63: 29-43.
  • Howell, R. J. (2009).  “Emergentism and Supervenience Physicalism,” Australasian Journal of Philosophy 87: 83-98.
  • Jackson, F. (1998).  From Metaphysics to Ethics: A Defence of Conceptual Analysis (Oxford: Clarendon Press).
  • Jackson, F. (1994).  “Armchair Metaphysics,” in M. Michael and J. O’Leary-Hawthorne (eds.), Philosophy in Mind, (Dordrecht: Kluwer): 23-42.
  • Kim, J. (1993).  Supervenience and Mind: Selected Philosophical Essays (Cambridge: Cambridge University Press).
  • Kim, J. (1990).  “Supervenience as a Philosophical Concept,” Metaphilosophy 21: 1-27.
  • Kim, J. (1989).  “The Myth of Nonreductive Physicalism,” Proceedings and Addresses of the American Philosophical Association 63: 31-47.
  • Kim, J. (1987).  “‘Strong’ and ‘Global’ Supervenience Revisited,” Philosophy and Phenomenological Research 48: 315-326.
  • Kim, J. (1984).  “Concepts of Supervenience,” Philosophy and Phenomenological Research 45: 153-176.
  • Kirk, R. (2006).  “Physicalism and Strict Implication,” Synthese 151: 523-536.
  • Kirk, R. (1996).  “Strict Implication, Supervenience, and Physicalism,” Australasian Journal of Philosophy 74: 244-256.
  • Lewis, D. (1986).  The Plurality of Worlds (Oxford: Blackwell).
  • Lewis, D. (1983).  “New Work for a Theory of Universals,” Australasian Journal of Philosophy 61: 343-377.
  • McLaughlin, B. and K. Bennett (2005).  “Supervenience,” in E. N. Zalta (ed.), The Stanford Encyclopedia of Philosophy.
  • McLaughlin, B. (1995).  “Varieties of Supervenience,” in E. Savellos and U. D. Yakrin (eds.), Supervenience: New Essays (Cambridge: Cambridge University Press): 16-59.
  • McLaughlin, B. (1992).  “The Rise and Fall of British Emergentism,” in A. Beckermann, H. Flohr, and J. Kim (eds.), Emergence or Reduction? Essays on the Prospects of Nonreductive Physicalism (Berlin: De Gruyter): 49-93.
  • Melnyk, A. (2006).  “Realization and the Formulation of Physicalism,” Philosophical Studies 131: 127-155.
  • Melnyk, A. (2003).  A Physicalist Manifesto (Cambridge: Cambridge University Press).
  • Melnyk, A. (1996).  “Formulating Physicalism: Two Suggestions,” Synthese 105: 381-407.
  • Moore, G. E. (1922).  Philosophical Studies (London: Routledge).
  • Moreland, J. P. (1998). “Should a Naturalist be a Supervenient Physicalist?,” Metaphilosophy 29: 35-57.
  • Moser, P. (1992).  “Physicalism and Global Supervenience,” The Southern Journal of Philosophy 30: 71-82.
  • Papineau, D. (1993).  Philosophical Naturalism (Oxford: Blackwell).
  • Paull, C. and T. Sider (1992).  “In Defense of Global Supervenience,” Philosophy and Phenomenological Research 32: 830-45.
  • Petrie, B. (1987).  “Global Supervenience and Reduction,” Philosophy and Phenomenological Research 48:119-30.
  • Pettit, P. (1993).  “A Definition of Physicalism,” Analysis 53: 213-223.
  • Place, U. T. (1956).  “Is Consciousness a Brain Process?,” The British Journal of Psychology 47: 44-50.
  • Poland, J. (1994).  Physicalism: The Philosophical Foundations (Oxford: Oxford University Press).
  • Putnam, H. (1975). “The Meaning of Meaning,’ in K. Gunderson (ed.), Language, Mind, and Knowledge, Minnesota Studies in the Philosophy of Science 7:131-193.
  • Putnam, H. (1973).  “Meaning and Reference,” The Journal of Philosophy 70: 699-711.
  • Rickles, D. (2006).  “Supervenience and Determination,” in J. Fieser and B. Dowden (eds.), Internet Encyclopedia of Philosophy.
  • Shoemaker, S.  (1998).  “Causal and Metaphysical Necessity,” Pacific Philosophical Quarterly 79: 59-77.
  • Shoemaker, S.  (1980).  “Causality and Properties,” in P. van Inwagen (ed.), Time and Cause (Dordrecht: D. Reidel): 109-135.
  • Shrader, W. (2008).  “On the Relevance of Supervenience Theses to Physicalism,” Acta Analytica 23: 257-271.
  • Smart, J. J. C. (1959).  “Sensation and Brain Processes,” The Philosophical Review 68: 141-156.
  • Stalnaker, R. (1996). “Varieties of Supervenience,” Philosophical Perspectives 10: 221-41.
  • Steward, H.  (1996).  “Papineau’s Physicalism,” Philosophy and Phenomenological Research 56: 667-672.
  • Van Cleve, J. (1990).  “Mind-Dust or Magic?: Panpsychism versus Emergence,” Philosophical Perspectives 4: 215-226.
  • Witmer, D. G. (1999).  “Supervenience Physicalism and the Problem of Extras,” The Southern Journal of Philosophy 37: 315-331.
  • Wilson, J.  (2005).  “Supervenience-based Formulations of Physicalism,” Nous 39: 426-459.
  • Yoshimi, J. (2007).  “Supervenience, Determination, and Dependence,” Pacific Philosophical Quarterly 88: 114-133.

 

Author Information

Robert Francescotti
Email: rfrances@mail.sdsu.edu
San Diego State University
U. S. A.

Aquinas: Metaphysics

aquinasMetaphysics is taken by Thomas Aquinas to be the study of being qua being, that is, a study of the most fundamental aspects of being that constitute a being and without which it could not be. Aquinas’s metaphysical thought follows a modified but general Aristotelian view. Primarily, for Aquinas, a thing cannot be unless it possesses an act of being, and the thing that possesses an act of being is thereby rendered an essence/existence composite. If an essence has an act of being, the act of being is limited by that essence whose act it is. The essence in itself is the definition of a thing; and the paradigm instances of essence/existence composites are material substances (though not all substances are material for Aquinas; for example, God is not). A material substance (say, a cat or a tree) is a composite of matter and form, and it is this composite of matter and form that is primarily said to exist. In other words, the matter/form composite is predicated neither of, nor in, anything else and is the primary referent of being; all other things are said of it. The details of this very rich metaphysical landscape are described below.

Table of Contents

  1. The Nature of Metaphysics
  2. Essence and Existence
  3. Participation
  4. Substance and Accident
  5. Matter and Form
  6. References and Further Reading
    1. Primary Sources
    2. General Studies

1. The Nature of Metaphysics

Saint Thomas, that is, Aquinas, clarifies the nature of metaphysics through ascertaining its particular subject-matter, its field of investigation. In order to ascertain the subject-matter of any particular science, Thomas distinguishes between the different intellectual operations that we use when engaged in some particular scientific endeavor. Broadly speaking, these fall into two categories: the speculative and the practical. Concerning some sciences, the intellect is merely speculative  by contemplating the truth of some particular subject-matter; while concerning other sciences, the intellect is practical, by ascertaining the truth and seeking to apply it. There are thus correspondingly two distinct classes of science: speculative science and practical science. Speculative sciences are those that contemplate truth whereas practical sciences are those that apply truth for some practical purpose. The sciences are then further distinguished through differentiating their various subject-matters.

Insofar as the speculative sciences merely contemplate truth but do not apply it for some practical purpose, the subject-matter of the speculative sciences is that which can be understood to some extent. Working within the Aristotelian tradition, Thomas holds that something is understood when it is separated from matter and is necessary in some respect. For instance, when we understand the nature of a tree, what we understand is not primarily the matter that goes to constitute the tree in question, but what it is to be a tree, or the structuring principle of the matter that so organizes it and specifies it as a tree rather than a plant. Furthermore, assuming our understanding is correct, when we understand a thing to be a tree, we do not understand it to be a dog, or a horse, or a cat. Thus, in our understanding of a tree, we understand that which is necessary for the tree to be a tree, and not of anything that is not a tree. Hence, our understanding of a thing is separated from its matter and is necessary it in some respect. Now, what is in motion is not necessary, since what is in motion can change. Thus, the degree to which we have understood something is conditional upon the degree to which it is separated from matter and motion. It follows then that speculative objects, the subject-matter of the speculative sciences, insofar as they are what are understood, will be separated from matter and motion to some degree. Any distinctions that obtain amongst speculative objects will in turn signify distinctions amongst the sciences that consider those objects; and we can find distinctions amongst speculative objects based upon their disposition towards matter and motion.

There are three divisions that can apply to speculative objects, thereby permitting us to differentiate the sciences that consider such objects: (i) there is a class of speculative objects that are dependent on matter and motion both for their being and for their being understood, for instance, human beings cannot be without matter, and they cannot be understood without their constituent matter (flesh and bones); (ii) there is a class of speculative objects that depend on matter and motion for their being, but not for their being understood, for instance, we can understand lines, numbers, and points without thereby understanding the matter in which they are found, yet such things cannot be without matter; (iii) there is a class of speculative objects that depend on matter and motion neither for their being nor for their being understood.

Given these three classes of speculative objects, the speculative sciences that consider them can be enumerated accordingly: (i) physical science considers those things that depend on matter and motion both for their being and for their being understood; (ii) mathematics considers those things that depend on matter and motion for their being but not for their being understood; (iii) metaphysics or theology deals with those things that depend on matter and motion neither for their being nor for their being understood. Before going on to consider the subject-matter of metaphysics in a little more detail, it is important to point out that Thomas takes this division of the speculative sciences as exhaustive. For Thomas, there could be no fourth speculative science; the reason for this is that the subject-matter of such a science would have to be those things that depend on matter and motion for their being understood but not for their being, for all other combinations have been exhausted. Now, if a thing depends on matter and motion for its being understood but not for its being, then matter and motion would be put into its definition, which defines a thing as it exists. But if a thing’s existence is so defined as to include matter and motion, then it follows that it depends on matter and motion for its being; for it cannot be understood to be without matter and motion. Hence, all things that include matter and motion in their definitions are dependent on matter and motion for their being, but not all things that depend on matter and motion for their being depend on matter and motion for their being understood. There could be no fourth speculative science since there is no fourth class of speculative objects depending on matter and motion for their being understood but not for their being. Thomas thus sees this threefold division of the speculative sciences as an exhaustive one.

The third class of speculative objects comprises the objects of metaphysics or theology. Now Thomas does not equate these two disciplines, but goes on to distinguish between the proper subject-matter of metaphysics and the proper subject-matter of theology. Recall that this third class of speculative objects comprises those things depending on matter and motion neither for their being nor for their being understood. Such things are thus immaterial things; however, Thomas here draws a distinction. There are things that are immaterial insofar as they are in themselves complete immaterial substances; God and the angels would be examples of such things. To give the latter a title, let them be called positively immaterial. On the other hand there are things that are immaterial insofar as they simply do not depend on matter and motion, but can nevertheless be sometimes said to be found therein. In other words, things of the latter category are neutral with respect to being found in matter and motion, and hence they are neutrally immaterial. St Thomas’s examples of the latter are: being, substance, potency, form, act, one and many; such things can apply equally to material things (such as humans, dogs, cats, mice) and, to some extent, to positively immaterial things. Thus, the neutrally immaterial seem to signify certain aspects or modes of being that can apply equally to material and to immaterial things. The question then arises: what is the proper subject-matter of metaphysics: the positively immaterial or the neutrally immaterial?

According to Thomas, unaided human reason cannot have direct knowledge of the positively immaterial; this is because such things (God and angels) outstrip the human intellect’s capacity to know. Nevertheless, direct knowledge of the positively immaterial is possible, but this will not be on the basis of unaided human reason; it will require that the positively immaterial reveal themselves to us in some way, in which case direct knowledge of the positively immaterial will be dependent on some sort of revelation. As it is a purely rational science, not dependent on or presupposing the truths of revelation, metaphysics will be a study of the neutrally immaterial aspects of things, that is, a study of those modes of being that apply to all beings, whether they are material or immaterial. Such a study will be in accord with the Aristotelian conception of metaphysics as a study of being qua being, insofar as the neutrally immaterial apply to all beings and are not restricted to a certain class of beings. However, Thomas does not adopt the Aristotelian phrase (being qua being) as the subject-matter of metaphysics, he offers his own term. According to Thomas, ens commune (common being) is the proper subject-matter of metaphysics. Through an investigation of ens commune, an investigation into the aspects of being common to all beings, the metaphysician may indeed come to a knowledge of the causes of being and might thereby be led to the affirmation of divine being, but this is only at the end of the metaphysical inquiry, not at the beginning. Thus, metaphysics for Aquinas is a study of ens commune where this is understood as the common aspects of being without which a thing could not be; it does not presuppose the existence of divine being, and may not even be led to an affirmation of divine being (though Thomas of course offers several highly complex metaphysical arguments for the existence of divine being, but this should not be taken to be essential to the starting point of Thomistic metaphysics).

Metaphysics then is a study of the certain aspects common to all beings; and it is the task of the metaphysician to uncover the aspects of being that are indeed common and without which a thing could not be. There are certain aspects of being that are common insofar as they are generally applicable to all beings, and these are essence and existence; all beings exist and have an essence, hence metaphysics will be primarily concerned with the nature of essence and existence and their relationship to each other. Having completed an investigation into essence and existence, the metaphysician must investigate the aspects of being that are common to particular instances of being; and this will be a study of (i) the composition of substance and accident, and (ii) the composition of matter and form. The format of Thomistic metaphysics then takes a somewhat dyadic structure of descending generality: (i) essence and existence, (ii) substance and accident, (iii) matter and form. The format of the remainder of this article will be an investigation into these dyadic structures.

2. Essence and Existence

 

A general notion of essence is the following: essence is the definable nature of the thing that exists. Quite generally then, the essence of a thing is signified by its definition. The immediate question then is how the essence of a thing relates to its existence. In finite entities, essence is that which has existence, but it is not existence; this is a crude articulation of Thomas’s most fundamental metaphysical teaching: that essence and existence are distinct in finite entities. A consideration then of essence and existence in Thomas’s metaphysical thought will thus be a consideration of his fundamental teaching that essence and existence are distinct.

The most famous, and to a certain degree the most controversial, instance wherein Thomas argues for a distinction between a thing’s essence and its existence is in De Ente et Essentia [On Being and Essence] Chapter Four. The context is a discussion of immaterial substances and whether or not they are composed of matter. In that passage, Thomas is concerned with a popular medieval discussion known as universal hylemorphism. St Bonaventure, Thomas’s contemporary, had held that insofar as creatures are in potency in some respect, they must be material in some respect, since on the Aristotelian account, matter is the principle of potency in a thing. Thus, creatures, even immaterial creatures, must be material in some respect, even if this materiality is nothing like our corporeal materiality. Thomas takes up this issue in De Ente Chapter 4, pointing out that the Jewish thinker Avicebron seems to have been the author of this position.

Thomas takes the notion of universal hylemorphism to be absurd. Not only does it conflict with the common sayings of the philosophers, but also it is precisely as separated from matter and all material conditions that we deem separate (immaterial) substances separate, in which case they cannot be composed of matter. But if such substances cannot be composed of matter, what accounts for their potentiality? Such substances are not God, they are not pure act, they are in potentiality in some respect. So, if they are not material, then how are they in potency? Thomas is thus led to hold that they have an element of potentiality, but this is not the potency supplied by matter; rather, immaterial substances are composed of essence and existence, and it is the essence of the thing, standing in potency to a distinct act of existence, that accounts for the potentiality of creatures and thereby distinguishes them from God, who is not so composed. Thomas’s argumentation for the distinction between essence and existence unfolds on three stages and for each stage there has been at least one commentator who has held that Thomas both intended and established the real distinction therein.

In the first stage Thomas argues as follows. Whatever does not enter into the understanding of any essence is composed with that essence from without; for we cannot understand an essence without understanding the parts of that essence. But we can understand the essence of something without knowing anything about its existence; for instance, one can understand the essence of a man or a phoenix without thereby understanding the existence of either. Hence, essence and existence are distinct.

This little paragraph has generated considerable controversy, insofar as it is unclear what sort of distinction Thomas intends to establish at this stage. Is it merely a logical distinction whereby it is one thing to understand the essence of a thing and another to understand its existence? On this account, essence and existence could well be identical in the thing yet distinct in our understanding thereof (just as ‘Morning star’ and ‘Evening star’ are distinct in our conceptual expressions of the planet Venus, yet both are identical with Venus). On the other hand, does Thomas attempt to establish a real distinction whereby essence and existence are not only distinct in our understanding, but also in the thing itself? Commentators who hold that this stage only establishes a logical distinction focus on the fact that Thomas is here concerned only with our understanding of essence and not with actual (real) things; such commentators include Joseph Owens and John Wippel. Commentators who hold that this stage establishes a real distinction focus on the distinction between the act of understanding a thing’s essence and the act of knowing its existence, and they argue that a distinction in cognitional acts points to a distinction in reality; such commentators include Walter Patt, Anthony Kenny, and Steven Long.

In the second stage of argumentation, Thomas claims that if there were a being whose essence is its existence, there could only be one such being, in all else essence and existence would differ. This is clear when we consider how things can be multiplied. A thing can be multiplied in one of three ways: (i) as a genus is multiplied into its species through the addition of some difference, for instance the genus ‘animal’ is multiplied into the species ‘human’ through the addition of ‘rational’; (ii) as a species is multiplied into its individuals through being composed with matter, for instance the species ‘human’ is multiplied into various humans through being received in diverse clumps of matter; (iii) as a thing is absolute and shared in by many particular things, for instance if there were some absolute fire from which all other fires were derived. Thomas claims that a being whose essence is its existence could not be multiplied in either of the first two ways (he does not consider the third way, presumably because in that case the thing that is received or participated in is not itself multiplied; the individuals are multiplied and they simply share in some single absolute reality). A being whose essence is its existence could not be multiplied (i) through the addition of some difference, for then its essence would not be its existence but its existence plus some difference, nor could it be multiplied (ii) through being received in matter, for then it would not be subsistent, but it must be subsistent if it exists in virtue of what it is. Overall then, if there were a being whose essence is its existence, it would be unique, there could only be one such being, in all else essence and existence are distinct.

Notice that Thomas has once again concluded that essence and existence are distinct. John Wippel takes this to be the decisive stage in establishing that essence and existence are really distinct. He argues that insofar as it is impossible for there to be more than one being whose essence is its existence, there could not be in reality many such beings, in which case if we grant that there are multiple beings in reality, such beings are composed of essence and existence. On the other hand, Joseph Owens has charged Wippel with an ontological move and claims that Wippel is arguing from some positive conceptual content, to the actuality of that content in reality. Owens argues that we cannot establish the real distinction until we have established that there is something whose essence is its existence. Given the existence of a being whose essence is its existence, we can contrast its existence with the existence of finite things, and conclude that the latter are composites of essence and existence; and so Owens sees the real distinction as established at stage three of Thomas’s argumentation: the proof that there actually is a being whose essence is its existence.

Thomas begins stage three with the premise that whatever belongs to a thing belongs to it either through its intrinsic principles,  its essence, or from some extrinsic principle. A thing cannot be the cause of its own existence, for then it would have to precede itself in existence, which is absurd. Everything then whose essence is distinct from its existence must be caused to be by another. Now, what is caused to be by another is led back to what exists in itself (per se). There must be a cause then for the existence of things, and this because it is pure existence (esse tantum); otherwise an infinite regress of causes would ensue.

It is here that Owens believes that Thomas establishes the real distinction; since Thomas establishes (to his own satisfaction) that there exists a being whose essence is its existence. Consequently, we can contrast the existence of such a being with the existence of finite entities and observe that in the latter existence is received as from an efficient cause whereas in the former it is not. Thus, essence and existence are really distinct. However, it is important to note that on this interpretation, the real distinction could not enter into the argument for the existence of a being whose essence is its existence; for, on Owens’s account, such argumentation is taken to establish the real distinction. If it can be shown then that Thomas’s argumentation for the existence of a being whose essence is its existence does presuppose the real distinction, then Owens’s views as to the stage at which the real distinction is established would be considerably undermined.

Having established (at some stage) that essence and existence are distinct and that there exists a being whose essence is its existence, Thomas goes on to conclude that in immaterial substances, essence is related to existence as potency to act. The latter follows insofar as what receives existence stands in potency to the existence that it receives. But all things receive existence from the being whose essence is its existence, in which case the existence that any one finite thing possesses is an act of existence that actuates a corresponding potency: the essence. Thomas has thus shown that immaterial substances do indeed have an element of potency, but this need not be a material potency.

Notice that here Thomas correlates essence and existence as potency and act only after he has concluded to the existence of a being whose essence is its existence (God). One wonders then whether or not essence and existence can be related as potency and act only on the presupposition of the existence of God. Regardless of his preferred method in the De Ente Chapter 4, Thomas could very well have focussed on the efficiently caused character of existence in finite entities (as he does in the opening lines of the argument for the existence of God), and argued that insofar as existence is efficiently caused (whether or not this is from God), existence stands to that in which it inheres as act to potency, in which case the essence that possesses existence stands in potency to that act of existence. Therefore, Thomas need not presuppose the existence of God in order to hold that essence and existence are related as potency and act; all he need presuppose is (i) that essence and existence are distinct and (ii) that existence is efficiently caused in the essence/existence composite.

3. Participation

 

Essence/existence composites merely have existence; whatever an essence/existence composite is, it is not its existence. Insofar as essence/existence composites merely have, but are not, existence, they participate in existence in order to exist. This is a second of Thomas’s fundamental metaphysical teachings: whatever does not essentially exist, merely participates in existence. Insofar as no essence/existence composite essentially exists, all essence/existence composites merely participate in existence. More specifically, the act of existence that each and every essence/existence composite possesses is participated in by the essence that exists.

As a definition of participation, Thomas claims that to participate is to take a part (in) (partem capere) something. Following this definition, Thomas goes on to explain how one thing can be said to take a part in and thereby participate in another; this can happen in three ways.

Firstly, when something receives in a particular fashion what pertains universally to another, it is said to participate in that other; for example, a species (‘man’) is said to participate in its genus (‘animal’) and an individual (Socrates) is said to participate in its species (‘man’) because they (the species and the individual) do not possess the intelligible structure of that in which they participate according to its full universality.

Secondly, a subject is said to participate in the accidents that it has (for instance, a man is a certain colour, and thereby participates in the colour of which he is), and matter is said to participate in the formal structure that it has (for instance, the matter of a statue participates in the shape of that statue in order to be the statue in question).

Thirdly, an effect can be said to participate in its cause, especially when the effect is not equal to the power of that cause. The effect particularises and determines the scope of the cause; for the effect acts as the determinate recipient of the power of the cause. The effect receives from its cause only that which is necessary for the production of the effect. It is in this way that a cause is participated in by its effect.

In all of the foregoing modes of participation, to participate is to limit that which is participated in some respect. This follows from the original etymological definition of participation, that to participate is to take a part (in); for if to participate is merely to take a part in something, the participant will not possess the nature of the thing in which it participates in any total fashion, but only in partial fashion. What then can we conclude about the participation framework that governs essence and existence?

Essences exist, but they do not exist essentially, they participate in their acts of existence. Insofar as an essence participates in its act of existence, the essence limits that act of existence to the nature of the essence whose act it is; for the essence merely has existence, it is not existence, in which case its possession of existence will be in accord with the nature of the essence. The act of existence is thus limited and thereby individuated to the essence whose act it is. As a concrete application of this, consider the following. George Bush’s existence is not Tony Blair’s existence; when George Bush came into existence, Tony Blair did not come into existence, and when George Bush ceases to exist, Tony Blair will, in all likelihood, not cease to exist. George Bush’s existence is not indexed to the existence of Tony Blair, in which case the existence of either George Bush or Tony Blair is not identical to the other. The act of existence then is individuated to the essence whose act it is, and this because the essence merely participates in, and thereby limits, the act of existence that it possesses.

4. Substance and Accident

 

The next fundamental metaphysical category is that of substance. According to Aquinas, substances are what are primarily said to exist, and so substances are what have existence but yet are not identical with existence. Aquinas’s ontology then is comprised primarily of substances, and all change is either a change of one substance into another substance, or a modification of an already existing substance. Given that essence is that which is said to possess existence, but is not identical to existence, substances are essence/existence composites; their existence is not guaranteed by what they are. They simply have existence as limited by their essence.

Let us begin with a logical definition of substance, as this will give us an indication of its metaphysical nature. Logically speaking, a substance is what is predicated neither of nor in anything else. This captures the fundamental notion that substances are basic, and everything else is predicated either of or in them. Now, if we transpose this logical definition of substance to the realm of metaphysics, where existence is taken into consideration, we can say that a substance is that whose nature it is to exist not in some subject or as a part of anything else, but what exists in itself. Thus, a substance is a properly basic entity, existing per se (though of course depending on an external cause for its existence), and the paradigm instances of which are the medium sized objects that we see around us: horses, cats, trees and humans.

On the other hand there are accidents. Accidents are what accrue to substances and modify substances in some way. Logically speaking, accidents are predicated of or in some substance; metaphysically speaking, accidents cannot exist in themselves but only as part of some substance. As their name suggests, accidents are incidental to the thing, and they can come and go without the thing losing its identity; whereas a thing cannot cease to be the substance that it is without losing its identity.

Accidents only exist as part of some substance. It follows then that we cannot have un-exemplified properties as if they were substances in themselves. Properties are always exemplified by some substance, whereas substance itself is un-exemplifiable. For example, brown is always predicated of something, we say that x is brown, in which case brown is an accident. However, brown is never found to be in itself, it is always exemplified by something of which it is said.

Within Aquinas’s metaphysical framework, substances can be both material (cats, dogs, humans) and immaterial (angels), but as noted above, the paradigm instances of substances are material substances, and the latter are composites of matter and form; a material substance is neither its matter alone nor its form alone, since matter and form are always said to be of some individual and never in themselves. It follows then that material substances have parts, and the immediate question arises as to whether or not the parts of substances are themselves substances. In order to address this issue, we must ask two questions: (i) while they are parts of a substance, are such parts themselves substances? and (ii) are the parts of a substance themselves things that can exist without the substance of which they are parts?

Concerning (i) we must say that whilst they are parts of a substance such parts cannot be substances; this is so given the definition of substance outlined above: that whose nature it is to exist not in some subject. Given that the parts of a substance are in fact parts of a substance, it is their nature to exist in some subject  of which they are a part. Consequently, the parts of a substance cannot themselves be substances.

Concerning (ii) the case is somewhat different, now we must consider whether or not the parts of a substance can exist without the substance of which they are parts, that is, after the dissolution of the substance of which they are parts do the parts become substances in themselves? The parts of a substance receive their identity through being the parts of the substance whose parts they are. Thus, the flesh and bone of a human are flesh and bone precisely because they are parts of a human. When the human dies, the flesh and bone are no longer flesh and bone (except equivocally speaking) because they are no longer parts of a human substance; rather, the flesh and bone cease to function as flesh and bone and begin to decompose, in which case they are not themselves substances. However, on Aquinas’s view, the elements out of which a substance is made can indeed subsist beyond the dissolution of the substance. Thus, whilst the elements are parts of the substance, they are not, as parts of a substance, substances in themselves, but when the substance dissolves, the elements will remain as independent substances in their own right. Thus, in the case of the dissolution of the human being, whilst the flesh and bone no longer remain but decompose, the elements that played a role in the formation of the substance remain. In more contemporary terms we could say that before they go to make up the bodily substances we see in the world, atoms are substances in themselves, but when united in a certain form they go to make cats, dogs, humans, and cease to be independent substances in themselves. When the cat or dog or human perishes, its flesh and bones perish with it, but its atoms regain their substantial nature and they remain as substances in themselves. So, a substance can have its parts, and for as long as those parts are parts of a substance, those parts are not substances in themselves, but when the substance decomposes, those parts can be considered as substances in themselves so long as they are capable of subsisting in themselves.

5. Matter and Form

 

A very crude definition of matter would be that it is the ‘stuff’ out of which a thing is made, whereas form is signified by the organisation that the matter takes. A common example used by Aquinas and his contemporaries for explaining matter and form was that of a statue. Consider a marble statue. The marble is the matter of the statue whereas the shape signifies the form of the statue. The marble is the ‘stuff’ out of which the statue is made whereas the shape signifies the form that the artist decided to give to the statue. On a more metaphysical level, form is the principle whereby the matter has the particular structure that it has, and matter is simply that which stands to be structured in a certain way. It follows from this initial account that matter is a principle of potency in a thing; since if the matter is that which stands to be structured in a certain way, matter can be potentially an indefinite number of forms. Form on the other hand is not potentially one thing or another; form as form is the kind of thing that it is and no other.

On Aquinas’s account, there are certain levels of matter/form composition. On one level we can think of the matter of a statue as being the marble whereas we can think of the shape of the statue as signifying the form. But on a different level we can think of the marble as signifying the form and something more fundamental being the matter. For instance, before the marble was formed into the statue by the sculptor, it was a block of marble, already with a certain form that made it ‘marble’. At this level, the marble cannot be the matter of the thing, since its being marble and not, say, granite, is its form. Thus, there is a more fundamental level of materiality that admits of being formed in such a way that the end product is marble or granite, and at a higher level, this formed matter stands as matter for the artist when constructing the statue.

If we think of matter as without any form, we come to the notion of prime matter, and this is a type of matter that is totally unformed, pure materiality itself. Prime matter is the ultimate subject of form, and in itself indefinable; we can only understand prime matter through thinking of matter as wholly devoid of form. As wholly devoid of form prime matter is neither a substance nor any of the other categories of being; prime matter, as pure potency, cannot in fact express any concrete mode of being, since as pure potency it does not exist except as potency. Thus, prime matter is not a thing actually existing, since it has no principle of act rendering it actually existing.

Matter can be considered in two senses: (i) as designated and (ii) as undesignated. Designated matter is the type of matter to which one can point and of which one can make use. It is the matter that we see around us. Undesignated matter is a type of matter that we simply consider through the use of our reason; it is the abstracted notion of matter. For instance, the actual flesh and bones that make up an individual man are instances of designated matter, whereas the notions of ‘flesh’ and ‘bones’ are abstracted notions of certain types of matter and these are taken to enter into the definition of ‘man’ as such. Designated matter is what individuates some form. As noted, the form of a thing is the principle of its material organisation. A thing’s form then can apply to many different things insofar as those things are all organised in the same way. The form then can be said to be universal, since it remains the same but is predicated over different things. As signifying the actual matter that is organised in the thing, designated matter individuates the form to ‘this’ or ‘that’ particular thing, thereby ensuring individuals (Socrates, Plato, Aristotle) of the same form (man).

Given that form is the principle of organisation of a thing’s matter, or the thing’s intelligible nature, form can be of two kinds. On the one hand, form can be substantial, organising the matter into the kind of thing that the substance is. On the other hand, form can be accidental, organising some part of an already constituted substance. We can come to a greater understanding of substantial and accidental form if we consider their relation to matter. Substantial form always informs prime matter and in doing so it brings a new substance into existence; accidental form simply informs an already existing substance (an already existing composite of substantial form and prime matter), and in doing so it simply modifies some substance. Given that substantial form always informs prime matter, there can be only one substantial form of a thing; for if substantial form informs prime matter, any other form that may accrue to a thing is posterior to it and simply informs an already constituted substance, which is the role of accidental form. Thus, there can only be one substantial form of a thing.

As stated above, essence is signified by the definition of a thing; essence is the definable nature of the thing that exists. A thing’s essence then is its definition. It follows that on Thomas’s account the essence of a thing is the composition of its matter and form, where matter here is taken as undesignated matter. Contrary to contemporary theories of essence, Aquinas does not, strictly speaking, take essence to be what is essential to the thing in question, where the latter is determined by a thing’s possessing some property or set of properties in all possible worlds. In the latter context, the essence of a thing comprises its essential properties, properties that are true of it in all possible worlds; but this is surely not Aquinas’s view. For Aquinas, the essence of a thing is not the conglomeration of those properties that it would possess in all possible worlds, but the composition of matter and form. On a possible-worlds view of essence, the essence of a thing could not signify the matter/form composite as it is in this actual world, since such a composite could be different in some possible world and therefore not uniform across all possible worlds. Thus, Aquinas does not adopt a possible-worlds view of essence; he envisages the essence of a thing as the definition or quiddity of the thing existing in this world, not as it would exist in all possible worlds.

6. References and Further Reading

a. Primary Sources

  • St Thomas Aquinas, Summa Theologiae, trans. Fathers of the English Dominican Province (1948), U.S.A: Christian Classics.
    • Aquinas’s philosophical and theological masterpiece; Part I (Prima Pars) is the most important for Thomas’s metaphysical thought.
  • St Thomas Aquinas, The Divisions and Methods of the Sciences: Questions V and VI of his Commentary on the De Trinitate of Boethius, trans. Armand Maurer (1953) Toronto: Pontifical Institute of Medieval Studies.
    • A detailed consideration by Thomas of the divisions and methods of the sciences.
  • St Thomas Aquinas, On Being and Essence, trans. Armand Maurer (1968), Toronto: Pontifical Institute Medieval Studies.
    • An excellent summary from Aquinas himself of his metaphysical views.
  • St Thomas Aquinas, Summa Contra Gentiles, trans. A.C Pegis (1975), Notre Dame: University of Notre Dame Press.
    • One of Aquinas’s great Summae; books I and II are most important for Thomas’s metaphysical thought.
  • St Thomas Aquinas, Commentary on Aristotle’s Metaphysics, trans. John P. Rowan (1995), U.S.A: Dumb Ox Books.
    • A direct commentary on the Metaphysics of Aristotle.
  • St Thomas Aquinas, Aquinas on matter and form and the elements: a translation and interpretation of the De principiis naturae and the De mixtione elementorum of St. Thomas Aquinas, trans. Joseph Bobik (1998), Notre Dame: University of Notre Dame Press.
    • A translation of and commentary on Aqiunas’s works on ‘matter and form and the elements’.

b. General Studies

  • Clarke, W.N., Explorations in Metaphysics — Being, God, Person (1994), Notre Dame: University of Notre Dame Press.
  • Clarke, W.N., The One and the Many — A Contemporary Thomistic Metaphysics (2001), Notre Dame: University of Notre Dame Press.
  • Copleston, F., Aquinas (1955), London: Penguin.
  • Davies, B., The Thought of Thomas Aquinas (1993), Oxford: Clarendon Paperbacks.
  • Fabro, C., La Nozione Metafisica di Partecipazione secondo S. Tommaso d’Aquino (1950), Turin: Società Editrice Internazionale.
  • Fabro, C., Participation et causalité selon S. Thomas d’Aquin (1961), Louvain: Publications Universaitaires.
    • Both works by Fabro were groundbreaking for their uncovering the Platonic influences in Aquinas’s thought.
  • de Finance, J., Être et agir dans la philosophie de Saint Thomas (1960), Rome: Librairie Éditrice de l’Université Grégorienne.
  • Geiger, L-B., La participation dans la philosophie de s. Thomas d’Aquin (1953), Paris: Librairie Philosophique J. Vrin.
    • As with Fabro’s work, Geiger’s too uncovers the Platonic influences in Aquinas’s thought.
  • Kenny, A., Aquinas on Being (2003), Oxford: Oxford University Press.
  • Klima, G., ‘Contemporary “Essentialism” vs. Aristotelian Essentialism’, in John Haldane, ed., Mind Metaphysics, and Value in the Thomistic and Analytical Traditions (2002), Notre Dame: University of Notre Dame Press.
  • Kretzman, N., & Stump, E. eds. The Cambridge Companion to Aquinas (1993), Cambridge: Cambridge University Press.
  • Long, S., ‘On the Natural Knowledge of the Real Distinction’, Nova et Vetera (2003), 1:1.
  • Long, S., ‘Aquinas on Being and Logicism’, New Blackfriars (2005), 86.
  • Owens, J., ‘A Note on the Approach to Thomistic Metaphysics’, The New Scholasticism (1954), 28:4.
  • Owens, J., ‘Quiddity and the Real Distinction in St Thomas Aquinas’, Mediaeval Studies (1965), 27.
  • Owens, J., The Doctrine of Being in the Aristotelian Metaphysics (1978), Toronto: Pontifical Institute of Medieval Studies.
  • Owens, J., St Thomas Aquinas on the Existence of God — The Collected Papers of Joseph Owens ed. Catan, John. R. (1980), Albany: State University of New York Press.
  • Owens, J., ‘Stages and Distinction in De Ente’, The Thomist, (1981), 45.
  • Owens, J., An Elementary Christian Metaphysics (1985), Houston, Texas: Bruce Publishing Company.
  • Owens, J., An Interpretation of Existence (1985), Texas: Center for Thomistic Studies — University of St Thomas.
  • Owens, J., ‘Aquinas’s Distinction at De Ente et Essentia 4.119 — 123’, Mediaeval Studies (1986), 48.
  • Patt, W. ‘Aquinas’s Real Distinction and some Interpretations’, The New Scholasticism (1988), 62:1.
  • Stump, E., Aquinas (2003), London-New York: Routledge.
    • Part I, Chapter I, offers a very good survey of Aquinas’s metaphysics, but leaves out details of his theory of essence/existence composition. Pp. 36 – 44 are particularly illuminating on matter and form, substance and accident.
  • Torrell, J.-P., Saint Thomas Aquinas: The Person and His Work, trans. Robert Royal (1996), Washington: The Catholic University of America Press.
    • This is the most up-to-date publication on Aquinas’s life and work.
  • te Velde R. A., Participation and Substantiality in Thomas Aquinas (1995), Leiden-New York-Cologne: E.J. Brill.
  • Wippel, J., 1979: ‘Aquinas’s Route to the Real Distinction’, The Thomist, 43.
  • Wippel, J.,  Metaphysical Themes in Thomas Aquinas (1984), USA: The Catholic University of America Press.
  • Wippel, J.,  The Metaphysical Thought of Thomas Aquinas (2000), USA: The Catholic University of America Press.
  • Wippel, J.,  Metaphysical Themes in Thomas Aquinas II (2007), USA: The Catholic University of America Press.
    • Wippel’s work is generally taken to be essential for scholarly work on Aquinas’s metaphysical thought.

 

Author Information

Gaven Kerr
Email: gkerr07@qub.ac.uk
Queen’s University Belfast
Northern Ireland