Simone de Beauvoir (1908—1986)

beauvoirSimone de Beauvoir was one of the most preeminent French existentialist philosophers and writers. Working alongside other famous existentialists such as Jean-Paul Sartre, Albert Camus and Maurice Merleau-Ponty, de Beauvoir produced a rich corpus of writings including works on ethics, feminism, fiction, autobiography, and politics.

Beauvoir’s method incorporated various political and ethical dimensions. In The Ethics of Ambiguity, she developed an existentialist ethics that condemned the “spirit of seriousness” in which people too readily identify with certain abstractions at the expense of individual freedom and responsibility.  In The Second Sex, she produced an articulate attack on the fact that throughout history women have been relegated to a sphere of “immanence,” and the passive acceptance of roles assigned to them by society.  In The Mandarins, she fictionalized the struggles of existents trapped in ambiguous social and personal relationships at the closing of World War II.  The emphasis on freedom, responsibility, and ambiguity permeate all of her works and give voice to core themes of existentialist philosophy.

Her philosophical approach is notably diverse. Her influences include French philosophy from Descartes to Bergson, the phenomenology of Edmund Husserl and Martin Heidegger, the historical materialism of Karl Marx and Friedrich Engels, and the idealism of Immanuel Kant and G. W. F Hegel. In addition to her philosophical pursuits, de Beauvoir was also an accomplished literary figure, and her novel, The Mandarins, received the prestigious Prix Goncourt award in 1954. Her most famous and influential philosophical work, The Second Sex (1949), heralded a feminist revolution and remains to this day a central text in the investigation of women’s oppression and liberation.

Table of Contents

  1. Biography
  2. Ethics
    1. Pyrrhus et Cineas
    2. The Ethics of Ambiguity
  3. Feminism
    1. The Second Sex
  4. Literature
    1. Novels
    2. Short Stories
    3. Theater
  5. Cultural Studies
    1. Travel Observations
    2. The Coming of Age
    3. Autobiographical Works
  6. References and Further Reading
    1. Selected Works by Beauvoir (in French and English)
    2. Selected Books on Beauvoir in English

1. Biography

Simone de Beauvoir was born on January 9, 1908 in Paris to Georges Bertrand de Beauvoir and Françoise (née) Brasseur. Her father, George, whose family had some aristocratic pretensions, had once desired to become an actor but studied law and worked as a civil servant, contenting himself instead with the profession of legal secretary. Despite his love of the theater and literature, as well as his atheism, he remained a staunchly conservative man whose aristocratic proclivities drew him to the extreme right. In December of 1906 he married Françoise Brasseur whose wealthy bourgeois family offered a significant dowry that was lost in the wake of World War I. Slightly awkward and socially inexperienced, Françoise was a deeply religious woman who was devoted to raising her children in the Catholic faith. Her religious, bourgeois orientation became a source of serious conflict between her and her oldest daughter, Simone. [The British refer to Simone de Beauvoir as “de Beauvoir” and the Americans, as “Beauvoir.”]

Born in the morning of January 9, 1908, Simone-Ernestine-Lucie-Marie Bertrand de Beauvoir was a precocious and intellectually curious child from the beginning. Her sister, Hélène (nicknamed “Poupette”) was born two years later in 1910 and Beauvoir immediately took to intensely instructing her little sister as a student. In addition to her own independent initiative, Beauvoir’s intellectual zeal was also nourished by her father who provided her with carefully edited selections from the great works of literature and who encouraged her to read and write from an early age. His interest in her intellectual development carried through until her adolescence when her future professional carrier, necessitated by the loss of her dowry, came to symbolize his own failure. Aware that he was unable to provide a dowry for his daughters, Georges’ relationship with his intellectually astute eldest became conflicted by both pride and disappointment at her prospects. Beauvoir, on the contrary, always wanted to be a writer and a teacher, rather than a mother and a wife and pursued her studies with vigor. Beauvoir began her education in the private Catholic school for girls, the Institut Adeline Désir where she remained until the age of 17. It was here that she met Elizabeth Mabille (Zaza), with whom she shared an intimate and profound friendship until Zaza’s untimely death in 1929. Although the doctor’s blamed Zaza’s death on meningitis, Beauvoir believed that her beloved friend had died from a broken heart in the midst of a struggle with her family over an arranged marriage. Zaza’s friendship and death haunted Beauvoir for the rest of her life and she often spoke of the intense impact they had on her life and her critique of the rigidity of bourgeois attitudes towards women.

Beauvoir had been a deeply religious child as a result of her education and her mother’s training; however, at the age of 14, she had a crisis of faith and decided definitively that there was no God. She remained an atheist until her death. Her rejection of religion was followed by her decision to pursue and teach philosophy. Only once had she considered marriage to her cousin, Jacques Champigneulle. She never again entertained the possibility of marriage, instead preferring to live the life of an intellectual.

Beauvoir passed the baccalauréat exams in mathematics and philosophy in 1925. She then studied mathematics at the Institut Catholique and literature and languages at the Institut Sainte-Marie, passing exams in 1926 for Certificates of Higher Studies in French literature and Latin, before beginning her study of philosophy in 1927. Studying philosophy at the Sorbonne, Beauvoir passed exams for Certificates in History of Philosophy, General Philosophy, Greek, and Logic in 1927, and in 1928, in Ethics, Sociology, and Psychology. She wrote a graduate diplôme on Leibniz for Léon Brunschvig and completed her practice teaching at the lycée Janson-de-Sailly with fellow students, Merleau-Ponty and Claude Lévi-Strauss – with both of whom she remained in philosophical dialogue.

In 1929, she took second place in the highly competitive philosophy agrégation exam, beating Paul Nizan and Jean Hyppolite and barely losing to Jean-Paul Sartre who took first (it was his second attempt at the exam). Unlike Beauvoir, all three men had attended the best preparatory (khâgne) classes for the agrégation and were official students at the École Normale Supérieure. Although she was not an official student, Beauvoir attended lectures and sat for the agrégation at the École Normale. At 21 years of age, Beauvoir was the youngest student ever to pass the agrégation in philosophy and thus became the youngest philosophy teacher in France.

It was during her time at the École Normale that she met Sartre. Sartre and his closed circle of friends (including René Maheu, who gave her her life-long nickname “Castor”, and Paul Nizan) were notoriously elitist at the École Normale. Beauvoir had longed to be a part of this intellectual circle and following her success in the written exams for the agrégation in 1929, Sartre requested to be introduced to her. Beauvoir thus joined Sartre and his “comrades” in study sessions to prepare for the grueling public oral examination component of the agrégation. For the first time, she found in Sartre an intellect worthy (and, as she asserted, in some ways superior) to her own-a characterization that has lead to many ungrounded assumptions concerning Beauvoir’s lack of philosophical originality. For the rest of their lives, they were to remain “essential” lovers, while allowing for “contingent” love affairs whenever each desired. Although never marrying (despite Sartre’s proposal in 1931), having children together, or even living in the same home, Sartre and Beauvoir remained intellectual and romantic partners until Sartre’s death in 1980.

The liberal intimate arrangement between her and Sartre was extremely progressive for the time and often unfairly tarnished Beauvoir’s reputation as a woman intellectual equal to her male counterparts. Adding to her unique situation with Sartre, Beauvoir had intimate liaisons with both women and men. Some of her more famous relationships included the journalist Jacques Bost, the American author Nelson Algren, and Claude Lanzmann, the maker of the Holocaust documentary, Shoah.

In 1931, Beauvoir was appointed to teach in a lycée at Marseilles whereas Sartre’s appointment landed him in Le Havre. In 1932, Beauvoir moved to the Lycée Jeanne d’Arc in Rouen where she taught advanced literature and philosophy classes. In Rouen she was officially reprimanded for her overt criticisms of woman’s situation and her pacifism. In 1940, the Nazis occupied Paris and in 1941, Beauvoir was dismissed from her teaching post by the Nazi government. As a result of the effects of World War II on Europe, Beauvoir began exploring the problem of the intellectual’s social and political engagement with his or her time.

Following a parental complaint made against her for corrupting one of her female students, she was dismissed from teaching again in 1943. She was never to return to teaching. Although she loved the classroom environment, Beauvoir had always wanted to be an author from her earliest childhood. Her collection of short stories on women, Quand prime le spirituel (When Things of the Spirit Come First) was rejected for publication and not published until many years later (1979). However, her fictionalized account of the triangular relationship between herself, Sartre and her student, Olga Kosakievicz, L’Invitée (She Came to Stay), was published in 1943. This novel, written from 1935 to 1937 (and read by Sartre in manuscript form as he began writing Being and Nothingness) successfully gained her public recognition.

The Occupation inaugurated what Beauvoir has called the “moral period” of her literary life. From 1941 to 1943 she wrote her novel, Le Sang des Autres (The Blood of Others), which was heralded as one of the most important existential novels of the French Resistance. In 1943 she wrote her first philosophical essay, an ethical treatise entitled Pyrrhus et Cinéas. Finally, this period includes the writing of her novel, Tous Les Hommes sont Mortels (All Men are Mortal), written from 1943-46 and her only play, Les Bouches Inutiles (Who Shall Die?), written in 1944.

Although only cursorily involved in the Resistance, Beauvoir’s political commitments underwent a progressive development in the 1930’s and 1940’s. Together with Sartre, Maurice Merleau-Ponty, Raymond Aron and other intellectuals, she helped found the politically non-affiliated, leftist journal, Les Temps Modernes in 1945, for which she both edited and contributed articles, including in 1945, “Moral Idealism and Political Realism,” “Existentialism and Popular Wisdom,” and in 1946, “Eye for an Eye.” Also in 1946, Beauvoir wrote an article explaining her method of doing philosophy in literature in “Literature and Metaphysics.” The creation of this journal and her leftist orientation (which was heavily influenced by her reading of Marx and the political ideal represented by Russia), colored her uneasy relationship to Communism. The journal itself and the question of the intellectual’s political commitments would become a major theme of her novel, The Mandarins (1954).

Beauvoir published another ethical treatise, Pour une Morale de l’Ambiguïté (The Ethics of Ambiguity) in 1947. Although she was never fully satisfied with this work, it remains one of the best examples of an existentialist ethics. In 1955, she published, “Must We Burn Sade?” which again approaches the question of ethics from the perspective of the demands of and obligations to the other.

Following advance extracts which appeared in Les Temps Modernes in 1948, Beauvoir published her revolutionary, two-volume investigation into woman’s oppression, Le Deuxième Sexe (The Second Sex) in 1949. Although previous to writing this work she had never considered herself to be a “feminist,” The Second Sex solidified her as a feminist figure for the remainder of her life. By far her most controversial work, this book was embraced by feminists and intellectuals, as well as mercilessly attacked by both the right and the left. The 70’s, famous for being a time of feminist movements, was embraced by Beauvoir who participated in demonstrations, continued to write and lecture on the situation of women, and signed petitions advocating various rights for women. In 1970, Beauvoir helped launch the French Women’s Liberation Movement in signing the Manifesto of the 343 for abortion rights and in 1973, she instituted a feminist section in Les Temps Modernes.

Following the numerous literary successes and the high profile of her and Sartre’s lives, her career was marked by a fame rarely experienced by philosophers during their lifetimes. This fame resulted both from her own work as well as from her relationship to and association with Sartre. For the rest of her life, she lived under the close scrutiny of the public eye. She was often unfairly considered to be a mere disciple of Sartrean philosophy (in part, due to her own proclamations) despite the fact that many of her ideas were original and went in directions radically different than Sartre’s works.

During the 1940’s, she and Sartre, who had at one time relished in the café culture and social life of Paris, found themselves retreating into the safety of their close circle of friends, affectionately named the “Family.” However, her fame did not stop her from continuing her life-long passion of traveling to foreign lands which resulted in two of her works, L’Amérique au Jour le Jour (America Day by Day) first published in 1948 and La Longue Marche (The Long March) published in 1957. The former was written following her lecture tour of the United States in 1947, and the latter following her visit with Sartre to communist China in 1955.

Her later work included the writing of more works of fiction, philosophical essays and interviews. It was notably marked not only by her political action in feminist issues, but also by the publication of her autobiography in four volumes and her political engagement directly attacking the French war in Algeria and the tortures of Algerians by French officers. In 1970, she published an impressive study of the oppression of aged members of society, La Vieillesse (The Coming of Age). This work mirrors the same approach she had taken in The Second Sex only with a different object of investigation.

Beauvoir saw the passing of her lifelong companion in 1980, which is recounted in her 1981 book, La Cérémonie des Adieux (Adieux: A Farewell to Sartre). Following the death of Sartre, Beauvoir officially adopted her companion, Sylvie le Bon, who became her literary executor. Beauvoir died of a pulmonary edema on April 14, 1986.

2. Ethics

a. Pyrrhus et Cineas

For most of her life, Beauvoir was concerned with the ethical responsibility that the individual has to him or herself, other individuals and to oppressed groups. Her early work, Pyrrhus et Cinéas (1944) approaches the question of ethical responsibility from an existentialist framework long before Sartre was to attempt the same endeavor. This essay was well-received as it spoke to a war-torn France that was struggling to find a way out of the darkness of War World II. It begins as a conversation between Pyrrhus, the ancient king of Epirus, and his chief advisor, Cineas, on the question of action. Each time Pyrrhus makes an assertion as to what land he will conquer, Cineas asks him what will he do afterwards? Finally, Pyrrhus exclaims that he will rest following the achievement of all of his plans, to which Cineas retorts, “Why not rest right away”? The essay is thus framed as an investigation into the motives of action and the existential concern with why we should act at all.

This work was written by a young Beauvoir in close dialogue with the Sartre of Being and Nothingness (1943). The framework of an individual freedom engaged in an objective world is close to Sartre’s conception of the conflict between being-for-itself (l’être-pour-soi) and being-in-itself (l’être-en-soi). Differing from Sartre, Beauvoir’s analysis of the free subject immediately implies an ethical consideration of other free subjects in the world. The external world can often manifest itself as a crushing, objective reality whereas the other can reveal to us our fundamental freedom. Lacking a God to guarantee morality, it is up to the individual existent to create a bond with others through ethical action. This bond requires a fundamentally active orientation to the world through projects that express our own freedom as well as encourage the freedom of our fellow human beings. Because to be human is essentially to rupture the given world through our spontaneous transcendence, to be passive is to live, in Sartrean terminology, in bad faith.

Although emphasizing key Sartrean motifs of transcendence, freedom and the situation in this early work, Beauvoir takes her enquiry in a different direction. Like Sartre, she believes that that human subjectivity is essentially a nothingness which ruptures being through spontaneous projects. This movement of rupturing the given through the introduction of spontaneous activity is called transcendence. Beauvoir, like Sartre, believes that the human being is constantly engaged in projects which transcend the factical situation (cultural, historical, personal, etc.) into which the existent is thrown. Yet, even though much of her nomenclature and ideas obviously emerge within a philosophical discourse with Sartre, her goal in writing Pyrrhus et Cinéas is somewhat different than his. Most notably, in Pyrrhus et Cinéas, she constructs an ethics, which is a project postponed by Sartre in Being and Nothingness. In addition, rather than seeing the other (who in his or her gaze turns me into an object) as a threat to my freedom as Sartre would have it, Beauvoir sees the other as the necessary axis of my freedom-without whom, in other words, I could not be free. With the goal of elucidating an existentialist ethics then, Beauvoir is concerned with questions of oppression that are largely absent in Sartre’s early work.

Pyrrhus et Cinéas is a richly philosophical text which incorporates themes not only from Sartre, but also from Hegel, Heidegger, Spinoza, Voltaire, Nietzsche, and Kierkegaard. However, Beauvoir is as critical of these philosophers as she is admiring. For example, she criticizes Hegel for his unethical faith in progress which sublates the individual in the relentless pursuit of the Absolute. She criticizes Heidegger for his emphasis on being-towards-death as undermining the necessity of setting up projects, which are themselves ends and are not necessarily projections towards death.

Beauvoir emphasizes that one’s transcendence is realized through the human project which sets up its own end as valuable, rather than relying on external validation or meaning. The end, therefore, is not something cut off from activity, standing as a static and absolute value outside of the existent who chooses it. Rather, the goal of action is established as an end through the very freedom which posits it as a worthwhile enterprise. Beauvoir maintains the existentialist belief in absolute freedom of choice and the consequent responsibility that such freedom entails, by emphasizing that one’s projects must spring from individual spontaneity and not from an external institution, authority, or person. As such, she is sharply critical of the Hegelian absolute, the Christian conception of God and abstract entities such as Humanity, Country and Science which demand the individual’s renunciation of freedom into a static Cause. All world-views which demand the sacrifice and repudiation of freedom diminish the reality, thickness, and existential importance of the individual existent. This is not to say that we should abandon all projects of unification and scientific advancement in favor of a disinterested solipsism, only that such endeavors must necessarily honor the individual existents of which they are composed. Additionally, instead of being forced into causes of various kinds, existents must actively and self-consciously choose to participate in them.

Because Beauvoir is so concerned in this essay with freedom and the necessity to self-consciously choose who one is at every moment, she takes up relationships of slavery, mastery, tyranny, and devotion which remain choices despite the inequalities that often result from these connections with others. Despite the inequity of power in such relationships, she maintains that we can never do anything for or against others, i.e., we can never act in the place of others because each individual can only be responsible for him or herself. However, we are still morally obligated to keep from harming others. Echoing a common theme in existentialist philosophy, even to be silent or to refuse to engage in helping the other, is still making a choice. Freedom, in other words, cannot be escaped.

Yet, she also develops the idea that in abstaining from encouraging the freedom of others, we are acting against the ethical call of the other. Without others, our actions are destined to fall back upon themselves as useless and absurd. However, with others who are also free, our actions are taken up and carried beyond themselves into the future-transcending the limits of the present and of our finite selves. Our very actions are calls to other freedoms who may choose to respond to or ignore us. Because we are finite and limited and there are no absolutes to which our actions can or should conform, we must carry out our projects in risk and uncertainty. But it is just this fragility that Beauvoir believes opens us up to a genuine possibility for ethics.

b. The Ethics of Ambiguity

In many ways, The Ethics of Ambiguity (1947) continues themes first developed in Pyrrhus et Cinéas. Beauvoir continues to believe in the contingency of existence in that there is no necessity that we exist and thus there is no predetermined human essence or standard of value. Of particular importance, Beauvoir expounds upon the idea that human freedom requires the freedom of others for it to be actualized. Although Beauvoir was never fully satisfied with The Ethics of Ambiguity, it remains a testament to her long-standing concern with freedom, oppression, and responsibility, as well as to the depth of her philosophical understanding of the history of philosophy and of her own unique contributions to it.

She begins this work by asserting the tragic condition of the human situation which experiences its freedom as a spontaneous internal drive that is crushed by the external weight of the world. Human existence, she argues, is always an ambiguous admixture of the internal freedom to transcend the given conditions of the world and the weight of the world which imposes itself on us in a manner outside of our control and not of our own choosing. In order for us to live ethically then, we must assume this ambiguity rather than try to flee it.

In Sartrean terms, she sets up a problem in which each existent wants to deny their paradoxical essence as nothingness by desiring to be in the strict, objective sense; a project that is doomed to failure and bad faith. In many ways, Beauvoir’s task is to describe the existentialist conversion alluded to by Sartre in Being and Nothingness, but postponed until the much later, incomplete attempt in his Cahiers Pour une Morale. For Beauvoir, an existentialist conversion allows us to live authentically at the crossroads of freedom and facticity. This requires that we engage our freedom in projects which emerge from a spontaneous choice. In addition, the ends and goals of our actions must never be set up as absolutes, separate from we who choose them. In this sense, Beauvoir sets limits to freedom. To be free is not to have free license to do whatever one wants. Rather, to be free entails the conscious assumption of this freedom through projects which are chosen at each moment. The meaning of actions is thus granted not from some external source of values (say in God, the church, the state, our family, etc.), but in the existent’s spontaneous act of choosing them. Each individual must positively assume his or her project (whether it be to write a novel, graduate from university, preside over a courtroom, etc.) and not try to escape freedom by escaping into the goal as into a static object. Thus, we act ethically only insofar as we accept the weight of our choices and the consequences and responsibilities of our fundamental, ontological freedom. As Beauvoir tells us, “to will oneself moral and to will oneself free are one and the same decision.”

The genuine human being thus does not recognize any foreign absolute not consciously and actively chosen by the person him or herself. This idea is perhaps best seen in Beauvoir’s critique of Hegel which runs throughout this text. Although Hegel is not the only philosopher with whom she is in dialogue (she addresses Kant, Marx, Descartes, and Sartre, as well) he represents the philosophical crystallization of the desire for human beings to escape their freedom by submerging it into an external absolute. Thus Hegel, for Beauvoir, sets up an “Absolute Subject” whose realization only comes at the end of history, thereby justifying the sacrifice of countless individuals in the relentless pursuit of its own perfection. As such, Hegel’s Absolute represents an abstraction which is taken as the truth of existence which annihilates instead of preserves the individual human lives which compose it. Only a philosophy which values the freedom of each individual existent can alone be ethical. Philosophies such as those of Hegel, Kant, and Marx which privilege the universal are built upon the necessary diminution of the particular and as such, cannot be authentically ethical systems. Beauvoir claims against these philosophers of the absolute, that existentialism embraces the plurality of the concrete, particular human beings enmeshed in their own unique situations and engaged in their own projects.

However, Beauvoir is also emphatic that even though existentialist ethics upholds the sanctity of individuals, an individual is always situated within a community and as such, separate existents are necessarily bound to each other. She argues that every enterprise is expressed in a world populated by and thus affecting other human beings. She defends this position by returning to an idea touched upon in Pyrrhus et Cinéas and more fully developed in the Ethics, which is that individual projects fall in upon themselves if there are not others with whom our projects intersect and who consequently carry our actions beyond us in space and time.

In order to illustrate the complexity of situated freedom, Beauvoir provides us with an important element of growth, development and freedom in The Ethics of Ambiguity. Most philosophers begin their discussions with a fully-grown, rational human being, as if only the adult concerns philosophical inquiry. However, Beauvoir incorporates an analysis of childhood in which she argues that the will, or freedom, is developed over time. Thus, the child is not considered moral because he or she does not have a connection to a past or future and action can only be understood as unfolding over time. In addition, the situation of the child gives us a glimpse into what Beauvoir calls the attitude of seriousness in which values are given, not chosen. In fact, it is because each person was once a child that the serious attitude is the most prevalent form of bad faith.

Describing the various ways in which existents flee their freedom and responsibility, Beauvoir catalogues a number of different inauthentic attitudes, which in various forms are all indicative of a flight from freedom. As the child is neither moral nor immoral, the first actual category of bad faith consists of the “sub-man” who, through boredom and laziness, restrains the original movement of spontaneity in the denial of his or her freedom. This is a dangerous attitude in which to live because even as the sub-man rejects freedom, he or she becomes a useful pawn to be recruited by the “serious man” to enact brutal, immoral and violent action. The serious man is the most common attitude of flight as he or she embodies the desire that all existents share to found their freedom in an objective, external standard. The serious man upholds absolute and unconditioned values to which he or she subordinates his or her freedom. The object into which the serious attitude attempts to merge itself is not important-it can be the Military for the general, Fame for the actress, Power for the politician-what is important is that the self is lost into it. But as Beauvoir has already told us, all action loses meaning if it is not willed from freedom, setting up freedom as its goal. Thus the serious man is the ultimate example of bad faith because rather than seeking to embrace freedom, he or she seeks to lose into an external idol. All existents are tempted to set up values of seriousness (say, for example, by claiming that one is a “republican” or a “liberal” as if these monikers were substantial “things” that defined us in any essential sense) so as to give meaning to their lives. But the attitude of seriousness gives rise to tyranny and oppression when the “Cause” is pronounced more important than those who comprise it.

Other attitudes of bad faith include the “nihilist” which is an attitude resulting from disappointed seriousness turned back on itself. When the general understands that the military is a false idol that does not justify his existence, he may become a nihilist and deny that the world has any meaning at all. The nihilist desires to be nothing which is not unlike the reality of human freedom for Beauvoir. However, the nihilist is not an authentic choice because he or she does not assert nothingness in the sense of freedom, but in the sense of denial. Although mentioning other interesting attitudes of bad faith (such as the “demoniacal man” and the “passionate man”) the last attitude of importance is the attitude of the “adventurer.” The adventurer is interesting because it is so close to an authentically moral attitude. Disdaining the values of seriousness and nihilism, the adventurer throws him or herself into life and chooses action for its own sake. But the adventurer cares only for his or her own freedom and projects, and thus embodies a selfish and potentially tyrannical attitude. The adventurer demonstrates a tendency to align him or herself with whoever will bestow power, pleasure and glory. And often those who bestow such gifts, do not have the welfare of humanity as their main concern.

One of Beauvoir’s greatest achievements in The Ethics of Ambiguity is found in her analyses of situation and mystification. For the early Sartre, one’s situation (or facticity) is merely that which is to be transcended in the spontaneous surge of freedom. The situation is certainly a limit, but it is a limit-to-be-surpassed. Beauvoir, however, recognizes that some situations are such that they cannot be simply transcended but serve as strict and almost unsurpassable inhibitors to action. For example, she tells us that there are oppressed peoples such as slaves and many women who exist in a childlike world in which values, customs, gods, and laws are given to them without being freely chosen. Their situation is defined not by the possibility of transcendence, but by the enforcement of external institutions and power structures. Because of the power exerted upon them, their limitations cannot, in many circumstances, be transcended because they are not even known. Their situation, in other words, appears to be the natural order of the world. Thus the slave and the woman are mystified into believing that their lot is assigned to them by nature. As Beauvoir explains, because we cannot revolt against nature, the oppressor convinces the oppressed that their situation is what it is because they are naturally inferior or slavish. In this way, the oppressor mystifies the oppressed by keeping them ignorant of their freedom, thereby preventing them from revolting. Beauvoir rightly points out that one simply cannot claim that those who are mystified or oppressed are living in bad faith. We can only judge the actions of those individuals as emerging from their situation.

Only the authentically moral attitude understands that the freedom of the self requires the freedom of others. To act alone or without concern for others is not to be free. As Beauvoir explains, “No project can be defined except by its interference with other projects.” Thus if my project intersects with others who are enslaved-either literally or through mystification-I too am not truly free. What is more, if I do not actively seek to help those who are not free, I am implicated in their oppression.

As this book was written after World War II, it is not so surprising that Beauvoir would be concerned with questions of oppression and liberation and the ethical responsibility that each of us has to each other. Clearly she finds the attitude of seriousness to be the leading culprit in nationalistic movements such as Nazism which manipulate people into believing in a Cause as an absolute and unquestionable command, demanding the sacrifice of countless individuals. Beauvoir pleads with us to remember that we can never prefer a Cause to a human being and that the end does not necessarily justify the means. In this sense, Beauvoir is able to promote an existential ethics which asserts the reality of individual projects and sacrifice while maintaining that such projects and sacrifices have meaning only in a community comprised of individuals with a past, present, and future.

3. Feminism

a. The Second Sex

Most philosophers agree that Beauvoir’s greatest contribution to philosophy is her revolutionary magnum opus, The Second Sex. Published in two volumes in 1949 (condensed into one text divided into two “books” in English), this work immediately found both an eager audience and harsh critics. The Second Sex was so controversial that the Vatican put it (along with her novel, The Mandarins) on the Index of prohibited books. At the time The Second Sex was written, very little serious philosophy on women from a feminist perspective had been done. With the exception of a handful of books, systematic treatments of the oppression of women both historically and in the modern age were almost unheard of. Striking for the breadth of research and the profundity of its central insights, The Second Sex remains to this day one of the foundational texts in philosophy, feminism, and women’s studies.

The main thesis of The Second Sex revolves around the idea that woman has been held in a relationship of long-standing oppression to man through her relegation to being man’s “Other.” In agreement with Hegelian and Sartrean philosophy, Beauvoir finds that the self needs otherness in order to define itself as a subject; the category of the otherness, therefore, is necessary in the constitution of the self as a self. However, the movement of self-understanding through alterity is supposed to be reciprocal in that the self is often just as much objectified by its other as the self objectifies it. What Beauvoir discovers in her multifaceted investigation into woman’s situation, is that woman is consistently defined as the Other by man who takes on the role of the Self. As Beauvoir explains in her Introduction, woman “is the incidental, the inessential, as opposed to the essential. He is the Subject, he is the Absolute-she is the Other.” In addition, Beauvoir maintains that human existence is an ambiguous interplay between transcendence and immanence, yet men have been privileged with expressing transcendence through projects, whereas women have been forced into the repetitive and uncreative life of immanence. Beauvoir thus proposes to investigate how this radically unequal relationship emerged as well as what structures, attitudes and presuppositions continue to maintain its social power.

The work is divided into two major themes. The first book investigates the “Facts and Myths” about women from multiple perspectives including the biological-scientific, psychoanalytic, materialistic, historical, literary and anthropological. In each of these treatments, Beauvoir is careful to claim that none of them is sufficient to explain woman’s definition as man’s Other or her consequent oppression. However, each of them contributes to woman’s overall situation as the Other sex. For example, in her discussion of biology and history, she notes the women experience certain phenomena such as pregnancy, lactation, and menstruation that are foreign to men’s experience and thus contribute to a marked difference in women’s situation. However, these physiological occurrences in no way directly cause woman to be man’s subordinate because biology and history are not mere “facts” of an unbiased observer, but are always incorporated into and interpreted from a situation. In addition, she acknowledges that psychoanalysis and historical materialism contribute tremendous insights into the sexual, familial and material life of woman, but fail to account for the whole picture. In the case of psychoanalysis, it denies the reality of choice and in the case of historical materialism, it neglects to take into account the existential importance of the phenomena it reduces to material conditions.

The most philosophically rich discussion of Book I comes in Beauvoir’s analysis of myths. There she tackles the way in which the preceding analyses (biological, historical, psychoanalytic, etc.) contribute to the formulation of the myth of the “Eternal Feminine.” This paradigmatic myth, which incorporates multiple myths of woman under it (such as the myth of the mother, the virgin, the motherland, nature, etc.) attempts to trap woman into an impossible ideal by denying the individuality and situation of all different kinds of women. In fact, the ideal set by the Eternal Feminine sets up an impossible expectation because the various manifestations of the myth of femininity appear as contradictory and doubled. For example, history shows us that for as many representations of the mother as the respected guardian of life, there are as many depictions of her as the hated harbinger of death. The contradiction that man feels at having been born and having to die gets projected onto the mother who takes the blame for both. Thus woman as mother is both hated and loved and individual mothers are hopelessly caught in the contradiction. This doubled and contradictory operation appears in all feminine myths, thus forcing women to unfairly take the burden and blame for existence.

Book II begins with Beauvoir’s most famous assertion, “One is not born, but rather becomes, a woman.” By this, Beauvoir means to destroy the essentialism which claims that women are born “feminine” (according to whatever the culture and time define it to be) but are rather constructed to be such through social indoctrination. Using a wide array of accounts and observations, the first section of Book II traces the education of woman from her childhood, through her adolescence and finally to her experiences of lesbianism and sexual initiation (if she has any). At each stage, Beauvoir illustrates how women are forced to relinquish their claims to transcendence and authentic subjectivity by a progressively more stringent acceptance of the “passive” and “alienated” role to man’s “active” and “subjective” demands. Woman’s passivity and alienation are then explored in what Beauvoir entitles her “Situation” and her “Justifications.” Beauvoir studies the roles of wife, mother, and prostitute to show how women, instead of transcending through work and creativity, are forced into monotonous existences of having children, tending house and being the sexual receptacles of the male libido.

Because she maintains the existentialist belief in the absolute ontological freedom of each existent regardless of sex, Beauvoir never claims that man has succeeded in destroying woman’s freedom or in actually turning her into an “object” in relation to his subjectivity. She remains a transcendent freedom despite her objectification, alienation and oppression.

Although we certainly can not claim that woman’s role as the Other is her fault, we also cannot say that she is always entirely innocent in her subjection. As taken up in the discussion of The Ethics of Ambiguity, Beauvoir believes that there are many possible attitudes of bad faith where the existent flees his or her responsibility into prefabricated values and beliefs. Many women living in a patriarchal culture are guilty of the same action and thus are in some ways complicitous in their own subjugation because of the seeming benefits it can bring as well as the respite from responsibility it promises. Beauvoir discusses three particular inauthentic attitudes in which women hide their freedom in: “The Narcissist,” “The Woman in Love,” and “The Mystic.” In all three of these attitudes, women deny the original thrust of their freedom by submerging it into the object; in the case of the first, the object is herself, the second, her beloved and the third, the absolute or God.

Beauvoir concludes her work by asserting various concrete demands necessary for woman’s emancipation and the reclamation of her selfhood. First and foremost, she demands that woman be allowed to transcend through her own free projects with all the danger, risk, and uncertainty that entails. As such, modern woman “prides herself on thinking, taking action, working, creating, on the same terms as men; instead of seeking to disparage them, she declares herself their equal.” In order to ensure woman’s equality, Beauvoir advocates such changes in social structures such as universal childcare, equal education, contraception, and legal abortion for women-and perhaps most importantly, woman’s economic freedom and independence from man. In order to achieve this kind of independence, Beauvoir believes that women will benefit from non-alienating, non-exploitative productive labor to some degree. In other words, Beauvoir believes that women will benefit tremendously from work. As far as marriage is concerned, the nuclear family is damaging to both partners, especially the woman. Marriage, like any other authentic choice, must be chosen actively and at all times or else it is a flight from freedom into a static institution.

Beauvoir’s emphasis on the fact that women need access to the same kinds of activities and projects as men places her to some extent in the tradition of liberal, or second-wave feminism. She demands that women be treated as equal to men and laws, customs and education must be altered to encourage this. However, The Second Sex always maintains its fundamental existentialist belief that each individual, regardless of sex, class or age, should be encouraged to define him or herself and to take on the individual responsibility that comes with freedom. This requires not just focusing on universal institutions, but on the situated individual existent struggling within the ambiguity of existence.

4. Literature

a. Novels

In her autobiographies, Beauvoir often makes the claim that although her passion for philosophy was lifelong, her heart was always set on becoming an author of great literature. What she succeeded in doing was writing some of the best existentialist literature of the 20th century. Much as Camus and Sartre discovered, existentialism’s concern for the individual thrown into an absurd world and forced to act, lends itself well to the artistic medium of fiction. All of Beauvoir’s novels incorporate existential themes, problems, and questions in her attempt to describe the human situation in times of personal turmoil, political upheaval, and social unrest.

Her first novel, L’Invitée (She Came to Stay) was published in 1943. Opening with a quote from Hegel about the desire of self-consciousness to seek the death of the other, the book is a complex psychological study of the battles waged for selfhood. Set during the buildup to World War II, it charts the complexity of war in individual relationships. The protagonist, Françoise is forced to undergo the realization that she is not the center of the world and that her relationship to her lover, Pierre is not guaranteed but must, like all relationships, be constantly chosen and won. This work brought her recognition and lead to the writing of one of her most critically acclaimed novels, Le Sang des Autres (The Blood of Others) in 1945. This work begins to take into account the social responsibility that one’s times demand. Set during the German Occupation of France, it follows the lives of the Patriot leader, Jean Blomart and his agony over sending his lover to her death. This work was heralded as one of the leading existential novels of the Resistance and stands as a testimony to the often tragic contradiction between the responsibility we have to ourselves, to those we love, and to our people and humanity as a whole.

In 1946, Beauvoir published Tous les Hommes sont Mortels (All Men are Mortal) which revolves around the question of mortality and immortality. When an aspiring actress discovers that a mysterious and morose man is immortal, she becomes obsessed with her own immortality which she believes will be carried forth by him into eternity after her death. Although this work was not as well-received by critics and the public, it is especially provocative with the phenomena of time and mortality and the desire all human beings share to achieve immortality in any form we can, and how this leads to a denial of lived experience in the here and now.

Les Mandarins (The Mandarins), Beauvoir’s most famous and critically acclaimed novel was published in 1954 and soon thereafter won the prestigious French award for literature, the Prix Goncourt. This work is a profound study of the responsibilities that the intellectual has to his or her society. It explores the virtues and pitfalls of philosophy, journalism, theater, and literature as these media try to speak to their age and to implement social change. The Mandarins brings in a number of Beauvoir’s own personal concerns as it tarries with the issues of Communism and Socialism, the fears of American imperialism and the nuclear bomb, and the relationship of the individual intellectual to other individuals and to society. It also raises the questions of personal and political allegiance and how the two often conflict with tragic results. Finally, Beauvoir’s novel, Les Belles Images (1966), explores the constellation of relationships, hypocrisy and social mores in Parisian society.

b. Short Stories

Beauvoir wrote two collections of short stories. The first, Quand Prime le Spirituel (When Things of the Spirit Come First) wasn’t published until 1979 even though it was her first work of fiction submitted (and rejected) for publication (in 1937). As the 1930’s were less amenable to both women writers and stories on women, it is not so peculiar that this collection was rejected only to be rediscovered and esteemed over forty years later. This work offers fascinating insight into Beauvoir’s concerns with women and their unique attitudes and situations long before the writing of The Second Sex. Divided into five chapters, each titled by the name of the main female character, it exposes the hypocrisy of the French upper classes who hide their self-interests behind a veil of intellectual or religious absolutes. The stories take up the issues of the crushing demands of religious piety and individual renunciation, the tendency to aggrandize our lives to others and the crisis of identity when we are forced to confront our deceptions, and the difficulty of being a woman submitted to bourgeois and religious education and expectations. Beauvoir’s second collection of short stories, La Femme Rompue (The Woman Destroyed), was published in 1967 and was considerably well-received. This too offers separate studies of three women, each of whom is living in bad faith in one form or another. As each encounters a crisis in her familial relationships, she engages in a flight from her responsibility and freedom. This collection expands upon themes found in her ethics and feminism of the often denied complicity in one’s own undoing.

c. Theater

Beauvoir only wrote one play, Les Bouches Inutiles (Who Shall Die?) which was performed in 1945-the same year of the founding of Les Temps Modernes. Clearly enmeshed in the issues of World War II Europe, the dilemma of this play focuses on who is worth sacrificing for the benefit of the collective. This piece was influenced by the history of 14th century Italian towns that, when under siege and facing mass starvation, threw out the old, sick, weak, women and children to fend for themselves so that there might be enough for the strong men to hold out a little longer. The play is set in just such circumstances which were hauntingly resonant to Nazi occupied France. True to Beauvoir’s ethical commitments which assert the freedom and sanctity of the individual only within the freedom and respect of his or her community, the town decides to rise up together and either defeat the enemy or to die together. Although the play contains a number of important and well-developed existential, ethical and feminist themes, it was not as successful as her other literary expressions. Although she never again wrote for the theater, many of the characters of her novels (for example in She Came to Stay, All Men are Mortal, and The Mandarins) are playwrights and actors, showing her confidence in the theatrical arts to convey crucial existential and socio-political dilemmas.

5. Cultural Studies

a. Travel Observations

Beauvoir was always passionate about traveling and embarked upon many adventures both alone and with Sartre and others. Two trips had a tremendous impact upon her and were the impetus for two major books. The first, L’Amérique au Jour le Jour (America Day by Day) was published in 1948, the year after her lecture tour of the United States in 1947. During this visit, she spent time with Richard and Ellen Wright, met Nelson Algren, and visited numerous American cities such as New York, Chicago, Hollywood, Las Vegas, New Orleans and San Antonio. During her stay, she was commissioned by the New York Times to write an article entitled, “An Existentialist Looks at Americans,” appearing on May 25, 1947. It offers a penetrating critique of the United States as a country so full of promise but also one that is a slave to novelty, material culture, and a pathological fixation on the present at the expense of the past. Such themes are repeated in greater detail in America Day by Day, which also tackles the issue of America’s strained race relations, imperialism, anti-intellectualism, and class tensions.

The second major work to come out of Beauvoir’s travels resulted from her two-month trip to China with Sartre in 1955. Published in 1957, La Longue Marche (The Long March) is a generally positive account of the vast Communist country. Although disturbed by the censorship and careful choreographing of their visit by the Communists, she found China to be working towards a betterment in the life of its people. The themes of labor and the plight of the worker are common throughout this work, as is the situation of women and the family. Despite the breadth of its investigation and the desire on Beauvoir’s behalf to study a completely foreign culture, it was both a critical and a personal embarrassment. She later admitted that it was done more to make money than to offer a serious cultural analysis of China and its people. Regardless of these somewhat justified criticisms, it stands as interesting exploration of the tension between capitalism and Communism, the self and its other, and what it means to be free in different cultural contexts.

b. The Coming of Age

In 1967, Beauvoir began a monumental study of the same genre and caliber as The Second Sex. La Vieillesse (The Coming of Age, 1970) met with instant critical success. The Second Sex had been received with considerable hostility from many groups who did not want to be confronted with an unpleasant critique of their sexist and oppressive attitudes towards women; The Coming of Age however, was generally welcomed although it too critiques society’s prejudices towards another oppressed group: the elderly. This masterful work takes the fear of age as a cultural phenomenon and seeks to give voice to a silenced and detested class of human beings. Lashing out against the injustices suffered by the old, Beauvoir successfully complicates a problem all too oversimplified. For example, she notes that, depending on one’s work or class, old age can come earlier or later. Those who are materially more advantaged can afford good medicine, food and exercise, and thus live much longer and age less quickly, than a miner who is old at 50. In addition, she notices the philosophically complex connection between age and poverty and age and dehumanization.

As she had done in with The Second Sex, Beauvoir approaches the subject matter of The Coming of Age from a variety of perspectives including the biological, anthropological, historical, and sociological. In addition, she explores the question of age from the perspective of the living, elderly human being in relation to his or her body, time and the external world. Just as with The Second Sex, this later work is divided into two books, the first which deals with “Old Age as Seen from Without” and the second with, “Being-in-the-World.” Beauvoir explains the motivation for this division in her Introduction where she writes, “Every human situation can be viewed from without-seen from the point of view of an outsider-or from within, in so far as the subject assumes and at the same time transcends it.” Continuing to uphold her belief in the fundamental ambiguity of existence which always sits atop the contradiction of immanence and transcendence, objectivity and subjectivity, Beauvoir treats the subject of age both as an object of cultural-historical knowledge and as the first-hand, lived experience of aged individuals.

What she concludes from her investigation into the experience, fear and stigma of old age is that even though the process of aging and the decline into death is an inescapable, existential phenomenon for those human beings who live long enough to experience it, there is no necessity to our loathing the aged members of society. There is a certain acceptance of the fear of age felt by most people because it ironically stands as more of the opposite to life than does death. However, this does not demand that the aged merely resign themselves to waiting for death or for younger members of society to treat them as the invisible class. Rather, Beauvoir argues in true existentialist fashion that old age must still be a time of creative and meaningful projects and relationships with others. This means that above all else, old age must not be a time of boredom, but a time of continuous political and social action. This requires a change of orientation among the aged themselves and within society as a whole which must transform its idea that a person is only valuable insofar as they are profitable. Instead, both individuals and society must recognize that a person’s value lies in his or her humanity which is unaffected by age.

c. Autobiographical Works

In her autobiography, Beauvoir tells us that in wanting to write about herself she had to first explain what it meant to be a woman and that this realization was the genesis of The Second Sex. However, Beauvoir also successfully embarked upon the recounting of her life in four volumes of detailed and philosophically rich autobiography. In addition to painting a vibrant picture of her own life, Beauvoir also gives us access into other influential figures of the 20th century ranging from Camus, Sartre and Merleau-Ponty, to Richard Wright, Jean Cocteau, Jean Genet, Antonin Artaud and Fidel Castro among many others. Even though her autobiography covers both non-philosophical and philosophical ground, it is important not to downplay the role that autobiography has in Beauvoir’s theoretical development. Indeed, many other existentialists, such as Nietzsche, Sartre, and Kierkegaard, embrace the autobiographical as a key component to the philosophical. Beauvoir always maintained the importance of the individual’s situation and experience in the face of contingency and the ambiguity of existence. Through the recounting of her life, we are given a unique and personal picture of Beauvoir’s struggles as a philosopher, social reformer, writer and woman during a time of great cultural and artistic achievement and political upheaval.

The first volume of her autobiography, Mémoirs d’une Jeune Fille Rangée (Memoirs of a Dutiful Daughter, 1958), traces Beauvoir’s childhood, her relationship with her parents, her profound friendship with Zaza and her schooling up through her years at the Sorbonne. In this volume, Beauvoir shows the development of her intellectual and independent personality and the influences which lead to her decisions to become a philosopher and a writer. It also presents a picture of a woman who was critical of her class and its expectations of women from an early age. The second volume of her autobiography, La Force de l’Âge (The Prime of Life, 1960) is often considered to be the richest of all the volumes. Like Memoirs of a Dutiful Daughter, it was commercially and critically well received. Taking up the years from 1929-1944, Beauvoir portrays her transition from student to adult and the discovery of personal responsibility in war and peace. In many points, she explores the motivations for many of her works, such as The Second Sex and The Mandarins. The third installment of her autobiography, La Force des Choses (The Force of Circumstance, 1963; published in two separate volumes) takes up the time frame following the conclusion of World War II in1944 to the year 1962. In these volumes, Beauvoir becomes increasingly more aware of the political responsibility of the intellectual to his or her country and times. In the volume between 1944-1952 (After the War) Beauvoir describes the intellectual blossoming of post-war Paris, rich with anecdotes on writers, filmmakers and artists. The volume focusing on the decade between 1952-1962 (Hard Times), shows a much more subdued and somewhat cynical Beauvoir who is coming to terms with fame, age and the political atrocities waged by France in its war with Algeria (taken up in her work with Gisèle Halimi and the case of Djamila Boupacha). Because of its brutal honesty on the themes of aging, death and war, this volume of her autobiography was less well-received than the previous two. The final installment in the chronicling of her life charts the years from 1962-1972. Tout Compte Fait, (All Said and Done, 1972) shows an older and wiser philosopher and feminist who looks back over her life, her relationships, and her accomplishments and recognizes that it was all for the best. Here Beauvoir shows her commitments to feminism and social change in a clarity only hinted at in earlier volumes and she continues to struggle with the virtues and pitfalls of capitalism and Communism. Additionally, she returns to past works such as The Second Sex, to reevaluate her motivations and her conclusions about literature, philosophy, and the act of remembering. She again returns to the themes of death and dying and their existential significance as she begins to experience the passing of those she loves.

Although not exactly considered to be “autobiography,” it is worth mentioning two more facets of Beauvoir’s self-revelatory literature. The first consists of her works on the lives and deaths of loved ones. In this area, we find her sensitive and personal recounting of her mother’s death in Une Mort très Douce (A Very Easy Death, 1964). This book is often considered to be one of Beauvoir’s best in its day-by-day portrayal of the ambiguity of love and the experience of loss. In 1981, following the death of Sartre the previous year, she published La Cérémonie des Adieux (Adieux: A Farewell to Sartre) which recounts the progression of an aged and infirm Sartre to his death. This work was somewhat controversial as many readers missed its qualities as a tribute to the late, great philosopher and instead considered it to be an inappropriate exposé on his illness.

The second facet of Beauvoir’s life that can be considered autobiographical are the publication by Beauvoir of Sartre’s letters to her in Lettres au Castor et à Quelques Autres (Letters to Castor and Others, 1983) and of her own correspondence with Sartre in Letters to Sartre published after her death in 1990. Finally, A Transatlantic Love Affair, compiled by Sylvie le Bon de Beauvoir in 1997 and published in 1998, presents Beauvoir’s letters (originally written in English) to Nelson Algren. Each of these works provides us with another perspective into the life of one of the most powerful philosophers of the 20th century and one of the most influential female intellectuals on the history of Western thinking.

6. References and Further Reading

a. Selected Works by Beauvoir (in French and English)

  • Beauvoir, Simone de. Adieux: A Farewell to Sartre. Translated by Patrick O’Brian. Harmondsworth: Penguin, 1986. English translation of La cérémonie des adieux (Paris: Gallimard, 1981).
  • Beauvoir, Simone de. All Men are Mortal. Translated by Leonard M. Friedman. New York: W. W. Norton & Co., 1992. English translation of Tous les Hommes sont Mortels (Paris: Gallimard, 1946).
  • Beauvoir, Simone de. All Said and Done. Translated by Patrick O’Brian. New York: Paragon House, 1993. English translation of Tout compte fait (Paris: Gallimard, 1972).
  • Beauvoir, Simone de. America Day by Day. Translated by Carol Cosman. Berkeley: University of California Press, 1990. English translation of L’Amérique au jour le jour (Paris: Gallimard, 1954).
  • Beauvoir, Simone de. Sons & Co. Ltd., 1968. English translation of Les belles images (Paris: Gallimard, 1966).
  • Beauvoir, Simone de. The Blood of Others. Translated by Roger Senhouse and Yvonne Moyse. New York: Pantheon Books, 1948. English translation of Le sang des autres (Paris: Gallimard, 1945).
  • Beauvoir, Simone de. The Coming of Age. Translated by Patrick O’Brian. New York: W. W. Norton & Company, 1996. English translation of La vieillesse (Paris: Gallimard, 1970).
  • Beauvoir, Simone de. “In Defense of Djamila Boupacha.” Le Monde, 3 June, 1960. Appendix B in Djamila Boupacha: The Story of the Torture of a Young Algerian Girl which Shocked Liberal French Opinion; Introduction to Djamila Boupacha. Edited by Simone de Beauvoir and Gisèle Halimi. Translated by Peter Green. New York: The Macmillan Company, 1962. English translations of Djamila Boupacha (Paris: Gallimard, 1962).
  • Beauvoir, Simone de. The Ethics of Ambiguity. Translated by Bernard Frechtman. New York: Citadel Press, 1996. English translation of Pour une morale de l’ambiguïté (Paris: Gallimard, 1947). Beauvoir, Simone de Beauvoir, Simone de. Force of Circumstance, Vol. I: After the War, 1944-1952; Vol. 2: Hard Times, 1952-1962. Translated by Richard Howard. New York: Paragon House, 1992. English translation of La force des choses (Paris: Gallimard, 1963).
  • Beauvoir, Simone de. Letters to Sartre. Translated and Edited by Quintin Hoare. London: Vintage, 1992. English translation of Lettres à Sartre (Paris: Gallimard, 1990).
  • Beauvoir, Simone de. The Long March. Translated by Austryn Wainhouse. New York: The World Publishing, 1958. English translation of La longue marche (Paris: Gallimard, 1957).
  • Beauvoir, Simone de. The Mandarins. Translated by Leonard M. Friedman. New York: W. W. Norton & Co., 1991. English translation of Les mandarins (Paris: Gallimard, 1954).
  • Beauvoir, Simone de. Memoirs of a Dutiful Daughter. Translated by James Kirkup. Middlesex: Penguin Books, 1963. English translation of Mémoires d’une jeune fille rangée (Paris: Gallimard, 1958).
  • Beauvoir, Simone de. The Prime of Life. Translated by Peter Green. New York: Lancer Books, 1966. English translation of La force de l’âge (Paris: Gallimard, 1960).
  • Beauvoir, Simone de. Pyrrhus et Cinéas. Paris: Gallimard, 1944.
  • Beauvoir, Simone de. The Second Sex. Translated by H. M. Parshley. New York: Vintage Books, 1989. English translation of Le deuxième sexe (Paris: Gallimard, 1949).
  • Beauvoir, Simone de. Must We Burn Sade? Translated by Annette Michelson, The Marquis de Sade. New York: Grove Press, 1966. English translation of Faut-il brûler Sade? (Paris: Gallimard, 1955).
  • Beauvoir, Simone de. She Came to Stay. Translated by Roger Senhouse and Yvonne Moyse. New York: W. W. Norton & Co.,1954. English translation of L’Invitée (Paris: Gallimard, 1943).
  • Beauvoir, Simone de. A Transatlantic Love Affair: Letters to Nelson Algren. Compiled and annotated by Sylvie le Bon de Beauvoir. New York: The New Press, 1998.
  • Beauvoir, Simone de. A Very Easy Death. Translated by Patrick O’Brian. New York: Pantheon Books, 1965. English translation of Une mort très douce (Paris: Gallimard, 1964).
  • Beauvoir, Simone de. When Things of the Spirit Come First. Translated by Patrick O’Brian. New York: Pantheon Books, 1982. English translation of Quand prime le spirituel (Paris: Gallimard, 1979).
  • Beauvoir, Simone de. Who Shall Die? Translated by Claude Francis and Fernande Gontier. Florissant: River Press, 1983. English translation of Les bouches inutiles (Paris: Gallimard, 1945).
  • Beauvoir, Simone de. The Woman Destroyed. Translated by Patrick O’Brian. New York: Pantheon Books, 1969. English translation of La femme rompue (Paris: Gallimard, 1967).

b. Selected Books on Beauvoir in English

  • Arp, Kristana. The Bonds of Freedom. Chicago: Open Court Publishing, 2001.
  • Bair, Deirdre. Simone de Beauvoir: A Biography. New York: Summit Books, 1990.
  • Bauer, Nancy. Simone de Beauvoir, Philosophy and Feminism. New York: Columbia University Press, 2001.
  • Bergoffen, Debra. The Philosophy of Simone de Beauvoir: Gendered Phenomenologies, Erotic Generosities. Albany: SUNY Press, 1997.
  • Fallaize, Elizabeth. The Novels of Simone de Beauvoir. London: Routledge, 1988.
  • Fullbrook, Kate and Edward. Simone de Beauvoir and Jean-Paul Sartre: The Remaking of a Twentieth-Century Legend. New York: Basic Books: 1994.
  • Le Doeuff, Michèle. Hipparchia’s Choice: An Essay Concerning Women, Philosophy, Etc. Translated by Trista Selous. Oxford: Blackwell Publishers, 1991.
  • Lundgren-Gothlin, Eva. Sex and Existence: Simone de Beauvoir’s ‘The Second Sex.’ Translated by Linda Schenck. Hanover: Wesleyan University Press, 1996.
  • Moi, Toril. Feminist Theory and Simone de Beauvoir. Oxford: Blackwell, 1990.
  • Moi, Toril. Simone de Beauvoir: The Making of an Intellectual Woman. Oxford: Blackwell, 1994.
  • Okely, Judith. Simone de Beauvoir. New York: Pantheon Books, 1986.
  • Scholz, Sally J. On de Beauvoir. Belmont: Wadsworth, 2000.
  • Schwarzer, Alice. After the Second Sex: Conversations with Simone de Beauvoir. Translated by Marianne Howarth. New York: Pantheon Books, 1984.
  • Simons, Margaret. Beauvoir and the Second Sex: Feminism, Race and the Origins of Existentialism. Lanham: Rowman and Littlefield, 1999.
  • Simons, Margaret. ed. Feminist Interpretations of Simone de Beauvoir. University Park: The Pennsylvania State University Press, 1995.
  • Vintges, Karen. Philosophy as Passion: The Thinking of Simone de Beauvoir. Translated by Anne Lavelle. Bloomington: Indiana University Press, 1996.

Author Information

Shannon Mussett
Email: shannon.mussett@uvu.edu
Utah Valley University
U. S. A.

Jean Paul Sartre: Existentialism

SartreThe philosophical career of Jean Paul Sartre (1905-1980) focuses, in its first phase, upon the construction of a philosophy of existence known as existentialism. Sartre’s early works are characterized by a development of classic phenomenology, but his reflection diverges from Husserl’s on methodology, the conception of the self, and an interest in ethics. These points of divergence are the cornerstones of Sartre’s existential phenomenology, whose purpose is to understand human existence rather than the world as such. Adopting and adapting the methods of phenomenology, Sartre sets out to develop an ontological account of what it is to be human. The main features of this ontology are the groundlessness and radical freedom which characterize the human condition. These are contrasted with the unproblematic being of the world of things. Sartre’s substantial literary output adds dramatic expression to the always unstable co-existence of facts and freedom in an indifferent world.

Sartre’s ontology is explained in his philosophical masterpiece, Being and Nothingness, where he defines two types of reality which lie beyond our conscious experience: the being of the object of consciousness and that of consciousness itself. The object of consciousness exists as “in-itself,” that is, in an independent and non-relational way. However, consciousness is always consciousness “of something,” so it is defined in relation to something else, and it is not possible to grasp it within a conscious experience: it exists as “for-itself.” An essential feature of consciousness is its negative power, by which we can experience “nothingness.” This power is also at work within the self, where it creates an intrinsic lack of self-identity. So the unity of the self is understood as a task for the for-itself rather than as a given.

In order to ground itself, the self needs projects, which can be viewed as aspects of an individual’s fundamental project and motivated by a desire for “being” lying within the individual’s consciousness. The source of this project is a spontaneous original choice that depends on the individual’s freedom. However, self’s choice may lead to a project of self-deception such as bad faith, where one’s own real nature as for-itself is discarded to adopt that of the in-itself. Our only way to escape self-deception is authenticity, that is, choosing in a way which reveals the existence of the for-itself as both factual and transcendent. For Sartre, my proper exercise of freedom creates values that any other human being placed in my situation could experience, therefore each authentic project expresses a universal dimension in the singularity of a human life.

After a brief summary of Sartre’s life, this article looks at the main themes characterizing Sartre’s early philosophical works. The ontology developed in Sartre’s main existential work, Being and Nothingness, will then be analysed. Finally, an overview is provided of the further development of existentialist themes in his later works.

Table of Contents

  1. Sartre’s Life
  2. Early Works
    1. Methodology
    2. The Ego
    3. Ethics
    4. Existential Phenomenology
  3. The Ontology of Being and Nothingness
    1. The Being of the Phenomenon and Consciousness
    2. Two Types of Being
    3. Nothingness
  4. The For-Itself in Being and Nothingness
    1. A Lack of Self-Identity
    2. The Project of Bad Faith
    3. The Fundamental Project
    4. Desire
  5. Relations with Others in Being and Nothingness
    1. The Problem of Other Minds
    2. Human Relationships
  6. Authenticity
    1. Freedom
    2. Authenticity
    3. An Ethical Dimension
  7. Other Contributions to Existential Phenomenology
    1. Critique of Dialectical Reason
    2. The Problem of Method
  8. Conclusion
  9. References
    1. Sartre’s works
    2. Commentaries

1. Sartre’s Life

Sartre was born in 1905 in Paris. After a childhood marked by the early death of his father, the important role played by his grandfather, and some rather unhappy experiences at school, Sartre finished High School at the Lycée Henri IV in Paris. After two years of preparation, he gained entrance to the prestigious Ecole Normale Supérieure, where, from 1924 to 1929 he came into contact with Raymond Aron, Simone de Beauvoir, Maurice Merleau-Ponty and other notables. He passed the ‘Agrégation’ on his second attempt, by adapting the content and style of his writing to the rather traditional requirements of the examiners. This was his passport to a teaching career. After teaching philosophy in a lycée in Le Havre, he obtained a grant to study at the French Institute in Berlin where he discovered phenomenology in 1933 and wrote The Transcendence of the Ego. His phenomenological investigation into the imagination was published in 1936 and his Theory of Emotions two years later. During the Second World War, Sartre wrote his existentialist magnum opus Being and Nothingness and taught the work of Heidegger in a war camp. He was briefly involved in a Resistance group and taught in a lycée until the end of the war. Being and Nothingness was published in 1943 and Existentialism and Humanism in 1946. His study of Baudelaire was published in 1947 and that of the actor Jean Genet in 1952. Throughout the Thirties and Forties, Sartre also had an abundant literary output with such novels as Nausea and plays like Intimacy (The wall), The flies, Huis Clos, Les Mains Sales. In 1960, after three years working on it, Sartre published the Critique of Dialectical Reason. In the Fifties and Sixties, Sartre travelled to the USSR, Cuba, and was involved in turn in promoting Marxist ideas, condemning the USSR’s invasion of Hungary and Czechoslovakia, and speaking up against France’s policies in Algeria. He was a high profile figure in the Peace Movement. In 1964, he turned down the Nobel prize for literature. He was actively involved in the May 1968 uprising. His study of Flaubert, L’Idiot de la Famille, was published in 1971. In 1977, he claimed no longer to be a Marxist, but his political activity continued until his death in 1980.

2. Early Works

Sartre’s early work is characterised by phenomenological analyses involving his own interpretation of Husserl’s method. Sartre’s methodology is Husserlian (as demonstrated in his paper “Intentionality: a fundamental ideal of Husserl’s phenomenology”) insofar as it is a form of intentional and eidetic analysis. This means that the acts by which consciousness assigns meaning to objects are what is analysed, and that what is sought in the particular examples under examination is their essential structure. At the core of this methodology is a conception of consciousness as intentional, that is, as ‘about’ something, a conception inherited from Brentano and Husserl. Sartre puts his own mark on this view by presenting consciousness as being transparent, i.e. having no ‘inside’, but rather as being a ‘fleeing’ towards the world.

The distinctiveness of Sartre’s development of Husserl’s phenomenology can be characterised in terms of Sartre’s methodology, of his view of the self and of his ultimate ethical interests.

a. Methodology

Sartre’s methodology differs from Husserl’s in two essential ways. Although he thinks of his analyses as eidetic, he has no real interest in Husserl’s understanding of his method as uncovering the Essence of things. For Husserl, eidetic analysis is a clarification which brings out the higher level of the essence that is hidden in ‘fluid unclarity’ (Husserl, Ideas, I). For Sartre, the task of an eidetic analysis does not deliver something fixed immanent to the phenomenon. It still claims to uncover that which is essential, but thereby recognizes that phenomenal experience is essentially fluid.

In Sketch for a Theory of the Emotions, Sartre replaces the traditional picture of the passivity of our emotional nature with one of the subject’s active participation in her emotional experiences. Emotion originates in a degradation of consciousness faced with a certain situation. The spontaneous conscious grasp of the situation which characterizes an emotion, involves what Sartre describes as a ‘magical’ transformation of the situation. Faced with an object which poses an insurmountable problem, the subject attempts to view it differently, as though it were magically transformed. Thus an imminent extreme danger may cause me to faint so that the object of my fear is no longer in my conscious grasp. Or, in the case of wrath against an unmovable obstacle, I may hit it as though the world were such that this action could lead to its removal. The essence of an emotional state is thus not an immanent feature of the mental world, but rather a transformation of the subject’s perspective upon the world. In The Psychology of the Imagination, Sartre demonstrates his phenomenological method by using it to take on the traditional view that to imagine something is to have a picture of it in mind. Sartre’s account of imagining does away with representations and potentially allows for a direct access to that which is imagined; when this object does not exist, there is still an intention (albeit unsuccessful) to become conscious of it through the imagination. So there is no internal structure to the imagination. It is rather a form of directedness upon the imagined object. Imagining a heffalump is thus of the same nature as perceiving an elephant. Both are spontaneous intentional (or directed) acts, each with its own type of intentionality.

b. The Ego

Sartre’s view also diverges from Husserl’s on the important issue of the ego. For Sartre, Husserl adopted the view that the subject is a substance with attributes, as a result of his interpretation of Kant’s unity of apperception. Husserl endorsed the Kantian claim that the ‘I think’ must be able to accompany any representation of which I am conscious, but reified this ‘I’ into a transcendental ego. Such a move is not warranted for Sartre, as he explains in The Transcendence of the Ego. Moreover, it leads to the following problems for our phenomenological analysis of consciousness.

The ego would have to feature as an object in all states of consciousness. This would result in its obstructing our conscious access to the world. But this would conflict with the direct nature of this conscious access. Correlatively, consciousness would be divided into consciousness of ego and consciousness of the world. This would however be at odds with the simple, and thus undivided, nature of our access to the world through conscious experience. In other words, when I am conscious of a tree, I am directly conscious of it, and am not myself an object of consciousness. Sartre proposes therefore to view the ego as a unity produced by consciousness. In other words, he adds to the Humean picture of the self as a bundle of perceptions, an account of its unity. This unity of the ego is a product of conscious activity. As a result, the traditional Cartesian view that self-consciousness is the consciousness the ego has of itself no longer holds, since the ego is not given but created by consciousness. What model does Sartre propose for our understanding of self-consciousness and the production of the ego through conscious activity? The key to answering the first part of the question lies in Sartre’s introduction of a pre-reflective level, while the second can then be addressed by examining conscious activity at the other level, i.e. that of reflection. An example of pre-reflective consciousness is the seeing of a house. This type of consciousness is directed to a transcendent object, but this does not involve my focussing upon it, i.e. it does not require that an ego be involved in a conscious relation to the object. For Sartre, this pre-reflective consciousness is thus impersonal: there is no place for an ‘I’ at this level. Importantly, Sartre insists that self-consciousness is involved in any such state of consciousness: it is the consciousness this state has of itself. This accounts for the phenomenology of ‘seeing’, which is such that the subject is clearly aware of her pre-reflective consciousness of the house. This awareness does not have an ego as its object, but it is rather the awareness that there is an act of ‘seeing’. Reflective consciousness is the type of state of consciousness involved in my looking at a house. For Sartre, the cogito emerges as a result of consciousness’s being directed upon the pre-reflectively conscious. In so doing, reflective consciousness takes the pre-reflectively conscious as being mine. It thus reveals an ego insofar as an ‘I’ is brought into focus: the pre-reflective consciousness which is objectified is viewed as mine. This ‘I’ is the correlate of the unity that I impose upon the pre-reflective states of consciousness through my reflection upon them. To account for the prevalence of the Cartesian picture, Sartre argues that we are prone to the illusion that this ‘I’ was in fact already present prior to the reflective conscious act, i.e. present at the pre-reflective level. By substituting his model of a two-tiered consciousness for this traditional picture, Sartre provides an account of self-consciousness that does not rely upon a pre-existing ego, and shows how an ego is constructed in reflection.

c. Ethics

An important feature of Sartre’s phenomenological work is that his ultimate interest in carrying out phenomenological analyses is an ethical one. Through them, he opposes the view, which is for instance that of the Freudian theory of the unconscious, that there are psychological factors that are beyond the grasp of our consciousness and thus are potential excuses for certain forms of behaviour.

Starting with Sartre’s account of the ego, this is characterised by the claim that it is produced by, rather than prior to consciousness. As a result, accounts of agency cannot appeal to a pre-existing ego to explain certain forms of behaviour. Rather, conscious acts are spontaneous, and since all pre-reflective consciousness is transparent to itself, the agent is fully responsible for them (and a fortiori for his ego). In Sartre’s analysis of emotions, affective consciousness is a form of pre-reflective consciousness, and is therefore spontaneous and self-conscious. Against traditional views of the emotions as involving the subject’s passivity, Sartre can therefore claim that the agent is responsible for the pre-reflective transformation of his consciousness through emotion. In the case of the imaginary, the traditional view of the power of fancy to overcome rational thought is replaced by one of imaginary consciousness as a form of pre-reflective consciousness. As such, it is therefore again the result of the spontaneity of consciousness and involves self-conscious states of mind. An individual is therefore fully responsible for his imaginations’s activity. In all three cases, a key factor in Sartre’s account is his notion of the spontaneity of consciousness. To dispel the apparent counter-intuitiveness of the claims that emotional states and flights of imagination are active, and thus to provide an account that does justice to the phenomenology of these states, spontaneity must be clearly distinguished from a voluntary act. A voluntary act involves reflective consciousness that is connected with the will; spontaneity is a feature of pre-reflective consciousness.

d. Existential Phenomenology

Is there a common thread to these specific features of Sartre’s phenomenological approach? Sartre’s choice of topics for phenomenological analysis suggests an interest in the phenomenology of what it is to be human, rather than in the world as such. This privileging of the human dimension has parallels with Heidegger’s focus upon Dasein in tackling the question of Being. This aspect of Heidegger’s work is that which can properly be called existential insofar as Dasein’s way of being is essentially distinct from that of any other being. This characterisation is particularly apt for Sartre’s work, in that his phenomenological analyses do not serve a deeper ontological purpose as they do for Heidegger who distanced himself from any existential labelling. Thus, in his “Letter on Humanism”, Heidegger reminds us that the analysis of Dasein is only one chapter in the enquiry into the question of Being. For Heidegger, Sartre’s humanism is one more metaphysical perspective which does not return to the deeper issue of the meaning of Being.

Sartre sets up his own picture of the individual human being by first getting rid of its grounding in a stable ego. As Sartre later puts it in Existentialism is a Humanism, to be human is characterised by an existence that precedes its essence. As such, existence is problematic, and it is towards the development of a full existentialist theory of what it is to be human that Sartre’s work logically evolves. In relation to what will become Being and Nothingness, Sartre’s early works can be seen as providing important preparatory material for an existential account of being human. But the distinctiveness of Sartre’s approach to understanding human existence is ultimately guided by his ethical interest. In particular, this accounts for his privileging of a strong notion of freedom which we shall see to be fundamentally at odds with Heidegger’s analysis. Thus the nature of Sartre’s topics of analysis, his theory of the ego and his ethical aims all characterise the development of an existential phenomenology. Let us now examine the central themes of this theory as they are presented in Being and Nothingness.

3. The Ontology of Being and Nothingness

Being and Nothingness can be characterized as a phenomenological investigation into the nature of what it is to be human, and thus be seen as a continuation of, and expansion upon, themes characterising the early works. In contrast with these however, an ontology is presented at the outset and guides the whole development of the investigation.

One of the main features of this system, which Sartre presents in the introduction and the first chapter of Part One, is a distinction between two kinds of transcendence of the phenomenon of being. The first is the transcendence of being and the second that of consciousness. This means that, starting with the phenomenon (that which is our conscious experience), there are two types of reality which lie beyond it, and are thus trans-phenomenal. On the one hand, there is the being of the object of consciousness, and on the other, that of consciousness itself. These define two types of being, the in-itself and the for-itself. To bring out that which keeps them apart, involves understanding the phenomenology of nothingness. This reveals consciousness as essentially characterisable through its power of negation, a power which plays a key role in our existential condition. Let us examine these points in more detail.

a. The Being of the Phenomenon and Consciousness

In Being and Time, Heidegger presents the phenomenon as involving both a covering and a disclosing of being. For Sartre, the phenomenon reveals, rather than conceals, reality. What is the status of this reality? Sartre considers the phenomenalist option of viewing the world as a construct based upon the series of appearances. He points out that the being of the phenomenon is not like its essence, i.e. is not something which is apprehended on the basis of this series. In this way, Sartre moves away from Husserl’s conception of the essence as that which underpins the unity of the appearances of an object, to a Heideggerian notion of the being of the phenomenon as providing this grounding. Just as the being of the phenomenon transcends the phenomenon of being, consciousness also transcends it. Sartre thus establishes that if there is perceiving, there must be a consciousness doing the perceiving.

How are these two transphenomenal forms of being related? As opposed to a conceptualising consciousness in a relation of knowledge to an object, as in Husserl and the epistemological tradition he inherits, Sartre introduces a relation of being: consciousness (in a pre-reflective form) is directly related to the being of the phenomenon. This is Sartre’s version of Heidegger’s ontological relation of being-in-the-world. It differs from the latter in two essential respects. First, it is not a practical relation, and thus distinct from a relation to the ready-to-hand. Rather, it is simply given by consciousness. Second, it does not lead to any further question of Being. For Sartre, all there is to being is given in the transphenomenality of existing objects, and there is no further issue of the Being of all beings as for Heidegger.

b. Two Types of Being

As we have seen, both consciousness and the being of the phenomenon transcend the phenomenon of being. As a result, there are two types of being which Sartre, using Hegel’s terminology, calls the for-itself (‘pour-soi’) and the in-itself (‘en-soi’).

Sartre presents the in-itself as existing without justification independently of the for-itself, and thus constituting an absolute ‘plenitude’. It exists in a fully determinate and non-relational way. This fully characterizes its transcendence of the conscious experience. In contrast with the in-itself, the for-itself is mainly characterised by a lack of identity with itself. This is a consequence of the following. Consciousness is always ‘of something’, and therefore defined in relation to something else. It has no nature beyond this and is thus completely translucent. Insofar as the for-itself always transcends the particular conscious experience (because of the spontaneity of consciousness), any attempt to grasp it within a conscious experience is doomed to failure. Indeed, as we have already seen in the distinction between pre-reflective and reflective consciousness, a conscious grasp of the first transforms it. This means that it is not possible to identify the for-itself, since the most basic form of identification, i.e. with itself, fails. This picture is clearly one in which the problematic region of being is that of the for-itself, and that is what Being and Nothingness will focus upon. But at the same time, another important question arises. Indeed, insofar Sartre has rejected the notion of a grounding of all beings in Being, one may ask how something like a relation of being between consciousness and the world is possible. This issue translates in terms of understanding the meaning of the totality formed by the for-itself and the in-itself and its division into these two regions of being. By addressing this latter issue, Sartre finds the key concept that enables him to investigate the nature of the for-itself.

c. Nothingness

One of the most original contributions of Sartre’s metaphysics lies in his analysis of the notion of nothingness and the claim that it plays a central role at the heart of being (chapter 1, Part One).

Sartre (BN, 9-10) discusses the example of entering a café to meet Pierre and discovering his absence from his usual place. Sartre talks of this absence as ‘haunting’ the café. Importantly, this is not just a psychological state, because a ‘nothingness’ is really experienced. The nothingness in question is also not simply the result of applying a logical operator, negation, to a proposition. For it is not the same to say that there is no rhinoceros in the café, and to say that Pierre is not there. The first is a purely logical construction that reveals nothing about the world, while the second does. Sartre says it points to an objective fact. However, this objective fact is not simply given independently of human beings. Rather, it is produced by consciousness. Thus Sartre considers the phenomenon of destruction. When an earthquake brings about a landslide, it modifies the terrain. If, however, a town is thereby annihilated, the earthquake is viewed as having destroyed it. For Sartre, there is only destruction insofar as humans have identified the town as ‘fragile’. This means that it is the very negation involved in characterising something as destructible which makes destruction possible. How is such a negation possible? The answer lies in the claim that the power of negation is an intrinsic feature of the intentionality of consciousness. To further identify this power of negation, let us look at Sartre’s treatment of the phenomenon of questioning. When I question something, I posit the possibility of a negative reply. For Sartre, this means that I operate a nihilation of that which is given: the latter is thus ‘fluctuating between being and nothingness’ (BN, 23). Sartre then notes that this requires that the questioner be able to detach himself from the causal series of being. And, by nihilating the given, he detaches himself from any deterministic constraints. And Sartre says that ‘the name (…) [of] this possibility which every human being has to secrete a nothingness which isolates it (…) is freedom’ (BN, 24-25). Our power to negate is thus the clue which reveals our nature as free. Below, we shall return to the nature of Sartre’s notion of freedom.

4. The For-Itself in Being and Nothingness

The structure and characteristics of the for-itself are the main focal point of the phenomenological analyses of Being and Nothingness. Here, the theme of consciousness’s power of negation is explored in its different ramifications. These bring out the core claims of Sartre’s existential account of the human condition.

a. A Lack of Self-Identity

The analysis of nothingness provides the key to the phenomenological understanding of the for-itself (chapter 1, Part Two). For the negating power of consciousness is at work within the self (BN, 85). By applying the account of this negating power to the case of reflection, Sartre shows how reflective consciousness negates the pre-reflective consciousness it takes as its object. This creates an instability within the self which emerges in reflection: it is torn between being posited as a unity and being reflexively grasped as a duality. This lack of self-identity is given another twist by Sartre: it is posited as a task. That means that the unity of the self is a task for the for-itself, a task which amounts to the self’s seeking to ground itself.

This dimension of task ushers in a temporal component that is fully justified by Sartre’s analysis of temporality (BN, 107). The lack of coincidence of the for-itself with itself is at the heart of what it is to be a for-itself. Indeed, the for-itself is not identical with its past nor its future. It is already no longer what it was, and it is not yet what it will be. Thus, when I make who I am the object of my reflection, I can take that which now lies in my past as my object, while I have actually moved beyond this. Sartre says that I am therefore no longer who I am. Similarly with the future: I never coincide with that which I shall be. Temporality constitutes another aspect of the way in which negation is at work within the for-itself. These temporal ecstases also map onto fundamental features of the for-itself. First, the past corresponds to the facticity of a human life that cannot choose what is already given about itself. Second, the future opens up possibilities for the freedom of the for-itself. The coordination of freedom and facticity is however generally incoherent, and thus represents another aspect of the essential instability at the heart of the for-itself.

b. The Project of Bad Faith

The way in which the incoherence of the dichotomy of facticity and freedom is manifested, is through the project of bad faith (chapter 2, Part One). Let us first clarify Sartre’s notion of project. The fact that the self-identity of the for-itself is set as a task for the for-itself, amounts to defining projects for the for-itself. Insofar as they contribute to this task, they can be seen as aspects of the individual’s fundamental project. This specifies the way in which the for-itself understands itself and defines herself as this, rather than another, individual. We shall return to the issue of the fundamental project below.

Among the different types of project, that of bad faith is of generic importance for an existential understanding of what it is to be human. This importance derives ultimately from its ethical relevance. Sartre’s analysis of the project of bad faith is grounded in vivid examples. Thus Sartre describes the precise and mannered movements of a café waiter (BN, 59). In thus behaving, the waiter is identifying himself with his role as waiter in the mode of being in-itself. In other words, the waiter is discarding his real nature as for-itself, i.e. as free facticity, to adopt that of the in-itself. He is thus denying his transcendence as for-itself in favour of the kind of transcendence characterising the in-itself. In this way, the burden of his freedom, i.e. the requirement to decide for himself what to do, is lifted from his shoulders since his behaviour is as though set in stone by the definition of the role he has adopted. The mechanism involved in such a project involves an inherent contradiction. Indeed, the very identification at the heart of bad faith is only possible because the waiter is a for-itself, and can indeed choose to adopt such a project. So the freedom of the for-itself is a pre-condition for the project of bad faith which denies it. The agent’s defining his being as an in-itself is the result of the way in which he represents himself to himself. This misrepresentation is however one the agent is responsible for. Ultimately, nothing is hidden, since consciousness is transparent and therefore the project of bad faith is pursued while the agent is fully aware of how things are in pre-reflective consciousness. Insofar as bad faith is self-deceit, it raises the problem of accounting for contradictory beliefs. The examples of bad faith which Sartre gives, serve to underline how this conception of self-deceit in fact involves a project based upon inadequate representations of what one is. There is therefore no need to have recourse to a notion of unconscious to explain such phenomena. They can be accounted for using the dichotomy for-itself/in-itself, as projects freely adopted by individual agents. A first consequence is that this represents an alternative to psychoanalytical accounts of self-deceit. Sartre was particularly keen to provide alternatives to Freud’s theory of self-deceit, with its appeal to censorship mechanisms accounting for repression, all of which are beyond the subject’s awareness as they are unconscious (BN, 54-55). The reason is that Freud’s theory diminishes the agent’s responsibility. On the contrary, and this is the second consequence of Sartre’s account of bad faith, Sartre’s theory makes the individual responsible for what is a widespread form of behaviour, one that accounts for many of the evils that Sartre sought to describe in his plays. To explain how existential psychoanalysis works requires that we first examine the notion of fundamental project (BN, 561).

c. The Fundamental Project

If the project of bad faith involves a misrepresentation of what it is to be a for-itself, and thus provides a powerful account of certain types of self-deceit, we have, as yet, no account of the motivation that lies behind the adoption of such a project.

As we saw above, all projects can be viewed as parts of the fundamental project, and we shall therefore focus upon the motivation for the latter (chapter 2, Part Four). That a for-itself is defined by such a project arises as a consequence of the for-itself’s setting itself self-identity as a task. This in turn is the result of the for-itself’s experiencing the cleavages introduced by reflection and temporality as amounting to a lack of self-identity. Sartre describes this as defining the `desire for being~ (BN, 565). This desire is universal, and it can take on one of three forms. First, it may be aimed at a direct transformation of the for-itself into an in-itself. Second, the for-itself may affirm its freedom that distinguishes it from an in-itself, so that it seeks through this to become its own foundation (i.e. to become God). The conjunction of these two moments results, third, in the for-itself’s aiming for another mode of being, the for-itself-in-itself. None of the aims described in these three moments are realisable. Moreover, the triad of these three moments is, unlike a Hegelian thesis-antithesis-synthesis triad, inherently instable: if the for-itself attempts to achieve one of them, it will conflict with the others. Since all human lives are characterised by such a desire (albeit in different individuated forms), Sartre has thus provided a description of the human condition which is dominated by the irrationality of particular projects. This picture is in particular illustrated in Being and Nothingness by an account of the projects of love, sadism and masochism, and in other works, by biographical accounts of the lives of Baudelaire, Flaubert and Jean Genet. With this notion of desire for being, the motivation for the fundamental project is ultimately accounted for in terms of the metaphysical nature of the for-itself. This means that the source of motivation for the fundamental project lies within consciousness. Thus, in particular, bad faith, as a type of project, is motivated in this way. The individual choice of fundamental project is an original choice (BN, 564). Consequently, an understanding of what it is to be Flaubert for instance, must involve an attempt to decipher his original choice. This hermeneutic exercise aims to reveal what makes an individual a unity. This provides existential psychoanalysis with its principle. Its method involves an analysis of all the empirical behaviour of the subject, aimed at grasping the nature of this unity.

d. Desire

The fundamental project has been presented as motivated by a desire for being. How does this enable Sartre to provide an account of desires as in fact directed towards being although they are generally thought to be rather aimed at having? Sartre discusses desire in chapter I of Part One and then again in chapter II of Part Four, after presenting the notion of fundamental project.

In the first short discussion of desire, Sartre presents it as seeking a coincidence with itself that is not possible (BN, 87, 203). Thus, in thirst, there is a lack that seeks to be satisfied. But the satisfaction of thirst is not the suppression of thirst, but rather the aim of a plenitude of being in which desire and satisfaction are united in an impossible synthesis. As Sartre points out, humans cling on to their desires. Mere satisfaction through suppression of the desire is indeed always disappointing. Another example of this structure of desire (BN, 379) is that of love. For Sartre, the lover seeks to possess the loved one and thus integrate her into his being: this is the satisfaction of desire. He simultaneously wishes the loved one nevertheless remain beyond his being as the other he desires, i.e. he wishes to remain in the state of desiring. These are incompatible aspects of desire: the being of desire is therefore incompatible with its satisfaction. In the lengthier discussion on the topic “Being and Having,” Sartre differentiates between three relations to an object that can be projected in desiring. These are being, doing and having. Sartre argues that relations of desire aimed at doing are reducible to one of the other two types. His examination of these two types can be summarised as follows. Desiring expressed in terms of being is aimed at the self. And desiring expressed in terms of having is aimed at possession. But an object is possessed insofar as it is related to me by an internal ontological bond, Sartre argues. Through that bond, the object is represented as my creation. The possessed object is represented both as part of me and as my creation. With respect to this object, I am therefore viewed both as an in-itself and as endowed with freedom. The object is thus a symbol of the subject’s being, which presents it in a way that conforms with the aims of the fundamental project. Sartre can therefore subsume the case of desiring to have under that of desiring to be, and we are thus left with a single type of desire, that for being.

5. Relations with Others in Being and Nothingness

So far, we have presented the analysis of the for-itself without investigating how different individual for-itself’s interact. Far from neglecting the issue of inter-subjectivity, this represents an important part of Sartre’s phenomenological analysis in which the main themes discussed above receive their confirmation in, and extension to the inter-personal realm.

a. The Problem of Other Minds

In chapter 1, Part Three, Sartre recognizes there is a problem of other minds: how I can be conscious of the other (BN 221-222)? Sartre examines many existing approaches to the problem of other minds. Looking at realism, Sartre claims that no access to other minds is ever possible, and that for a realist approach the existence of the other is a mere hypothesis. As for idealism, it can only ever view the other in terms of sets of appearances. But the transphenomenality of the other cannot be deduced from them.

Sartre also looks at his phenomenologist predecessors, Husserl and Heidegger. Husserl’s account is based upon the perception of another body from which, by analogy, I can consider the other as a distinct conscious perspective upon the world. But the attempt to derive the other’s subjectivity from my own never really leaves the orbit of my own transcendental ego, and thus fails to come to terms with the other as a distinct transcendental ego. Sartre praises Heidegger for understanding that the relation to the other is a relation of being, not an epistemological one. However, Heidegger does not provide any grounds for taking the co-existence of Daseins (‘being-with’) as an ontological structure. What is, for Sartre, the nature of my consciousness of the other? Sartre provides a phenomenological analysis of shame and how the other features in it. When I peep through the keyhole, I am completely absorbed in what I am doing and my ego does not feature as part of this pre-reflective state. However, when I hear a floorboard creaking behind me, I become aware of myself as an object of the other’s look. My ego appears on the scene of this reflective consciousness, but it is as an object for the other. Note that one may be empirically in error about the presence of this other. But all that is required by Sartre’s thesis is that there be other human beings. This objectification of my ego is only possible if the other is given as a subject. For Sartre, this establishes what needed to be proven: since other minds are required to account for conscious states such as those of shame, this establishes their existence a priori. This does not refute the skeptic, but provides Sartre with a place for the other as an a priori condition for certain forms of consciousness which reveal a relation of being to the other.

b. Human Relationships

In the experience of shame (BN, 259), the objectification of my ego denies my existence as a subject. I do, however, have a way of evading this. This is through an objectification of the other. By reacting against the look of the other, I can turn him into an object for my look. But this is no stable relation. In chapter 1, Part Three, of Being and Nothingness, Sartre sees important implications of this movement from object to subject and vice-versa, insofar as it is through distinguishing oneself from the other that a for-itself individuates itself. More precisely, the objectification of the other corresponds to an affirmation of my self by distinguishing myself from the other. This affirmation is however a failure, because through it, I deny the other’s selfhood and therefore deny that with respect to which I want to affirm myself. So, the dependence upon the other which characterises the individuation of a particular ego is simultaneously denied. The resulting instability is characteristic of the typically conflictual state of our relations with others. Sartre examines examples of such relationships as are involved in sadism, masochism and love. Ultimately, Sartre would argue that the instabilities that arise in human relationships are a form of inter-subjective bad faith.

6. Authenticity

If the picture which emerges from Sartre’s examination of human relationships seems rather hopeless, it is because bad faith is omnipresent and inescapable. In fact, Sartre’s philosophy has a very positive message which is that we have infinite freedom and that this enables us to make authentic choices which escape from the grip of bad faith. To understand Sartre’s notion of authenticity therefore requires that we first clarify his notion of freedom.

a. Freedom

For Sartre (chapter 1, Part Four), each agent is endowed with unlimited freedom. This statement may seem puzzling given the obvious limitations on every individual’s freedom of choice. Clearly, physical and social constraints cannot be overlooked in the way in which we make choices. This is however a fact which Sartre accepts insofar as the for-itself is facticity. And this does not lead to any contradiction insofar as freedom is not defined by an ability to act. Freedom is rather to be understood as characteristic of the nature of consciousness, i.e. as spontaneity. But there is more to freedom. For all that Pierre’s freedom is expressed in opting either for looking after his ailing grandmother or joining the French Resistance, choices for which there are indeed no existing grounds, the decision to opt for either of these courses of action is a meaningful one. That is, opting for the one of the other is not just a spontaneous decision, but has consequences for the for-itself. To express this, Sartre presents his notion of freedom as amounting to making choices, and indeed not being able to avoid making choices.

Sartre’s conception of choice can best be understood by reference to an individual’s original choice, as we saw above. Sartre views the whole life of an individual as expressing an original project that unfolds throughout time. This is not a project which the individual has proper knowledge of, but rather one which she may interpret (an interpretation constantly open to revision). Specific choices are therefore always components in time of this time-spanning original choice of project.

b. Authenticity

With this notion of freedom as spontaneous choice, Sartre therefore has the elements required to define what it is to be an authentic human being. This consists in choosing in a way which reflects the nature of the for-itself as both transcendence and facticity. This notion of authenticity appears closely related to Heidegger’s, since it involves a mode of being that exhibits a recognition that one is a Dasein. However, unlike Heidegger’s, Sartre’s conception has clear practical consequences.

For what is required of an authentic choice is that it involve a proper coordination of transcendence and facticity, and thus that it avoid the pitfalls of an uncoordinated expression of the desire for being. This amounts to not-grasping oneself as freedom and facticity. Such a lack of proper coordination between transcendence and facticity constitutes bad faith, either at an individual or an inter-personal level. Such a notion of authenticity is therefore quite different from what is often popularly misrepresented as a typically existentialist attitude, namely an absolute prioritisation of individual spontaneity. On the contrary, a recognition of how our freedom interacts with our facticity exhibits the responsibility which we have to make proper choices. These are choices which are not trapped in bad faith.

c. An Ethical Dimension

Through the practical consequences presented above, an existentialist ethics can be discerned. We pointed out that random expressions of one’s spontaneity are not what authenticity is about, and Sartre emphasises this point in Existentialism and Humanism. There, he explicitly states that there is an ethical normativity about authenticity. If one ought to act authentically, is there any way of further specifying what this means for the nature of ethical choices? There are in fact many statements in Being and Nothingness which emphasise a universality criterion not entirely dissimilar from Kant’s. This should come as no surprise since both Sartre and Kant’s approaches are based upon the ultimate value of a strong notion of freedom. As Sartre points out, by choosing, an individual commits not only himself, but the whole of humanity (BN, 553). Although there are no a priori values for Sartre, the agent’s choice creates values in the same way as the artist does in the aesthetic realm. The values thus created by a proper exercise of my freedom have a universal dimension, in that any other human being could make sense of them were he to be placed in my situation. There is therefore a universality that is expressed in particular forms in each authentic project. This is a first manifestation of what Sartre later refers to as the ‘singular universal’.

7. Other Contributions to Existential Phenomenology

If Being and Nothingness represents the culmination of Sartre’s purely existentialist work, existentialism permeates later writings, albeit in a hybrid form. We shall briefly indicate how these later writings extend and transform his project of existential phenomenology.

a. Critique of Dialectical Reason

The experience of the war and the encounter with Merleau-Ponty contributed to awakening Sartre’s interest in the political dimension of human existence: Sartre thus further developed his existentialist understanding of human beings in a way which is compatible with Marxism. A key notion for this phase of his philosophical development is the concept of praxis. This extends and transforms that of project: man as a praxis is both something that produces and is produced. Social structures define a starting point for each individual. But the individual then sets his own aims and thereby goes beyond and negates what society had defined him as. The range of possibilities which are available for this expression of freedom is however dependent upon the existing social structures. And it may be the case that this range is very limited. In this way, the infinite freedom of the earlier philosophy is now narrowed down by the constraints of the political and historical situation.

In Critique of Dialectical Reason, Sartre analyses different dimensions of the praxis. In the first volume, a theory of “practical ensembles” examines the way in which a praxis is no longer opposed to an in-itself, but to institutions which have become rigidified and constitute what Sartre calls the ‘practico-inert’. Human beings interiorise the universal features of the situation in which they are born, and this translates in terms of a particular way of developing as a praxis. This is the sense Sartre now gives to the notion of the ‘singular universal’.

b. The Problem of Method

In this book Sartre redefines the focus of existentialism as the individual understood as belonging to a certain social situation, but not totally determined by it. For the individual is always going beyond what is given, with his own aims and projects. In this way, Sartre develops a ‘regressive-progressive method’ that views individual development as explained in terms of a movement from the universal expressed in historical development, and the particular expressed in individual projects. Thus, by combining a Marxist understanding of history with the methods of existential psychoanalysis which are first presented in Being and Nothingness, Sartre proposes a method for understanding a human life. This, he applies in particular to the case of an analysis of Flaubert. It is worth noting however that developing an account of the intelligibility of history, is a project that Sartre tackled in the second volume of the Critique of Dialectical Reason, but which remained unfinished.

8. Conclusion

Sartre’s existentialist understanding of what it is to be human can be summarised in his view that the underlying motivation for action is to be found in the nature of consciousness which is a desire for being. It is up to each agent to exercise his freedom in such a way that he does not lose sight of his existence as a facticity, as well as a free human being. In so doing, he will come to understand more about the original choice which his whole life represents, and thus about the values that are thereby projected. Such an understanding is only obtained through living this particular life and avoiding the pitfalls of strategies of self-deceit such as bad faith. This authentic option for human life represents the realisation of a universal in the singularity of a human life.

9. References and Further Reading

a. Sartre’s Works

  • “Intentionality: a Fundamental Ideal of Husserl’s Phenomenology” (1970) transl. J.P.Fell, Journal of the British Society for Phenomenology, 1 (2), 4-5.
  • Psychology of the Imagination (1972) transl. Bernard Frechtman, Methuen, London.
  • Sketch for a Theory of the Emotions (1971) transl. Philip Mairet, Methuen, London.
  • The Transcendence of the Ego: An Existentialist Theory of Consciousness (1957) transl. and ed. Forrest Williams and Robert Kirkpatrick, Noonday, New York.
  • Being and Nothingness: An Essay on Phenomenological Ontology (1958) transl. Hazel E. Barnes, intr. Mary Warnock, Methuen, London (abbreviated as BN above).
  • Existentialism and Humanism (1973) transl. Philip Mairet, Methuen, London.
  • Critique of Dialectical Reason 1: Theory of Practical Ensembles (1982) transl. Alan Sheridan-Smith, ed. Jonathan Rée, Verso, London.
  • The Problem of Method (1964) transl. Hazel E. Barnes, Methuen, London.

b. Commentaries

  • Caws, P. (1979) Sartre, Routledge and Kegan Paul, London.
  • Danto, A. C. (1991) Sartre, Fontana, London.
  • Howells, C. (1988) Sartre: The Necessity of Freedom, Cambridge University Press, Cambridge.
  • Howells, C. ed. (1992) Cambridge Companion to Sartre, Cambridge University Press, Cambridge.
  • Murdoch, I. (1987) Sartre: Romantic Rationalist, Chatto and Windus, London.
  • Natanson, M. (1972) A Critique of Jean-Paul Sartre’s Ontology, Haskell House Publishers, New York.
  • Schilpp, P. A. ed. (1981) The Philosophy of Jean-Paul Sartre, Open Court, La Salle.
  • Silverman, H. J. and Elliston, F.A. eds. (1980) Jean-Paul Sartre: Contemporary Approaches to his Philosophy, Harvester Press, Brighton.

Author Information

Christian J. Onof
Email: c.onof@imperial.ac.uk
University College, London
United Kingdom

Animals and Ethics

What place should non-human animals have in an acceptable moral system? These animals exist on the borderline of our moral concepts; the result is that we sometimes find ourselves according them a strong moral status, while at other times denying them any kind of moral status at all. For example, public outrage is strong when knowledge of “puppy mills” is made available; the thought here is that dogs deserve much more consideration than the operators of such places give them. However, when it is pointed out that the conditions in a factory farm are as bad as, if not much worse than, the conditions in a puppy mill, the usual response is that those affected are “just animals” after all, and do not merit our concern.  Philosophical thinking on the moral standing of animals is diverse and can be generally grouped into three general categories: Indirect theories, direct but unequal theories, and moral equality theories.

Indirect theories deny animals moral status or equal consideration with humans due to a lack of consciousness, reason, or autonomy.  Ultimately denying moral  status to animals, these theories may still require not harming animals, but only because doing so causes harm to a human being’s morality.  Arguments in this category have been formulated by philosophers such as Immanuel Kant, René Descartes, Thomas Aquinas, Peter Carruthers, and various religious theories.

Direct but unequal theories accord some moral consideration to animals, but deny them a fuller moral status due to their inability to respect another agent’s rights or display moral reciprocity within a community of equal agents. Arguments in this category consider the sentience of the animal as sufficient reason not to cause direct harm to animals.  However, where the interests of animals and humans conflict, the special properties of being human such as rationality, autonomy, and self-consciousness accord higher consideration to the interests of human beings.

Moral equality theories extend equal consideration and moral status to animals by refuting the supposed moral relevance of the aforementioned special properties of human beings.  Arguing by analogy, moral equality theories often extend the concept of rights to animals on the grounds that they have similar physiological and mental capacities as infants or disabled human beings.  Arguments in this category have been formulated by philosophers such as Peter Singer and Tom Regan.

Table of Contents

  1. Indirect Theories
    1. Worldview/Religious Theories
    2. Kantian Theories
    3. Cartesian Theories
    4. Contractualist Theories
    5. Implications for the Treatment of Animals
    6. Two Common Arguments Against Indirect Theories
      1. The Argument From Marginal Cases
      2. Problems with Indirect Duties to Animals
  2. Direct but Unequal Theories
    1. Why Animals have Direct Moral Status
    2. Why Animals are not Equal to Human Beings
      1. Only Human Beings Have Rights
      2. Only Human Beings are Rational, Autonomous, and Self-Conscious
      3. Only Human Beings Can Act Morally
      4. Only Human Beings are Part of the Moral Community
  3. Moral Equality Theories
    1. Singer and the Principle of Equal Consideration of Interests
      1. The Argument from Marginal Cases (Again)
      2. The Sophisticated Inegalitarian Argument
      3. Practical Implications
    2. Regan and Animal Rights
  4. References and Further Reading
    1. Anthologies
    2. Monographs
    3. Articles

1. Indirect Theories

On indirect theories, animals do not warrant our moral concern on their own, but may warrant concern only in so far as they are appropriately related to human beings. The various kinds of indirect theories to be discussed are Worldview/Religious Theories, Kantian Theories, Cartesian Theories, and Contractualist Theories. The implications these sorts of theories have for the proper treatment of animals will be explored after that. Finally, two common methods of arguing against indirect theories will be discussed.

a. Worldview/Religious Theories

Some philosophers deny that animals warrant direct moral concern due to religious or philosophical theories of the nature of the world and the proper place of its inhabitants. One of the earliest and clearest expressions of this kind of view comes to us from Aristotle (384-322 B.C.E.). According to Aristotle, there is a natural hierarchy of living beings. The different levels are determined by the abilities present in the beings due to their natures. While plants, animals, and human beings are all capable of taking in nutrition and growing, only animals and human beings are capable of conscious experience. This means that plants, being inferior to animals and human beings, have the function of serving the needs of animals and human beings. Likewise, human beings are superior to animals because human beings have the capacity for using reason to guide their conduct, while animals lack this ability and must instead rely on instinct. It follows, therefore, that the function of animals is to serve the needs of human beings. This, according to Aristotle, is “natural and expedient” (Regan and Singer, 1989: 4-5).

Following Aristotle, the Christian philosopher St. Thomas Aquinas (1225-1274) argues that since only beings that are rational are capable of determining their actions, they are the only beings towards which we should extend concern “for their own sakes” (Regan and Singer, 1989: 6-12). Aquinas believes that if a being cannot direct its own actions then others must do so; these sorts of beings are merely instruments. Instruments exist for the sake of people that use them, not for their own sake. Since animals cannot direct their own actions, they are merely instruments and exist for the sake of the human beings that direct their actions. Aquinas believes that his view follows from the fact that God is the last end of the universe, and that it is only by using the human intellect that one can gain knowledge and understanding of God. Since only human beings are capable of achieving this final end, all other beings exist for the sake of human beings and their achievement of this final end of the universe.

Remnants of these sorts of views remain in justifications for discounting the interests of animals on the basis of the food chain. On this line of thought, if one kind of being regularly eats another kind of being, then the first is said to be higher on the food chain. If one being is higher than another on the food chain, then it is natural for that being to use the other in the furtherance of its interests. Since this sort of behavior is natural, it does not require any further moral justification.

b. Kantian Theories

Closely related to Worldview/Religious theories are theories such as Immanuel Kant’s (1724-1804). Kant developed a highly influential moral theory according to which autonomy is a necessary property to be the kind of being whose interests are to count direclty in the moral assessment of actions (Kant, 1983, 1956). According to Kant, morally permissible actions are those actions that could be willed by all rational individuals in the circumstances. The important part of his conception for the moral status of animals is his reliance on the notion of willing. While both animals and human beings have desires that can compel them to action, only human beings are capable of standing back from their desires and choosing which course of action to take. This ability is manifested by our wills. Since animals lack this ability, they lack a will, and therefore are not autonomous. According to Kant, the only thing with any intrinsic value is a good will. Since animals have no wills at all, they cannot have good wills; they therefore do not have any intrinsic value.

Kant’s theory goes beyond the Worldview/Religious theories by relying on more general philosophical arguments about the nature of morality. Rather than simply relying on the fact that it is “natural” for rational and autonomous beings to use non-rational beings as they see fit, Kant instead provides an argument for the relevance of rationality and autonomy. A theory is a Kantian theory, then, if it provides an account of the properties that human beings have and animals lack that warrants our according human beings a very strong moral status while denying animals any kind of moral status at all. Kant’s own theory focused on the value of autonomy; other Kantian theories focus on such properties as being a moral agent, being able to exist in a reciprocal relation with other human beings, being able to speak, or being self-aware.

c. Cartesian Theories

Another reason to deny that animals deserve direct concern arises from the belief that animals are not conscious, and therefore have no interests or well-being to take into consideration when considering the effects of our actions. Someone that holds this position might agree that if animals were conscious then we would be required to consider their interests to be directly relevant to the assessment of actions that affect them. However, since they lack a welfare, there is nothing to take directly into account when acting.

One of the clearest and most forceful denials of animal consciousness is developed by Rene Descartes (1596-1650), who argues that animals are automata that might act as if they are conscious, but really are not so (Regan and Singer, 1989: 13-19). Writing during the time when a mechanistic view of the natural world was replacing the Aristotelian conception, Descartes believed that all of animal behavior could be explained in purely mechanistic terms, and that no reference to conscious episodes was required for such an explanation. Relying on the principle of parsimony in scientific explanation (commonly referred to as Occam’s Razor) Descartes preferred to explain animal behavior by relying on the simplest possible explanation of their behavior. Since it is possible to explain animal behavior without reference to inner episodes of awareness, doing so is simpler than relying on the assumption that animals are conscious, and is therefore the preferred explanation.

Descartes anticipates the response that his reasoning, if applicable to animal behavior, should apply equally well to human behavior. The mechanistic explanation of behavior does not apply to human beings, according to Descartes, for two reasons. First, human beings are capable of complex and novel behavior. This behavior is not the result of simple responses to stimuli, but is instead the result of our reasoning about the world as we perceive it. Second, human beings are capable of the kind of speech that expresses thoughts. Descartes was aware that some animals make sounds that might be thought to constitute speech, such as a parrot’s “request” for food, but argued that these utterances are mere mechanically induced behaviors. Only human beings can engage in the kind of speech that is spontaneous and expresses thoughts.

Descartes’ position on these matters was largely influenced by his philosophy of mind and ontology. According to Descartes, there are two mutually exclusive and jointly exhaustive kinds of entities or properties: material or physical entities on the one hand, and mental entities on the other. Although all people are closely associated with physical bodies, they are not identical with their bodies. Rather, they are identical with their souls, or the immaterial, mental substance that constitutes their consciousness. Descartes believed that both the complexity of human behavior and human speech requires the positing of such an immaterial substance in order to be explained. However, animal behavior does not require this kind of assumption; besides, Descartes argued, “it is more probable that worms and flies and caterpillars move mechanically than that they all have immortal souls” (Regan and Singer, 1989: 18).

More recently, arguments against animal consciousness have been resurfacing. One method of arguing against the claim that animals are conscious is to point to the flaws of arguments purporting to claim that animals are conscious. For example, Peter Harrison has recently argued that the Argument from Analogy, one of the most common arguments for the claim that animals are conscious, is hopelessly flawed (Harrison, 1991). The Argument from Analogy relies on the similarities between animals and human beings in order to support the claim that animals are conscious. The similarities usually cited by proponents of this argument are similarities in behavior, similarities in physical structures, and similarities in relative positions on the evolutionary scale. In other words, both human beings and animals respond in the same way when confronted with “pain stimuli”; both animals and human beings have brains, nerves, neurons, endorphins, and other structures; and both human beings and animals are relatively close to each other on the evolutionary scale. Since they are similar to each other in these ways, we have good reason to believe that animals are conscious, just as are human beings.

Harrison attacks these points one by one. He points out that so-called pain-behavior is neither necessary nor sufficient for the experience of pain. It is not necessary because the best policy in some instances might be to not show that you are in pain. It is not sufficient since amoebas engage in pain behavior, but we do not believe that they can feel pain. Likewise, we could easily program robots to engage in pain-behavior, but we would not conclude that they feel pain. The similarity of animal and human physical structures is inconclusive because we have no idea how, or even if, the physical structure of human beings gives rise to experiences in the first place. Evolutionary considerations are not conclusive either, because it is only pain behavior, and not the experience of pain itself, that would be advantageous in the struggle for survival. Harrison concludes that since the strongest argument for the claim that animals are conscious fails, we should not believe that they are conscious.

Peter Carruthers has suggested that there is another reason to doubt that animals are conscious Carruthers, 1989, 1992). Carruthers begins by noting that not all human experiences are conscious experiences. For example, I may be thinking of an upcoming conference while driving and not ever consciously “see” the truck in the road that I swerve to avoid. Likewise, patients that suffer from “blindsight” in part of their visual field have no conscious experience of seeing anything in that part of the field. However, there must be some kind of experience in both of these cases since I did swerve to avoid the truck, and must have “seen” it, and because blindsight patients can catch objects that are thrown at them in the blindsighted area with a relatively high frequency. Carruthers then notes that the difference between conscious and non-conscious experiences is that conscious experiences are available to higher-order thoughts while non-conscious experiences are not. (A higher-order thought is a thought that can take as its object another thought.) He thus concludes that in order to have conscious experiences one must be able to have higher-order thoughts. However, we have no reason to believe that animals have higher-order thoughts, and thus no reason to believe that they are conscious.

d. Contractualist Theories

Contractualist Theories of morality construe morality to be the set of rules that rational individuals would choose under certain specified conditions to govern their behavior in society. These theories have had a long and varied history; however, the relationship between contractualism and animals was not really explored until after John Rawls published his A Theory of Justice. In that work, Rawls argues for a conception of justice as fairness. Arguing against Utilitarian theories of justice, Rawls believes that the best conception of a just society is one in which the rules governing that society are rules that would be chosen by individuals from behind a veil of ignorance. The veil of ignorance is a hypothetical situation in which individuals do not know any particular details about themselves, such as their sex, age, race, intelligence, abilities, etc. However, these individuals do know general facts about human society, such as facts about psychology, economics, human motivation, etc. Rawls has his imagined contractors be largely self-interested; each person’s goal is to select the rules that will benefit them the most. Since they do not know who exactly they are, they will not choose rules that benefit any one individual, or segment of society, over another (since they may find themselves to be in the harmed group). Instead, they will choose rules that protect, first and foremost, rational, autonomous individuals.

Although Rawls argues for this conception as a conception of justice, others have tried to extend it to cover all of morality. For example, in The Animals Issue, Peter Carruthers argues for a conception of morality that is based largely on Rawls’s work. Carruthers notes that if we do so extend Rawls’s conception, animals will have no direct moral standing. Since the contractors are self-interested, but do not know who they are, they will accept rules that protect rational individuals. However, the contractors know enough about themselves to know that they are not animals. They will not adopt rules that give special protection to animals, therefore, since this would not further their self-interest. The result is that rational human beings will be directly protected, while animals will not.

e. Implications for the Treatment of Animals

If indirect theories are correct, then we are not required to take the interests of animals to be directly relevant to the assessment of our actions when we are deciding how to act. This does not mean, however, that we are not required to consider how our actions will affect animals at all. Just because something is not directly morally considerable does not imply that we can do whatever we want to it. For example, there are two straightforward ways in which restrictions regarding the proper treatment of animals can come into existence. Consider the duties we have towards private property. I cannot destroy your car if I desire to do so because it is your property, and by harming it I will thereby harm you. Also, I cannot go to the town square and destroy an old tree for fun since this may upset many people that care for the tree.

Likewise, duties with regard to animals can exist for these reasons. I cannot harm your pets because they belong to you, and by harming them I will thereby harm you. I also cannot harm animals in public simply for fun since doing so will upset many people, and I have a duty to not cause people undue distress. These are two straightforward ways in which indirect theories will generate duties with regard to animals.

There are two other ways that even stronger restrictions regarding the proper treatment of animals might be generated from indirect theories. First, both Immanuel Kant and Peter Carruthers argue that there can be more extensive indirect duties to animals. These duties extend not simply to the duty to refrain from harming the property of others and the duty to not offend animal lovers. Rather, we also have a duty to refrain from being cruel to them. Kant argues:

Our duties towards animals are merely indirect duties towards humanity. Animal nature has analogies to human nature, and by doing our duties to animals in respect of manifestations of human nature, we indirectly do our duty to humanity…. We can judge the heart of a man by his treatment of animals (Regan and Singer, 1989: 23-24).

Likewise, Carruthers writes:

Such acts [as torturing a cat for fun] are wrong because they are cruel. They betray an indifference to suffering that may manifest itself…with that person’s dealings with other rational agents. So although the action may not infringe any rights…it remains wrong independently of its effect on any animal lover (Carruthers, 1992: 153-54).

So although we need not consider how our actions affect animals themselves, we do need to consider how our treatment of animals will affect our treatment of other human beings. If being cruel to an animal will make us more likely to be cruel to other human beings, we ought not be cruel to animals; if being grateful to animal will help us in being grateful to human beings then we ought to be grateful to animals.

Second, there may be an argument for vegetarianism that does not rely on considerations of the welfare of animals at all. Consider that for every pound of protein that we get from an animal source, we must feed the animals, on average, twenty-three pounds of vegetable protein. Many people on the planet today are dying of easily treatable diseases largely due to a diet that is below starvation levels. If it is possible to demonstrate that we have a duty to help alleviate the suffering of these human beings, then one possible way of achieving this duty is by refraining from eating meat. The vegetable protein that is used to feed the animals that wealthy countries eat could instead be used to feed the human beings that live in such deplorable conditions.

Of course, not all indirect theorists accept these results. However, the point to be stressed here is that even granting that animals have no direct moral status, we may have (possibly demanding) duties regarding their treatment.

f. Two Common Arguments Against Indirect Theories

Two common arguments against indirect theories have seemed compelling to many people. The first argument is The Argument from Marginal Cases; the second is an argument against the Kantian account of indirect duties to animals.

i. The Argument From Marginal Cases

The Argument from Marginal Cases is an argument that attempts to demonstrate that if animals do not have direct moral status, then neither do such human beings as infants, the senile, the severely cognitively disabled, and other such “marginal cases” of humanity. Since we believe that these sorts of human beings do have direct moral status, there must be something wrong with any theory that claims they do not. More formally, the argument is structured as follows:

  1. If we are justified in denying direct moral status to animals then we are justified in denying direct moral status to the marginal cases.
  2. We are not justified in denying direct moral status to the marginal cases.
  3. Therefore we are not justified denying direct moral status to animals.

The defense of premise (1) usually goes something like this. If being rational (or autonomous, or able to speak) is what permits us to deny direct moral status to animals, then we can likewise deny that status to any human that is not rational (or autonomous, able to speak, etc.). This line of reasoning works for almost every property that has been thought to warrant our denying direct moral status to animals. Since the marginal cases are beings whose abilities are equal to, if not less than, the abilities of animals, any reason to keep animals out of the class of beings with direct moral status will keep the marginal cases out as well.

There is one property that is immune to this line of argument, namely, the property of being human. Some who adhere to Worldview/Religious Views might reject this argument and maintain instead that it is simply “natural” for human beings to be above animals on any moral scale. However, if someone does so they must give up the claim that human beings are above animals due to the fact that human beings are more intelligent or rational than animals. It must be claimed instead that being human is, in itself, a morally relevant property. Few in recent times are willing to make that kind of a claim.

Another way to escape this line of argument is to deny the second premise (Cf. Frey, 1980; Francis and Norman, 1978). This may be done in a series of steps. First, it may be noted that there are very few human beings that are truly marginal. For example, infants, although not currently rational, have the potential to become rational. Perhaps they should not be counted as marginal for that reason. Likewise, the senile may have a direct moral status due to the desires they had when they were younger and rational. Once the actual number of marginal cases is appreciated, it is then claimed that it is not counter-intuitive to conclude that the remaining individuals do not have a direct moral status after all. Once again, however, few are willing to accept that conclusion. The fact that a severely cognitively disabled infant can feel pain seems to most to be a reason to refrain from harming the infant.

ii. Problems with Indirect Duties to Animals

Another argument against indirect theories begins with the intuition that there are some things that simply cannot be done to animals. For example, I am not permitted to torture my own cat for fun, even if no one else finds out about it. This intuition is one that any acceptable moral theory must be able to accommodate. The argument against indirect theories is that they cannot accommodate this intuition in a satisfying way.

Both Kant and Carruthers agree that my torturing my own cat for fun would be wrong. However, they believe it is wrong not because of the harm to the cat, but rather because of the effect this act will have on me. Many people have found this to be a very unsatisfying account of the duty. Robert Nozick labels the bad effects of such an act moral spillover, and asks:

Why should there be such a spillover? If it is, in itself, perfectly all right to do anything at all to animals for any reason whatsoever, then provided a person realizes the clear line between animals and persons and keeps it in mind as he acts, why should killing animals brutalize him and make him more likely to harm or kill persons (Nozick, 1974: 36)?

In other words, unless it is wrong in itself to harm the animal, it is hard to see why such an act would lead people to do other acts that are likewise wrong. If the indirect theorist does not have a better explanation for why it is wrong to torture a cat for fun, and as long as we firmly believe such actions are wrong, then we will be forced to admit that indirect theories are not acceptable.

Indirect theorists can, and have, responded to this line of argument in three ways. First, they could reject the claim that the indirect theorist’s explanation of the duty is unsatisfactory. Second, they could offer an alternative explanation for why such actions as torturing a cat are wrong. Third, they could reject the claim that those sorts of acts are necessarily wrong.

2. Direct but Unequal Theories

Most people accept an account of the proper moral status of animals according to which the interests of animals count directly in the assessment of actions that affect them, but do not count for as much as the interests of human beings. Their defense requires two parts: a defense of the claim that the interests of animals count directly in the assessment of actions that affect them, and a defense of the claim that the interests of animals do not count for as much as the interests of human beings.

a. Why Animals have Direct Moral Status

The argument in support of the claim that animals have direct moral status is rather simple. It goes as follows:

  1. If a being is sentient then it has direct moral status.
  2. (Most) animals are sentient
  3. Therefore (most) animals have direct moral status.

“Sentience” refers to the capacity to experience episodes of positively or negatively valenced awareness. Examples of positively valenced episodes of awareness are pleasure, joy, elation, and contentment. Examples of negatively valenced episodes of awareness are pain, suffering, depression, and anxiety.

In support of premise (1), many argue that pain and pleasure are directly morally relevant, and that there is no reason to discount completely the pleasure or pain of any being. The argument from analogy is often used in support of premise (2) (see the discussion of this argument in section I, part C above). The argument from analogy is also used in answering the difficult question of exactly which animals are sentient. The general idea is that the justification for attributing sentience to a being grows stronger the more analogous it is to human beings.

People also commonly use the flaws of indirect theories as a reason to support the claim that animals have direct moral status. Those that believe both that the marginal cases have direct moral status and that indirect theories cannot answer the challenge of the Argument from Marginal Cases are led to support direct theories; those that believe both that such actions as the torture of one’s own cat for fun are wrong and that indirect theories cannot explain why they are wrong are also led to direct theories.

b. Why Animals are not Equal to Human Beings

The usual manner of justifying the claim that animals are not equal to human beings is to point out that only humans have some property, and then argue that that property is what confers a full and equal moral status to human beings. Some philosophers have used the following claims on this strategy: (1) only human beings have rights; (2) only human beings are rational, autonomous, and self-conscious; (3) only human beings are able to act morally; and (4) only human beings are part of the moral community.

i. Only Human Beings Have Rights

On one common understanding of rights, only human beings have rights. On this conception of rights, if a being has a right then others have a duty to refrain from infringing that right; rights entail duties. An individual that has a right to something must be able to claim that thing for himself, where this entails being able to represent himself in his pursuit of the thing as a being that is legitimately pursuing the furtherance of his interests (Cf. McCloskey, 1979). Since animals are not capable of representing themselves in this way, they cannot have rights.

However, lacking rights does not entail lacking direct moral status; although rights entail duties it does not follow that duties entail rights. So although animals may have no rights, we may still have duties to them. The significance of having a right, however, is that rights act as “trumps” against the pursuit of utility. In other words, if an individual has a right to something, we are not permitted to infringe on that right simply because doing so will have better overall results. Our duties to those without rights can be trumped by considerations of the overall good. Although I have a duty to refrain from destroying your property, that duty can be trumped if I must destroy the property in order to save a life. Likewise, I am not permitted to harm animals without good reason; however, if greater overall results will come about from such harm, then it is justified to harm animals. This sort of reasoning has been used to justify such practices as experimentation that uses animals, raising animals for food, and using animals for our entertainment in such places as rodeos and zoos.

There are two points of contention with the above account of rights. First, it has been claimed that if human beings have rights, then animals will likewise have rights. For example, Joel Feinberg has argued that all is required in order for a being to have a right is that the being be capable of being represented as legitimately pursuing the furtherance of its interests (Feinberg, 1974). The claim that the being must be able to represent itself is too strong, thinks Feinberg, for such a requirement will exclude infants, the senile, and other marginal cases from the class of beings with rights. In other words, Feinberg invokes yet another instance of the Argument from Marginal Cases in order to support his position.

Second, it has been claimed that the very idea of rights needs to be jettisoned. There are two reasons for this. First, philosophers such as R. G. Frey have questioned the legitimacy of the very idea of rights, echoing Bentham’s famous claim that rights are “nonsense on stilts” (Frey, 1980). Second, philosophers have argued that whether or not a being will have rights will depend essentially on whether or not it has some other lower-order property. For example, on the above conception of rights, whether a being will have a right or not will depend on whether it is able to represent itself as a being that is legitimately pursuing the furtherance of its interests. If that is what grounds rights, then what is needed is a discussion of the moral importance of that ability, along with a defense of the claim that it is an ability that animals lack. More generally, it has been argued that if we wish to deny animals rights and claim that only human beings have them, then we must focus not so much on rights, but rather on what grounds them. For this reason, much of the recent literature concerning animals and ethics focuses not so much on rights, but rather on whether or not animals have certain other properties, and whether the possession of those properties is a necessary condition for equal consideration (Cf. DeGrazia, 1999).

ii. Only Human Beings are Rational, Autonomous, and Self-Conscious

Some people argue that only rational, autonomous, and self-conscious beings deserve full and equal moral status; since only human beings are rational, autonomous, and self-conscious, it follows that only human beings deserve full and equal moral status. Once again, it is not claimed that we can do whatever we like to animals; rather, the fact that animals are sentient gives us reason to avoid causing them unnecessary pain and suffering. However, when the interests of animals and human beings conflict we are required to give greater weight to the interests of human beings. This also has been used to justify such practices as experimentation on animals, raising animals for food, and using animals in such places as zoos and rodeos.

The attributes of rationality, autonomy, and self-consciousness confer a full and equal moral status to those that possess them because these beings are the only ones capable of attaining certain values and goods; these values and goods are of a kind that outweigh the kinds of values and goods that non-rational, non-autonomous, and non-self-conscious beings are capable of attaining. For example, in order to achieve the kind of dignity and self-respect that human beings have, a being must be able to conceive of itself as one among many, and must be able to choose his actions rather than be led by blind instinct (Cf. Francis and Norman, 1978; Steinbock, 1978). Furthermore, the values of appreciating art, literature, and the goods that come with deep personal relationships all require one to be rational, autonomous, and self-conscious. These values, and others like them, are the highest values to us; they are what make our lives worth living. As John Stuart Mill wrote, “Few human creatures would consent to be changed into any of the lower animals for a promise of the fullest allowance of a beast’s pleasures” (Mill, 1979). We find the lives of beings that can experience these goods to be more valuable, and hence deserving of more protection, than the lives of beings that cannot.

iii. Only Human Beings Can Act Morally

Another reason for giving stronger preference to the interests of human beings is that only human beings can act morally. This is considered to be important because beings that can act morally are required to sacrifice their interests for the sake of others. It follows that those that do sacrifice their good for the sake of others are owed greater concern from those that benefit from such sacrifices. Since animals cannot act morally, they will not sacrifice their own good for the sake of others, but will rather pursue their good even at the expense of others. That is why human beings should give the interests of other human beings greater weight than they do the interests of animals.

iv. Only Human Beings are Part of the Moral Community

Finally, some claim that membership in the moral community is necessary for full and equal moral status. The moral community is not defined in terms of the intrinsic properties that beings have, but is defined rather in terms of the important social relations that exist between beings. For example, human beings can communicate with each other in meaningful ways, can engage in economic, political, and familial relationships with each other, and can also develop deep personal relationships with each other. These kinds of relationships require the members of such relationships to extend greater concern to other members of these relationships than they do to others in order for the relationships to continue. Since these relationships are what constitute our lives and the value contained in them, we are required to give greater weight to the interests of human beings than we do to animals.

3. Moral Equality Theories

The final theories to discuss are the moral equality theories. On these theories, not only do animals have direct moral status, but they also have the same moral status as human beings. According to theorists of this kind, there can be no legitimate reason to place human beings and animals in different moral categories, and so whatever grounds our duties to human beings will likewise ground duties to animals.

a. Singer and the Principle of Equal Consideration of Interests

Peter Singer has been very influential in the debate concerning animals and ethics. The publication of his Animal Liberation marked the beginning of a growing and increasingly powerful movement in both the United States and Europe.

Singer attacks the views of those who wish to give the interests of animals less weight than the interests of human beings. He argues that if we attempt to extend such unequal consideration to the interests of animals, we will be forced to give unequal consideration to the interests of different human beings. However, doing this goes against the intuitively plausible and commonly accepted claim that all human beings are equal. Singer concludes that we must instead extend a principle of equal consideration of interests to animals as well. Singer describes that principle as follows:

The essence of the Principle of Equal Consideration of Interests is that we give equal weight in our moral deliberations to the like interests of all those affected by our actions (Singer, 1993: 21).

Singer defends this principle with two arguments. The first is a version of the Argument from Marginal Cases; the second is the Sophisticated Inegalitarian Argument.

i. The Argument from Marginal Cases (Again)

Singer’s version of the Argument from Marginal Cases is slightly different from the version listed above. It runs as follows:

  1. In order to conclude that all and only human beings deserve a full and equal moral status (and therefore that no animals deserve a full and equal moral status), there must be some property P that all and only human beings have that can ground such a claim.
  2. Any P that only human beings have is a property that (some) human beings lack (e.g., the marginal cases).
  3. Any P that all human beings have is a property that (most) animals have as well.
  4. Therefore, there is no way to defend the claim that all and only human beings deserve a full and equal moral status.

Singer does not defend his first premise, but does not need to; the proponents of the view that all and only humans deserve a full and equal moral status rely on it themselves (see the discussion of Direct but Unequal Theories above). In support of the second premise, Singer asks us to consider exactly what properties only humans have that can ground such a strong moral status. Certain properties, such as being human, having human DNA, or walking upright do not seem to be the kind of properties that can ground this kind of status. For example, if we were to encounter alien life forms that did not have human DNA, but lived lives much like our own, we would not be justified in according these beings a weaker moral status simply because they were not human.

However, there are some properties which only human beings have which have seemed to many to be able to ground a full and equal moral status; for example, being rational, autonomous, or able to act morally have all been used to justify giving a stronger status to human beings than we do to animals. The problem with such a suggestion is that not all human beings have these properties. So if this is what grounds a full and equal moral status, it follows that not all human beings are equal after all.

If we try to ensure that we choose a property that all human beings do have that will be sufficient to ground a full and equal moral status, we seemed to be pushed towards choosing something such as being sentient, or being capable of experiencing pleasure and pain. Since the marginal cases have this property, they would be granted a full and equal moral status on this suggestion. However, if we choose a property of this kind, animals will likewise have a full and equal moral status since they too are sentient.

The attempt to grant all and only human beings a full and equal moral status does not work according to Singer. We must either conclude that not all human beings are equal, or we must conclude that not only human beings are equal. Singer suggests that the first option is too counter-intuitive to be acceptable; so we are forced to conclude that all animals are equal, human or otherwise.

ii. The Sophisticated Inegalitarian Argument

Another argument Singer employs to refute the claim that all and only human beings deserve a full and equal moral status focuses on the supposed moral relevance of such properties as rationality, autonomy, the ability to act morally, etc. Singer argues that if we were to rely on these sorts of properties as the basis of determining moral status, then we would justify a kind of discrimination against certain human beings that is structurally analogous to such practices as racism and sexism.

For example, the racist believes that all members of his race are more intelligent and rational than all of the members of other races, and thus assigns a greater moral status to the members of his race than he does do the members of other races. However, the racist is wrong in this factual judgment; it is not true that all members of any one race are smarter than all members of any other. Notice, however, that the mistake the racist is making is merely a factual mistake. His moral principle that assigns moral status on the basis of intelligence or rationality is not what has led him astray. Rather, it is simply his assessment of how intelligence or rationality is distributed among human beings that is mistaken.

If that were all that is wrong with racism and sexism, then a moral theory according to which we give extra consideration to the very smart and rational would be justified. In other words, we would be justified in becoming, not racists, but sophisticated inegalitarians. However, the sophisticated inegalitarian is just as morally suspect as the racist is. Therefore, it follows that the racist is not morally objectionable merely because of his views on how rationality and intelligence are distributed among human beings; rather he is morally objectionable because of the basis he uses to weigh the interests of different individuals. How intelligent, rational, etc., a being is cannot be the basis of his moral status; if it were, then the sophisticated inegalitarian would be on secure ground.

Notice that in order for this argument to succeed, it must target properties that admit of degrees. If someone argued that the basis of human equality rested on the possession of a property that did not admit of degrees, it would not follow that some human beings have that property to a stronger degree than others, and the sophisticated inegalitarian would not be justified. However, most of the properties that are used in order to support the claim that all and only human beings deserve a full and equal moral status are properties that do admit of degrees. Such properties as being human or having human DNA do not admit of degrees, but, as already mentioned, these properties do not seem to be capable of supporting such a moral status.

iii. Practical Implications

In order to implement the Principle of Equal Consideration of Interests in the practical sphere, we must be able to determine the interests of the beings that will be affected by our actions, and we must give similar interests similar weight. Singer concludes that animals can experience pain and suffering by relying on the argument from analogy (see the discussion of Cartesian Theories above). Since animals can experience pain and suffering, they have an interest in avoiding pain.

These facts require the immediate end to many of our practices according to Singer. For example, animals that are raised for food in factory farms live lives that are full of unimaginable pain and suffering (Singer devotes an entire chapter of his book to documenting these facts. He relies mainly on magazines published by the factory farm business for these facts). Although human beings do satisfy their interests by eating meat, Singer argues that the interests the animals have in avoiding this unimaginable pain and suffering is greater than the interests we have in eating food that tastes good. If we are to apply the Principle of Equal Consideration of Interests, we will be forced to cease raising animals in factory farms for food. A failure to do so is nothing other than speciesism, or giving preference to the interests of our own species merely because of they are of our species.

Singer does not unequivocally claim that we must not eat animals if we are to correctly apply the Principle of Equal Consideration of Interests. Whether we are required to refrain from painlessly killing animals will depend on whether animals have an interest in continuing to exist in the future. In order to have this interest, Singer believes that a being must be able to conceive of itself as existing into the future, and this requires a being to be self-conscious. Non-self-conscious beings are not harmed by their deaths, according to Singer, for they do not have an interest in continuing to exist into the future.

Singer argues that we might be able to justify killing these sorts of beings with The Replaceability Argument. On this line of thought, if we kill a non-self-conscious being that was living a good life, then we have lessened the overall amount of good in the world. This can be made up, however, by bringing another being into existence that can experience similar goods. In other words, non-self-conscious beings are replaceable: killing one can be justified if doing so is necessary to bring about the existence of another. Since the animals we rear for food would not exist if we did not eat them, it follows that killing these animals can be justified if the animals we rear for food live good lives. However, in order for this line of argumentation to justify killing animals, the animals must not only be non-self-conscious, but they must also live lives that are worth living, and their deaths must be painless. Singer expresses doubts that all of these conditions could be met, and unequivocally claims that they are not met by such places as factory farms.

Singer also condemns most experimentation in which animals are used. He first points out that many of the experiments performed using animal subjects do not have benefits for human beings that would outweigh the pain caused to the animals. For example, experiments used to test cosmetics or other non-necessary products for human beings cannot be justified if we use the Principle of Equal Consideration of Interests. Singer also condemns experiments that are aimed at preventing or curing human diseases. If we are prepared to use animal subjects for such experiments, then it would actually be better from a scientific point of view to use human subjects instead, for there would be no question of cross-species comparisons when interpreting the data. If we believe the benefits outweigh the harms, then instead of using animals we should instead use orphaned infants that are severely cognitively disabled. If we believe that such a suggestion is morally repugnant when human beings are to be used, but morally innocuous when animals are to be used, then we are guilty of speciesism.

Likewise, hunting for sport, using animals in rodeos, keeping animals confined in zoos wherein they are not able to engage in their natural activities are all condemned by the use of the Principle of the Equal Consideration of Interests.

b. Regan and Animal Rights

Tom Regan’s seminal work, The Case for Animal Rights, is one of the most influential works on the topic of animals and ethics. Regan argues for the claim that animals have rights in just the same way that human beings do. Regan believes it is a mistake to claim that animals have an indirect moral status or an unequal status, and to then infer that animals cannot have any rights. He also thinks it is a mistake to ground an equal moral status on Utilitarian grounds, as Singer attempts to do. According to Regan, we must conclude that animals have the same moral status as human beings; furthermore, that moral status is grounded on rights, not on Utilitarian principles.

Regan argues for his case by relying on the concept of inherent value. According to Regan, any being that is a subject-of-a-life is a being that has inherent value. A being that has inherent value is a being towards which we must show respect; in order to show respect to such a being, we cannot use it merely as a means to our ends. Instead, each such being must be treated as an end in itself. In other words, a being with inherent value has rights, and these rights act as trumps against the promotion of the overall good.

Regan relies on a version of the Argument from Marginal Cases in arguing for this conclusion. He begins by asking what grounds human rights. He rejects robust views that claim that a being must be capable of representing itself as legitimately pursuing the furtherance of its interests on the grounds that this conception of rights implies that the marginal cases of humanity do not have rights. However, since we think that these beings do have moral rights there must be some other property that grounds these rights. According to Regan, the only property that is common to both normal adult human beings and the marginal cases is the property of being a subject-of-a-life. A being that is a subject-of-a-life will:

have beliefs and desires; perception, memory, and a sense of the future, including their own future; an emotional life together with feelings of pleasure and pain; preference- and welfare-interests; the ability to initiate action in pursuit of their desires and goals; a psychological identity over time; and an individual welfare in the sense that their experiential life fares well or ill for them, logically independently of their utility for others, and logically independently of their being the object of anyone else’s interests (Regan, 1983: 243).

This property is one that all of the human beings that we think deserve rights have; however, it is a property that many animals (especially mammals) have as well. So if these marginal cases of humanity deserve rights, then so do these animals.

Although this position may seem quite similar to Singer’s position (see section III, part A above), Regan is careful to point to what he perceives to be the flaws of Singer’s Utilitarian theory. According to Singer, we are required to count every similar interest equally in our deliberation. However, by doing this we are focusing on the wrong thing, Regan claims. What matters is the individual that has the interest, not the interest itself. By focusing on interests themselves, Utilitarianism will license the most horrendous actions. For example, if it were possible to satisfy more interests by performing experiments on human beings, then that is what we should do on Utilitarian grounds. However, Regan believes this is clearly unacceptable: any being with inherent value cannot be used merely as a means.

This does not mean that Regan takes rights to be absolute. When the rights of different individuals conflict, then someone’s rights must be overriden. Regan argues that in these sorts of cases we must try to minimize the rights that are overriden. However, we are not permitted to override someone’s rights just because doing so will make everyone better off; in this kind of case we are sacrificing rights for utility, which is never permissible on Regan’s view.

Given these considerations, Regan concludes that we must radically alter the ways in which we treat animals. When we raise animals for food, regardless of how they are treated and how they are killed, we are using them as a means to our ends and not treating them as ends in themselves. Thus, we may not raise animals for food. Likewise, when we experiment on animals in order to advance human science, we are using animals merely as a means to our ends. Similar thoughts apply to the use of animals in rodeos and the hunting of animals.

See also Animal Ethics.

4. References and Further Reading.

a. Anthologies

  • Miller, H. and W. Miller, eds. Ethics and Animals (Clifton, NJ: Humana Press, 1983).
  • Regan, T. and P. Singer, eds. Animal Rights and Human Obligations 2/e (Englewood Cliffs, NJ: Prentice Hall, 1989).
  • Walters, K and Lisa Portmess, eds. Ethical Vegetarianism: From Pythagoras to Peter Singer(Albany, NY: State University of New York Press, 1999).

b. Monographs

  • Carruthers, Peter. The Animals Issue: Morality in Practice (Cambridge: Cambridge University Press, 1992).
  • Clark, Stephen. The Moral Status of Animals (Oxford: Clarendon Press, 1977).
  • DeGrazia, David. Taking Animals Seriously: Mental Life and Moral Status (Cambridge: Cambridge University Press, 1996).
  • Dombrowski, Daniel. Babies and Beasts: The Argument from Marginal Cases. (Urbana: The University of Illinois Press, 1997).
  • Fox, Michael A. The Case for Animal Experimentation: An Evolutionary and Ethical Perspective (Berkeley: The University of California Press, 1986).
  • Frey, R. G. Interests and Rights: The Case Against Animals (Oxford: Clarendon Press, 1980).
  • Kant, Immanuel. Critique of Practical Reason (Upper Saddle River, NJ: Prentice Hall, 1993), originally published 1788.
  • Kant, Immanuel. Groundwork of the Metaphysics of Morals (New York: Harper Torchbooks, 1956), originally published 1785.
  • Midgley, Mary. Animals and Why They Matter (Athens, GA: The University of Georgia Press, 1983).
  • Mill, John Stuart. Utilitarianism (Indianapolis: Hackett Publishers, 1979), originally published 1861.
  • Noddings, Nell. Caring: A Feminist Approach to Ethics and Moral Education (Berkeley: The University of California Press, 1984).
  • Nozick, Robert. Anarchy, State, and Utopia (New York: Basic Books, 1974).
  • Pluhar, Evelyn. Beyond Prejudice: The Moral Significance of Human and Nonhuman Animals(Durham: Duke University Press, 1995).
  • Rachels, James. Created from Animals: The Moral Implications of Darwinism (Oxford: Oxford University Press, 1990).
  • Regan, Tom. The Case for Animal Rights (Berkeley: The University of California Press, 1983).
  • Rodd, Rosemary. Biology, Ethics, and Animals (Oxford: Clarendon Press, 1990).
  • Rollin, Bernard. The Unheeded Cry: Animal Consciousness, Animal Pain, and Science(Oxford: Oxford University Press, 1989).
  • Sapontzis, S. F. Morals, Reasons, and Animals (Philadelphia: Temple University Press, 1987).
  • Singer, Peter. Animal Liberation, 2/e (New York: Avon Books, 1990).
  • Singer, Peter. Practical Ethics, 2/e (Cambridge: Cambridge University Press, 1993).
  • Warren, Mary Anne. Moral Status: Obligations to Persons and Other Living Things (Oxford: Oxford University Press, 1997).

c. Articles

  • Carruthers, Peter. “Brute Experience”, The Journal of Philosophy 86 (1989): 258-69.
  • Cigman, Ruth. “Death, Misfortune, and Species Inequality”, Philosophy and Public Affairs 10 (1981): 47-64.
  • Cohen, Carl. “The Case for the Use of Animals in Biomedical Research”, The New England Journal of Medicine 315 (1986): 865-70.
  • DeGrazia, David. “Animal Ethics Around the Turn of the Twenty-First Century”, Journal of Agricultural and Environmental Ethics 11 (1999): 111-29.
  • Diamond, Cora. “Eating Meat and Eating People”, Philosophy 53 (1978): 465-79.
  • Feinberg, Joel. “The Rights of Animals and Unborn Generations”, in W. T. Blackstone, ed.,Philosophy and Environmental Crisis (Athens, GA: The University of Georgia Press, 1974).
  • Fox, Michael A. “Animal Experimentation: A Philosopher’s Changing Views”, Between the Species 3 (1987): 55-82.
  • Francis, Leslie Pickering and Richard Norman. “Some Animals are More Equal than Others”, Philosophy 53 (1978): 507-27.
  • Goodpaster, Kenneth. “On Being Morally Considerable”, The Journal of Philosophy 75 (1978): 308-25.
  • Harrison, Peter. “Do Animals Feel Pain?”, Philosophy 66 (1991): 25-40.
  • McCloskey, H. J. “Moral Rights and Animals”, Inquiry 22 (1979): 23-54.
  • Miller, Peter. “Do Animals Have Interests Worthy of Our Moral Interest?”, Environmental Ethics 5 (1983): 319-33.
  • Narveson, Jan. “Animal Rights”, Canadian Journal of Philosophy 7 (1977): 161-78.
  • Steinbock, Bonnie. “Speciesism and the Idea of Equality”, Philosophy 53 (1978): 247-56.
  • Warren, Mary Anne. “Difficulties with the Strong Animal Rights Position”, Between the Species 2 (1987): 161-73.
  • Williams, Meredith. “Rights, Interests, and Moral Equality”, Environmental Ethics 2 (1980): 149-61.
  • Wilson, Scott. “Carruthers and the Argument From Marginal Cases”, The Journal of Applied Philosophy 18 (2001): 135-47.
  • Wilson, Scott. “Indirect Duties to Animals”, The Journal of Value Inquiry, 36 (2002): 17-27.

Author Information

Scott D. Wilson
Email: scott.wilson@wright.edu
Wright State University
U. S. A.

The Philosophy of War

war

Any philosophical examination of war will  center on four general questions: What is war? What causes war? What is the relationship between human nature and war? Can war ever be morally justifiable?

Defining what war is requires determining the entities that are allowed to begin and engage in war. And a person’s definition of war often expresses the person’s broader political philosophy, such as limiting war to a conflict between nations or state.   Alternative definitions of war can include conflict not just between nations but between schools of thought or ideologies.

Answers to the question “What causes war?” largely depend on the philosopher’s views on determinism and free will.  If a human’s actions are beyond his or her control, then the cause of war is irrelevant and inescapable.  On the other hand, if war is a product of human choice, then three general groupings of causation can be identified: biological, cultural, and reason.  While exploring the root cause of conflict, this article investigates the relationship between human nature and war.

Finally, the question remains as to whether war is ever morally justified.  Just war theory is a useful structure within which the discourse of war may be ethically examined.  In the evolving context of modern warfare, a moral calculus of war will require the philosopher of war to account not only for military personnel and civilians, but also for justifiable targets, strategies, and use of weapons.

The answers to all these questions lead on to more specific and applied ethical and political questions.  Overall, the philosophy of war is complex and requires one to articulate consistent thought across the fields of metaphysics, epistemology, philosophy of mind, political philosophy, and ethics.

Table of Contents

  1. What is War?
  2. What causes war?
  3. Human Nature and War
  4. War and Political and Moral Philosophy
  5. Summary

1. What is War?

The first issue to be considered is what is war and what is its definition. The student of war needs to be careful in examining definitions of war, for like any social phenomena, definitions are varied, and often the proposed definition masks a particular political or philosophical stance paraded by the author. This is as true of dictionary definitions as well as of articles on military or political history.

Cicero defines war broadly as “a contention by force”; Hugo Grotius adds that “war is the state of contending parties, considered as such”; Thomas Hobbes notes that war is also an attitude: “By war is meant a state of affairs, which may exist even while its operations are not continued;” Denis Diderot comments that war is “a convulsive and violent disease of the body politic;” for Karl von Clausewitz, “war is the continuation of politics by other means”, and so on. Each definition has its strengths and weaknesses, but often is the culmination of the writer’s broader philosophical positions.

For example, the notion that wars only involve states-as Clausewitz implies-belies a strong political theory that assumes politics can only involve states and that war is in some manner or form a reflection of political activity. ‘War’ defined by Webster’s Dictionary is a state of open and declared, hostile armed conflict between states or nations, or a period of such conflict. This captures a particularly political-rationalistic account of war and warfare, i.e., that war needs to be explicitly declared and to be between states to be a war. We find Rousseau arguing this position: “War is constituted by a relation between things, and not between persons…War then is a relation, not between man and man, but between State and State…” (The Social Contract).

The military historian, John Keegan offers a useful characterization of the political-rationalist theory of war in his A History of War. It is assumed to be an orderly affair in which states are involved, in which there are declared beginnings and expected ends, easily identifiable combatants, and high levels of obedience by subordinates. The form of rational war is narrowly defined, as distinguished by the expectation of sieges, pitched battles, skirmishes, raids, reconnaissance, patrol and outpost duties, with each possessing their own conventions. As such, Keegan notes the rationalist theory does not deal well with pre-state or non-state peoples and their warfare.

There are other schools of thought on war’s nature other than the political-rationalist account, and the student of war must be careful, as noted above, not to incorporate a too narrow or normative account of war. If war is defined as something that occurs only between states, then wars between nomadic groups should not be mentioned, nor would hostilities on the part of a displaced, non-state group against a state be considered war.

An alternative definition of war is that it is an all-pervasive phenomenon of the universe. Accordingly, battles are mere symptoms of the underlying belligerent nature of the universe; such a description corresponds with a Heraclitean or Hegelian philosophy in which change (physical, social, political, economical, etc) can only arise out of war or violent conflict. Heraclitus decries that “war is the father of all things,” and Hegel echoes his sentiments. Interestingly, even Voltaire, the embodiment of the Enlightenment, followed this line: “Famine, plague, and war are the three most famous ingredients of this wretched world…All animals are perpetually at war with each other…Air, earth and water are arenas of destruction.” (From Pocket Philosophical Dictionary).

Alternatively, the Oxford Dictionary expands the definition to include “any active hostility or struggle between living beings; a conflict between opposing forces or principles.” This avoids the narrowness of a political-rationalist conception by admitting the possibility of metaphorical, non-violent clashes between systems of thought, such as of religious doctrines or of trading companies. This perhaps indicates a too broad definition, for trade is certainly a different kind of activity than war, although trade occurs in war, and trade often motivates wars. The OED definition also seems to echo a Heraclitean metaphysics, in which opposing forces act on each other to generate change and in which war is the product of such a metaphysics. So from two popular and influential dictionaries, we have definitions that connote particular philosophical positions.

The plasticity and history of the English language also mean that commonly used definitions of war may incorporate and subsume meanings borrowed and derived from other, older languages: the relevant root systems being Germanic, Latin, Greek, and Sanskrit. Such descriptions may linger in oral and literary depictions of war, for we read of war in poems, stories, anecdotes and histories that may encompass older conceptions of war. Nonetheless, war’s descriptions residing in the literature left by various writers and orators often possess similarities to modern conceptions. The differences arise from the writer’s, poet’s, or orator’s judgement of war, which would suggest that an Ancient Greek conception of war is not so different from our own. Both could recognize the presence or absence of war. However, etymologically war’s definition does refer to conceptions of war that have either been discarded or been imputed to the present definition, and a cursory review of the roots of the word war provides the philosopher with a glimpse into its conceptual status within communities and over time.

For example, the root of the English word ‘war’, werra, is Frankish-German, meaning confusion, discord, or strife, and the verb werran meaning to confuse or perplex. War certainly generates confusion, as Clausewitz noted calling it the “fog of war”, but that does not discredit the notion that war is organized to begin with. The Latin root of bellum gives us the word belligerent, and duel, an archaic form of bellum; the Greek root of war is polemos, which gives us polemical, implying an aggressive controversy. The Frankish-Germanic definition hints at a vague enterprise, a confusion or strife, which could equally apply to many social problems besetting a group; arguably it is of a lower order sociological concept than the Greek, which draws the mind’s attention to suggestions of violence and conflict, or the Latin, which captures the possibility of two sides doing the fighting.

The present employment of ‘war’ may imply the clash and confusion embedded in early definitions and roots, but it may also, as we have noted, unwittingly incorporate conceptions derived from particular political schools. An alternative definition that the author has worked on is that war is a state of organized, open-ended collective conflict or hostility. This is derived from contextual common denominators, that is elements that are common to all wars, and which provide a useful and robust definition of the concept. This working definition has the benefit of permitting more flexibility than the OED version, a flexibility that is crucial if we are to examine war not just as a conflict between states (that is, the rationalist position), but also a conflict between non-state peoples, non-declared actions, and highly organized, politically controlled wars as well as culturally evolved, ritualistic wars and guerrilla uprisings, that appear to have no centrally controlling body and may perhaps be described as emerging spontaneously.

The political issue of defining war poses the first philosophical problem, but once that is acknowledged, a definition that captures the clash of arms, the state of mutual tension and threat of violence between groups, the authorized declaration by a sovereign body, and so on can be drawn upon to distinguish wars from riots and rebellions, collective violence from personal violence, metaphorical clashes of values from actual or threatened clashes of arms.

2. What causes war?

Various sub-disciplines have grappled with war’s etiology, but each in turn, as with definitions of war, often reflects a tacit or explicit acceptance of broader philosophical issues on the nature of determinism and freedom.

For example, if it is claimed that man is not free to choose his actions (strong determinism) then war becomes a fated fact of the universe, one that humanity has no power to challenge. Again, the range of opinions under this banner is broad, from those who claim war to be a necessary and ineluctable event, one that man can never shirk from, to those who, while accepting war’s inevitability, claim that man has the power to minimize its ravages, just as prescriptive medicines may minimize the risk of disease or lightning rods the risk of storm damage. The implication is that man is not responsible for his actions and hence not responsible for war. Wherein lies its cause then becomes the intellectual quest: in the medieval understanding of the universe, the stars, planets and combinations of the four substances (earth, air, water, fire) were understood as providing the key to examining human acts and dispositions. While the modern mind has increased the complexity of the nature of the university, many still refer to the universe’s material nature or its laws for examining why war arises. Some seek more complicated versions of the astrological vision of the medieval mind (e.g., Kondratieff cycle theories), whereas others delve into the newer sciences of molecular and genetic biology for explanations.

In a weaker form of determinism, theorists claim that man is a product of his environment-however that is defined-but he also possesses the power to change that environment. Arguments from this perspective become quite intricate, for they often presume that ‘mankind’ as a whole is subject to inexorable forces that prompt him to wage war, but that some people’s acts-those of the observers, philosophers, scientists-are not as determined, for they possess the intellectual ability to perceive what changes are required to alter man’s martial predispositions. Again, the paradoxes and intricacies of opinions here are curiously intriguing, for it may be asked what permits some to stand outside the laws that everybody else is subject to?

Others, who emphasize man’s freedom to choose, claim that war is a product of his choice and hence is completely his responsibility. But thinkers here spread out into various schools of thought on the nature of choice and responsibility. By its very collective nature, considerations of war’s causation must encroach into political philosophy and into discussions on a citizen’s and a government’s responsibility for a war. Such concerns obviously trip into moral issues (to what extent is the citizen morally responsible for war?), but with regards war’s causation, if man is responsible for the actual initiation of war it must be asked on whose authority is war enacted? Descriptive and normative problems arise here, for one may inquire who is the legal authority to declare war, then move to issues of whether that authority has or should have legitimacy. For example, one may consider whether that authority reflects what ‘the people’ want (or should want), or whether the authority informs them of what they want (or should want). Are the masses easily swayed by the ideas of the élite, or do the élite ultimately pursue what the majority seeks? Here, some blame aristocracies for war (e.g., Nietzsche, who actually extols their virtues in this regard) and others blame the masses for inciting a reluctant aristocracy to fight (cf. Vico, New Science, sect. 87).

Those who thus emphasize war as a product of man’s choices bring to the fore his political and ethical nature, but once the broad philosophical territory of metaphysics has been addressed other particular causes of war can be noted. These may be divided into three main groupings: those who seek war’s causation in man’s biology, those that seek it in his culture, and those who seek it in his faculty of reason.

Some claim war to be a product of man’s inherited biology, with disagreements raging on the ensuing determinist implications. Example theories include those that claim man to be naturally aggressive or naturally territorial, more complex analyses incorporate game theory and genetic evolution to explain the occurrence of violence and war (cf. Richard Dawkins for interesting comments on this area). Within this broad school of thought, some accept that man’s belligerent drives can be channeled into more peaceful pursuits (William James), some worry about man’s lack of inherited inhibitions to fight with increasingly dangerous weapons (Konrad Lorenz), and others claim the natural process of evolution will sustain peaceful modes of behavior over violent (Richard Dawkins).

Rejecting biological determinism, culturalists seek to explain war’s causation in terms of particular cultural institutions. Again determinism is implied when proponents claim that war is solely a product of man’s culture or society, with different opinions arising as to the nature or possibility of cultural change. For example, can the ‘soft morality’ of trade that engages increasing numbers in peaceful intercourse counteract and even abolish bellicose cultural tendencies (as Kant believes), or are cultures subject to an inertia, in which the imposition of external penalties or a supra-national state may be the only means to peace? The problem leads to questions of an empirical and a normative nature on the manner in which some societies have foregone war and on the extent to which similar programs may be deployed in other communities. For example, what generated peace between the warring tribes of England and what denies the people of Northern Ireland or Yugoslavia that same peace?

Rationalists are those who emphasize the efficacy of man’s reason in human affairs, and accordingly proclaim war to be a product of reason (or lack of). To some this is a lament-if man did not possess reason, he might not seek the advantages he does in war and he would be a more peaceful beast. To others reason is the means to transcend culturally relative differences and concomitant sources of friction, and its abandonment is the primary cause of war (cf. John Locke, Second Treatise, sect. 172). Proponents of the mutual benefits of universal reason have a long and distinguished lineage reaching back to the Stoics and echoing throughout the Natural Law philosophies of the medieval and later scholars and jurists. It finds its best advocate in Immanuel Kant and his famous pamphlet on Perpetual Peace.

Many who explain war’s origins in man’s abandonment of reason also derive their thoughts from Plato, who argues that “wars and revolutions and battles are due simply and solely to the body and its desires.” That is, man’s appetite sometimes or perpetually overwhelms his reasoning capacity, which results in moral and political degeneration. Echoes of Plato’s theories abound in Western thought, resurfacing for example, in Freud’s cogitation on war (“Why War”) in which he sees war’s origins in the death instinct, or in Dostoyevsky’s comments on man’s inherent barbarity: “It’s just their defenselessness that tempts the tormentor, just the angelic confidence of the child who has no refuge and no appeal, that sets his vile blood on fire. In every man, of course, a beast lies hidden-the beast of rage, the beast of lustful heat at the screams of the tortured victim, the beast of lawlessness let off the chain, the beast of diseases that follow on vice, gout, kidney disease, and so on.” (Brothers Karamazov, ii.V.4, “Rebellion”)

The problem with focusing on one single aspect of man’s nature is that while the explanation of war’s causation may be simplified, the simplification ignores cogent explanations put forward by competing theories. For example, an emphasis on man’s reason as the cause of war is apt to ignore deep cultural structures that may perpetuate war in the face of the universal appeal to peace, and similarly may ignore inherited pugnacity in some individuals or even in some groups. Similarly, an emphasis on the biological etiology of war can ignore man’s intellectual capacity to control, or his will to go against, his predispositions. In other words, human biology can affect thinking (what is thought, how, for what duration and intensity), and can accordingly affect cultural developments, and in turn cultural institutions can affect biological and rational developments (e.g., how strangers are welcomed affects a group’s isolation or integration and hence its reproductive gene pool).

The examination of war’s causation triggers the need for elaboration on many sub-topics, regardless of the internal logical validity of a proposed explanation. Students of war thus need to explore beyond proffered definitions and explanations to consider the broader philosophical problems that they often conceal.

3. Human Nature and War

A setting to explore the relationship between human nature and war is provided by Thomas Hobbes, who presents a state of nature in which the ‘true’ or ‘underlying’ nature of man is likely to come to the fore of our attention. Hobbes is adamant that without an external power to impose laws, the state of nature would be one of immanent warfare. That is, “during the time men live without a common Power to keep them all in awe, they are in that condition which is called Warre; and such a warre, as is of every man, against every man.” (Leviathan, 1.13) Hobbes’s construction is a useful starting point for discussions on man’s natural inclinations and many of the great philosophers who followed him, including Locke, Rousseau, and Kant, agree to some extent or other with his description. Locke rejects Hobbes’s complete anarchic and total warlike state but accepts that there will always be people who will take advantage of the lack of legislation and enforcement. Rousseau inverts Hobbes’s image to argue that in the state of nature man is naturally peaceful and not belligerent, however when Rousseau elaborates on international politics he is of a similar mind, arguing that states must be active (aggressive) otherwise they decline and founder; war is inevitable and any attempts at peaceful federations are futile. (From Rousseau’s notes on L’état de guerre criticizing the earlier pamphlet of the Abbé Saint-Pierre entitled Perpetual Peace, a title Kant later usurps).

Kant’s position is that the innate conflict between men and later between states prompts humanity to seek peace and federation. It is not that man’s reason alone teaches him the benefits of a pacifistic concord, but that war, which is inevitable when overarching structures are absent, induces men to consider and realize more peaceful arrangements of their affairs, yet even Kant retained a pessimistic conception of mankind: “War…seems to be ingrained in human nature, and even to be regarded as something noble to which man is inspired by his love of honor, without selfish motives.” (Perpetual Peace)

Hobbes presents an atomistic conception of humanity, which many disagree with. Communitarians of various hues reject the notion of an isolated individual pitted against others and prompted to seek a contract between themselves for peace. Some critics prefer an organic conception of the community in which the individual’s ability to negotiate for peace (through a social contract) or to wage war is embedded in the social structures that form him. Reverting to John Donne’s “no man is an island” and to Aristotle’s “man is a political animal”, proponents seek to emphasize the social connections that are endemic to human affairs, and hence any theoretical construction of human nature, and thus of war, requires an examination of the relevant society man lives in. Since the governing elements of man’s nature are thereby relative to time and place, so too is war’s nature and ethic, although proponents of this viewpoint can accept the persistence of cultural forms over time. For instance, the communitarian view of war implies that Homeric war is different from war in the Sixteenth Century, but historians might draw upon evidence that the study of Greek warfare in the Iliad may influence later generations in how they conceive themselves and warfare.

Others reject any theorizing on human nature. Kenneth Waltz, for example argues: “While human nature no doubt plays a role in bringing about war, it cannot by itself explain both war and peace, except by the simple statement that sometimes he fights and sometimes he does not.” (Man, War, and State), and existentialists deny such an entity is compatible with complete freedom of will (cf. Sartre). This danger here is that this absolves any need to search for commonalties in warriors of different periods and areas, which could be of great benefit both to military historians and peace activists.

4. War and Political and Moral Philosophy

The first port of call for investigating war’s morality is the just war theory, which is well discussed and explained in many text books and dictionaries and can also be viewed on the IEP.

However, once the student has considered, or is at least aware of the broader philosophical theories that may relate to war, an analysis of its ethics begins with the question: is war morally justifiable? Again, due notice must be given to conceptions of justice and morality that involve both individuals and groups. War as a collective endeavor engages a co-ordinated activity in which not only the ethical questions of agent responsibility, obedience and delegation are ever present but so too are questions concerning the nature of agency. Can nations be morally responsible for the war’s they are involved in, or should only those with the power to declare war be held responsible? Similarly, should individual Field Marshalls be considered the appropriate moral agent or the army as a corporate body? What guilt, if any, should the Private bear for his army’s aggression, and likewise what guilt, if any, should a citizen, or even a descendant, bear for his country’s war crimes? (And is there such a thing as a ‘war crime’?)

Just war theory begins with an assessment of the moral and political criteria for justifying the initiation of war (defensive or aggressive), but critics note that the justice of warfare is already presumed in just war theory: all that is being outlined are the legal, political, and moral criteria for its justice. Thus the initial justice of war requires reflection. Pacifists deny that war, or even any kind of violence, can be morally permissible, but, as with the other positions noted above, a variety of opinions exists here, some admitting the use of war only in defense and as a last resort (defencists) whereas others absolutely do not admit violence or war of any sort (absolutist pacifists). Moving from the pacifist position, other moralists admit the use of war as a means to support, defend, or secure peace, but such positions may permit wars of defense, deterrence, aggression, and intervention for that goal.

Beyond what has been called the pacificistic morality (in which peace is the end goal as distinct from pacifism and its rejection of war as a means), are those theories that establish an ethical value in war. Few consider war should be fought for war’s sake, but many writers have supported war as a means to various ends other than peace. For example, as a vehicle to forge national identity, to pursue territorial aggrandizement, or to uphold and strive for a variety of virtues such as glory and honor. In this vein of thought, those who are now characterized as social darwinists and their intellectual kin may be heard extolling the evolutionary benefits of warfare, either for invigorating individuals or groups to pursue the best of their abilities, or to remove weaker members or groups from political ascendancy.

The morality of war traipses into the related area of political philosophy in which conceptions of political responsibility and sovereignty, as well as notions of collective identity and individuality, should be acknowledged and investigated. Connections back to war’s causation can also be noted. For example, if the moral code of war concerns the corporate entity of the state, then it is to the existence or behavior of the state that we turn to explain how war’s originate. This raises problems concerning the examination of the moral and political responsibility for war’s initiation and procedure: if states are war’s harbingers, then does it follow that only the state’s leaders are morally and politically responsible, or if we accept some element of Humean democracy (namely that governments are always subject to the sanction of the people they rule or represent) then moral and political responsibility extends to the citizenry.

Once war commences, whatever its merits, philosophers disagree on the role, if any, of morality within war. Many have claimed morality is necessarily discarded by the very nature of war including Christian thinkers such as Augustine, whereas others have sought to remind warriors both of the existence of moral relations in war and of various strictures to remain sensitive to moral ends. Sociologically, those going to and coming back from war often go through rites and rituals that symbolize their stepping out of, or back into, civil society, as if their transition is to a different level of morality and agency. War typically involves killing and the threat of being killed, which existentialist writers have drawn on in their examination of war’s phenomenology.

For the ethicist, questions begin with identifying morally permissible or justifiable targets, strategies, and weapons-that is, of the principles of discrimination and proportionality. Writers disagree on whether all is fair in war, or whether certain modes of conflict ought to be avoided. The reasons for maintaining some moral dimensions include: the preponderance or expectation of peaceful intercourse on other levels; the mutual benefits of refraining from certain acts and the fear of retaliation in kind; and the existence of treatises and covenants that nations may seek to abide by to maintain international status.

A useful distinction here is between absolute war and total war. Absolute war describes the deployment of all of a society’s resources and citizens into working for the war machine. Total war, on the other hand, describes the absence of any restraint in warfare. Moral and political responsibility becomes problematic for proponents of both absolute and total war, for they have to justify the incorporation of civilians who do not work for the war effort as well as the infirm, children, and the handicapped and wounded who cannot fight. Supporters of absolute warfare may argue that membership of a society involves responsibilities for its protection, and if some members are literally unable to assist then all other able-bodied civilians have an absolute duty to do their part. The literature of war propaganda relates well here, as does the penal morality for those who refuse and the definitional politics of the wide range of people who may not wish to fight from conscientious objectors to traitors.

Similar issues dog those who support total warfare in which the military target traditionally sacrosanct people and entities: from non-combatants, women and children, to works of art and heritage buildings. Supporters may evoke the sliding scale that Michael Walzer describes in Just and Unjust Wars, in which graver threats to the body politic may permit the gradual weakening of moral constraints. Curiously, considering his strong emphasis on social virtues, David Hume accepts the abandonment of all notions of justice in war or when the agent’s plight is so dire that recourse to any action becomes permissible (cf. Enquiry Concerning the Principles of Morals, sect.3). Others merely state that war and morality do not mix.

5. Summary

The nature of the philosophy of war is complex and this article has sought to establish a broad vision of its landscape and the connections that are endemic to any philosophical analysis of the topic. The subject matter lends itself to metaphysical and epistemological considerations, to the philosophy of mind and of human nature, as well as to the more traditional areas of moral and political philosophy. In many respects the philosophy of war demands a thorough investigation of all aspects of a thinker’s beliefs, as well as presenting an indication of a philosopher’s position on connected topics. To begin a philosophical discussion of war draws one onto a long and complex intellectual path of study and continual analysis; whereas a cursory announcement of what one thinks on war can be, or points to, the culmination of thoughts on related topics and a deduction from one to the other can and should always be made.

Author Information

Alexander Moseley
United Kingdom

Jacques Derrida (1930—2004)

Jacques Derrida was one of the most well known twentieth century philosophers. He was also one of the most prolific. Distancing himself from the various philosophical movements and traditions that preceded him on the French intellectual scene (phenomenology, existentialism, and structuralism), he developed a strategy called “deconstruction” in the mid 1960s. Although not purely negative, deconstruction is primarily concerned with something tantamount to a critique of the Western philosophical tradition. Deconstruction is generally presented via an analysis of specific texts. It seeks to expose, and then to subvert, the various binary oppositions that undergird our dominant ways of thinking—presence/absence, speech/writing, and so forth.

Deconstruction has at least two aspects: literary and philosophical. The literary aspect concerns the textual interpretation, where invention is essential to finding hidden alternative meanings in the text. The philosophical aspect concerns the main target of deconstruction: the “metaphysics of presence,” or simply metaphysics. Starting from an Heideggerian point of view, Derrida argues that metaphysics affects the whole of philosophy from Plato onwards. Metaphysics creates dualistic oppositions and installs a hierarchy that unfortunately privileges one term of each dichotomy (presence before absence, speech before writing, and so on).

The deconstructive strategy is to unmask these too-sedimented ways of thinking, and it operates on them especially through two steps—reversing dichotomies and attempting to corrupt the dichotomies themselves. The strategy also aims to show that there are undecidables, that is, something that cannot conform to either side of a dichotomy or opposition. Undecidability returns in later period of Derrida’s reflection, when it is applied to reveal paradoxes involved in notions such as gift giving or hospitality, whose conditions of possibility are at the same time their conditions of impossibility. Because of this, it is undecidable whether authentic giving or hospitality are either possible or impossible.

In this period, the founder of deconstruction turns his attention to ethical themes. In particular, the theme of responsibility to the other (for example, God or a beloved person) leads Derrida to leave the idea that responsibility is associated with a behavior publicly and rationally justifiable by general principles. Reflecting upon tales of Jewish tradition, he highlights the absolute singularity of responsibility to the other.

Deconstruction has had an enormous influence in psychology, literary theory, cultural studies, linguistics, feminism, sociology and anthropology. Poised in the interstices between philosophy and non-philosophy (or philosophy and literature), it is not difficult to see why this is the case. What follows in this article, however, is an attempt to bring out the philosophical significance of Derrida’s thought.

Table of Contents

  1. Life and Works
  2. Deconstructive Strategy
    1. Metaphysics of Presence/Logocentrism
  3. Key terms from the early work
    1. Speech/Writing
    2. Arche-writing
    3. Différance
    4. Trace
    5. Supplement
  4. Time and Phenomenology
  5. Undecidability
    1. Decision
  6. The Other
    1. Responsibility to the Other
    2. Wholly Other/Messianic
  7. Possible and Impossible Aporias
    1. The Gift
    2. Hospitality
    3. Forgiveness
    4. Mourning
  8. References and Further Reading
    1. Derrida’s Texts (and Their Abbreviations)
    2. Selected Commentaries

1. Life and Works

In 1930, Derrida was born into a Jewish family in Algiers. He was also born into an environment of some discrimination. In fact, he either withdrew from, or was forced out of at least two schools during his childhood simply on account of being Jewish. He was expelled from one school because there was a 7% limit on the Jewish population, and he later withdrew from another school on account of the anti-semitism. While Derrida would resist any reductive understanding of his work based upon his biographical life, it could be argued that these kind of experiences played a large role in his insistence upon the importance of the marginal, and the other, in his later thought.

Derrida was twice refused a position in the prestigious Ecole Normale Superieure (where Sartre, Simone de Beauvoir and the majority of French intellectuals and academics began their careers), but he was eventually accepted to the institution at the age of 19. He hence moved from Algiers to France, and soon after he also began to play a major role in the leftist journal Tel Quel. Derrida’s initial work in philosophy was largely phenomenological, and his early training as a philosopher was done largely through the lens of Husserl. Other important inspirations on his early thought include Nietzsche, Heidegger, Saussure, Levinas and Freud. Derrida acknowledges his indebtedness to all of these thinkers in the development of his approach to texts, which has come to be known as ‘deconstruction’.

It was in 1967 that Derrida really arrived as a philosopher of world importance. He published three momentous texts (Of Grammatology, Writing and Difference, and Speech and Phenomena). All of these works have been influential for different reasons, but it is Of Grammatology that remains his most famous work (it is analysed in some detail in this article). In Of Grammatology, Derrida reveals and then undermines the speech-writing opposition that he argues has been such an influential factor in Western thought. His preoccupation with language in this text is typical of much of his early work, and since the publication of these and other major texts (including Dissemination, Glas, The Postcard, Spectres of Marx, The Gift of Death, and Politics of Friendship), deconstruction has gradually moved from occupying a major role in continental Europe, to also becoming a significant player in the Anglo-American philosophical context. This is particularly so in the areas of literary criticism, and cultural studies, where deconstruction’s method of textual analysis has inspired theorists like Paul de Man. He has also had lecturing positions at various universities, the world over. Derrida died in 2004.

Deconstruction has frequently been the subject of some controversy. When Derrida was awarded an honorary doctorate at Cambridge in 1992, there were howls of protest from many ‘analytic’ philosophers. Since then, Derrida has also had many dialogues with philosophers like John Searle (see Limited Inc.), in which deconstruction has been roundly criticised, although perhaps unfairly at times. However, what is clear from the antipathy of such thinkers is that deconstruction challenges traditional philosophy in several important ways, and the remainder of this article will highlight why this is so.

2. Deconstructive Strategy

Derrida, like many other contemporary European theorists, is preoccupied with undermining the oppositional tendencies that have befallen much of the Western philosophical tradition. In fact, dualisms are the staple diet of deconstruction, for without these hierarchies and orders of subordination it would be left with nowhere to intervene. Deconstruction is parasitic in that rather than espousing yet another grand narrative, or theory about the nature of the world in which we partake, it restricts itself to distorting already existing narratives, and to revealing the dualistic hierarchies they conceal. While Derrida’s claims to being someone who speaks solely in the margins of philosophy can be contested, it is important to take these claims into account. Deconstruction is, somewhat infamously, the philosophy that says nothing. To the extent that it can be suggested that Derrida’s concerns are often philosophical, they are clearly not phenomenological (he assures us that his work is to be read specifically against Husserl, Sartre and Merleau-Ponty) and nor are they ontological.

Deconstruction, and particularly early deconstruction, functions by engaging in sustained analyses of particular texts. It is committed to the rigorous analysis of the literal meaning of a text, and yet also to finding within that meaning, perhaps in the neglected corners of the text (including the footnotes), internal problems that actually point towards alternative meanings. Deconstruction must hence establish a methodology that pays close attention to these apparently contradictory imperatives (sameness and difference) and a reading of any Derridean text can only reaffirm this dual aspect. Derrida speaks of the first aspect of this deconstructive strategy as being akin to a fidelity and a “desire to be faithful to the themes and audacities of a thinking” (WD 84). At the same time, however, deconstruction also famously borrows from Martin Heidegger’s conception of a ‘destructive retrieve’ and seeks to open texts up to alternative and usually repressed meanings that reside at least partly outside of the metaphysical tradition (although always also partly betrothed to it). This more violent and transgressive aspect of deconstruction is illustrated by Derrida’s consistent exhortation to “invent in your own language if you can or want to hear mine; invent if you can or want to give my language to be understood” (MO 57). In suggesting that a faithful interpretation of him is one that goes beyond him, Derrida installs invention as a vitally important aspect of any deconstructive reading. He is prone to making enigmatic suggestions like “go there where you cannot go, to the impossible, it is indeed the only way of coming or going” (ON 75), and ultimately, the merit of a deconstructive reading consists in this creative contact with another text that cannot be characterised as either mere fidelity or as an absolute transgression, but rather which oscillates between these dual demands. The intriguing thing about deconstruction, however, is that despite the fact that Derrida’s own interpretations of specific texts are quite radical, it is often difficult to pinpoint where the explanatory exegesis of a text ends and where the more violent aspect of deconstruction begins. Derrida is always reluctant to impose ‘my text’, ‘your text’ designations too conspicuously in his texts. This is partly because it is even problematic to speak of a ‘work’ of deconstruction, since deconstruction only highlights what was already revealed in the text itself. All of the elements of a deconstructive intervention reside in the “neglected cornerstones” of an already existing system (MDM 72), and this equation is not altered in any significant way whether that ‘system’ be conceived of as metaphysics generally, which must contain its non-metaphysical track, or the writings of a specific thinker, which must also always testify to that which they are attempting to exclude (MDM 73).

These are, of course, themes reflected upon at length by Derrida, and they have an immediate consequence on the meta-theoretical level. To the minimal extent that we can refer to Derrida’s own arguments, it must be recognised that they are always intertwined with the arguments of whomever, or whatever, he seeks to deconstruct. For example, Derrida argues that his critique of the Husserlian ‘now’ moment is actually based upon resources within Husserl’s own text which elide the self-presence that he was attempting to secure (SP 64-66). If Derrida’s point is simply that Husserl’s phenomenology holds within itself conclusions that Husserl failed to recognise, Derrida seems to be able to disavow any transcendental or ontological position. This is why he argues that his work occupies a place in the margins of philosophy, rather than simply being philosophy per se.

Deconstruction contends that in any text, there are inevitably points of equivocation and ‘undecidability’ that betray any stable meaning that an author might seek to impose upon his or her text. The process of writing always reveals that which has been suppressed, covers over that which has been disclosed, and more generally breaches the very oppositions that are thought to sustain it. This is why Derrida’s ‘philosophy’ is so textually based and it is also why his key terms are always changing, because depending upon who or what he is seeking to deconstruct, that point of equivocation will always be located in a different place.

This also ensures that any attempt to describe what deconstruction is, must be careful. Nothing would be more antithetical to deconstruction’s stated intent than this attempt at defining it through the decidedly metaphysical question “what is deconstruction?” There is a paradoxicality involved in trying to restrict deconstruction to one particular and overarching purpose (OG 19) when it is predicated upon the desire to expose us to that which is wholly other (tout autre) and to open us up to alternative possibilities. At times, this exegesis will run the risk of ignoring the many meanings of Derridean deconstruction, and the widely acknowledged difference between Derrida’s early and late work is merely the most obvious example of the difficulties involved in suggesting “deconstruction says this”, or “deconstruction prohibits that”.

That said, certain defining features of deconstruction can be noticed. For example, Derrida’s entire enterprise is predicated upon the conviction that dualisms are irrevocably present in the various philosophers and artisans that he considers. While some philosophers argue that he is a little reductive when he talks about the Western philosophical tradition, it is his understanding of this tradition that informs and provides the tools for a deconstructive response. Because of this, it is worth briefly considering the target of Derridean deconstruction – the metaphysics of presence, or somewhat synonymously, logocentrism.

a. Metaphysics of Presence/Logocentrism

There are many different terms that Derrida employs to describe what he considers to be the fundamental way(s) of thinking of the Western philosophical tradition. These include: logocentrism, phallogocentrism, and perhaps most famously, the metaphysics of presence, but also often simply ‘metaphysics’. These terms all have slightly different meanings. Logocentrism emphasises the privileged role that logos, or speech, has been accorded in the Western tradition (see Section 3). Phallogocentrism points towards the patriarchal significance of this privileging. Derrida’s enduring references to the metaphysics of presence borrows heavily from the work of Heidegger. Heidegger insists that Western philosophy has consistently privileged that which is, or that which appears, and has forgotten to pay any attention to the condition for that appearance. In other words, presence itself is privileged, rather than that which allows presence to be possible at all – and also impossible, for Derrida (see Section 4, for more on the metaphysics of presence). All of these terms of denigration, however, are united under the broad rubric of the term ‘metaphysics’. What, then, does Derrida mean by metaphysics?

In the ‘Afterword’ to Limited Inc., Derrida suggests that metaphysics can be defined as:

“The enterprise of returning ‘strategically’, ‘ideally’, to an origin or to a priority thought to be simple, intact, normal, pure, standard, self-identical, in order then to think in terms of derivation, complication, deterioration, accident, etc. All metaphysicians, from Plato to Rousseau, Descartes to Husserl, have proceeded in this way, conceiving good to be before evil, the positive before the negative, the pure before the impure, the simple before the complex, the essential before the accidental, the imitated before the imitation, etc. And this is not just one metaphysical gesture among others, it is the metaphysical exigency, that which has been the most constant, most profound and most potent” (LI 236).

According to Derrida then, metaphysics involves installing hierarchies and orders of subordination in the various dualisms that it encounters (M 195). Moreover, metaphysical thought prioritises presence and purity at the expense of the contingent and the complicated, which are considered to be merely aberrations that are not important for philosophical analysis. Basically then, metaphysical thought always privileges one side of an opposition, and ignores or marginalises the alternative term of that opposition.

In another attempt to explain deconstruction’s treatment of, and interest in oppositions, Derrida has suggested that: “An opposition of metaphysical concepts (speech/writing, presence/absence, etc.) is never the face-to-face of two terms, but a hierarchy and an order of subordination. Deconstruction cannot limit itself or proceed immediately to neutralisation: it must, by means of a double gesture, a double science, a double writing, practise an overturning of the classical opposition, and a general displacement of the system. It is on that condition alone that deconstruction will provide the means of intervening in the field of oppositions it criticises” (M 195). In order to better understand this dual ‘methodology’ – that is also the deconstruction of the notion of a methodology because it no longer believes in the possibility of an observer being absolutely exterior to the object/text being examined – it is helpful to consider an example of this deconstruction at work (See Speech/Writing below).

3. Key terms from the early work

Derrida’s terms change in every text that he writes. This is part of his deconstructive strategy. He focuses on particular themes or words in a text, which on account of their ambiguity undermine the more explicit intention of that text. It is not possible for all of these to be addressed (Derrida has published in the vicinity of 60 texts in English), so this article focused on some of the most pivotal terms and neologisms from his early thought. It addresses aspects of his later, more theme-based thought, in Sections 6 & 7.

a. Speech/Writing

The most prominent opposition with which Derrida’s earlier work is concerned is that between speech and writing. According to Derrida, thinkers as different as Plato, Rousseau, Saussure, and Levi-Strauss, have all denigrated the written word and valorised speech, by contrast, as some type of pure conduit of meaning. Their argument is that while spoken words are the symbols of mental experience, written words are the symbols of that already existing symbol. As representations of speech, they are doubly derivative and doubly far from a unity with one’s own thought. Without going into detail regarding the ways in which these thinkers have set about justifying this type of hierarchical opposition, it is important to remember that the first strategy of deconstruction is to reverse existing oppositions. In Of Grammatology (perhaps his most famous work), Derrida hence attempts to illustrate that the structure of writing and grammatology are more important and even ‘older’ than the supposedly pure structure of presence-to-self that is characterised as typical of speech.

For example, in an entire chapter of his Course in General Linguistics, Ferdinand de Saussure tries to restrict the science of linguistics to the phonetic and audible word only (24). In the course of his inquiry, Saussure goes as far as to argue that “language and writing are two distinct systems of signs: the second exists for the sole purpose of representing the first”. Language, Saussure insists, has an oral tradition that is independent of writing, and it is this independence that makes a pure science of speech possible. Derrida vehemently disagrees with this hierarchy and instead argues that all that can be claimed of writing – eg. that it is derivative and merely refers to other signs – is equally true of speech. But as well as criticising such a position for certain unjustifiable presuppositions, including the idea that we are self-identical with ourselves in ‘hearing’ ourselves think, Derrida also makes explicit the manner in which such a hierarchy is rendered untenable from within Saussure’s own text. Most famously, Saussure is the proponent of the thesis that is commonly referred to as “the arbitrariness of the sign”, and this asserts, to simplify matters considerably, that the signifier bears no necessary relationship to that which is signified. Saussure derives numerous consequences from this position, but as Derrida points out, this notion of arbitrariness and of “unmotivated institutions” of signs, would seem to deny the possibility of any natural attachment (OG 44). After all, if the sign is arbitrary and eschews any foundational reference to reality, it would seem that a certain type of sign (ie. the spoken) could not be more natural than another (ie. the written). However, it is precisely this idea of a natural attachment that Saussure relies upon to argue for our “natural bond” with sound (25), and his suggestion that sounds are more intimately related to our thoughts than the written word hence runs counter to his fundamental principle regarding the arbitrariness of the sign.

b. Arche-writing

In Of Grammatology and elsewhere, Derrida argues that signification, broadly conceived, always refers to other signs, and that one can never reach a sign that refers only to itself. He suggests that “writing is not a sign of a sign, except if one says it of all signs, which would be more profoundly true” (OG 43), and this process of infinite referral, of never arriving at meaning itself, is the notion of ‘writing’ that he wants to emphasise. This is not writing narrowly conceived, as in a literal inscription upon a page, but what he terms ‘arche-writing’. Arche-writing refers to a more generalised notion of writing that insists that the breach that the written introduces between what is intended to be conveyed and what is actually conveyed, is typical of an originary breach that afflicts everything one might wish to keep sacrosanct, including the notion of self-presence.

This originary breach that arche-writing refers to can be separated out to reveal two claims regarding spatial differing and temporal deferring. To explicate the first of these claims, Derrida’s emphasis upon how writing differs from itself is simply to suggest that writing, and by extension all repetition, is split (differed) by the absence that makes it necessary. One example of this might be that we write something down because we may soon forget it, or to communicate something to someone who is not with us. According to Derrida, all writing, in order to be what it is, must be able to function in the absence of every empirically determined addressee (M 375). Derrida also considers deferral to be typical of the written and this is to reinforce that the meaning of a certain text is never present, never entirely captured by a critic’s attempt to pin it down. The meaning of a text is constantly subject to the whims of the future, but when that so-called future is itself ‘present’ (if we try and circumscribe the future by reference to a specific date or event) its meaning is equally not realised, but subject to yet another future that can also never be present. The key to a text is never even present to the author themselves, for the written always defers its meaning. As a consequence we cannot simply ask Derrida to explain exactly what he meant by propounding that enigmatic sentiment that has been translated as “there is nothing outside of the text” (OG 158). Any explanatory words that Derrida may offer would themselves require further explanation. [That said, it needs to be emphasised that Derrida’s point is not so much that everything is simply semiotic or linguistic – as this is something that he explicitly denies – but that the processes of differing and deferring found within linguistic representation are symptomatic of a more general situation that afflicts everything, including the body and the perceptual]. So, Derrida’s more generalised notion of writing, arche-writing, refers to the way in which the written is possible only on account of this ‘originary’ deferral of meaning that ensures that meaning can never be definitively present. In conjunction with the differing aspect that we have already seen him associate with, and then extend beyond the traditional confines of writing, he will come to describe these two overlapping processes via that most famous of neologisms: différance.

c. Différance

Différance is an attempt to conjoin the differing and deferring aspects involved in arche-writing in a term that itself plays upon the distinction between the audible and the written. After all, what differentiates différance and différence is inaudible, and this means that distinguishing between them actually requires the written. This problematises efforts like Saussure’s, which as well as attempting to keep speech and writing apart, also suggest that writing is an almost unnecessary addition to speech. In response to such a claim, Derrida can simply point out that there is often, and perhaps even always, this type of ambiguity in the spoken word – différence as compared to différance – that demands reference to the written. If the spoken word requires the written to function properly, then the spoken is itself always at a distance from any supposed clarity of consciousness. It is this originary breach that Derrida associates with the terms arche-writing and différance.

Of course, différance cannot be exhaustively defined, and this is largely because of Derrida’s insistence that it is “neither a word, nor a concept”, as well as the fact that the meaning of the term changes depending upon the particular context in which it is being employed. For the moment, however, it suffices to suggest that according to Derrida, différance is typical of what is involved in arche-writing and this generalised notion of writing that breaks down the entire logic of the sign (OG 7). The widespread conviction that the sign literally represents something, which even if not actually present, could be potentially present, is rendered impossible by arche-writing, which insists that signs always refer to yet more signs ad infinitum, and that there is no ultimate referent or foundation. This reversal of the subordinated term of an opposition accomplishes the first of deconstruction’s dual strategic intents. Rather than being criticised for being derivative or secondary, for Derrida, writing, or at least the processes that characterise writing (ie. différance and arche-writing), are ubiquitous. Just as a piece of writing has no self-present subject to explain what every particular word means (and this ensures that what is written must partly elude any individual’s attempt to control it), this is equally typical of the spoken. Utilising the same structure of repetition, nothing guarantees that another person will endow the words I use with the particular meaning that I attribute to them. Even the conception of an internal monologue and the idea that we can intimately ‘hear’ our own thoughts in a non-contingent way is misguided, as it ignores the way that arche-writing privileges difference and a non-coincidence with oneself (SP 60-70).

d. Trace

In this respect, it needs to be pointed out that all of deconstruction’s reversals (arche-writing included) are partly captured by the edifice that they seek to overthrow. For Derrida, “one always inhabits, and all the more when one does not suspect it” (OG 24), and it is important to recognise that the mere reversal of an existing metaphysical opposition might not also challenge the governing framework and presuppositions that are attempting to be reversed (WD 280). Deconstruction hence cannot rest content with merely prioritising writing over speech, but must also accomplish the second major aspect of deconstruction’s dual strategies, that being to corrupt and contaminate the opposition itself.

Derrida must highlight that the categories that sustain and safeguard any dualism are always already disrupted and displaced. To effect this second aspect of deconstruction’s strategic intents, Derrida usually coins a new term, or reworks an old one, to permanently disrupt the structure into which he has intervened – examples of this include his discussion of the pharmakon in Plato (drug or tincture, salutary or maleficent), and the supplement in Rousseau, which will be considered towards the end of this section. To phrase the problem in slightly different terms, Derrida’s argument is that in examining a binary opposition, deconstruction manages to expose a trace. This is not a trace of the oppositions that have since been deconstructed – on the contrary, the trace is a rupture within metaphysics, a pattern of incongruities where the metaphysical rubs up against the non-metaphysical, that it is deconstruction’s job to juxtapose as best as it can. The trace does not appear as such (OG 65), but the logic of its path in a text can be mimed by a deconstructive intervention and hence brought to the fore.

e. Supplement

The logic of the supplement is also an important aspect of Of Grammatology. A supplement is something that, allegedly secondarily, comes to serve as an aid to something ‘original’ or ‘natural’. Writing is itself an example of this structure, for as Derrida points out, “if supplementarity is a necessarily indefinite process, writing is the supplement par excellence since it proposes itself as the supplement of the supplement, sign of a sign, taking the place of a speech already significant” (OG 281). Another example of the supplement might be masturbation, as Derrida suggests (OG 153), or even the use of birth control precautions. What is notable about both of these examples is an ambiguity that ensures that what is supplementary can always be interpreted in two ways. For example, our society’s use of birth control precautions might be interpreted as suggesting that our natural way is lacking and that the contraceptive pill, or condom, etc., hence replaces a fault in nature. On the other hand, it might also be argued that such precautions merely add on to, and enrich our natural way. It is always ambiguous, or more accurately ‘undecidable’, whether the supplement adds itself and “is a plenitude enriching another plenitude, the fullest measure of presence”, or whether “the supplement supplements… adds only to replace… represents and makes an image… its place is assigned in the structure by the mark of an emptiness” (OG 144). Ultimately, Derrida suggests that the supplement is both of these things, accretion and substitution (OG 200), which means that the supplement is “not a signified more than a signifier, a representer than a presence, a writing than a speech” (OG 315). It comes before all such modalities.

This is not just some rhetorical suggestion that has no concrete significance in deconstruction. Indeed, while Rousseau consistently laments the frequency of his masturbation in his book, The Confessions, Derrida argues that “it has never been possible to desire the presence ‘in person’, before this play of substitution and the symbolic experience of auto-affection” (OG 154). By this, Derrida means that this supplementary masturbation that ‘plays’ between presence and absence (eg. the image of the absent Therese that is evoked by Rousseau) is that which allows us to conceive of being present and fulfilled in sexual relations with another at all. In a sense, masturbation is ‘originary’, and according to Derrida, this situation applies to all sexual relations. All erotic relations have their own supplementary aspect in which we are never present to some ephemeral ‘meaning’ of sexual relations, but always involved in some form of representation. Even if this does not literally take the form of imagining another in the place of, or supplementing the ‘presence’ that is currently with us, and even if we are not always acting out a certain role, or faking certain pleasures, for Derrida, such representations and images are the very conditions of desire and of enjoyment (OG 156).

4. Time and Phenomenology

Derrida has had a long and complicated association with phenomenology for his entire career, including ambiguous relationships with Husserl and Heidegger, and something closer to a sustained allegiance with Lévinas. Despite this complexity, two main aspects of Derrida’s thinking regarding phenomenology remain clear. Firstly, he thinks that the phenomenological emphasis upon the immediacy of experience is the new transcendental illusion, and secondly, he argues that despite its best intents, phenomenology cannot be anything other than a metaphysics (SP 75, 104). In this context, Derrida defines metaphysics as the science of presence, as for him (as for Heidegger), all metaphysics privileges presence, or that which is. While they are presented schematically here, these inter-related claims constitute Derrida’s major arguments against phenomenology.

According to Derrida, phenomenology is a metaphysics of presence because it unwittingly relies upon the notion of an indivisible self-presence, or in the case of Husserl, the possibility of an exact internal adequation with oneself (SP 66-8). In various texts, Derrida contests this valorisation of an undivided subjectivity, as well as the primacy that such a position accords to the ‘now’, or to some other kind of temporal immediacy. For instance, in Speech and Phenomena, Derrida argues that if a ‘now’ moment is conceived of as exhausting itself in that experience, it could not actually be experienced, for there would be nothing to juxtapose itself against in order to illuminate that very ‘now’. Instead, Derrida wants to reveal that every so-called ‘present’, or ‘now’ point, is always already compromised by a trace, or a residue of a previous experience, that precludes us ever being in a self-contained ‘now’ moment (SP 68). Phenomenology is hence envisaged as nostalgically seeking the impossible: that is, coinciding with oneself in an immediate and pre-reflective spontaneity. Following this refutation of Husserlian temporality, Derrida remarks that “in the last analysis, what is at stake is… the privilege of the actual present, the now” (SP 62-3). Instead of emphasising the presence of a subject to themselves (ie. the so-called living-present), Derrida strategically utilises a conception of time that emphasises deferral. John Caputo expresses Derrida’s point succinctly when he claims that Derrida’s criticisms of Husserlian temporality in Speech and Phenomena involve an attempt to convey that: “What is really going on in things, what is really happening, is always “to come”. Every time you try to stabilise the meaning of a thing, try to fix it in its missionary position, the thing itself, if there is anything at all to it, slips away” (cf. SP 104, Caputo DN 31). To put Derrida’s point simplistically, it might be suggested that the meaning of a particular object, or a particular word, is never stable, but always in the process of change (eg. the dissemination of meaning for which deconstruction has become notorious). Moreover, the significance of that past change can only be appreciated from the future and, of course, that ‘future’ is itself implicated in a similar process of transformation were it ever to be capable of becoming ‘present’. The future that Derrida is referring to is hence not just a future that will become present, but the future that makes all ‘presence’ possible and also impossible. For Derrida, there can be no presence-to-self, or self-contained identity, because the ‘nature’ of our temporal existence is for this type of experience to elude us. Our predominant mode of being is what he will eventually term the messianic (see Section 6), in that experience is about the wait, or more aptly, experience is only when it is deferred. Derrida’s work offers many important temporal contributions of this quasi-transcendental variety.

5. Undecidability

In its first and most famous instantiation, undecidability is one of Derrida’s most important attempts to trouble dualisms, or more accurately, to reveal how they are always already troubled. An undecidable, and there are many of them in deconstruction (eg. ghost, pharmakon, hymen, etc.), is something that cannot conform to either polarity of a dichotomy (eg. present/absent, cure/poison, and inside/outside in the above examples). For example, the figure of a ghost seems to neither present or absent, or alternatively it is both present and absent at the same time (SM).

However, Derrida has a recurring tendency to resuscitate terms in different contexts, and the term undecidability also returns in later deconstruction. Indeed, to complicate matters, undecidability returns in two discernible forms. In his recent work, Derrida often insists that the condition of the possibility of mourning, giving, forgiving, and hospitality, to cite some of his most famous examples, is at once also the condition of their impossibility (see section 7). In his explorations of these “possible-impossible” aporias, it becomes undecidable whether genuine giving, for example, is either a possible or an impossible ideal.

a. Decision

Derrida’s later philosophy is also united by his analysis of a similar type of undecidability that is involved in the concept of the decision itself. In this respect, Derrida regularly suggests that a decision cannot be wise, or posed even more provocatively, that the instant of the decision must actually be mad (DPJ 26, GD 65). Drawing on Kierkegaard, Derrida tells us that a decision requires an undecidable leap beyond all prior preparations for that decision (GD 77), and according to him, this applies to all decisions and not just those regarding the conversion to religious faith that preoccupies Kierkegaard. To pose the problem in inverse fashion, it might be suggested that for Derrida, all decisions are a faith and a tenuous faith at that, since were faith and the decision not tenuous, they would cease to be a faith or a decision at all (cf. GD 80). This description of the decision as a moment of madness that must move beyond rationality and calculative reasoning may seem paradoxical, but it might nevertheless be agreed that a decision requires a ‘leap of faith’ beyond the sum total of the facts. Many of us are undoubtedly stifled by the difficulty of decision-making, and this psychological fact aids and, for his detractors, also abets Derrida’s discussion of the decision as it appears in texts like The Gift of Death, Deconstruction and the Possibility of Justice, Adieu to Emmanuel Lévinas, and Politics of Friendship.

In Adieu to Emmanuel Lévinas, Derrida argues that a decision must always come back to the other, even if it is the other ‘inside’ the subject, and he disputes that an initiative which remained purely and simply “mine” would still be a decision (AEL 23-4). A theory of the subject is incapable of accounting for the slightest decision (PF 68-9), because, as he rhetorically asks, “would we not be justified in seeing here the unfolding of an egological immanence, the autonomic and automatic deployment of predicates or possibilities proper to a subject, without the tearing rupture that should occur in every decision we call free?” (AEL 24). In other words, if a decision is envisaged as simply following from certain character attributes, then it would not genuinely be a decision. Derrida is hence once more insisting upon the necessity of a leap beyond calculative reasoning, and beyond the resources of some self-contained subject reflecting upon the matter at hand. A decision must invoke that which is outside of the subject’s control. If a decision is an example of a concept that is simultaneously impossible within its own internal logic and yet nevertheless necessary, then not only is our reticence to decide rendered philosophically cogent, but it is perhaps even privileged. Indeed, Derrida’s work has been described as a “philosophy of hesitation”, and his most famous neologism, différance, explicitly emphasises deferring, with all of the procrastination that this term implies. Moreover, in his early essay “Violence and Metaphysics”, Derrida also suggests that a successful deconstructive reading is conditional upon the suspension of choice: on hesitating between the ethical opening and the logocentric totality (WD 84). Even though Derrida has suggested that he is reluctant to use the term ‘ethics’ because of logocentric associations, one is led to conclude that ‘ethical’ behaviour (for want of a better word) is a product of deferring, and of being forever open to possibilities rather than taking a definitive position. The problem of undecidability is also evident in more recent texts including The Gift of Death. In this text, Derrida seems to support the sacrificing of a certain notion of ethics and universality for a conception of radical singularity not unlike that evinced by the “hyper-ethical” sacrifice that Abraham makes of his son upon Mt Moriah, according to both the Judaic and Christian religions alike (GD 71). To represent Derrida’s position more precisely, true responsibility consists in oscillating between the demands of that which is wholly other (in Abraham’s case, God, but also any particular other) and the more general demands of a community (see Section 6). Responsibility is enduring this trial of the undecidable decision, where attending to the call of a particular other will inevitably demand an estrangement from the “other others” and their communal needs. Whatever decision one may take, according to Derrida, it can never be wholly justified (GD 70). Of course, Derrida’s emphasis upon the undecidability inherent in all decision-making does not want to convey inactivity or a quietism of despair, and he has insisted that the madness of the decision also demands urgency and precipitation (DPJ 25-8). Nevertheless, what is undergone is described as the “trial of undecidability” (LI 210) and what is involved in enduring this trial would seem to be a relatively anguished being. In an interview with Richard Beardsworth, Derrida characterises the problem of undecidability as follows: “However careful one is in the theoretical preparation of a decision, the instant of the decision, if there is to be a decision, must be heterogeneous to the accumulation of knowledge. Otherwise, there is no responsibility. In this sense not only must the person taking the decision not know everything… the decision, if there is to be one, must advance towards a future which is not known, which cannot be anticipated” (NM 37). This suggestion that the decision cannot anticipate the future is undoubtedly somewhat counter-intuitive, but Derrida’s rejection of anticipation is not only a rejection of the traditional idea of deciding on the basis of weighing-up and internally representing certain options. By suggesting that anticipation is not possible, he means to make the more general point that no matter how we may anticipate any decision must always rupture those anticipatory frameworks. A decision must be fundamentally different from any prior preparations for it. As Derrida suggests in Politics of Friendship, the decision must “surprise the very subjectivity of the subject” (PF 68), and it is in making this leap away from calculative reasoning that Derrida argues that responsibility consists (PF 69).

6. The Other

a. Responsibility to the Other

Perhaps the most obvious aspect of Derrida’s later philosophy is his advocation of the tout autre, the wholly other, and The Gift of Death will be our main focus in explaining what this exaltation of the wholly other might mean. Any attempt to sum up this short but difficult text would have to involve the recognition of a certain incommensurability between the particular and the universal, and the dual demands placed upon anybody intending to behave responsibly. For Derrida, the paradox of responsible behaviour means that there is always a question of being responsible before a singular other (eg. a loved one, God, etc.), and yet we are also always referred to our responsibility towards others generally and to what we share with them. Derrida insists that this type of aporia, or problem, is too often ignored by the “knights of responsibility” who presume that accountability and responsibility in all aspects of life – whether that be guilt before the human law, or even before the divine will of God – is quite easily established (GD 85). These are the same people who insist that concrete ethical guidelines should be provided by any philosopher worth his or her ‘salt’ (GD 67) and who ignore the difficulties involved in a notion like responsibility, which demands something importantly different from merely behaving dutifully (GD 63).

Derrida’s exploration of Abraham’s strange and paradoxical responsibility before the demands of God, which consists in sacrificing his only son Isaac, but also in betraying the ethical order through his silence about this act (GD 57-60), is designed to problematise this type of ethical concern that exclusively locates responsibility in the realm of generality. In places, Derrida even verges on suggesting that this more common notion of responsibility, which insists that one should behave according to a general principle that is capable of being rationally validated and justified in the public realm (GD 60), should be replaced with something closer to an Abrahamian individuality where the demands of a singular other (eg. God) are importantly distinct from the ethical demands of our society (GD 61, 66). Derrida equivocates regarding just how far he wants to endorse such a conception of responsibility, and also on the entire issue of whether Abraham’s willingness to murder is an act of faith, or simply an unforgivable transgression. As he says, “Abraham is at the same time, the most moral and the most immoral, the most responsible and the most irresponsible” (GD 72). This equivocation is, of course, a defining trait of deconstruction, which has been variously pilloried and praised for this refusal to propound anything that the tradition could deem to be a thesis. Nevertheless, it is relatively clear that in The Gift of Death, Derrida intends to free us from the common assumption that responsibility is to be associated with behaviour that accords with general principles capable of justification in the public realm (ie. liberalism). In opposition to such an account, he emphasises the “radical singularity” of the demands placed upon Abraham by God (GD 60, 68, 79) and those that might be placed on us by our own loved ones. Ethics, with its dependence upon generality, must be continually sacrificed as an inevitable aspect of the human condition and its aporetic demand to decide (GD 70). As Derrida points out, in writing about one particular cause rather than another, in pursuing one profession over another, in spending time with one’s family rather than at work, one inevitably ignores the “other others” (GD 69), and this is a condition of any and every existence. He argues that: “I cannot respond to the call, the request, the obligation, or even the love of another, without sacrificing the other other, the other others” (GD 68). For Derrida, it seems that the Buddhist desire to have attachment to nobody and equal compassion for everybody is an unattainable ideal. He does, in fact, suggest that a universal community that excludes no one is a contradiction in terms. According to him, this is because: “I am responsible to anyone (that is to say, to any other) only by failing in my responsibility to all the others, to the ethical or political generality. And I can never justify this sacrifice; I must always hold my peace about it… What binds me to this one or that one, remains finally unjustifiable” (GD 70). Derrida hence implies that responsibility to any particular individual is only possible by being irresponsible to the “other others”, that is, to the other people and possibilities that haunt any and every existence.

b. Wholly Other/Messianic

This brings us to a term that Derrida has resuscitated from its association with Walter Benjamin and the Judaic tradition more generally. That term is the messianic and it relies upon a distinction with messianism.

According to Derrida, the term messianism refers predominantly to the religions of the Messiahs – ie. the Muslim, Judaic and Christian religions. These religions proffer a Messiah of known characteristics, and often one who is expected to arrive at a particular time or place. The Messiah is inscribed in their respective religious texts and in an oral tradition that dictates that only if the other conforms to such and such a description is that person actually the Messiah. The most obvious of numerous necessary characteristics for the Messiah, it seems, is that they must invariably be male. Sexuality might seem to be a strange prerequisite to tether to that which is beyond this world, wholly other, but it is only one of many. Now, Derrida is not simplistically disparaging religion and the messianisms they propound. In an important respect, the messianic depends upon the various messianisms and Derrida admits that he cannot say which is the more originary. The messianism of Abraham in his singular responsibility before God, for Derrida, reveals the messianic structure of existence more generally, in that we all share a similar relationship to alterity even if we have not named and circumscribed that experience according to the template provided by a particular religion. However, Derrida’s call to the wholly other, his invocation for the wholly other “to come”, is not a call for a fixed or identifiable other of known characteristics, as is arguably the case in the average religious experience. His wholly other is indeterminable and can never actually arrive. Derrida more than once recounts a story of Maurice Blanchot’s where the Messiah was actually at the gates to a city, disguised in rags. After some time, the Messiah was finally recognised by a beggar, but the beggar could think of nothing more relevant to ask than: “when will you come?”(DN 24). Even when the Messiah is ‘there’, he or she must still be yet to come, and this brings us back to the distinction between the messianic and the various historical messianisms. The messianic structure of existence is open to the coming of an entirely ungraspable and unknown other, but the concrete, historical messianisms are open to the coming of a specific other of known characteristics. The messianic refers predominantly to a structure of our existence that involves waiting – waiting even in activity – and a ceaseless openness towards a future that can never be circumscribed by the horizons of significance that we inevitably bring to bear upon that possible future. In other words, Derrida is not referring to a future that will one day become present (or a particular conception of the saviour who will arrive), but to an openness towards an unknown futurity that is necessarily involved in what we take to be ‘presence’ and hence also renders it ‘impossible’. A deconstruction that entertained any type of grand prophetic narrative, like a Marxist story about the movement of history toward a pre-determined future which, once attained, would make notions like history and progress obsolete, would be yet another vestige of logocentrism and susceptible to deconstruction (SM). Precisely in order to avoid the problems that such messianisms engender – eg. killing in the name of progress, mutilating on account of knowing the will of God better than others, etc. – Derrida suggests that: “I am careful to say ‘let it come’ because if the other is precisely what is not invented, the initiative or deconstructive inventiveness can consist only in opening, in uncloseting, in destabilising foreclusionary structures, so as to allow for the passage toward the other” (RDR 60).

7. Possible and Impossible Aporias

Derrida has recently become more and more preoccupied with what has come to be termed “possible-impossible aporias” – aporia was originally a Greek term meaning puzzle, but it has come to mean something more like an impasse or paradox. In particular, Derrida has described the paradoxes that afflict notions like giving, hospitality, forgiving and mourning. He argues that the condition of their possibility is also, and at once, the condition of their impossibility. In this section, I will attempt to reveal the shared logic upon which these aporias rely.

a. The Gift

The aporia that surrounds the gift revolves around the paradoxical thought that a genuine gift cannot actually be understood to be a gift. In his text, Given Time, Derrida suggests that the notion of the gift contains an implicit demand that the genuine gift must reside outside of the oppositional demands of giving and taking, and beyond any mere self-interest or calculative reasoning (GT 30). According to him, however, a gift is also something that cannot appear as such (GD 29), as it is destroyed by anything that proposes equivalence or recompense, as well as by anything that even proposes to know of, or acknowledge it. This may sound counter-intuitive, but even a simple ‘thank-you’ for instance, which both acknowledges the presence of a gift and also proposes some form of equivalence with that gift, can be seen to annul the gift (cf. MDM 149). By politely responding with a ‘thank-you’, there is often, and perhaps even always, a presumption that because of this acknowledgement one is no longer indebted to the other who has given, and that nothing more can be expected of an individual who has so responded. Significantly, the gift is hence drawn into the cycle of giving and taking, where a good deed must be accompanied by a suitably just response. As the gift is associated with a command to respond, it becomes an imposition for the receiver, and it even becomes an opportunity to take for the ‘giver’, who might give just to receive the acknowledgement from the other that they have in fact given. There are undoubtedly many other examples of how the ‘gift’ can be deployed, and not necessarily deliberately, to gain advantage. Of course, it might be objected that even if it is psychologically difficult to give without also receiving (and in a manner that is tantamount to taking) this does not in-itself constitute a refutation of the logic of genuine giving. According to Derrida, however, his discussion does not amount merely to an empirical or psychological claim about the difficulty of transcending an immature and egocentric conception of giving. On the contrary, he wants to problematise the very possibility of a giving that can be unequivocally disassociated from receiving and taking.

The important point is that, for Derrida, a genuine gift requires an anonymity of the giver, such that there is no accrued benefit in giving. The giver cannot even recognise that they are giving, for that would be to reabsorb their gift to the other person as some kind of testimony to the worth of the self – ie. the kind of self-congratulatory logic that rhetorically poses the question “how wonderful I am to give this person that which they have always desired, and without even letting them know that I am responsible?”. This is an extreme example, but Derrida claims that such a predicament afflicts all giving in more or less obvious ways. For him, the logic of a genuine gift actually requires that self and other be radically disparate, and have no obligations or claims upon each other of any kind. He argues that a genuine gift must involve neither an apprehension of a good deed done, nor the recognition by the other party that they have received, and this seems to render the actuality of any gift an impossibility. Significantly, however, according to Derrida, the existential force of this demand for an absolute altruism can never be assuaged, and yet equally clearly it can also never be fulfilled, and this ensures that the condition of the possibility of the gift is inextricably associated with its impossibility. For Derrida, there is no solution to this type of problem, and no hint of a dialectic that might unify the apparent incommensurability in which possibility implies impossibility and vice versa. At the same time, however, he does not intend simply to vacillate in hyperbolic and self-referential paradoxes. There is a sense in which deconstruction actually seeks genuine giving, hospitality, forgiving and mourning, even where it acknowledges that these concepts are forever elusive and can never actually be fulfilled.

b. Hospitality

It is also worth considering the aporia that Derrida associates with hospitality. According to Derrida, genuine hospitality before any number of unknown others is not, strictly speaking, a possible scenario (OH 135, GD 70, AEL 50, OCF 16). If we contemplate giving up everything that we seek to possess and call our own, then most of us can empathise with just how difficult enacting any absolute hospitality would be. Despite this, however, Derrida insists that the whole idea of hospitality depends upon such an altruistic concept and is inconceivable without it (OCF 22). In fact, he argues that it is this internal tension that keeps the concept alive.

As Derrida makes explicit, there is a more existential example of this tension, in that the notion of hospitality requires one to be the ‘master’ of the house, country or nation (and hence controlling). His point is relatively simple here; to be hospitable, it is first necessary that one must have the power to host. Hospitality hence makes claims to property ownership and it also partakes in the desire to establish a form of self-identity. Secondly, there is the further point that in order to be hospitable, the host must also have some kind of control over the people who are being hosted. This is because if the guests take over a house through force, then the host is no longer being hospitable towards them precisely because they are no longer in control of the situation. This means, for Derrida, that any attempt to behave hospitably is also always partly betrothed to the keeping of guests under control, to the closing of boundaries, to nationalism, and even to the exclusion of particular groups or ethnicities (OH 151-5). This is Derrida’s ‘possible’ conception of hospitality, in which our most well-intentioned conceptions of hospitality render the “other others” as strangers and refugees (cf. OH 135, GD 68). Whether one invokes the current international preoccupation with border control, or simply the ubiquitous suburban fence and alarm system, it seems that hospitality always posits some kind of limit upon where the other can trespass, and hence has a tendency to be rather inhospitable. On the other hand, as well as demanding some kind of mastery of house, country or nation, there is a sense in which the notion of hospitality demands a welcoming of whomever, or whatever, may be in need of that hospitality. It follows from this that unconditional hospitality, or we might say ‘impossible’ hospitality, hence involves a relinquishing of judgement and control in regard to who will receive that hospitality. In other words, hospitality also requires non-mastery, and the abandoning of all claims to property, or ownership. If that is the case, however, the ongoing possibility of hospitality thereby becomes circumvented, as there is no longer the possibility of hosting anyone, as again, there is no ownership or control.

c. Forgiveness

Derrida discerns another aporia in regard to whether or not to forgive somebody who has caused us significant suffering or pain. This particular paradox revolves around the premise that if one forgives something that is actually forgivable, then one simply engages in calculative reasoning and hence does not really forgive. Most commonly in interviews, but also in his recent text On Cosmopolitanism and Forgiveness, Derrida argues that according to its own internal logic, genuine forgiving must involve the impossible: that is, the forgiving of an ‘unforgivable’ transgression – eg. a ‘mortal sin’ (OCF 32, cf. OH 39). There is hence a sense in which forgiving must be ‘mad’ and ‘unconscious’ (OCF 39, 49), and it must also remain outside of, or heterogenous to, political and juridical rationality. This unconditional ‘forgiveness’ explicitly precludes the necessity of an apology or repentance by the guilty party, although Derrida acknowledges that this pure notion of forgiveness must always exist in tension with a more conditional forgiveness where apologies are actually demanded. However, he argues that this conditional forgiveness amounts more to amnesty and reconciliation than to genuine forgiveness (OCF 51). The pattern of this discussion is undoubtedly beginning to become familiar. Derrida’s discussions of forgiving are orientated around revealing a fundamental paradox that ensures that forgiving can never be finished or concluded – it must always be open, like a permanent rupture, or a wound that refuses to heal.

This forgiveness paradox depends, in one of its dual aspects, upon a radical disjunction between self and other. Derrida explicitly states that “genuine forgiveness must engage two singularities: the guilty and the victim. As soon as a third party intervenes, one can again speak of amnesty, reconciliation, reparation, etc., but certainly not of forgiveness in the strict sense” (OCF 42). Given that he also acknowledges that it is difficult to conceive of any such face-to-face encounter without a third party – as language itself must serve such a mediating function (OCF 48) – forgiveness is caught in an aporia that ensures that its empirical actuality looks to be decidedly unlikely. To recapitulate, the reason that Derrida’s notion of forgiveness is caught in such an inextricable paradox is because absolute forgiveness requires a radically singular confrontation between self and other, while conditional forgiveness requires the breaching of categories such as self and other, either by a mediating party, or simply by the recognition of the ways in which we are always already intertwined with the other. Indeed, Derrida explicitly argues that when we know anything of the other, or even understand their motivation in however minimal a way, this absolute forgiveness can no longer take place (OCF 49). Derrida can offer no resolution in regard to the impasse that obtains between these two notions (between possible and impossible forgiving, between an amnesty where apologies are asked for and a more absolute forgiveness). He will only insist that an oscillation between both sides of the aporia is necessary for responsibility (OCF 51).

d. Mourning

In Memoires: for Paul de Man, which was written almost immediately following de Man’s death in 1983, Derrida reflects upon the political significance of his colleague’s apparent Nazi affiliation in his youth, and he also discusses the pain of losing his friend. Derrida’s argument about mourning adheres to a similarly paradoxical logic to that which has been associated with him throughout this article. He suggests that the so-called ‘successful’ mourning of the deceased other actually fails – or at least is an unfaithful fidelity – because the other person becomes a part of us, and in this interiorisation their genuine alterity is no longer respected. On the other hand, failure to mourn the other’s death paradoxically appears to succeed, because the presence of the other person in their exteriority is prolonged (MDM 6). As Derrida suggests, there is a sense in which “an aborted interiorisation is at the same time a respect for the other as other” (MDM 35). Hence the possibility of an impossible bereavement, where the only possible way to mourn, is to be unable to do so. However, even though this is how he initially presents the problem, Derrida also problematises this “success fails, failure succeeds” formulation (MDM 35).

In his essay “Fors: The Anglish Words of Nicolas Abraham and Maria Torok”, Derrida again considers two models of the type of encroachment between self and other that is regularly associated with mourning. Borrowing from post-Freudian theories of mourning, he posits (although later undermines) a difference between introjection, which is love for the other in me, and incorporation, which involves retaining the other as a pocket, or a foreign body within one’s own body. For Freud, as well as for the psychologists Abraham and Torok whose work Derrida considers, successful mourning is primarily about the introjection of the other. The preservation of a discrete and separate other person inside the self (psychologically speaking), as is the case in incorporation, is considered to be where mourning ceases to be a ‘normal’ response and instead becomes pathological. Typically, Derrida reverses this hierarchy by highlighting that there is a sense in which the supposedly pathological condition of incorporation is actually more respectful of the other person’s alterity. After all, incorporation means that one has not totally assimilated the other, as there is still a difference and a heterogeneity (EO 57). On the other hand, Abraham and Torok’s so-called ‘normal’ mourning can be accused of interiorising the other person to such a degree that they have become assimilated and even metaphorically cannibalised. Derrida considers this introjection to be an infidelity to the other. However, Derrida’s account is not so simple as to unreservedly valorise the incorporation of the other person, even if he emphasises this paradigm in an effort to refute the canonical interpretation of successful mourning. He also acknowledges that the more the self “keeps the foreign element inside itself, the more it excludes it” (Fors xvii). If we refuse to engage with the dead other, we also exclude their foreignness from ourselves and hence prevent any transformative interaction with them. When fetishised in their externality in such a manner, the dead other really is lifeless and it is significant that Derrida describes the death of de Man in terms of the loss of exchange and of the transformational opportunities that he presented (MDM xvi, cf WM). Derrida’s point hence seems to be that in mourning, the ‘otherness of the other’ person resists both the process of incorporation as well as the process of introjection. The other can neither be preserved as a foreign entity, nor introjected fully within. Towards the end of Memoires: for Paul de Man, Derrida suggests that responsibility towards the other is about respecting and even emphasising this resistance (MDM 160, 238).

8. References and Further Reading

a. Derrida’s Texts (and Their Abbreviations)

  • Acts of Literature, ed. Attridge, New York: Routledge, 1992 (AL).
  • Adieu to Emmanuel Lévinas, trans. Brault & Naas, Stanford, California: Stanford University Press, 1999 (AEL).
  • Circumfessions: Fifty Nine Periphrases, in Bennington, G., Jacques Derrida, Chicago: University of Chicago Press, 1993 (Circ).
  • On Cosmopolitanism and Forgiveness, London: Routledge, 2001 (OCF).
  • Deconstruction and the Possibility of Justice, (inc. “Force of the Law”), eds. Cornell, Carlson, & Benjamin, New York: Routledge, 1992 (DPJ).
  • Dissemination, trans. Johnson, Chicago: University of Chicago Press, 1981 (D).
  • “‘Eating Well’ or the Calculation of the Subject: An Interview with Jacques Derrida” in Who Comes After the Subject? eds. Cadava, Connor, & Nancy, New York: Routledge, 1991, p 96-119.
  • The Ear of the Other: Otobiography, Transference, Translation, trans. Kamuf, ed. McDonald, New York: Schocken Books, 1985 (EO).
  • Edmund Husserl’s ‘Origin of Geometry’: An Introduction, trans. Leavey, Pittsburgh: Duquesne University Press, 1978 (1962) (HOG).
  • “Fors: The Anglish Words of Nicolas Abraham and Maria Torok”, trans. Johnson, in The Wolfman’s Magic Word: A Cryptonomy, Abraham, N., & Torok, M., trans. Rand, Minneapolis: University of Minnesota Press, 1986 (Fors).
  • The Gift of Death, trans. Wills, Chicago: University of Chicago Press, 1995 (1991) (GD).
  • Given Time: i. Counterfeit Money, trans. Kamuf, Chicago: University of Chicago Press, 1992 (GT).
  • “Hostipitality” in Angelaki: Journal of the Theoretical Humanities, Vol. 5, Number 3, Dec 2000.
  • Le Toucher: Jean-Luc Nancy, Paris: Galilée, 2000 (T).
  • Le Toucher: Touch/to touch him”, in Paragraph, trans. Kamuf, 16:2, 1993, p 122-57.
  • Limited Inc. (inc. “Afterword”), ed. Graff, trans. Weber, Evanston: Northwestern University Press, 1998 edition (LI).
  • Margins of Philosophy, trans. Bass, Chicago: University of Chicago Press, 1982 (M).
  • Memoires: for Paul de Man, trans. Lindsay, Culler, Cadava, & Kamuf, New York: Columbia University Press, 1989 (MDM).
  • Memoirs of the Blind: The Self-Portrait and Other Ruins, trans. Brault & Naas, Chicago: University of Chicago Press, 1993 (1991) (MB).
  • Monolingualism of the Other or the Prosthesis of Origin, trans. Mensh, Stanford: Stanford University Press, 1996 (MO).
  • “Nietzsche and the Machine: Interview with Jacques Derrida” (interviewer Beardsworth) in Journal of Nietzsche Studies, Issue 7, Spring 1994 (NM). Of Grammatology, trans. Spivak, Baltimore: John Hopkins University Press, 1976 (OG).
  • Derrida, J., & Dufourmantelle, A., Of Hospitality, trans. Bowlby, Stanford: Stanford University Press, 2000 (OH).
  • On the Name (inc. “Passions”), ed. Dutoit, Stanford: Stanford University Press, 1995 (ON).
  • “Ousia and Gramme: A Note to a Footnote in Being and Time” trans. Casey in Phenomenology in Perspective, ed. Smith, The Hague: Nijhoff, 1970.
  • Parages, Paris: Galilée, 1986. Points… Interviews, 1974-1995, ed. Weber, trans. Kamuf et al, Stanford: Stanford University Press, 1995 (P).
  • Politics of Friendship, trans. Collins, New York: Verso, 1997 (PF).
  • Positions, trans. Bass, London: Athlone Press, 1981 (1972) (PO).
  • “Psyche: Inventions of the Other” in Reading De Man Reading, eds. Waters & Godzich, Minneapolis: University of Minnesota Press, 1989 (RDR).
  • Spectres of Marx: The State of the Debt, the Work of Mourning and the New International, trans. Kamuf, New York: Routledge, 1994 (SM).
  • ‘Speech and Phenomena’ and Other Essays on Husserl’s Theory of Signs, trans. Allison, Evanston: Northwestern University Press, 1973 (1967) (SP).
  • The Work of Mourning, eds. Brault & Naas, Chicago: University of Chicago Press, 2001 (WM).
  • Writing and Difference, trans. Bass, Chicago: University of Chicago Press, 1978 (1967) (WD).

b. Selected Commentaries

  • Bennington, G., Interrupting Derrida, Warwick Studies in European Philosophy, London: Routledge, 2000.
  • Bennington, G., Jacques Derrida, Chicago: University of Chicago Press, 1993.
  • Caputo, J., Deconstruction in a Nutshell, New York: Fordham University Press, 1997.
  • Caputo, J., The Prayers and Tears of Jacques Derrida, Bloomington: Indiana University Press, 1997.
  • Critchley, S., The Ethics of Deconstruction: Derrida and Lévinas, Oxford, UK: Blackwell, 1992.
  • Culler, J., On Deconstruction: Theory and Criticism after Structuralism, London: Routledge and Kegan Paul, 1983.
  • Gasché, R., Inventions of Difference: On Jacques Derrida, Massachusetts: Harvard University Press, 1994. Gasché, R., The Tain of the Mirror: Derrida and the Philosophy of Reflection, Massachusetts: Harvard University Press, 1986.
  • Hart, K., The Trespass of the Sign: Deconstruction, Theology and Philosophy, Cambridge: Cambridge University Press, 1989.
  • Harvey, I., Derrida and the Economy of Différance, Studies in Phenomenology and Existential Philosophy, Bloomington: Indiana University Press, 1986.
  • Howells, C., Derrida: Deconstruction from Phenomenology to Ethics, Cambridge: Polity Press, 1999.
  • Krell, D., The Purest of Bastards: Works of Art, Affirmation and Mourning in the Thought of Jacques Derrida, Pennsylvania: Pennsylvania University Press, 2000.
  • Norris, C., Derrida, Massachusetts: Harvard University Press, 1987.
  • Patrick, M., Derrida, Responsibility and Politics, Avebury Series in Philosophy, Aldershot: Ashgate Publishing, 1997.
  • Silverman, H., ed. Derrida and Deconstruction, New York: Routledge, 1989.
  • Wood, D., The Deconstruction of Time, Contemporary Studies in Philosophy and the Human Sciences, Atlantic Highlands, New Jersey: Humanities Press, 1989.
  • Wood, D., ed. Derrida: A Critical Reader, Oxford: Blackwell, 1992.
  • Wood, D., & Bernasconi, R., eds. Derrida and Différance, Evanston: Northwestern University Press, 1988.

Author Information

Jack Reynolds
Email: Jack.Reynolds@latrobe.edu.au
La Trobe University
Australia

Ikhwan al-Safa’

Ikhwān al-safā’ (the Brethren of Purity) are the authors of the Rasā’il al-Ikhwān al-safā’ (Treatises of the Brethren of Purity), an Islamic encyclopedia consisting of fifty-two treatises and an additional comprehensive treatise (Risālat al-jāmi‘a) on various philosophical sciences interpreted by Ismā‘īlī Shī‘ī scholars. It covers the mathematical, natural, psychological/rational, and theological sciences and was written in the tenth or eleventh century C.E. The Ikhwān al-safā’ were an anonymous group of authors who resided in Basra (current day Iraq), influenced by Neoplatonic and Aristotelian thought and linked to the early Ismā‘īlī da‘wa (literally: to call; missionary preaching), which belongs to Shī‘ī Islam. The group’s attempt at maintaining anonymity does not come as a surprise given that the distinguishing aspect of Ismā‘īlism (branch from Shī‘ism) is a deep esotericism concerned with the inner dimensions of Islam.

This Ismā‘īlī esotericism fused with ancient Greek philosophy and produced the Ikhwan’s unique analysis of mathematics, epistemology, and metaphysical cosmology. The Ikhwān drew from Pythagorean thought to explain the Ismā‘īlī belief in a hierarchal world, Hellenistic metaphysical concepts of actuality and potentiality to describe how the human soul acquires knowledge, and they were inspired by Democritus’ worldview.

The present article provides an outline to assist readers in attaining a bird’s eye-view of this vast encyclopedia composed by brilliant Muslim scholars, who mastered all branches of knowledge in its manifold external and internal aspects.

Table of Contents

  1. Historical Background
  2. Short Description of the Work
  3. Philosophical Sciences
  4. Twofold in the Creation
  5. References and Further Reading

1. Historical Background

One of the main obstacles preventing a proper understanding of the Isma’ili movement is the paucity of historical material exemplified by the fact that only Sunni sources relating Isma‘ili history survived. The early part of Isma‘ili history has two important phases. It is in this complex pre-Fatimid period that Jabir ibn Hayyan (d. C.E. 815) wrote many treatises on alchemy and on the mystical science of treatises. The Encyclopedia of the Ikhwan al-safa’ was composed by authors who had a vast knowledge of Hellenic literature and the various contemporary sciences.

Isma’ilism developed a complex and rich theosophy which owed a great deal to Neoplatonism. In the 9TH century, Greek-to-Arabic translations proliferated, first by the intermediary of Syriac then directly. The version of Plotinus’ Enneads possessed by Muslims was modified with changes and paraphrases; it was wrongly attributed to Aristotle and called Theologia of Aristotle, since Plotinus (Flutinus) remained mostly unknown to the Muslims by name. This latter work played a significant role in the development of Isma‘ilism

The Ikhwan al-Safa’ remained an anonymous group of scholars, but when Abu Hayyan al-Tawhidi was asked about them, he identified some of them: Abu Sulayman al-Busti (known as al-Muqaddasi), ‘Ali b. Harun al-Zanjani, Muhammad al-Nahrajuri (or al-Mihrajani), al-‘Awfi, and Zayd ibn Rifa‘i. The complete name of the group is Ikhwan al-Safa’ wa Khullan al-Wafa’ wa Ahl al-Hamd wa Abna’ al-Majd. The majority of scholars agree that the Ikhwan and their rasa’il belongs to the Isma‘ili movement. (cf. Nasr, 1978, p. 29; Marquet, 1971, p. 1071; Poonawala, p. 93)

2. Short Description of the Work

The Encyclopedia is divided into fifty-two epistles (rasa’il) of varying lengths, which make up four books. Each book develops different topics:

Book 1: the mathematical sciences (14 rasa’il) include theory of number, geometry, astronomy, geography, music, theoretical and practical arts, ethics and logic.

Book 2: the natural sciences (17 rasa’il) comprehend matter, form, motion, time, space, sky and universe, generation and corruption, meteorology, minerals, plants, animals, human body, perception, embryology, man as microcosm, development of souls in the body, limit of knowledge, death, pleasure, and language.

Book 3: the psychological and rational sciences (10 rasa’il) comprehend intellectual principles (Pythagoras and Ikhwan), universe as macrocosm, intelligence and intelligible, periods and era, passion, resurrection, species of movement, cause and effect, definitions and descriptions.

Book 4: the theological sciences (11 rasa’il) include doctrines and religions, way to God, doctrine of Ikhwan, essence of faith, divine law and prophethood, appeal to God, hierarchy, spiritual beings, politics, magic and talisman.

3. Philosophical Sciences

The incorporation of philosophical and theological doctrines in their writings were done teleogically. They were also influenced by neo-Pythagorean arithmetical theories, the authors based their theosophy on this Pythagorean principle: “the beings are according to the nature of the number.” (Steigerwald, p. 82) They were inspired by the assertion attributed to Pythagoras: “In the knowledge of the properties of numbers and in the way they are classified and ranked in grades resides the knowledge of the beings of God.” (Steigerwald, p. 82) The Ikhwan al-safa’ realized that each number depends on the one which precedes it. We can decompose the number unit by unit till we reach the first. But to the One “we can not withdraw anything […] because it is the origin and the source of number.”(Steigerwald, p. 82) According to them, beings are like numbers: they come from God and return finally to Him. This is a good example of how they adapted Pythagorean theories to their fundamental belief in a hierarchical world.

The metaphysics of the Ikhwan al-Safa’ are built upon Hellenic philosophy. They share common terminology with the Aristotelian scheme, but the concepts (matter and form, substance –in Greek ousia — and accidents, potentially and actuality, and the four causes) vary slightly. For them, learning is the reminiscence of knowledge already contained in the soul; the soul is ‘potentially knowledgeable’ and becomes ‘actually knowledgeable’.

The Ikhwan hold that substance is self-existent and capable of receiving attributes. But form is divided into two kinds: substances and accidents. They conceive four causes: material, formal, efficient, and final. The material cause of plants is the four elements (fire, air, water, and earth) and their final cause is to provide food for animals. (rasa’il Ikhwan al-Safa’, vol. 2 p. 79; cf. rasa’il Ikhwan al-Safa’, vol. 2 p. 115, vol. 3, p. 358) Here the Ikhwan ascribe for material cause the raw material (i.e. bronze or silver); for the formal cause, they give the example of an apple pip which is expected to produce an apple; the efficient cause indicates the origin, for example a father is the efficient cause of a child, and the final cause shows the purpose of something.

4. Twofold in the Creation

The process of creation is divided twofold: first, God creates ex nihilo the Intellect; immediately after the Intellect’s emanation (fayd), it proceeds gradually, giving shape to the present universe. The order and character of emanation are described below. (rasa’il Ikhwan al-Safa’, vol. 1 p. 54; cf. rasa’il Ikhwan al-Safa’, vol. 3 pp. 184, 196-7; 235)

(1) Al-Bari’ (Creator, or God) is the First and only Eternal Being, no anthropomorphic attribute is to be ascribed to Him. Only the will to originate pertains to Him. The Ikhwan present an Unknowable God (Deus Absconditus) at the top of the hierarchy while the Qur’anic God (Deus Revelatus), another facet of God, guides people on the right path.

(2) Al-‘Aql (Intellect or Gr. Noûs) is the first being to originate from God. It is one in number as God Himself is One. God created all the forms of subsequent beings in the Intellect, from which emanated the Universal soul and the first matter. It is clear, in the opinion of the Ikhwan, that the Intellect, a counterpart of God, is the best representative of God.

(3) Al-Nafs al-Kulliyya (The Universal Soul) is the Soul of the whole universe, a simple essence which emanates from the Intellect. It receives its energy from the Intellect. It manifests itself in the sun through which is animated the whole sublunary (material) world. What we call creation, in our physical world, pertains to the Universal Soul.

(4) Al-Hayula al-Ula (Prime Matter, arabicized from Gr. hyle), is a spiritual substance that is unable to emanate by itself. It is caused by the Intellect to proceed from the Universal Soul which helps it to emanate and accept different forms.

(5) Al-Tabi’at (Nature) is the energy diffused throughout all organic and inorganic bodies. It is the cause of motion, life, and change. The influence of intellect ceases at this stage of Nature. All subsequent emanations tend to be more and more material and defective.

(6) Al-Jism al-Mutlaq (The Absolute Body) comes about when First matter acquires physical properties, and it is the physical substance of which our world is made.

(7) The World of the Spheres (of the fixed stars, Saturn, Jupiter, Mars, the Sun, Venus, Mercury, and the Moon) appears in the seventh stage of emanation. All the heavenly bodies are made up of a fifth element (ether), and are not subject to generation and corruption.

(8) The Four Elements (fire, air, water, and earth) come immediately under the sphere of the moon where they are subjected to generation and corruption. The Ikhwan adopted the view of Thales (d. c. B.C.E. 545) and the Ionians that the four “elements” change into one another, water becomes air and fire; fire becomes air, water, earth, etc.

(9) The Three Kingdoms are the last stage of emanation. The three kingdoms (mineral, plant, and animal) are made of proportional intermixture of the four elements.

The Ikhwan al-Safa’ took over the theory of Democritus of Abdera (d. c. B.C.E. 370) which considered man as a reduced model of the universe (microcosm), and the universe as an enlarged copy of man (macrocosm). They regard the human being as a miniature world. (Netton, pp. 14-15) The individual souls (al-nafs al-juz’iyya), representing the infinite powers of the Universal Soul, began to form. During a very long time, these souls filled the world of spheres and constituted the angels, who animated heavenly bodies. In the early stage, the angels contemplated the Intellect and performed the worship due to God. After a lapse of time, some of these individual souls began to forget much about their origin and office. Their inattention caused the fall of the souls into the physical earth. This explains the metaphysical origin of life on earth.

5. References and Further Reading

  • De Callataÿ, Godefroid. “The Classification of the Sciences according to the rasa’il Ikhwan al-Safa’.”
  • Corbin, Henry. History of Islamic Philosophy. Translated from French by Liadian Sherrad and Philipp Sherrad. London: Kegan Paul International, 1993: 133-136.
  • Fakhry, Majid. A history of Islamic Philosophy. Second Edition. New York: Columbia University Press, 1983.
  • Farrukh, Omar A. “Ikhwan al-Safa’.” In A History of Muslim Philosophy. Edited and Introduced by M.M. Sharif. Wiesabaden: Otta Harrassowitz, (1963): 289-310.
  • Hamdani, Abbas. “Abu Hayyan al-Tawhidi and the Brethren of Purity.” International Journal of Middle East Studies, Vol. 9 (1978): 345-353.
  • Ikhwan al-Safa’. Rasa’il Ikhwan al-Safa’ (Epistles of the Brethren of Purity). Beirut: Dar Sadir, 4 vols., 1957 (The complete text of the fifty-two epistles in the original edited by Arabic Butrus Bustani).
  • Ikhwan al-Safa’. Al-Risala al-Jami’a. Edited by J. Saliba. Damascus, vol. 1, 1387/1949, vol. 2 n:d.
  • Maquet, Yves. “Ikhwan al-Safa’.” Encyclopaedia of Islam. Vol. 3 (1971): 1071-1076.
  • Marquet, Yves. La philosophie des Ihwan al-Safa’. Algers: Société Nationale d’Édition et de Diffusion, 1975.
  • Marquet, Yves. “Les Épîtres des Ikhwan as-Safa’, œuvre ismaïlienne.” Studia Islamica. Vol. 61 (1985): 57-79.
  • Marquet, Yves. “Ihwan as-Safa’, Ismaïliens et Qarmates.” Arabica. Vol. 24 (1977): 233-257.
  • Marquet, Yves. “Les Ihwan as-Safa’ et l’ismaïlisme.” In Convegne sugli Ikhwan as-Safa’. Rome, 1971.
  • Marquet, Yves. La Philosophie des alchimistes et l’alchimie des philosophes: Jabir ibn Hayyan et les Ihwan al-Safa’. Paris: Maisonneuve et Larose, 1988.
  • Poonawala, Ismail K. “Ikhwan al-safa’.” Vol. 7. The Encyclopedia of Religion. (1987): 92-95.
  • Nasr, Seyyed Hossein. Islamic Cosmological Doctrines. London: Thames Hudson, 1978: 23-96.
  • Nasr, Seyyed Hossein and Mehdi Aminrazavi (ed.). An Anthology of Philosophy in Persia. Oxford: Oxford University Press, 2001: 201-279.
  • Netton, I.R. Muslim Neoplatonists: An Introduction to the Thought of the Brethren of Purity (Ikhwan al-Safa’). London: Allen & Unwin; 1982.
  • Steigerwald, Diana. “The Multiple Facets of Isma’ilism.” Sacred Web: A Journal of Tradition and Modernity. Vol. 9 (2002): 77-87.
  • Tamir, ‘Arif. La réalité des Ihwan as-Safa’ wa Hullan al Wafa’. Beirut, 1957.

Author Information

Diana Steigerwald
Email: dsteiger@csulb.edu
California State University – Long Beach
U. S. A.

Neo-Stoicism

Neo-Stoicism (or Neostoicism) is the name given to a late Renaissance philosophical movement that attempted to revive ancient Stoicism in a form that would be acceptable to a Christian audience. This involved the rejection or modification of certain parts of the Stoic system, especially physical doctrines such as materialism and determinism. As John Calvin’s objection attests, this was often seen by others to be a very difficult task.

It is also important to stress that this attempt was not merely to revive scholarly interest in ancient Stoic thought (although it often involved this as well) but rather to revive Stoicism as a living philosophical movement by which people could lead their lives. The key text founding this movement was Justus Lipsius’s De Constantia (“On Constancy”) of 1584. After Lipsius the other key exponent of Neostoicism was Guillaume Du Vair. Additional person who have been associated with this movement include Pierre Charron, Francisco de Quevedo, and Michel de Montaigne.

This article concludes that the term ‘Christian Stoicism’ is, strictly speaking, a contradiction in terms. Although Stoicism may be characterized as a pantheist philosophy, it is also a materialist and determinist philosophy, so the orthodox Christian can never, at the same time, be a Stoic. However, the orthodox Christian can admire certain parts of Stoic ethics; and the Neostoic movement indicates that in the late Renaissance many indeed did.

Table of Contents

  1. Introduction: The Word ‘Neostoicism’
  2. Background: Church Fathers and the Middle Ages
  3. Justus Lipsius (1547-1606) and the Creation of Neostoicism
  4. Selected Neostoics
    1. Guillaume Du Vair (1556-1621)
    2. Pierre Charron (1541-1603)
    3. Francisco de Quevedo (1580-1645)
    4. Michel de Montaigne (1533-1592)
  5. Conclusion
  6. References and Further Reading

1. Introduction: The Word ‘Neostoicism’

The term ‘Neostoicism’ appears to have been coined by Jean Calvin. In his Institutio Religionis Christianae (‘Institutes of the Christian Religion’) of 1536, Calvin made reference to ‘new Stoics’ (novi Stoici) who attempted to revive the ideal of impassivity (apatheia) instead of embracing the properly Christian virtue of heroically enduring suffering sent by God (Inst. 3.8.9). While the true Christian acknowledges the test sent to him by God, these modern ‘Neostoics’ pretend to deny the existence of such suffering altogether.

Whatever its origins, the term ‘Neostoicism’ has come to refer to the sixteenth and seventeenth century intellectual movement which attempted to revive ancient Stoic philosophy in a form that would be compatible with Christianity. As Calvin’s objection attests, this was often seen by others to be a very difficult, if not impossible, task. It is also important to stress that this attempt was not merely to revive scholarly interest in ancient Stoic thought (although it often involved this as well) but rather to revive Stoicism as a living philosophical movement by which people could lead their lives.

The central figure in the Neostoic movement was Justus Lipsius. Lipsius’s De Constantia (‘On Constancy’) may be credited as the inspiration for this movement. This work was first published in 1584, well after Calvin’s reference to contemporary ‘Neostoics’. Whomever Calvin had in mind in his polemic, they did not form part of what is now known as the Neostoic movement. The term’s use now reflects modern scholarly classification rather than Renaissance self-description.

2. Background: Church Fathers and the Middle Ages

Attempts to reconcile Stoicism with Christianity are almost as old as Christianity itself. The earliest attempts can be seen in the works of a number of the Latin Church Fathers. St. Augustine showed sympathy towards the Stoic doctrine of apatheia, while Tertullian was drawn towards Stoic pantheistic materialism. However none of these Christian authors wholly endorsed the Stoic philosophical system. Indeed, they often conflicted with regard to which parts of Stoic philosophy they thought could be reconciled with orthodox Christian teaching. Later Neostoics, especially Justus Lipsius, often drew upon the authority of the Church Fathers, citing their endorsements of certain Stoic ideas, but remaining silent about their doubts.

Stoicism continued to exert influence throughout the Christian Middle Ages. Adaptations of Epictetus’s Enchiridion (‘Handbook’) were made for use in monasteries (references to ‘Socrates’ were altered to ‘St. Paul’), highlighting the perceived affinity between the Christian and the Stoic way of life. Seneca’s Epistulae (‘Letters’) circulated and appear to have been read by many. Stoic ethical ideas can be seen in the moral works of Peter Abelard, especially in the Dialogus inter Philosophum, Iudaeum et Christianum (‘Dialogue Between a Philosopher, a Jew, and Christian’), and his pupil John of Salisbury.

In each of these instances Stoic moral ideas were taken out of the broader context of the Stoic philosophical system and placed with a Christian context. It is sometimes claimed that this practice simply reflected the predominance of moral themes within the available sources, namely the Latin works of Seneca and Cicero. However, at least some knowledge of Stoic physics was readily accessible in works such as Cicero’s De Natura Deorum (‘On the Nature of the Gods’), De Divinatione (‘On Divination’), and De Fato (‘On Fate’). The existence of a forged correspondence between Seneca and St. Paul, accepted as genuine by St. Augustine and St. Jerome, may well have contributed to the thought that it was possible to combine Stoic ethics with Christian teaching.

In marked contrast, the attempt to revive Stoic pantheistic physics by David of Dinant ended with declarations of heresy and the burning of books. His identification of God with primary matter led to his condemnation in 1210 and he was forced to flee France. Consequently none of his works survive except as brief quotations in the hostile polemics of St. Albert the Great and St. Thomas Aquinas. Although medieval Christian authorities were apparently open to the use of Stoic ethics as a supplement to Christian teaching, they certainly remained suspicious of Stoic physics, which was at best pantheistic and at worst materialist and atheistic.

This, then, was the background to the late Renaissance attempt to revive Stoicism. Stoic ethics was thought to contain much that could be commended to the Christian, but only if carefully disentangled from Stoic physics. In attempting this careful operation, the remarks of the Church Fathers proved to be especially influential. These impeccable Christian authorities could be cited without fear of reproach from the Church.

3. Justus Lipsius (1547-1606) and the Creation of Neostoicism

Although early Renaissance figures such as Petrarch and Politian displayed an interest in and sympathy for Stoic philosophy, the first concerted attempt to resurrect Stoicism as a living philosophical movement must be credited to the Belgian classical philologist and Humanist Justus Lipsius (1547-1606). Lipsius’s fame today rests primarily upon his important critical editions of Seneca and Tacitus. While Seneca taught Lipsius some of the details of Stoic doctrine, Tacitus recorded for him that doctrine ‘in action’ in the lives of a number of Roman Stoics.

Lipsius’s principal philosophical work, De Constantia (‘On Constancy’) of 1584, outlines the way in which a Christian may, in times of trouble, draw upon a Stoic inspired ethic of constancy (constantia) in order help him endure the evils of the world. As Lipsius makes clear in a prefatory letter to the work, he was the first to “have attempted the opening and clearing of this way of wisdom [i.e. Stoicism], so long recluded and overgrown with thorns”. Yet in order to do this, Lipsius had to present this pagan philosophy in a form that could be reconciled with Christianity. Thus he makes clear in the same letter that it is only in conjunction with holy scriptures (cum divinis litteris conjuncta) that this ancient way of wisdom (Sapientiae viam) can lead to tranquillity and peace (ad Tranquillitatem et Quietem). In particular, Lipsius draws attention to those parts of Stoic philosophy that the devout Christian must reject (Const. 1.20). These are the claims that (a) God is submitted to fate; (b) that there is a natural order of causes (and thus no miracles); (c) that there is no contingency; (d) that there is no free will. All four of these depend upon the Stoic theory of determinism which, in turn, is based upon Stoic materialism.

Another Stoic doctrine that aroused some controversy was the ideal of impassiveness (apatheia). As we have already seen, it was with reference to this notion that Calvin criticised the ‘new Stoics’ (novi Stoici) of his day. Christian discussion of this Stoic idea dates back at least to St. Augustine who initially appears to have been sympathetic (e.g. De Ordine) but later became more critical. The issue is closely bound with judgements concerning the power of reason. For the Stoics, the wise man or sage (sophos) can overcome all unwanted emotions by rational analysis of his judgements. For a Christian, however, this should only be possible with the help of God’s grace. It is the love of God, rather than the exercise of philosophical reason, that frees the Christian from mental disturbances. This is the position that St. Augustine affirms in his later works (e.g. De Civitate Dei). It is thus possible, using St Augustine alone, to cite a Church Father both for and against this Stoic doctrine.

The Neostoic must be careful here. Lipsius’s entire project in De Constantia is primarily philosophical. His concern is to promote rational reflection concerning emotional distress in order to overcome it. Following the Stoic Epictetus, Lipsius affirms that the philosopher’s school should be conceived as a doctor’s surgery (Const. 1.10), a place where one can find medicine for the soul. Thus Lipsius affirms the power of philosophical analysis to enable one to overcome the emotions. This conflicts with the attitudes of both the mature St. Augustine and Calvin. Although Neostoicim includes numerous concessions to Christian teaching, this affirmation of the power of reason shows that its philosophical commitment to Stoicism took priority over a strict adherence to the Christian faith. Neostoics were later criticised for precisely this by Christian authors such as Pascal.

Despite these difficulties, Neostoicism could point to the Stoic affirmation of virtue over pleasure (in opposition to unquestionably heretical Epicureanism) and to the Stoic attitude of indifference towards material possessions. Thus it became commonplace for Christians with Neostoic leanings to affirm the benefit that could be gained from the study of Stoic texts. The first translation of Epictetus’s Enchiridion (‘Handbook’) into English (in 1567) was prefaced with the remark that “the authoure whereof although he were an ethnicke, yet he wrote very godly & christianly”. Similarly, a translation of a Neostoic text into English began with the claim that “philosophie in generall is profitable unto a Christian man, if it be well and rightly used: but no kinde of philosophie is more profitable and neerer approaching unto Christianitie than the philosophie of the Stoicks”.

4. Selected Neostoics

Neostoicism was never an organized intellectual movement. Thus modern scholars do not always agree upon a fixed list of ‘Neostoics’. When used in its most restricted sense, the term is reserved only for Justus Lipsius and Guillaume Du Vair (see below). When used in its widest sense, it is applied to almost any sixteenth or seventeenth century author whose works display the influence of Stoic ideas. The following are some of the more obvious candidates after Lipsius himself.

a. Guillaume Du Vair (1556-1621)

Guillaume Du Vair was a French statesman, onetime clerk councillor to the Paris parliament, and later Bishop of Lisieux. Du Vair was an admirer of Lipsius and produced his own treatise De la Constance (‘On Constancy’) in 1594. While Lipsius had been inspired by Seneca, Du Vair drew his inspiration from Epictetus. He translated the latter’s Enchiridion (‘Handbook’) into French (c. 1586) and characterized his own treatise, the Philosophie morale de Stoïques (‘Moral Philosophy of the Stoics’), as merely a reconstructed version of the Enchiridion, rewritten and reorganized in order to make its doctrines more accessible to the public.

In Philosophie morale de Stoïques Du Vair treads a very careful path indeed in his attempt to combine Christianity with his admiration for Epictetus. He suggests that, although it would be improper for anyone to prefer the profane and puddle water of the pagan philosophers to the clear and sacred fountain of God’s word, nevertheless the Stoics must be acknowledged as the greatest reproach to Christianity, insofar as they managed to live the noblest and most virtuous lives without the true light of the Christian God to guide them.

Following Epictetus, Du Vair argues that one should not concern oneself with external possessions. In particular, he suggests that the desire for great wealth is often the cause of great unhappiness. If one can free oneself from the passions of hope, despair, fear, and anger, then it will become possible to confront the trials and misfortunes of life without any great concern. Of particular interest, however, is the way in which Du Vair synthesises the Stoic doctrine of apatheia with his Christian belief. For Du Vair, complete mastery of one’s passions, achieved via the application of Stoic principles, does not contradict Christian teaching but rather can form the basis for a truly Christian way of life. Only one who has overcome the passions of fear and anger can, for instance, practice true Christian forgiveness towards one’s enemies.

b. Pierre Charron (1541-1603)

Pierre Charron was a French churchman and associate of Michel de Montaigne. He has been characterized as a figure in the Pyrrhonist revival and thus as much of a Neosceptic as a Neostoic, if not more so. His principal philosophical work, De la Sagesse (‘On Wisdom’), was first published in 1601. This text focuses upon the image of the Stoic ethical ideal, the wise man or sage (sophos), and the task of progressing towards that ideal. It is not merely a treatise on ethics but primarily a guide to the life of wisdom, a guide to ‘making progress’ (prokopê), following the form of Epictetus’s Enchiridion.

In the first book of De la Sagesse Charron focuses upon self-knowledge and self-examination; in the second book he focuses upon behaviour; in the third he outlines the traditional virtues of prudence, justice, fortitude, and temperance. Charron’s text was incredibly popular in its day, having appeared in thirty-six editions by 1672. Yet it is less an original treatise and more a compendium of existing material, drawing upon a variety of other authors both ancient and modern. In particular, Charron has often been accused of plagiarising from Montaigne on a grand scale. He also openly acknowledges his debt to Neostoicism. In one of his prefaratory notes, Charron writes that, “this subject has indeed had a great right done to it by Lipsius already, who wrote an excellent treatise, in a method peculiar to himself, but the substance of it you will find all transplanted here” (Sag. 3.2.Pref.). Charron also acknowledges his debt to Du Vair, “to whom I have been much beholding, and from whom have borrowed a great deal of what I shall say upon this subject of the passions” (Sag. 1.18.Pref).

c. Francisco de Quevedo (1580-1645)

Francisco de Quevedo was a Spanish author who held positions at the royal court. He also produced a Spanish translation of Epictetus and a short work entitled Doctrina Estoica (‘Stoic Doctrine’) which were published together in 1635. The latter work was the second Neostoic text to appear in Spanish, pre-dated only by a translation of Lipsius’s De Constantia, which appeared in 1616. Here, and throughout his works, Quevedo draws upon both Seneca and Epictetus and quotes both of these Stoic authorities often.

In the Doctrina Estoica (the full title is Nombre, Origen, Intento, Recomendación y Descendencia de la Doctrina Estoica) Quevedo attempted to connect Stoic thought with the Bible. Noting that the founder of Stoicism, Zeno, was of Semitic origin, Quevedo claimed that the biblical account of Job’s heroic endurance in the face of adversity was the inspiration behind Stoic philosophy. The doctrines of Epictetus are thus, suggests Quevedo, simply formal ethical principles extrapolated from the actions of Job. Yet despite this bold, if untenable, vindication of Stoicism, Quevedo remains wary of calling himself a Stoic. Thus he concludes the essay by saying “I would not myself boast of being a Stoic, but I hold them in high esteem”.

d. Michel de Montaigne (1533-1592)

Although it would probably be incorrect to call the famous French essayist Michel de Montaigne a ‘Neostoic’, nevertheless a Neostoic tendency can certainly be discerned in his work. He certainly admired Justus Lipsius, describing him as one of the most learned men then alive (Essais 2.12). His general admiration of Seneca can be seen in Essai 2.10, ‘On Books’, and is repeated in Essai 2.32, ‘In Defence of Seneca and Plutarch’. In Essai 1.33 he draws attention to a parallel between Seneca and early Christians with regard to their attitudes towards death, while Essai 1.14 is devoted to an explication of a saying by Epictetus (that men are upset not by things, but by their judgements about things). However, Montaigne’s mature view doubted the rational abilities of man and certainly would not have endorsed the ambitious Stoic ideal of the superhuman sage (sophos). Nevertheless he remained drawn to it, writing that, “if a man cannot attain to that noble Stoic impassibility, let him hide in the lap of this peasant insensitivity of mine. What Stoics did from virtue I teach myself to do from temperament” (Essais 3.10). Montaigne’s engagement with Stoicism thus forms an important part of the revival in interest in Stoic philosophy surrounding Neostoicism.

5. Conclusion

Neostoicism was an important intellectual movement at the end of the sixteenth and beginning of the seventeenth centuries. Yet it is little known to many historians of philosophy. The themes with which it dealt can be seen to form the background to a number of themes in seventeenth century philosophy, especially the accounts of the passions in Descartes and Spinoza.

Moreover, the term ‘Neostoicism’ is useful to refer to Christian authors inspired by Stoic ethical ideas, for ‘Christian Stoicism’ is, strictly speaking, a contradiction in terms. Although Stoicism may be characterized as a pantheist philosophy, it is also a materialist and determinist philosophy. The orthodox Christian can never, at the same time, be a Stoic. However he can admire certain parts of Stoic ethics, and the Neostoic movement indicates that in the late Renaissance many indeed did.

6. References and Further Reading

a. Justus Lipsius

The principal text for Neostoicism is Justus Lipsius’s De Constantia. It was translated into English a number of times in the sixteenth and seventeenth centuries and one of these was reprinted in 1939:

  • Two Bookes Of Constancie, Englished by Sir John Stradling, Edited with an Introduction by Rudolf Kirk (New Brunswick: Rutgers University Press, 1939)

References to other works by Lipsius and studies concerned directly with him can be found at the end of the IEP article Justus Lipsius.

b. Other Neostoics

  • CHARRON, P., De la sagesse livres trois (Bordeaux: Simon Millanges, 1601) and later editions – translated as Of Wisdom, Three Books, Made English by George Stanhope, 2 vols (London, 1697)
  • DU VAIR, G., De la sainte philosophie, Philosophie morale des Stoïques, ed. G. Michaut (Paris: Vrin, 1945) – part translated in The Moral Philosophie of the Stoicks, Englished by Thomas James, Edited by Rudolf Kirk (New Brunswick: Rutgers University Press, 1951)
  • MONTAIGNE, M. de, Essais, ed. F. Strowski, sous les auspices de la commission des archives municipales, 5 vols (Bordeaux: Imprimerie Nouvelle F. Pech, 1906-33) – translated as The Complete Essays, trans. M. A. Screech (Harmondsworth: Penguin, 1991)
  • QUEVEDO, F. de, ‘Stoic Doctrine’, trans. L. Deitz & A. Wiehe-Deitz, in J. Kraye, ed., Cambridge Translations of Renaissance Philosophical Texts 1: Moral Philosophy (Cambridge: Cambridge University Press, 1997), 210-225.

c. Studies of Neostoicism

    • COPENHAVER, B. P., & C. B. SCHMITT, Renaissance Philosophy (Oxford: Oxford University Press, 1992)
    • ETTINGHAUSEN, H., Francisco de Quevedo and the Neostoic Movement (Oxford: Oxford University Press, 1972)
    • LAGRÉE, J., Juste Lipse et la restauration du stoïcisme: Étude et traduction des traités stoïciens De la constance, Manuel de philosophie stoïcienne, Physique des stoïciens (Paris: Vrin, 1994)
    • MOREAU, J.-P., ed., Le stoïcisme au XVIe et au XVIIe siècle (Paris: Albin Michel, 1999)
    • MORFORD, M., Stoics and Neostoics: Rubens and the Circle of Lipsius (Princeton: Princeton University Press, 1991)
    • OESTREICH, G., Neostoicism and the Early Modern State, trans. D. McLintock (Cambridge: Cambridge University Press, 1982)
    • ZANTA, L., La renaissance du stoïcisme au XVIe siècle (Paris: Champion, 1914)

d. Further Studies Dealing with the Influence of Stoicism

  • COLISH, M. L., The Stoic Tradition from Antiquity to the Early Middle Ages, 2 vols (Leiden: Brill, 1985; rev. edn 1990)
  • LAPIDGE, M., ‘The Stoic Inheritance’, in P. Dronke, ed., A History of Twelfth-Century Western Philosophy (Cambridge: Cambridge University Press, 1988), 81-112.
  • OSLER, M. J., ed., Atoms, Pneuma, and Tranquillity: Epicurean and Stoic Themes in European Thought (Cambridge: Cambridge University Press, 1991)
  • REYNOLDS, L. D., The Medieval Tradition of Seneca’s Letters (Oxford: Oxford University Press, 1965)
  • SPANNEUT, M., Le Stoïcisme des Pères de l’Église: De Clément de Rome à Clément d’Alexandrie (Paris: Seuil, 1957)
  • SPANNEUT, M. Permanence du Stoïcisme: De Zénon à Malraux (Gembloux: Duculot, 1973)
  • VERBEKE, G., The Presence of Stoicism in Medieval Thought (Washington: The Catholic University of America Press, 1983)

Author Information

John Sellars
Email: john.sellars (at) wolfson.ox.ac.uk
University of the West of England
United Kingdom

Ibn Rushd (Averroes) (1126—1198)

ibn RushdAbu al-Walid Muhammad ibn Ahmad ibn Rushd, better known in the Latin West as Averroes, lived during a unique period in Western intellectual history, in which interest in philosophy and theology was waning in the Muslim world and just beginning to flourish in Latin Christendom. Just fifteen years before his birth, the great critic of Islamic philosophy, al-Ghazzali (1058-1111), had died after striking a blow against Muslim Neoplatonic philosophy, particularly against the work of the philosopher Ibn Sina (Avicenna). From such bleak circumstances emerged the Spanish-Muslim philosophers, of which the jurist and physician Ibn Rushd came to be regarded as the final and most influential Muslim philosopher, especially to those who inherited the tradition of Muslim philosophy in the West.

His influential commentaries and unique interpretations on Aristotle revived Western scholarly interest in ancient Greek philosophy, whose works for the most part had been neglected since the sixth century. He critically examined the alleged tension between philosophy and religion in the Decisive Treatise, and he challenged the anti-philosophical sentiments within the Sunni tradition sparked by al-Ghazzali. This critique ignited a similar re-examination within the Christian tradition, influencing a line of scholars who would come to be identified as the “Averroists.”

Ibn Rushd contended that the claim of many Muslim theologians that philosophers were outside the fold of Islam had no base in scripture. His novel exegesis of seminal Quranic verses made the case for three valid “paths” of arriving at religious truths, and that philosophy was one if not the best of them, therefore its study should not be prohibited. He also challenged Asharite, Mutazilite, Sufi, and “literalist” conceptions of God’s attributes and actions, noting the philosophical issues that arise out of their notions of occasionalism, divine speech, and explanations of the origin of the world. Ibn Rushd strived to demonstrate that without engaging religion critically and philosophically, deeper meanings of the tradition can be lost, ultimately leading to deviant and incorrect understandings of the divine.

This article provides an overview of Ibn Rushd’s contributions to philosophy, emphasizing his commentaries, his original works in Islamic philosophy, and his lasting influence on medieval thought and the Western philosophical tradition.

Table of Contents

  1. Biography
  2. Note on Commentaries
  3. Philosophy and Religion
  4. Existence and Attributes of God
  5. Origin of the World
  6. Metaphysics
  7. Psychology
  8. Conclusion
  9. References and Further Reading a. Primary Sources
    b. Secondary Sources

1. Biography

Ibn Rushd was born in Cordova, Spain, to a family with a long and well-respected tradition of legal and public service. His grandfather, the influential Abdul-Walid Muhammad (d. 1126), was the chief judge of Cordova, under the Almoravid dynasty, establishing himself as a specialist in legal methodology and in the teachings of the various legal schools. Ibn Rushd’s father, Abdul-Qasim Ahmad, although not as venerated as his grandfather, held the same position until the Almoravids were ousted by the Almohad dynasty in 1146.

Ibn Rushd’s education followed a traditional path, beginning with studies in hadith, linguistics, jurisprudence and scholastic theology. The earliest biographers and Muslim chroniclers speak little about his education in science and philosophy, where most interest from Western scholarship in him lies, but note his propensity towards the law and his life as a jurist. It is generally believed that Ibn Rushd was influenced by the philosophy of Ibn Bajjah (Avempace), and perhaps was once tutored by him. His medical education was directed under Abu Jafar ibn Harun of Trujillo. His aptitude for medicine was noted by his contemporaries and can be seen in his major enduring work Kitab al-Kulyat fi al-Tibb (Generalities) This book, together with Kitab al-Taisir fi al-Mudawat wa al-Tadbir (Particularities) written by Abu Marwan Ibn Zuhr, became the main medical textbooks for physicians in the Jewish, Christian and Muslim worlds for centuries to come.

Ibn Rushd traveled to Marrakesh and came under the patronage of the caliph ‘Abd al-Mu’min, likely involved in educational reform for the dynasty. The Almohads, like the Almoravids they had supplanted, were a Northwest African Kharijite-influenced Berber reform movement. Founded in the theology of Ibn Tumart (1078-1139), who emphasized divine unity and the idea of divine promise and threat, he believed that a positive system of law could co-exist with a rational and practical theology. This led to the concept that law needed to be primarily based on revelation instead of the traditions of the jurists. Ibn Talmart’s theology affirmed that the existence and essence of God could be established through reason alone, and used that to posit an ethical legal theory that depended on a divine transcendence.

Ibn Rushd’s relationship with the Almohad was not merely opportunistic, (considering the support his father and grandfather had given to the Almoravids) for it influenced his work significantly; notably his ability to unite philosophy and religion. Sometime between 1159 and 1169, during one of his periods of residence in Marrakesh, Ibn Rushd befriended Ibn Tufayl (Abubacer), a philosopher who was the official physician and counselor to Caliph Abu Yaqub Yusuf, son of ‘Abd al-Mu’min. It was Ibn Tufayl who introduced Ibn Rushd to the ruler. The prince was impressed by the young philosopher and employed him first as chief judge and later as chief physician. Ibn Rushd’s legacy as the commentator of Aristotle was also due to Abu Yaqub Yusuf. Although well-versed in ancient philosophy, the prince complained about the challenge posed by the Greek philosopher’s texts and commissioned Ibn Rushd to write a series of commentaries on them.

Through most of Ibn Rushd’s service, the Almohads grew more liberal, leading eventually to their formal rejection of Ibn Talmart’s theology and adoption of Malikite law in 1229. Despite this tendency, public pressure against perceived liberalizing tendencies in the government led to the formal rejection of Ibn Rushd and his writings in 1195. He was exiled to Lucena, a largely Jewish village outside of Cordoba, his writings were banned and his books burned. This period of disgrace did not last long, however, and Ibn Rushd returned to Cordoba two years later, but died the following year. Doubts about Ibn Rushd’s orthodoxy persisted, but as Islamic interest in his philosophy waned, his writings found new audiences in the Christian and Jewish worlds.

2. Note on Commentaries

While this article focuses on Ibn Rushd’s own philosophical writings, a word about the significant number of commentaries he wrote is important. Ibn Rushd wrote on many subjects, including law and medicine. In law he outshone all his predecessors, writing on legal methodology, legal pronouncements, sacrifices and land taxes. He discussed topics as diverse as cleanliness, marriage, jihad and the government’s role with non-Muslims. As for medicine, in addition to his medical encyclopedia mentioned above, Ibn Rushd wrote a commentary on Avicenna’s medical work and a number of summaries on the works of Galen. Besides his own philosophical and theological work, Ibn Rushd wrote extensive commentaries on the texts of a wide range of thinkers. These commentaries provide interesting insights into how Ibn Rushd arrived at certain positions and how much he was authentically Aristotelian. Commissioned to explain Aristotle Ibn Rushd spent three decades producing multiple commentaries on all of Aristotle’s works, save his Politics, covering every subject from aesthetics and ethics to logic and zoology. He also wrote about Plato’s Republic, Alexander’s De Intellectu, the Metaphysics of Nicolaus of Damascus, the Isagoge of Porphyry, and the Almajest of Ptolemy. Ibn Rushd would often write more than one commentary on Aristotle’s texts; for many he wrote a short or paraphrase version, a middle version and a long version. Each expanded his examination of the originals and their interpretations by other commentators, such as Alexander of Aphrodisias, Themistius and Ibn Bajjah, The various versions were meant for readers with different levels of understanding.

Ibn Rushd’s desire was to shed the prevalent Neoplatonic interpretations of Aristotle, and get back to what the Greek thinker originally had intended to communicate. Of course, Ibn Rushd did not shy away from inserting his own thoughts into his commentaries, and his short paraphrase commentaries were often flexible interpretations. At times, in an effort to explain complex ideas in Aristotle, Ibn Rushd would rationalize the philosopher in directions that would not seem authentic to contemporary interpreters of Aristotle. Nevertheless, Ibn Rushd’s commentaries came to renew Western intellectual interest in Aristotle, whose works had been largely ignored or lost since the sixth century.

3. Philosophy and Religion

Until the eighth century, and the rise of the Mutazilite theology, Greek philosophy was viewed with suspicion. Despite the political support given to philosophy because of the Mutazilites and the early philosophers, a strong anti-philosophical movement rose through theological schools like the Hanbalites and the Asharites. These groups, particular the latter, gained public and political influence throughout the tenth and eleventh century Islamic world. These appealed to more conservative elements within society, to those who disliked what appeared to be non-Muslim influences. Ibn Rushd, who served a political dynasty that had come into power under a banner of orthodox reform while privately encouraging the study of philosophy, was likely sensitive to the increasing tensions that eventually led to his banishment. Though written before his exile his Decisive Treatise provides an apologetic for those theologians who charged philosophers with unbelief.

Ibn Rushd begins with the contention that Law commands the study of philosophy. Many Quranic verses, such as “Reflect, you have a vision” (59.2) and “they give thought to the creation of heaven and earth” (3:191), command human intellectual reflection upon God and his creation. This is best done by demonstration, drawing inferences from accepted premises, which is what both lawyers and philosophers do. Since, therefore, such obligation exists in religion, then a person who has the capacity of “natural intelligence” and “religious integrity” must begin to study philosophy. If someone else has examined these subjects in the past, the believer should build upon their work, even if they did not share the same religion. For, just as in any subject of study, the creation of knowledge is built successively from one scholar to the next. This does not mean that the ancients’ teachings should be accepted uncritically, but if what is found within their teachings is true, then it should not be rejected because of religion. (Ibn Rushd illustrated this point by citing that when a sacrifice is performed with the prescribed instrument, it does not matter if the owner of the instrument shares the same religion as the one performing the sacrifice.)

The philosopher, when following the proper order of education, should not be harmed by his studies, hence it is wrong to forbid the study of philosophy. Any harm that may occur is accidental, like that of the side effects of medicine, or from choking on water when thirsty. If serious harm comes from philosophical study, Ibn Rushd suggests that this is because the student was dominated by their passions, had a bad teacher or suffered some natural deficiency. Ibn Rushd illustrates this by quoting a saying of the Prophet Muhammad, when asked by a man about his brother’s diarrhea. The Prophet suggested that the brother should drink honey. When the man returned to say that his brother’s diarrhea had worsened, the Prophet replied, “Allah has said the truth, but your brother’s abdomen has told a lie” (Bukhari 7.71.588).

Not all people are able to find truth through philosophy, which is why the Law speaks of three ways for humans to discover truth and interpret scripture: the demonstrative, the dialectical and the rhetorical. These, for Ibn Rushd, divide humanity into philosophers, theologians and the common masses. The simple truth is that Islam is the best of all religions, in that, consistent with the goal of Aristotelian ethics, it produces the most happiness, which is comprised of the knowledge of God. As such, one way is appointed to every person, consistent with their natural disposition, so that they can acquire this truth.

For Ibn Rushd, demonstrative truth cannot conflict with scripture (i.e. Qur’an), since Islam is ultimate truth and the nature of philosophy is the search for truth. If scripture does conflict with demonstrative truth, such conflict must be only apparent. If philosophy and scripture disagree on the existence of any particular being, scripture should be interpreted allegorically. Ibn Rushd contends that allegorical interpretation of scripture is common among the lawyers, theologians and the philosophers, and has been long accepted by all Muslims; Muslims only disagree on the extent and propriety of its use. God has given various meanings and interpretations, both apparent and hidden, to numerous scriptures so as to inspire study and to suit diverse intelligences. The early Muslim community, according to Ibn Rushd, affirmed that scripture had both an apparent meaning and an inner meaning. If the Muslim community has come to a consensus regarding the meaning of any particular passage, whether allegorical or apparent, no one can contradict that interpretation. If there is no consensus about a particular passage, then its meaning is free for interpretation. The problem is that, with the international diversity and long history of Islam, it is all but impossible to establish a consensus on most verses. For no one can be sure to have gathered all the opinions of all scholars from all times. With this in mind, according to Ibn Rushd, scholars like al-Ghazzali should not charge philosophers with unbelief over their doctrines of the eternity of the universe, the denial of God’s knowledge of particulars, or denial of bodily resurrection. Since the early Muslims accepted the existence of apparent and allegorical meanings of texts, and since there is no consensus on these doctrines, such a charge can only be tentative. Philosophers have been divinely endowed with unique methods of learning, acquiring their beliefs through demonstrative arguments and securing them with allegorical interpretation.

Therefore, the theologians and philosophers are not so greatly different, that either should label the other as irreligious. And, like the philosophers, the theologians interpret certain texts allegorically, and such interpretations should not be infallible. For instance, he contends that even the apparent meaning of scripture fails to support the theologian’s doctrine of creation ex nihilo. He highlights texts like 11:7, 41:11 and 65:48, which imply that objects such as a throne, water and smoke pre-existed the formation of the world and that something will exist after the End of Days.

A teacher, then, must communicate the interpretation of scripture proper for his respective audiences. To the masses, Ibn Rushd cautions, a teacher must teach the apparent meaning of all texts. Higher categories of interpretations should only be taught to those who are qualified through education. To teach the masses a dialectical or demonstrative interpretation, as Ibn Rushd contends Ghazzali did in his Incoherence, is to hurt the faith of the believers. The same applies to teaching a theologian philosophical interpretations.

4. Existence and Attributes of God

Ibn Rushd, shortly after writing his Decisive Treatise, wrote a treatise on the doctrine of God known as Al-Kashf ‘an Manahij al-Adilla fi ‘Aqaid al-Milla (the Exposition of the Methods of Proof Concerning the Beliefs of the Community). His goal was to examine the religious doctrines that are held by the public and determine if any of the many doctrines expounded by the different sects were the intention of the “lawgiver.” In particular he identifies four key sects as the targets of his polemic, the Asharites, Mutazilites, the Sufis and the “literalists,” claiming that they all have distorted the scriptures and developed innovative doctrines not compatible with Islam. Ibn Rushd’s polemic, then, becomes a clear expression of his doctrine on God. He begins with examining the arguments for the existence of God given by the different sects, dismissing each one as erroneous and harmful to the public. Ibn Rushd contends that there are only two arguments worthy of adherence, both of which are found in the “Precious Book;” for example, surahs 25:61, 78:6-16 and 80:24-33. The first is the argument of “providence,” in which one can observe that everything in the universe serves the purpose of humanity. Ibn Rushd speaks of the sun, the moon, the earth and the weather as examples of how the universe is conditioned for humans. If the universe is, then, so finely-tuned, then it bespeaks of a fine tuner – God. The second is the argument of “invention,” stemming from the observation that everything in the world appears to have been invented. Plants and animals have a construction that appears to have been designed; as such a designer must have been involved, and that is God.

From establishing the existence of God, Ibn Rushd turns to explaining the nature and attributes of God. Beginning with the doctrine of divine unity, Ibn Rushd challenges the Asharite argument that there cannot, by definition, be two gods for any disagreement between them would entail that one or both cannot be God. This, of course, means that, in the case of two gods, at least one’s will would be thwarted in some fashion at some time by the other; and such an event would mean that they are not omnipotent, which is a essential trait of deity. Ibn Rushd’s critique turns the apologetic on its head, contending that if there were two gods, there is an equal possibility of both gods working together, which would mean that both of their wills were fulfilled. Furthermore, Ibn Rushd adds, even disagreement would not thwart divine will, for alternatives could occur giving each god its desire. Such arguments lead to absurdity and are not fit for the masses. The simple fact is that reason affirms divine unity, which, by definition, is a confession of God’s existence and the denial of any other deity.

Ibn Rushd maintains, as did most of his theologian contemporaries that there are seven divine attributes, analogous to the human attributes. These attributes are: knowledge, life, power, will, hearing, vision and speech. For the philosopher, the attribute of knowledge occupied much space in his writing on the attributes of God. He contends, especially in his Epistle Dedicatory and his Decisive Treatise that divine knowledge is analogous to human knowledge only in name, human knowledge is the product of effect and divine knowledge is a product of cause. God, being the cause of the universe, has knowledge based on being its cause; while humans have knowledge based on the effects of such causes.

The implication of this distinction is important, since Ibn Rushd believes that philosophers who deny God’s knowledge of particulars are in error. God knows particulars because he is the cause of such things. But this raises an important question: does God’s knowledge change with knowledge of particulars? That is, when events or existents move from non-existence to existence, does God’s knowledge change with this motion? Change in divine knowledge would imply divine change, and for medieval thinkers it was absurd to think that God was not immutable.

Ghazzali answered this dilemma by saying that God’s knowledge does not change, only his relationship with the object. Just like a person sitting with a glass of water on their left side does not fundamentally change when that same glass is moved to their right side. Ibn Rushd felt that Ghazzali’s answer did not solve the dilemma, stating that a change in relationship is still change. For Ibn Rushd, then, the solution came in his contention that divine knowledge is rooted in God being the eternal Prime Mover—meaning that God eternally knows every action that will be caused by him. God, therefore, does not know that event when it occurs, as humans would, because he has always known it.

As for the other traits, Ibn Rushd next turns to the attribute of life, simply stating that life necessarily flows from the attribute of knowledge, as evidenced in the world around us. Divine will and power are defined as essential characteristics of God, characteristics that define God as God. This is because the existence of any created being implies the existence of an agent that willed its existence and had the power to do so. (The implication of this, Ibn Rushd notes, is that the Asharite concept that God had eternally willed the existence of the world, but created it at some particular point in time, is illogical.)

In regards to divine speech, Ibn Rushd is aware of the great theological debate in Islam about whether the Qur’an, the embodiment of God’s speech, is temporally created or eternal. Ibn Rushd contends that the attribute of divine speech is affirmed because it necessarily flows from the attributes of knowledge and power, and speech is nothing more than these. Divine speech, Ibn Rushd notes, is expressed through intermediaries, whether the work of the angels or the revelations given to the prophets. As such, “the Qur’an…is eternal but the words denoting it are created by God Almighty, not by men.” The Qur’an, therefore, differs from words found elsewhere, in that the words of the Qur’an are directly created by God, while human words are our own work given by God’s permission.

Ibn Rushd concludes by discussing divine hearing and vision, and notes that scripture relates these attributes to God in the sense that he perceives things in existing things that are not apprehended by the intellect. An artisan would know everything in an artifact he had created, and two means of this knowledge would be sight and sound. God, being God, would apprehend all things in creation through all modes of apprehension, and as such would have vision and hearing.

5. Origin of the World

Turning from the attributes of God to the actions of God, where he delineates his view of creation, Ibn Rushd in his Tahafut al-Tahafut clearly deals with the charge against the philosopher’s doctrine on the eternity of the physical universe in his polemic against al-Ghazzali. Ghazzali perceived that the philosophers had misunderstood the relationship between God and the world, especially since the Qur’an is clear on divine creation. Ghazzali, sustaining the Asharite emphasis on divine power, questioned why God, being the ultimate agent, could not simply create the world ex nihilo and then destroy it in some future point in time? Why did there need to be some obstacle to explain a delay in God’s creative action? In response to this, Ghazzali offered a number of lengthy proofs to challenge the philosopher’s assertions.

Ibn Rushd, who often labeled Ghazzali’s arguments dialectical, sophistical or feeble, merely replied that the eternal works differently than the temporal. As humans, we can willfully decide to perform some action and then wait a period of time before completing it. For God, on the other hand, there can be no gap between decision and action; for what differentiates one time from another in God’s mind? Also, what physical limits can restrict God from acting? Ibn Rushd, in the first discussion, writes about how Ghazzali confused the definition of eternal and human will, making them univocal. For humans, the will is the faculty to choose between two options, and it is desire that compels the will to choose. For God, however, this definition of will is meaningless. God cannot have desire because that would entail change within the eternal when the object of desire was fulfilled. Furthermore, the creation of the world is not simply the choice between two equal alternatives, but a choice of existence or non-existence. Finally, if all the conditions for action were fulfilled, there would not be any reason for God not to act. God, therefore, being omniscient and omnipotent would have known from the eternal past what he had planned to create, and without limit to his power, there would no condition to stop the creation from occurring.

Ghazzali’s argument follows the typical Asharite kalam cosmological argument, in that he argues the scientific evidence for the temporal origin of the world, and reasons from that to the existence of a creator. Ghazzali’s first proof contends that the idea of the infinite number of planetary revolutions as an assumption of the eternity of the world is erroneous since one can determine their revolution rates and how much they differ when compared one to another. Ibn Rushd weakly maintains that the concept of numbered planetary revolutions and their division does not apply to eternal beings. To say that the eternal can be divided is absurd since there can be no degrees to the infinite. Oliver Leaman explains how Ibn Rushd accepted accidental but not essential infinite series of existents. There can be an infinite chain of human sexual generation, but those beings that are essentially infinite have neither beginning nor end and thus cannot be divided.

In his Decisive Treatise Ibn Rushd summarily reduces the argument between the Asharite theologians and the ancient philosophers to one of semantics. Both groups agree that there are three classes of being, two extremes and one intermediate being. They agree about the name of the extremes, but disagree about the intermediate class. One extreme is those beings that are brought into existence by something (matter), from something other than itself (efficient cause) and originate in time. The second, and opposite, class is that which is composed of nothing, caused by nothing and whose existence is eternal; this class of being is demonstratively known as God. The third class, is that which is comprised of anything or is not preceded by time, but is brought into existence by an agent; this is what is known as the world. Theologians affirm that time did not exist before the existence of the world, since time is related to the motion of physical bodies. They also affirm that the world exists infinitely into the future. As such, since the philosophers accept these two contentions, the two groups only disagree on the existence of the world in the eternal past.

Since the third class relates to both the first and second classes, the dispute between the philosophers and the theologians is merely how close the third class is to one of the other two classes. If closer to the first class, it would resemble originated beings; if closer to the second class, it would resemble more the eternal being. For Ibn Rushd, the world can neither be labeled pre-eternal nor originated, since the former would imply that the world is uncaused and the latter would imply that the world is perishable.

Ibn Rushd finds pre-existing material forms in Quranic texts such as 11:9, where he maintains that one finds a throne and water pre-existing the current forms of the universe; he contends that the theologians’ interpretation of such passages are arbitrary. This is because nowhere in the Qur’an is the idea of God existing as pure being before the creation of the world to be found.

The debate for Ibn Rushd and Ghazzali centers, ultimately, upon the idea of causation. Ghazzali, the dedicated Asharite, wants to support the position that God is the ultimate cause of all actions; that no being in the universe is the autonomous cause of anything. For instance, a spark put on a piece of wood does not cause fire; rather God causes the fire and has allowed the occasion of spark and wood to be the method by which he creates fire. God, if he so desired, could simply will fire not to occur when a spark and wood meet. For Ghazzali, this is the explanation of the occurrence of miracles: divine creative actions that suspend laws habitually accepted by humans. Ghazzali, in his Tahafut, speaks of the decapitated man continuing to live because God willed it so.

Ibn Rushd, the consummate Aristotelian, maintains in his Tahafut Aristotle’s contention that a full explanation of any event or existence needs to involve a discussion of the material, formal, efficient and final cause. Ibn Rushd, then, insists that Ghazzali’s view would be counter-productive to scientific knowledge and contrary to common-sense. The universe, according to the human mind, works along certain causal principles and the beings existing within the universe contain particular natures that define their existence; if these natures, principles and characteristics were not definitive, then this would lead to nihilism (i.e. the atheistic materialists found in the Greek and Arab worlds). As for the idea of cause and effect being a product of habitual observation, Ibn Rushd asks if such observations are a product of God’s habit or our own observations. It cannot, he asserts, be the former, since the Qur’an speaks of God’s actions as unalterable. If the latter, the idea of habit applies only to animate beings, for the habitual actions of inanimate objects are tantamount to physical laws of motion.

6. Metaphysics

Metaphysics, for Ibn Rushd, does not simply deal with God or theology; rather it concerns itself with different classes of being and the analogical idea of being. It is, thus, a science that distinguishes inferior classes of being from real being. Ibn Rushd, the adamant Aristotelian, puts his own slant on Aristotle’s metaphysics. Ibn Rushd’s classification of being begins with accidental substances, which are physical beings, then moves to being of the soul / mind and finally discusses whether the substance existing outside the soul, such as the sphere of the fixed stars, is material or immaterial. This hierarchy, notes Charles Genequand, differs from Aristotle’s hierarchy of material beings, beings of the soul / mind and unchangeable entities. The first and third categories of both thinkers are somewhat similar in that they encompass a straight demarcation between material and immaterial being. Ibn Rushd’s second class of being, however, includes both universals and mathematical beings; and as such cannot be the bridge between physics and metaphysics as it is in Aristotle. Rather, he contended that all autonomous beings, whether material or not, constitute a single category. This was likely a response to the more materialistic interpretations of Aristotle, such as that of Alexander of Aphrodisias, for Ibn Rushd did not see physics and the metaphysical at opposite sides of the spectrum.

Substance, not beings of the mind, was the common link between physics and metaphysics for Ibn Rushd. Substance, therefore, has an ontological, though not necessarily temporal, priority over other parts of being. Since, then, metaphysics covers both sensible and eternal substances, its subject matter overlaps with that of physics. In the cosmos, then, there are two classes of eternal things, the essentially eternal and the numerically eternal. This division represents the separation between the celestial realm and the physical universe, where the living beings in the latter are bound to an eternal cycle of generation and corruption, while the former are immortal animals. Ibn Rushd does not contend that celestial bodies cause the world, rather the motion of these bodies are the “principle” of what occurs on earth.

This point is more fully developed in Ibn Rushd’s discussion regarding spontaneous generation: the idea that certain beings are created by external agents without being subject to the cycle of generation and corruption. This was a common subject of debate throughout later Greek and medieval philosophy. If beings like insects spontaneously generated from rotting food are externally generated, therein lies proof for a created universe and Asharite occasionalism, neither of which Ibn Rushd maintains. His solution is the Aristotelian doctrine of emanation, which states that no being is created but merely is the principle that unites matter and form. Since Ibn Rushd asserts that physical generation is the product of both seed, which contains forms in potentiality, and solar heat, the sun being a heavenly being; spontaneous generation, in which the seed is absent, is merely the effect of solar heat upon the basic elements (i.e. earth and water).

In the cosmological sphere, according to physics, one finds things that are both moving and moved at once and things that are only moved. Therefore, there must be something that imparts motion but is never moved; this is the Prime Mover (i.e. God). Physics, thus, provides the proof for the existence of a Prime Mover, and metaphysics is concerned with the action of this mover. The Prime Mover is the ultimate agent for Ibn Rushd and it must be eternal and pure actuality. It did not merely push the universe into existence and remain idle thereafter, for the universe would slip into chaos. Ibn Rushd acknowledges that the idea of actuality being essentially prior to potentiality counters common sense, but to accept the opposite would entail the possibility of spontaneous movement or negation of movement within the universe.

How, then, is the Prime Mover the principle of motion and causation in the cosmos without being moved itself? Ibn Rushd contends that the Prime Mover moves the cosmos, particularly the celestial bodies, by being the object of desire. Celestial beings have souls, which possess the higher power of intellect and desire, and these beings desire the perfection of God, thereby they move accordingly. Desire in the celestial beings, according to Ibn Rushd, is not the real faculty it is in humans. Since these beings have no sense perception, desire is united with intellect causing a desire for what rationally is perfection – the Prime Mover.

Ibn Rushd rejects the Arab Neoplatonic doctrine of emanation because it simply implies a temporal succession of one being producing another, which is impossible for eternal beings. By this rejection, however, Ibn Rushd recognizes a problem within his system. If God is intellectually present within the celestial bodies, there is no need for them to move in an effort to acquire this perfection. Ibn Rushd responds with an analogy of a cabinet-maker, who has the idea of a cabinet existing in his mind, but his body needs to move in order to imprint this idea upon matter. Celestial beings move in likewise matter, in order to obtain perfection, which produces the physical universe. Furthermore, this effort to obtain perfection in the celestial bodies, which is in imitation of God, effects the order of the universe.

With the Prime Mover, the celestial bodies and the physical world, Ibn Rushd has a three level cosmological view. He illustrates his cosmological order by using the analogy of the state, where everyone obeys and imitates the king. All smaller social units in the kingdom, like the family, are subordinate to the head, which is ultimately under the authority of the king. There is a hierarchy among the spheres of celestial beings, based on their “nobility” (sharaf) and not, as Avicenna held, on their order in emanation. Of course, the order of nobility parallels emanation’s order, for the hierarchical order is that which we see in the universe, the fixed stars, the planets, the moon and the earth. Like a king, the Prime Mover imparts motion only to the First Body (the sphere of the fixed stars), which becomes the intermediary for the other bodies. This leads to the other spheres (i.e. planets) to desire both the Prime Mover and the First Body, which, according to Ibn Rushd, explains how the celestial bodies move from east to west at one time and from west to east at another time. It is the desire of one that moves the planets in one way, and the desire of the other that moves them in the opposite direction.

Ultimately, as H. Davidson notes, Ibn Rushd has a cosmos in which the earth is its physical center. Surrounding the earth, at different levels, are the celestial spheres, which contain celestial bodies (e.g. the sun, moon, stars and planets), which all revolve around the earth. The motion of these spheres is attributed to immortal intelligences, governed by a primary immutable and impersonal cause. Each sphere exists in its own right, though somehow the intelligence is caused by the Prime Mover, and it is through their contemplation of the Prime Mover they receive perfection equivalent to the position they hold in the cosmological hierarchy. As such, God no longer is restricted to being a cause of one thing. The active intellect is the last sphere in the hierarchy, but is not the product of another, and like the other intelligences its cognition is fixed on God. This idea has significant influence on Ibn Rushd’s doctrine of the human soul and intellect.

7. Psychology

Like Aristotle, Ibn Rushd views the study of the psyche as a part of physics, since it is related specifically to the generable and corruptible union of form and matter found in the physical world and passed from generation to generation through the seed and natural heat. Ibn Rushd’s views on psychology are most fully discussed in his Talkbis Kitab al-Nafs (Aristotle on the Soul). Here Ibn Rushd, as M. Fakhry comments, divided the soul into five faculties: the nutritive, the sensitive, the imaginative, the appetitive and the rational. The primary psychological faculty of all plants and animals is the nutritive or vegetative faculty, passed on through sexual generation, as noted above. The remaining four higher faculties are dependent on the nutritive faculty and are really perfections of this faculty, the product of a nature urging to move higher and higher.

The nutritive faculty uses natural heat to convert nutrients from potentiality to actuality, which are essential for basic survival, growth and reproduction of the living organism. , This faculty is an active power which is moved by the heavenly body (Active Intellect). Meanwhile, the sensitive faculty is a passive power divided into two aspects, the proximate and the ultimate, in which the former is moved within the embryo by the heavenly body and the latter is moved by sensible objects. The sensitive faculty in finite, in that it is passive, mutable, related to sensible forms and dependent upon the animal’s physical senses (e.g. touch or vision). A part of these senses, notes Fakhry, is the sensus communis, a sort of sixth sense that perceives common sensibles (i.e. objects that require more than one sense to observe), discriminates among these sensibles, and comprehends that it perceives. Benmakhlouf notes that the imaginative faculty is dependent on the sensitive faculty, in that its forms result from the sensible forms, which Fakhry contends are stored in sensus communis. It differs from the sensitive faculty, however, by the fact that it “apprehends objects which are no longer present…its apprehensions are often false or fictitious,” and it can unite individual images of objects perceived separately. Imagination is not opinion or reasoning, since it can conceive of unfalsified things and its objects are particular not universal, and may be finite because it is mutable (moving from potentiality to actuality by the forms stored in the sensus communis). The imaginative faculty stimulates the appetitive faculty, which is understood as desire, since it imagines desirable objects. Fakhry adds that the imaginative and appetitive faculties are essentially related, in that it is the former that moves the latter to desire or reject any pleasurable or repulsive object.

The rational faculty, seen as the capstone of Ibn Rushd’s psychology by Fakhry, is unlike the imaginative faculty, in that it apprehends motion in a universal way and separate from matter. It has two divisions, the practical and theoretical, given to humans alone for their ultimate moral and intellectual perfection. The rational faculty is the power that allows humanity to create, understand and be ethical. The practical is derived from the sensual and imaginative faculties, in that it is rooted in sensibles and related to moral virtues like friendship and love. The theoretical apprehends universal intelligibles and does not need an external agent for intellectualization, contrary to the doctrine of the Active Intellect in Neoplatonism.

In its effort to achieve perfection, the rational faculty moves from potentiality to actuality. In doing so it goes through a number of stages, know as the process of intellectation. Ibn Rushd had discerned, as seen in his Long Commentary on De Anima, five distinct meanings of the Aristotelian intellect. They were, first and foremost, the material (potential) and the active (agent) intellects.

There is evidence of some evolution in Ibn Rushd’s thought on the intellect, notably in his Middle Commentary on De Anima where he combines the positions of Alexander and Themistius for his doctrine on the material intellect and in his Long Commentary and the Tahafut where Ibn Rushd rejected Alexander and endorsed Themistius’ position that “material intellect is a single incorporeal eternal substance that becomes attached to the imaginative faculties of individual humans.” Thus, the human soul is a separate substance ontologically identical with the active intellect; and when this active intellect is embodied in an individual human it is the material intellect. The material intellect is analogous to prime matter, in that it is pure potentiality able to receive universal forms. As such, the human mind is a composite of the material intellect and the passive intellect, which is the third element of the intellect. The passive intellect is identified with the imagination, which, as noted above, is the sense-connected finite and passive faculty that receives particular sensual forms. When the material intellect is actualized by information received, it is described as the speculative (habitual) intellect. As the speculative intellect moves towards perfection, having the active intellect as an object of thought, it becomes the acquired intellect. In that, it is aided by the active intellect, perceived in the way Aristotle had taught, to acquire intelligible thoughts. The idea of the soul’s perfection occurring through having the active intellect as a greater object of thought is introduced elsewhere, and its application to religious doctrine is seen. In the Tahafut, Ibn Rushd speaks of the soul as a faculty that comes to resemble the focus of its intention, and when its attention focuses more upon eternal and universal knowledge, it become more like the eternal and universal. As such, when the soul perfects itself, it becomes like our intellect. This, of course, has impact on Ibn Rushd’s doctrine of the afterlife. Leaman contends that Ibn Rushd understands the process of knowing as a progression of detachment from the material and individual to become a sort of generalized species, in which the soul may survive death. This contradicts traditional religious views of the afterlife, which Ibn Rushd determines to be valuable in a political sense, in that it compels citizens to ethical behavior.

Elsewhere, Ibn Rushd maintains that it is the Muslim doctrine of the afterlife that best motivates people to an ethical life. The Christian and Jewish doctrines, he notes, are too focused upon the spiritual elements of the afterlife, while the Muslim description of the physical pleasures are more enticing. Of course, Ibn Rushd does not ultimately reject the idea of a physical afterlife, but for him it is unlikely.

A number of other problems remain in Ibn Rushd’s doctrine of the soul and intellect. For instance, if the material intellect is one and eternal for all humans, how is it divided and individualized? His immediate reply was that division can only occur within material forms, thus it is the human body that divides and individualizes the material intellect. Nevertheless, aside from this and other problems raised, on some of which Aquinas takes him to task, Ibn Rushd succeeded in providing an explanation of the human soul and intellect that did not involve an immediate transcendent agent. This opposed the explanations found among the Neoplatonists, allowing a further argument for rejecting Neoplatonic emanation theories. Even so, notes Davidson, Ibn Rushd’s theory of the material intellect was something foreign to Aristotle.

8. Conclusion

The events surrounding Ibn Rushd towards the end of his life, including his banishment, signaled a broader cultural shift in the Islamic world. Interest in philosophy was primarily among the elite: scholars, royal patrons and civil servants. Nevertheless, its presence among the ruling elite spoke of the diversity of what it meant to be “Muslim.” As interest in philosophy waned in the Muslim world after Ibn Rushd, his writings found new existence and intellectual vigor in the work of Christian and Jewish philosophers. The twelfth and thirteenth centuries saw an intellectual revival in the Latin West, with the first great universities being established in Italy, France and England. Within the walls of the University of Paris, a group of philosophers came to identify themselves with the Aristotelian philosophy presented by Ibn Rushd, particularly certain elements of its relation to religion. Later known as the “Averroists,” these Christian philosophers sparked a controversy within the Roman Catholic Church about the involvement of philosophy with theology. Averroists, their accusers charged, had promoted the doctrines of one intellect for all humans, denial of the immortality of the soul, claimed that happiness can be found in this life and promoted the innovative doctrine of “double truth”. Double truth, the idea that there are two kinds of truth, religious and philosophical, was not held by Ibn Rushd himself but was an innovation of the Averroists.

Among Jewish thinkers, however, Ibn Rushd had a more positive impact. His thoughts on Aristotle and the relationship between philosophy and religion, particularly revelation, inspired a renewed interest in the interpretation of scripture and the Jewish religion. Key Jewish philosophers, such as Maimonides, Moses Narboni and Abraham ibn Ezra, became associated with Ibn Rushd in the West, even though they took Ibn Rushd’s doctrines into novel directions. As such, Leaman notes, the category of a Jewish “Averroist” cannot be given to these philosophers, for their relationship with Ibn Rushd’s thought was one of critique and integration into their own philosophical systems. Nevertheless, without the work of the Spanish-Muslim philosopher, much of what occurred in medieval philosophy would have not existed. He became an example of how religions are dynamic and evolving traditions, often shaped by epistemological influences from other traditions.

9. References and Further Reading

a. Primary Sources

  • Ibn Rushd, with Commentary by Moses Narboni, The Epistle on the Possibility of Conjunction with the Active Intellect. K. Bland (trans.). (New York: Jewish Theological Seminary of America, 1982).
  • Ibn Rushd, Decisive Treatise & Epistle Dedicatory. C. Butterworth (trans.). (Provo: Brigham Young University Press, 2001).
  • Ibn Rushd, Faith and Reason in Islam [al-Kashf]. I. Najjar (trans.). (Oxford: Oneworld, 2001).
  • Ibn Rushd, Long Commentary on Aristotle’s De Anima. A. Hyman (trans.), Philosophy in the Middle Ages (Cambridge: Hackett, 1973).
  • Ibn Rushd, Middle Commentary on Aristotle’s Categories and De Interpretatione. C. Butterworth (trans.). (South Bend: St. Augustine’s Press, 1998).
  • Ibn Rushd, Tahafut al-Tahafut. S. Van Den Bergh (trans.). (Oxford: Oxford University Press, 1954).
  • Ibn Rushd, Treatise Concerning the Substance of the Celestial Sphere. A. Hyman (trans.), Philosophy in the Middle Ages (Cambridge: Hackett, 1973).

b. Secondary Sources

  • J. Al-Alawi, “The Philosophy of Ibn Rushd: the Evolution of the Problem of the Intellect in the works of Ibn Rushd.” Jayyusi, Salma Khadra (ed.), The Legacy of Muslim Spain, (Leiden: E.J. Brill, 1994).
  • R. Arnaldez, Ibn Rushd: A Rationalist in Islam (Notre Dame, IN: University of Notre Dame Press, 1998)
  • A. Benmakhlour, Ibn Rushd (Paris: Les Belles Lettres, 2000)
  • D. Black, “Ibn Rushd, the Incoherence of the Incoherence.” The Classics of Western Philosophy: a Reader’s Guide. Eds. Jorge Gracia, Gregory Reichberg and Bernard Schumacher (Oxford: Blackwell, 2003).
  • D. Black “Consciousness and Self-Knowledge in Aquinas’s Critique of Ibn Rushd’s Psychology.” Journal of the History of Philosophy 31.3 (July 1993): 23-59.
  • D. Black, “Memory, Time and Individuals in Ibn Rushd’s Psychology.” Medieval Theology and Philosophy 5 (1996): 161-187
  • H. Davidson, Alfarabi, Avicenna, and Ibn Rushd, on Intellect: Their Cosmologies, Theories of the Active Intellect and Theories of Human Intellect (New York: Oxford University Press, 1992).
  • C. Genequand, “Metaphysics.” History of Islamic Philosophy. S. Nasr and O. Leaman (eds.). (New York: Routledge, 2001).
  • M. Hayoun et A. de Libera, Ibn Rushd et l’Averroisme (Paris: Presses Universitaries de France, 1991).
  • A. Hughes, The Texture of the Divine: Imagination in Medieval Islamic and Jewish Thought (Bloomington: Indiana University Press, 2003)
  • M. Fakhry, A History of Islamic Philosophy (New York: Columbia University Press, 1983)
  • M. Fakhry, Ibn Rushd (Ibn Rushd) (Oxford: Oneworld, 2001)
  • M. Fakhry, Islamic Occasionalism: and its Critique by Ibn Rushd and Aquinas (London: George Allen & Unwin, 1958).
  • I. Lapidus, A History of Islamic Societies (New York: Cambridge University Press, 1988)
  • O. Leaman, Ibn Rushd and His Philosophy (New York: Oxford University Press, 1988)
  • O. Leaman, An Introduction to Classical Islamic Philosophy (Cambridge: Cambridge University Press, 2002)
  • O. Leaman, “Ibn Rushd” Routledge Encyclopedia of Philosophy Vol. 4. E. Craig (gen. ed.) (London: Routledge, 1998).
  • O. Mohammed, Ibn Rushd’s Doctrine of Immortality: a Matter of Controversy (Waterloo: Wilfrid Laurier Press, 1984).
  • D. Urvoy, “Ibn Rushd.” History of Islamic Philosophy. S. Nasr and O. Leaman (eds.). (New York: Routledge, 2001).
  • D. Urvoy, Ibn Rushd (Ibn Rushd) (London: Routledge, 1991).

Author Information

H. Chad Hillier
Email: chad.hillier@utoronto.ca
University of Toronto
Canada

The Language of Thought Hypothesis

The language of thought hypothesis (LOTH) is the hypothesis that mental representation has a linguistic structure, or in other words, that thought takes place within a mental language. The hypothesis is sometimes expressed as the claim that thoughts are sentences in the head. It is one of a cluster of other hypotheses that together offer a theory of the nature of thought and thinking. The other hypotheses in the cluster include the causal-syntactic theory of mental processes (CSMP), and the representational theory of mind (RTM). The former is the hypothesis that mental processes are causal processes defined over the syntax of mental representations. The latter is the hypothesis that propositional attitudes are relations between subjects and mental representations. Taken together these theses purport to explain how rational thought and behavior can be produced by a physical object, such as the human brain. In short, the explanation is that the brain is a computer and that thinking is a computational process. The cluster therefore is referred to often (and aptly) as the computational theory of mind (CTM).

LOTH was first introduced by Jerry Fodor in his 1975 book The Language of Thought, and further elaborated and defended in a series of works by Fodor and several collaborators. Fodor’s original argument for LOTH rested on the claim that (at the time) the only plausible psychological models presupposed linguistically structured mental representations. Subsequent arguments for LOTH are inferences to the best explanation. They appeal to supposed features of human cognition such as productivity, systematicity, and inferential coherence, arguing that these features are best explained if LOTH is true. Important objections to LOTH have come from those who believe that the mind is best modeled by connectionist networks, and by those who believe that (at least some) mental representation takes place in other formats, such as maps and images.

This article has three main sections. The first explains LOTH, as well as CSMP, RTM, and the importance of conjoining all three to arrive at the resulting CTM. The second describes the major arguments in favor of LOTH. The third describes some important problems for LOTH and objections to it.

Table of Contents

  1. The Language of Thought Hypothesis
    1. Combinatorial Syntax and Compositional Semantics
    2. Mental Processes as Causal-Syntactic Processes
    3. RTM and the Propositional Attitudes
    4. The Computational Theory of Mind
    5. Theories of Meaning
  2. Arguments for LOTH
    1. The Only Game in Town
    2. Productivity
    3. Systematicity
    4. Inferential Coherence
  3. Problems and Objections
    1. Individuating Symbols
    2. Context-dependent Properties of Thought
    3. Mental Images
    4. Mental Maps
    5. Connectionist Networks
    6. Analog and Digital Representation
  4. References and Further Reading

1. The Language of Thought Hypothesis

a. Combinatorial Syntax and Compositional Semantics

LOTH is the claim that mental representation has a linguistic structure. A representational system has a linguistic structure if it employs both a combinatorial syntax and a compositional semantics (see Fodor and Pylyshyn 1988 for this account of linguistic structuring).

A representational system possesses a combinatorial syntax if,

(i)              it employs two sorts of representation: atomic representations and compound representations, and

(ii)            the constituents of compound representations are either compound or atomic.

A representational system possesses a compositional semantics if,

(iii)          the semantic content of a representation is a function of the semantic content of its syntactic constituents, the overall structure of the representation, and the arrangement of the constituents within the overall structure.

Formal languages are good examples of languages possessing both combinatorial syntax and compositional semantics. For example, sentential logic (propositional logic) employs symbols to represent simple declarative sentences (usually the capital letters ‘A’, ‘B’, ‘C’…) and symbols for logical connectives (usually ‘·’ for ‘and’, ‘v’ for ‘or’, ‘→’ for ‘if… then…,’ and so on). Thus, ‘A’ might be an atomic representation of the sentence ‘Gail is tall’, ‘B’ an atomic representation of the sentence ‘Alan is bald’, and ‘C’ an atomic representation of the sentence ‘Amanda is funny’. In that case, ‘(A · B) v C’ would be a compound representation of the sentence ‘Either Gail is tall and Alan is bald, or Amanda is funny’. The components of this compound representation are the compound representation ‘(A · B)’ and the atomic representation ‘C’. In short, sentential logic employs both atomic and compound representations, and the components of its compound representations are themselves either atomic or compound. Thus, it possesses a combinatorial syntax.

Moreover, the semantic content of a representation within sentential logic (generally taken to be a truth-value—either TRUE or FALSE) is a function of the content of the syntactic constituents, together with overall structure and arrangement of the representation. For instance, the truth-value of a representation with the form ‘A → B’ is TRUE just in case the truth-value of ‘A’ is FALSE or the truth-value of ‘B’ is TRUE. Alter the arrangement of the parts (B → A) or the overall structure (A · B) or the components (A → C) and the truth-value of the whole may change as well. Therefore it also possesses a compositional semantics.

LOTH amounts to the idea that mental representation has both a combinatorial syntax and a compositional semantics. It is the idea that thoughts occur in a formal mental language (termed the “language of thought” or often “mentalese”). A common way of casting it is as the claim that thoughts are literally sentences in the head. This way of explaining the thesis can be both helpful and misleading.

First, it is important to note that sentences can be implemented in a multitude of different kinds of media, and they can be written in a natural language or encoded in some symbolic language. For example, they may be written on paper, etched in stone, or encoded in the various positions of a series of electrical switches. They may be written in English, French, first-order logic, or Morse code. LOTH claims that at a high level of abstraction, the brain can be accurately described as encoding the sentences of a formal language.

Second, it is equally important to note that the symbolic language LOTH posits is not equivalent to any particular spoken language but is the common linguistic structure in all human thought. Part of Fodor’s (1975) original argument for LOTH was that learning a spoken language requires already possessing an internal mental language, the latter being common to all members of the species.

Third, the posited language is not appropriately thought of as being introspectively accessible to a thinking subject. In other words, while thinkers may have access to much of what goes on while they are thinking (for example the images, words and so on that may be visible “in the mind’s eye”), the language of thought is not “visible” as such. Rather, it is best thought of as the representations that are being tokened in and processed by the brain, during and “beneath” all that is accessible to the thinker. (However, that they are not introspectively accessible is not to be taken to indicate that they are not causally efficacious in the production of behavior. On the contrary, they must be, if the theory is to explain the production of rational behavior.)

Casting LOTH as the idea of sentences in the head can be useful, if understood appropriately: as sentences of a species-wide formal language, encoded in the operations of the brain, which are not accessible to the thinker.

b. Mental Processes as Causal-Syntactic Processes

Representational systems with combinatorial syntax and compositional semantics are incredibly important, as they allow for processes to be defined over the syntax of the system of representations that will nevertheless respect constraints on the semantics of those representations. For example, standard rules of inference for sentential logic—rules such as modus ponens, which allows the inference from a representation of the form ‘A É B’ together with a representation of the form ‘A’ to a representation of the form ‘B’—are defined over the syntax of the representations. Nevertheless, the rules respect the following semantic constraint: given true premises, correct application of them will result only in true conclusions.

Processes defined over the syntax of representations, moreover, can be implemented in physical systems as causal processes. Hence, representational systems possessing both combinatorial syntax and compositional semantics allow for the construction of physical systems that behave in ways that respect the semantic constraints of the implemented representational system. That is, they allow for the construction of machines that “think” rationally. Modern digital computers are just such machines: they employ linguistically structured representations and processes defined over the syntax of those representations, implemented as causal processes.

Since LOTH is the claim that mental representation has both combinatorial syntax and compositional semantics, it allows for the further claim that mental processes are causal processes defined over the syntax of mental representations, in ways that respect semantic constraints on those representations (Fodor 1975, Fodor and Pylyshyn 1988). This further claim is the causal-syntactic theory of mental processes (CSMP). LOTH and CSMP together assert that the brain, like a digital computer, processes linguistically structured representations in ways that are sensitive to the syntax of those representations. Indeed, the advent of the digital computer inspired CTM. This will be further discussed below.

c. RTM and the Propositional Attitudes

LOTH is a specification of the representational theory of mind (RTM). RTM is the thesis that commonsense mental states, the propositional attitudes such as believing, desiring, hoping, wishing, and fearing are relations between a subject and a mental representation. According to RTM, a propositional attitude inherits its content from the content of the representation to which the thinker is related. For example, Angie believes that David stole a candy bar if and only if there is a belief relation between Angie and a mental representation, the content of which is David stole a candy bar. Thus, where ‘φ’ names a propositional attitude, and ‘p’ is the content of a propositional attitude, a technical rendering of RTM is as follows:

(R1) A subject S φ’s that p if and only if there is a relation Rφ and a mental representation P such that S bears Rφ to P and P means that p.

According to RTM, the difference between Angie’s believing that David stole a candy bar and her hoping that David stole a candy bar, lies in there being different relations between her and the same representation of the content David stole a candy bar. Thus, (R1) is a schema. For specific propositional attitudes, the name of the attitude will take the place of ‘φ’ in the schema. For example, the case of belief is as follows:

(R1B) A subject S believes that p if and only if there is a relation Rbelief and a mental representation P such that S bears Rbelief to P and P means that p.

RTM is a species of intentional realism—the view that propositional attitudes are real states of organisms, and in particular that a mature psychology will make reference to such states in the explanation of behavior. For debate on this issue see for example Churchland 1981, Stich 1983, Dennett 1987. One important virtue of RTM is that it provides an account of the difference between the truth and falsehood of a propositional attitude (in particular, of a belief). On that account, the truth or falsehood of a belief is inherited from the truth or falsehood of the representation involved. If the relationship of belief holds between Angie and a representation with the content David stole a candy bar, yet David did not steal a candy bar, then Angie has a false belief. This account also provides an explanation of the so-called “Frege cases” in which a subject believes that a given object known by one name has some property yet the subject fails to believe that the same object known by another name has the same property (see Fodor 1978).

d. The Computational Theory of Mind

RTM, LOTH, and CSMP was inspired on one hand by the development of modern logic, and in particular by the formalization of logical inference (that is, the development of rules of inference that are sensitive to syntax but that respect semantic constraints). On the other hand, it was inspired by Alan Turing’s work showing that formal procedures can be mechanized, and thus, implemented as causal processes in physical machines. These two developments led to the creation of the modern digital computer, and Turing (1950) argued that if the conversational behavior (via teletype) of such a machine was indistinguishable from that of a human being, then that machine would be a thinking machine. The combination of RTM, LOTH, and CSMP is in a sense the converse of this latter claim. It is the idea that the mind is a computer, and that thinking is a computational process. Hence the combination of these theses has come to be known as the Computational Theory of Mind (CTM).

The importance of CTM is twofold. First, the idea that thinking is a computational process involving linguistically structured representations is of fundamental importance to cognitive science. It is among the origins of work in artificial intelligence, and though there has since been much debate about whether the digital computer is the best model for the brain (see below) many researchers still presume linguistic representation to be a central component of thought.

Second, CTM offers an account of how a physical object (in particular, the brain) can produce rational thought and behavior. The answer is that it can do so by implementing rational processes as causal processes. This answer provides a response to what some philosophers—most famously Descartes, have believed: that explaining human rationality demands positing a form of existence beyond the physical. That is, it is a response to dualism (See Descartes 1637/1985, 139-40, and see Rey 1997 for discussion of CTM as being a solution to “Descartes’ challenge”). It therefore stands as a major development in the philosophy of mind.

e. Theories of Meaning

Explaining rationality in purely physical terms is one task for a naturalized theory of mind. Explaining intentionality (the meaning or “aboutness” of mental representations) in purely physical terms is a related, though separate, task for a naturalized theory of mind. Famously, Brentano (1874/1995) worried that intentionality cannot be explained in physical terms, as Descartes believed rationality could not be explained in physical terms (see Rey 1997 for CTM being a solution to “Brentano’s challenge”).

Still, CTM lends itself to a physicalist account of intentionality. There are two general strategies here. Internalist accounts explain meaning without making mention of any objects or features external to the subject. For example, conceptual role theories (see for instance Loar 1981) explain the meaning of a mental representation in terms of the relations it bears to other representations in the system. Externalist accounts explicitly tie the meaning of mental representations to the environment of the thinker. For example, causal theories (see for instance Dretske 1981) explain meaning in terms of causal regularities between environmental features and mental representations.

Fodor (1987) has argued for an “asymmetric dependency theory,” which is a kind of causal theory of meaning, intended specifically to deal with the disjunction problem that plagues causal theories. The  problem arises for causal theories of meaning because of the seemingly obvious fact that some mental representations are caused by objects they do not represent. For example, on a dark evening, someone might easily mistake a cow for a horse; in other words, a cow might cause the tokening of a mental representation that means horse. But if, as causal theories have it, the meaning of a representation is determined by the object or objects that cause it, then the meaning of such a representation is not horse, but rather horse or cow (since the type of representation is sometimes caused by horses and sometimes caused by cows).

Fodor’s solution is to suggest that such a representation means horse and not horse or cow, because the fact that it may sometimes be caused by cows is dependent on the fact that it is usually caused by horses. That is, if the representation was not caused by horses, then it would not sometimes be caused by cows. But this dependence is asymmetric: if the representation was not ever caused by cows, it would nevertheless still be caused by horses. CTM, and LOTH in particular, need not be wedded to Fodor’s account. As all of the above examples explain meaning in physical terms, the coupling of a successful CTM with a successful version of any of them would yield an entirely physical account of two of the most important general features of the mind: rationality and intentionality.

2. Arguments for LOTH

LOTH then, is the claim that mental representations possess combinatorial syntax and compositional semantics—that is, that mental representations are sentences in a mental language. This section describes four central arguments for LOTH. Fodor (1975) argued that LOTH was presupposed by all plausible psychological models. Fodor and Pylyshyn (1988) argue that thinking has the properties of productivity, systematicity, and inferential coherence, and that the best explanation for such properties is a linguistically structured representational system.

a. The Only Game in Town

Fodor’s (1975) argument for LOTH proceeded from the claim that the only “remotely plausible” models of cognition are  computational models. Because computational models presuppose a medium of representation, in particular a linguistic medium, and because “remotely plausible theories are better than no theories at all,” Fodor claimed that we were “provisionally committed” to LOTH. In short, the argument was that the only game in town for explaining rational behavior presupposed internal representations with a linguistic structure.

The development of connectionist networks—computational systems that do not presuppose representations with a linguistic format—therefore pose a serious challenge to this argument. In the 1980s, the idea that intelligent behavior could be explained by appeal to connectionist networks grew in popularity and Fodor and Pylyshyn (1988) argued on empirical grounds that such an explanation could not work, and thus that even though linguistic computation was no longer the only game in town, it was still the only plausible explanation of rational behavior. Their argument rested on claiming that thought is productive, systematic, and inferentially coherent.

b. Productivity

Productivity is the property a system of representations has if it is capable, in principle, of producing an infinite number of distinct representations. For example, sentential logic typically allows an infinite number of sentence letters (A, B, C, …), each of which is a unique atomic representation. Thus the system is productive. A street light, on the other hand, has three atomic representations (“red”, “yellow”, “green”), and no more. The system is not productive. Productivity can be achieved in systems with a finite number of atomic representations, so long as those representations may be combined to form compound representations, with no limit on the length of the compounds. Here are three examples: A, A → B and ((A →B) · A) → B. That is, productivity can be achieved with finite means by employing both combinatorial syntax and compositional semantics.

Fodor and Pylyshyn (1988) argue that mental representation is productive, and that the best explanation for its being so is that it is couched in a system possessing combinatorial syntax and compositional semantics. They first claim that natural languages are productive. For example, English possesses only a finite number of words, but because there is no upper bound on the length of sentences, there is no upper bound on the number of unique sentences that can be formed. More specifically, they argue that the capacity for sentence construction of a competent speaker is productive—that is, competent speakers are able to create an infinite number of unique sentences. Of course, this is an issue in principle. No individual speaker will ever construct more than a finite number of unique sentences. Nevertheless, Fodor and Pylyshyn argue that this limitation is a result of having finite resources (such as time).

The argument proceeds by noting that, just as competent speakers of a language can compose an infinite number of unique sentences, they can also understand an infinite number of unique sentences. Fodor and Pylyshyn write,

there are indefinitely many propositions which the system can encode. However, this unbounded expressive power must presumably be achieved by finite means. The way to do this is to treat the system of representations as consisting of expressions belonging to a generated set. More precisely, the correspondence between a representation and the proposition it expresses is, in arbitrarily many cases, built up recursively out of correspondences between parts of the expression and parts of the proposition. But, of course, this strategy can only operate when an unbounded number of the expressions are non-atomic. So linguistic (and mental) representations must constitute [systems possessing combinatorial syntax and compositional semantics]. (1988, 33)

In short, human beings can entertain an infinite number of unique thoughts. But since humans are finite creatures, they cannot possess an infinite number of unique atomic mental representations. Thus, they must possess a system that allows for construction of an infinite number of thoughts given only finite atomic parts. The only systems that can do that are systems that possess combinatorial syntax and compositional semantics. Thus, the system of mental representation must possess those features.

c. Systematicity

Systematicity is the property a representational system has when the ability of the system to express certain propositions is intrinsically related to the ability the system has to express certain other propositions (where the ability to express a proposition is just the ability to token a representation whose content is that proposition). For example, sentential logic is systematic with respect to the propositions Bill is boring and Fred is funny and Fred is funny and Bill is boring, as it can express the former if and only if it can also express the latter. Similarly to the argument from productivity, Fodor and Pylyshyn (1988) argue that thought is largely systematic, and that the best explanation for its being so is that mental representation possesses a combinatorial syntax and compositional semantics.

The argument rests on the claim that the only thing that can account for two propositions being systematically related within a representational system is if the expressions of those propositions within the system are compound representations having the same overall structure and the same components, differing only in the arrangement of the parts within the structure, and whose content is determined by structure, parts, and arrangement of parts within the structure. Thus, the reason the propositions Bill is boring and Fred is funny and Fred is funny and Bill is boring are systematically related in sentential logic is because the representation of the former is ‘B · F’ and the representation of the latter is ‘F · B’. That is, they are both conjunctions, they have the same components, they only differ in the arrangement of the components within the structure, and the content of each is determined by their structure, their parts, and the arrangement of the parts within the structure. But, the argument continues, any representational system that possesses multiple compound representations that are capable of having the same constituent parts and whose content is determined by their structure, parts and arrangement of parts within the structure is a system with combinatorial syntax and compositional semantics. Hence, systematicity guarantees linguistically structured representations.

Fodor and Pylyshyn argue that, if thought is largely systematic, then it must be linguistically structured. They argue that for the most part it is, pointing out that anyone who can entertain the proposition that John loves Mary can also entertain the proposition that Mary loves John. What explains that is that the underlying representations are compound, have the same parts, and have contents that are determined by the parts and the arrangement of the parts within the structure. But then what underlies the ability to entertain those propositions is a representational system that is linguistically structured. (See Johnson 2004 for an argument that language, and probably thought as well, is not systematic).

d. Inferential Coherence

A system is inferentially coherent with respect to a certain kind of logical inference, if given that it can draw one or more specific inferences that are instances of that kind, it can draw any specific inferences that are of that kind. For example, let A be the proposition Emily is in Scranton and Judy is in New York, and let B be the proposition Emily is in Scranton. Here A is a logical conjunction, and B is the first conjunct. A system that can draw the inference from A to B is a system that is able to infer the first conjunct from a conjunction with two conjuncts, in at least one instance. A system may or may not be able to do the same given other instances of the same kind of inference. It may not for example be able to infer Bill is boring from Bill is boring and Fred is funny. If it can infer the first conjunct from a logical conjunction regardless of the content of the proposition, then it is inferentially coherent with respect to that kind of inference. As with productivity and systematicity, Fodor and Pylyshyn point to inferential coherence as a feature of thought that is best explained on the hypothesis that mental representation is linguistically structured.

The argument here is that what best explains inferential coherence with respect to a particular kind of inference, is if the syntactic structure of the representations involved mirrors the semantic structure of the propositions represented. For example, if all logical conjunctions are represented by syntactic conjunctions, and if the system is able to separate the first conjunct from such representations, then it will be able to infer for example, Emily is in Scranton from Emily is in Scranton and Judy is in New York, and it will also be able to infer Bill is boring from Bill is boring and Fred is funny, and so on for any logical conjunction. Thus it will be inferentially coherent with respect to that kind of inference. If the syntactic structure of all the representations matches the logical structure of the propositions represented, and if the system has general rules for processing those representations, then it will be inferentially coherent with respect to any of the kinds of inferences it can perform.

Representations whose syntactic structure mirrors the logical structure of the propositions they represent, however, are representations with combinatorial syntax and compositional semantics; they are linguistically structured representations. Thus, if thought is inferentially coherent, then mental representation is linguistically structured. And Fodor and Pylyshyn claim,

You don’t, for example, get minds that are prepared to infer John went to the Store from John and Mary and Susan and Sally went to the store and from John and Mary went to the store but not from John and Mary and Susan went to the store. Given [linguistically structured representations], it is a truism that you don’t get such minds. (1988, 48)

In short, human thought is inferentially coherent. Any example of inferential coherence is best explained by appeal to linguistically structured representations. Hence, inferential coherence in human thought is best explained by appeal to linguistically structured representations.

3. Problems and Objections

There are important problems for, and objections to, LOTH. The first is the problem of individuating the symbols of the language of thought, which if unsolvable would prove fatal for LOTH, at least insofar as LOTH is to be a component of a fully naturalized theory of mind, or insofar as it is to provide a framework within which psychological generalizations ranging across individuals may be made. The second is the problem of explaining context-dependent properties of thought, which should not exist if thinking is a computational process. The third is the objection that contemporary cognitive science shows that some thinking takes place in mental images, which do not have a linguistic structure, so LOTH cannot be the whole story about rational thought. The fourth is the objection that systematicity, productivity, and inferential coherence may be accounted for in representational systems that do not employ linguistic formats (such as maps), so the arguments from those features do not prove LOTH. The fifth is the argument that connectionist networks, computational systems that do not employ linguistic representation, provide a more biologically realistic model of the human brain than do classical digital computers. The last part briefly raises the question whether the mind is best viewed as an analog or digital machine.

a. Individuating Symbols

An important and difficult problem concerning LOTH is the individuation of primitive symbols within the language of thought, the atomic mental representations. There are three possibilities for doing so: in terms of the meaning of a symbol, in terms of the syntax of a symbol (where syntactic kinds are conceived of as brain-state kinds), and in terms of the computational role of the symbol (for example, the causal relations the symbol bears to other symbols and to behavior).

Some authors (Aydede 1999 and Schneider 2009a) argue that this problem is perhaps fatal for LOTH. Schneider (2009a) argues that none of the above proposals (so far) are consistent with the roles that symbols are supposed to play within LOTH.  In particular, an appeal to meaning in order to individuate symbols would not reduce intentionality to purely physical terms, and would thus stand opposed to a fully naturalized philosophy of mind. An appeal to syntax conceived of as brain states would amount to a type-identity theory for mental representation, and would thus be prone to difficulties faced by a general type-identity theory of mental states. And an appeal to computational role would render impossible an explanation of how concepts can be shared by individuals, since no two individuals will employ symbols that have identical computational roles. A failure to explain how concepts may be shared, moreover, would render impossible the stating of true psychological generalizations ranging across individuals. See Schneider 2009b for a proposed solution to this problem.

b. Context-dependent Properties of Thought

Interestingly enough, Fodor himself has argued that LOTH (and CTM more generally), should be viewed as a thesis about a small portion of cognition. In his view, even were the theory to be completed, it would not offer an entire picture of the nature of thought (see Fodor 2000). His primary argument for this conclusion is that computation is sensitive only to the syntax of the representations involved, so if thinking is computation it should be sensitive only to the syntax of mental representations, but quite often this appears not to be so. More specifically, the syntax of a representation is context-independent, but thoughts often have properties that are context-dependent.

For example, the thought it’s raining might prompt the thought that’s good, the garden needs it in the context of a dry spell, whereas it might prompt the thought maybe we’d better turn around in the context of a hike in the mountains. According to LOTH, however, the syntax of the thought it’s raining is the same in both contexts, and according to CSMP, any computations involving that thought are sensitive only to its syntax. So there would seem to be no explanation why that thought would prompt different thoughts in different contexts, since the computations are not sensitive to those contexts. More generally, the role a given thought will play in one’s thinking is a function of the entire body of propositions one believes. In Fodor’s terminology, the complexity of a thought is not context-independent. However, CTM would seem to require it to be. Thus according to Fodor, there is much cognition that cannot be understood on a computational model. See Ludwig and Schneider 2008 for an argument that this is not in fact a problem for LOTH.

c. Mental Images

Throughout the 1970s, investigators designed a series of experiments concerned with mental imagery. The general conclusion many drew was that mental imagery presents a kind of mental representation that is not linguistically structured. More specifically, it was believed that the parts of mental images correspond to the spatial features of their content, whereas the parts of linguistic representations correspond to logical features of their content (see Kosslyn 1980).

In one well-known experiment, Kosslyn et al. (1978) asked subjects to memorize a map with various named locations on it. They then asked the subjects to imagine this map in their mind and to focus on a particular location. They asked the subjects (i) to say whether another given named location was on the map, and if so, (ii) to follow an imagined black dot as it traveled the shortest distance from the location on which they were focused to the named location (51). The result was that as the distance between the original location and the named location increased, so did the time it took subjects to respond. Kosslyn et al. concluded that “portions of images depict corresponding portions of the represented object(s) and that the spatial relations between portions of the imaged object(s) are preserved by the spatial relations between the corresponding portions of the image” (1978, 59-60).

It is important to note here that while the experiments involved invoke mental images as those images a subject can examine introspectively, the debate is best understood as being about non-introspectible mental representations. Since LOTH is a hypothesis about non-introspectible cognitive processing, any purported challenges to the hypothesis would likewise need to be about such processing. Thus if the above conclusion is correct, then it at least limits the scope of LOTH. Ned Block (1983) explains,

The relevance of the pictorial/descriptional controversy to the viability of the computer metaphor in cognitive science should be becoming visible. The computer metaphor goes naturally with descriptional representations, but it is not at all clear how it can work when the representations are nondescriptional. (535)

However, some authors have denied that the data on mental imagery present a viable challenge to LOTH. Pylyshyn (1981) for instance, argues that the data are better explained by appeal to a kind of “tacit knowledge” possessed by subjects or to architectural features of the cognitive system, but not to representations with non-linguistic structuring. Tye (1991) argues that on a proper understanding of the thesis that mental images have spatial properties, it does not (straightforwardly) undermine the claim that mental representation has a linguistic structure. Rather, he argues, it should be understood as the claim that mental images employ both non-linguistic and linguistic elements. See Block 1981 for a useful collection of essays on the imagery debate.

d. Mental Maps

Another objection to LOTH comes from philosophers who have argued that there are non-linguistic forms of representation that are productive, systematic, and inferentially coherent. For example, David Braddon-Mitchell and Frank Jackson (1996) argue that maps are an important example. The point out that productivity, systematicity and inferential coherence show that thought must be structured, where a system of representation is structured just in case the similarities that hold between the representational states of the system reflect similarities that hold between the states that the system serves to represent, such that for new representational states, one can discover which states they serve to represent. They write,

What is unbelievable is that similarities between the various [representational states] Ri should in no way correspond to similarities among the [represented states] Si; it must be the case that enough information about a finite set of [Ri] giving which [Si] each represents enables in principle the working out, for some new [Ri], which [Si] it would represent. What it means to say that the way the R’s serve to represent the S’s is structured is that at some level of abstraction the similarities and differences between the R’s correspond to similarities and differences among the S’s, and it is this fact that underlies our ability to grasp for some new R which S it represents. (1996, 168-9)

They argue that maps are structured in just this sense, and can therefore account for productivity and systematicity (and presumably inferential coherence as well, but they do not argue for it). They point out that different parts of a map serve to represent different things (red dots for cities, blue lines for rivers, blue circles for lakes). Given these elements, there is no limit on the arrangement of ways in which a map may be constructed. Braddon-Mitchell and Jackson explain,

the conventions of cartography do not set an upper limit on the number of different possible distributions of cities, areas of high pressure and the like that a map framed within those conventions can represent. A map-maker can represent quite a new situation as easily as a word- or sentence-maker can. (1996, 172-3)

They also argue that maps are systematic. They write,

a map that represents Boston as being north of New York has the resources to represent New York as north of Boston, and a map that represented New York as north of Boston would be a kind of rearrangement of the map that represents Boston as north of New York. (1996, 172)

However, there are important differences between maps and linguistic representations. First, although maps have parts, they do not have atomic parts. As Braddon-Mitchell and Jackson put the point,

There are many jigsaw puzzles you might make out of the map, but no single one would have a claim to have pieces that were all and only the most basic units. The reason is that there is no natural minimum unit of truth-assessable representation in the case of maps. (1996, 171)

Second, maps are “informationally rich” in the sense that they never express just a single proposition. Any map that expresses the proposition Boston is north of New York also expresses the proposition New York is south of Boston. One way to think about this difference is in terms of the smallest number of beliefs it is possible to have. For example, David Lewis (1994) questions whether, if thinking employs maps, the word ‘belief’ can be properly pluralized. He writes,

No snippet of a map is big enough that, determinately, something is true according to it, and also small enough that, nothing is true according to any smaller part of it. If mental representation is map-like… then ‘beliefs’ is a bogus plural. You have beliefs the way you have the blues, or the mumps, or the shivers. But if mental representation is language-like, one belief is one sentence written in the belief-box, so ‘beliefs’ is a genuine plural. (311)

Third, the structuring that maps possess is of a different sort than the structuring possessed by linguistic representations. Specifically, the features of content that parts of maps correspond to are spatial features, whereas linguistic representations disregard spatial structure but correspond to logical features of content.

Hence, if the suggestion is that all thinking takes place in mental maps, then it presents a complete alternative to LOTH. This may be difficult to show, however, particularly for thought involving abstract concepts that are not easily expressible in map-form, though Braddon-Mitchell and Jackson do briefly offer one such argument (1996, 172). Camp (2007) argues that much, but not all, human thought may occur in maps, but that an organism of sufficiently limited cognitive capacity could think entirely in maps.

e. Connectionist Networks

The most widely discussed objection to LOTH is the objection that connectionist networks provide better models of cognition than computers processing linguistically structured representations (see Bechtel and Abramson 1990, Churchland 1995, and Elman et al. 1996 for useful introductions). Such networks possess some number of interconnected nodes, typically arranged as layers of input, output, and hidden nodes. Each node possesses a level of activation, and each connection is weighted. The level of activation of all the nodes to which a given node is connected, together with the weightings of those connections, determine the level of activation of the given node. A particular set of activations at the input nodes will result in a particular set of activations at the output nodes.

The activation of a given set of nodes (typically input layers and output layers) can be interpreted as having semantic content, but the activation level of a particular node can not. Moreover, the interpretation of the activations of a set of nodes does not result from the collection of activations of the particular nodes involved in anything like the way the semantic content of a linguistically structured compound representation results from the content of its component parts (that is, they do not combine via concatenation). In short, connectionist networks possess neither combinatorial syntax nor compositional semantics; the representations involved are not linguistically structured.

There are, however, many ways in which networks resemble the brain and its functioning more closely than do digital computers (the canonical model of a linguistic representation processor). The most obvious is that the brain is a massive network of neurons, as connectionist machines are networks of nodes, and does not possess a central processing unit, as do digital computers. Moreover, processing in both the brain and connectionist networks is distributed and parallel, while it is serial in digital computers and concentrated in the central processing unit. Activation levels in both nodes and neurons are defined by continuous numerical values, while representations in digital machines are discrete elements, and processing takes place in discrete steps. It is for these and similar reasons that connectionists have taken networks to offer more “biologically realistic” models of the mind than the digital computer. Smolensky (1988) is careful to note however, that connectionist networks also differ from the brain in many important respects (for example, nodes in a network are uniformly dense, while neurons are more highly connected to neighboring neurons) and thus that the notion that they are “biologically realistic” can be misleading and should be treated with caution.

Much of the debate concerning connectionist networks is about whether or not they provide a real alternative to LOTH. In particular, it is agreed that networks can implement systems that process linguistically structured representations. Such networks may provide useful models of cognition at a level of analysis below the level at which LOTH operates—that is, they may provide an analysis of how higher cognition is implemented in the brain. The question then, is whether they can offer an alternative to LOTH itself, which purports to explain how such (supposed) higher features of cognition such as productivity, systematicity, and inferential coherence, are possible. If they can explain these features without implementing a system that processes linguistically structured representations, then they do indeed offer an alternative to LOTH.

Smolensky (1987) argues that representations in (some) networks do have adequate constituent structure to account for such features as systematicity and inferential coherence. For instance, he suggests that a representation of the concept cup with coffee would include various “microfeatures” (hot liquid, burnt odor, and so forth) that are not included in a representation of the concept cup without coffee. These microfeatures, then, not only comprise a constituent of the representation, but would also comprise a representation of the concept coffee. However, Smolensky admits that these sorts of constituents may not be exact copies of each other in different contexts, but rather will bear a “family resemblance” to one another, such that the features they share are enough to produce “common processing implications.” Fodor and McLaughlin (1990) argue in response that only constituency as it occurs in linguistically structured representations (in which constituents of a representation are tokened whenever the representation in tokened, and in which those constituents are identical across varying contexts) can account for systematicity and inferential coherence, and so Smolensky’s account of constituency in networks cannot explain those features. See Horgan and Tienson 1991 for a useful collection of papers on connectionism and its relation to LOTH.

f. Analog and Digital Representation

One commonality that holds among the last three objections discussed is that they can all reasonably be described as claiming that at least some mental representation is analog, while LOTH describes mental representation as digital. The distinction is usually understood in terms of continuity and discreteness. Digital representations are discrete (as words and sentences). Analog representations are continuous, or possess continuously variable properties such as distances between parts of an image or map, or activation values of the nodes in a network.

However, the distinction between analog and digital representation has been understood in a number of ways. David Lewis (1971) says that “analog representation of numbers is representation of numbers by physical magnitudes that are either primitive or almost primitive,” (325) and that “digital representation of numbers [is] representation of numbers by differentiated multi-digital magnitudes” (327). Fred Dretske (1981) says that “a signal… carries the information that s is F in digital form if and only if the signal carries no additional information about s, no information that is not already nested in s’s being F. If the signal does carry additional information about s, information that is not nested in s’s being F, then… the signal carries this information in analog form (137). And James Blachowitz (1997) says that “the function of analog representation is to map or model what it represents (83). See also Von Neumann 1958, Goodman 1968, Trenholme 1994, Haugeland 1998, and Katz 2008.

The analog/digital distinction may be drawn in reference to different kinds of things:  computers, representations, processes, machines, and so forth. Haugeland (1998) argues that, although all digital representations share some important features, there may be no set of features uniquely characterizing analog representation. If that is the case, then the idea that images, maps, and networks are analog should not be taken to indicate that they share some important set of features other than being non-digital. Moreover, because it remains a possibility that thought is best modeled by a connectionist network implementing a system that processes linguistically structured representations, and because it remains a possibility that some thinking takes place in images, some in maps, some in linguistically structured representations, and some in yet other forms of representation, it would be misleading to suggest that the question whether the mind is best modeled by an analog or digital machine has a singular answer.

4. References and Further Reading

 

  • Aydede, M. (1999). “On the Type/Token Relation of Mental Representations.” Facta Philosophica 2: 23-50.
  • Bechtel, W., and A. Abrahamsen. (1990). Connectionism and the Mind: An Introduction to Parallel Processing in Networks. Cambridge: Blackwell.
  • Blachowitz, J. (1997). “Analog Representation Beyond Mental Imagery.” The Journal of Philosophy 94, no. 2: 55-84.
  • Block, N. (1981). Imagery. Cambridge: MIT Press.
  • Block, N. (1983). “Mental Pictures and Cognitive Science.” Philosophical Review 93: 499-542.
  • Braddon-Mitchell, D., and F. Jackson. (1996). Philosophy of Mind and Cognition. Oxford: Blackwell.
  • Brentano, F. (1874/1995). Psychology from an Empirical Perspective, ed. Kraus, O., trans. Rancurello, A., D. Terrell, and L. McAlister, 2nd ed. London: Routledge.
  • Camp, E. (2007). “Thinking with Maps.” Philosophical Perspectives 21, no. 1: 145-82.
  • Churchland, P. M. (1981). “Eliminative Materialism and the Propositional Attitudes.” Journal of Philosophy 78, n. 2: 67-89.
  • Churchland, P. M. (1995). The Engine of Reason, the Seat of the Soul. Cambridge: MIT Press.
  • Dennett, D. (1987). The Intentional Stance. Cambridge: MIT Press.
  • Descartes, R. (1637/1985). “Discourse on the Method.” In The Philosophical Writings of Descartes, Vol. 1, trans. Cottingham, J., R. Stoothoff, and D. Murdoch. Cambridge: Cambridge University Press.
  • Dretske, F. (1981). Knowledge and the Flow of Information. Cambridge: MIT Press.
  • Elman, J. L., E. A. Bates, M. H. Johnson, A. Karmiloff-Smith, D. Parisi, and K. Plunkett. (1996). Rethinking Innateness. Cambridge: MIT Press.
  • Fodor, J. A. (1975). The Language of Thought. Cambridge: Harvard University Press.
  • Fodor, J. A. (1978). “Propositional Attitudes.” The Monist 61, no. 4: 501-23.
  • Fodor, J. A. (1987). Psychosomatics: the Problem of Meaning in the Philosophy of Mind. Cambridge: MIT Press.
  • Fodor, J. A. (2000). The Mind Doesn’t Work That Way. Cambridge: MIT Press.
  • Fodor, J. A., and B. P. McLaughlin. (1990). “Connectionism and the Problem of Systematicity: Why Smolensky’s Solution Doesn’t Work.” Cognition 35: 183-204.
  • Fodor, J. A., and Z. W. Pylyshyn. (1988). “Connectionism and Cognitive Architecture: A Critical Analysis.” Cognition 28: 3-71.
  • Goodman, N. (1968). Languages of Art. Indianapolis: The Bobbs-Merrill Company, Inc.
  • Haugeland, J. (1998). “Analog and Analog.” In Having Thought, ed. Haugeland, J. Cambridge: Harvard University Press.
  • Horgan, T., and Tienson, J. (1991). Connectionism and the Philosophy of Mind. Dordrecht: Kluwer.
  • Johnson, K. (2004). “On the Systematicity of Thought and Language.” Journal of Philosophy CI, no. 3: 111-39.
  • Katz, M. (2008). “Analog and Digital Representation.” Minds and Machines 18, no. 3: 403-8.
  • Kosslyn, S. M. (1980). Image and Mind. Cambridge, Massachusetts: Harvard University Press.
  • Kosslyn, S. M., T. M. Ball, and B. J. Reiser. (1978). “Visual Images Preserve Metric Spatial Information: Evidence from Studies of Image Scanning.” Journal of experimental psychology: human perception and performance 4, no. 1: 47-60.
  • Lewis, D. (1971). “Analog and Digital.” Nous 5, no. 3: 321-7.
  • Lewis, D. (1994). “Reduction in Mind.” In Papers in Metaphysics and Epistemology, ed. Lewis, D. Cambridge: Cambridge University Press.
  • Loar, B. (1981). Mind and Meaning. Cambridge: Cambridge University Press.
  • Ludwig, K. and S. Schneider. (2008). “Fodor’s Challenge to the Classical Computational Theory of Mind.” Mind and Language 23, no. 1: 123-43.
  • Pylyshyn, Z. (1981). “The Imagery Debate: Analog Media versus Tacit Knowledge,” in Imagery, ed. Block, N. Cambridge: MIT Press.
  • Rey, G. (1997). Contemporary Philosophy of Mind: A Contentiously Classical Approach. Oxford: Basil Blackwell.
  • Schneider, S. (2009a). “LOT, CTM, and the Elephant in the Room.” Synthese 170, no. 2: 235-50.
  • Schneider, S. (2009b). The Nature of Primitive Symbols in the Language of Thought. Mind and Language, forthcoming.
  • Smolensky, P. (1987). “The Constituent Structure of Mental States.” Southern Journal of Philosophy 26: 137-60.
  • Smolensky, P. (1988). “On the Proper Treatment of Connectionism.” Behavioral and Brain Sciences 11: 1-23.
  • Stich, S. (1983). From Folk Psychology to Cognitive Science: the Case Against Belief. Cambridge: MIT Press.
  • Trenholme, R. (1994). “Analog Simulation.” Philosophy of Science 61, no. 1: 115-31.
  • Turing, A. (1950). “Computing Machinery, and Intelligence.” Mind 50: 433-60
  • Tye, M. (1991). The Imagery Debate. Cambridge: MIT Press.
  • Von Neumann, J. (1958). The Computer and the Brain. New Haven: Yale University Press. 2nd edition, 2000.

Author Information

Matthew Katz
Email: katz1ma@cmich.edu
Central Michigan University
U. S. A.

Martin Heidegger (1889—1976)

Martin HeideggerMartin Heidegger is widely acknowledged to be one of the most original and important philosophers of the 20th century, while remaining one of the most controversial.  His thinking has contributed to such diverse fields as phenomenology (Merleau-Ponty), existentialism (Sartre, Ortega y Gasset), hermeneutics (Gadamer, Ricoeur), political theory (Arendt, Marcuse, Habermas), psychology (Boss, Binswanger, Rollo May), and theology (Bultmann, Rahner, Tillich). His critique of traditional metaphysics and his opposition to positivism and technological world domination have been embraced by leading theorists of postmodernity (Derrida, Foucault, and Lyotard). On the other hand, his involvement in the Nazi movement has invoked a stormy debate.  Although he never claimed that his philosophy was concerned with politics, political considerations have come to overshadow his philosophical work.

Heidegger’s main interest was ontology or the study of being. In his fundamental treatise, Being and Time, he attempted to access being (Sein) by means of phenomenological analysis of human existence (Dasein) in respect to its temporal and historical character. After the change of his thinking (“the turn”), Heidegger placed an emphasis on language as the vehicle through which the question of being can be unfolded. He turned to the exegesis of historical texts, especially of the Presocratics, but also of Kant, Hegel, Nietzsche and Hölderlin, and to poetry, architecture, technology, and other subjects. Instead of looking for a full clarification of the meaning of being, he tried to pursue a kind of thinking which was no longer “metaphysical.” He criticized the tradition of Western philosophy, which he regarded as nihilistic, for, as he claimed, the question of being as such was obliterated in it. He also stressed the nihilism of modern technological culture. By going to the Presocratic beginning of Western thought, he wanted to repeat the early Greek experience of being, so that the West could turn away from the dead end of nihilism and begin anew. His writings are notoriously difficult. Being and Time remains his most influential work.

Table of Contents

  1. Life and Works
  2. Philosophy as Phenomenological Ontology
  3. Dasein and Temporality
  4. The Quest for the Meaning of Being
  5. Overcoming Metaphysics
  6. From the First Beginning to the New Beginning
  7. From Philosophy to Political Theory
  8. Heidegger’s Collected Works
    1. Published Writings, 1910-1976
    2. Lectures from Marburg and Freiburg, 1919-1944
    3. Private Monographs and Lectures, 1919-1967
    4. Notes and Fragments

1. Life and Works

Heidegger was born on September 26, 1889 in Messkirch in south-west Germany to a Catholic family. His father worked as sexton in the local church. In his early youth, Heidegger was being prepared for the priesthood. In 1903 he went to the high school in Konstanz, where the church supported him with a scholarship, and then, in 1906, he moved to Freiburg. His interest in philosophy first arose during his high school studies in Freiburg when, at the age of seventeen, he read Franz Brentano’s book entitled On the Manifold Meaning of Being according to Aristotle. By his own account, it was this work that inspired his life-long quest for the meaning of being. In 1909, after completing the high school, he became a Jesuit novice, but was discharged within a month for reasons of health. He then entered Freiburg University, where he studied theology. However, because of health problems and perhaps because of a lack of a strong spiritual vocation, Heidegger left the seminary in 1911 and broke off his training for the priesthood. He took up studies in philosophy, mathematics, and natural sciences. It was also at that time that he first became influenced by Edmund Husserl. He studied Husserl’s Logical Investigations. In 1913 he completed a doctorate in philosophy with a dissertation on The Doctrine of Judgement in Psychologism under the direction of the neo-Kantian philosopher Heinrich Rickert.

The outbreak of the First World War interrupted Heidegger’s academic career only briefly. He was conscripted into the army, but was discharged after two months because of health reasons. Hoping to take over the chair of Catholic philosophy at Freiburg, Heidegger now began to work on a habilitation thesis, the required qualification for teaching at the university. His thesis, Duns Scotus’s Doctrine of Categories and Meaning, was completed in 1915, and in the same year he was appointed a Privatdozent, or lecturer. He taught mostly courses in Aristotelian and scholastic philosophy, and regarded himself as standing in the service of the Catholic world-view. Nevertheless, his turn from theology to philosophy was soon to be followed by another turn.

In 1916, Heidegger became a junior colleague of Edmund Husserl when the latter joined the Freiburg faculty. The following year, he married Thea Elfride Petri, a Protestant student who had attended his courses since the fall of 1915. His career was again interrupted by military service in 1918. He served for the last ten months of the war, the last three of those in a meteorological unit on the western front. Within a few weeks of his return to Freiburg, he announced his break with the “system of Catholicism” (January 9, 1919), got appointed as Husserl’s assistant (January 21, 1919), and began lecturing in a new, insightful way (February 7, 1919). His lectures on phenomenology and his creative interpretations of Aristotle would now earn him a wide acclaim. And yet, Heidegger did not simply become Husserl’s faithful follower. In particular, he was not captivated by the later developments of Husserl’s thought—by his neo-Kantian turn towards transcendental subjectivity and even less by his Cartesianism—but continued to value his earlier work, Logical Investigations. Laboring over the question of things themselves, Heidegger soon began a radical reinterpretation of Husserl’s phenomenology.

In 1923, with the support of Paul Natorp, Heidegger was appointed associate professor at Marburg University. Between 1923 and 1928, he enjoyed there the most fruitful years of his entire teaching career. His students testified to the originality of his insight and the intensity of his philosophical questioning. Heidegger extended the scope of his lectures, and taught courses on the history of philosophy, time, logic, phenomenology, Plato, Aristotle, Aquinas, Kant, and Leibniz. However, he had published nothing since 1916, a factor that threatened his future academic career. Finally, in February 1927, partly because of administrative pressure, his fundamental but also unfinished treatise, Being and Time, appeared. Within a few years, this book was recognized as a truly epoch-making work of 20th century philosophy. It earned Heidegger, in the fall of 1927, full professorship at Marburg, and one year later, after Husserl’s retirement from teaching, the chair of philosophy at Freiburg University. Although Being and Time is dedicated to Husserl, upon its publication Heidegger’s departure from Husserl’s phenomenology and the differences between two philosophers became apparent. In 1929, his next published works—“What is Metaphysics?,” “On the Essence of Ground,” and Kant and the Problem of Metaphysics—further revealed how far Heidegger had moved from neo-Kantianism and phenomenology of consciousness to his own phenomenological ontology.

Heidegger’s life entered a problematic and controversial stage with Hitler’s rise to power. In September 1930, Adolf Hitler’s National Socialist German Workers’ Party (NSDAP) became the second largest party in Germany, and on January 30, 1933 Hitler was appointed chancellor of Germany. Up to then virtually apolitical, Heidegger now became politically involved. On April 21, 1933, he was elected rector of the University of Freiburg by the faculty. He was apparently urged by his colleagues to become a candidate for this politically sensitive post, as he later claimed in an interview with Der Spiegel, to avoid the danger of a party functionary being appointed. But he also seemed to believe that he could steer the Nazi movement in the right direction. On May 3, 1933, he joined the NSDAP, or Nazi, party. On May 27, 1933, he delivered his inaugural rectoral address on The Self-Assertion of the German University.” The ambiguous text of this speech has often been interpreted as an expression of his support for Hitler’s regime. During his tenure as rector he produced a number of speeches in the Nazi cause, such as, for example, “Declaration of Support for Adolf Hitler and the National Socialist State” delivered in November 1933. There is little doubt that during that time, Heidegger placed the great prestige of his scholarly reputation at the service of National Socialism, and thus, willingly or not, contributed to its legitimization among his fellow Germans. And yet, just one year later, on April 23, 1934, Heidegger resigned from his office and took no further part in politics. His rectoral address was found incompatible with the party line, and its text was eventually banned by the Nazis. Because he was no longer involved in the party’s activities, Heidegger’s membership in the NSDAP became a mere formality. Certain restrictions were put on his freedom to publish and attend conferences. In his lecture courses of the late 1930s and early 1940s, and especially in the course entitled Hölderlin’s Hymnen “Germanien” und “Der Rein” (Hölderlin’s Hymns “Germania” and “The Rhine”) originally presented at the University of Freiburg during the winter semester of 1934/35, he expressed covert criticism of Nazi ideology. He came under attack of Ernst Krieck, semi-official Nazi philosopher. For some time he was under the surveillance of the Gestapo. His final humiliation came in 1944, when he was declared the most “expendable” member of the faculty and sent to the Rhine to dig trenches. Following Germany’s defeat in the Second World War, Heidegger was accused of Nazi sympathies. He was forbidden to teach and in 1946 was dismissed from his chair of philosophy. The ban was lifted in 1949.

The 1930s are not only marked by Heidegger’s controversial involvement in politics, but also by a change in his thinking which is known as “the turn” (die Kehre). In his lectures and writings that followed “the turn,” he became less systematic and often more obscure than in his fundamental work, Being and Time. He turned to the exegesis of philosophical and literary texts, especially of the Presocratics, but also of Kant, Hegel, Nietzsche and Hölderlin, and makes this his way of philosophizing. A recurring theme of that time was “the essence of truth.” During the decade between 1931 and 1940, Heidegger offered five courses under this title. His preoccupation with the question of language and his fascination with poetry were expressed in lectures on Hörderlin which he gave between 1934 and 1936. Towards the end of 1930s and the beginning of 1940s, he taught five courses on Nietzsche, in which he submitted to criticism the tradition of western metaphysics, described by him as nihilistic, and made allusions to the absurdity of war and the bestiality of his contemporaries. Finally, his reflection upon the western philosophical tradition and an endeavor to open a space for philosophizing outside it, brought him to an examination of Presocratic thought. In the course of lectures entitled An Introduction to Metaphysics, which was originally offered as a course of lectures in 1935, and can be seen as a bridge between earlier and later Heidegger, the Presocratics were no longer a subject of mere passing remarks as in Heidegger’s earlier works. The course was not about early Greek thought, yet the Presocratics became there the pivotal center of discussion. It is clear that with the evolution of Heidegger’s thinking in the 1930s, they gained in importance in his work. During the 1940s, in addition to giving courses on Aristotle, Kant and Hegel, Heidegger lectured extensively on Anaximander, Parmenides, and Heraclitus.

During the last three decades of his life, from the mid 1940s to the mid 1970s, Heidegger wrote and published much, but in comparison to earlier decades, there was no significant change in his philosophy. In his insightful essays and lectures, such as “What are Poets for?” (1946), “Letter on Humanism” (1947), “The Question Concerning Technology” (1953), “The Way to Language” (1959), “Time and Being” (1962), and “The End of Philosophy and the Task of Thinking” (1964), he addressed different issues concerning modernity, labored on his original philosophy of history—the history of being—and attempted to clarify his way of thinking after “the turn”. Most of his time was divided between his home in Freiburg, his second study in Messkirch, and his mountain hut in the Black Forest. But he escaped provincialism by being frequently visited by his friends (including, among the others, the political philosopher Hannah Arendt, the physicist Werner Heisenberg, the theologian Rudolf Bultmann, the psychologist Ludwig Binswanger) and by traveling more widely than ever before. He lectured on “What is Philosophy?” at Cerisy-la-Salle in 1955, and on “Hegel and the Greeks” at Aix-en-Provence in 1957, and also visited Greece in 1962 and 1967. In 1966, Heidegger attempted to justify his political involvement during the Nazi regime in an interview with Der Spiegel entitled “Only God Can Save Us”. One of his last teaching stints was a seminar on Parmenides that he gave in Zähringen in 1973. Heiddegger died on May 26, 1976, and was buried in the churchyard in Messkirch. He remained intellectually active up until the very end, working on a number of projects, including the massive Gesamtausgabe, the complete edition of his works.

2. Philosophy as Phenomenological Ontology

In order to understand Heidegger’s philosophy before “the turn”, let us first briefly consider his indebtedness to Edmund Husserl. As it has been mentioned, Heidegger was interested in Husserl from his early student years at the University of Freiburg when he read Logical Investigations. Later, when Husserl accepted a chair at Freiburg, Heidegger became his assistant. His debt to Husserl cannot be overlooked. Not only is Being and Time dedicated to Husserl, but also Heidegger acknowledges in it that without Husserl’s phenomenology his own investigation would not have been possible. How then is Heidegger’s philosophy related to the Husserlian program of phenomenology?

By “phenomenology” Husserl himself had always meant the science of consciousness and its objects; this core of sense pervades the development of this concept as eidetic, transcendental or constructive throughout his works. Following the Cartesian tradition, he saw the ground and the absolute starting point of philosophy in the subject. The procedure of bracketing is essential to Husserl’s “phenomenological reduction”—the methodological procedure by which we are led from “the natural attitude,” in which we are involved in the actual world and its affairs, to “the phenomenological attitude,” in which the analysis and detached description of the content of consciousness is possible. The phenomenological reduction helps us to free ourselves from prejudices and secure the purity of our detachment as observers, so that we can encounter “things as they are in themselves” independently of any presuppositions. The goal of phenomenology for Husserl is then a descriptive, detached analysis of consciousness, in which objects, as its correlates, are constituted.

What right does Husserl have to insist that the original mode of encounter with beings, in which they appear to us as they are as things in themselves, is the encounter of consciousness purified by phenomenological reduction and its objects? “Whence and how is it determined what must be experienced as the ‘things themselves’ in accordance with the principle of phenomenology?” These are pressing questions which Heidegger might well have asked. Perhaps because of his reverence for Husserl, he does not subject him to direct criticism in his fundamental work. Nevertheless, Being and Time is itself a powerful critique of the Husserlian phenomenology. Heidegger there gives attention to many different modes in which we exist and encounter things. He analyses the structures constitutive of things not only as they are encountered in the detached, theoretical attitude of consciousness, but also in daily life as “utensils” (Zuhandene) or in special moods, especially in anxiety (Angst). What is more, he exhibits there the structures that are constitutive of the particular kind of being which is the human being and which he calls “Dasein.” For Heidegger, it is not pure consciousness in which beings are originally constituted. The starting point of philosophy for him is not consciousness, but Dasein in its being.

The central problem for Husserl is the problem of constitution: How is the world as phenomenon constituted in our consciousness? Heidegger takes the Husserlian problem one step further. Instead of asking how something must be given in consciousness in order to be constituted, he asks: “What is the mode of being of that being in which the world constitutes itself?” In a letter to Husserl dated October 27, 1927, he states that the question of Dasein’s being cannot be evaded, as far as the problem of constitution is concerned. Dasein is that being in which any being is constituted. Further, the question of Dasein’s being directs him to the problem of being in general. The “universal problem of being,” he says in the same letter, “refers to that which constitutes and to that which is constituted.” While far from being dependent upon Husserl, Heidegger finds in his thought an inspiration leading him to the theme which has continued to draw his attention since his early years: the question of the meaning of being.

Phenomenology thus receives in Heidegger a new meaning. He conceives it more broadly, and more etymologically, than Husserl, as “letting what shows itself to be seen from itself, just as it shows from itself.” Husserl applies the term “phenomenology” to a whole philosophy. Heidegger takes it rather to designate a method. Since in Being and Time philosophy is described as “ontology” and has being as its theme, it cannot adopt its method from any of the actual sciences. For Heidegger the method of ontology is phenomenology. “Phenomenology,” he says, “is the way of access to what is to become the theme of ontology.” Being is to be grasped by means of the phenomenological method. However, being is always the being of a being, and accordingly, it becomes accessible only indirectly through some existing entity. Therefore, “phenomenological reduction” is necessary. One must direct oneself toward an entity, but in such a way that its being is thereby brought out. It is Dasein which Heidegger chooses as the particular entity to access being. Hence, as the basic component of his phenomenology, Heidegger adopts the Husserlian phenomenological reduction, but gives it a completely different meaning.

To sum up, Heidegger does not base his philosophy on consciousness as Husserl did. For him the phenomenological or theoretical attitude of consciousness, which Husserl makes the core of his doctrine, is only one possible mode of that which is more fundamental, namely, Dasein’s being. Although he agrees with Husserl that the transcendental constitution of the world cannot be unveiled by naturalistic or physical explanations, in his view it is not a descriptive analysis of consciousness that leads to this end, but the analysis of Dasein. Phenomenology for him is not a descriptive, detached analysis of consciousness. It is a method of access to being. For the Heidegger of Being and Time, philosophy is phenomenological ontology which takes its departure from the analysis of Dasein.

3. Dasein and Temporality

In everyday German language the word “Dasein” means life or existence. The noun is used by other German philosophers to denote the existence of any entity. However, Heidegger breaks the word down to its components “Da” and “Sein,” and gives to it a special meaning which is related to his answer to the question of who the human being is. He relates this question to the question of being. Dasein, that being which we ourselves are, is distinguished from all other beings by the fact that it makes issue of its own being. It stands out to being. As Da-sein, it is the site, “Da”, for the disclosure of being, “Sein.”

Heidegger’s fundamental analysis of Dasein from Being and Time points to temporality as the primordial meaning of Dasein’s being. Dasein is essentially temporal. Its temporal character is derived from the tripartite ontological structure: existence, thrownness, and fallenness by which Dasein’s being is described. Existence means that Dasein is potentiality-for-being (Seinkönnen); it projects its being upon various possibilities. Existence represents thus the phenomenon of the future. Then, as thrownness, Dasein always finds itself already in a certain spiritual and material, historically conditioned environment; in short, in the world, in which the space of possibilities is always somehow limited. This represents the phenomenon of the past as having-been. Finally, as fallenness, Dasein exists in the midst of beings which are both Dasein and not Dasein. The encounter with those beings, “being-alongside” or “being-with” them, is made possible for Dasein by the presence of those beings within-the-world. This represents the primordial phenomenon of the present. Accordingly, Dasein is not temporal for the mere reason that it exists “in time,” but because its very being is rooted in temporality: the original unity of the future, the past and the present. Temporality cannot be identified with ordinary clock time – with simply being at one point in time, at one “Now” after another—which for Heidegger is a derivative phenomenon. Neither does Dasein’s temporality have the merely quantitative, homogeneous character of the concept of time found in natural science. It is the phenomenon of original time, of the time which “temporalizes” itself in the course of Dasein’s existence. It is a movement through a world as a space of possibilities. The “going back” to the possibilities that have been (the past) in the moment of thrownness, and their projection in the resolute movement “coming towards” (the future) in the moment of existence, which both take place in “being with” others (the present) in the moment of fallenness, provide for the original unity of the future, the past, and the present which constitutes authentic temporality.

As authentically temporal, Dasein as potentiality-for-being comes towards itself in its possibilities of being by going back to what has been; it always comes towards itself from out of a possibility of itself. Hence, it comports itself towards the future by always coming back to its past; the past which is not merely past but still around as having-been. But in this “going back” to what it has been which is constitutive together with “coming towards” and “being with” for the unity of Dasein’s temporality, Dasein hands down to itself its own historical “heritage,” namely, the possibilities of being that have come down to it. As authentically temporal, Dasein is thus authentically historical. The repetition of the possibilities of existence, of that which has been, is for Heidegger constitutive for the phenomenon of original history which is rooted in temporality.

4. The Quest for the Meaning of Being

Throughout his long academic career, Heidegger was preoccupied with the question of the meaning of being. His first formulation of this question goes as far back as his high school studies, during which he read Franz Brentano’s book On the Manifold Meaning of Being in Aristotle. In 1907, the seventeen-year-old Heidegger asked: “If what-is is predicated in manifold meanings, then what is its leading fundamental meaning? What does being mean?” The question of being, unanswered at that time, becomes the leading question of Being and Time twenty years later. Surveying the long history of the meaning attributed to “being,” Heidegger notes that in the philosophical tradition it has generally been presupposed that being is at once the most universal concept, the concept indefinable in terms of other concepts, and the self-evident concept. In short, it is a concept that is mostly taken for granted. However, Heidegger claims that even though we seem to understand being, its meaning is still veiled in darkness. Therefore, we need to restate the question of the meaning of being.

In accordance with the method of philosophy which he employs in his fundamental treatise, before attempting to provide an answer to the question of being in general, Heidegger sets out to answer the question of the being of the particular kind of entity that is the human being, which he calls Dasein. The vivid phenomenological descriptions of Dasein’s being-in-the-world, especially Dasein’s everydayness and resoluteness toward death, have attracted many readers with interests related to existential philosophy, theology, and literature. The basic concepts such as temporality, understanding, historicity, repetition, and authentic or inauthentic existence were carried over into and further explored in his later works.  Still, from the point of view of the quest for the meaning of being, Being and Time was a failure and remained unfinished. As Heidegger himself admitted in his later essay, “Letter on Humanism” (1946), the third division of its first part, entitled “Time and Being,” was held back “because thinking failed in adequate saying of the turning and did not succeed with the help of the language of metaphysics.” The second part also remained unwritten.

“The turn” (Kehre) that occurs in the 1930’s is the change in Heidegger’s thinking mentioned above.  The consequence of “the turn” is not the abandoning of the leading question of Being and Time.  Heidegger stresses the continuity of his thought over the course of the change. Nevertheless, as “everything is reversed,” even the question concerning the meaning of Being is reformulated in Heidegger’s later work. It becomes a question of the openness, that is, of the truth, of being. Furthermore, since the openness of being refers to a situation within history, the most important concept in the later Heidegger becomes the history of being.

For a reader unacquainted with Heidegger’s thought, both the “question of the meaning of being” and the expression “history of being” sound strange. In the first place, such a reader may argue that when something is said to be, there is nothing expressed which the word “Being” could properly denote. Therefore, the word “being” is a meaningless term and the Heideggerian quest for the meaning of being is in general a misunderstanding. Secondly, the reader may also think that the being of Heidegger is no more likely to have a history than the being of Aristotle, so the “history of being” is a misunderstanding as well. Nevertheless, Heidegger’s task is precisely to show that there is a meaningful concept of being. “We understand the ‘is’ we use in speaking,” he claims, “although we do not comprehend it conceptually.” Therefore, Heidegger asks: Can being then be thought? We can think of beings: a table, my desk, the pencil with which I am writing, the school building, a heavy storm in the mountains . . . but being? If the being whose meaning Heidegger seeks seems so elusive, almost like no-thing, it is because it is not an entity. It is not something; it is not a being. “Being is essentially different from a being, from beings.” The “ontological difference,” the distinction between being (das Sein) and beings (das Seiende), is fundamental for Heidegger. The forgetfulness of being that, according to him, occurs in the course of Western philosophy amounts to the oblivion of this distinction.

The conception of the history of being is of central importance in Heidegger’s thought. Already in Being and Time its idea is foreshadowed as “the destruction of the history of ontology.” In Heidegger’s later writings the story is considerably recast and called the “history of being” (Seinsgeschichte). The beginning of this story, as told by Heidegger especially in the Nietzsche lectures, is the end, the completion of philosophy by its dissolution into particular sciences and nihilism—questionlessness of being, a dead end into which the West has run. Heidegger argues that the question of being would still provide a stimulus to the research of Plato and Aristotle, but it was precisely with them that the original experience of being of the early Greeks was covered over. The fateful event was followed by the gradual slipping away of the distinction between being and beings. Described variously by different philosophers, being was reduced to a being: to idea in Plato, substantia and actualitas in Medieval philosophy, objectivity in modern philosophy, and will to power in Nietzsche and contemporary thought. The task which the later Heidegger sets before himself is then to make a way back into the primordial beginning, so that the “dead end” can be replaced by a new beginning. And since the primordial beginning of western thought lies in ancient Greece, in order to solve the problems of contemporary philosophy and reverse the course of modern history, Heidegger ultimately turns for help to the Presocratics, the first western thinkers.

5. Overcoming Metaphysics

For the later Heidegger, “western philosophy,” in which there occurs forgetfulness of being, is synonymous with “the tradition of metaphysics.” Metaphysics inquires about the being of beings, but in such a way that the question of being as such is disregarded, and being itself is obliterated. The Heideggerian “history of being” can thus be seen as the history of metaphysics, which is the history of being’s oblivion. However, looked at from another angle, metaphysics is also the way of thinking that looks beyond beings toward their ground or basis. Each metaphysics aims at the fundamentum absolutum, the ground of such a metaphysics which presents itself indubitably. In Descartes, for example, the fundamentum absolutum is attained through the “Cogito” argument. Cartesian metaphysics is characterized by subjectivity because it has its ground in the self-certain subject. Furthermore, metaphysics is not merely the philosophy which asks the question of the being of beings. At the end of philosophy—i.e., in our present age where there occurs the dissolution of philosophy into particular sciences—the sciences still speak of the being of what-is as a whole. In the wider sense of this term, metaphysics is thus, for Heidegger, any discipline which, whether explicitly or not, provides an answer to the question of the being of beings and of their ground. In medieval times such a discipline was scholastic philosophy, which defined beings as entia creatum (created things) and provided them with their ground in ens perfectissimum (the perfect being), God. Today the discipline is modern technology, through which the contemporary human being establishes himself in the world by working on it in the various modes of making and shaping. Technology forms and controls the human position in today’s world. It masters and dominates beings in various ways.

“In distinction from mastering beings, the thinking of thinkers is the thinking of being.” Heidegger believes that early Greek thinking is not yet metaphysics. Presocratic thinkers ask the question concerning the being of beings, but in such a way that being itself is laid open. They experience the being of beings as the presencing (Anwesen) of what is present (Anwesende). Being as presencing means enduring in unconcealment, disclosing. Throughout his later works Heidegger uses several words in order rightly to convey this Greek experience. What-is, what is present, the unconcealed, is “what appears from out of itself, in appearing shows itself , and in this self-showing manifests.” It is the “emerging arising, the unfolding that lingers.” He describes this experience with the Greek words phusis (emerging dominance) and alêtheia (unconcealment). He attempts to show that the early Greeks did not “objectify” beings (they did not try to reduce them to an object for the thinking subject), but they let them be as they were, as self-showing rising into unconcealment. They experienced the phenomenality of what is present, its radiant self-showing. The departure of Western philosophical tradition from concern with what is present in presencing, from this unique experience that astonished the Greeks, has had profound theoretical and practical consequences.

According to Heidegger, the experience of what is present in presencing signifies the true, unmediated experience of “the things themselves” (die Sache selbst). We may recall that the call to “the things themselves” was included in the Husserlian program of phenomenology. By means of phenomenological description Husserl attempted to arrive at pure phenomena and to describe beings just as they were given independently of any presuppositions. For Heidegger, this attempt has, however, a serious drawback. Like the tradition of modern philosophy preceding him, Husserl stood at the ground of subjectivity. The transcendental subjectivity or consciousness was for him “the sole absolute being.” It was the presupposition that had not been accounted for in his program which aimed to be presuppositionless. Consequently, in Heidegger’s view, the Husserlian attempt to arrive at pure, unmediated phenomena fails. Husserl’s phenomenology departs from the original phenomenality of beings and represents them in terms of the thinking subject as their presupposed ground. By contrast, Heidegger argues, for the Presocratics, beings are grounded in being as presencing. Being, however, is not a ground. To the early Greeks, being, unlimited in its dis-closure, appears as an abyss, the source of thought and wonder. Being calls everything into question, casts the human being out of any habitual ground, and opens before him the mystery of existence.

The departure of western philosophical tradition from what is present in presencing results in metaphysics. Heidegger believes that today’s metaphysics, in the form of technology and the calculative thinking related to it, has become so pervasive that there is no realm of life that is not subject to its dominance. It imposes its technological-scientific-industrial character on human beings, making it the sole criterion of the human sojourn on earth. As it ultimately degenerates into ideologies and worldviews, metaphysics provides an answer to the question of the being of beings for contemporary men and women, but skillfully removes from their lives the problem of their own existence. Moreover, because its sway over contemporary human beings is so powerful, metaphysics cannot be simply cast aside or rejected. Any direct attempt to do so will only strengthen its hold. Metaphysics cannot be rejected, canceled or denied, but it can be overcome by demonstrating its nihilism. In Heidegger’s use of the term, “nihilism” has a very specific meaning. It refers to the forgetfulness of being. What remains unquestioned and forgotten in metaphysics is Being; hence, it is nihilistic.

According to Heidegger, Western humankind in all its relations with beings is sustained by metaphysics. Every age, every human epoch, no matter however different they may be—

Greece after the Presocratics, Rome, the Middle Ages, modernity—has asserted a metaphysics and, therefore, is placed in a specific relationship to what-is as a whole. Metaphysics inquires about the being of beings, but it reduces being to a being; it does not think of being as being. Insofar as being itself is obliterated in it, metaphysics is nihilism. The metaphysics of Plato is no less nihilistic than that of Nietzsche. Consequently, Heidegger tries to demonstrate the nihilism of metaphysics in his account of the history of being, which he considers as the history of being’s oblivion. His attempt to overcome metaphysics is not based on a common-sense positing of a different set of values or the setting out of an alternative worldview, but rather is related to his concept of history, the central theme of which is the repetition of the possibilities for existence. This repetition consists in thinking being back to the primordial beginning of the West—to the early Greek experience of being as presencing—and repeating this beginning, so that the Western world can begin anew.

6. From the First Beginning to the New Beginning

Many scholars perceive something unique in the Greek beginning of philosophy. It is commonly acknowledged that Thales and his successors asked generalized questions concerning what is as a whole, and proposed general, rational answers which were no longer based on a theological ground. However, Heidegger does not associate the unique beginning with the alleged discovery of rationality and science. In fact, he claims that both rationality and science are later developments, so that they cannot apply to Presocratic thought. In his view, the Presocratics ask: “What are beings as such as a whole?” and they answer: aletheia—unconcealment. They experience beings in their phenomenality: as what is present in presencing. But the later thought which begins with Plato and Aristotle is unable to keep up with the beginning. With Plato and Aristotle metaphysics begins and the history of being’s oblivion originates.

The aim which the later Heidegger sets before himself is precisely to return to the original experience of beings in being that stands at the beginning of Western thought. This unmediated experience of beings in their phenomenality can be variously described: what is present in presencing, the unconcealment of what is present, the original disclosure of beings. To repeat the primordial beginning more originally in its originality means to bring us back to the Presocratic experiences, to dis-close them, and to let them be as they originally are. But the repetition is not for the sake of the Presocratics themselves. Heidegger’s work is not a mere antiquarian, scholarly study of early Greek thinking, nor is it an affirmation of the long lost Greek way of life. It occurs within the perspective of nihilism and being’s forgetfulness, both unknown to the Greeks, and has as a goal the future possibilities for existence. It happens as the listening that opens itself out to the words of the Presocratics from our contemporary age, from the age of the world picture and representation, the world which is marked by the domination of technology and the oblivion of being. In the first beginning, the task of the Greeks was to ask the question “What are beings?,” and hence to bring beings as such as a whole to the first recognition and the most simple interpretation. In the end, the task is to make questionable what at the end of a long tradition of philosophy-metaphysics has been forgotten. The new beginning begins thus with the question of being.

From Being and Time (1927) where the question of the meaning of being is first developed, but still expressed in the language of metaphysics, to “Time and Being” (1962) where an attempt to think being without regard to metaphysics is made, Heidegger goes full circle. Heidegger begins by asking about the multiple meanings of being and ends up conceding its multiplicity and acknowledging that there are multiple determinations or meanings of being in which being discloses itself in history. Nevertheless, in neither of these meanings does being give itself fully. “As it discloses itself in beings, being withdraws.” There is an essential withdrawal of being. Therefore, the truth of being is none of its particular historical determinations—idea, substantia, actualitas, objectivity or the will to power. The truth of being can be defined as the openness, the free region which always out of sight provides the space of play for the different determinations of being and human epochs established in them. It is that which is before actual things and grants them a possibility of manifestation as what is present, ens creatum, and objects.

The truth of being, its openness, is for Heidegger not something which we can merely consider or think of. It is not our own production. It is where we always come to stand. We find ourselves thrown in a historically conditioned environment, in an epoch in which the decision concerning the prevailing interpretation of the being of being is already made for us. Yet, by asking the question of being, we can at least attempt to free ourselves from our historical conditioning. Heidegger’s program expressed in “The End of Philosophy and the Task of Thinking” (1964) consists solely in the character of thinking which does not attempt to dominate, but engages in disclosing and opening up what shows itself, emerges, and is manifest. When Heidegger urges us to stand in being, he does not merely ask us to acknowledge our own place in being’s history, but to be future-oriented and see the future in a unity with the past as having-been and the present. It means turning oneself into being in its disclosing withdrawal.

7. From Philosophy to Political Theory

Heidegger never claimed that his philosophy was concerned with politics. Nevertheless, there are certainly some political implications of his thought. He perceives the metaphysical culture of the West as a continuity. It begins with Plato and ends with modernity, and the dominance of science and technology. He thus implies in the post-modernist fashion that Nazism and the atom bomb, Auschwitz and Hiroshima, have been something like the “fulfillment” of the tradition of Western metaphysics and tries to distance himself from that tradition. He turns to the Presocratics in order to retrieve a pre-metaphysical mode of thought that would serve as a starting point for a new beginning. However, his grand vision of the essential history of the West and of western nihilism can be questioned. Modernity, whose development involves not only a technological but also a social revolution, which sets individuals loose from religious and ethnic communities, from parishes and family bonds, and which affirms materialistic values, can be regarded as a radical departure from earlier classical and Christian traditions. Contrary to Heidegger’s argument, rather than being a mere continuity, the “essential” history of the West can then be seen as a history of radical transformations. Christianity challenges the classical world, while assimilating some aspects of it, and is in turn challenged by modernity. Modernity overturns the ideas and values of the traditional (Christian and classical) culture of the West, and, once it becomes global, leads to the erosion of nonwestern traditional cultures.

Under the cover of immense speculative depth and rich ontological vocabulary full of intricate wordplay (both which make his writings extremely hard to follow) Heidegger expresses a simple political vision. He is a revolutionary thinker who denies the traditional philosophical division between theory and practice, and this is especially clear when he boldly declares in his Introduction to Metaphysics that “we have undertaken the great and lengthy task of demolishing a world that has grown old and of building it truly anew”. He wants to overturn the traditional culture of the West and build it anew on the basis of earlier traditions in the name of being. Like other thinkers of modernity, he adopts a Eurocentric perspective and sees the revival of German society as a condition for the revival of Europe (or the West), and that of Europe as a condition for the revival of for the whole world; like them, while rejecting God as an end, he attempts to set up fabricated ends for human beings. Ultimately, in the famous interview with Der Spiegel, he expresses his disillusionment with his project and says: “Philosophy will not be able to bring about a direct change of the present state of the world . . . The greatness of what is to be thought is too great.” Like being, which he describes as “disclosing self-concealing,” after making a disclosure he withdraws; after stirring up a revolution, he leaves all its problems to others. He says: “only a God can still save us,” but the God for whom, in the absence of philosophical thought, he now looks is clearly not that of the Christians or of any contemporary religion.

In the Spiegel interview Heidegger tells us that in order to begin anew, we need to go to the “age-old” (i.e., pre-classical and pre-metaphysical) traditions of thought. He invokes the concept of the ancient polis. Yet, since he does not want to concern himself with the question of ethics (beyond saying in the “Letter of Humanism” that the word “ethics appeared for the first time in the school of Plato” and thus implying that ethics does not think the truth of being and is nihilistic), he does not consider the fact that even in pre-Platonic and pre-Socratic times a Greek polis was an ethical community, in which moral questions were raised and discussed. The Iliad and Odyssey of Homer, the poems of Hesiod, and the tragedies of Sophocles, as well as the other ancient Greek texts, including the monumental political work of Thucydides, the History of the Peloponnesian War, express concerns with ethical behavior at both the individual and community levels. Furthermore, the strength of Western civilization, insofar as its roots can be traced to ancient Greece, is that from its beginning it was based on rationality, understood as free debate, and the affirmation of fundamental moral values. Whenever it turned to irrationality and moral relativism, as in Nazism and Communism, that civilization was in decline. Therefore, Heidegger is likely to be mistaken in his diagnosis of the ills of the contemporary society, and his solution to those ills seems to be wrong. Asking the question of being (and, drawing our attention to this question is certainly his significant contribution) is an important addition to, but never a replacement for asking moral questions in the spirit of rationality and freedom.

Heidegger claims that the human being as Da-sein can be understood as the “there” (Da) which being (Sein) requires in order to disclose itself. The human being is the unique being whose being has the character of openness toward Being. But men and women can also turn away from being, forget their true selves, and thus deprive themselves of their humanity. This is, in Heidegger’s view, the situation of contemporary humans, who have replaced authentic questioning concerning their existence with ready-made answers served up by ideologies, the mass media, and overwhelming technology. Consequently, Heidegger attempts to bring today’s men and women back to the question of being. At the beginning of the tradition of Western philosophy, the human being was defined as animal rationale, the animal endowed with reason. Since then, reason has become an absolute value which through education brings about a gradual transformation of all spheres of human life. It is not more reason in the modern sense of calculative thinking, Heidegger believes, that we need today, but more openness toward and more reflection on that which is nearest to us—being.

8. Heidegger’s Collected Works

Heidegger’s earlier publications and transcripts of his lectures are being brought out in Gesamtausgabe, the complete edition of his works. The Gesamtausgabe, which is not yet complete and projected to fill about one hundred volumes, is published by Vittorio Klostermann, Frankfurt am Main. The series consists of four divisions: (I) Published Writings 1910-1976; (II) Lectures from Marburg and Freiburg, 1919-1944; (III) Private Monographs and Lectures, 1919-1967; (IV) Notes and Fragments. Below there is a list of the collected works of Martin Heidegger. English translations and publishers are cited with each work translated into English.

a. Published Writings, 1910-1976

  • Frühe Schriften (1912-16).
  • Sein und Zeit (1927). Translated as Being and Time by John Macquarrie and Edward Robinson (Oxford: Basil Blackwell, 1978).
  • Kant und das Problem der Metaphysik (1929). Translated as Kant and the Problem of Metaphysics, by Richard Taft (Bloomington: Indiana University Press, 1997).
  • Erläuterungen zu Hölderlins Dichtung (1936-68). Translated as Elucidations of Hölderlin’s Poetry, by Keith Hoeller (Amherst, New York: Humanity Books, 2000).
  • Holzwege (1935-46).
    • Der Ursprung der Kunstwerkes.” Translated as “The Origin of the Work of Art,” by Albert Hofstadter, in Poetry, Language, Thought (New York: Harper & Row, 1971), and in Basic Writings (New York: Harper & Row, 1977, 1993).
    • Die Zeit des Weltbildes.” Translated as “The Age of the World Picture” by William Lovitt in The Question Concerning Technology and Other Essays (NewYork: Harper & Row, 1977).
    • Hegels Begriff der Erfahrung.”
    • Nietzsches Wort ‘Gott ist tot’.” Translated as “The Word of Nietzsche: ‘God Is Dead’” by William Lovitt in The Question Concerning Technology and Other Essays.
    • Wozu Dichter?.” Translated as “What Are Poets For?” by Albert Hofstadter, in Poetry, Language, Thought.
    • Der Spruch der Anaximander.” Translated as “The Anaximander Fragment” by David F. Krell and Frank A. Capuzzi in Early Greek Thinking (New York: Harper & Row, 1975).
  • Vol. I, Nietzsche I (1936-39). Translated as Nietzsche I: The Will to Power as Art by David F. Krell (New York: Harper & Row, 1979)
  • Vol. II, Nietzsche II (1939-46). Translated as “The Eternal Recurrence of the Same” by David F. Krell in Nietzsche II: The Eternal Recurrence of the Same (New York, Harper & Row, 1984).
  • Vorträge und Aufsätze (1936-53).
    • Die Frage nach der Technik.” Translated as “The Question Concerning Technology” by William Lovitt in The Question Concerning Technology and Other Essays.
    • Wissenschaft und Besinnung.” Translated as “Science and Reflection” by William Lovitt in The Question Concerning Technology and Other Essays.
    • Überwindung der Metaphysik.” Translated as “Overcoming Metaphysics” by Joan Stambaugh in The End of Philosophy (New York: Harper & Row, 1973).
    • Wer ist Nietzsches Zarathustra.” Translated as “Who is Nietzsche’s Zarathustra?” by David F. Krell in Nietzsche II: The Eternal Recurrence of the Same.
    • Bauen Wohnen Denken.” Translated as “Building Dwelling Thinking.”
    • Das Ding.” Translated as “The Thing” by Albert Hofstadter, in Poetry, Language, Thought.
    • …dichterisch wohnet der Mensch...” Translated as “…Poetically Man Dwells…” by Albert Hofstadter, in Poetry, Language, Thought.
    • Logos.” Translated as “Logos (Heraclitus, Fragment B 50)” by David F. Krell and Frank A. Capuzzi in Early Greek Thinking.
    • Moira.” Translated as “Moira (Parmenides VIII, 34-41)” by David F. Krell and Frank A. Capuzzi in Early Greek Thinking.
    • Aletheia.” Translated as “Aletheia (Heraclius, Fragment B 16)” by David F. Krell and Frank A. Capuzzi in Early Greek Thinking.
  • Was heisst Denken? (1951-52). Translated as What Is Called Thinking? by Fred D. Wieck and J. Glenn Gray (New York: Harper & Row, 1968).
  • Wegmarken (1919-58). Translated as Pathmarks. Edited by William McNeill (Cambridge: Cambridge University Press, 1998).
    • Contains: “Comments on Karl Jaspers’ Psychology of Worldviews” (1919/21), “Phenomenology and Theology” (1927), “From the Last Marburg Lecture Course” (1928), “What is Metaphysics?” (1929), “On the Essence of Ground” (1929), “On the Essence of Truth” (1930), “Plato’s Doctrine of Truth” (1931-1932, 1940), “On the Essence and Concept in Aristotle’s Physics B 1” (1939), “Postscript to ‘What is Metaphysics?’” (1943); “Letter on Humanism” (1946), “Introduction to ‘What is Metaphysics?’” (1949), “On the Question of Being” (1955), “Hegel and the Greeks” (1958), “Kant’s Thesis About Being” (1961).
  • Der Satz vom Grund (1955-56). Translated as The Principle of Reason by Reginald Lilly (Bloomington: Indiana University Press, 1991).
  • Identität und Differenz (1955-57). Translated as Identity and Difference by Joan Stambaugh (New York: Harper & Row, 1969).
  • Unterwegs zur Sprache (1950-59). Translated as On the Way to Language by Peter D. Hertz (New York: Harper & Row, 1971).
  • Aus der Erfahrung des Denkens (1910-76).
  • Zur Sache des Denkens (1962-64). Translated as On Time and Being by Joan Stambaugh (New York: Harper & Row, 1972). Contains: “Time and Being,” “The End of Philosophy and the Task of Thinking,” and “My Way to Phenomenology.”
  • Seminare (1951-73).
  • Reden und andere Zeugnisse eines Lebensweges (1910-1976).

b. Lectures from Marburg and Freiburg, 1919-1944

  • Der Beginn der neuzeitlichen Philosophie (winter semester, 1923-1924).
  • Aristoteles: Rhetorik (summer semester, 1924).
  • Platon: Sophistes (winter semester, 1924-1925). Translated as Plato’s Sophist by Richard Rojcewicz and Andre Schuwer (Bloomington, Indiana University Press, 1997).
  • Prolegomena zur Geschite des Zeitbegriffs (summer semester, 1925). Translated as History of the Concept of Time by Theodore Kisiel (Bloomington: Indiana University Press, 1985).
  • Logik: Die frage nach der Wahrheit (winter semester 1925-1926).
  • Grundbegriffe der antiken Philosophie (summer semester 1926).
  • Geschichte der Philosophie von Thomas v. Aquin bis Kant (winter semester 1926-1927).
  • Die Grundprobleme der Phänomenologie (summer semester 1927). Translated as The Basic Problems of Phenomonology by Albert Hofstadter (Bloomington: Indiana University Press, 1982).
  • Phänomenologie Interpretation von Kants Kritik der reinen Vernunft (winter semester 1927-1928). Translated as Phenomenological Interpretations of Kant’s Critique of Pure Reason by Parvis Emad and Kenneth Maly (Bloomington: Indiana University Press, 1997).
  • Metaphysische Anfangsgründe der Logik im Ausgang von Leibniz (summer semester, 1928). Translated as The Metaphysical Foundations of Logic by Michael Heim (Bloomington: Indiana University Press, 1984).
  • Einleitung in die Philosophie (winter semester 1928-1929).
  • Der Deutsche Idealismus (Fichte, Hegel, Schelling) und die philosophische Problemlage der Gegenwart (summer semester, 1929).
  • Die Grundbegriffe der Metaphysik: Welt-Endlichkeit-Einsamkeit (winter semester, 1929-1930). Translated as The Fundamental Concepts of Metaphysics by William McNeill and Nicholas Walker (Bloomington: Indiana University Press, 1995).
  • Vom Wesen der menschlichen Freiheit. Einleitung in die Philosophie (summer semester, 1930).
  • Hegels Phänomenologie des Geistes (winter semester, 1930-1931). Translated as Hegel’s Phenomenology of Spirit by Parvis Emad and Kenneth Maly (Bloomington: Indiana University Press, 1988).
  • Aristoteles: Metaphysik IX (summer semester, 1931). Translated as Aristotle’s Metaphysics Theta 1-3 On the Essence and Actuality of Force by Walter Brogan and Peter Warnek (Bloomington: Indiana University Press, 1995).
  • Vom Wesen der Wahrheit. Zu Platons Höhlengleichnis und Theätet (winter semester, 1931-1932).
  • Der Anfang der abendländischen Philosophie (Anaximander und Parmenides) (summer semester, 1932).
  • Sein und Wahrheit (winter semester, 1933-1934).
  • Logik als die Frage nach dem Wesen der Sprache (summer semester, 1934).
  • Hölderlins Hymnen “Germanien” und “Der Rhein” (winter semester, 1934-1935).
  • Einführung in die Metaphysik (summer semester, 1935). Translated as An Introduction to Metaphysics by Gregory Fried and Richard Polt (New Haven, Conn.: Yale University Press, 2000).
  • Die Frage nach dem Ding. Zu Kants Lehre von den transzendentalen Grundsätzen. (winter semester, 1935-1936). Translated as What Is a Thing by W. B. Barton, Jr. and Vera Deutsch, (Chicago: Henry Regnery Company, 1967).
  • Schelling: Vom Wesen der menschlichen Freiheit (1809) (summer semester, 1936). Translated as Schelling’s Treatise on the Essence of Human Freedom by Joan Stambaugh, (Athens: Ohio University Press, 1984).
  • Nietzsche: Der Wille zur Macht als Kunst (winter semester, 1936-1937). Translated as Nietzsche I: The Will to Power as Art by David F. Krell (New York, Harper & Row, 1979).
  • Nietzsches Metaphysische Grundstellung im abendländischen Denken: Die ewige Wiederkehr des Gleichen (summer semester, 1937). Translated as “The Eternal Recurrence of the Same” in Nietzsche II: The Eternal Recurrence of the Same by David F. Krell (New York: Harper & Row, 1984).
  • Grundfragen der Philosophie. Ausgewählte “Probleme” der “Logik” (winter semester, 1937-1938). Translated as Basic Questions of Philosophy by Albert Hofstadter (Bloomington: Indiana University Press, 1982).
  • Nietzsches II. Unzeitgemässe Betrachtung (winter semester, 1938-1939).
  • Nietzsches Lehre vom Willen zur Macht als Erkenntnis (summer semester, 1939). Translated as “The Will to Power as Knowledge” in Nietzsche III: The Will to Power as Knowledge and Metaphysics by Joan Stambaugh (New York, Harper & Row, 1987).
  • Nietzsche: Der europäische Nihilismus (second trimester, 1940).
  • Die Metaphysik des deutschen Idealismus. Zur erneuten auslegung von Schelling: Philosophische untersuchungen ueber das Wesen der menschlichen Freiheit und die damit zusammenhaengenden Gegenstaende (1809) (first trimester, 1941).
  • Nietzsches Metaphysik (1941-2). Einleitung in die Philosopie – Denken und Dichten (1944-5).
  • Grundbegriffe (summer semester, 1941). Translated as Basic Concepts by Gary Aylesworth (Bloomington: Indiana University Press, 1993).
  • Hölderlins Hymne “Andenken” (winter semester, 1941-1942).
  • Hölderlins Hymne “Der Ister” (summer semester, 1942). Translated as Hölderlin’s Hymn “The Ister” by William McNeill and Julia Davis (Bloomington: Indiana University Press, 1996).
  • Parmenides (winter semester, 1942-1943). Translated as Parmenides by Andre Schuwer and Richard Rojcewicz (Bloomington, Indiana University Press, 1992).
  • Heraklit. 1. Der Anfang des abendländischen Denkens (Heraklit). (summer semester, 1943); 2. Logik. Heraklits Lehre vom Logos (summer semester, 1944).
  • Zur Bestimmung der Philosophie (1919).
  • Grundprobleme der Phänomenologie (winter semester, 1919-1920).
  • Phaenomenologie der Anschauung und des Ausdrucks. Theorie der philosophischen Begriffsbildung (summer semester, 1920).
  • Phänomenologie des religiösen Lebens (summer semester, 1921).
  • Phänomenologische Interpretationen zu Aristoteles: Einführung in die phänomeno-logische Forschung (winter semester, 1921-1922).
  • Phänomenologische Interpretationen ausgewählter Abhandlungen des Aristoteles zur Ontologie und Logik. (summer semester, 1922).
  • Ontologie: Hermeneutik der Faktizität (summer semester, 1923). Translated as Ontology: The Hermeneutics of Facticity by John va Buren (Bloomington: Indiana University Press, 1999).

c. Private Monographs and Lectures, 1919-1967

  • Der Begriff der Zeit (1924). Translated as The Concept of Time by William McNeill, (Oxford: Blackwell, 1992).
  • Beiträge zur Philosophie (Vom Ereignis) (1936-1938). Translated as Contributions to Philosophy: (From Enowning) by Parvis Emad and Kenneth Maly (Bloomington: Indiana University Press, 1999).
  • Besinnung.
  • Metaphysik und Nihilismus. Die Überwindung derMetaphysik. Das Wesen des Nihilismus.
  • Hegel. Die Negativität. Eine Auseinandersetzung mit Hegel aus dem Ansatz in der Negativität (1938-1939, 1941). 2 Erläuterung der “Einleitung” zu Hegels “Phänomenologie des Geistes” (1942).
  • Die Geschichte des Seyns (1938-1940).
  • Das Ereignis (1941)
  • Wahrheitsfrage als Vorfrage. Die Aletheia: Die Erinnerung in den ersten Anfang; Entmachtung der Ousis (1937).
  • Zu Hölderlin – Griechenlandreisen.
  • Feldweg-Gespräche. (1944-1945)
  • Bremer und Freiburger Vortraege.
  • Vorträge Vom Wesen der Wahrheit Freiburg lecture (1930). Der Ursprung der Kunstwerkes (1935).
  • Gedachtes.
  • Anmerkungen zu “Vom Wesen des Grundes” (1936). Eine Auseinandersetzung mit “Sein und Zeit” (1936). Laufende Anmerkungen zu Sein und Zeit (1936).
  • Marburger Übungen. Auslegungen der Aristotelischen “physik”.
  • Leibniz-Übungen.

d. Notes and Fragments

  • Vom Wesen der Sprache
  • Übungen SS 1937. Neitzsches metaphysische Grundstellung. Sein und Schein (1937)
  • Einübung in das Denken. Die metaphysischen Grundstellungen des abendländischen Denkens. Die Bedrohung der Wissenschaft.
  • Überlegungen II-VI.
  • Überlegungen VII-XI.
  • Überlegungen XII-XV.

Author Information

W. J. Korab-Karpowicz
Email: Sopot_Plato@hotmail.com
Anglo-American University of Prague
Czech Republic

Xenophanes (c. 570—c. 478 B.C.E.)

xenophanesXenophanes of Colophon was a traveling poet and sage with philosophical leanings who lived in ancient Greece during the sixth and the beginning of the fifth centuries B.C.E. There are a significant number of surviving fragments for such an early figure, and the poetic verses available to us indicate a broad range of issues. These include comments on religion, knowledge, the natural world, the proper comportment at a banquet, as well as other social teachings and commentary.

Despite his varying interests, he is most commonly remembered for his critiques of popular religion, particularly false conceptions of the divine that are a byproduct of the human propensity to anthropomorphize deities. According to Xenophanes, humans have been severely mislead by this tendency, as well as the scriptures of the day, and he seemed intent on leading his audience toward a perspective on religion that is based more on rationality and less on traditionally held beliefs.  His theological contributions were not merely negative, however, for he also presented comments that support the notion of divine goodness, and many have speculated that he may have been the first monotheist, or even pantheist, in the Western intellectual tradition. The possibility that Xenophanes endorsed the perspective of divine unity led Plato and Aristotle to designate him as the founder of the Eleatic school of philosophy, and some have classified him (though probably erroneously) as having been Parmenides’ teacher.

Many of Xenophanes’ poetic lines are concerned with the physical world and the fragments show some very inventive attempts to demythologize various heavenly phenomena. An example of this is his claim that a rainbow is nothing but a cloud. He also postulated that earth and water are the fundamental “stuffs” of nature and, based in part on his observations of fossils, he held the view that our world has gone through alternating periods of extreme wetness and dryness.

Another area in which Xenophanes made some seminal comments is epistemology. In addition to endorsing a critical rationality toward religious claims, he encouraged a general humility and skepticism toward all knowledge claims and he attempted to discourage dogmatic arrogance.

Table of Contents

  1. Life, Works and Significance
  2. Social Commentary and Criticism
  3. Religious Views
    1. Critique of Greek Religion
    2. Divine Goodness
    3. The Nature of the Divine
      1. Was Xenophanes a Monotheist?
      2. Was Xenophanes an Immaterialist?
      3. Was Xenophanes a Pantheist?
  4. Natural and Scientific Views
    1. Earth and Water as Fundamental
    2. Demythologizing Heavenly Phenomena
  5. Critique of Knowledge
  6. References and Further Reading

1. Life, Works and Significance

Xenophanes was from a small town of Colophon in Ionia and most recent scholars place the date of his birth sometime around 570-560 B.C.E. He appeared to live into his nineties, thereby placing his death sometime after 478 B.C.E. This is indicated by the following lines from one of Xenophanes’ remaining fragments, which shows him to still be writing poetry at ninety-two years of age:

Already there are seven and sixty years
tossing about my counsel throughout the land of Greece,
and from my birth up till then there were twenty and five to add to these,
if I know how to speak truly concerning these things. (frag. 8)

He seems to have left his home at an early age and spent much of his life wandering around Greece, often reciting his poetry at the appropriate functions and gatherings.

There are 45 remaining fragments of Xenophanes’ poetry and testimonia about Xenophanes that have been collected from a wide range of sources. The fragments are in the form of poetic verse, primarily in hexameters and elegiac meter. A few ancient authors contend that Xenophanes also wrote a treatise entitled, “On Nature,” but such sources do not appear to be credible. Nonetheless, the existing fragments comprise a rather significant collection of work for an early Greek philosopher. In fact, Xenophanes is the first Pre-Socratic philosopher for whom we have a significant amount of preserved text. While this amount of material has been helpful in determining the various themes and concerns of Xenophanes, there are still wide ranging opinions on the fundamental tenets of his philosophy. “Perhaps the greatest impediment to a consistent understanding of Xenophanes’ philosophy,” states J.H. Lesher, “is the frequent disparity between the opinions he expressed in his poems and those attributed to him in the testimonia.” (7)

There is some debate as to whether Xenophanes ought to be included in the philosophical canon and it is the case that in some surveys of ancient Greek or Pre-Socratic philosophy, Xenophanes is left out altogether. Many scholars have classified him as basically a poet or a theologian, or even an irrational mystic. There are several issues working against Xenophanes in this regard. He apparently did not attract a large number of followers or disciples to his philosophy. He was not treated particularly favorably by Plato or Aristotle. Plus, given the poetical and polemical nature of the various fragments, it is also true that Xenophanes did not leave us with anything resembling a rational justification or argument for some of his claims, which is the sort of thing one would expect from a philosopher, no matter how early. Nonetheless, to disregard Xenophanes as a serious philosophical figure would be shortsighted. He did leave us with some rather seminal and interesting contributions to the history of thought. While it is true that Xenophanes may not fit into any precise mold or pattern of justification which would classify him as a philosopher of note, the man and his fragments are deserving of serious philosophical consideration.

2. Social Commentary and Criticism

Much like Socrates, the “gadfly of Athens,” whom he preceded by over one hundred years, one picture of Xenophanes that emerges in several of the fragments is that of social critic. Much of Xenophanes’ verse was likely intended for performance at social gatherings and functions as he “tossed about, bearing [him]self from city to city”  (frag 45). In fragment 1 we find a detailed account of a feast that ends with a call to proper behavior.

And having poured a libation and prayed to be able to do
what is right—for these are obvious—
it is not wrong to drink as much as allows any but an aged man
to reach his home without a servants aid.
Praise the man who when he has taken drink brings noble deeds to light,
As memory and a striving for virtue bring to him.

This suggests that while he was welcome among circles of people who had access to the finer things in life he also felt it his duty to encourage them to comport themselves with piety and moderation. Elsewhere, we find Xenophanes implying a connection between the downfall of his hometown with her citizen’s ostentatious displays of wealth (frag 3). In another of the lengthy surviving fragments, we find a critique of cultural priorities that like minds have echoed throughout history. Here Xenophanes bemoans the rewards and reverence afforded champion athletes while the expertise of the learned and the poets goes unheeded and unappreciated.

For our expertise is better than the strength of men and horses.
But this practice makes no sense nor is it right
to prefer strength to this good expertise.
For neither if there were a good boxer among the people
nor if there were a pentathlete or wrestler
nor again if there were someone swift afoot—
which is most honoured of all men’s deeds of strength—
would for this reason a city be better governed.
Small joy would a city have from this—
If someone were to be victorious in competing for a prize on Pisa’s banks—
For these do not enrich a city’s treasure room. (frag. 2)

3. Religious Views

a. Critique of Greek Religion

Xenophanes is the first Greek figure that we know of to provide a set of theological assertions and he is perhaps best remembered for his critique of Greek popular religion, specifically the tendency to anthropomorphize deities. In rather bold fashion, Xenophanes takes to task the scripture of his day for rendering the gods in such a negative and erroneous light.

Homer and Hesiod have attributed to the gods
all sorts of things which are matters of reproach and censure among men:
theft, adultery and mutual deceit. (frag. 11)

This line of criticism against the primary teachers of Greece clearly resonated with Socrates and Plato where Xenophanes’ influence can especially be seen in the Euthyphro and book two of the Republic. In another set of passages, which are probably the most commonly cited of Xenophanes’ fragments, we find a series of argumentatively styled passages against the human propensity to create gods in our own image:

But mortals suppose that gods are born,
wear their own clothes and have a voice and body. (frag. 14)
Ethiopians say that their gods are snub-nosed and black;
Thracians that theirs are blue-eyed and red-haired. (frag. 16)
But if horses or oxen or lions had hands
or could draw with their hands and accomplish such works as men,
horses would draw the figures of the gods as similar to horses, and the oxen as similar to oxen,
and they would make the bodies
of the sort which each of them had. (frag. 15)

While Xenophanes is obviously targeting our predisposition to anthropomorphize here, he is also being critical of the tendency of religiously-minded people to privilege their own belief systems over others for no sound reasons. This would have been particularly true of the Greeks of Xenophanes’ time who considered their religious views superior to those of barbarians. As Richard McKirihan notes, when held up to the critical light of reason, “Greek, ‘barbarian’, and hypothetical bovine views of the gods are put on an even footing and cancel each other out, leaving no grounds to prefer one over the others. This brings them all equally into question.” (74) This does not imply that Xenophanes considered all religious views to be equivalent, but rather it seems to indicate that he is concerned with leading his Greek audience toward a perspective on religion that is based more on rationality and less on traditionally held beliefs. So then, what would a more rational perspective on religion entail? Here Xenophanes offers up a number of theological insights, both negative and positive.

b. Divine Goodness

As we have seen in fragment 11, Xenophanes upheld the notion that immorality cannot be associated with a deity. But while Xenophanes is clearly against the portrayals of the Olympian gods performing illicit deeds, it is less clear as to why he would maintain such a thesis. There are two possible readings of this. One could first say that, given Xenophanes critique of anthropomorphizing that is discussed above, he believes that it would make no sense to ascribe to the gods any sort of human behaviors or characteristics, be they illicit or praiseworthy. On this reading, Xenophanes should be seen as a type of mystic. Another interpretation, which is more likely, is that Xenophanes upheld the notion of divine perfection and goodness. It is true that Xenophanes never explicitly states such a position.  However, as Lesher points out, such a thesis is attributed to him by Simplicius, and the belief in the inherent goodness of the gods or god was a widely shared conviction among many Greek philosophers. (84) Furthermore, such an interpretation would square with Xenophanes’ assertion that it is “good always to hold the gods in high regard.” (frag. 1)

c. The Nature of the Divine

While it seems clear that Xenophanes advocated the moral goodness of the divine, some of his other theological assertions are more difficult to discern. There have been a rather wide range of arguments by scholars that commit Xenophanes to any number of theological positions. Some scholars have maintained that he was the first Greek philosopher to advocate monotheism while others have argued that Xenophanes was clearly supporting Olympian polytheism. Some have attributed pantheism to Xenophanes while others have maintained that he is essentially an atheist or materialist. Given such a wide discrepancy, it will perhaps be helpful to first list the fundamental fragments and then move on to the possible specifics of Xenophanes’ theology.

One god is greatest among gods and men,
Not at all like mortals in body or in thought. (frag. 23)
…whole he sees, whole he thinks, and whole he hears. (frag. 24)
…but completely without toil he shakes all things by the thought of his mind. (frag. 25)
…always he abides in the same place, not moving at all,
nor is it seemly for him to travel to different places at different times. (frag. 26)

i. Was Xenophanes a Monotheist?

At first glance, the opening line of fragment 23 could be read as a pronouncement of monotheism and a rejection of Greek polytheism. If so, Xenophanes would have been the first Greek thinker to espouse such a revolutionary theological perspective. While the phrasing “one god greatest among gods” [emphasis mine] would seem to contradict monotheism on the face of it, scholars from both sides of the debate recognize that this is not an endorsement of polytheism by Xenophanes. Rather it should be seen as a “polar expression,” which is a poetic device used to emphasize a point and does not imply the existence of things at either pole. Nor should the fact that Xenophanes utilizes the term “gods” throughout the available fragments be seen as an endorsement of polytheism in and of itself. It is highly likely that Xenophanes is simply utilizing the common vernacular to speak of the divine. So the question remains, was Xenophanes a monotheist?

A great number of traditional and modern sources have attributed monotheism to Xenophanes and fragments 23-26 would seem to indicate the potential merit of such an assumption. Some have gone as far as to say that not only was he the first monotheist, but he was also the first to advocate a radical form of monotheism which insists that the one god is pure spirit and is completely distinct from the world. In recent years, the staunchest advocate of the monotheistic interpretation has been Jonathan Barnes who extends Xenophanes’ rationalistic critique of religion to its natural end: “Xenophanes, I conclude, was a monotheist, as the long tradition has it; and he was an a priori monotheist; like later Christian theologians, he argued on purely logical grounds that there could not be a plurality of gods.” (92) Given such an interpretation, Barnes maintains that the enigmatic opening line of fragment 23 should be paraphrased to read, “There is one god, since (by definition) a god is greater than anything else, whether god or man.” (92) Other scholars have ascribed a softer form of monotheism to Xenophanes, maintaining that while he does not seem to completely abandon polytheism explicitly, he does so implicitly.

While the designation of Xenophanes as a monotheist is warranted in many respects, such an interpretation ultimately presumes too much. Given the fact that monotheism would have been a radical departure from traditional Greek beliefs, we would assume that Xenophanes would have taken more pains to differentiate and clarify his viewpoint. For one thing, it is highly suspicious that, while he takes Homer and Hesiod to task for their portrayal of the nature of the gods, he never bothers to comment on the number of their gods. Furthermore, a true monotheist would not likely be so cavalier about his use of the plural ‘gods’ in a polythesitic society. It is likely that later commentators and scholars have been somewhat biased in their attempts to find in Xenophanes the early articulations of a now commonly held religious perspective. Guthrie puts the matter in perspective: “…it must be understood that the question of monotheism or polytheism, which is of vital religious importance to the Christian, Jew or Muslim, never had the same prominence in the Greek mind.” (375) As such, the best summary of the complexity of the monotheistic question is presented to us by Lesher: “The fragments warrant attributing to Xenophanes the novel idea of a single god of unusual power, consciousness, and cosmic influence, but not the stronger view that beyond this one god there could be nothing else worthy of the name.” (99)

ii. Was Xenophanes an Immaterialist?

In the second line of fragment 23, Xenophanes declares that god is unlike mortals “in body and thought.” Although some of the ancient testimonia have interpreted this to mean that god lacks a body, this should not be read as an attempt by Xenophanes to put forth the claim that the divine is incorporeal, for it would be some time before the concept of an existing thing that is completely immaterial would develop. As McKirahan, notes, “the fifth-century atomists were the first presocratics clearly to conceive of an immaterial, noncorporeal existing thing, and this idea came only with difficulty.” (63) Rather than reading these lines as an expression of the incorporeal nature of the divine, these passages should be interpreted as a continuation of Xenophanes’ efforts to correct the mistaken conceptions of divine nature that have been passed on from Homer and Hesiod. In fragment 25, for example, Xenophanes introduces a god who effortlessly, “shakes all things by the thought of his mind.” Readers or hearers of this passage would immediately recognize Xenophanes’ dramatic corollary to a famous portrayal of Zeus in the Illiad who simply shakes his head to display his will and power. By contrast, a truly supreme god exerts will and power without any toil whatsoever, according to Xenophanes.

iii. Was Xenophanes a Pantheist?

If Xenophanes cannot be read as an immaterialist then we may rightly question what sort of body “unlike mortals” can be attributed to the divine? Numerous writers, both ancient and modern, attribute to Xenophanes the viewpoint that god is spherical and identical with the universe. In Cicero’s Prior Academics, for example we find the following passage: “(Xenophanes said that) all things are one, that this is unchanging, and is god, that this never came into being and is eternal, and has a spherical shape.” (2.18) In another source, Theodoretus’ Treatment of Greek Afflictions, we find this statement: “Accordingly Xenophanes, the son of Orthomenes from Colophon, leader of the Eleatic School, said that the whole is one, spherical, and limited, not generated but eternally and totally motionless.” (4.5) More recently, Guthrie concludes after a careful analysis of recent texts that, “for Xenophanes the cosmos was a spherical body, living, conscious, and divine, the cause of its own internal movements and change. He was in the Ionian tradition.” (382)

One should not contradict such formidable scholarship lightly, but the fact of the matter is that there is no basis for the spherical/pantheistic interpretation in the fragments that are available to us. In fact, it is difficult to square the claims of pantheism with fragment 25, in which god “shakes all things by the thought of his mind;” it is perhaps even trickier to square the notion of a spherical god with another one of Xenophanes’ fragments in which he declares, “The upper limit of the earth is seen here at our feet, pushing up against the air, but that below goes on without limits” (frag. 28). Lesher, who has provided us with the most balanced and careful analysis of this question in recent years, makes a convincing case that the development of the spherical/pantheistic interpretation was “spawned in part by a confused assimilation of Xenophanes’ philosophy with that of Parmenides, misled by superficial similarities between Xenophanes’ god and Parmenides’ one ‘Being,’ and relying on an overly optimistic reading of some cryptic comments by Plato (Sophist 242c-d) and Aristotle (Metaphysics 986b10ff)” (100-101). In other words, the doxographical tradition seems to be guilty of viewing Xenophanes’ conception of the divine through a series of lenses that, when stacked upon each other, distort the original picture.

4. Natural and Scientific Views

The physical theories of Xenophanes have been ignored in much of the ancient literature, due in large part to the influence of Aristotle. According to The Philosopher, Xenophanes is to be classified as a theological theorist rather than a student of nature. As the fragments indicate, however, Xenophanes was indeed quite interested in theorizing about the natural world, and while his ideas are rather rudimentary by current standards, they do show a level of sophistication and coherence not always appreciated by his successors. As Lesher indicates: “We must then recognize the distinct possibility that Aristotle failed to mention Xenophanes’ physical views not because there were none to mention but because Aristotle regarded Xenophanes as insufficiently interested and engaged in physical theorizing to warrant discussion.” (127) Another reason for the disregard is that Xenophanes did not provide the kind of teleologically based insights into the natural phenomena that successors such as Plato and Aristotle would have desired. In any case, the physical theories of Xenophanes deserve more serious attention than they have been afforded historically.

a. Earth and Water as Fundamental

Xenophanes’ speculations on the physical world need to be understood within the context of his predecessors, the Milesian philosophers (Thales, Anaximenes, Anaximander). As the first metaphysicians, the Milesians attempted to determine the first principle or arche of reality. To briefly summarize for our purposes here, each of the Milesians postulated one primary principle (arche) as the source of everything else. For Thales, the arche was water. For Anaximenes, air was fundamental and all the other apparent “stuffs” of reality could be accounted for by a principle of condensation and rarefaction. For Anaximander, none of the traditional elements would suffice, and he identified the source of all things as a boundless or indefinite stuff termed apeiron.

Xenophanes sought to expand and improve upon the work of his predecessors, and instead of limiting his speculations to one stuff, or substance, his theory is based upon the interplay of two substances, earth and water. “All things that come into being and grow are earth and water.” (frag. 29) According to the historical sources, Xenophanes seems to have held that the opposition of wet and dry in the world is the preeminent explanatory basis for the phenomena of the natural world. In Hippolytus’ Refutation of All Heresies (1.14), for example, we are told that Xenophanes held that the history of the natural world has been a continually alternating process of extreme dryness and wetness. At the point of extreme wetness, the earth sinks completely into mud and all humans perish. Once the world begins to dry out there is a period of regeneration in which life on earth begins again. Xenophanes developed this theory based upon a wide variety of empirical evidence, particularly his examination of fossils. Again, a key source for this is Hippolytus, who discussed how Xenophanes gathered the proof for this thesis from the existence of various fossilized imprints of sea creatures as well as sea shells that are found far inland. It should be noted that what is significant about his viewpoint is not so much the conclusion at which he arrives, but rather the process he utilizes to support it. Prior thinkers had speculated on the possibility that the earth had been reduced to mud, but Xenophanes seems to have been the first to provide empirical evidence coupled with deduction to support and develop his theory. Thus, not only was Xenophanes probably “the first to draw attention to the real significance of fossils” (Kirk 177), we also find in him the beginnings of a scientific methodology.

b. Demythologizing Heavenly Phenomena

Although we do not have much by way of direct statements from Xenophanes, there is a good deal of ancient testimonia that references his astronomical and meteorological views, particularly his emphasis on the clouds and their explanatory role for various phenomena. According to a variety of sources, Xenophanes seems to have held the view that the sun comes into being—perhaps newly each day—either by a collection of ignited clouds (according to some) or by pieces of fiery earth. Students of early Greek philosophy will recognize the similarity to Heraclitus in this theory. It is commonly accepted that Xenophanes was an influential figure in the development of Heraclitus’ ideas. As such it is somewhat difficult to determine whether Xenophanes position here is authentic, or whether the ancient sources are reading Xenophanes through Heraclitus. Nevertheless, the historical speculation seems somewhat justified, particularly given the fact that Xenophanes proposed the view that the clouds were responsible for various heavenly phenomena. A key passage in this regard is fragment 32, where Xenophanes explains a rainbow: “And she whom they call Iris, this too is by nature a cloud, purple, red and greenish-yellow to behold.” Other instances where Xenophanes provides a natural explanation for what had been considered supernatural manifestations are in reference to stars as well as the phenomenon known as St. Elmo’s Fire (or Dioscuri) which is produced by glimmering clouds.

Further evidence of Xenophanes’ demythologizing tendencies occurs in the following passage:
The sea is the source of water and of wind,
for without the great sea there would be no wind
nor streams of rivers nor rainwater from on high;
but the great sea is the begetter of clouds, winds,
and rivers. (frag. 30)

It would have been natural for someone who had lived his life around bodies of water to make several observations about streams, winds and mists. What is lacking from Xenophanes and the traditional accounts is any clear explanation for why he held these beliefs. Why, for instance, did he think that the sea produced clouds and wind? Thus, as a purely scientific account, Xenophanes’ theory is lacking. Nevertheless, the true significance of this fragment becomes evident when it is read against the backdrop of Homeric poetry. As such, the true significance lies not in what the lines attempt to explain, but rather in what they attempt to explain away. “Without explicitly announcing their banishment,” As Lesher indicates, “Xenophanes has dispatched an array of traditional sea, river, cloud, wind, and rain deities (hence Zeus himself) to the explanatory sidelines.” (137) While Xenophanes is repeating ideas that had earlier been developed by Anaximander and Anaximenes, it is significant that he is carrying forward the criticism of traditional Homeric notions, particularly lines in the Iliad, “which characterize Oceanus as the source of all water—rivers, sea, springs and wells—and they declare that the sea is the source not only of rivers but also of rain wind and clouds.” (Guthrie  391). Ironically, Xenophanes’ value free speculations on the natural world, while a goal of scientific inquiry today, guaranteed that his physical theorizing would be disregarded by Plato and Aristotle.

5. Critique of Knowledge

According to many scholars, none of what Xenophanes has said up to this point would qualify him as a philosopher in the strict sense. It is Xenophanes’ contribution to epistemology, however, that ultimately seems to have earned him a place in the philosophical canon from a traditional standpoint. We have already seen how Xenophanes applies a critical rationality to the divine claims of his contemporaries, but he also advanced a skeptical outlook toward human knowledge in general.

…and of course the clear and certain truth no man has seen
nor will there be anyone who knows about the gods and what I say about all things.
For even if, in the best case, one happened to speak just of what has been brought to pass,
still he himself would not know. But opinion is allotted to all. (frag. 34)

If these statements are to be read—per many of the later skeptics—as a blanket claim that would render all positions meaningless, then it is difficult to see how anything Xenophanes has said up to this point should be taken with any seriousness or sincerity. How could Xenophanes put forth this kind of skepticism and be assured that the poets were wrong to portray the gods the way that they have, for instance? As such, a more charitable interpretation of these lines would seem to be in order.

A better reading of Xenophanes’ skeptical statements is to see them not as an attack on the possibility of knowledge per se, but rather as a charge against arrogance and dogmatism, particularly with regard to matters that we cannot directly experience. The human realm of knowledge is limited by what can be observed. “If,” for example, “god had not made yellow honey [we] would think that figs were much sweeter.” (frag. 38)  Therefore, broad based speculations on the workings of the divine and the cosmos are ultimately matters of opinion. Although some “opinions” would seem to square better with how things ought to be understood through rational thinking and our experiences of the world (keeping with Xenophanes’ earlier statements against the poets), any thoughts on such matters should be tempered by humility. Accordingly, F.R. Pickering notes, “Xenophanes is a natural epistemologist, who claims that statements concerning the non-evident realm of the divine as well as the far-reaching generalizations of natural sciences cannot be known with certainty but must remain the objects of opinion.” (233) Unfortunately, Xenophanes does not develop his critical empiricism, nor does he explain or examine how our various opinions might receive further justification. Still, just as the poet philosopher has provided us with some meaningful warnings toward our tendency to anthropomorphize our deities, the poet philosopher is also warning us against our natural human proclivity to confuse dogmatism with piety.

6. References and Further Reading

  • Barnes, Jonathan. The Presocratic Philosophers: Volume 1. London, Henley and Boston: Routledge & Kegan Paul, 1979.
  • Classen, C. Joachim. “Xenophanes and the Tradition of Epic Poetry.” Ionian Philosophy. Ed. K.J. Boudouris. Athens: International Association for Greek Philosophy: International Center for Greek Philosophy and Culture, 1989: 91-103.
  • Cleve, Felix M. The Giants of Pre-Sophistic Greek Philosophy. Vol 1. 2nd ed. The Hague: Martinus Nijhoff, 1969.
  • Fränkel, Hermann. “Xenophanes’ Empiricism and His Critique of Knowledge.” The Presocratics: A Collection of Critical Essays. Ed. Alexander P.D. Mourelatos. Garden City, N.Y.: Anchor Press Doubleday, 1974: 118-31.
  • Guthrie, W.K.C. A History of Greek Philosophy. Vol. 2. Cambridge: Cambridge University Press, 1965.
  • Kirk, G.S., J.E. Raven and M. Schofield. The Presocratic Philosophers. 2nd ed. New York: Cambridge University Press, 1983.
  • Lesher, J.H. Xeonphanes of Colophon: Fragments: A Text and Translation with Commentary. Toronto: University of Toronto Press, 1992.
    • Lesher provides an excellent translation, commentary and analysis of Xenophanes. This is most thorough and balanced treatment of Xenophanes available in English.
  • Lesher, J.H. “Xenophanes’ Skepticism.” Essays in Ancient Greek Philosophy. Vol. 2. Albany, N.Y.: SUNY Press, 1983: 20-40
  • McKirahan, Richard D. Philosophy before Socrates. Indianapolis, IN: Hackett Publishing Company, Inc., 1994.
  • Pickering, F.R. “Xenophanes.” The Classical Review. Vol. 43, No. 2. 1993: 232-233.
  • Stokes, Michael C. One and Many in Presocratic Philosophy. Cambridge, MA: Harvard University Press, 1971.
  • Vlastos, Gregory. “Theology and Philosophy in Early Greek Thought.” The Philosophical Quarterly. Vol. 2, No. 7. 1952: 97-123.

Author Information

Michael Patzia
michael.patzia@lmu.edu
Central College
U. S. A.

Collective Moral Responsibility

Focusing on groups through the lens of collective moral responsibility has broadened the scope of moral philosophy.  As a social practice, as well as an important theoretical issue, moral responsibility has most often been understood in the context of relationships among friends, neighbors, co-workers, and family members.  In this context, ascriptions of responsibility and judgments of blame are usually triggered by harm caused to one person by another.

Wars, gang violence, toxic waste spills, world hunger, overcrowding and brutality in U.S. prisons, corporate fraud, the manufacture of unsafe and defective products, failure of legislative bodies to respond to pressing public policy concerns, or financial waste by a governmental agency, are some examples of the serious and widespread harms associated with collective actions and a variety of groups.  They are matters of very real and growing concern to people living in every country on the planet.

Collective moral responsibility refers to arrangements appropriate for addressing widespread harm and wrongdoing associated with the actions of groups.  The key components of the basic notion of moral responsibility are deeply rooted in the fabric of every society and are constitutive of social life. Without some conception of moral responsibility no amount of imaginative insight will render a society recognizable as a human society.  While there is broad, often tacit, agreement regarding the basic model of moral responsibility as it applies to individuals; there is considerable debate about how this notion might be applied to groups and their members.

Collective moral responsibility raises disagreement between conceptions of collective responsibility which maintain that only individual human agents can be held morally responsible, and conceptions which maintain that groups, such as corporations, can be held morally responsible as groups, independently of their members.  These opposing positions rest on a deeper conflict between methodological individualists, for whom all social phenomena, such as group activities, can (at least in principle) be explained by reference only to facts about individual humans, and methodological holists who defend the ontological position that there are social groups capable of actions that cannot be reduced to the actions and interests of their individual members.

Meir Dan-Cohen (1986) explains that both of these philosophical preconceptions obscure our understanding of the moral, social, and legal distinctiveness of groups and promote simplistic and misleading pictures of complex organizations in particular.  He argues for a normative conception which adequately represents organizations and which may help us understand how to best address the practical problems faced by societies increasingly dominated by large and powerful organizations that often cause widespread harm.

Table of Contents

  1. Feinberg’s Taxonomy of Collective Moral Responsibility Arrangements
    1. Group Liability Without Fault
    2. Group Liability with Contributory and Noncontributory Fault
    3. Group Liability with the Contributory Fault of Every Member
    4. Group Liability with Collective, Nondistributive Fault
  2. Moral Responsibility of Formal Organizations
  3. Conclusion
  4. References and Further Reading

 

1. Feinberg’s Taxonomy of Collective Responsibility Arrangements

Joel Feinberg’s (1970) taxonomy of collective responsibility arrangements is a valuable contribution to the exploration of issues regarding the culpability of groups and their members.  In his essay, “Collective Responsibility.” he presents four logically distinct responsibility arrangements as follows: (a) “Whole groups can be held liable even though not all of their members are at fault…” (b) “A group can be held collectively responsible through the fault, contributory or noncontributory, of each member” (c) “Group liability” through the contributory faults of each and every member” and (d) “Through the collective but nondistributive fault of the group itself” it bears liability independently of its members” (p. 233).  This last of Feinberg’s responsibility arrangements presents a version of responsibility which has generated substantially greater debate than the other three.

a. Group Liability without Fault

In this first arrangement, a whole group is liable (held morally responsible) for the morally faulty actions of one or several members of the group.  This type of responsibility, Feinberg notes, typically involves groups possessing a significant degree of solidarity, and it normally reinforces that solidarity.   Such arrangements run counter to Western liberal ideals of individual responsibility and autonomy.  But, punishment of all for the wrongdoing of a few is no less defensible on moral or logical grounds than alternative interpretations and applications of moral responsibility.  Feinberg notes that the voluntary acceptance of collective liability is grounded in a group’s “large community of interest”.  The well-being of all is seen as necessary for the well-being of each.  In addition, bonds of reciprocal sentiment foster a community in which both goods and harms are collective and must necessarily be shared.  These features help preserve solidarity and promote a mutual sense of collective destiny.  For some tribes in parts of sub-Saharan Africa and for clans in central Asia, including Afghanistan and Pakistan, where conditions are frequently so harsh and barren that life depends on groups sticking together, it is accepted practice for a family, a clan, or a tribe to be held liable and to be punished for the wrongdoing of one of its members.

Feinberg explains that arrangements in which the whole group is punished for the faults or wrongdoing of a few are examples of vicarious liability, and a person punished on account of another’s wrongdoing is said to have been punished vicariously.  Outside of those human communities in which group liability is instrumental in maintaining authentic solidarity, vicarious liability conflicts with Western and other ideals of individual moral responsibility.  These individualistic conceptions ascribe liability to each individual who is personally responsible for his or her voluntary actions that are morally at fault.  Moral agency, act and causation, and moral fault are reconnected.  There are some examples of vicarious liability in Anglo-American law, such as parents being held liable for the actions of their minor children.

Group liability is currently used in the U.S. military, particularly in the Navy.  It is not uncommon for all enlisted sailors on a ship in port to be denied shore leave or to be given an early curfew as a result of the wrongdoing of several of their shipmates.  Not surprisingly, the effect on morale is negative, and such vicarious punishment is most often ineffective in achieving its goals.  An even more troubling proposal for the use of vicarious punishment is D.J. Levinson’s (2003) argument for sanctioning all members of a group as a means “to motivate them to identify the guilty individuals in their midst”.  The practice by Israel of destroying the homes of the families of Palestinian suicide bombers is a tactic of war, not vicarious punishment, but is based on the same principle.

After examining Feinberg’s first collective responsibility arrangement, it is clear that group liability is an arrangement that is unsuitable for most human communities.  It is not compatible with the lack of social cohesion which is characteristic of developed industrial societies or the ideology of individual moral responsibility.  It is important to note that our support for individual liability over group liability is a matter of preference, not a matter of moral superiority.  It is worth considering that Christian teaching interprets Jesus’ crucifixion as his vicarious punishment for the sins of all humankind.  Clearly there is something inspiring about this instance of vicarious punishment to Christians and others when they reflect upon Jesus’ death.

b. Group Liability with Contributory and Noncontributory Fault

Feinberg’s second collective responsibility arrangement uses a category rather than an actual or hypothetical social group to examine the moral implications of luck for a group of individuals sharing a common moral fault.  It is stipulated that all members of a group drink alcohol to impairment and afterwards, drive their vehicles anyway.  Some will be lucky and reach home without an accident, and some will be unlucky and cause harm to others.  Feinberg asserts:

Most of us are ‘guilty’ of this practice, although only the motorist actually involved in the accident is guilty of the resultant injury.  He is guilty of or for more than we are, and more harm is his fault, but it does not necessarily follow that he is more guilty or more at fault than the rest of us (Feinberg 1970, p. 242).

He explains how causing harm is associated with character flaws that are often widely shared.  In fact, he finds some flaws to be so prevalent and capable of leading to harmful actions, under circumstances impossible for many to anticipate, that everyone should be aware of the serious and dangerous character flaws found “in the least suspected places”.

Only that person who caused harm is morally responsible and blameworthy.  It is a mistake to conflate the judgment of an act and a judgment that is agent-based.  The ascription of moral responsibility requires that an act causing harm occurred.  As Judith Jarvis Thompson (1996) claims, one only has control of their intentions, not how the world operates.  The morally responsible driver’s reckless disregard for the safety of others created circumstances which made it unjustifiably probable that harm would result.  Bad luck didn’t reach out and bring about the accident for which the driver now bears responsibility.  Others may be equally or even more blameworthy if they were more impaired or drove with less care, but only one person is morally responsible for the accident.  Judgments of blame, according to Elizabeth Beardsley (1979), are primarily agent evaluational, but reaching such judgments does not mean, she cautions, that the blamee’s worth as a person or his character as a whole is on the line.

Aristotle believed one was responsible for one’s actions as well as for the content of their character.  Greek society and political institutions supported the development of character containing the proper virtues.  Politics and ethics were mutually supportive, and unlike contemporary American society, which many parents consider a negative influence in their efforts to raise healthy and morally good children, ancient Athens’ harmony and cultural solidarity stands in sharp contrast.  Aristotle also understood that in pursuing the good life, aspects of achieving happiness would remain subject to some degree of luck.  A happy, morally virtuous life can end with a death that is drawn-out and painful.  Such end of life bad luck will to some degree diminish the happiness of that person’s life taken as a whole.

Feinberg presents a view of our characters which is more than a bit pessimistic and in which some of our most serious flaws are suggested to be beyond our understanding or our ability to control.  He suggests that there is a point, in what he admits is an exaggerated conception of fault and responsibility, in ascribing a “common fault” to everyone.  Feinberg holds that doing so may serve to underscore how common grave and potentially harmful character flaws are.  His gloomy egalitarian view of our blighted moral prospects is the flip side of Rawls’ (1971) egalitarian claim that our characters, capacities, and talents are social assets, because they are largely the result of an arbitrary outcome of the genetic lottery.  Both views on character, particularly Feinberg’s, may well discourage a robust sense of individual moral responsibility.

David Lewis (1989), in “The Punishment that Leaves Something to Chance.” would add luck into the criminal law with a proposal for a penal lottery.  It is designed to address the substantial disparity between the lenient sentences given to people for serious, wholehearted murder attempts that fail and the sentence one receives for a successful murder.  Morally, Lewis considers agents in both cases to be equally culpable and claims the attempter may well be more dangerous to society because he will be released fairly soon.  His penal lottery has several variations, but all provide for a person guilty of attempted murder to pull straws that will either sentence him to death, a short incarceration, or he will receive no punishment at all.  Lewis thinks his proposal would have defensive, expressive, and deterrent values.  Pure luck rendered a serious murder attempt unsuccessful.  Perhaps having the perpetrator test his luck at sentencing strikes him as “balancing the scales.” but he needs to provide an argument for the justness of his penal lottery.  As he admits, such an argument is not part of his current proposal.

What each of us may consider lucky or unlucky depends on what goals we are pursuing,   the vagaries of the world, our interactions with others, and many other factors.  That which one considers unlucky today may strike her as lucky weeks later.  Fortunate and unfortunate occurrences unfold, but to a large degree luck is a concept embraced by those who often see the way their lives unfold in superstitious terms. Bernard Williams (1982) argues that luck does matter in the moral assessment of people’s actions and characters.  He takes the position that our moral assessment of a person will be affected by good consequences which could not have been foreseen.

c. Group Liability with the Contributory Fault of Every Member

This is an especially rich category of groups, including mobs and other loosely organized groups as well as ad hoc collectives, clubs, teams, and orchestras.  With the exception of formal organizations, such as business corporations or nation-states and public bureaucracies, a tremendous variety of groups fall under this heading.

Peter French’s (1984) distinction between aggregate collectivities and conglomerates is useful in understanding some important differences between groups.  An aggregate collective is a loose collection of people.  Members come and go.  Mobs or a crowd which happens to form at an automobile accident are examples of the least structured aggregates and are sometimes also referred to as random collectives.  Some aggregates meet at a particular place at about the same time with some regularity, but form no strong bonds of solidarity.  A second sort of aggregate is defined by a characteristic common to each member, such as being Korean War vets.  If moral responsibility were ascribed to either kind of aggregate for some alleged harm or wrongdoing, it would be ascribed to group members and shared among them as individuals.

A conglomerate is often referred to as an organization.  Conglomerates have internal structures, such as procedures for making decisions and for accepting new members.  French notes that this level of organization has a degree of solidarity that makes it possible for group identity to be more than simply the sum of its members at any particular time.  Organizational structure makes it possible to preserve group identity as membership changes.  Conglomerates have what Meir Dan-Cohen refers to as “temporal independence” (1986, p.32) and can operate in a time span which extends into both past and future beyond the spans of individual members.  Conglomerate collectives include large complex formal organizations, such as giant corporations, universities, and governmental bureaucracies, as well as smaller local organizations of various sorts.  Morally, the actions of conglomerates and ascriptions of moral responsibility are not reducible or distributed to individual members.  They are borne by the group as a whole.  Larry May (1992) has identified what he calls a “putative group”.  It falls between aggregates and conglomerates, because a putative group is an aggregate which possesses the potential leadership and solidarity necessary to set up the kind of structure and decision procedures that would qualify it as a conglomerate.

 

Virginia Held (1970) has examined the circumstances under which a random collective can be morally responsible for failing to act.  In one of her examples three pedestrians come upon a man who has been injured and is trapped in a collapsed building.  His most pressing problem is a bleeding leg injury.  Held identifies the trapped man’s most immediate need to be a leg tourniquet.  She suggests that if an organized group, a conglomerate, had come along, they would have been prepared as a group to do what was required to help the injured man.  The random collective, on the other hand, fails to decide what action to take first or even how to organize their efforts to be in a position as a group to plan appropriate action.  As a result no action is taken.  Held concludes that the random collective is morally responsible for failing to organize themselves to develop a method for deciding to act.  This is a puzzling judgment.  First, because this is an aggregate, moral responsibility will be distributed, without remainder, to the three people individually.  Why blame the group?  Second, what was called for here was action and leadership not deliberation.  What was needed was at least one person with good sense who was willing to initiate action.  Often, as Andreou and Thalos (2007) recognize, morality calls for good impulses to assess the situation and take the appropriate actions immediately.  As a member of any sort of group, one is obliged to resist any influences detrimental to his individual moral duties and his practical wisdom.  Held’s example raises questions of individual moral responsibility only.  Working well with strangers may be a social skill, but it is not a moral trait.  The disposition to take charge and help in an emergency is a moral virtue.

In what manner should moral responsibility be ascribed when an aggregate or a small, very simply organized group causes harm?  Most philosophers would probably support the distribution of moral responsibility on the basis of the degree of contribution each member made to the untoward outcome.  The instigators and leaders of a looting mob would bear greater responsibility than reluctant participants who spent most of the riot outside the scope of the action.  Feinberg supports this approach where responsibility is collective and distributive, but acknowledges the frequent difficulty in making degree ascriptions of responsibility with precision.  Degree judgments of blame present even greater challenges because they are based on each member’s intentions and state of mind.  May also supports proportional ascription of responsibility and also recognizes how profoundly a person’s attitudes and behavior can be influenced in a group setting.  This factor must always be included in moral responsibility judgments and may mitigate or aggregate an agent’s responsibility and blameworthiness.  Examples of mitigation could arise in cases in which younger or emotionally unstable individuals are manipulated by older members or group leaders to participate in wrongdoing.  There is never a finite amount of responsibility to be distributed, so the size of the group is relevant only if it happens to affect the degree of an individual’s contribution to the harm.

Michael Zimmerman (1985) also believes there is no finite amount of responsibility in cases of group wrongdoing, but disagrees that moral responsibility should be ascribed on the basis of a member’s contribution to the harm or injury caused.  He uses examples of acts by aggregates, but defends ascriptions of full moral responsibility for all participants in group wrongdoing, except in cases, such as a teenager or an adult of diminished mental capacity coerced to take part.  His approach would hold even more validity if every participant were equally blameworthy, but that would be unlikely and attempting to determine comparative blameworthiness would be more difficult than unraveling the causal chain of events, which his approach avoids, by ascribing full responsibility to every participant.  There is a normative advantage to Zimmerman’s full responsibility approach.  In some conceptions, a larger group will affect the degree of the contribution to harm of each member.   In one of Zimmerman’s examples, a number of people push a boulder off a cliff onto a vehicle below.  According a conception in which group size is morally relevant, if a greater number take part, the causal contribution of each participant will be decreased, and this will result in the reduction of the degree of individual moral responsibility for the untoward outcome.  Zimmerman’s full responsibility approach avoids this counter-intuitive conclusion that adding additional members to a group can diminish the moral responsibility of each.

Harm or wrongdoing by conglomerates must be analyzed differently, because these groups are organizational entities that possess decision procedures and leadership features.  Where to draw the line between conglomerates, which French and others believe can be held morally responsible, independently of individual member responsibility, and those which are more like aggregates will depend on the factors of size, the degree of organizational complexity, and the level of the members’ joint commitment to shared goals and values.  Some conglomerates, such as clubs, teams, and local charities and service groups possess intentions which are expressions of aggregated individual goals and values.  For Margaret Gilbert (2000), a group intention is present when members “are jointly committed to intending as a body to do A. In the case of borderline conglomerates, a group’s structure will play a significant role in shaping its actions, and this is an important factor in making judgments concerning degrees of individual responsibility and blameworthiness for harm caused by the group.  Leaders in the group should normally bear more responsibility than followers.

May’s notion of “shared responsibility” is drawn from his interpretation of the social existentialism of Heidegger, Jaspers, and the later Sartre.  He asserts that both the conscious and pre-reflective attitudes of individuals are profoundly affected by their membership in groups and communities.  According to May:

…[w]e need an expanded notion of responsibility which includes responsibility for some harms our communities have committed, with or without our participation.  I develop the notion of shared agency to capture the idea that people are empowered by, and also aid in the empowerment of their fellow community members.  In this sense, all of the members share in what each member does, and each member of a community shares in what each member does, and each member should feel responsible for what the other members do (May 1992, pp. 10-11).

Shared responsibility is a form of individual responsibility, but is grounded in an expanded conception of both individual agency and the scope of moral culpability for both the harm caused by collective inaction, as well as by attitudes fostered in groups.  May uses an example to show how a person whose attitudes are part of perpetuating a climate of racism bears a significant degree of moral responsibility for any overt harm, such as racist violence, even if he or she is not involved in the wrongdoing itself.  Since putative groups possess leadership, solidarity, and intersubjective communication, their members share responsibility if they fail to organize to prevent harm.  Ultimately, our moral sensitivities can be developed, and we can become more self-aware of the influence such sensitivities have on our thoughts and actions.  This heightened sensitivity will greatly help people view themselves as members of the most inclusive of communities, humankind.  This was Jaspers’ vision, and if achieved, the enhanced recognition of interconnectedness would be a necessary component in responding to global social problems, such as war, hunger, or political repression.

d. Group Liability with Collective, Nondistributive Fault

This final arrangement subsumes various conceptions of collective responsibility that defend the form of collective moral responsibility which is independent of any or all a group’s membership.  Feinberg uses the example of a philosophy department that fails to honor its commitment to supervise a student’s dissertation after two faculty members who agreed to do so are no longer part of the department.  The department reneged on its commitment, because no remaining members were willing to read the student’s thesis.  This is a case where the department as a department is morally responsible for the failure to keep its promise to a student, and its structure is faulty for having no mechanism in place to deal with situations such as this.  As a conglomerate, the department’s identity should be capable of surviving changes in its membership and if its decision making procedure is intact, it should also be capable of making arrangements to keep its commitments to the student regardless of departmental membership changes.

Questions involving the moral responsibility of groups qua groups have focused on large public bureaucracies, but business corporations have received most of the attention.  The complex organizational nature of the nation-state and the circumstances under which one or more of its bureaucratic components can be held morally responsible are issues that have begun to receive greater attention as the field of political ethics matures.  No other kinds of formal organization come close to having the power corporations and states can exercise.  They are distinctively different from each other, and there is great diversity among these two kinds of organization, but they all share the potential to influence the lives of tremendous numbers of people in profound and far-reaching ways.

 

2. Moral Responsibility of Formal Organizations

Although the pictures of organizations as either persons or as aggregations of people are based on competing philosophical assumptions, organizations “share the normative status of persons.” and this supports the conclusion that they “should be treated likewise” (Dan-Cohen 1986, p.15).  The implications of both the personification and aggregation views are unsuitable as a basis for a new normative conception of organizations in morality and in the law.  Both pictures also reflect an unhelpful belief that some sort of cognitive conception of organizations is required before normative issues can be examined.

The work of William Connolly (1974) and Steven Lukes (1974, 2005) in the field of political theory has made some influential contributions to understanding organizations from a moral perspective.  Without being at all preoccupied with the metaphysical disputes dominant in philosophy, they have investigated the relationship between power and responsibility.  Lukes claims that the identification of an exercise of power by either an individual or an organization is at the same time an ascription of responsibility.  For Lukes:

The point, in other words, of locating power is to fix responsibility for consequences held to flow from the action, or inaction, of certain specifiable agents. …C Wright Mills perceived the relations I have argued for between these concepts in his distinction between fate and power (Lukes 1974, p. 56).

William Connolly (1974) explains that conceptual disputes over notions, such as political power, are in part disputes over what is worth trying to control in society.  Engaging in disagreements of this sort is to engage in politics itself.  He adds:

Moreover, since our ideas about power and responsibility are so intimately related, disagreements about the appropriate criteria for holding collectives responsible for consequences will be reflected in disputes about the meaning of ‘power’ (Connolly 1974, p.128).

Increasingly, people express reactive attitudes toward both corporations and the state and its agencies.  By expressing these attitudes, organizations fall under the same expectations as individual agents for being capable of acting responsibly and for being subject to ascriptions of moral responsibility if their actions fall below accepted norms and moral standards.  David Cooper (1968) concludes that these reactive attitudes directed at collectives cannot be analyzed in terms of individual blame, and that this use of language supports the morally responsible status of collectives.

Organizations must satisfy three criteria in order to be morally responsible agents: (1) They must be intentional agents able to act. (2) They must be able to conform to rules and appreciate the effects of their actions on other individuals and groups, and (3) They must be capable of responding to moral censure with corrective measures.  Opponents of collective moral responsibility have argued that organizations cannot meet some or all of these criteria.

John Searle refers to organizations and other “social objects” as “ontologically subjective” and advises:

In the case of social objects, however, the grammar of the noun phrases conceals from us the fact that, in such cases, process is prior to product. Social objects are always…constituted by social acts; and, in a sense, the object is just the continuous possibility of the activity (Searle 1995, p. 36).

But, for most philosophers actively engaged with the issues surrounding collective moral responsibility, the debate over the status of formal organizations and specifically corporations, has remained at center stage, and the question of whether some organizations can be morally responsible is seen to hinge on questions of the metaphysical identity of organizations.

The majority of positions on these issues are grounded in some version of methodological or normative individualism, and most of these present some version of a contractualist analysis of the aggregationist conception of groups.

Ross Grantham’s (1998) claim that a corporation is little more than “a collective noun for the web of contracts that link the various participants” is an example of this sort of analysis.  Manuel Velasquez (1983) takes the position that in spite of its organizational complexity, a corporation is ultimately a group of humans who are engaged among themselves in a variety of specific occupational and professional relationships which each believes to be in his or her self-interest.  Corporate actions are the result of procedures and policies intentionally designed by members of the corporation to achieve specific goals.  If harm is caused or wrongdoing occurs, moral responsibility is borne by individuals to the extent that each one participated in policy formulation, implementation, or oversight.  Velasquez does support the vicarious liability of the corporation itself in cases where there is an absence of punishable individual members or to compensate victims of corporate harm.

Another version of the individualistic conception of corporate identity is Michael Keeley’s (1981) agency theory which has its roots in classical Lockean liberalism and F.A. Hayek’s economic theories.  For Keeley, a corporation is a contractual nexus representing mutually self-interested human contractors.  A central aspect of this nexus is the hiring of managers and directors to maximize their financial investments.  These ‘agents’ hired by the shareholders are also motivated by financial gain themselves.  For Keeley, the only intentions are individual human ones.  The goals that guide corporate actions and give direction to the activities of its members are an inseparable admixture of overlapping individual goals.

Wittgenstein offers a very useful observation in Remarks on Colour that is an analogy for the shortcomings of methodological individualism:

53. Description of a jig-saw puzzle by means of the description of its pieces.  I assume that these pieces never exhibit a three-dimensional form, but always appear as small flat bits, single- or many-coloured.  Only when they are put together does something become a ‘shadow’, a ‘high-light’, a concave or convex monochromatic surface’, etc. (edited by G. E. M. Anscombe 1977, p. 23e).

Methodological individualists may claim that corporate actions can be reduced to a set of facts about individuals which can then be arranged to provide an adequate description, at least in theory, of corporate activity, but problems are evident which have a striking family resemblance to the problems in giving a description of Wittgenstein’s puzzle through a description of its pieces.

The main appeal of methodological individualism is ideological.  Paul Thompson (in Curtler 1986, pp. 127-128) identifies methodological individualism as an ideological position which supports a view of society determined by individual choice and implying that attempts to interfere with the actions of individuals in the marketplace are a corruption of the natural order of the economy.

Many individualist critics of collective moral responsibility attempt to show that only individuals can act and groups cannot make choices or possess desires and beliefs which it is claimed make group intentionality impossible.  For example, Edmund Wall’s statement about corporate organizations is representative of this position:

Even if corporations and social groups are actual entities in the world (which has not been established), a corporation lacks cognitive ability to follow reasons.  It cannot act, let alone be considered an agent whose actions can elicit praise or blame.  In the absence of beliefs and desires, reasons and actions cannot be attributed to an entity (Wall 2000,  p.189).

Wall assumes that arguments that organizations can act must contain the metaphysical claim that actual group entities, separate from their members, exist.  Further, organizations, such as corporations, are decision making, goal-pursuing structures that act for reasons which are not reducible to individual intentions.  The activities of group members in their roles in the internal decision structure make collective cognitive abilities possible.  Finally, the planning/reasons in pursuit-of-goals account of intentionality, now held by French and others, makes it unnecessary to attribute beliefs and desires to a corporation or other formal organization.

Larry May (1983, 1986, 1987, 1992) believes that corporate actions are best conceived of on the model of vicarious agency.  He holds that the corporation is a place-holder for the actions of many individuals.  The members of a corporation “stand in various relationships to each other and act through or for the corporation” (May in Curtler 1986, p.141).  May identifies two types of relationship within a corporation: (1) high ranking managers work together in the corporation’s existing decision making procedures to reach joint decisions and (2) employees and supervisors act in the name of the corporation to carry out the joint decisions of the managers.  For May, corporate actions are complex arrangements or manifestations of the joint and vicarious actions of individuals.  He holds that the relationships and networks in a corporation, both formal and informal in nature, are best understood as the activities of the firm’s members engaged in a manner which cannot be explained in terms of the activities of individuals outside of these relationships and networks.  It is these complex human interactions that ground collective intentions and collective responsibility.  May compares corporate action to the vicarious actions of a representative on behalf of his or her constituency’s interests which are themselves the outcome of complex interactions and various relationships among the constituency’s members.

John Ladd (1970, 1984, 1991) holds strong objections to Peter French’s earlier “moral person” position regarding corporations and argued it greatly reduced the moral status of human persons while at the same time “thinning” the concept of the moral community.  He also implies that the theory of corporate moral agency is associated with a number of constitutional rights, such as the 14th Amendment in 1886 and more recently, aspects of the 1st Amendment being extended to corporations.  Both of these legal developments took place during periods in which the individualistic contract model of corporations was dominant.

Ladd’s position on corporations and formal organizations generally, is based in the philosophy of language, which French employs to build a competing position supporting corporate moral responsibility.  In Ladd’s analysis, moral language can be incorporated into a group’s operating procedures.  Ladd does believe that bureaucracies, i.e. formal organizations, are capable of using the language of goals and strategies.  In his view, corporations are able to rationally calculate to achieve a repertoire of specifically defined goals and therefore, can employ language to guide action in a somewhat limited sense.  Organizations can even incorporate moral considerations, which serve as limitations on collective actions.  For Ladd, this is not the authentic use of moral language, but rather only the reflection of conventional norms of behavior.  For Ladd, to be fully moral involves constructing one’s own values and goals as a part of developing one’s sense of self and one’s personal identity.  Ladd uses the analogies of a computer or a complex machine to help clarify his position on organizations and morality.

The actions of organizations are less rule-governed than Ladd seems to recognize.  He has in mind a Weberian ideal type which will operate much like a language game.  Actual organizations are far more diverse than Weber’s formalistic, hierarchical model would imply.  The well springs of organizational action are far more complex and involve informal factors that are beyond the scope of Weber’s model.  Dan-Cohen notes that the focus of attention has shifted “when thinking of a membership organization, from the group of individual members to the permanent self-perpetuating bureaucratic apparatus that constitutes the organization” (1986, p22).  Organizations cannot operate at the highest level of moral development, but many individual humans will not or cannot operate at that level either.  Being able to obey conventional norms and being capable of understanding the effects of one’s actions on others, capacities Ladd does attribute to organizations, are sufficient to qualify an agent to be morally responsible, even if such capacities may fall short of a Kantian account of moral autonomy.

Dan-Cohen (1986) employs a thought experiment in which all members of a corporation, including all managers, are replaced by computers that are responsible, in addition to more mundane functions, for all planning and decision making.  He believes such a development is conceivable and feasible, and that the replacement of people by computers would have little effect on the operations of the firm.  The point of Dan-Cohen’s “personless corporation” is to be a heuristic device to help in understanding the implications of his organizational metaphor of an intelligent machine.  He thinks this characterization is well suited to show the distinctiveness of important organizational qualities.

For most purposes, Dan-Cohen finds it advantageous overall to view organizations from a holistic perspective.  He finds that a holistic view is preferable to the individualistic view, but he makes it clear that:

The intelligibility of such holistic terminology as we daily use need not accordingly depend on a metaphorical personification of the organization nor on some far-reaching metaphysical commitments (Dan-Cohen 1986, p. 39).

Organizational theory is the least explored body of valuable research for philosophers involved with the issue of collective moral responsibility.  The following passage is a valuable summary drawn from this important body of empirical research:

The permanence of organizations renders them temporarily independent: they operate on a different time scale, in terms of both their memory and their planning, from that of any particular individual.  Because of their complexity and formality, organizations are both opaque and impermeable: their acts and decisions are not the straightforward product or expression of any particular individual will, nor is the effect one’s action has on an organization readily reducible to the effect that action may have on any particular individual.  Being structures, organizations are manipulable: their performance is amenable to change through structural modifications. And finally, due to the nature of their decision making function, organizations can be plausibly seen as intentional systems endowed with organizational intelligence (Dan-Cohen 1986, pp. 38-39).

Dan-Cohen also proposes a morally relevant distinction between “protective” and “utilitarian” organizations (1986, p.117).  The recognition of distinctive differences between organizations leads him to distinguish organizations, such as unions, which protect individual autonomy rights from those, such as corporations, which do not have such protection as one of their organizational goals.  This basic but critical distinction has implications for our expectations about the treatment various organizations should receive in moral, legal, and political contexts.

Peter French (1979, 1984, 1985, 1992, 1995) is perhaps the most influential scholar defending collective moral responsibility.  His position has evolved over the last 30 years.  He first approached corporations from a metaphysical angle that defended the position that they were full-fledged moral persons due all the same rights, duties, and privileges as human members of the moral community.  French challenged methodological individualism directly with bold arguments to show that corporate entities are intentional agents.  In making this argument, he refined his case and bolstered it through creative use of work by Donald Davidson on action and agency and by Daniel Dennett on intentionality.

He now refers to corporations as moral actors, not moral persons, but continues to hold a functionalist account of the capacities of moral actors, including the ability to act intentionally and be morally responsible.  He also changed his account of acting intentionally from the more traditional desire/belief model to a planning model of intention.  A key element of his position is that corporations and other formal organizations possess internal decision structures which make corporate decisions and actions possible.  By coordinating, subordinating, and synthesizing the actions and intentions of various individual members of the organization, the structure transforms them into a corporate action taken for truly corporate reasons.  The decision structure also makes it possible for corporations to adjust and respond constructively after being morally blamed.

French’s corporate decision structure is composed of two elements: (1) an organizational flow chart that delineates stations and levels within the corporation; and (2) rules that reveal how to recognize decisions that are corporate ones and not simply personal decisions of the humans who occupy the positions on the organizational flow chart.  These rules are typically embedded, whether explicitly or implicitly, in corporate policy.  The decision structure also provides continuity in the identity of corporations as membership changes.

French, together with Brent Fisse has made many scholarly contributions to our understanding of corporate legal liability and have proposed notable corporate punishment strategies.  French is particularly well known for developing and advocating the Hester Prynne sanction, which is a form of court-ordered mandatory adverse publicity designed to elicit shame rather than guilt.  His earlier writings tended to emphasize similarities between corporate and human agents, but more recently he has focused on the unique features of corporations and recognizes the tremendous power they wield.  In more recent scholarship, he has also defended a theory of corporate integrity.

As is Ladd’s position, French’s approach is rooted in the philosophy of language.  For instance, the internal decision structure performs a prescriptive and not just a descriptive function.  It tells members of the corporation how they ought to act.  This structure’s linguistic function is the feature most critical to French’s argument that organizational moral actors can bear ascriptions of responsibility, because he claims it licenses a redescription of events which allow the actions of many human employees at one level to be described at another level as a corporate act done for corporate reasons.  An action performed according to the organizational flow chart which is consistent with policy and procedure rules in the second element of the decision structure affirms the action to be official corporate policy.  For French, corporate moral actors have ontological status, and corporate acts and intentions are normative and rule-governed.  His conception of an organizational internal decision structure is not primarily an empirical concept, but rather a logical one.

Virginia Held (1986) recognizes the validity of collective moral responsibility, but thinks different criteria for corporate and personal responsibility are appropriate and should be developed.  She disagrees with Larry May (1983) that individuals have “vicarious agency” for the actions of corporations and other collectives.  She finds merit in French’s explanation of the way internal decision structures facilitate corporate actions, and agrees that a corporation’s intentions cannot be reduced to the intentions of any or all of the corporation’s members.  A corporation is capable of carrying through on its plans or on its goal-directed decisions.  Held disagrees with May that a corporation’s intentions are grounded in the intentions of individual members and maintains that corporations have intentions and interests of their own.

Held observes that the law is ahead of many philosophers in its recognition of the legal standing of corporations and other groups.  These groups and corporations have gained many constitutional rights, including speech and privacy.  They are also subject to both the civil and criminal law.  Held disagrees with Susan Wolf, who opposes criminal liability because of corporations lack mens rea, and she does see advantages in bringing criminal charges against corporations.  She rejected French’s earlier position on corporate metaphysical personhood.  Held is doubtful that French’s Hester Prynne sanction can be effective and rejects the idea that corporations can feel shame.  Held suggests that corporations have no right to continued existence and that something like a corporate death penalty may be called for in some cases.  She strongly rejects Ladd’s machine analogy as applied to corporations, particularly given his recognition that they can comply with principles of morality.  She thinks it is morally significant that corporations are able to adapt easily and can change goals relatively quickly.  If an analogy is in order, a person is best, although Held observes that ‘person’ and ‘personhood’ are abstractions.  She proposes that corporations be able to earn a kind of citizenship and believes that a re-examination of corporate behavior be initiated to assess the overall status of moral values in business.  Compared to people, the most significant difference is that corporations lack an emotional life.  She thinks French’s previous support of corporate moral personhood went too far in personifying corporations, but thinks Kenneth Goodpaster properly emphasizes their distinctiveness as moral agents (Goodpaster in Curtler 1986, pp. 101-112).

David Risser’s (1978, 1989, 1992, 1996) approach to collective moral responsibility does not address the ontological status of groups.  He shares Searle’s view that organizations are “ontologically subjective” and supports Caplow’s (1966) use of unifying phrases to understand making reference to organizations.   Risser’s internal decision structure (IDS) is an empirical generalization used to better describe and explain how the actions of individuals are transformed into irreducibly organizational actions taken for organizational reasons.  His IDS contains two components: (1) a procedural hierarchy outlining the manner in which the various units in the organization become involved in decision making and how decisions are ratified in the name of the whole organization, and (2) a system of differentiated roles that provide a division of labor, power, and communication for the organization.  The actions of group members and the actions of a group are inseparable, but the relationship between the two kinds of action is not causal.  David Copp (1979) refers to the actions of individuals as “constituting” an organizational action.  An organizational action is not reducible to the actions which constituted it and is based on reasons compatible with organizational goals.  These reasons and the goals that inform them are also not reducible to the reasons or motivations organizational members have for their constituting actions.

Risser’s use of Goodpaster’s (1983) four stages of decision making – perception, reasoning, coordination, and implementation – identifies the points at which moral reasons and considerations can be included in the decision process an IDS makes possible.  Decisions and actions that an organization produces can be checked for their consistency with established group policies by referring to formal policy statements, to the informal features of organizational culture, and to past decisions.  An organization’s collective memory can also help provide evidence of policy continuity.  The planning activities characteristic of organizations both depend upon and support the development of organizational memory.

Public and private bureaucracies are human inventions justified by their success in meeting human needs better than alternative modes of human organization.  Ultimately, they are instrumentalities or organizational tools.  Risser’s instrumental view of organizations is supported by the observation, implied by Locke and stated more explicitly by Jefferson, that people are far more likely to submit to abuse and domination for too long than they are to rise up prematurely.  Risser argues that organizations do not have moral rights, and the legal rights they do have serve ideally to protect human interests.  This arrangement is a consequence of the moral priority of human interests and the value humans place on individual dignity and autonomy.

Collective moral responsibility is part of a social practice which can effectively lead to   reform, particularly when groups make structural modifications targeted at organizational flaws associated with wrongdoing.  Both collective and individual judgments are possible.  Risser proposes that degrees of individual responsibility are based on the degree of influence one is able to exercise in a particular collective decision process and the level of knowledge one had or should have gained about the nature and probable effects of that particular decision or action.  Usually members with positions higher in the IDS will be more influential and knowledgeable, but informal factors can affect that general rule.  Degree judgments of blame (Risser 1978, 1996) are also possible at both a group and an individual level.  Organizations only deserve to be liable for punishment if they are culpable of wrongdoing, but consequentialist considerations should guide the decisions if and how to punish.

3. Conclusion

The conceptual relationship between power and moral responsibility is firmly established.   Responsibility and disputes concerning its proper meanings and uses are part of politics itself.  Not surprisingly, a society’s more powerful individuals and organizations will resist being held responsible and will support narrow and restrictive definitions or both power and moral responsibility.  Sufficiently strong popular support and political leadership committed to holding organizations morally responsible will be necessary to support collective responsibility arrangements in practice.

Widespread harms for which organizations are responsible are frequent occurrences.  People want more than vague excuses or insincere apologies.  Collective responsibility is not as widely accepted a notion as individual moral responsibility, but its emphasis on the structure of organizations suggests a promising approach to organizational punishment after a judgment of responsibility is made.  The primary goal in punishing an organization should be to make it less likely that it will cause harm in the future.  Both moral and legal approaches are being developed and refined which give attention to structural reforms that identify and repair organizational flaws associated with wrongdoing.

Discussions in political theory and the social sciences have given increasing attention to the design of new organizations that are safer and more responsive to the interests of their members and the communities in which they are active.  Ian Shapiro claims “that the most interesting questions about power are best thought of as questions of institutional design geared to preventing domination without interfering with the legitimate exercise of power” (2006, p.146).  Because Shapiro considers hierarchical social relations to have a tendency to atrophy into systems of domination, his “…suggestions in this regard have been to democratize power relations through the redesign of social institutions so as to minimize domination” (2006 p. 154).

The most powerful organizations have been, for the most part, immune from moral responsibility and legal liability.  This immunity has made it possible over time for social structures which are supportive of their organizational interests to become well entrenched.  Advocates of actively promoting political responsibility, which is a fitting companion to moral responsibility, are committed to social justice even under circumstances in which there are no discrete individual or organizational agents to hold morally responsible for situations, such as the exclusion of people from the political mainstream or from key economic opportunities.  Clarissa Rile Hayward explains political responsibility as follows:

Even if no identifiable agent or agents can be held morally responsible for creating a given relation of domination, those actors whose actions helped produce that relationship are obligated to attempt to understand and to change it (2006, pp.156).

Hayward’s work is inspired by Lukes’ analysis of power and responsibility, but her conception of political responsibility was developed as a critique of his work.  She argues that Lukes’ sharp distinction between power and structural determinism excludes constraints on freedom and circumstances of domination that should be remedied, but for which no persons or organizations are morally responsible.   Lukes holds that unless the untoward consequences or conditions in question are caused by the exercise of power, they are the result of structural constraints or collective action problems.  His analysis concludes that when power is absent, ascriptions of responsibility cannot be made.  Hayward’s conception of political responsibility addresses untoward circumstances she believes are excluded by Lukes’ position with an appeal to the forward-looking political responsibilities of the actors whose actions helped create conditions of domination.  This approach may encourage progressive change more effectively than backward-looking moral responsibility.  It has been argued that the concepts of blame, moral fault, and censure can often inhibit reformative change (Waller 2007, pp. 456-464).

In an increasingly bureaucratized world, there are diminished possibilities for the spontaneous, informal, and intimate human interactions essential to civil society, that social space which is considered a buffer between big government and big corporations.

This contraction of social space results in less opportunities for freedom and human diversity and creativity; what Hannah Arendt speaks of as “human plurality”.  The implications of relentless bureaucratization for the well-being of human communities are pressing concerns for both moral philosophy and political theory.

4. References and Recommended Reading

  • Andreou, Chrisoula and Mariam Thalos, “Sense and Sensibility.”  American Philosophical Quarterly, vol. 44, no. 1, (2007) pp. 71-80.
  • Arendt, Hannah, “Collective Responsibility.” in  Amor Mundi, ed. J.W. Brenner (Dordrecht: Martinus Nijhoff Publishers, (1987) p. 50.
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Author Information

David T. Risser
dtr15@psu.edu
Penn State University Harrisburg
U. S. A.

Gabriel Marcel (1889—1973)

MarcelThe philosophical approach known as existentialism is commonly recognized for its view that life’s experiences and interactions are meaningless.  Many existentialist thinkers are led to conclude that life is only something to be tolerated, and that close or intimate relationships with others should be avoided. Heard distinctly among this despair and dread was the original philosophical voice of Gabriel Marcel.  Marcel, a World War I non-combatant veteran, pursued the life of an intellectual, and enjoyed success as a playwright, literary critic, and concert pianist.  He was trained in philosophy by Henri Bergson, among others.  A prolific life-long writer, his early works reflected his interest in idealism.  As Marcel developed philosophically, however, his work was marked by an emphasis on the concrete, on lived experience.  After converting to Catholicism in 1929, he became a noted opponent of atheistic existentialism, and primarily that of Jean-Paul Sartre.  Sartre’s characterizations of the isolated self, the death of God, and lived experience as having “no exit” especially disgusted Marcel.  Regardless of his point of departure, Marcel throughout his life balked at the designation of his philosophy as, “Theistic existentialism.”  He argued that, though theism was consistent with his existentialism, it was not an essential characteristic of it.

Marcel’s conception of freedom is the most philosophically enduring of all of his themes, although the last decade has seen a resurgence of attention paid to Marcel’s metaphysics and epistemology.  A decidedly unsystematic thinker, it is difficult to categorize Marcel’s work, in large part because the main Marcelian themes are so interconnected.  A close read, however, shows that in addition to that of freedom, Marcel’s important philosophical contributions were on the themes of participation, creative fidelity, exigence, and presence.

Table of Contents

  1. Life
  2. Freedom
  3. Participation
  4. Creative Fidelity
  5. Exigence
  6. Presence
  7. Hope and the Existential Self
  8. References and Further Reading

1. Life

Gabriel Marcel was born in Paris in 1889, the city where he also died in 1973.  Marcel was the only child of Henri and Laure Marcel.  His father was a French diplomat to Sweden and was committed to educating his son through frequent travel across Europe.  The death of his mother, in 1893 when Gabriel was not quite four years old left an indelible impression on him.  He was raised primarily by his mother’s sister, whom his father married two years after Laure’s passing, and though “Auntie” loved her nephew and gave him the best formal education, Gabriel loathed the structure of the classroom, and became excited about the intellectual life only after entering Sorbonne, from which he graduated in 1910.

Marcel was not a “dogmatic pacifist,” but experiences in World War I as a non-combatant solidified to Marcel the, “Desolate aspect that it [war] became an object of indignation, a horror without equal,” (AE 20) and contributed to a life-long fascination with death.  It was during the war that many of the important philosophical themes in Marcel’s later work would take root, and indeed, during the war, Marcel began writing in a journal that served as a framework for his first book, Metaphysical Journal (1927).

After the war, Marcel married Jaqueline Boegner, and he taught at a secondary school in Paris.  It was in these early wedded years that Marcel became engaged as a playwright, philosopher, and literary critic.  The couple continued to travel, they adopted a son, Jean Marie, and Marcel developed friendships with important thinkers of the day.  Marcel gave talks throughout Europe as a result of these contacts, and was regarded as a keen mind and a type of renaissance figure, excelling in music, drama, philosophy, theology, and politics.  As for his literary works, Marcel in total published more than 30 plays, a number of which have been translated in English and produced in the United States.  Marcel was acutely aware, however, that his dramatic work did not enjoy the popularity of his philosophical work, but he believed nonetheless that both were, “Capable of moving and often of absorbing readers very different from one another, living in the most diverse countries—beings whom it is not a question of counting precisely because they are human beings and belong as such to an order where number loses all meaning,” (AE, 27).

Although Marcel did not pursue anything more permanent than intermittent teaching posts at secondary schools, he did hold prestigious lectureships, giving the Gifford Lectures at Aberdeen in 1949-50 and the William James Lectures at Harvard in 1961.  His most significant philosophical works include Being and Having (1949), The Mystery of Being, Volume I and II (1950-51), Man against Mass Society (1962) and Creative Fidelity (1964). During his latter years, he emerged as a vocal political thinker, and played a crucial role in organizing and advocating the international Moral Re-Armament movement of the 1960s.  (Marcel was pleased to be awarded the Peace Prize of the Börsenverein des Buchhandels in 1964.)

Throughout his life, Marcel sought out, and was sought out by, various influential thinkers, including Paul Ricoeur, Jacques Maritain, Charles Du Bos, Gustave Thibon, and Emmanuel Levinas.  In spite of the many whom he positively influenced, Marcel became known for his very public disagreements with Jean-Paul Sartre.  In fact, the acrimony between the two became such that the two would attend performances of the other’s plays, only to storm out midway.  Perhaps the most fundamental ideological disagreement between the two was over the notion of autonomy.  For Marcel, autonomy is a discovery of the self as a being receptive to others, rather than as a power to be exerted.  Marcel’s autonomy is rooted in a commitment to participation with others (see 3 below), and is unique in that the participative subject is committed by being encountered, or approached by, another individual’s need.  Sartre’s notion of commitment is based on the strength of the solitary decisions made by individuals who have committed themselves fully to personal independence.  Yet, Marcel took commitment to be primarily the response to the appeal directed to the self as an individual (A 179) so that the self is free to respond to another on account of their mutual needs.  The feud between the two, though heated, had the effect of casting a shadow over Marcel’s work as “mysticism” rather than philosophy, a stigma that Marcel would work for the rest of his life to dispute.

2. Freedom

A strange inner mutation is spreading throughout humanity, according to Marcel.  As odd as it first seems, this mutation is evoked by the awareness that members of humanity are contingent on conditions which make up the framework for their very existence.  Man recognizes that at root, he is an existing thing, but he somehow feels compelled to prove his life is more significant than that.  He begins to believe that the things he surrounds himself with can make his life more meaningful or valuable.  This belief, says Marcel, has thrown man into a ghostly state of quandary caused by a desire to possess rather than to be.  All people become a master of defining their individual selves by either their possessions or by their professions.  Meaning is forced into life through these venues.  Even more, individuals begin to believe that their lives have worth because they are tied to these things, these objects.  This devolution creates a situation in which individuals experience the self only as a statement, as an object, “I am x.”

The objectification of the self through one’s possessions robs one of her freedom, and separates her from the experiences of her own participation in being.  The idolatrous world of perverted possession must be abandoned if the true reality of humanity is to be reached (SZ 285).  Perhaps most known for his views on freedom, Marcel gave to existentialism a view of freedom that marries the absolute indeterminacy of traditional existentialism with Marcel’s view that transcendence out of facticity can only come by depending upon others with the same goals.  The result is a type of freedom-by-degrees in which all people are free, since to be free is to be self-governing, but not all people experience freedom that can lead them out of objectification.  The experience of freedom cannot be achieved unless the subject extricates herself from the grip of egocentrism, since freedom is not simply doing what desire dictates.  The person who sees herself as autonomous within herself  has a freedom based on ill-fated egocentrism.  She errs in believing freedom to be rooted on independence.

Freedom is defined by Marcel in both a negative and positive sense.  Negatively, freedom is, “The absence of whatever resembles an alienation from oneself,” and positively as when, “The motives of my action are within the limits of what I can legitimately consider as the structural traits of my self,” (TF, 232).  Freedom, then, is always about the possibilities of the self, understood within the confines of relationships with others.  As an existentialist, Marcel’s freedom is tied to the raw experiences of the body.  However, the phenomenology of Marcelian freedom  is characterized by his insistence that freedom is something to be experienced, and the self is fully free when it is submerged in the possibilities of the self and the needs of others.  Although all humans have basic, autonomous freedom (Marcel thought of this as “capricious” freedom), in virtue of their embodiment and consciousness; only those persons who seek to experience being by freely engaging with other free beings can break out of the facticity of the body and into the fulfillment of being.  The free act is significant because it contributes to defining the self, “By freedom I am given back to myself,” (VII vii).

At first glance, Marcelian freedom is paradoxical:  the more one enters into a self-centered project, the less legitimate it is to say that the act is free, whereas the more the self is engaged with other free individuals, the more the self is free.  However, the phenomenological experience of freedom is less paradoxical when it is seen through the lens of the engagement of freedom.  Ontologically, we rarely have experiences of the singular self; instead, our experiences are bound to those with whom we interact.  Freedom based on the very participation that the free act seeks to affirm is the ground of the true experience of freedom towards which Marcel gravitates.

3. Participation

Marcel was an early proponent of what would become a major Sartrean existential tenet:  I am my body.  For Marcel, the body does not have instrumental value, nor is it simply a part or extension of the self.  Instead, the self cannot be eradicated from the body.  It is impossible for the self to conceive of the body in any way at all except for as a distinct entity identified with the self (CF 23).  Existence is prior, and existence is prior to any abstracting that we do on the basis of our perception.  Existence is indubitable, and existence is in opposition to the abstraction of objectivity (TW 225).  That we are body, of course, naturally lends us to think of the body in terms of object.  But individuals who resort to seeing the self and the world in terms of functionality are ontologically deficient because not only can they not properly respond to the needs of others, but they have become isolated and independent from others.  It is our active freedom that prevents us from the snare of objectifying the self, and which brings us into relationships with others.

When we are able to act freely, we can move away from the isolated perspective of the problematic man (“I am body only,”) to that of the participative subject (“I am a being among beings”) who is capable of interaction with others in the world.  Marcelian participation is possible through a special type of reflection in which the subject views herself as a being among beings, rather than as an object.  This reflection is secondary reflection, and is distinguished from both primary reflection and mere contemplation.  Primary reflection explains the relationship of an individual to the world based on her existence as an object in the world, whereas secondary reflection takes as its point of departure the being of the individual among others.  The goal of primary reflection, then, is to problematize the self and its relation to the world, and so it seeks to reduce and conquer particular things.  Marcel rejects primary reflection as applicable to ontological matters because he believes it cannot understand the main metaphysical issue involved in existence:  the incommunicable experience of the body as mine.  Neither does mere contemplation suffice to explain this phenomenon.  Contemplation is existentially significant, because it indicates the act by which the self concentrates its attention on its self, but such an act without secondary reflection would result in the same egocentrism that Marcel attempts to avoid through his work.

Secondary reflection has as its goal the explication of existence, which cannot be separated from the individual, who is in turn situated among others.  For Marcel, an understanding of one’s being is only possible through secondary reflection, since it is a reflection whereby the self asks itself how and from what starting point the self is able to proceed (E 14).  The existential impetus of secondary reflection cannot be overemphasized for Marcel:  Participation which involves the presence of the self to the world is only possible if the temptation to assume the self is wholly distinct from the world is overcome (CF 22).  The existential upshot is that secondary reflection allows the individual to seek out others, and it dissolves the dualism of primary reflection by realizing the lived body’s relation to the ego.

Reflexive reflection is the reflection of the exigent self (see 5 below).  It occurs when the subject is in communion with others, and is free and also dependent upon others (as discussed in 2).  Reflexive reflection is an inward looking that allows the self to be receptive to the call of others.  Yet, Marcel does not call on the participative subject to be reflective for receptivity’s sake.  Rather, the self cannot fully understand the existential position without orientating itself to something other than the self.

4. Creative Fidelity

For Marcel, to exist only as body is to exist problematically.  To exist existentially is to exist as a thinking, emotive, being, dependent upon the human creative impulse.  He believed that, “As soon as there is creation, we are in the realm of being,” and also that, “There is no sense using the word ‘being’ except where creation is in view,” (PGM xiii).  The person who is given in a situation to creative development experiences life qualitatively at a higher mode of being than those for whom experiences are another facet of their functionality.  Marcel argues that, “A really alive person is not merely someone who has a taste for life, but somebody who spreads that taste, showering it, as it were, around him; and a person who is really alive in this way has, quite apart from any tangible achievements of his, something essentially creative about him,” (VI, 139).  This is not to say, of course, that the creative impulse is measurable by what we produce.  Whereas works of art most explicitly express creative energy, inasmuch as we give ourselves to each other, acts of love, admiration, and friendship also describe the creative act.  In fact, participation with others is initiated through acts of feeling which not only allow the subject to experience the body as his own, but which enable him to respond to others as embodied, sensing, creative, participative beings as well.  To feel is a mode of participation, a creative act which draws the subject closer to an experience of the self as a being-among-beings, although higher degrees of participation are achieved by one whose acts demonstrate a commitment to that experience.  So, to create is to reject the reduction of the self to the level of abstraction—of object, “The denial of the more than human by the less than human,” (CF 10).

If the creative élan is a move away from the objectification of humanity, it must be essentially tied relationally to others.  Creative fidelity, then, entails a commitment to acts which draw the subject closer to others, and this must be balanced with a proper respect for the self.  Self-love, self-satisfaction, complacency, or even self-anger are attitudes which can paralyze one’s existential progress and mitigate against the creative impulse.  To be tenacious in the pursuit– the fidelity aspect– is the most crucial part of the creative impulse, since creation is a natural outflow of being embodied.  One can create, and create destructively.  To move towards a greater sense of being, one must have creative fidelity.  Fidelity exists only when it triumphs over the gap in presence from one being to another—when it helps others relate, and so defies absences in presence (CF 152).

It is not enough to be constant, since constancy is tenacity towards a specific goal, which requires neither presence nor an openness to change.  Rather, creative fidelity implies that there is presence, if it is true that faithfulness requires being available (in the Marcelian sense, see 5) to another even when it is difficult.  (Interestingly, Marcel’s notion of fidelity means more than someone’s merely not being unfaithful.  A spouse, for example, might not physically cheat on her husband, but on Marcel’s view, if she remains unavailable to her partner, she can only be called “constant”.  She cannot be called “faithful”.)  Additionally, fidelity requires that a subject be open to changing her mind, actions, and beliefs if those things do not contribute to a better grasp of what it means to be.  Since fidelity is a predicate that is best ascribed by others to us, it follows that receptivity to the views of others’ is a natural component of fidelity.

But what is it that Marcel thinks we ought to be faithful towards? It isn’t simply to pursue the impetus of the exigent life, although that is involved.  More concretely, creative fidelity is a fidelity towards being free, and that freedom involves making decisions about what is important, rather than living in a state of stasis.  Marcel railed against indecision with respect to what is essential, even though such indecision, “Seems to be the mark and privilege of the illumined mind,” (CF 190) because truly free people are not entrapped by their beliefs, but are liberated by living out their consequences (see 2).

5. Exigence

Dominating Marcel’s philosophical development was the intersection of his interest in the individuality of beings and his interest in the relations which bind beings together.  An acceptable ontology must account for the totality of the lived experience, and so must have as a point of departure the fact that humans are fundamentally embodied.  From there, ontology must explain how an individual fits among other individuals, and so must account for what it means to experience and have relations in the world.  Ontological exigence is the Marcelian actualization of transcendence, which is manifested as a thirst for the fullness of being and a demand to transcend the world of abstract objectivity.  This desire to be fulfilled within the body, however, is not a desire for perfection (which cannot be achieved) but is instead, “The contradiction of the functionalized world and of the overpowering monotony of a society in which it becomes increasingly difficult to differentiate between members of society,” (V. II, 42).  The typical person (that is, the “Problematic man”) has become an object to him or herself through sheer busyness of life, through a lack of meaningful relationships with others, and through the intrusion of technological advancement.  The exigent person can transcend her problematicity—indeed, she, “Gradually develops individuality” (CF 149), and she does this by being aware of the self as a body in relation with, and in participation with, others in the world.  (The cognitive subject cannot seek the fulfilled state of the exigent self in a meaningful way, and the experiencing subject cannot see beyond herself as an object.  It is the participative subject, who is governed by the uniquely Marcelian doctrines of reflection, communion, receptivity, and availability, which can move from self-as-body to self-as-being among beings.)

The reflective focus of the exigent self occurs most effectively when the subject is involved in a community of people who are mutually receptive and accepting of others’ experiences and needs.  Just as secondary reflection must be active in order to participate with others, the exigent self’s reflexive reflection is rooted in an active, more developed sense of availability to others (see  3).  This availability is not passive; rather, the exigent self actively seeks out relationships with others, just as she is actively engaged in the concern for others.  Whereas a subject’s passivity can result in fear, hesitancy, and powerlessness, the action of the exigent self can allow her to positively change a situation for another person.  The force of the exigent life comes through the experience of being that is only found in sharing with others in being.  The most significant end achievable for an individual is to be immersed in the beings of others, for only with others does the self experience wholeness of being.  (This isn’t to say, of course, that the self will experience wholeness just in virtue of her being available to others.  Availability is a risk one takes, since it is only through availability that the potential for fullness emerges as possible.)

In opposition to exigence is the life of the problematic man.  There is a polarity between what is given in the technological world (a world in which things are objectified according to their function—biological, political, economic, social) and the fullness of being, which resists abstract determinations.  Marcel argued that, “Nothing is more awful than this reduction of man, of a human being by such distinctions,” (TW 225-6).  The exigent life is repelled by this reduction, and serves as a protest against it.  Exigence provides a recourse to a type of experience which bears within itself the warrant of its own value.  It is the substitution of one mode of experience for another; one that strives towards an increasingly pure mode of existence (VI ix).

6. Presence

The term “presence” is used in various ways in the English language, although each connote a “here-ness” that indicates whether or not a subject was “here”.  One of the differences in how we use the term is in the strength of a thing’s “here-ness”.  Two people sitting in close physical proximity on an airplane might not be present to each other, although people miles away speaking on a phone might have a stronger awareness of being together.  There is mystery in presence, according to Marcel, because presence can transcend the objective physical fact of being-with each other.   Presence is concerned with recognizing the self as a being-among-beings, and acknowledging the relevance of others’ experiences to the self, as a being.

The notion of presence for Marcel is comprised of two other parallel notions, communion and availability.  Together, communion and availability enable an individual to come into a complete participation with another being.  Although “presence” is found throughout Marcel’s work, he admits that it is impossible to give a rigorous definition of it.  Rather than working out a lexical definition of the term, we ought to evoke its meaning through our shared experiences.  Marcel demonstrates this by noting how easy it is to find ourselves with others who are not significantly present at all, and at other times we are present to those who are not physically with us at all.  The mark of presence is the mutual tie to the other.  For Marcel, it means that the self is “given” to the other, and that givenness is responsively received or reciprocated.  (The reciprocity of presence is a necessary condition for it.)  Presence is shared, then, in virtue of our openness to each other.

This openness is not linguistically based, since it is beyond the physical relation and communication among individuals.  Non-linguistic presence is possible for Marcel because of an aspect of presence Marcel calls “communion”.  Communion with other participative beings is renewing to the self as a result of the other giving to me out of who he is, rather than merely by what he says.  Marcel almost certainly borrows from Martin Buber’s I-Thou in his view of communion, in that Buber’s ontological communion is the free expression of those who are able to give and receive freely to each other so that an encounter with the other is possible, and for Marcel this communion is expressed as a free reception of the other to oneself (IB 136).  Communion-as-encounter, according to Marcel (GR 273), is encapsulated by the French en, whereas in English, within best represents the envelopment of one’s being that occurs in communion.  A shared experience allows for a more full understanding of one’s own being.  If the self is in communion with another, and is present to the other, the self is more present towards the self.  Communion with others can give new meaning to experiences that otherwise would have been closed to the self.

For interactions in which there is communication without communion, Marcel believes that the self becomes an object to the one with whom the communication is occurring.  And, where there is objectification, there cannot be participation, and without the availability of participation, there cannot be presence.  A key aspect of communion, then, is the way it limits the objectification of beings.  Marcel argues that one cannot have presence with—that is, one cannot welcome or gather to the self—whatever is purely and simply an object.  For objects, the self can take it or leave it, but presence can only be invoked or evoked (VI 208).  Presence that results from communion produces a bond between those who are in participation with another, who are receptive to another, and who are committed to sharing in each others’ experiences.

Communion is necessary for presence, but is entwined with Marcel’s notion of availability, disponibilité.  If it is true that participative beings can have communion with each other, and so encounter one another, then there must be another component to presence that enables a once-objectified person to respond to the encounter of communion.  The ability to yield to that which is encountered, and so to pledge oneself to another, is the component of presence that Marcel calls availability (HV 23).  Availability can be understood as being at hand, or handiness, so that a person is ready to respond to another when called upon.  The available subject seeks out other available subjects as individuals whose experiences can compliment and more fully speak to her.  Of course, for another’s experiences to speak to the subject, she must be open to the influence and needs of the other.  But this openness cannot result in the objectification of the subject by the other.  To be available is not to be possessed as an object.  Rather, to be available means that that the best use the subject can make of her freedom is to place it in the other’s hands, as a free response to who the other is.  The subject is not an object to be disposed of, then, but a fellow subject in need of the influence of the experiences of the other.

The positive result of living an available life is that it makes the subject more fully aware of herself than she would be if she did not have the relationship.  No longer does the subject have to struggle with her facticity, but she can find contentment through the mutual presence—from the communion and availability she has with a community of beings, all of whom are committed to the same end.  Just as the joints of the skeleton are conjoined and adapted to bones, Marcel contends that the individual life finds its justification and its meaning by being inwardly conjoined, adapted, and oriented towards something other than itself (V I, 201-2).

There are, certainly, detriments to the life of presence that Marcel explicates.  He penned as many words on unavailability, indisponibilité as he did availability, and with good reason:  obstacles frequently occur when individuals attempt to coalesce their experiences to emerge as stronger, more cohesive beings.  Almost all occurrences of unavailability result form an individual seeking fulfillment through the objectification of the self.  To be unavailable is to be preoccupied with the self as an object, to be self-centered in such a way as to exclude the possibility of engaging with others as subjects (BH 74, 78).  The unavailable person is characterized by an absorption with her self, whether with her own successes and accomplishments or her own problems.  She can feel temporary satisfaction by wallowing in herself, but she only experiences herself as object, and so cannot be whole.  Whatever brief satisfaction the unavailable individual has, it is short-lived because she becomes encumbered—for Marcel, “used up”—by all of the things by which she attempts to define herself:  job, family, poor health, indebtedness, etc.  Marcel compares the encumbered, unavailable life, to a hand-written draft of a manuscript.  Just as the clutter of editing marks on a draft disables the author from figuring out what is important to the central ideas, the encumbered self no longer has access to her own point of view.  The result is frustration, apathy, or distrust in oneself or others.  The weight of encumbrance renders the self incapable of presence, and so the self becomes opaque.  The opaque person ceased to let his presence pass into the world, and so has blocked the experiences of others to help inform and shape his own.

7. Hope and the Existential Self

The existential life that Marcel paints as possible for humanity is largely one of hope—but not one of optimism.   Being in the world as body allows one to seek out new opportunities for the self, and so Marcelian hope is deeply pragmatic in that it refuses to compute all of the possibilities against oneself.  But the picture is not rosy.  Hope for Marcel is not faith that things will go well, because most often, things do not go well.  The depravity of the problematic man threatens to suffocate.  Yet, even if there is despair in our situation, there is always movement towards something more.  This movement towards is the philosophical project for Gabriel Marcel.  If there is always movement, and always more to reach for, the existential self is never complete (and indeed, this is why Marcel refused to categorize his existential project as a “system” or “dialectic”).  The mystery of being for the existential self is unsolvable, because it is not a problem to be solved.

The notion of “hope” for Marcel relies upon a significant Marcelian distinction between problem and mystery.  For the problematic man (see section 2) each aspect of life is reduced to the level of a problem, so that the self and all of its relationships, goals, and desires are treated as obstacles to be conquered.  Life is, for the problematic man, a series of opportunities to possess, and the body is alienated from the problematic man’s own corporeality.  Not only is such a person separated from his own being as a result, he is distanced from the true mystery of being.  If I am my body, and I want to inquire into being, I must grasp that being is a philosophical mystery to be engaged with rather than a problem to be solved.  The existential self, upon recognizing that the self is not something that is possessed, can then shift his thought from questioning the significance of his own existence as a matter of fact, to questioning how he is related to his body.  The vital cannot be separated from the spiritual, since the spiritual is conditioned on the body, which can then provide for opportunities and so, for hope.

The mystery of being, then, is a tale to be told, analyzed, probed, and worked toward.  To be sure, even as experiences change, society evolves, and relations emerge, the individual who seeks meaning through an investigation of their being will never be fully satisfied.  If Marcel’s ontology is viable, and the self can question who it is that asks Who am I?, then the self will find the answer to be constantly in flux.

8. References and Further Reading

  • Bollnow, Otto Friedrich. “Marcel’s Concept of Availability,” In The Philosophy of Gabriel Marcel:  The Library of Living Philosophers, 17.  Edited by Paul Arthur Schlipp and Lewis Edwin Hahn.  LaSalle, IL:  Open Court, 1984.  Abbreviated A.
  • Gallagher, Kenneth T. The Philosophy of Gabriel Marcel. NY: Fordham University Press, 1962.  Abbreviated PGM.
  • Marcel, Gabriel. “Autobiographical Essay,” In The Philosophy of Gabriel Marcel: The Library of Living Philosophers, 17.  Edited by Paul Arthur Schlipp and Lewis Edwin Hahn.  LaSalle, IL:  Open Court, 1984.  Abbreviated AE.
  • Marcel, Gabriel. Being and Having.  New York:  Harper & Row, 1965. Abbreviated BH.
  • Marcel, Gabriel. Creative Fidelity. NY:  Noonday Press, 1970.  Abbreviated CF.
  • Marcel, Gabriel. “Existence,”  New Scholasticism 38, no. 2 (April 1964).  Abbreviated E.
  • Marcel, Gabriel.  omo Viator: Introduction to a Metaphysic of Hope, tr. Emma Craufurd (Chicago:  Harper & Row), 1965.  Abbreviated HV.
  • Marcel, Gabriel. The Mystery of Being, Volume I and II.  Chicago: Charles Regnery Co, 1951. Abbreviated V. I and V.II.
  • Marcel, Gabriel. “Reply to Gene Reeves,” In The Philosophy of Gabriel Marcel:  The Library of Living Philosophers, 17.  Edited by Paul Arthur Schlipp and Lewis Edwin Hahn.  LaSalle, IL:  Open Court, 1984.  Abbreviated GR.
  • Marcel, Gabriel. Tragic Wisdom and Beyond.  Evanston, IL:  Northwestern University Press, 1973.  Abbreviated TW.
  • Marcel, Gabriel. “Truth and Freedom,” Philosophy Today 9 (1965).  Abbreviated TF.
  • Strauss, E.W. and M. Machado, “Marcel’s Notion of Incarnate Being,” In The Philosophy of Gabriel Marcel:  The Library of Living Philosophers, 17.  Edited by Paul Arthur Schlipp and Lewis Edwin Hahn.  LaSalle, IL:  Open Court, 1984.  Abbreviated IB.
  • Zuidema, S.U. “Gabriel Marcel: A Critique,” Philosophy Today 4, no. 4 (Winter 1960).  Abbreviated SZ.

Author Information:

Jill Graper Hernandez
Email: jill.hernandez@utsa.edu
University of Texas at San Antonio
U. S. A.

John Hick (1922—2012)

HickJohn Hick was arguably one of the most important and influential philosophers of religion of the second half of the twentieth century. As a British philosopher in the anglo-analytic tradition, Hick did groundbreaking work in religious epistemology, philosophical theology, and religious pluralism.

As a young law student, Hick underwent a strong religious experience that led him to accept evangelical Christianity and to change his career direction to theology and philosophy. This experience would prove not only life-altering but also important for his subsequent philosophical views. Early in his career, Hick argued that Christian faith is based not on propositional evidence but on religious experience. He thus defended Christian faith against the evidentialist criticisms of the then dominant logical positivists. During this stage Hick also developed his Irenaean “soul-making” theodicy in which he argued that God allows evil and suffering in the world in order to develop humans into virtuous creatures capable of following his will.

In the late 1960s, Hick had another set of experiences that dramatically affected his life and work. While working on civil rights issues in Birmingham, he found himself working and worshiping alongside people of other faiths. During this time he began to believe that sincere adherents of other faiths experience the Transcendent just as Christians do, though with variances due to cultural, historical, and doctrinal factors. These experiences led him to develop his pluralistic hypothesis, which, relying heavily on Kant’s phenomenal/noumenal distinction, states that adherents of the major religious faiths experience the ineffable Real through their varying culturally shaped lenses. Hick’s pluralistic considerations then led him to adjust his theological positions, and he subsequently developed interpretations of Christian doctrines, such as the incarnation, atonement, and trinity, not as metaphysical claims but as metaphorical or mythological ones. However, despite Hick’s changes theologically, many of his underlying philosophical positions remained largely intact over the course of his long career.

Hick’s most influential works include Faith and Knowledge, Evil and the God of Love, Death and Eternal Life, The Myth of God Incarnate (ed.), and An Interpretation of Religion. Other of his significant works include Arguments for the Existence of God, God Has Many Names, The Metaphor of God Incarnate, A Christian Theology of Religions, The New Frontier of Religion and Science, and his widely used textbook, Philosophy of Religion.

Table of Conents

  1. Life
  2. Religious Epistemology
    1. Religious Experience
    2. Eschatological Verification
    3. Religion and Neuroscience
  3. Philosophical Theology
    1. Irenaean “Soul-making” Theodicy
    2. Christology as Myth or Metaphor
    3. Death and Afterlife
  4. Religious Pluralism
    1. Religious Ambiguity
    2. Kantian Phenomenal/Noumenal Distinction and the Transcategorial Real
    3. Soteriological and Ethical Criteria
    4. Religious Language as Mythological
  5. Criticisms and Influences
  6. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Life

John Harwood Hick was born in January 1922 to Mark and Aileen Hick in Scarborough, England. The Hick family history involves a Scarborough shipping trade that can be traced back at least as far as the mid-eighteenth century. Hick was a middle child, whose older brother Pentland became an entrepreneur and younger sister Shirley had a successful career in social work. Hick grew up in a working middle-class family in Scarborough, where as a shy boy he had an unfavorable time at the nearby preparatory school, Lisvane. After briefly studying at home with a private tutor, Hick spent two more favorable years (1937-38) at a Quaker boarding school, Bootham, in York. After Bootham, Hick returned to Scarborough to work as an articled clerk for his father’s small law firm, Hick & Hands.

By the age of seventeen, Hick was reading many of the major works of Western philosophy, finding especially fascinating Kant, who would shape his later philosophical pursuits. Hick’s family was not known for academics, despite two notable exceptions from his mother’s side: Benjamin Cocker, who taught philosophy at the University of Michigan in the late nineteenth century, and Hick’s great uncle, Edward Wales Hirst, who taught Christian Ethics at Manchester University and elsewhere. Hirst encouraged Hick to pursue academic philosophy and continued to correspond with him after he decided instead to study law. While still working at Hick & Hands, Hick began commuting twice a week to University College, Hull, to attend law lectures. This was shortly before the outbreak of World War II and the bombing of Britain, and by his second term Hick had moved to a hostel closer to campus in order to study full-time.

Hick’s family was not particularly religious, though his mother and grandmother had both experimented widely in a variety of religious practices, which helped develop in him a keen religious interest from a young age. He had a penchant for leftist, anti-Christian literature of the likes of George Bernard Shaw, H. G. Wells, Bertrand Russell, and others; yet in the midst of the turmoil at the outbreak of the war, Hick found himself turning to evangelical Christianity under the influence of his college friends from the Inter-Varsity Fellowship. Hick writes of his experience:

As a law student at University College, Hull, at the age of eighteen, I underwent a powerful evangelical conversion under the impact of the New Testament figure of Jesus. For several days I was in a state of intense mental and emotional turmoil, during which I became increasingly aware of a higher truth and greater reality pressing in upon me and claiming my recognition and response. At first this was highly unwelcome, a disturbing and challenging demand for nothing less than a revolution in personal identity. But then the disturbing claim became a liberating invitation. The reality that was pressing in upon me was not only awesomely demanding…. but also irresistibly attractive, and I entered with great joy and excitement into the world of Christian faith…. An experience of this kind which I cannot forget, even though it happened forty-two years ago [from 1982], occurred—of all places—on the top deck of a bus in the middle of the city of Hull…. As everyone will be very conscious who can themselves remember such a moment, all descriptions are inadequate. But it was as though the skies opened up and light poured down and filled me with a sense of overflowing joy, in response to an immense transcendent goodness and love. I remember that I couldn’t help smiling broadly—smiling back, as it were, at God – though if any of the other passengers were looking they must have thought that I was a lunatic, grinning at nothing. (Autobiography, 33-34)

Though Hick now views his subsequent evangelical years as something of an anomaly on the span of his intellectual biography, at the time it had a dramatic, life-changing impact. He immediately left law to study for Christian ministry, at first still at Hull but shortly thereafter at Edinburgh. While at Edinburgh he studied philosophy under Norman Kemp Smith, who left an indelible impression on the young Hick.

Hick’s time at Edinburgh was interrupted, however, by World War II. As a conscientious objector—much to the dismay of his father—Hick declined the draft and instead served with the Friends Ambulance Unit in Egypt, Italy and Greece. Upon returning from the war, he resumed at Edinburgh, where he graduated in 1948 before going to Oriel College, Oxford, to earn his doctorate in philosophy. At Oxford Hick studied under H. H. Price, and Hick’s thesis became the basis for his first book, Faith and Knowledge.

Hick then went to Westminster College, Cambridge, in 1950, where for the next three years he studied for the Presbyterian ministry, primarily under theologian H. H. Farmer. At Westminster Hick met his soon-to-be wife, Hazel. After graduating from Westminster, he was inducted as minister of Belford Presbyterian church in the small town of Belford, Northumberland, in August 1953. Later that month he and Hazel were married in the church, where Hick served as minister for two and a half years and where the Hicks had their first daughter, Eleanor, in June 1955.

Hick left Belford for the U.S., where in the spring semester of 1956 he began an assistant professorship in philosophy at Cornell University in Ithaca, New York. The following year he published Faith and Knowledge with Cornell University Press. At the time Cornell’s philosophy faculty included Max Black, Norman Malcolm, and John Rawls, among others, and was known as a center for Wittgensteinian thought. Hick taught at Cornell for three and a half years, but not being himself Wittgensteinian, he looked elsewhere for a teaching position. While at Cornell the Hicks had two sons: Mark, born in 1957, and Peter, born toward the end of their time in Ithaca.

In the fall of 1959, Hick moved from Cornell to the Stuart chair of Christian philosophy at Princeton Theological Seminary. While at Princeton he became the center of controversy with the Presbyterian synod of New Jersey for not affirming—though not necessarily denying—the virgin birth of Christ. The case received national attention and was eventually decided in Hick’s favor, allowing him to remain in his professorship.

In 1963 Hick received the Guggenheim Fellowship as well as a one year S. A. Cooke Bye-Fellowship at Gonville and Caius College, Cambridge, where for the following year he worked on what would become his second monograph, Evil and the God of Love. During his sabbatical at Cambridge, a lectureship in philosophy of religion opened there, to which Hick was appointed. He taught one last semester at Princeton Seminary before moving to Cambridge.

During Hick’s third year at Cambridge, the H. G. Wood chair of philosophy of religion at Birmingham—previously held by Ninian Smart—opened, and Hick received the appointment. It was at Birmingham that Hick’s pluralistic outlook began to take shape, as he spent much of his time outside of class with multi-faith groups working on race issues in and around the city. He writes of his experiences:

As I spent time in mosques, synagogues, gurudwaras and temples as well as churches something very important dawned on me. On the one hand all the externals were different…. And not only the externals, but also the languages, the concepts, the scriptures, the traditions are all different and distinctive. But at a deeper level it seemed evident to me that essentially the same thing was going on in all these different places of worship, namely men and women were coming together under the auspices of some ancient, highly developed tradition which enables them to open their minds and hearts “upwards” toward a higher divine reality which makes a claim on the living of their lives. (Autobiography, 160)

Hick subsequently became heavily involved with the group All Faiths for One Race, working on civil rights issues in and around Birmingham. He also began studying Eastern religions, traveling to India to study Hinduism, Punjab to study Sikhism, and Sri Lanka to study Buddhism. The fruit of this study would be his extensive work, Death and Eternal Life, in which he explores various Eastern and Western conceptions of the afterlife and develops an afterlife hypothesis combining elements from Eastern and Western traditions.

In 1977 Hick became embroiled in further controversy after the publication of his edited work, The Myth of God Incarnate. Hick admits that the title was intentionally provocative as an attempt to open the ideas of the book to a larger audience. In this he succeeded, as the book sold thirty-thousand copies in the first six months and was translated into various languages. During their time at Birmingham, the Hicks also had their youngest son, Mike, who at the age of twenty-four would be killed in a tragic climbing accident in the French Alps.

In 1978 Hick gave a lecture at Claremont Graduate University near Los Angeles and was subsequently offered the position of Danforth professor of philosophy of religion. For his first three years, he split his year between Claremont and Birmingham—even spending the summer of 1980 teaching in South Africa, where he met Desmond Tutu, who would become a life-long friend—but beginning in 1982 Hick moved full-time to Claremont. He spent the next ten years at Claremont teaching, organizing conferences in philosophy of religion, and developing his pluralistic hypothesis, which he would present as his Gifford Lectures in 1986-87 and publish as An Interpretation of Religion in 1989 to much critical praise, including the prestigious Grawemeyer Award. During his time at Claremont, Hick’s pluralism took a less theistic turn, due in large measure to his interaction with Buddhist philosophers in the U.S. and Japan, including his Claremont colleague, Masao Abe.

In 1992, at the age of seventy, Hick retired from Claremont and moved back to Birmingham. In 1996 his wife Hazel died of a sudden massive stroke while Hick was recovering from spinal surgery. Throughout the 1990s he continued to travel often to the U.S. and elsewhere for conferences and lectures. Throughout the 2000s, he became less mobile but still managed to continue academic work, continuing a close relationship with Birmingham University as a Fellow of its Institute for Advanced Research in Arts and Social Sciences and publishing a number of books, including The New Frontier of Religion and Science: Religion, Neuroscience and the Transcendent in 2006, Who or What is God? And Other Investigations in 2008, and Beyond Faith and Doubt: Dialogues on Religion and Reason in 2010. In 2011 the University of Birmingham launched the John Hick Centre for Philosophy of Religion and later the same year awarded him an honorary doctorate of divinity, at which time he gave his last public speech. John Hick died on February 9, 2012, just weeks after celebrating his ninetieth birthday.

2. Religious Epistemology

a. Religious Experience

Though Hick’s religious views changed significantly throughout his career, most of the themes of his mature religious epistemology are already present in his first work, Faith and Knowledge. Indeed, it would be difficult to overestimate the importance of this work for contemporary religious epistemology. Instead of describing faith as propositional assent to certain beliefs, Hick describes faith as the interpretive element in religious experience or “experiencing-as”—experiencing the world as not only natural and ethical but as the sphere of the religious as well. While Faith and Knowledge can be read as an apologetic for Christian faith, Hick’s explicit aims are more modest. Rather than demonstrating that God does in fact exist, Hick’s aim is to describe how God is known to humans, if God does exist, and how such knowledge relates to other forms of human knowledge. According to Hick, the difference between faith and other forms of knowledge is not one of kind but of the level of reality known. Just as ethical knowledge supervenes on natural knowledge, so too religious knowledge supervenes on both ethical and natural knowledge.

In arguing for his experience-based understanding of faith, Hick discusses prior understandings of faith, rejecting some elements while retaining others. Hick challenges the traditional Christian definitions of faith as a form of propositional belief, either in the Thomist-Catholic form as a matter of a voluntaristic or fideistic intellectual assent to a certain set of divinely revealed doctrinal propositions, or in the modern voluntarist views, represented by Pascal’s wager and the pragmatism of James. Hick is more ambivalent about Kant’s understanding of faith as a postulate from moral judgment. He approvingly cites Hume and Kant’s attacks on natural theology, holding that there are no compelling arguments for God’s existence. However, according to Kant, even though we cannot offer a logical demonstration for belief in God, nevertheless, “For the practical reason, pursuing the summum bonum, must assume that its attainment is possible, and must therefore postulate a Good Will powerful enough to ensure a final apportionment of happiness to virtue” (Faith and Knowledge, 2d ed. [FK], 61). For Kant, faith is thus not a matter of theoretical rationality based on naturally or divinely revealed propositions, but is a matter of practical rationality based on our moral judgments. Hick discusses this line of reasoning in response to a contemporary advocate, Donald Baillie, before ultimately rejecting the conclusion that our moral intuitions can be used as a proof for God’s existence. However, while Hick rejects the inference from our moral intuitions to the existence of God as a proof, he integrates a similar strand from Baillie into his own view, in which “our apprehension of the divine [is] mediated through our apprehension of values” (FK, 68). Building on this insight, Hick discusses Cardinal Newman’s understanding of faith as an “illative sense,” which Hick defines as “the acquired capacity to respond to indefinable indications in a given field and to marshal a mass of apparently unrelated evidences and divine their trend” (FK, 91). While Hick approvingly discusses Newman’s view that faith consists of a “global impression” or “interpretation,” he takes Newman’s view a step further and raises the even more fundamental question of “whether faith, in its primary sense, is rightly regarded as a propositional attitude at all” (FK, 91). It is the view of faith as a propositional attitude—in any of the forms discussed above—that Hick ultimately rejects.

Instead, Hick argues that for the ordinary believer, religious knowledge is gained by experiencing God for oneself. Religious knowledge, then, is mediated through our experience of the world, in much the same way that the rest of the knowledge we have about the world is gained. Hick calls this aspect of our human experience of the world “significance,” which he further defines as “that fundamental and all pervasive characteristic of our conscious experience which de facto constitutes it for us the experience of a ‘world’ and not merely empty void or churning chaos” (FK, 98). Hick then posits the notion of “interpretation” as the “correlative mental activity by which [significance] is apprehended,” stating,

We shall find that interpretation takes place in relation to each of the three main types of existence…. recognized by human thought—the natural, the human, and the divine; and that in order to relate ourselves appropriately to each, a primary and unevidenceable act of interpretation is required which, when directed toward God, has traditionally been termed “faith.” Thus I shall try to show that while the object of religious knowledge is unique, its basic epistemological pattern is that of all our knowing. (FK, 96-97)

Religious interpretation is thus a perception of significance rather than an inference from or to certain propositions. As Hick further explains,

the primary religious perception, or basic act of religious interpretation, is not to be described as either a reasoned conclusion or an unreasoned hunch that there is a God. It is, putatively, an apprehension of the divine presence within the believer’s human experience. It is not an inference to a general truth, but a “divine-human encounter,” a mediated meeting with the living God. (FK, 115)

Religious interpretation, however, is no worse off than any other kind of perception about the world, since, as Hick argues, “we must accept the Kantian thesis that we can be aware only of that which enters into a certain framework of basic relations which is correlated with the structure of our own consciousness” (FK, 98). In other words, once the Kantian paradigm is accepted, it becomes evident that every experience of the world—natural, ethical, and religious—involves an act of interpreting significance. Religious interpretation is simply the highest order of experiencing the world, not something of a different epistemological kind.

b. Eschatological Verification

Though Hick wrote Faith and Knowledge just as logical positivism was beginning to wane, the logical positivists’ attack upon metaphysics, and theism more specifically, still had enormous residual influence. According to the logical positivists’ verification criterion of cognitive meaning, non-empirical claims are such that they cannot in principle be true or false. Only those claims that can in principle be empirically verified have cognitive meaning. In response to this attack on religious claims, Hick posits the notion of eschatological verification. Eschatological verification is intended to respond to the logical positivists on their own terms by providing a possible scenario in which verification conditions for certain Christian claims obtain, and thus such claims are shown to be cognitively meaningful. So, for the sake of argument, Hick accepts the verification criterion. He then argues that the content of Christian faith can be verified in the afterlife if it is true, though if it is false it cannot be falsified, since there would be no afterlife in which to falsify one’s beliefs. To illustrate his principle of eschatological verification, he offers a parable of two men traveling along a road that one believes leads to a Celestial City and the other believes leads to nowhere. Though they each have the same experiences along the road, the first interprets the experiences as trials to prepare him for the Celestial City, while the other finds the experiences to have no larger meaning. Of the experiences of the travelers in his parable, Hick describes:

During the course of the journey the issue between them is not an experimental one. They do not entertain different expectations about the coming details of the road, but only about its ultimate destination. And yet when they do turn the last corner it will be apparent that one of them has been right all the time and the other wrong. Thus, although the issue between them has not been experimental, it has nevertheless from the start been a real issue. They have not merely felt differently about the road; for one was feeling appropriately and the other inappropriately in relation to the actual state of affairs. Their opposed interpretations of the road constituted genuinely rival assertions, though assertions whose status has the peculiar characteristic of being guaranteed retrospectively by a future crux. (FK, 177-78)

In the same way, Hick argues that the eschatological expectations of the Christian believer provide “an experientially verifiable claim, in virtue of which the belief-system as a whole is established as being factually true-or-false” (FK, 195). He thus argues—contra most logical positivists and Christian believers at the time—that Christian belief is compatible with the logical positivists’ criterion of verification. Though for Hick the world is sufficiently ambiguous to be interpreted theistically or atheistically, nevertheless, “the theistic assertion is indeed—whether true or false—a genuinely factual assertion” (FK, 195).

c. Religion and Neuroscience

Whereas logical positivism provided a formidable objection to religious belief in the twentieth century, neuroscience offers a possible objection to religious belief in the twenty-first century. Instead of judging religious language to be meaningless, as logical positivism had done, the objection from neuroscience is that religious experience is delusory. However, just as Hick found the objection of the logical positivists to be unfounded, so too in his more recent work, The New Frontier of Religion and Science, he finds the objection from neuroscience wanting. He protests that neuroscientists themselves often do not have the philosophical acumen necessary to interpret their research and that many philosophers of mind only give token attention to the findings from neuroscience, assuming a naturalistic worldview from the outset. The result is that it is practically taken as fact that neuroscience has proven a materialist view of persons, when in fact the evidence is ambiguous.

Hick concedes that for every mental event there is a corresponding physical event in the brain, but he argues that proving a brain/mind correlation is a far cry from proving brain/mind identity. He further concedes that brain stimulation through drugs, epileptic seizures, and brain surgery may produce non-veridical religious experiences, but he argues that the ability to cause religious hallucinations does nothing to rule out the possibility of authentic religious experiences.

In response to the naturalist objection from neuroscience, Hick takes a brief foray into the philosophy of mind. He argues first that mind/brain identity is extremely implausible. As he states, “The basic problem [with mind/brain identity] is that not even the most complete account of brain function reaches the actual conscious experience with which it is associated” (The New Frontier of Religion and Science [NFRS], 85). Because many philosophers of mind presuppose a materialist view of persons, they simply beg the question by assuming that mental events are identical to brain events. But for Hick this is simply “an article of naturalistic faith” (NFRS, 91). Despite the ingenuity of naturalist philosophers of mind, consciousness continues to elude a strictly materialist description. Hick next argues that the varieties of epiphenomenalism—in which consciousness is a non-causal byproduct of brain function—fare no better than identity views. If epiphenomenalism is true, then consciousness serves no biological role, and “its emergence would be inexplicable” (NFRS, 103). He argues that developments in artificial intelligence, which are often used to support materialism, actually provide an argument against materialism. For if it is possible to program computers to perform complex functions akin to human behavior without being conscious, then again “consciousness becomes functionless and inexplicable” (NFRS, 101). Assuming that it is more likely that consciousness would emerge if it offered an evolutionary advantage of some kind, he judges epiphenomenalism to be nearly as implausible as mind/brain identity.

After rejecting materialist views of the mind, Hick posits a “non-Cartesian dualism” in which the mind “exists as a non-physical reality in continual interaction with the brain” (NFRS, 111). He believes that this kind of dualism better accounts for nondeterministic or libertarian free will, which he finds entirely more philosophically defensible than compatibilist freedom—the latter of which Hick considers to be self-defeating at best and “an example of philosophical spin doctoring” at worst (NFRS, 112).

Hick summarizes his argument for the possibility of religious experience, stating, “The human person is more than a physical organism, and it cannot be excluded a priori that there may be a non-physical supra-natural reality, perhaps of the limitless significance that the religions claim, and also an answering non-physical aspect of our own nature” (NFRS, 123). He thus invokes the principle of critical trust, in which we take our experiences to be veridical unless and until there is reason to reject their veridicality. He notes that we all live by the principle of critical trust in our everyday experience of the natural world. And since he has argued that there is no a priori reason to rule out the possibility of a supra-natural reality, he concludes that we should apply the same principle of critical trust to our religious experience. One who has a religious experience can take that religious experience to be veridical unless and until there is reason for rejecting its veridicality.

3. Philosophical Theology

a. Irenaean “Soul-making” Theodicy

One of Hick’s most important contributions to philosophical theology is his “soul-making” theodicy, first presented in his work, Evil and the God of Love. He spends much of this work interacting with what he calls the traditional Augustinian type of theodicy, in which finitely perfect human beings at a remote time in history fell from perfection by using their free will to turn away from God—an act of rebellion that precipitated evil and suffering in the world. Hick finds this response to be inadequate due to its basis in a narrowly literal reading of the account of the fall found in Genesis chapter three. According to Hick, it is very difficult to take the story of Adam and Eve’s fall literally in light of the scientific evidence for evolution. Moreover, he finds the traditional view incapable of making sense of “finitely perfect creatures who fall out of the full glory and blessedness of God’s Kingdom” (Evil and the God of Love, 2d. ed. [EGL], 280). For if such a creature lived “face to face with infinite plenitude of being, limitlessly dynamic life and power, and unfathomable goodness and love, there seems to be an absurdity in the idea of his seeing rebellion as a possibility” (EGL, 278). However, if instead such a creature “does not exist in such closeness to God, but rather in a human (or angelic) world in which the divine reality is not unambiguously manifest to him,” then it seems that the circumstances are “weighted against the creature,” and sinning “is now rather more than a bare possibility” (EGL, 279). According to Hick’s understanding of the traditional Augustinian view, then, “The creature’s fall is either impossible, or else so very possible as to be excusable” (EGL, 280).

Rather than utilizing a traditional free-will defense that includes the concept of a literal fall, Hick takes an evolutionary approach to speak of humanity’s developing moral education. In contrast to the Augustinian type of theodicy that looks backward to a remote point of perfection in human history, Hick’s theodicy is decidedly eschatological—looking forward to future perfection in God’s heavenly Kingdom. Though Hick concedes that the Augustinian type has been the dominant one throughout Christian history—with advocates in the Catholic as well as the Protestant tradition—Hick finds another minority type first advocated by the Hellenistic or Eastern Fathers and then re-emerging in the nineteenth century liberal Protestant thought of Schleiermacher. Hick calls this view the Irenaean type of theodicy after the Eastern Father Irenaeus in whom Hick finds the germ of his theodicy. According to the Irenaean type, humans were not created in a perfected state in an idyllic environment but are rather in a continuous process of creation or development from morally immature creatures to morally perfected ones. God thus created the world—with all its potential evil and suffering—to serve as a “vale of soul-making.” Hick states that “it is an ethically reasonable judgment…. that human goodness slowly built up through personal histories of moral effort has a value in the eyes of the Creator which justifies even the long travail of the soul-making process” (EGL, 256). He argues further,

Men are not to be thought of on the analogy of animal pets, whose life is to be made as agreeable as possible, but rather on the analogy of human children, who are to grow to adulthood in an environment whose primary and overriding purpose is not immediate pleasure but the realizing of the most valuable potentialities of human personality. (EGL, 258)

According to Hick, the story of the human fall is a mythological way of describing the present human situation. Humans are given a certain level of autonomy from their creator in virtue of being created at an “epistemic distance” from God. It is possible for humans to know God, but they can only do so by freely exercising a faith-response, which for Hick consists “in an uncompelled interpretive activity whereby we experience the world as mediating the divine presence” (EGL, 281). Humans are cognitively free to live as if the natural world is all that is, but those who interpret the world religiously by responding to God in faith can be slowly developed into the likeness of God.

Hick acknowledges a number of comparisons between the Augustinian type of theodicy and his Irenaean soul-making type of theodicy, such as God’s share in the responsibility for the existence of evil, but he finds the Irenaean type more plausible and theologically satisfying. According to Hick, the Augustinian type is often too impersonal and is undermined by its view of the destiny of humanity divided between the pleasures of heaven and the torments of hell. In contrast, the Irenaean type of theodicy offers the hope “that God will eventually succeed in His purpose of winning all men to Himself in faith and love” (EGL, 342).

Later developments in Hick’s theology and philosophy of religion caused him to back away from taking his soul-making view as an explanation of the design of a loving personal God seeking fellowship with his creatures. Thus, as Marilyn Adams notes in the forward to the 2007 reissue of Evil and the God of Love, Hick shifts from a soul-making theodicy to a soul-making soteriology. In later works, such as his Death and Eternal Life, he continues to make use of the soul-making view, but he develops it in a way that can be utilized to fit his pluralistic orientation to religions, including concepts such as reincarnation and post-mortem moral development.

b. Christology as Myth or Metaphor

In one of Hick’s most important and controversial essays, “Jesus and the World Religions,” Hick calls for a reinterpretation of Jesus’s divinity in light of modern biblical criticism and our growing awareness of religious diversity. According to Hick, “the Nicene definition of God-the-Son-incarnate is only one way of conceptualizing the lordship of Jesus, the way taken by the Graeco-Roman world of which we are the heirs;” however, “in the new age of world ecumenism which we are entering it is proper for Christians to become conscious of both the optional and the mythological character of this traditional language” (“Jesus and the World Religions” [JWR], in The Myth of God Incarnate, 168). Hick argues that the earliest understanding of Jesus expressed by his first disciples and to a large extent portrayed in the synoptic Gospels and the book of Acts is that of a man “intensely and overwhelmingly conscious of the reality of God” (JWR, 172). Because of Jesus’s intimate relationship with God, he possessed a stunning spiritual authority that included the ability to forgive sins, heal diseases, and speak on behalf of God. Jesus was thus given honorific titles by his followers, such as Messiah, Lord, and Son of God. Over time these poetic images attributed to Jesus took on more than the symbolic or metaphorical value in which they were originally intended and instead became metaphysical statements. Hick finds this development already in the Gospel of John and finally formalized in the two-natures Christology of Nicea and Chalcedon.

According to Hick, the two-natures view of Jesus as fully human and fully divine is deficient in at least three ways. First, it misreads the original poetic intent of Jesus’s divine titles, transposing “a metaphorical son of God to a metaphysical God the Son” (JWR, 176). Second, Hick argues that the two-natures view is itself unintelligible. In a now famous quote, he states, “For to say, without explanation, that the historical Jesus of Nazareth was also God is as devoid of meaning as to say that this circle drawn with a pencil on paper is also a square” (JWR, 178). Finally, he argues that a literal understanding of Jesus as the Son of God requires a restrictive view of the authentic religious life as contained exclusively within the Christian tradition. In contrast, by understanding Christological language as mythological, we can affirm that the Logos of God was working in the person of Jesus of Nazareth just as it has worked “in various ways within the Indian, the semitic, the Chinese, the African…. forms of life” (JWR, 181). Hick believes that such an understanding of Jesus will not diminish but will increase his importance in the global religious life.

c. Death and Afterlife

Hick’s Death and Eternal Life stands as one of the few substantial constructive works in pluralistic philosophy of religion or what he calls “global theology.” His expansive treatment of the topic includes discussion of historical views, contemporary philosophical views, humanist views, the contributions of biology, psychology, and parapsychology, and Western and Eastern religious views, including Catholic, Protestant, Vedantic Hindu, and Buddhist thought. Hick argues that there is no good reason to rule out the existence of an afterlife a priori. He rejects naturalistic views of the human person, including mind/brain identity and epiphenomenal views, and argues that the evidence from parapsychology—which he believes is more formidable than is often acknowledged—points to “the independent reality of mind and brain, as mutually interacting entities or processes” and “considerably decreases the a priori improbability of the survival of the mind after the death of the body” (Death and Eternal Life [DEL], 126).

Hick takes a decidedly empirical stance toward views of the afterlife from the various world religions. He invokes the principle of openness to all data, attempting to withhold any bias for or against any particular view. What results is a philosophical evaluation of the Western idea of the survival of a disembodied mind or soul, the semitic/Western idea of bodily resurrection, and the Eastern concepts of reincarnation and rebirth. Hick argues for the possibility of each of these views and examines each for internal consistency and explanatory value. For example, he argues that the popular conception of reincarnation or rebirth in which an individual person literally inhabits a number of successive human bodies “has limited support from the alleged memories of former lives…. but tends to be unconvincing to those outside these cultures, and indeed seems to be slowly losing its hold even within them” (DEL, 392). On the other hand, the more sophisticated understanding of reincarnation, in which a “higher self” or karmic package produces a series of persons, may be true but “lacks the moral and practical significance of the more popular pictures of reincarnation” (DEL, 392).

To argue for the logical possibility of a post-mortem bodily resurrection, Hick offers what he calls the “replica” theory. He explains this theory with a thought experiment that proceeds in three stages. In the first stage a person suddenly disappears in London and an exact “replica” of him reappears in New York. Hick argues that after examining the person in New York, we would find that “there is everything that would lead us to identify the one who appeared with the one who disappeared, except continuous occupancy in space” (DEL, 280). In the second stage of the thought experiment, a person in London suddenly dies and an exact “replica” appears in New York. Hick argues that even if we had the corpse of the person who died in London, we would still eventually conclude—after interaction with the person in New York—that the person who appeared in New York is the same person as the one who died in London. Finally, in the third stage of the thought experiment, the person dies in London and an exact “replica” appears “in a different world altogether, a resurrection world inhabited by resurrected ‘replicas’ – this world occupying its own space distinct from the space with which we are familiar” (DEL, 285). Again, Hick argues that the “replica” in the other world would be considered the same person as the person who died in London. In order to avoid confusion, he uses the term “replica” in quotes to indicate his special use of the term. The point of the quote marks around “replica” is that these are not ordinary replicas, of which there can be many of the same individual, but “replicas” of which there can by definition only be one of each individual. He concludes that as bizarre as these cases may be, they support the logical possibility of bodily resurrection. He does not necessarily endorse the “replica” view but uses it as a helpful way of understanding the idea of post-mortem bodily resurrection expressed in Jewish and Christian thought.

Hick’s primary constructive contribution to the philosophical discussion of the afterlife is his distinction between eschatologies, which describe the final state, and pareschatologies, which describe the state between death and the eschaton. By making such a distinction, he is able to combine multiple religious and philosophical conceptions of the afterlife into his afterlife hypothesis. According to his hypothesis, which he posits tentatively, the state immediately upon death “is subjective and dream-like” and thus can take the form of the expectation of the deceased person (DEL, 416). Since the immediate post-mortem state is shaped partly by the person’s expectations, the devoted Christian may find herself before the throne of final judgment, while the secularist might have a dream-like experience largely continuous with her earthly life. However, because Hick believes that life is a continuous soul-making process and that most of us have not completed that process at death, he hypothesizes that our earthly life may be “the first of a series of limited phases of existence, each bounded by its own ‘death’” (DEL, 408). Unlike traditional reincarnation views, though, Hick believes that each new life will be lived in a new world with its own unique opportunities to continue in the soul-making process toward one’s ultimate perfection.

Finally, Hick proposes very tentatively that the final state, or eschaton, will include all of humanity in a perfected state of unity with each other and with the Transcendent Reality. Hick considers this view to be expressive of the “point towards which the more eastern aspects of traditional western thought seem to converge with the more western aspects of traditional eastern thought” (DEL, 459). In contrast to traditional Western religious views, Hick rejects the notion of the immortal ego. But in contrast to traditional Eastern religious views, he also rejects the idea of complete personal extinction or absorption. Rather,

What Christians call the Mystical Body of Christ within the life of God, and Hindus the universal Atman which we all are, and Mahayana Buddhists the self-transcending unity in the Dharma Body of the Buddha, consists of the wholeness of ultimately perfected humanity beyond the existence of separate egos. (DEL, 464)

Thus, at the completion of the long soul-making process, each person will maintain her individual identity which will be completely void of any “ego-aspect,” having been filled instead with “the unselfish love which the New Testament calls agape” (DEL, 464).

4. Religious Pluralism

a. Religious Ambiguity

Hick’s pluralistic hypothesis is based on the notion that the world is religiously ambiguous, such that it can be experienced either religiously or non-religiously, with no compelling proofs for or against any one religious or nonreligious interpretation of the world. Hick first introduced the notion of religious ambiguity in Faith and Knowledge, though at that time he applied it solely to the ambiguity between theistic and atheistic interpretations of the world rather than drawing out its fuller implications for religious pluralism. Nevertheless, the epistemological ideas in Faith and Knowledge such asexperiencing-as” and “religious interpretation” become the foundation for his pluralistic hypothesis, which he develops most fully in An Interpretation of Religion, based on his 1986-87 Gifford Lectures. There he argues not only that the world is sufficiently ambiguous to allow it to be interpreted religiously in different ways but also that there is parity among each of the major world religions regarding their soteriological and ethical efficacy. As far as can be judged by human observation, no one religion stands out above the rest in terms of its ability to transform lives. Moreover, no one religion can lay claim to being the only context for authentic religious experiences. Once one accepts Hick’s epistemological justification for one’s own religious experience, one must be willing to grant the same epistemological justification for those who form their own quite different religious beliefs based on their religious experiences. Thus Hick proposes his pluralistic hypothesis in which each world faith is viewed as a separate culturally conditioned way in which the Ultimate Reality can be experienced. As he states, “These traditions are accordingly to be regarded as alternative soteriological ‘spaces’ within which, or ‘ways’ along which, men and women can find salvation/liberation/ultimate fulfilment” (An Interpretation of Religion, 2d. ed. [IR], 240).

b. Kantian Phenomenal/Noumenal Distinction and the Transcategorial Real

In developing his pluralistic hypothesis, Hick relies heavily on Kant’s distinction between the phenomenal and the noumenal, where the former is the world as humanly experienced and the latter is the world an sich, as it is in itself. Hick applies this model directly to the religious Ultimate, distinguishing between the Real as humanly experienced and the Real an sich. For Hick, the personal gods described by the various religions, such as Yahweh, the Trinity, Allah, Shiva and Vishnu are experienced at the phenomenal level, as are the non-personal depictions of the religious ultimate which are characteristic of Eastern religions, such as the Absolute, Brahman and Dharmakaya. The concepts of personae and impersonae are based on our phenomenological experiences of the Real; however, such descriptions cannot be literally applied to the Real an sich, which is transcategorial or ineffable. As Hick states, the Real an sich “cannot be said to be one or many, person or thing, substance or process, good or evil, purposive or non-purposive” (IR, 246). Only purely formal categories can be applied to the Real an sich, such as, for example, that it is the ground of our religious experience. In order for religious experiences to be veridical—which Hick argues for at length—he posits the Real an sich as “the necessary postulate of the pluralistic religious life of humanity” (IR, 249). In other words, in order to avoid the extremes of religious exclusivism, where only one religion accurately describes the Real, and religious non-realism, where all religious experience is based on human projection, Hick posits the transcategorial Real as the ground for all authentic religious experience, though the Real in itself is not describable by any one religion.

c. Soteriological and Ethical Criteria

Hick argues that the primary function or goal of each of the major world religions in their various ways is “the transformation of human existence from self-centredness to Reality-centeredness” (IR, 300). According to his pluralistic hypothesis, human salvation is defined by this very transformation. Thus, in order to evaluate the various religions, one must examine their respective abilities to bring about this transformation. By Hick’s estimation, each of the major world religions has produced its own share of saints who exemplify the transformation from self-centeredness to Reality-centeredness. Moreover, “what has happened to a striking extent in the saints has also been happening in lesser degrees to innumerable others within the same traditions” (IR, 307). Therefore, the major world religions should all be judged as authentic soteriological paths. Hick argues further that such transformation is not coincidental but attests to the ethical core of the major world religions, encompassed in the Golden Rule. He finds similarly stated ethical principles in the scriptures and teachings of each of the major world religions but also points to aspects of the various religions that deviate from this ethical core. As he states, “Taking the great world traditions as totalities, then, we can only say that each is an unique mixture of good and evil” (IR, 337). Therefore, as a practical outworking of his pluralistic hypothesis, Hick argues that those doctrines and dogmas of the various religions that do not cohere with the common ethical ideal should be purified from the religions by their respective adherents.

d. Religious Language as Mythological

Since Hick holds that the Real is ultimately transcategorial, ineffable, or mysterious, he posits that all religious language, or language about the Real, is mythological rather than literal. Such mythological language is language that “is not literally true but nevertheless tends to evoke an appropriate dispositional attitude” toward the Real (IR, 348). His application of this mythological language to Christology is perhaps the most well known and controversial, but Hick also proposes similar applications to theological doctrines of each of the various religions, and indeed, to his own theodicy.

5. Criticisms and Influences

Because Hick was such a highly original thinker, whose work fits into neither the established orthodoxies of conservative Christianity nor of philosophical naturalism, his work has been both widely influential and widely criticized. Hick writes in his Autobiography that he has been “attacked from different quarters as anti-Christian, as too narrowly Christian, as an atheist, a polytheist, a postmodernist, and as not postmodernist enough!” (321). While virtually all the ideas he has proposed, including eschatological verification, “replica” theory, epistemic distance, and soul-making have been subject to scrutiny in countless articles and sometimes books, it is his pluralistic hypothesis and its resulting implications for Christian theology which have received the heaviest criticisms by far. Many of these criticisms have been largely theological, but there have been a number of substantial philosophical criticisms as well. For example, William Rowe, Alvin Plantinga, Keith Yandell, George Mavrodes, and others have argued that Hick’s Kantian distinction—as well as his related notion of transcategoriality or ineffability—is philosophically untenable. Mavrodes takes Hick’s phenomenal/noumenal distinction at face value and asks why this does not amount to polytheism, since “all the gods [of the various world religions] are real in the same sense that cantaloupes are real on the Kantian view” (“Polytheism,” in The Philosophical Challenge of Religious Diversity, 147, italics original). Rowe and Plantinga each argue that for every set of contradictory properties, one of them must literally apply to the Real. So, for example, Plantinga argues that between the logically contradictory properties of being or not being a tricycle, the latter is literally true of the Real. Likewise, Plantinga and Yandell each argue that if the Real is in fact ineffable, then it could not serve as the explanatory ground for religious experience. If it is beyond the distinction between good and evil, why believe that it is the ground of moral development rather than moral degradation? Hick has responded to these and other criticisms in his introduction to the second edition of An Interpretation of Religion and has published the back and forth conversations with a number of his critics in his Dialogues in the Philosophy of Religion.

Though Hick’s work has faced some of the strongest criticisms from more traditionally orthodox Christians, he also had a strong influence among this group. Many of his former students are now established Christian philosophers in their own right, including Steven T. Davis, William Lane Craig, and Harold A. Netland. Moreover, his more orthodox contemporary, William Alston, has credited Hick’s Faith and Knowledge as a major influence on his widely influential epistemology of religious experience. However, Hick’s most indelible influence comes not in the form of individual scholars or schools of thought but in the fruit of his efforts to revive philosophy of religion as an academically viable field at a time when it had all but died. The renaissance of philosophy of religion today owes a great debt to Hick’s work in the 1950s-70s, when theism was still very much on the defensive due to the legacy of logical positivism and the impact of the later work of Wittgenstein. It was within this hostile environment that Hick took the tools of analytic philosophy and aggressively defended the rationality of religious practices. Moreover, at a time when philosophy of religion was still dominated by Western theistic discussions, Hick introduced religious diversity as a serious philosophical topic. Today no serious discussion of religious language, religious epistemology, the problem of evil, Christology, or religious pluralism can ignore Hick’s influence.

6. References and Further Reading

a. Primary Sources

  • John Hick, An Autobiography. Oxford: Oneworld, 2002.
    • With the help of his personal journals, Hick recounts his life and career.
  • John Hick, An Interpretation of Religion: Human Responses to the Transcendent, 2d. ed. New Haven: Yale University Press, 2004 (1989).
    • Based on his 1986-87 Gifford Lectures, offers his most comprehensive work in the philosophy of religion, including extended discussion on religious epistemology and religious pluralism.
  • John Hick, Death and Eternal Life. Louisville: Westminster/John Knox, 1994 (London: Collins, 1976).
    • A substantial treatment of the afterlife from a multi-disciplinary, multi-faith perspective.
  • John Hick, Dialogues in the Philosophy of Religion. New York: Palgrave, 2001.
    • Presents Hick’s dialogues over the years with philosophers and theologians, including Alvin Plantinga, William Alston, D. Z. Phillips, and Paul Knitter, among others.
  • John Hick, Disputed Questions in Theology and the Philosophy of Religion. New Haven: Yale University Press, 1993.
    • A shorter treatment of Hick’s views in religious epistemology, Christology, religious pluralism, and the afterlife.
  • John Hick, Evil and the God of Love, 2d. ed. New York: Palgrave Macmillan, 2007 (1966).
    • First published in 1966, offers the main presentation of Hick’s soul-making theodicy.
  • John Hick, Faith and Knowledge, 2d. ed. Ithaca: Cornell University Press, 1966 (1957).
    • Based on his dissertation, this first book of Hick’s presents his experiential account of Christian faith.
  • John Hick, God Has Many Names. Philadelphia: Westminster, 1982.
    • A shorter, less technical discussion of Hick’s pluralistic hypothesis.
  • John Hick, “Jesus and the World Religions.” In The Myth of God Incarnate, ed. John Hick. Philadelphia: Westminster, 1977, 167-85.
    • A clear and concise explanation of Hick’s mythological understanding of Christology.
  • John Hick, The New Frontier of Religion and Science: Religious Experience, Neuroscience and the Transcendent. New York: Palgrave Macmillan, 2006.
    • Recalling many of the themes from Hick’s work, addresses the challenge of neuroscience for religious experience and belief.

b. Secondary Sources

  • William P. Alston, Perceiving God: The Epistemology of Religious Experience. Ithaca: Cornell University Press, 1991.
    • A technical defense of religious experience that acknowledges Hick’s Faith and Knowledge as a major influence.
  • Lance Ashdown. Anonymous Skeptics: Swinburne, Hick, and Alston. Tübingen: Mohr Siebeck, 2002.
    • A technical, critical evaluation of Hick’s religious epistemology from a Wittgensteinian perspective.
  • Douglas Geivett, Evil and the Evidence for God: The Challenge of John Hick’s Theodicy. Philadelphia: Temple University Press, 1995.
    • An evaluation of Hick’s soul-making theodicy by an evangelical philosopher.
  • Harold Hewitt, ed. Problems in the Philosophy of Religion: Critical Studies of the Work of John Hick. London: Macmillan, 1991.
    • A collection of essays by leading philosophers of religion, including Gavin D’Costa, William Rowe, Linda Zagzebski, and Steven Davis, among others, with responses by Hick.
  • Chad Meister, Introducing Philosophy of Religion. New York: Routledge, 2009.
    • A highly readable textbook that offers a good introduction to Hick’s pluralistic hypothesis, as well as Hick’s soul-making theodicy and religious epistemology.
  • Harold Netland. Encountering Religious Pluralism: The Challenge to Christian Faith & Mission. Downers Grove, Ill.: InterVarsity, 2001.
    • An evangelical response to Hick’s pluralistic hypothesis from one of his former students.
  • Alvin Plantinga, Warranted Christian Belief. New York: Oxford University Press, 2000.
    • A lengthy defense of specifically Christian belief that criticizes Hick’s notion of the ineffable Real and responds to his pluralistic critique of exclusive Christian belief.
  • Philip L. Quinn and Kevin Meeker, eds., The Philosophical Challenge of Religious Diversity. New York: Oxford University Press, 2000.
    • A collection of essays from philosophers and theologians from across the theological spectrum, including William Lane Craig, Keith Ward, George Mavrodes, William Alston, and others, interacting primarily with Hick’s pluralistic hypothesis.
  • Robert McKim, Religious Ambiguity and Religious Diversity. New York: Oxford University Press, 2001.
    • A monograph drawing often implicitly and sometimes explicitly on a number of Hick’s themes.
  • Arvind Sharma, ed. God, Truth and Reality. New York: St. Martin’s Press, 1993.
    • A collection of essays in honor of Hick from a host of philosophical and theological colleagues and contemporaries, including William Rowe, Masao Abe, Robert and Marilyn McCord Adams, John Cobb, Ninian Smart, and others.

Author Information

David C. Cramer
Email: david.c.cramer@gmail.com
Baylor University
U. S. A.

Responsibility

We evaluate people and groups as responsible or not, depending on how seriously they take their responsibilities. Often we do this informally, via moral judgment. Sometimes we do this formally, for instance in legal judgment. This article considers mainly moral responsibility, and focuses largely upon individuals. Later sections also comment on the relation between legal and moral responsibility, and on the responsibility of collectives.

The article discusses four different areas of individual moral responsibility: (1) Responsible agency, whereby a person is regarded as a normal moral agent; (2) Retrospective responsibility, when a person is judged for her actions, for instance, in being blamed or punished; (3) Prospective responsibility, for instance, the responsibilities attaching to a particular role; and (4) Responsibility as a virtue, when we praise a person as being responsible. Philosophical discussion of responsibility has focused largely on (1) and (2). The article points out that a wider view of responsibility helps explore some connections between moral and legal responsibility, and between individual and collective responsibility. It also enables us to relate responsibility to its original philosophical use, which was in political thought.

Table of Contents

  1. Introduction
  2. Individual Responsibility
    1. Moral Agency
    2. Retrospective Responsibility
    3. Prospective Responsibility
    4. Responsibility as a Virtue
  3. Moral versus Legal Responsibility
  4. Collective Responsibility
    1. The Agency of Groups
    2. Retrospective Responsibility of Collectives
    3. Prospective Responsibilities of Groups
    4. Responsibility as a Group
  5. Conclusion
  6. References and Further Reading

1. Introduction

The word “responsibility” is surprisingly modern. It is also, as Paul Ricoeur has observed, “not really well-established within the philosophical tradition” (2000: 11). This is reflected in the fact that we can locate two rather different philosophical approaches to responsibility.

The original philosophical usage of “responsibility” was political (see McKeon, 1957). This reflected the origin of the word. In all modern European languages, “responsibility” only finds a home toward the end of the eighteenth century. This is within debates about representative government, that is, government which is responsible to the people. In the etymology of “responsibility,” the Oxford English Dictionary cites the debates on the U.S. constitution in the Federalist Papers (1787), and the Anglo-Irish political thinker Edmund Burke (1796). When John Stuart Mill writes of responsibility, in the middle of the nineteenth century, again his concern is not with free will, but with the principles of representative government. At the end of the nineteenth century, the most notable thinker to speak of responsibility is Max Weber, who propounds an ethics of responsibility (Verantwortungsethik) for the politician. For Weber, the vocation of politics demands a calm attention to the facts of the situation and the consequences of actions – and not to lofty or abstract principles.

So far as responsibility has a place in eighteenth and nineteenth century thought, then, this is in political contexts, where the concern is with responsible action and the principles of representative government. In twentieth century philosophy, on the other hand, the emphasis has been on questions of free will and determinism: Is a person responsible for her actions or character? Would the truth of determinism eliminate such responsibility? Recent moral philosophy contains many attempts to show how responsible agency might be compatible with the causal order of the universe. These debates obviously center on the individual agent. As such, they pose difficulties for understanding the topic of collective responsibility – an issue that twentieth century politics has raised with a new urgency. Nor does a concern with free will correspond to many everyday issues about responsibility – for example, questions of mutual accountability, defining a person’s sphere of responsibility, or judging a person as sufficiently responsible for a particular role.

This Encyclopedia article will mainly deal with the responsibility of individual persons; another article considers collective moral responsibility. In fact, there are several important uses of responsibility as it relates to individuals, which this article will tackle in turn. There are also important questions about the distinction between moral and legal responsibility. The article will then consider what relations there may be between the concept’s individual and collective uses. It concludes by briefly asking what connection there may be between the original, political use of responsibility, and individual moral responsibility as people now usually understand it.

2. Individual Responsibility

There is no philosophically well-settled way of dividing or analyzing the various components of responsibility, and some components are often ignored by philosophers. To take a more comprehensive approach, this article divides the responsibility of individuals into four areas of enquiry. Recent analytic moral philosophy has tended to ask two deceptively simple questions about responsibility:

  1. “What is it to be responsible?” and
  2. “What is a person responsible for?”

The first question is usually taken as a question about moral agency, the second as a question about holding people accountable for past actions. As noted, however, this does not capture the variety of uses that we make of the concept. We can see this by observing that both questions might mean something quite different, leading us to four distinct topics, as follows:

“What is it to be responsible?” is most often asked by philosophers as a question about the foundations of moral agency. What sort of creature can properly be held responsible for its actions? The simple answer is: a normal human adult. To explain and justify this reply, philosophers tend to turn to psychological and metaphysical features of normal adults, such as free will. We might also approach the same issue with a somewhat different emphasis: What features of (normal, adult) human interaction are involved in our holding one another responsible?

However, in asking “What is it to be responsible?” we might also have a second question in mind. We often praise some people as responsible, and criticize others as irresponsible. Here responsibility names a virtue – a morally valuable character trait. We may also praise an institution as responsible. One of the word’s original uses was to call for “responsible government.” We can compare this with the more recent demand that corporations be “socially responsible.” This aspect of responsibility has received very little philosophical attention.

“What is a person responsible for?” is a question most often asked by philosophers in connection with causation and accountability. This retrospective, or backward-looking, use is closely connected with praise and blame, punishment, and desert. When something has gone wrong, we invariably want to know who was at fault; and when something has gone right, we occasionally stop to ask who acted well. This is the topic of retrospective responsibility.

Again, however, we might use the same words to ask an entirely different question: “What is a person responsible for?” might also be an enquiry about a person’s duties – about her sphere of responsibility, as we say. A parent is responsible for caring for his child, an employee for doing her job, a citizen for obeying the law. It is a basic fact of human cooperation that responsibilities are often divided up between people: for example, the doctor is responsible for prescribing the right drugs, and the patient responsible for taking them correctly. As against questions of retrospective responsibility, this topic is sometimes termed prospective responsibility, that is, what responsibilities we are duty-bound to undertake.

These two apparently simple questions (“What is it to be responsible?” and “What is a person responsible for?”) about individual responsibility thus point to four different topics:

  1. moral agency
  2. responsibility as a virtue
  3. retrospective responsibility
  4. prospective responsibility

Each of these topics poses a host of important philosophical questions. Both the retrospective and prospective uses also raise the relation between legal and moral responsibility. Many important theories of responsibility relate to legal concerns, which will be discussed in a later section. As we pursue these topics, there is also the difficulty of seeing how they interrelate, so that it makes sense that we use the same word to raise each issue.

The discussion begins with the topics which philosophers have most often discussed: the nature of moral agency and retrospective responsibility.

a. Moral Agency

Normal human adults represent our paradigm case of responsible agents. What is distinctive about them, that we accord them this status? Thinking of retrospective responsibility in particular, why can be held accountable for their actions – justly praised or blamed, deservedly punished or rewarded? The philosophical literature has explored three broad approaches to moral agency:

  • Human beings have free will, that is, distinctive causal powers or a special metaphysical status, that separate them from everything else in the universe;
  • Human beings can act on the basis of reason(s);
  • Human beings have a certain set of moral or proto-moral feelings.

The first approach, although historically important, has largely been discredited by the success of modern science. Science provides, or promises, naturalistic explanations of such phenomena as the evolution of the human species and the workings of the brain. Almost all modern philosophers approach responsibility as compatibilists – that is, they assume that moral responsibility must be compatible with causal or naturalistic explanation of human thought and action, and therefore reject the metaphysical idea of free will. (An important note: There can be terminological confusion here. Some contemporary philosophers will use the term “free will” to describe our everyday freedom of choice, claiming that free will, properly understood, is compatible with the world’s causal order.)

Among modern compatibilists, a contest remains, however, between the second and third approaches – positions that are essentially Kantian and Humean in inspiration. Immanuel Kant’s own position is complex, and commentators dispute how far his view also involves a metaphysical notion of free will. It is indisputable, however, that our rationality is at the centre of his picture of moral agency. Kant himself does not speak of responsibility – the word was only just coming into the language of his day – but he does have much to say about imputation (Zurechnung), that is, the basis on which actions are imputed to a person. Kant was principally concerned with evaluation of the self. Although he occasionally mentions blame (mutual accountability), his moral theory is really about the basis on which a person treats herself as responsible. The core of his answer is that a rational agent chooses to act in the light of principles – that is, we deliberate among reasons. Therefore standards of rationality apply to us, and when we fail to act rationally this is, simply and crudely, a Bad Thing. It is important to be aware that Kant sees reason as having moral content, so that there is a failure of rationality involved when we do something immoral – for instance, by pursuing our self-interest at the expense of others. Even if we sometimes feel no inclination to take account of others, reason still tells us that we should, and can motivate us to do so. Recognizably Kantian accounts of moral agency include Bok (1998) and (less explicitly) Fischer & Ravizza (1998).

The issue of reason’s moral content separates Kantians from Humeans. David Hume denied that reason can provide us with moral guidance, or the motivation to act morally. He is famous for his claim that “Reason is wholly inactive, and can never be the source of so active a principle as conscience, or a sense of morals” (A Treatise of Human Nature, book 3, part 1, sect. 1). If we are moral agents, this is because we are equipped with certain tendencies to feel or desire, dispositions that make it seem rational to us to act and think morally. Hume himself stressed our tendency to feel sympathy for others and our tendency to approve of actions that lead to social benefits (and to disapprove of those contrary to the social good). Another important class of feelings concern our tendencies to feel shame or guilt, or more broadly, to be concerned with how others see our actions and character. A Humean analysis of responsibility will investigate how these emotions lead us to be responsive to one another, in ways that support moral conduct and provide social penalties for immoral conduct. That is, its emphasis is less on people’s evaluation of themselves and more on how people judge and influence one another. Russell (1995) carefully develops Hume’s own account. In twentieth century philosophy, broadly Humean approaches were given a new lease of life by Peter Strawson’s “Freedom and Resentment” (1962). This classic essay underlined the role of “reactive sentiments” or “reactive attitudes” – that is, emotional responses such as resentment or shame – in practices of responsibility.

The basic criticisms that each position makes of the other are simple. Kantians are vulnerable to the charge that they do not give a proper account of the role of feeling and emotion in the moral life. They can also be accused of reifying our capacity for reason in a way that makes mysterious how human beings’ capacities for reason and morality might have evolved. Humeans are vulnerable to the charge that they cannot give any account of the validity of reasoning beyond the boundaries of what we might feel inclined to endorse or reject: Can the Humean really hold that moral reasoning has any validity for people who do not feel concern for others? Contemporary philosophers have developed both positions so as to take account of such criticisms, which has led to rather technical debates about the nature of reason (for instance, Bernard Williams’ (1981) well-known distinction between internal and external reasons) and normativity (what it is for something to provide a reason to act or think in a certain way, for example, Korsgaard, 1996). So far as responsibility is concerned, Wallace (1994) is a well-regarded attempt to mediate between the two approaches. Rather differently, Pettit (2001) uses our susceptibility to reasons as the basis for an essentially interactive account of moral agency.

For our purposes, perhaps the most important point is that both positions highlight a series of factors important to responsibility and mutual accountability. These factors include: general responsiveness to others (for instance, via moral reasoning or feelings such as sympathy); a sense of responsibility for our actions (for instance, so that we may offer reasons for our actions or feel emotions of shame or guilt); and tendencies to regard others as responsible (for instance, to respect persons as the authors of their deeds and to feel resentful or grateful to them). In each case, note that the first example in brackets has a typically Kantian (reason-based) cast, the second a Humean (feeling/emotion-related) cast.

Two further thoughts should be added which apply regardless of which side of this debate one inclines toward. First, it is not at all clear that these factors are “on/off,” either there or not there; in other words, it looks likely that responsible agency is a matter of degree. One possible implication of this is that some other animals might have a degree of moral agency; another implication is that human beings may vary in the extent of their agency. (This seems clearly true of children as opposed to adults. We may be more reluctant to believe that the extent of adults’ moral agency can vary, but such a claim is not obviously false.) Second, none of these factors has an obvious connection to free will, in the metaphysical sense that opposes free will to determinism. As we shall see, however, whether we emphasize the rational or the affective basis for responsible agency tends to generate characteristically different accounts of retrospective responsibility, where the issue of free will tends to recur.

b. Retrospective Responsibility

In assigning responsibility for an outcome or event, we may simply be telling a causal story. This might or might not involve human actions. For example: the faulty gasket was responsible for the car breaking down; his epileptic fit was responsible for the accident. Such usages do not imply any assignment of blame or desert, and philosophers often distinguish them by referring to “causal responsibility.” More commonly, however, responsibility attribution is concerned with the morality of somebody’s action(s). Among the many different causes that led to an outcome, that action is identified as the morally salient one. If we say the captain was responsible for the shipwreck, we do not deny that all sorts of other causes were in play. But we do single out the person who we think ought to be held responsible for the outcome. Philosophers sometimes distinguish this usage, by speaking of “liability responsibility.” Retrospective responsibility usually involves, then, a moral (or perhaps legal) judgment of the person responsible. This judgment typically pictures the person as liable to various consequences: to feeling remorse (or pride), to being blamed (or praised), to making amends (or receiving gratitude), and so forth.

This topic is an old concern of philosophers, predating the term “responsibility” by at least two millennia. The classic analysis of the issues goes back to Aristotle in the Nicomachean Ethics, where he investigates the conditions that exculpate us from blame and the circumstances where blame is appropriate. Among conditions that excuse the actor, he mentions intoxication, force of circumstances, and coercion: we cannot be held responsible where our capacity to choose was grossly impaired or where there was no effective choice open to us (though perhaps we can be blamed for getting into that condition or those circumstances). We can be blamed for what we do when threatened by others, but not as we would be if coercion were absent. In each case, the issue seems to be whether or not we are able to control what we do: if something lies beyond our control, it also lies beyond the scope of our responsibility.

However, although Aristotle thinks that our capacities for deliberation and choice are important to responsible agency, he lacks the Kantian emphasis on rational control discussed in the last section. Aristotle grants considerable importance to habituation and stable character traits – the virtues and vices. Hence another way of interpreting what he says about responsibility is to argue that Aristotle’s excusing conditions represent cases where an action does not reveal a person’s character: everybody would act like that if circumstances provided no other choice; no one makes responsible choices when drunk. On the other hand, how we respond to coercion does reveal much about our virtues and vices; the point is that the meaning of such acts is very different from the meaning they would have in the absence of coercion.

In its emphasis on character, Aristotle’s account is much closer to Hume’s than to Kant’s, since character is about tendencies to feel and behave in various ways, as well as to think and choose. Given that Kant’s moral psychology is usually thought to be less plausible than Aristotle or Hume’s, it is interesting that Kantian approaches have, nonetheless, dominated modern approaches to retrospective responsibility. Why should this be so?

Kant’s underlying thought is that the person who acts well deserves to be happy (he continually refers to goodness as “worthiness to be happy”). The person who acts badly does not: she deserves to be reproached, ought to feel remorse, and may even deserve punishment. Since blame, guilt and punishment are of great practical importance, it is clearly desirable that our account of responsibility justify them. Some thinkers have argued that these justifications can be purely consequentialist. For instance, Smart (1961) argues that blame, guilt and punishment are only merited insofar as they can encourage people to do better in the future. However, most philosophers have been dissatisfied with such accounts. Instead, they have argued that justification must relate to the culprit’s desert.

For most people, the intuitive justification for the sort of desert involved in retrospective responsibility lies in individual choice or control. You chose to act selfishly: you deserve blame. You chose not to take precautions: you deserve to bear the consequences. You chose to break the law: you deserve punishment. (The question of legal responsibility is considered separately, below.) This way of putting matters clearly gives pride of place to our capacity to control our conduct in the light of reasons, moral and otherwise. It will also emphasize the intentions underlying an action rather than its actual outcomes. This is because intentions are subject to rational choice in a way that outcomes often are not. Kant’s thought that the rational agent can choose whether or not to act on the basis of reasons is sometimes expressed in the idea that we should each be respected as the authors of our thoughts and intentions. This thought has the less positive consequence that when somebody chooses immorally and irrationally, he fails in a distinctive way, so that he is not (in Kant’s terms) “worthy to be happy.” Note, however, that this line of thought is open to a very obvious objection. It can be argued that our intentions and choices are conditioned by our characters, and our characters by the circumstances of our upbringing. Clearly these are not matters of choice. This is why a concern with retrospective responsibility raises the family of issues around moral luck and continues to lead back to the issue of free will: the idea that we are, really and ultimately, the authors of our own choices – despite scientific and common-sense appearances.

The article on praise and blame discusses this issue in more depth, contrasting Kant’s approach with that of Aristotle and utilitarianism. Humeans, favoring naturalistic explanation of thought and action, are likely to be drawn to elements of the last two – namely Aristotle’s emphasis on actions as revealing virtues and vices, and the consequentialist emphasis on social benefits of practices of accountability. In particular, Humeans are much more likely to see retrospective responsibility in terms of the feelings that are appropriate – for instance, our resentment at someone’s bad conduct, or our susceptibility to shame at others’ responses. Clearly, such feelings and the resulting actions are about our exercising mutual influence on one another’s conduct for the sake of more beneficial social interaction. In other words, although the Humean analysis can be understood in terms of individual psychology, it also points to the question: What is it about human interaction that leads us to hold one another responsible? Kantians, on the other hand, tend to think of retrospective responsibility, not as a matter of influencing others, but rather as our respecting individual capacities for rational choice. This respect may still have harsh consequences, as it involves granting people their just deserts, including blame and punishment.

c. Prospective Responsibility

A different use of “responsibility” is as a synonym for “duty.” When we ask about a person’s responsibilities, we are concerned with what she ought to be doing or attending to. Sometimes we use the term to describe duties that everyone has – for example, “Everyone is responsible for looking after his own health.” More typically, we use the term to describe a particular person’s duties. He is responsible for sorting the garbage; she is responsible for looking after her baby; the Environmental Protection Agency is responsible for monitoring air pollution; and so on. In these cases, the term singles out the duties, or “area of responsibility,” that somebody has by virtue of their role.

This usage bears at least one straightforward relation to the question of retrospective responsibility. We will tend to hold someone responsible when she fails to perform her duties. A captain is responsible for the safety of the ship; hence he will be held responsible if there is a shipwreck. The usual justification for this lies in the thought that if he had taken his responsibility more seriously, then his actions might have averted the shipwreck. In some cases, though, when we are entrusted with responsibility for something, we will be held responsible if harm occurs, regardless of whether we might have averted it. This might be true if one hires (that is, rents) a car, for instance: even if an accident is not your fault, the contract may stipulate that you will be responsible for part of the repair costs. In order to hire (rent) the car in the first place, one must accept – take responsibility for – certain risks.

Legal thinkers, in particular, have pointed out that this suggests one way in which Kantian approaches – that is, approaches to responsibility which focus on acts and outcomes that were under a person’s control – may be inadequate. We may think that everybody has a duty (that is, a prospective responsibility) to make recompense when certain sorts of risks materialize from their actions. Consider a standard example: suppose John accidentally slips and breaks a vase in Jane’s shop. This is probably not something John had control over, and to avoid the risk of damaging any of Jane’s possessions, John would have to avoid entering her shop altogether. Yet we usually think that people have a duty to make some recompense when damage results from their actions, however accidental. From the point of view of our interacting with one another, the issue is not really whether a person could have avoided a particular, unfortunate outcome, so much as the fact that all our actions create risks; and when those risks materialize, someone suffers. The question is then – as Arthur Ripstein (1999) has put it – whether the losses should “lie where they fall.” To say that they should is basically to shrug our shoulders about the damage; in that case, the only person who suffers is the shop-owner. But we often think that losses should be redistributed. For that to happen, someone else has to make some sort of amends – in this case, the person who caused the accident will have to accept responsibility.

In terms of prospective responsibility, then, we may think that everyone has a duty to make certain amends when certain risks of action actually materialize – just because all our actions impose risks on others as well as ourselves. In this case, retrospective responsibility is justified, not by whether the person controlled the outcome or could have chosen to do otherwise, but by reference to these prospective responsibilities. Notice, however, that we might want to distinguish the duty to make amends from the issue of blameworthiness. One might accept the above account as to why the customer should compensate the owner of the broken vase, but add that in such a case she is not to blame for the breakage. There is clearly some merit to this response. It suggests that retrospective responsibility is more complicated than is often thought: blameworthiness and liability to compensate are different things, and may need to be justified in different ways. However, this question has not really been systematically pursued by moral philosophers, although the distinction between moral culpability and liability to punishment has attracted much attention among legal philosophers.

The connection between prospective and retrospective responsibility raises another complication. This stems from the fact that people often disagree about what they ought to do – that is, about what people’s prospective responsibilities are. This question of moral disagreement is not often mentioned in debates about responsibility, but may be rather important. To take an example: people have very different beliefs about the ethics of voluntary euthanasia – some call it “mercy killing,” others outright murder. Depending on our view, we will tend to blame or to condone the person who kills to end grave suffering. In other words, different views of somebody’s prospective responsibilities will lead to very different views of how retrospective responsibility ought to be assigned. One might even argue that many of our moral disagreements are actually brought to light, and fought out, when actors and on-lookers dispute what responses are appropriate. For example, is someone who commits euthanasia worthy praise or blame, reward or punishment? These disagreements, often very vocal, are important for the whole topic of responsibility, because they relate to how moral agents come to be aware of what morality demands of them.

Kantian ethics typically describes moral agency in terms of the co-authorship of moral norms: the rational agent imposes norms upon herself, and so can regard herself as an “author” of morality. (This element of Kantian ethics can be difficult to appreciate, because Kant is so clear that everyone should impose the same objective morality on themselves.) Whether or not one accepts the Kantian emphasis upon rationality or a universalist morality, it is clear that an important element of responsible agency consists in judging one’s own responsibilities. Hence, we do not tend to describe a dutiful child as responsible. This is because he obeys, rather than exercising his own judgment about what he ought to do. This issue is not just about how we judge our own duties, however: it’s also about how others judge us, and our right to judge others. So far as others regard us as responsible, they will recognize that we also have a right to judge what people’s prospective responsibilities are, and how retrospective responsibility ought to be assigned. Importantly, people can recognize one another as responsible in this way, even in the face of quite deep moral disagreements. By the same token, we know how disrespectful it is of someone, not to take her moral judgments seriously.

The question of how far we are entitled to judge prospective responsibilities – our own and other people’s – and how far we are entitled to judge retrospective responsibilities – our own and others’ – raises yet another complication for how we think about responsibility. As the example of childhood suggests, there can be degrees of responsibility. Ascribing different degrees of responsibility may be necessary or appropriate with regard to different sorts of decision-making. Hence we sometimes say, “He’s not ready for that sort of responsibility” or “She couldn’t be expected to understand the implications of that sort of choice.” In the first place, such statements highlight the close connection between prospective and retrospective responsibility: it will not be appropriate to hold someone (fully) responsible for his actions if he was faced with responsibilities that were unrealistic and over-demanding. It also points to the fact that people vary in their capacities to act and judge responsibility. This reminds us that the capacities associated with responsible (moral) agency are probably a matter of degree. It might also remind us of a fourth use of “responsibility”: to name a virtue of character.

d. Responsibility as a Virtue

While theories of moral agency tend to regard an agent as either responsible or not, with no half-measures, our everyday language usually deploys the term “responsible” in a more nuanced way. As just indicated, one way we do this is by weighing degrees of responsibility, both with regard to the sort of prospective responsibilities a person should bear and a person’s liability to blame or penalties. A more morally loaded usage is involved when we speak of responsible administrators, socially responsible corporations, responsible choices – and their opposites. In these cases, we use the term “responsible” as a term of praise: responsibility represents a virtue that people (and organizations) may exhibit in one area of their conduct, or perhaps exemplify in their entire lives.

In such cases, our meaning is usually quite clear. The responsible person can be relied on to judge and to act in certain morally desirable ways; in the case of more demanding (“more responsible”) roles, the person can be trusted to exercise initiative and to demonstrate commitment; and when things go wrong, such a person will be prepared to take responsibility for dealing with things. One way of putting this might be to say that the responsible person can be counted on take her responsibilities seriously. We will not need to hold her responsible, because we can depend on her holding herself responsible. Another way of putting the matter would be much more contentious, and harkens back to the question of whether we should think of moral agency as a matter of degree. One might claim that the responsible person possesses the elements pertaining to moral agency (such as capacities to judge moral norms or to respond to others) to a greater degree than the irresponsible person. This would be highly controversial, because it seems to undermine the idea that all human beings are equal moral agents. However, it would help us to see why a term we sometimes use to describe all moral agents can also be used to praise some people rather than others.

However this may be, it is fair to say that this usage of “responsible” has received the least attention from philosophers. This is interesting given that this is clearly a virtue of considerable importance in modern societies. At any rate, it is possible to see some important connections between the virtue and the areas that philosophers have emphasized.

The irresponsible person is not one who lacks prospective responsibilities, nor is she one who may not be held responsible retrospectively. It is only that she does not take her responsibilities seriously. Note, however, that the more responsible someone is, the more we will be inclined to entrust her with demanding roles and responsibilities. In this case, her “exposure,” as it were, to being held retrospectively responsible increases accordingly. And the same is true in the opposite direction, when someone consistently behaves less responsibly. An illuminating essay by Herbert Fingarette (1967) considers the limit case of the psychopath, someone who shows absolutely no moral concern for others, nor any sensitivity to moral reproach. Perhaps our first response will be to say that such a person is irresponsible, even evil. Fingarette argues we must finally conclude that he is in fact not a candidate for moral responsibility – that he is not a moral agent, not to be assigned prospective responsibilities, not to be held retrospectively responsible for his actions. In other words, it only makes sense to grade someone as responsible or irresponsible, so long as holding her responsible has any prospect of making her act more responsibly. The psychopath will never be responsive to blame, nor ever feel guilt. In fact, as someone who will never take any responsibility seriously, he does not qualify as a moral agent at all – as being responsible in its most basic sense. This might sound like writing the person a blank check to behave utterly immorally, but two points should be remembered: First, society protects itself against such people, often by incarcerating them as insane (“psychopathy” names a mental disorder). Second, the Kantian account reminds us that not to treat someone as responsible for her actions is to fail to respect her as the author of her deeds. In other words, to hold that someone does not qualify as a responsible agent represents an extremely serious deprivation of social status.

Looking at the matter positively, we can also say that a person who exhibits the virtue of responsibility lives up to the three other aspects of responsibility in an exemplary way. First, she exercises the capacities of responsible moral agency to a model degree. Second, she approaches her previous actions and omissions with all due concern, being prepared to take responsibility for any failings she may have shown. And third, she takes her prospective responsibilities seriously, being both a capable judge of what she should do, and willing to act accordingly.

3. Moral versus Legal Responsibility

As some of the examples of retrospective and prospective responsibility indicate, law has an especial connection with questions of responsibility. Legal institutions often assign responsibilities to people, and hold them responsible for failing to fulfill these responsibilities – either via the criminal law and policing, or by allowing other parties to bring them to court via the civil law, for example when a contract is breached. Accordingly, the justification of punishment represents a major concern of philosophy of law. Likewise, legal philosophers, including figures such as H.L.A. Hart, Herbert Morris and Joel Feinberg, have written a great deal about the philosophy of responsibility. Their discussions have had considerable influence on moral and political philosophers.

The most obvious point, that all writers will endorse, is that legal and moral responsibility often overlap, but will diverge on some occasions. In the liberal state we can hope that there will be systematic convergence, inasmuch as the law will uphold important moral precepts, especially concerning the protection of rights. (In a corrupt or tyrannical state, on the other hand, it is obviously very common that legal and moral responsibility have no relation at all. Tyrants often demand that their subjects be complicit in immorality, such as harming the innocent.) An example where law and morality clearly overlap is murder: it is both a legal crime and an egregious moral wrong. Few would dispute, then, that murder ought to be punished, both legally and morally speaking.

However, the law does not punish attempted murder in the same way as an actual murder – that is, it does not prioritize intentions over outcomes in the same way that many believe that moral judgment should. The difference between murder and grievous bodily harm may not lie in the intention or even in the actual wounds inflicted: everything depends on the outcome, that is, whether death results. Thus the crimes attract different punishments, though our moral judgment of someone may be no lighter in the case of a particularly vicious assault. One way of putting this is to say that the law is concerned with definite outcomes, and only secondarily with intentions. Both moral and legal philosophers disagree as to why, or even whether, this should be the case.

A distinguished line of thought, exemplified by H.L.A. Hart in his essay “Legal Responsibility and Excuses” (in Hart, 1968), holds that legal responsibility should be understood in different terms to moral judgment. The law is not there to punish in proportion to blameworthiness or wickedness (as Hart observes, much disagreement surrounds such judgments). Instead, the law provides people who are competent to choose with reasons to act in socially responsible ways. Hart focuses on excuses under the law, such as insanity or coercion. Law admits such excuses in spite of their possible consequentialist disutility (excuses may well decrease the deterrent force of law, because some people might hope to misuse these excuses to wriggle out of legal accountability). For Hart, excuses are an important part of a system that does not just seek to prevent crime, but also to protect choice; as a result, law does not punish those who were not able to choose their actions. Under such a “choosing system,” “individuals can find out, in general terms at least, the costs they have to pay if they act in certain ways” (1968: 44). In this way, law can foster “the prime social virtue of self-restraint” (1968: 182). Law can also respect what Peter Strawson stressed in “Freedom and Resentment” (1962): that our social relations depend on our emotional responses to people’s voluntary actions. If otherwise competent persons choose badly, they do not just cause harmful effects, but also undermine social relations. Hart’s justification of punishment, then, holds that attributions of (legal) responsibility help uphold social order while respecting individual choice. His account therefore combines a consequentialist emphasis on external actions and outcomes with an important mental element: punishment is only appropriate in case of competent choice, that is, where excusing conditions do not apply. However, Hart emphasizes that his account does not apply to moral judgment, about which his views seem to be more or less Kantian.

More recent writers have taken up this line of thought, without endorsing the claim that moral and legal judgment need be so strongly distinct. Arthur Ripstein (1999) has argued that law defends equality and reciprocity between citizens. It therefore has to protect people’s interests in freedom of action as well their interests in security of person and property. Law has to be concerned with fairness to victims as well as fairness to culprits. To do this, it defines a system of prospective responsibilities that protect the interests of all, and holds people retrospectively responsible for breaches. For instance, the coercive measure of punishment is called for where a person disregards another’s liberty or security interests. Threats or attempts also disregard those interests and may be punishable, but they do not undermine equality in social relations as severely as successful violations of rights. (As Ripstein notes, his approach actually descends from Kant’s account of punishment, which works in a different way to Kant’s account of moral imputation. On this, see Hill, 2002.) Ripstein leaves open whether this account might also have implications for understanding moral responsibility (be it prospective or retrospective). However, his underlying idea – concerning fairness to both wrong-doer and victim – does suggest problems for accounts of retrospective moral responsibility that focus (in more or less Kantian fashion) only on the culprit’s choice and intentions.

A quite different school of thought, recently exemplified in the work of Michael Moore (1998), endorses a recognizably Kantian view of moral responsibility, and argues that the law ought to share this approach. Apart from the theoretical difficulties that face the Kantian approach to moral responsibility, however, this school of thought has to claim that large parts of legal practice are misconceived. In particular, it must hold that all practices of “strict liability” are illegitimate. Strict liability is the practice of holding a person accountable if certain harms materialize, even where she could not have done anything to prevent those harms coming about. (Contrast Ripstein’s account just given, or the above example of the customer who accidentally breaks a vase in a shop.) Similarly, Moore’s approach faces severe difficulties in explaining why the law should punish on the basis of outcomes and not only intentions – even though every legal system shares this feature.

Legal responsibility has another interesting relation to the question of responsible agency. In addition to admitting “excusing conditions” such as insanity, systems of law stipulate various age conditions as to who counts as responsible. For example, all jurisdictions have an age of criminal responsibility: a person under the age of, say, twelve cannot be punished for murder. Likewise, law permits only people above certain ages to engage in various activities: drinking alcohol, voting, standing as an elected representative, entering into contracts, consenting to medical treatment, and so forth. Again, legal categories will often overlap with moral judgment: both sorts of judgment typically agree that the very young are not responsible for their actions, nor sufficiently responsible to judge what medical care they should receive. That said, our non-legal judgments about when a person becomes sufficiently mature to be responsible invariably depend on the person, as well as on the difficult question of what degree of maturity is necessary to responsible conduct in different spheres of life.

4. Collective Responsibility

In recent decades increasing attention has been given to the question of collective responsibility. This question can arise wherever the actions of a group of people combine to generate a particular result – whether a corporation, or the citizens of a state, or even individuals who have no particular connection to one another. (A well-known example of the last is “the tragedy of the commons,” when lots of people use a shared resource – for instance, everyone using the commons as grazing land for their cattle – resulting in the degradation of that resource. Our increasing awareness of damage to environment has given this case particular contemporary importance.) There are questions about the responsibilities of the collective, and of the individual as a member of that body. Recall that one of the original uses of the word responsible” was to describe a desirable quality of government, and that we still use the word in this way to praise some institutions, just as we may criticize a corporation or group as irresponsible.

Many perplexities about shared responsibility arise from the thought that individuals are responsible agents, in a way that groups cannot be. A well-known formulation captures this problem neatly: “No soul to damn, no body to kick” (Coffee, 1981). As pointed out above, it is usually thought that a person can be blamed or deserve punishment by virtue of certain psychological capacities (“soul”), as well as by virtue of being the same person (“body”) today as she was yesterday. On this account, there is a serious puzzle as to how a collective can be responsible, since a collective lacks the psychological capacities of an individual person (but see the Encyclopedia article on collective intentionality) and its membership tends to alter over time. Note, however, that if we think of responsibility in terms of capacities to interact in the light of shared norms – as the Humean account of moral agency might suggest – rather than as a matter of particular psychological capacities, then we need not be so concerned with those capacities nor, perhaps, with changes in membership.

A separate article, collective moral responsibility, discusses the issues that arise here. It may be useful, however, to indicate briefly how the four aspects of individual responsibility discussed above might apply to the collective case.

a. The Agency of Groups

In the first place, it is clear that collective bodies can function as agents, at least in some circumstances. Groups and organizations can pursue particular policies, respect legal requirements, reach decisions about how to respond to situations, and create important benefits and costs for other agents. They can also offer an account of their previous actions and policies, setting out how and why these were decided upon. However, these abilities clearly depend upon the collective’s being appropriately organized, which is a matter of internal communication, deliberative mechanisms, and allocation of responsibilities to individuals. Clearly, organizations may function better or worse in all these regards – as may the other organizations with which they interact and which may, in turn, hold them responsible.

b. Retrospective Responsibility of Collectives

By the same token, collective bodies can be held responsible. In fact, law does this all the time, at least for formally established collectives that are not states, for example, corporations, charities and statutory bodies such as government agencies. Responsible officers may be called to account – to answer for their organization’s actions, to be dismissed or even punished if that account is unsatisfactory. As a body, the collective owns property and acts in systematic ways: legal measures can therefore make it provide compensation, or exact fines simply as a punishment; a court can order the body to act differently or to remedy a particular case or situation.

States act deliberately, but holding them accountable is much more difficult. States can commit the most serious wrongs, waging war or inflicting grave injustice upon their own peoples. International law attempts to codify some duties of states, and the duties of individuals who govern them. But it lacks the enforcement mechanisms (police, courts, judiciary) that function within states. Examples of attempts to hold states and their agents retrospectively responsible include: South Africa’s well-known Truth and Reconciliation Commission, which addressed the brutalities of the old apartheid regime; the trial of individuals, such as the 1961 Jerusalem trial of Nazi functionary Adolf Eichmann; and the exacting of reparations following the defeat of a state, for instance the notorious Versailles agreement that penalized Germany for its role in the First World War.

As the article on collective moral responsibility discusses, imposing liabilities, punishments or duties onto collective bodies will finally involve costs or duties for individuals. This poses many difficult questions about how the supposed responsibilities of the group might be traced back to particular individuals. Perhaps the people who were most to blame have died or moved jobs or are otherwise out of reach. Should the citizens of a country make amends for the wrong-doing of their forefathers, for instance? Ought a corporation that has fired its top managers still be liable to pay fines for the misdeeds that those former managers led the corporation into? For many, such questions highlight the most puzzling aspect of collective responsibility, namely that individuals might justly be required to make amends for others’ actions and policies.

c. Prospective Responsibilities of Groups

For formally organized collectives, prospective responsibilities are often codified by law, or (in the case of a charity, for instance) specified in a group’s constitution. As in the individual case, of course, our moral judgment may differ from codified responsibilities: not only moral but also political arguments often surround these allocations of responsibility. Proponents of corporate social responsibility, for example, generally hold that companies’ responsibilities extend much beyond their legal duties, including wider obligations to the communities amongst which they operate and to the natural environment. Just as in the case of individuals, attempts to hold groups and organizations retrospectively accountable often, therefore, reveal serious moral disagreements, and invariably have a political dimension, too.

d. Responsibility as a Virtue

Groups, companies, and states can all be more or less responsible. Originally, “responsible government” described government responsive to the wants and needs of its citizens; in the same way, we now speak of corporate social responsibility. As in the individual case, for collectives to exhibit the virtue of responsibility depends on the other three aspects of responsibility discussed in this article. With regard to moral agency, it will require good internal organization, so that the body is aware of its situation, capacities, actions and impacts. With regard to retrospective responsibility, it involves a willingness and ability to deal with failings and omissions, and to learn from these. In terms of prospective responsibility, the collective’s activities and policies must be aptly chosen, conformable to wider moral norms, and properly put into effect. As with individuals, how far a body is likely to do these things also depends on how far those around it (that is, both individuals and other collectives) act responsibly. For instance, others will need to form appropriate expectations of the collective, and be prepared to enforce these expectations fairly and reasonably.

5. Conclusion

This article has pointed to four dimensions of responsibility, reflecting the various ways in which the word is used. Moral agency can also be termed responsible agency, meaning that a person is open to moral evaluation. This sort of moral status points in two directions. It means that a person’s actions can be judged morally, so that various responses such as praise or punishment may be appropriate – this is the stuff of retrospective responsibility. In the other direction, a moral agent has particular duties or concerns – the stuff of prospective responsibility. Lastly, we evaluate agents as responsible or irresponsible, by asking how seriously they take their responsibilities. This involves evaluating them in terms of how far they exercise (or possess) the capacities pertaining to moral agency, how they approach their past actions and failings, and how they approach their duties and areas of responsibility. As we have seen, writers differ concerning the connections between moral and legal responsibility, but it is also true that these four dimensions all find echo in legal uses of responsibility.

Philosophical discussion often considers these aspects of responsibility only with regard to individuals, so that the term “collective responsibility” appears puzzling, despite its frequent usage in everyday life. The final part of this article briefly considered how each of these dimensions can be applied to groups, although it has left aside some difficult questions that arise – for example, how a group’s retrospective responsibilities can be fairly apportioned to individuals, or how collectives can be organized so as to be more or less responsible.

This article began by observing that the word responsibility is surprisingly modern, and that two quite different philosophical stories have been told about it. Very little was said concerning the first story, concerning responsibility in political thought. However, it has pointed out that the concept extends more widely than modern philosophical debates tend to acknowledge. Prospective responsibility relates to the fine-grained division of responsibilities involved in the different roles which people adopt in modern societies – above all, the different spheres of responsibility which we are given in the workplace. By the same token, responsibility has clearly become a very important virtue in modern societies.

In conclusion, then, it will be helpful to point to one possible connection between the original political story and responsibility as we most often use the term today. (See also Pettit, 2001, for another account.) Uncertainty and disagreement about how we should live together is one of the most marked features of modern life. We live in an age when both individuals and organizations are asked to be endlessly flexible. Our roles and responsibilities are continually changing and continually challenged. Uncertainty and disagreement about prospective responsibilities are always passing over into disputes about retrospective responsibility, as we hold one another accountable. We all face the test, then, of how to conduct ourselves amid this uncertainty and disagreement. It is surely one hallmark of the person who exhibits the virtue of responsibility that she contributes to cooperation in the face of this difficult situation. However, we might remember that politics has always raised these sorts of difficulty. In modern societies, negotiation, compromise and judgment are required, not just of those who take on formal political office, but of all of us. It is surely no wonder, then, that we no longer think of responsibility as only a question for the political sphere.

6. References and Further Reading

  • Adkins, A.W.H. (1960) Merit and Responsibility, Clarendon Press, Oxford
    • Argues that the Greeks lacked modern, Kantian notions of duty and fairness in assigning responsibility.
  • Aristotle Nicomachean Ethics – the most readable translation is Roger Crisp’s, Cambridge University Press, Cambridge, 2000.
  • Bok, Hilary (1998) Freedom and Responsibility, Princeton University Press, Princeton NJ
    • A Kantian analysis of moral agency and retrospective responsibility.
  • Bovens, Mark (1998) The Quest for Responsibility: Accountability and Citizenship in Complex Organizations, Cambridge University Press, Cambridge
    • Investigates how regulation, organisational reform, and different means of accountability can address irresponsibility on the part of institutions.
  • Coffee, Jr., John (1981) “‘No Soul to Damn: No Body to Kick’: An Unscandalized Inquiry into the Problem of Corporate Punishment” Michigan Law Review, 79, 386-460.
  • Duff, R.A. (1990) Intention, Agency and Criminal Liability, Blackwell, Oxford, Chapters 3-5
    • A careful analysis of moral and legal responsibility, focusing on the centrality of intentional action.
  • Feinberg, Joel (1970) Doing and Deserving: Essays in the Theory of Responsibility, Princeton University Press, Princeton
    • A collection of classic essays on moral and legal responsibility.
  • Fingarette, Herbert (1967) “Acceptance of Responsibility” in his On Responsibility, Basic Books, New York
    • The essay referred to above, which takes the example of psychopathy and argues that responsibility attributions are intelligible only insofar as they connect up with a person’s existing moral concern.
  • Fingarette, Herbert (2004) Mapping Responsibility: Explorations in Mind, Law, Myth, and Culture, Open Court, Chicago
    • A collection of notably succinct essays, summarizing a life-time’s careful reflection on many aspects of responsibility.
  • Fischer, John Martin & Mark Ravizza (1998) Responsibility and Control: A Theory of Moral Responsibility, Cambridge University Press, Cambridge
    • Contemporary restatement of the idea that responsibility relates to rational control over one’s actions.
  • Hart, H.L.A. (1968) Punishment and Responsibility, Oxford University Press, Oxford
    • A noted twentieth century legal theorist analyses legal and moral responsibility, strongly defending distinctions between moral and legal responsibility, and between “punishment” and (in case of insanity) “treatment” .
  • Hill, Thomas E (2002) Human Welfare and Moral Worth: Kantian Perspectives, Clarendon, Oxford
    • Chapters 9 & 10 explain how Kant’s account of punishment is distinct from his account of moral imputation.
  • Hume, David (1777) An Enquiry Concerning the Principles of Morals (various editions)
    • Appendix IV, “Of some verbal disputes,” argues that there is no real line between a talent and a (moral) virtue, and that the real question concerning any character trait is whether it elicits approval (praise) or disapproval (blame) .
  • Jaspers, Karl (1947) The Question of German Guilt, translated by E.B. Ashton, Dial Press, New York
    • A classic reflection on the issues facing Germany after the second world war, posed in terms of criminal, political, moral, and metaphysical guilt.
  • Jonas, Hans (1984) The Imperative of Responsibility, University of Chicago Press, Chicago
    • Argues that our new power to destroy nature creates a historically novel responsibility toward future generations.
  • Kant, Immanuel (1793) Religion within the Limits of Reason Alone, books I & II (various translations)
    • Kant’s most sustained investigation of the basis on which individuals can be held accountable for failing to live up to morality. .
  • Korsgaard, Christine (1996) “Creating the Kingdom of Ends: Reciprocity and Responsibility in Personal Relations” in her Creating the Kingdom of Ends, Cambridge University Press, Cambridge
    • A sophisticated Kantian account of responsibility, that quietly takes leave of Kant’s own views on the matter.
  • Korsgaard, Christine (1996) The Sources of Normativity, Cambridge University Press, Cambridge.
  • Kutz, Christopher (2000) Complicity: Ethics and Law for a Collective Age, Cambridge University Press, Cambridge
    • A study of collective responsibility, arguing that individuals can justly be held responsible for group actions, in ways that need not mirror their individual contributions.
  • McKeon, Richard (1957) “The development and the significance of the concept of responsibility” Revue Internationale de Philosophie, XI, no. 39, 3-32
    • A historical study of the concept, stressing its political roots.
  • Moore, Michael (1998) Placing Blame, Clarendon Press, Oxford
    • Argues that legal responsibility and moral (retrospective) responsibility should both be understood in Kantian manner, based on the culpability that can only owe to a person’s free choices.
  • Pettit, Philip (2001) A Theory of Freedom: From the Psychology to the Politics of Agency, Polity, Cambridge
    • An account of responsible agency that emphasizes both responsiveness to reasons and the interactive nature of responsibility attribution, and explores the connection between individual agency and political contexts.
  • Ricoeur, Paul (1992) “The concept of responsibility: an essay in semantic analysis” in his The Just, trans David Pellauer, University of Chicago Press, Chicago
    • A demanding but astonishingly rich essay analyzing the concept historically and in relation to the fundamentals of human agency.
  • Ripstein, Arthur (1999) Equality, Responsibility and the Law, Cambridge University Press, Cambridge
    • An important recent discussion, that disavows the “voluntarism” (the focus on individual capacities underlying responsible agency and the fairness of retrospective responsibility) of many moral and legal accounts of responsibility, by suggesting that legal practices of responsibility are essentially about fostering fair terms of interaction.
  • Russell, Paul (1995) Freedom and Moral Sentiment: Hume’s Way of Naturalising Responsibility, Oxford University Press, New York
    • Shows how Hume’s approach is more sophisticated than a narrow utilitarian “economy of threats” theory.
  • Scanlon, T M (1998) What We Owe to Each Other, Chapter 6: “Responsibility,” Harvard University Press, Cambridge MA
    • Attacks a simple account of retrospective responsibility in terms of choice (“the forfeiture view”), for a more sophisticated “value of choice” view.
  • Sher, George (1987) Desert, Princeton University Press, Princeton
    • A careful, advanced study of the concept of desert.
  • Smart, J.J.C. (1961) “Free will, praise and blame” Mind 70, 291-306
    • A clear and succinct utilitarian account of praise and blame.
  • Smiley, Marion (1992) Moral Responsibility and the Boundaries of Community: Power and Accountability from a Pragmatic Point of View, University of Chicago Press, Chicago
    • Criticizes conventional discussions of freedom and determinism, claiming that they fail to investigate the idea of responsibility.
  • Strawson, Peter (1962) “Freedom and resentment” Proceedings of the British Academy 48, 1-25, reprinted in his Freedom and Resentment and Other Essays, Methuen, London, 1974
    • A classic essay, that seeks to bypass “free will” based accounts of responsibility for one based on moral sentiments such as resentment, reflecting the line of thought labeled above as Humean.
  • Wallace, R. Jay (1994) Responsibility and the Moral Sentiments, Harvard University Press, Cambridge MA
    • Seeks to mediate between the Humean and Kantian accounts of (retrospective) responsibility sketched above, by asking when it is fair to hold someone responsible and thus expose them to “reactive” emotions such as resentment or indignation.
  • Watson, Gary (1982) Free Will, Oxford University Press, Oxford
    • A useful anthology of twentieth century treatments of free will, including Strawson (1962) .
  • Williams, Bernard (1981) “Internal and external reasons,” in his Moral Luck, Cambridge University Press, Cambridge.
  • Williams, Bernard (1993) Shame and Necessity, University of California Press, Berkeley
    • Argues that the ancient Greeks had a sophisticated account of responsibility attribution. Though Williams relies on ancient Greek texts, his own views are identifiably Humean, and can be read as a reply to Adkins’ (1960) quasi-Kantian critique of Greek morality.
  • Williams, Bernard (1995) Making Sense of Humanity and other Philosophical Papers, 1982-1993, Cambridge University Press, Cambridge, Chapters 1-3.

Author Information

Garrath Williams
Email: g.d.williams@lancaster.ac.uk
Lancaster University
United Kingdom

Cheng Yi (1033—1107)

Cheng YiCheng Yi was one of the leading philosophers of Neo-Confucianism in the Song (Sung dynasty (960-1279). Together with his elder brother Cheng Hao (1032-1085), he strove to restore the tradition of Confucius and Mencius in the name of “the study of dao” (dao xue), which eventually became the main thread of Neo-Confucianism. Despite diverse disagreements between them, the two brothers are usually lumped together as the Cheng Brothers to signify their common contribution to Neo-Confucianism.

Cheng Yi asserted a transcendental principle (li) as an ontological substance. It is a principle that accounts for both the existence of nature and morality. He also asserted that human nature is identical with li and is originally good. The way of moral cultivation for Cheng Yi is through composure and extension of knowledge which is a gradual way towards sagehood. These ideas deviate from his brother’s philosophy as well as from Mencius’. They were developed into a school for the study of li (li xue), as a rival to the study of the mind (xin xue), which was initiated by Cheng Hao and inherited by Lu Xiangshan (1139-1193) and Wang Yangming (1472-1529). Cheng Yi’s thought had a great impact on Zhu Xi (1130-1200).

Table of Contents

  1. Life and Work
  2. Ontology
  3. Philosophy of Human Nature, Mind, and Emotion
    1. Human Nature and Human Feeling
    2. The Mind
  4. The Source of Evil
  5. Moral Cultivation
    1. Living with Composure
    2. Investigating Matters
    3. The Relation between Composure and Extension of Knowledge
  6. The Influence of Cheng Yi
  7. References and Further Reading

1. Life and Work

Cheng Yi, a native of Henan, was born into a family of distinguished officials. He used Zhengshu as courtesy name, but was much better known as Yichuan, the river in his home country. Cheng Yi grew up in Huangpo, where his father served as a local administrator. At fourteen, he and his elder brother were sent to study under the tutelage of Zhou Dunyi, the Song Dynasty’s founding father of Neo-Confucianism. At eighteen, driven by a strong sense of duty and concern for the nation, , he memorialized to the emperor a penetrating analysis of the current political crisis as well as the hardships of the common people. In 1056, led by his father, he and his brother traveled to Loyang, the capital, and enrolled in the imperial academy. There they made friends with Zhang Zai, who also eventually became a paragon of Neo-Confucianism.

With an excellent essay, Cheng Yi won the commendation of Hu Yuan, the influential educator, and he gained celebrity status in academia. Young scholars came to study with him from regions far and wide. In 1072, when Cheng Hao was dismissed from his government office, Cheng Yi organized a school with him and started his life-long career as a private tutor. Time and again he turned down offers of appointment in the officialdom. Nonetheless, he maintained throughout his life a concern for state affairs and was forthright in his strictures against certain government policies, particularly those from the reform campaign of Wang Anshi. As the reformers were ousted in 1085, Cheng Yi was invited by the emperor to give political lectures regularly. He did so for twenty months, until political attacks put an end to his office.

At the age of sixty, Cheng Yi drafted a book on the Yizhuan (Commentary on the Book of Changes) and laid plans for its revision and publication in ten years. In 1049, he finished the revision complete with a foreword. He then turned to annotate the Lunyu (Analects), the Mengzi (Mencius), the Liji (Record of Ritual) and the Chunqiu (Spring and Autumn Annals). In the following year he began working on the Chunqiu Zhuan (Commentary on Spring and Autumn Annals). However, in 1102, as the reformers regained control, he was impeached on charges of “evil speech.” As a result, he was prohibited from teaching, and his books were banned and destroyed. In 1109 he suffered a stroke. Sensing the imminent end of his life, he ignored the restriction on teaching and delivered lectures on his book Yizhuan. He died in September of that year.

Apart from the book mentioned above, Cheng Yi left behind essays, poems and letters. These are collected in Works of the Cheng Brothers (Er Cheng Ji), which also carries his conversations as recorded by his disciples. Works of the Cheng Brothers is an amended version of Complete Works of the Two Chengs (the earliest version was published during the Ming dynasty), which includes Literary Remains (Yishu), Additional Works (Waishu), Explanation of Classics (Jingshuo), Collections of Literary Works (Wenyi), Commentary on the Book of Change (Zhouyi Zhuan) and Selected Writings (Cuiyan). Reflections on Things at Hand (Jinsi lu) which was compiled by Zhu Xi (1130-1200) and Lu Zuqian (1137-1181), also collected many of Cheng Yi’s conversations.

2. Ontology

The concept of li is central to Cheng Yi’s ontology. Although not created by the Cheng brothers, it attained a core status in Neo-Confucianism through their advocacy. Thus, Neo-Confucianism is also called the study of li (li xue). The many facets of li are translatable in English as “principle,” “pattern,” “reason,” or “law.” Sometimes it was used by the Chengs as synonymous with dao, which means the path. When so used, it referred to the path one should follow from the moral point of view. Understood as such, li plays an action-guiding role similar to that of moral laws. Apart from the moral sense, li also signifies the ultimate ground for all existence. This does not mean that li creates all things, but rather that li plays some explanatory role in making them the particular sorts of things they are. Therefore, li provides a principle for every existence. While Cheng Yi was aware that different things have different principles to account for their particular existence, he thought that these innumerable principles amounted to one principle. This one principle is the ultimate transcendental ground of all existence, which Zhu Xi later termed taiji (“great ultimate”) – the unitary basis of the dynamic, diverse cosmos. While the ultimate principle possesses the highest universality, the principle for a certain existence represents the specific manifestation of this ultimate principle. Therefore the latter can be understood as a particularization of the former.

Apparently for Cheng Yi, li is both the principle for nature and that for morality. The former governs natural matters; the latter, human affairs. To illustrate this with Cheng’s example, li is the principle by which fire is hot and water is cold. It is also the principle that regulates the relation between father and son, requiring that the father be paternal and the son be filial.

As the principle of morality, li is ontologically prior to human affairs. It manifests itself in an individual affair in a particular situation. Through one’s awareness, pre-existent external li develops into an internal principle within the human heart-mind (xin). On the other hand, as the principle of nature, li is also ontologically prior to a multitude of things. It manifests itself in the vital force (qi) of yin-yang. The relationship between li and yin-yang is sometimes misconstrued as one of identity or coextensivity, but Cheng Yi’s description of the relationship between the two clearly indicates otherwise.For him, li is not the same thing as yin-yang, but rather is what brings about the alternation or oscillation between yin and yang. Although li and qi belong to two different realms — namely, the realm “above form” (xing er shang) and the realm “below form” (xing er xia) — they cannot exist apart from one another. He clearly stated that, apart from yin-yang, there is no dao.

In summary, no matter whether as the principle of nature or that of morality, li serves as an expositional principle which accounts for what is and what should be from an ontological perspective. Therefore, as Mou Zongsan argued, for Cheng Yi, li does not represent an ever producing force or activity, as his brother Cheng Hao perceived, but merely an ontological ground for existence in the realm of nature as well as morality.

3. Philosophy of Human Nature, Mind, and Emotion

a. Human Nature and Human Feeling

Human nature (xing) has been a topic of controversy since Mencius championed the view that human nature is good (xing shan). The goodness of human nature in this sense is called the “original good,” which signifies the capacity of being compassionate and distinguishing between the good and the bad. Cheng Yi basically adopted Mencius’ view on this issue and further provided an ontological ground for it. He claimed that human nature and dao are one, thus human nature is equivalent to li. Human nature is good since dao and li are absolute good, from which moral goodness is generated. In this way Cheng Yi elevated the claim that human nature is good to the level of an ontological claim, which was not so explicit in Mencius.

According to Cheng Yi, all actions performed from human nature are morally good. Presenting itself in different situations, human nature shows the different aspects of li — namely, humanity (ren), righteousness (yi), propriety (li), wisdom (qi), and trustworthiness (xin). (These five aspects of li also denote five aspects of human nature.) Human beings are able to love since ren is inherent in their nature. When the heart-mind of compassion is generated from ren, love will arise. Nevertheless, love belongs to the realm of feeling (qing) and therefore it is not human nature. (Neo-Confucians tended to regard human feelings as responses of human nature to external things.) Cheng Yi argued that we can be aware of the principle of ren inherent in us by the presentation of the heart-mind of compassion. Loyalty (zhong) and empathy (shu) are only feelings and, thus, they are not human nature. Because of ren, human beings are able to love, be loyal and be empathetic. Nevertheless, to love, in Cheng Yi’s words, is only the function (yong) of ren and to be empathetic is its application.

As a moral principle inherent in human nature, ren signifies impartiality. When one is practicing ren, one acts impartially, among other things. Ren cannot present itself but must be embodied by a person. Since love is a feeling, it can be right or wrong. It may be said that ren is the principle to which love should conform. In contrast to Cheng Hao’s theory that ren represents an ever producing and reproducing force, ren for Cheng Yi is only a static moral principle.

Ren, understood as a moral principle that has the same ontological status as li or dao, is a substance (ti) while feeling of compassion or love is a function. Another function of ren consists in filial piety (xiao) and fraternal duty (ti). These have been regarded by Chinese people as cardinal virtues since the time of the early Zhou dynasty. It was claimed in the Analects that filial piety and fraternal duty are the roots of ren. However, Cheng Yi gave a re-interpretation by asserting that filial piety and fraternal duty are the roots of practicing ren. Again, this shows that for Cheng Yi, ren is a principle, and filial piety and fraternal duty are only two of the ways of actualizing it. When one applies ren to the relationship of parents and children, one will act as filial, and to the relationship between siblings, one will act fraternally. Moreover, Cheng Yi considered filial piety and fraternal duty the starting points of practicing ren.

Having said that ren is substance whereas love, filial piety, and fraternal duty are its functions, it should be noted that according to Cheng Yi the substance cannot activate itself and reveal its function. The application of ren mentioned above merely signifies that the mind and feeling of a person should conform to ren in dealing with various relationships or situations. This is what the word “static” used in the previous paragraph means. Thus understood, ren as an aspect of human nature deviates from Mencius’ perception, as well as the perception in The Doctrine of the Mean (Zhong Yong) and the Commentary of the Book of Change, as Mou Zongsan pointed out. Mou also argued that the three sources mentioned have formed a tradition of understanding dao both as a substance and as an activity. Not surprisingly, Cheng Yi’s view on human nature and li is quite different from his brother Cheng Hao’s.

By the same token, other aspects in human nature such as righteousness, propriety, wisdom and trustworthiness are mere principles of different human affairs. One should seek conformity with these principles in dealing with issues in ordinary life.

b. Mind

The duality of li and qi in Cheng Yi’s ontology also finds expression in his ethics, resulting in the tripartite division of human nature, human mind and human feeling. In Cheng Yi’s ethics, the mind of a human being does not always conform to his nature; therefore a human sometimes commits morally bad acts. This is due to the fact that human nature belongs to the realm of li and the mind and feelings belong to the realm of qi. Insofar as the human mind is possessed by desires which demand satisfaction, it is regarded as dangerous. Although ontologically speaking li and qi are not separable, desires and li contradict one another. Cheng Yi stressed that only when desires are removed can li be restored. When this happens, Cheng maintained, the mind will conform to li, and it will transform from a human mind (ren xin) to a mind of dao (dao xin). Therefore, human beings should cultivate the human mind in order to facilitate the above transformation. For Cheng Hao, however, li is already inherent in one’s heart-mind, and one only needs to activate one’s heart-mind for it to be in union with li. The mind does not need to seek conformity with li to become a single entity, as Cheng Yi suggested. It is evident that the conception of the mind in Cheng Yi’s ethics also differs from that in Mencius’ thought. Mencius considered the heart-mind as the manifestation of human nature, and if the former is fully activated, the latter will be fully actualized. For Mencius, the two are identical. Yet for Cheng Yi, li is identical with human nature but lies outside the mind. This difference of the two views later developed into two schools in Neo-Confucianism: the study of li (li xue) and the study of xin (xin xue). The former was initiated by Cheng Yi and developed by Zhu Xi and the latter was initiated by Cheng Hao and inherited by Lu Xiangshan (1139-1193) and Wang Yangming.

4. The Source of Evil

According to Cheng Yi, every being comes into existence through the endowment of qi. A person’s endowment contains various qualities of qi, some good and some bad. These qualities of qi are described in terms of their being “soft” or “hard,” “weak” or “strong,” and so forth. Since the human mind belongs to the realm of qi, it is liable to be affected by the quality of qi, and evil (e) will arise from the endowment of unbalanced and impure allotments of qi.

Qi is broadly used to account for one’s innate physical and mental characteristics. Apart from qi, the native endowment (cai) would also cause evil. Compared to qi, cai is more specific and refers to a person’s capacity for both moral and non-moral pursuits. Cai is often translated as “talent.” It influences a person’s moral disposition as well as his personality. Zhang Zai coined a term “material nature” (qizhi zhi xing), to describe this natural endowment. Although Cheng Yi adopted the concept of material nature, A.C. Graham noted that the term appeared only once in the works of the Cheng Brothers as a variant for xingzhi zhi xing. Nevertheless, this variant has superseded the original reading in many texts. Cheng Yi thought that native endowment would incline some people to be good and others to be bad from early childhood. He used an analogy to water in order to illustrate this idea: some water flows all the way to the sea without becoming dirty, but some flows only a short distance and becomes extremely turbid. Yet the water is the same. Similarly, the native endowment of qi could be pure or not. However, Cheng Yi emphasized that although the native endowment is a constraint on ordinary people transforming, they still have the power to override this endowment as long as they are not self-destructive (zibao) or in self-denial (ziqi). Cheng Yi admitted that the tendency to be self-destructive or in self-denial is also caused by the native endowment. However, since such people possess the same type of human nature as any others, they can free themselves from being self-destructive or in self-denial. Consequently Cheng Yi urged people to make great efforts to remove the deviant aspects of qi which cause the bad native endowment and to nurture one’s qi to restore its normal state. Once qi is adjusted, no native endowment will go wrong.

As mentioned in the previous section, Cheng Yi maintained that human desires are also the origin of selfishness, which leads to evil acts. The desires which give rise to moral badness need not be a self-indulgent kind. Since they are by nature partial, one will err if one is activated by desire. Any intention with the slightest partiality will obscure one’s original nature; even the “flood-like qi” described by Mencius (Mengzi 2A2) will collapse. The ultimate aim of moral practice is then to achieve sagehood where one will do the obligatory things naturally without any partial intention.

The Cheng brothers wrote, “It lacks completeness to talk about human nature without referring to qi and it lacks illumination to talk about qi without referring to human nature.” Cheng Yi’s emphasis on the influence of qi on the natural moral dispositions well reflects this saying. He put considerable weight on the endowment of qi; nevertheless, the latter by no means playsa deterministic role in moral behavior.

5. Moral Cultivation

a. Living with Composure

For Cheng Yi, to live with composure (ju jing) is one of the most important ways for cultivating the mind in order to conform with li. Jing appeared in the Analects as a virtue, which Graham summarized as “the attitude one assumes towards parents, ruler, spirits; it includes both the emotion of reverence and a state of self-possession, attentiveness, concentration.” It is often translated as “reverence” or “respect.” Hence in the Analects, respect is a norm which requires one to collect oneself and be attentive to a person or thing. Respect necessarily takes a direct object. Cheng Yi interpreted jing as the unity of the mind, and Graham proposed “composure” as the translation. As Graham put it, for Cheng Yi, composure means “making unity the ruler of the mind” (zhu yi). What is meant by unity is to be without distraction. In Cheng Yi’s own words, if the mind goes neither east nor west, then it will remain in equilibrium. When one is free from distraction, one can avoid being distressed by confused thoughts. Cheng Yi said that unity is called sincerity (cheng). To preserve sincerity one does not need to pull it in from outside. Composure and sincerity come from within. One only needs to make unity the ruling consideration, and then sincerity will be preserved. If one cultivates oneself according to this way, eventually li will become plain. Understood as such, composure is a means for nourishing the mind. Cheng Yi clearly expressed that being composed is the best way for a human being to enter into dao.

Cheng Yi urged the learner to cultivate himself by “being composed and thereby correcting himself within.” Furthermore, he indicated that merely by controlling one’s countenance and regulating one’s thought, composure will come spontaneously. It is evident that controlling one’s countenance and regulating one’s thought is an empirical way of correcting oneself within. Such a way matches the understanding of the mind as an empirical mind which belongs to qi. Mou Zongsan pointed out that this way of cultivating the empirically composed mind is quite different from Mencius’ way of moral cultivation. For the latter, the cultivation aims at the awareness of the moral heart-mind, a substance identical with Heaven. Since the mind and li are not identical in Cheng Yi’s philosophy, they are two entities even though one has been cultivating one’s mind for a long time, and what one can hope to achieve is merely always to be in conformity with li.

b. Investigating Matters

To achieve the ultimate goal of apprehending li, Cheng Yi said, one should extend one’s knowledge (zhi zhi) by investigating matters (ge wu). The conception of extending knowledge by investigating matters originates from the Great Learning (Da Xue), where the eight steps of practicing moral cultivation by the governor who wanted to promote morality throughout the kingdom were illustrated. Cheng Yi expounded the idea in “the extension of knowledge lies in the investigation of things” in the Great Learning by interpreting the key words in “the investigation of matters.” The word “investigation” (ge) means “arrive at” and “matters” (wu) means “events.” He maintained that in all events there are principles (li) and to arrive at those principles is ge wu. No matter whether the events are those that exist in the world or within human nature, it is necessary to investigate their principles to the utmost. That means one should, for instance, investigate the principle by which fire is hot and that by which water is cold, also the principles embodied in the relations between ruler and minister, father and son, and the like. Thus understood, the investigation of things is also understood as exhausting the principles (qiong li). Cheng Yi emphasized that these principles are not outside of, but already within, human nature.

Since for every event there is a particular principle, Cheng Yi proposed that one should investigate each event in order to comprehend its principle. He also suggested that it is profitable to investigate one event after another, day after day, as after sufficient practice, the interrelations among the principles will be evident. Cheng Yi pointed out that there are various ways to exhaust the principles, for instance, by studying books and explaining the moral principles in them; discussing prominent figures, past and present, to distinguish what is right and wrong in their actions; experiencing practical affairs and dealing with them appropriately.

Cheng Yi rejected the idea that one should exhaust all the events in the world in order to exhaust the principles. This might appear to conflict with the proposition that one should investigate into each event, yet the proposal can be understood as “one should investigate into each event that one happens to encounter.” Cheng Yi claimed that if the principle is exhausted in one event, for the rest one can infer by analogy. This is possible is due to the fact that innumerable principles amount to one.

From the above exposition of Cheng Yi’s view on the investigations of matters, the following implication can be made. First, the knowledge obtained by investigating matters is not empirical knowledge. Cheng Yi was well aware of the distinction between the knowledge by observation and the knowledge of morals as initially proposed by Zhang Zai. The former is about the relations among different matters and therefore is gained by observing matters in the external world. The latter cannot be gained by observation. Since Cheng Yi said that the li exhausted by investigating matters is within human nature, it cannot be obtained by observation, and thus is not any kind of empirical knowledge.

This may be confusing, but if we compare Cheng Yi’s kind of knowledge to scientific knowledge, things may become clearer. It is important to distinguish between the means one uses to get knowledge, and the constituents of that knowledge. One uses observation as a means to better understand the nature of external things. But the knowledge one gains isn’t observational by nature. It isn’t the sort of knowledge scientists have in mind when they say “objects with mass are drawn toward one another.” It differs in at least two respects: first, the content of one’s knowledge is something we can draw from ourselves, as we have the same li in our nature; second, the knowledge we gain doesn’t rest on the authority of observations. We know it without having to put our trust in external observations, since the knowledge is drawn from inside ourselves. We only need external observation in order to liberate this internal knowledge. So we need it as a means, but no more.

Second, according to Cheng Yi, investigating matters literally means arriving at an event. It implies that the investigation is undertaken in the outside world where the mind will be in contact with the event. Only through the concrete contact with the eventis the act of knowing concretely carried out and the principles can be exhausted.

Third, Cheng Yi believed that through the investigation of matters the knowledge obtained is the knowledge of morals. When one is in contact with an event, one will naturally apprehend the particulars of the event and the knowledge by observation will thus form. Nevertheless, in order to gain the knowledge of morals one should not stick to those concrete particulars but go beyond to apprehend the transcendental principle which accounts for the nature and morals. Thus, the concrete events are only necessary means to the knowledge of morals. They themselves are not constituents of the knowledge in question, as Mou Zongsan argued.

c. The Relation between Composure and Extension of Knowledge

According to Cheng Yi, learning to be an exemplary person (junzi) lies in self-reflection. Self-reflection in turn lies in the extension of knowledge. Also, only by self-reflection can one transform the knowledge by observation into the knowledge of morals. This is possible only if the mind is cultivated in the maintenance of composure. With composure in place, one can apprehend the transcendental principles of events. Cheng Yi made a remark on this idea: “It is impossible to extend the knowledge without composure.” This also explains the role composure plays in obtaining the knowledge of morals by investigating matters.

Contrariwise, obtaining the knowledge of morals can stabilize the composed mind and regulate concrete events to be in conformity with li. Cheng Yi described this gradual stabilization of the mind by accumulating moral knowledge as “collecting righteousness (ji yi).”

Self-reflection for Cheng Yi meant cultivating the mind with composure. However, as mentioned above, the mind cannot be identical with li; it can only conform to it since they belong to two different realms. Since the knowledge obtained by the composed mind comprises the transcendental principles, the knowing in question is a kind of contemplative act. Notwithstanding that, this act still represents a subject-object mode of knowing. On the contrary, the meaning of self-reflection for Mencius reveals a different dimension. The knowledge of morals gained by self-reflection is not any principle which the mind should follow. The knowing is an awareness of the moral mind itself through which its identification with human nature and also with li is revealed. Therefore the object of knowing is not the principle out there (inherent in human nature though) but the knowing mind itself. The awareness thus is a self-awareness. The reflection understood as such is not the cognition per se; it is rather the activation of the mind. In the act of activation, the dichotomy of the knowing and the known diminishes. Moreover, when the mind is activated, human nature is actualized and li will manifest itself. Hence, the mind is aware of itself being a substance, from which li is created. Here Cheng Yi draws upon the distinction between a thing’s substance, understood as its essential and inactive state, and the active state in which it behaves in characteristic ways. Anticipating that his account of the mind will be misread as suggesting that the mind has two parts — an active and inactive part — Cheng Yi clarifies that he understands the two parts to be, in fact, two aspects of one and the same thing.

6. The Influence of Cheng Yi

The distinctive and influential ideas in Cheng Yi’s thought can be summarized as follows:

  1. There exists a transcendental principle (li) of nature and morality, which accounts for the existence of concrete things and also the norms to which they adhere.
  2. This principle can be apprehended by inferring from concrete things (embodied as qi) to the transcendental li.
  3. This principle is static, not active or in motion.
  4. Human nature is identical with li, but this should be distinguished from the human mind, which belongs to the realm of qi.
  5. Ren belongs to human nature and love belongs to the realm of feeling.
  6. Moral cultivation is achieved gradually, through composure and the cumulative extension of knowledge.

Cheng Yi had tremendous impact on the course of Confucian philosophy after his time. His influence is most manifest, however, in the thought of the great Neo-Confucian synthesizer Zhu Xi, who adopted and further developed the views outlined above.

7. References and Further Reading

  • Chan, Wing-tsit, trans. Reflections on Things at Hand: The Neo-Confucian Anthology Compiled by Zhu Xi and Lu Zu-qian. New York: Columbia University Press, 1967.
    • This contains selections of Cheng Yi’s work in English.
  • Cheng Hao & Cheng Yi. Complete Works of Cheng Brothers (Er Cheng Ji) (in Chinese). Beijing:Zhonghua Shuju, 1981.
    • This is the most complete work of the Cheng Brothers.
  • Graham, A.C. Two Chinese Philosophers: The Metaphysics of the Brothers Ch’êng. La Salle, Illinois: Open Court Publishing Company, 1992.
    • This is the only English monograph on the Cheng Brothers. It provides an in-depth discussion on the philosophy of Cheng Yi. The author also refers to the interpretations made by Zhu Xi.
  • Mou Zongsan (Mou Tsung-san). The Substance of Mind and the Substance of Human Nature (Xinte yu xingte) (in Chinese), vol. II. Taibei: Zhengzhong Shuju, 1968.
    • This work is famous for its extraordinary depth and incomparable clarity in the study of Neo-Confucianism of Song and Ming dynasty. It provides a historical as well as philosophical framework to understand various systems of Neo-Confucianism in that period.
  • Huang, Siu-chi. Essentials of Neo-Confucianism: Eight Major Philosophers of the Song and Ming Periods. London: Greenwood Press, 1999.
    • This book on Neo-Confucianism is clearly written and thoughtfully presented. It contains a good summary of Cheng Yi’s thought.
  • Huang, Yong. “The Cheng Brothers’ Onto-theological Articulation of Confucian Values.” Asian Philosophy 17/3 (2007): 187-211.
    • A philosophical discussion on the Cheng Brothers’ ideas of the relations between their ontology and ethics.
  • Huang, Yong. “How Weakness of Will Is Not Possible: Cheng Yi on Moral Knowledge.” In Educations and Their Purposes: Dialogues across Cultures, eds. R.T. Ames and P. Hershock (Honolulu, Hawaii: University of Hawaii Press, 2007), 429-456.
    • This article attempts to bring Cheng Yi’s concept of moral knowledge into the current discourse on weakness of will.

Author Information

Wai-ying Wong
Email: wongwy@ln.edu.hk
Lingnan University
Hong Kong, China

Dai Zhen (Tai Chen, 1724—1777)

daizhenDai Zhen, also known as Dai Dongyuan (Tai Tung-yuan), was a philosopher and intellectual polymath believed by many to be the most important Confucian scholar of the Qing (Ch’ing) dynasty (1644-1911). He was also the foremost figure among the sophisticated new class of career academics who rose to prominence in the mid-Qing. A prominent critic of the Confucian orthodoxy of the Song and Ming dynasties (known today in the West as “Neo-Confucianism”), Dai charged his predecessors with philosophical errors that had dire moral consequences for their adherents and brilliantly showed them to be rooted in misreadings of the Confucian classics. Chief among these errors was the tendency to understand feelings and desires as being obstacles to proper moral deliberation and action, a view that Dai saw as opening to the door to frictionless moral judgments, free of calculations of benefit or harm and not responsible to the felt responses of others. Dai aimed to restore feelings and desires to prominence by assigning a central place to sympathetic concern (shu) in moral deliberation. He thus reconceived the fundamental nature of the Neo-Confucian universe in a way that explained moral claims in terms of the human affects. He accomplished this dramatic reconfiguration of the Neo-Confucian thought against the backdrop of social institutions that showed little enthusiasm for, and sometimes outright hostility to, his philosophical endeavors.

Table of Contents

  1. Life and Works
  2. Moral Agency
    1. Dai’s Critique of the Neo-Confucian Account
    2. Sympathy as a Form of Moral Deliberation
  3. Human Nature and Moral Cultivation
  4. Metaphysics and Metaethics
  5. Influence
  6. References and Further Reading

1. Life and Works

Born in 1724 to a poor cloth merchant of Anhui province, Dai Zhen emerged from an unlikely educational background, attending local schools because his father could not afford the customary private tutorials. By the time Dai was eighteen, however, his genius and scholarly accomplishment had won him the acclaim of his elders and shortly thereafter the backing of a reputable literary scholar in his own clan. Bolstered by a series of endorsements and his own evident academic success, Dai came under the tutelage of the famous classicist Jiang Yong (1681-1762), through whom he became acquainted with many figures in the thriving community of mid-Qing academics. Dai soon proved to be not just a precocious and prolific scholar but a versatile one as well. His 1753 commentary on the Poetry Classic was finished contemporaneously with his first major work in phonology, and both followed closely on the heels of a celebrated treatise in mathematics. Although Dai’s interest in philosophical topics was evident quite early, he did not finish his best-known treatises in this field of intellectual endeavor until late in life, the two most important being On the Good (Yuan Shan) and An Evidential Study of the Meaning and Terms of the Mencius (Mengzi ziyi shuzheng). Between these it is the Evidential Study that is generally regarded as his masterwork, being widely appreciated for its sophistication and rigor. By his own account, hisEvidential Study was his greatest labor of love. Several of the last years of his life were spent writing and revising it, and it is likely that he would have continued to revise the work if it were not for his untimely death 1777.

Dai became a leading figure in the dominant new philological or evidential studies (kaozheng) movement, partly because of his interest in mathematics, calendrical studies, and ancient languages and partly because of his exacting standards of argument. Yet Dais relationship to the philological movement was an uneasy one. Like other philological thinkers, he shared an interest in using hard evidence and careful exegesis to reconstruct the language and practices of the ancients. He also shared with many of them the deep conviction that the orthodox Confucianism of Zhu Xi (1130-1200), which by his time had reigned for several centuries, was thoroughly contaminated with Daoist and Buddhist ideas and needed to be corrected with the tools of evidential scholarship. But Dais contemporaries in philological studies tended to believe that the misreadings and obfuscations of orthodox Confucianism were an inevitable part of theoretical speculation about the meanings and principles (yili) of the classics. For Dai, in contrast, the purpose of evidential studies was to reconstruct the meanings and principlesincluding the ethics and metaphysicsof the Confucian canons ancient authors.

This difference of opinion regarding the study of meanings and principles appears to have led Dai to part with his philological contemporaries in two crucial ways. First, while the professional scholars of his time increasingly valued specialization in certain subfields such as astronomy or geography, Dai nevertheless remained a devoted generalist, seeing all of the various disciplines as potentially working together to reconstruct the often highly theoretical meanings of terms and moral practices contained in the classics. Second, while Dais contemporaries believed it was his contributions in fields such as phonology and mathematics that made him the most formidable scholar of his time, Dai himself believed his greatest contributions to be his treatises on such theoretical topics as human nature, metaphysics, and (especially) moral deliberation and cultivation. In his own lifetime Dais highest accolade was a prestigious position on the staff that compiled the Complete Collection of the Four Treasuries (Sikuquanshu) for the Imperial Librarya collection of classic texts that heavily favoredworks of philological interest. Admirers in Dais own era regarded his treatises on meanings and principles as a monumental waste of time, and most of his early biographers barely mentioned such work, even though it became the central focus of his thought and efforts by the end of his life. But while Dais more speculative labors may have been judged harshly in the mid-Qing, his own appraisal of his work and its importance has been vindicated by later scholars. He has come to be hailed as the foremost representative of Qing dynasty philosophy and is routinely presented as such in surveys of Chinese thought.

2. Moral Agency

a. Dai’s Critique of the Neo-Confucian Account

Dai presents his best-known philosophical work, the Evidential Study, as an indictment of Neo-Confucianism. Of particular concern to him is the reigning orthodoxy of Cheng Yi (1033-1107) and Zhu Xi (1130-1200), whose thought had been deeply embedded in China’s governing institutions for centuries, and whose very moral and metaphysical language had come into popular use. At the heart of Dai’s critique is an array of worries about the Neo-Confucian picture of moral agency, where acting well is conceived primarily as a matter of freeing certain native, spontaneous instincts from the influence of feelings and desires. Of particular concern to Dai is the view that merely by eliminating or paring away such feelings and desires one can somehow become a good moral agent. As Dai sees it, this view neglects not just the deliberative, non-spontaneous work that one must do in order to act well, but also the crucial role that affects should play in those deliberations. Thus his critique is aimed in particular at the idea that our native instincts, once freed of the influence of our feelings and desires, are somehow “complete and self-sufficient”—adequate by themselves to give proper moral guidance (Evidential Study, ch. 14, 27).

In Dai’s view, this Neo-Confucian account is factually wrong, and as such does profound injustice to the role that education and cultivation should have in the development of the moral understanding. If we see our work in moral self-cultivation as primarily subtractive or eliminative—as a matter of overcoming bad feelings and desires so as to let the refined parts of the nature act of their own accord—then, Dai maintains, it makes no sense to think of moral education as contributing to the growth and maturation of the moral understanding. What we learn in the process of study (xue) might be understood as having instrumental value, helping to free us from the grip of our bad dispositions and realize the dormant moral sensibilities in ourselves, but once that is accomplished the content of our knowledge would seem to play noconstitutive part in moral comprehension. It is this demotion of education to mere instrument that the erudite Dai Zhen finds to be deeply mistaken. When we learn from the classics, he argues, they have a transformative effect on the faculty of the understanding (xinzhi), helping it to see the morally salient features of one’s life more clearly and respond more appropriately (ch. 14). Just as the nourishment of food and water actually becomes a part of the thing it is meant to nourish, he maintains, so too do the contributions of one’s education become, in a psychological analogue to digestion, a part of the understanding (ch. 9, 26).

Dai is particularly troubled by the pernicious effects the Neo-Confucian account has on its adherents—and, after centuries of Neo-Confucian orthodoxy, on popular culture as well. When the account is strictly followed, he argues, it does not allow the feelings of others to have the right kind of purchase on our own moral evaluations and judgments. If the principal work of moral action lies in eliminating meddlesome emotions, Dai argues, then our deliberations could not be informed by personal acquaintance with the feelings of others (the kind we get from imagining ourselves asthe other person, which is presumably distinct from the kind we get by inferring merely from general rules or observational data). The sentiments stirred by such an acquaintance would be seen as interfering with the authentic expression of the good natural instincts within oneself. Left unchecked by a proper understanding of the felt responses of others, however, Dai maintains that a person’s moral conclusions are at best subjective “opinions” (yijian) and not what Dai calls “invariant norms” (buyi zhi ze)—so named because they represent views that could under ideal circumstances attain a kind of universal agreement across all times and places (ch. 4, 42). In several remarkable passages, Dai writes movingly about the abuses of power that such a doctrine would condone when adopted by those in a position to impose their decisions on the weak or institutionally disadvantaged, unconstrained by the feelings of the helpless people most affected by such decisions (ch. 5, 10).

Another pernicious feature of the Neo-Confucian account, and for Dai Zhen the most alarming one, is that it prevents proper consideration of benefits and harms from figuring in one’s moral deliberations. This problem inspires Dai’s most passionate remarks, as he notes repeatedly how the Neo-Confucian view would blind its adherents to the detrimental effects of their own actions. Unable to consult their desires, he argues, moral agents would have no practicable way of discerning what really matters to the well-being of others (nor, he hints, would they even be capable of recognizing what would or would not contribute to their own well-being). Combined with the first worry, about the inability of others’ claims to suitably inform one’s own personal deliberations, this leaves agents in what Dai describes as “a state of profound blindness,” unable to know what behaviors qualify as good and incapable of being alerted to their mistakes by others (ch. 4). When the doctrine of native self-sufficiency is deeply embraced, Dai concludes, “its harm is great, and yet no one is able to be aware of it” (ch. 43).

b. Sympathy as a Form of Moral Deliberation

Dai Zhen’s corrective for the shortcomings of the Neo-Confucian view (and its Daoist and Buddhist forebears) is an emotional attitude known as “shu,” whose meaning for Dai most closely approximates what we might call “sympathy” or “sympathetic concern.” The characteristic way of exercising shu, for Dai, is to imagine oneself in another’s shoes and so ask what one might desire if one were that person. By reconstructing another person’s desires one can better appreciate the extent to which certain states of affairs would benefit or harm that person. Dai assumes that some simulation of desires (and resultant feelings) is necessary to take proper account of potential benefits and harms, and he insists that the desire-averse picture of moral action upheld by the Neo-Confucians rules out such an exercise from the start. Thus he concludes that the Neo-Confucian picture is unable to fulfill what he takes to be a fundamental demand of any viable account of moral deliberation.

Not just any exercise of shu will provide reliable information about human well-being. For Dai, as for most other Confucian thinkers, shu can be done well or poorly. Given the rather cerebral form of moral cultivation Dai advocates, he believes that most moral agents need a great deal of education before they can make truly informed judgments. Even with this caveat in mind, however, Dai’s critics and occasionally his admirers have often constructed accounts of shuthat make it all too easy to dismiss.

One temptation for those whose intuitions are driven by the English word “sympathy” is to see Dai as advocating an exercise in mirroring or replicating the psychological states of others, especially their desires. If this were the case, shu would seem a poor indicator of the mirrored person’s well-being, since the person may well want things that are bad for her. But in fact Dai’s account of shu leaves it open to the moral agent to simulate counterfactual psychological states. Strictly speaking, Dai understands shu as the act of “taking oneself and extending it to others” (ch. 15), leaving it to the agent to judge which states would be the appropriate ones to synthesize.

A more common temptation is to say that Dai advocates bringing whatever desires we happen to have into our sympathetic reconstruction of the other’s point of view. If I am a solitary type of person, presumably, then I am to imagine others with the same preference for solitude. But this interpretation leaves Dai vulnerable to the charge of sympathetic paternalism, whereby one reconstructs another’s point of view on the basis of affective predispositions that are not the other’s. If this is how shu is supposed to work, then it would again seem a flawed measure of well-being, for others might benefit a great deal more from friendship and company than I, for instance.

The problem with this reading is that it assigns shu no critical role in selecting the desires that are to be synthesized. Just as the first interpretation depicts shu as naïvely mirroring or replicating the wants of another, the second depicts it as naïvely adopting one’s own wants, with no regard to whether these are true indicators of the other’s well-being. In fact, there is considerable evidence that Dai Zhen, at least in his more cogent moments, understands shu as being much more selective than either of these models would suggest. More than just imagining others with the same desires that one happens to have, Dai also sees shu as helping to identify the desires that really matter for welfare in the first place, which he understands as the desires that contribute to “life” (sheng) or “the fulfillment of life” (sui sheng). These are the basic desires which, upon sufficient reflection, we find that we all share—a common core that belong to what Dai sometimes characterizes as “the ordinary human feelings” (ren zhi changqing) and more often describes as the “true feelings” (qing) (ch. 5). In using shu, Dai suggests, one finds similarities that cut across distinctions in power or position: “If one genuinely returns to oneself and reflects on the true feelings of the weak, the few, the dull, the timid, the diseased, the elderly, the young, the orphaned, or the solitary, can those [true feelings] of these others really be any different from one’s own?” (ch. 2).

While there is evidence to suggest that Dai sees shu as having a robust role in selecting desires, it is less clear what the precise mechanism of selection is supposed to be. Possibly the very exercise of constructing a new point of view is supposed to help free one of the clutter of one’s own misguided or excessively idiosyncratic predilections. And Dai probably sees the special care or concern for a person inherent in shu as drawing attention to the desires that really matter to her, much in the way that grief or love draw attention to the features of a person to which the griever or lover is most attached. Dai also hints that there should be some sort of comparative exercise in shu, where one reconstructs the emotional reactions of others and measures them against those that one would have oneself under similar circumstances.

However Dai understands shu to work in detail, he is emphatic about its use as a form of moral deliberation. So understood, Dai suggests, it relies upon our desires in ways incompatible with the Neo-Confucian account of moral agency. His criticisms point to at least two such ways. First, proper moral action as Dai conceives of it requires that we use our desires in the process of deliberation. Second, it requires that we have a certain baseline of dispositions to want the right things. In other words, moral deliberation requires that we “have desires” both in an occurrent sense (as when I am described as actively feeling some inclination to eat good food) and in a dispositional sense (as when I am described as the kind of person who wants good food, even if I am presently working on an essay and not thinking about food at all). Thus, Dai’s picture of moral agency conflicts with the Neo-Confucian account not just in how it envisions moral deliberation but also in its conception of the kind of person that a good moral agent should be. Dai maintains that good human beings should have robust dispositions to desire beneficial things, which in turn requires that they have a healthy interest in their own well-being or life-fulfillment. Without the desire to “fulfill one’s own life,” Dai contends, one will “regard the despairing conditions of others with indifference” (ch. 10). Dai thus unabashedly asserts that even self-interested desires should figure prominently in the life of the virtuous moral agent.

3. Human Nature and Moral Cultivation

Like most Confucian philosophers, Dai Zhen shows a great deal of interest in the moral proclivities of human nature, a topic which by his time had long taken its bearings from Mencius’ (391-308 BCE) famous claim that the natural dispositions are good, and Xunzi (310-219 BCE) equally renowned polemic against this Mencian view. Although Dai is not alone in taking up this particular debate between Mencius and Xunzi, it nevertheless presents him with an important opportunity to sort through an apparent tension in his work, for it is Mencius that Dai takes to speak with final authority, and yet many of Dai’s own views carry an undisguised debt to Xunzian thinking about the relationship between nature, agency, and self-cultivation. Unlike most major figures who have weighed in on the Mencius-Xunzi debate, then, Dai has an interest in confirming much of Xunzi’s position while showing with great care and nuance how Xunzi’s views can be rendered compatible with the thesis that human dispositions are good by nature.

The parts of Xunzi’s doctrine that resonate most deeply with Dai Zhen concern the need to reshape the natural dispositions. If they are already more or less good, Xunzi reasons, it is hard to see why we would need an education that in any meaningful way transforms them. Our nature would already provide adequate or nearly adequate resources for moral self-improvement. Furthermore, Xunzi is plausibly read as upholding a picture of moral cultivation where the heart-and-mind must often overrule the desires, directing the body to act in ways contrary to the tug of one’s felt inclinations.

Like Xunzi, Dai is particularly concerned to develop a picture of the natural dispositions that would countenance a transformative account of self-cultivation. After all, one of the centerpieces of his philosophical work is a critique of the Neo-Confucian account of cultivation as merely subtractive or eliminative—as helping us to remove the bad parts of our nature, but forming no constitutive part of the cultivated self. Dai also shares with Xunzi the presupposition that this transformation requires some sort of power by the heart-and-mind to overrule the desires, and even uses language nearly identical to Xunzi’s to describe the mechanism of control—likening the heart-and-mind to the ruler (jun) of the body in that it issues orders of “permission or denial” (ke fou) to act on the desires of the latter (ch. 8). Thus Dai believes both that our dispositions begin in need of a great deal of reshaping and that one’s heart-and-mind must often resist the pull of the natural dispositions in order to reshape it.

One can consistently maintain this view while upholding the doctrine of natural goodness, Dai thinks, simply by acknowledging that there are parts of one’s nature that are not manifest in the raw, pre-cultivated state. Dai recognizes (as is now routinely observed) that much of Xunzi’s argument depends on a narrow understanding of “nature,” by which anything that appears before the deliberate activity of moral education is considered natural, and anything that appears afterwards is a product of human artifice. But Dai insists that one’s nature consists of latent capacities as well, potentialities which may not always be immediately manifest but which could nevertheless be said to be part of one’s nature, or in one’s nature, as the potential to grow into a peach tree is in the pit of a peach (ch. 25, 29).

In saying this, Dai takes himself to be making a much stronger and more capacious claim than one might think, for if human beings have in their nature the potential to become good, Dai believes, then this happy outcome could be brought about only by building upon nascent goodness, or virtues, already in existence. In other words, if we are to be capable of both understanding the good and being motivated by it, then we must already have some germ of moral understanding and some ability to delight in the good, even if these moral buds have no discernable effect on our behavior. This is because, as Dai puts it, moral inquiry and study are to one’s moral capacities as the nutritive powers of food and drink are to the material endowments of the body: one cannot use them to nurture or grow their intended objects unless some budding form of that object already exists (ch. 26).

This particular move in Dai’s argument might seem controversial. It assumes, after all, that the operations of moral inquiry and study really are like the nurturing of something that already exists, and not, for example, like the procreation or generation of something entirely new. But underlying this argument is a larger commitment to a picture of moral education as always building on some prior ability to appreciate the relevant norms, and it may have been this commitment that in the end makes the Xunzian account of the natural dispositions untenable in Dai’s eyes. For Dai, even at the earliest stages one learns by drawing upon one’s pre-existing grasp of propriety (li) and righteousness (yi), enlarging and expanding upon the understanding that one already has. In contrast, for Xunzi (as Dai reads him), those who aspire to goodness must start from scratch, without the benefit of nascent tendencies to appreciate the good (ch. 25-26).

4. Metaphysics and Metaethics

Most accounts of Dai Zhen’s place in the history of Chinese philosophy focus on his contributions to the ongoing dispute about the ontological status of li (pattern, principle) and qi (vital energy, material force), the two things most often proposed as the fundamental constituents of the universe in later Confucian metaphysics. Neo-Confucians such as Zhu Xi were arguably dualists about li and qi, acknowledging that the two could not exist apart from one another, but also seeing them as mutually irreducible. By contrast, Dai’s treatises seek to explain away the phenomena and the canonical terminology that strike so many of his predecessors as referencing irreducible notions of li, often by recasting them as references to the cyclical movements of yin and yang, or as particular arrangements of emotions or material bodies—all of these being typically understood as qi-based phenomena. Dai never declares himself a monist about qiin any unambiguous way,but he nevertheless devotes himself to showing how conceptions of the former should be explained in terms of the latter, and he is now frequently cited for the philological ingenuity and argumentative creativity that he brought to bear against Zhu Xi’s dualism.

As the great synthesizer of Neo-Confucian thought, Zhu Xi understands li as the cosmological patterns or principles that both make a thing the kind of thing it is (e.g., a human being rather than a goat) and determine the norms to which a thing should conform (e.g., serving one’s family, being of sound mind, and so on). Proper accounts of a thing’s kind and its norms should, Zhu believes, ultimately appeal to these patterns, not to the endowment of qi—the stuff that makes up one’s body and embodied feelings and desires—that a thing happens to have. Zhu understands li both as patterns that belong to the cosmos as a whole and, as Dai is fond of pointing out, as formless things that somehow exist inside all concrete individuals, including the heart-and-mind of every human being. These internalized li are, for Zhu, the “parts” or “manifestations” (fen) of the cosmological li, which implies in turn that the patterns belonging to each concrete individual are produced by (and thus harmonize with) the patterns that govern Heaven and Earth.

Dai Zhen’s trenchant criticism of the metaphysical picture offered by Zhu and other Neo-Confucians is that they wrongly took li and qi to be “two roots” (er ben)—that is, they mistakenly saw li as being “rooted” separately from qi (ch. 19). This critique encapsulates two general sorts of errors that he finds in the thought of his Neo-Confucian predecessors. The first is their tendency to see li as being separately “rooted” in the sense of having independent causal power. For example, Dai never embraces the view that the liare somehow responsible for making an individual thing the kind of thing it is. If li have anything to do with distinguishing between kinds, he maintains, it is simply because they represent the fine-grained features of things that we use to identify what kind they are, not the causal agent that makes them what they are (ch. 1). Similarly, he takes issue with the Neo-Confucian assertion that there is some li-based cosmological force that gives rise to qi’s tendency to fluctuate between two extremes (yin and yang). For Dai, the term for this purported cosmological force, known from the Classic of Change as “extreme polarity” or “taiji,” simply describes or names the fundamental oscillation in the cosmic qi. It is not a distinct force that makes the qi move as it does (ch. 18).

The second sense in which Dai’s predecessors see li as separately “rooted” is in conceiving of it as having independent explanatory power, such that one could give an adequate account of li without appealing to qi. The consequences of this sort of error are most apparent in moral claims. For Zhu Xi, to say that someone’s behavior is virtuous or good is to say that it is a proper expression of the li in her, which means in turn that it is a proper expression of some natural endowment of patterning imbued in her heart-and-mind by Heaven. Dai sees this as the wrong sort of story to tell, not just because it presupposes the existence of an unlikely causal agent (the formless “li” of the individual heart-and-mind), nor because he rejects the view that our Heavenly-endowed nature is predisposed in some small way to recognize and delight in the good (in fact, Dai seems to accept some version of this picture). Rather, Dai sees it as mistaken because it has nothing to do with why such behavior is good. Dai’s own preferred account invokes not the proclivities of Heaven as a basis for moral claims, but instead the proper arrangement of such worldly qi-based things as emotional dispositions and desires. Things are in accordance with their proper patterns, Dai asserts, when “the feelings do not err” (ch. 2).

Ever the attentive classicist, Dai traces much of the confusion he finds in the Neo-Confucian usage of “li” to a subtle misreading of the Confucian canon. In the Confucian classics, Dai notes, when the term “li” is used in its moral sense it tends to refer to the state of things when they are patterned in the right way, or “well-ordered” (tiao li) (ch. 1). Thus to speak of the “li” of something (e.g., a person, a boat) is not to refer to some formless object in that thing, but simply to the perfected state of that thing. The Neo-Confucians run afoul of this original sense of the word in assuming that “li” must denote something like an actual object, existing in esse. In so doing, Dai suggests, they open the door to a very different explanation of how someone becomes a “li” or “well-ordered” version of herself, where what makes her well-ordered is not simply that she has improved upon her feelings and desires in the right way, but that some quasi-object in her has expressed itself in the right way. For Dai, in contrast, it is enough to think of li as the state of things as they ought to be:

The exhaustive grasp of human li is nothing but an exhaustive grasp of what is imperative (biran) in human relations and daily affairs, and that is all. “What is imperative” is to push something to its greatest limit, where it can no longer be altered, and this is to speak of its perfection, not to trace out its root. (ch. 13)

5. Influence

At the time of Dai Zhen’s death he was widely revered for his scholarship in such fields as mathematics and phonology but ignored or dismissed as a philosopher. Among his contemporaries, the best-known admirers of his work on metaphysics and ethics were Hong Bang (1745-1779) and Zhang Xuecheng (1738-1801), though their admiration had little impact on other scholars of the era. Dai’s most successful student and friend, Duan Yucai (1735-1815), wrote a biography of Dai in which he dutifully reported his teacher’s profound devotion to and enthusiasm for his less popular philosophical works. But Duan never shared that enthusiasm and himself worked on conventional philological issues.

Only in the late nineteenth and early twentieth century were Dai’s On the Good and Evidential Study taken up with much interest, notably by reform-minded thinkers such as Zhang Taiyan (1868-1936), Liu Shipei (1884-1919), and Liang Qichao (1873-1929), who were particularly drawn to Dai’s suggestion that Cheng-Zhu thought countenanced abuses of power unchecked by the feelings and desires of the disadvantaged or powerless. Later, with the rise of Marxist thought in China, Dai’s attack on Neo-Confucian li—and his concomitant interest in explaining phenomena in terms of qi—made his work a convenient centerpiece for sweeping narratives about the decline of “idealism” and rise of “materialism” in the Ming and Qing dynasties. To some extent this preoccupation with Dai’s place in the li-qi debate lingers in the literature today, although scholars have increasingly turned to focus on his moral philosophy in its own right. Throughout the last two centuries, Dai has remained one of the chief sources of inspiration to those Confucian scholars who find Song and Ming Confucianism to be unviable or fundamentally contaminated with Daoist and Buddhist concepts. As such, he continues to be regarded as one of the most prominent internal critics of the Confucian tradition today.

6. References and Further Reading

Although the study of Dai Zhen’s life and work has become a minor cultural industry in the last couple of decades, there is still relatively little published material that focuses primarily on his philosophy, and even less that is accessible to those unfamiliar with the exegetical disputes prominent in his day. Readers are encouraged to begin with Feng Youlan and Philip J. Ivanhoe (below), and to make use of general surveys of the history of Chinese philosophy.

  • Chin, Ann-ping, and Freeman, Mansfield. Tai Chen [Dai Zhen] on Mencius: Explorations in Words and Meanings. New Haven: Yale University Press, 1990.
    • A widely available summary of Dai’s life and thought, with a complete if not always careful translation of Dai’s most important philosophical work, the Evidential Study.
  • Ewell, John W. Reinventing the Way: Dai Zhen’s Evidential Commentary on the Meanings of Terms in Mencius (1777). Berkeley: Ph.D. dissertation in history, 1990.
    • Includes the strongest of the available English translations of Dai’s Evidential Study.
  • Feng Youlan [Fung Yu-lan]. A History of Chinese Philosophy,volume II. Trans. Derk Bodde. Princeton: Princeton University Press, 1953.
    • An English translation of this well-known scholar’s monumental survey of history of Chinese philosophy. The portion devoted to Dai Zhen is replete with ample quotations from Dai’s works.
  • Hu Shi. Dai Dongyuan de zhexue (The Philosophy of Dai Dongyuan). Reprinted in Taipei: Taiwan Shangwu, 1996.
    • An important and thorough if somewhat dated introduction to Dai Zhen’s philosophy and his place in Qing dynasty academics. This edition also includes the full texts of Dai’s On the Goodand Evidential Study,as well as several of his letters.
  • Ivanhoe, Philip J. “Dai Zhen.” In Confucian Moral Self Cultivation, 2nd ed. (Indianapolis, IN: Hackett Publishing Company, 2000): 89-99.
    • The best introduction to Dai Zhen’s moral thought in the English language. This work also exhibits the rare virtue (in Dai Zhen studies) of being accessible to those less familiar with classical Chinese language and Neo-Confucianism.
  • Lao Siguang. Xin bian zhong guo zhe xue shi (History of Chinese Philosophy, new edition). Taipei : San min shu ju, 1981.
    • A view of Dai Zhen from one of his more strident critics, presented as the final chapter of a survey of Chinese philosophy. Lao uses little charity in attempting to understand Dai, but his is one of the very few lengthy studies that focuses primarily on the philosophical content of Dai’s views.
  • Nivison, David S. “Two Kinds of ‘Naturalism’: Dai Zhen and Zhang Xuecheng.” In The Ways of Confucianism: Investigations in Chinese Philosophy, ed. Bryan Van Norden (Chicago: Open Court, 1996): 261-82.
    • Nivison’s contribution to the academic “cottage industry” in studies of Dai’s influence on Zhang. Like most such studies, this piece is primarily an exercise in intellectual history, but Nivison’s passing summaries of Dai’s views are careful and insightful.
  • Shun, Kwong-loi. “Mencius, Xunzi, and Dai Zhen: A Study of the Mengzi ziyi shuzheng.” In Mencius: Contexts and Interpretations, ed. Alan K. L. Chan (Honolulu: University of Hawaii Press, 2002): 216-241.
    • An overview of Dai Zhen’s masterwork. This piece is particularly helpful in sorting out Dai’s several ways of understanding the doctrine that human nature is good.
  • Tiwald, Justin. “Dai Zhen on Human Nature and Moral Cultivation.” In the Dao Companion to Neo-Confucian Philosophy, ed. John Makeham (Dordrecht [Netherlands]: Springer, 2009): Ch. 20.
    • An extended overview and analysis of Dai’s ethics.
  • Yu Yingshi. Lun Dai Zhen yu Zhang Xuecheng (On Dai Zhen and Zhang Xuecheng). Taipei: Dong da tu shu gu fen you xian gong si, 1996.
    • Originally published in 1976, this is one of the best Chinese language works on Dai Zhen’s philosophical life and writings, although the focus is on Dai’s influence on Zhang Xuecheng and Qing dynasty academics.

Author Information

Justin Tiwald
Email: jtiwald@sfsu.edu
San Francisco State University
U. S. A.

Benedict de Spinoza: Epistemology

spinozaThe theory of knowledge, or epistemology, offered by the 17th century Dutch philosopher Benedict de Spinoza may yet prove to be the most daring in the history of philosophy. Not only does Spinoza claim to be able to know all the ways one can know something, he also claims to be able to know what everything is. Few philosophers besides Spinoza have sought and proclaimed possession of absolute knowledge quite like he had. Of the philosophers who have claimed absolute knowledge, only Spinoza has offered it, not as the reception of a divine revelation, and not as the fulfillment of a historical process, as in Hegel’s epistemology, but as a means for intuitively affirming the truth inherent within all of reality. Reality is susceptible to such an intuition, he said, because every being is a mode of it, or a way that it expresses itself. In other words, for us to come to know the “absolute” is for the absolute to come to know itself. There is thus something basically self-reflexive and introspective about Spinoza’s epistemology. At the same time, knowledge for Spinoza is always of what he calls God or Nature, which can also be understood as the universe itself.

However, whether or not Spinoza’s epistemology is valid by any standard besides his own, remains a point of contention. Most philosophers believe that Spinoza’s epistemology wildly oversteps the limits of human finitude, while others believe that even if Spinoza certainly experienced something within himself that he called “the truth,” we have no real access to it ourselves. This article explores the role and function of knowledge in Spinoza’s philosophy as a whole and the methodology he uses to know things and to know knowledge. The article closely follows Spinoza’s threefold division of the different types of knowledge as  presented in his Ethics. This threefold division is constituted by the distinctions among imagination, intuition, and the exercise of the intellect.

Table of Contents

  1. The Role of Knowledge in Spinoza’s Philosophy
    1. Why Search for Knowledge?
    2. Knowledge in the Ethics
  2. Spinoza’s Method for Epistemology
    1. The Geometric Method
    2. The Sub Specie Model, or Perspectivism
  3. The First Kind of Knowledge
    1. Imagination
    2. Prejudice and Superstition
    3. Miracles, Prophecy, and Revelation
  4. The Second Kind of Knowledge
    1. Intellection
    2. Common Notions
    3. Reason
  5. The Third Kind of Knowledge
    1. Intuition
    2. Love and Blessedness
  6. References and Further Reading

1. The Role of Knowledge in Spinoza’s Philosophy

 

Spinoza’s philosophy as a whole can be seen as continuous reflection on the role and function of knowledge itself. As a rationalist, along with Descartes and Leibniz, he was concerned with improving the power of the intellect, with its inherent capacity to reason, so that it could overcome the obscurity and confusion of our everyday perceptions. Spinoza’s first attempt at writing philosophy was a treatise intended to teach us how to best utilize our natural, rational powers so as to overcome our enslavement to the partial knowledge supplied by the senses. This work was the Treatise on the Emendation of the Intellect (TdIE). Spinoza wrote this work, it is believed, in the early 1660s, but he never finished it. In the treatise, Spinoza begins with an autobiographical moment that explains to the reader why he wanted to improve or emend the intellect.

1a. Why Search for Knowledge?

 

Spinoza sees the obtaining of true knowledge to be the sole avenue for liberating oneself from the limits and fallibility of an average human existence. Both for the mind and the body, Spinoza is searching for a way we can come to correct ourselves and thus know reality with a certainty that would guarantee for us a thoroughly active and affirmative existence, which is an existence defined solely by the active affects of joy and love. There is, therefore, also an ethical aspect to the improvement of the mind that a search for true knowledge is intended to yield. Spinoza calls the joy which a true knowledge of things would imply the “true good.” Such a “true good” is not merely an ephemeral happiness, but instead an eternal joy. Spinoza writes:

After experience had taught me that all the things which regularly occur in ordinary life are empty and futile, and I saw that all the things which were the cause or object of my fear had nothing of good or bad in themselves, except insofar as [my] mind was moved by them, I resolved at last to try to find out whether there was anything which would be the true good, capable of communicating itself, and which alone would affect the mind, all others being rejected—whether there was something which, once found and acquired, would continuously give me the greatest joy, to eternity (TdIE 1).

Spinoza does not deny that searching for true knowledge is a risky gesture. To sacrifice the pleasantries and safety of what everyday experience provides and proclaims as certain is to risk interrupting the comfort of one’s normal routine. In light of this, Spinoza sought to search for true knowledge in a way that would not violate the comfort of his everyday existence, but that would reject what humans usually take to be the highest goods: “riches, honor, and sensual pleasure” (TdIE 3). What this means is that true knowledge will not make you money, give you a popular reputation, or even offer you any momentary delights. Spinoza’s own biography attends to this fact. However, Spinoza was no ascetic. For him, true knowledge does not consist in any misanthropic disavowal of the plight of human beings. Rather, obtaining true knowledge will simply allow one to live with the internal confidence that existence is not defined merely by the indefinite search for finite pleasures. True knowledge will instead empower its possessor to the extent that s/he will be unperturbed by the vacillating conflict of the emotions, or affects, that determine the everyday existence of most humans. In this sense, Spinoza’s emphasis on the affective power of true knowledge is very similar to Stoicism. Ultimately, we should search for true knowledge not only because it will improve our inherent rational ability to check and control our reactive and passive emotions and drives, but because true knowledge will lead us to a direct experience of the essence of all reality, which is an experience that liberates us from finite concerns and endows us with the power and virtue of true blessedness. For Spinoza, true blessedness is an expression of intellectual love towards an eternal and infinite entity: God or Nature. We should search for true knowledge because it will allow us to become truly blessed and wise. Wisdom is true blessedness, or beatitude, for Spinoza. To emend the intellect so that it can use its reason to control its emotions will also allow it, along with becoming wise, to discover the true laws of Nature and common properties of all things. Checking its natural tendency toward reactive passivity and confused perceptions is the self-cultivation of a power essential to the intellect. An emended intellect is, therefore, the perfection of a way of knowing and existing that has searched for and obtained true knowledge.

1b. Knowledge in the Ethics

 

The most mature statement of Spinoza’s philosophy is his Ethics. The Ethics is composed of five parts. The first part gives us Spinoza’s ontology. It deals primarily with what Spinoza regards to be the one true substance or thing that defines reality, which is, once again, God or Nature. Spinoza felt that, prior to discovering how one can know anything, it was best to start any philosophic investigation by establishing the very nature of what is. Getting to God as quickly as possible was only almost an injunction for Spinoza. Spinoza was a substance monist, which means he thought that everything is essentially one thing or substance and that all things are so many modes or ways it modifies or affects itself. The one substance that is everything is infinitely self-causing, self-expressing, and self-sustaining. It is all-powerful, perfect, and real. There is thus only one substance in Nature, as opposed to the many substances philosophers from Aristotle to Descartes had presumed, and that substance is Nature itself. Substance is an indivisible entity of which everything is a modification. The essence of substance, which is its eternal and necessary existence, is what Spinoza calls the attributes. While there is in essence an absolute and indivisible infinity of attributes, we know only two of these attributes: thought and extension. We can know thought and extension because we are ourselves modes of them. Thought is an infinite power of thinking that is God’s idea of himself, while we, our minds and all our thoughts, are so many ways God modifies himself by constitutively expressing himself through an indefinite amount of finite thoughts. In other words, God has and is every idea, while we are just our idea of our ideas of our body and the other bodies that affect us. Extension, likewise, is an infinite power of acting that is God’s infinite and self-causal body (for he is Nature and Nature is essentially physical), while we, our bodies and all the bodies that compose and affect us, are so many ways God modifies himself by constitutively expressing himself through an indefinite amount of finite bodies. In other words, God has and is every body—he is Nature’s naturing (natura naturans)—while we are just our body’s drive to persevere as it intends to actively make stronger compositions with other bodies.

The second part of the Ethics is about the human mind and how it has the ability to emend itself so it can come to know not only its own essence as a finite thing, but also the infinite essence of which it is a mode. The second part teaches us how we can come to know how we are a way God infinitely expresses and continuously causes himself to exist, which is to say we can come to know God’s attributes. We will deal with this part of the Ethics extensively in the sections to come. If the second part teaches us how to strengthen our minds so we can come to know what we really are and how we actually exist as thinking things, then the next two parts of the Ethics (the third dealing with the affects and the fourth their strength) teaches us how to strengthen our bodies so we can come to physically be what we really are and how we actually exist as extended things essentially defined by a desire to persevere. The fifth and final part of the Ethics, dealing with Spinoza’s definition of freedom, synthesizes these approaches and teaches us how to immediately intuit and affirm the infinite and eternal essence we had come to know and embody through the prior parts. The role of knowledge in the Ethics is, therefore, both essential and integral. Through an improvement of our knowledge we can come to be strong and free, or wise and blessed. Spinoza’s understanding and use of knowledge in the Ethics is presented as a way for giving us the means to discover not only the different ways we can know reality, but also the best way we can know it. The ultimate goal of showing us what knowledge is and how we can render it truer—thereby emboldening it with a certain adequacy, power, and clarity and distinctness—is to enable us to obtain that eternal joy which is the very reason why we search for true knowledge in the first place. The role and function of knowledge in the Ethics is to be that way through which we can come to adequately, actively, and rationally exist.

2. Spinoza’s Method for Epistemology

Implied in Spinoza’s epistemology is the admission that there are a variety of ways one can have knowledge. It is also implied in Spinoza epistemology that there is a definitively adequate way for knowing this variety of ways. Spinoza’s method for his epistemology has two aspects, one that is formal and another that is more concerned with the concrete perspectives that define the different ways one can have knowledge.

2a. The Geometric Method

 

It might appear strange that Spinoza waits until part II of the Ethics to address the human mind and the different ways it can have knowledge, considering that the search for the freedom and blessedness of true knowledge is the stated purpose of his thinking. The reason he does this is because of the structural demands of the form in which he wrote the Ethics. Spinoza writes the Ethics in geometric form, which entails that in each part of the text the formal presentation of his arguments involve the use of definitions, axioms, propositions, demonstrations, proofs, scholia, and so on. Formally, the Ethics is written in a way that is similar to Euclid’s Elements. Also, Descartes had popularized the use of geometric form in Spinoza’s time. In opposition to Descartes, however, Spinoza preferred a more synthetic geometric approach than an analytic one. Synthesis is a way of combining primary or axiomatic truths already established as indubitable or self-evident in order to reach other primary truths. To utilize a synthetic geometric method allows one to start with certain ultimate conclusions or truths in order to build a new knowledge from them by demonstrating and proving propositions on their basis. This is why Spinoza starts with God, the one substance that is everything. There are things about God or Nature that simply cannot be denied and that must serve as the basis from which all other knowledge will be derived: that he essentially exists, that he is absolutely infinite, self-causal, conceivable as existing only in and through himself, omnipotent, omniscient, and eternally existing of necessity.

So, in a sense, Spinoza already has absolute knowledge before he reaches it. While the synthetic geometric method was that powerful for him, Spinoza also knew that we, as readers, still needed to progress through the entirety of his text in order to see if and how he was right. Believing that what Spinoza establishes as axiomatically certain is in fact so is a necessary gesture on our part if we are to come to know how Spinoza can start with such perfect knowledge. In other words, Spinoza writes the rest of his Ethics for a reason when he could have just as easily cut everything off after part I, and that reason is that he wants to teach us what we, quite paradoxically, already know as well. The knowledge we all already have is what Spinoza himself explicitly knows as he put it into axiomatic form. The process of coming to have knowledge, for Spinoza, is thus always an explication of a knowledge that is eternally implied in every mind. Spinoza uses the axiomatic geometric form so he does not have to waist time by starting from scratch and eventually discovering the very basis from which he can start through the simple establishment of definitions and axioms. This can be seen as the reason why he never completed the TdIE as well, because it began with the natural inadequacy of our everyday knowledge and sought to overcome it through an almost analytic process of forming a basis from which future knowledge would be capable of discovering the very truth of God that Spinoza and, according to him, we all already know. Such an analytic approach was Descartes’ in his Meditations and it was also probably the main inspiration for Spinoza’s writing the TdIE in the way that he did. By beginning with God and what is absolutely true of him in the Ethics, Spinoza could then show us the variety of ways in which we are inherently both inadequately and adequately knowing God from the start. Spinoza found the destructive tendencies of the analytic method, especially of Descartes’ hyperbolic doubt, to be superfluous because if one has the truth it is not doubted and if it is doubted then it is not the truth and you do not have it.

For Spinoza, it is not that we do not have knowledge of God. The problem is that our knowledge is usually quite poor and confused. But merely by following Spinoza through the Ethics, because of its synthetic geometric form, we come to know that we already have a knowledge that is, in an everyday sense, quite poor. The way to come to know adequately then what we always already know inadequately is to come to know the different ways that knowledge can be known and the different ways knowledge knows things, both of which will become utterly identical through the reflexivity demanded by Spinoza’s epistemology. Such reflexivity, therefore, will constitute Spinoza’s actual method for doing epistemology insofar as the geometric method is the formal presentation of its synthetic necessities, but not its precise application to the different kinds of knowledge. Spinoza says as much in the TdIE when he argues that any true method must be “reflexive knowledge” (TdIE 38). This is not to say that Spinoza’s geometric method does not itself imply reflexivity, but that it is more the form in which a truly reflexive epistemology can be invented and utilized.

2b. The Sub Specie Model, or Perspectivism

 

The truly reflexive way Spinoza does epistemology can be called the sub specie model. Sub specie is Latin for “under the species or aspect of,” or “from the perspective of.” Each aspect or perspective of knowledge is a way of knowing. Spinoza uses the phrase when speaking of how, when we use the common notions and reason that define the second kind of knowledge, we perceive reality “under a certain species of eternity” (EIIP44C2). True knowledge for Spinoza, as we will see, means that one shifts one’s perspective away from imagining reality in terms of the abstractions and quantifications implied by using time (and space) to measure an indefinitely enduring finite existence, to intellectually conceiving reality from the perspective of its own true and indivisible eternity. Insofar as there is only one substance, one real thing, in and as the universe for Spinoza, when we have any knowledge, whether it is true or false, it is necessarily going to be of this substance. The sub specie model states that all the ways of knowing are different ways of knowing one thing and not different ways of knowing substantially different things. Each way of knowing is a perspective on one substance. While our knowledge may be perceived as changing, what we know cannot be truly perceived in such a way.

The sub specie model is reflexive because it allows Spinoza to know how knowledge actually functions while still sustaining his substance monism. He retains his substance monism by affirming the existence of the great variety of ways humans, and moreover all beings, can have knowledge as being so many ways God expresses himself. If all ways of knowing are ways God is known, then God himself, insofar as he is absolutely self-causal and self-expressive, would have to thereby know himself through and as all the different ways he is known. Therefore, from the perspective of God, God knows himself in an infinity of ways, while we, in our everyday existence and from our finite perspective, are just so many of these infinite ways God can both inadequately and adequately know all of reality as himself. But, does this mean that God is actually false as he knows himself inadequately through us? Yes, but only from a finite, limited, and inadequate perspective. On the other hand, while God essentially is the way we know him naturally and inadequately, he is also the adequate knowledge of our inadequate knowledge insofar as he absolutely knows all the ways he is known; or more precisely, he adequately knows himself in every way, from every perspective, he is known. God’s knowledge, therefore, is the absolutely self-reflexive epistemological model we must try to express, experience, embody, intuit, and know if we are to come to have true knowledge ourselves. In other words, we must become as epistemologically self-reflexive as God; that is, we must come to know our inadequate knowledge in the exact way or from the very perspective God adequately knows it.

To come to have adequate or true knowledge is first to come to know how our everyday, finite knowledge is just a way, a particular perspective, of having knowledge and that it is a perspective on God just like every other way of knowing. For us to have an adequately reflexive knowledge is for us to have a reflexive knowledge of God’s reflexive knowledge. That is, we must think God from his own absolutely self-reflexive, self-knowing perspective in order to have adequate knowledge, an adequate knowledge that is both of God and ourselves. For Spinoza, to have an adequate knowledge of epistemology, or adequate knowledge of the ways knowledge knows and is known, is to have an adequate epistemology of epistemology itself. Yet, we must now see how we can arrive at such knowledge. Now we must see the three main ways humans can have knowledge and how we can come to have God’s absolute knowledge of these ways from the absolute perspective he has on himself. We must see how we can shift our perspective to that of God’s absolute perspectivism. We must come to know how we can know reality sub specie aeternitatis.

3. The First Kind of Knowledge

Spinoza defines the first kind of knowledge as the lowest or most inadequate kind. It is also the natural way humans have knowledge. The first kind of knowledge is humanity’s perspective on reality. Spinoza, echoing Parmenides’ [https://iep.utm.edu/parmenid/] distinction between aletheia, or truth, and doxa, calls it opinion. The first kind of knowledge is also the only source of falsity (EIIP41).

3a. Imagination

 

For Spinoza, the human being is a singular thing, which means that it has a finite and determined existence (IID7). From one perspective, the human is a mind or thinking thing (IIA2). The human mind both has ideas and is itself an idea. From another perspective, the human is also an extended thing, or a finite and determined body. The human body is both composed of a great many bodies and is affected by a great many other bodies. The human mind and all its thoughts think nothing but the human body, the bodies that go to compose it, and the bodies that affect it (IIP12, 13). The human mind is the idea of the human body and it involves and expresses through all of its ideas all the bodies that compose its body and all the bodies that cause, affect, and determine it. The mind, in its naturally determined singularity, thinks nothing but its body’s affections. Affections are the states or conditions of a body’s reaction to another body’s affecting it. They are the ways both how our body reacts to being affected and how our mind thinks such reactions. From the perspective of the body, affections are usually expressions of receptivity, reactivity, passivity, and weakening on the part of the affected body. Affections are also feelings. Spinoza defines affections in terms of the physical affects, which are the ways the body becomes either stronger or weaker, or more joyful or sad (IIID3). Usually, one’s affections enslave one to a passive existence defined by a diminishing of one’s drive to persevere through forming greater and stronger compositions with other stronger bodies. From the perspective of the mind, affections are images of its affected body (and its increase or decrease in active power or freedom) and the bodies that affect it. Even though affections are things reactively received, they are also those thoughts through which the mind can posit as present the actual existence of its own affected body and all the bodies that affect it. As images, affections are still, even while passively received, essentially positive. Spinoza writes, “the affections of the human body whose ideas present external bodies as present to us, we shall call images of things…and when the mind regards bodies in this way, we shall say that it imagines” (IIP17S).

Now, for Spinoza, the human mind has knowledge of the singular existence of any body insofar as it imagines it. The problem, however, is that any knowledge based on passive affections, or images, is a partial, confused, mutilated (or fragmented), and inadequate knowledge. “Insofar as the human mind imagines an external body, it does not have an adequate knowledge of it” (IIP26C). Any idea, which is itself also an image, of an affection that is an image of an affected or affecting body inadequately expresses the true nature of such bodies. An image is inadequate, an inadequate idea, because it expresses only a confused and mutilated understanding of how a body affects another and what a body essentially is as a self-causal and affecting entity. For a body to imagine other bodies as actively, affectively, and causally determining the form of its existence is for a body to betray its own very minimal ability to be active, affective, and causal itself. Imagination is, therefore, submission to external determination. Through the imagination, a singular mind and body is defined solely by how other bodies determine its existence. The inadequacy of imagining is an expression of mental and physical weakness, for it is only a partial explanation of how bodies are essentially active and self-causally striving for an enhanced perseverance. An inadequate knowledge—a knowledge that merely posits as presently existing externally affective bodies and one’s own passively affected body—is a weak knowledge and, for Spinoza, is thus the very definition of falsity.

As long as I am merely receiving my affections and passively imagining the bodies that affect me, I express an inadequate and false knowledge of things. As long as I merely imagine bodies, I am not internally self-determining and explicitly expressive of the truly self-causal and active essence of all things and myself. Images are like the scars or traces bodies leave on me as they batter me because of my mental and physical sadness and weakness. Images are “like conclusions without premises” (IIP28D). By merely imagining bodies, I am enslaved to the common order of Nature, with its incessantly active, functioning, and self-causally moving bodies. By being so enslaved I understand Nature’s common order not in its inherently intellectual rationality, but rather as the fortuitous run of circumstance one endures through casual, vague, and random experiences (IIP40S2). It is important to emphasize, however, that the positivity implicit in false ideas cannot be the cause of their falsity, and that falsity does not involve a total privation of knowledge. Images are not non-beings devoid of all expressive content. Falsity is still an expression of the fact that all singular things exist; it is just that it is the weakest way of knowing this fact.  In other words, inadequacy is the lowest degree of actual and active knowing and existing for Spinoza. Falsity is the poorest way of knowing God or Nature, that is, the poorest way it knows itself.

Spinoza defines a few other characteristics of the falsity of the first kind of knowledge. Affections, or images, are the sensations through which singular beings think and feel their externally determined bodies. Knowledge that stems entirely from sense perception is inadequate and false. Sense perception also defines a kind of knowing that forms only fictitious ideas of things (TdIE 52-56). These fictions are uncertain ideas of what constitutes the essential and necessary existence of things. Knowledge of the first kind is also knowledge based on signs and hearsay (TdIE 19). Signs and hearsay, along with all knowledge based on memory, give us knowledge of “almost everything that is of practical use in life” (TdIE 20). The good and common sense that makes everyday experiences and relations possible involve neither the clarity and distinctness nor the internal and self-causal adequacy that the truth requires. Instead, an everyday human existence is defined by a collective opining on the part of a multitude of singular beings that do not have the rational strength to overcome their enslavement to partially expressing through fragmented and confused ideas their passivity and externally determined existence.

3b. Prejudice and Superstition

 

One of Spinoza’s favorite examples of falsity is the illusion of free will that is so often propagated by the mutilated imagination of human beings. It is a natural prejudice of humans to assume they have liberty. Spinoza writes, “men are deceived in that they think themselves free [i.e., they think that, of their own free will, they can either do a thing or forbear doing it], an opinion which consists only in this, that they are conscious of their actions and ignorant of the causes by which they are determined” (EIIP35S). Humans imagine they get to make choices because their knowledge is an inadequate expression of what actually determines them to do everything they do, which includes them imagining they have free will. Spinoza is a thinker of determinism and necessitarianism. Humans are necessarily determined to be prejudicial and not know why or how. It is natural law, for Spinoza, that “men are born ignorant of the causes of things” (IApp). Spinoza next notes that humans often turn their prejudicial assumption of free will into the dogma of divine choice. Humans take their imaginary freedom based on contingency and possibility and apply it to a transcendent creator of the entire universe. The human image of God is of a being with an omnipotent reservoir of choices. Because humans find such an image staggering they are terrified they may choose something (namely, a form of worship) that God either has not himself chosen or that he has deemed to be morally reprehensible. Humans thus allow their prejudicial free will to congeal into a superstitious obsession with the impenetrable and inexhaustible free will of God (IApp). All of this is grossly inadequate and false, for Spinoza, for it merely doubles the error of free will and enslaves singular beings to an almost complete irrationality.

3c. Miracles, Prophecy, and Revelation

 

Another example of falsity that Spinoza gives is an extension of prejudice and superstition. It is the religious instinct to believe in the miraculous and prophetic, both of which depend upon the imagined reception of the revelation of God’s free choices. In the case of miracles, the necessity of natural laws is broken by an ultimately unknowable divine decision (TTP, 6). Once again, humans explain away their ignorance of the causes that determine them by imagining a substantial interruption in the natural order of things. While a miracle is imagined to provide humans with what they perceive to be an advantage, an omen is the negative counterpart to a miracle, but it still expresses the same falsity. Certain types of humans take advantage, for political purposes, of the inadequacy of the prejudicial and superstitious nature of those who are susceptible to believing in miracles and omens—that is, the multitude—by declaring their own ability to receive directly the revelation of the immediate results of God’s choices and commands. These beings are prophets and priests, and prophecy for Spinoza is nothing but a clever way of exploiting and disciplining the multitude through the use of an agile and vivid imagination (TTP, 1). For Spinoza, “revelation has occurred through images alone” (TTP, 1), which means that all religions based on revelation are essentially false. Revelation is an utterly inadequate and inappropriate way of understanding God.

4. The Second Kind of Knowledge

In light of the passive and inadequate state of our everyday knowledge and existence, beset as we are by an external determination of our singular existence by all the bodies we confusedly imagine as affecting us, Spinoza aims to establish the ways in which we can overcome our falsity and weakness and come to have an adequate and active knowledge. The first step to becoming adequate for Spinoza is for one to actively and reflexively shift one’s perspective away from the imagination to that of the rational powers inherent to the intellect. This self-activation of the intellect occurs through the formation of common notions, which are concepts that express the universal properties of all things.

4a. Intellection

 

Spinoza never supplied a clear-cut definition of the intellect. He appears to offer three different kinds of intellects. One is simply our finite mind. Another is the immediately caused and infinite in kind modal intellect that is common to and shared by all finite intellects. And there is a third kind of intellect that is God’s absolutely infinite and indivisibly self-causal thinking of himself, or the attribute of thought itself that goes to define God’s essential existence. These three intellects are implicit in each other as they are taken from their own explicit perspectives. From the explicit perspective of the finite intellect, for example, the imagination constitutes the vast majority of one’s thoughts, even though, Spinoza argues, implicit to a finite thinking is the infinite in kind thinking of which it is a part and the indivisibly infinite thinking it truly and essentially is. In order to emend our finite intellect so that it is no longer enslaved to imagining, but instead conceives what is implicit to its thinking, Spinoza shows us how to reflect upon the very nature of our minds and find what it is about it that we know with a fair degree of certainty. By reflecting upon our imagination we cannot but notice that imagining is the way we necessarily think in our usual condition and that we, even prior to noting that we are necessarily imagining beings, also notice that we are necessarily things that think. It is through this reflection upon the natural necessity of the inadequacy of our thinking that we begin to affirm with a certain clarity and distinctness something essential about ourselves as thinking things and so shift our perspective away from only explicitly imagining. For Spinoza, it follows from the necessity of the order of Nature that human beings inadequately imagine all that affects them and thus also imagine all of what they think (EIIP36). But it is this very thought of the necessity of our being singular entities that inadequately imagine that activates the powers of our intellect. By intellectually affirming the natural necessity that we as imagining beings are determined from without and follow a natural order, we can thereby come to know and internally affirm our own essential necessity in light of this order. The activation of the finite intellect is also the self-ordering of the affections or images that usually constitute a finite mind. To intellectually order one’s affections in the way they are necessarily and naturally determined is to begin to know both the conditions for their being caused and what in fact causes them as so many modes that follow and flow from an infinite mode of God.

An active finite intellect is a mind that knows that it falsely imagines the bodies that affect it. But to know one’s falsity truly for Spinoza is for one to know the truth because the truth is the standard both of itself and falsity (IIP43S). By reflecting on such a slight enhancement of knowledge, a finite intellect can increase its activity even more by beginning to understand the necessity and natural order it now knows it follows, and now orders its affection in accordance with, as being something of which it is a part and mode. For a mind, as it begins to actively conceive of its nature as a way Nature necessarily functions and follows from itself, it can begin to use its intellective capacities to know the essence of the infinite thinking that must be common to it and that it must be a way or mode of in order to be a thinking thing at all. For a body, as it begins to actively affect and determine the bodies that were formerly affecting and determining it, it can begin to compose greater composites of other bodies with these bodies it now determines and so strengthen its own essential activity and joy. In order for both the mind and the body to do this, what is common to all singular beings must be adequately known and conceived.

4b. Common Notions

Spinoza argues that what is common to all singular things cannot constitute the essence merely of one or an indefinite amount of particular things, but rather must be “equally in the part and the whole” (IIP37) of all singular things. This is because “those things which are common to all, and which are equally in the part and in the whole, can only be conceived adequately” (IIP38). The question is then, what is common to all singular things? If the intellect is activated through an affirmation of the necessity of the natural order of determinations it is a part of, it becomes even more active if it can conceive what all intellects must constitute as the entire or whole order of thinking itself. What is common to all finite intellects is an infinite intellect of which they are all modes and parts. For a finite intellect to conceive of the whole infinite intellect that it goes to compose, and thus is a way that it modifies itself, is for it to render its thinking adequate. The adequacy of conceiving what is common to all finite thinking is an expression of truth, or clarity and distinctness, for Spinoza.

All singularly thinking things agree in certain respects. One way they all agree is that they are all determined to imagine affections. Another is the simple fact that they all think. And another is that they all modify both an infinite in kind thinking, which is the inherent unity of all thinking as it is immediately caused by God, and also an indivisibly infinite thinking, which is God’s absolute thought of himself. All intellects are modes of an infinite intellect conceivable both as an immediately caused unity of finite intellects and an indivisible identity of all intellectual activity as being one absolutely infinite and eternally self-causal thinking. Spinoza argues that the common notion of the infinite intellect—from both its infinite in kind, immediately caused and indivisibly infinite, self-causal perspectives—is “common to all men” (IIP38C), which also means that it is inherent to the finite intellects of all singular beings. Every thinking thing cannot but implicitly think what is common to it, what it shares with other thinking things, what it is a part of, what it is essentially a unity of, and what it essentially is as a way God thinks himself. The process whereby a finite intellect thinks its inherent common notions is the active becoming of its explicit expression of the truth of all thinking things. The common notion the finite intellect adequately expresses as it becomes increasing active and self-determined is the clear and distinct idea of the immediate and infinite in kind intellect it modifies by being a part of it and the attribute of thought it modifies as an indivisible way God modifies itself.

There is another common notion implicit to an activated and adequate finite intellect, and it is a conception of what is common to all singular bodies. Insofar as all thoughts are actually the bodies and affections they think because of Spinoza’s doctrine of the parallel identity of thoughts and bodies, the common notions of the infinite intellect and the attribute of thought are also clear and distinct conceptions of the immediate and infinite in kind mode of extension and extension itself. It is of the nature of bodies first of all to be extended things. Secondly, it is of the nature of all extended things to indefinitely compose with and decompose each other. All bodies agree in that they are all each both parts of a larger whole and themselves wholes with parts. The fact that all bodies are alive for Spinoza leads this compositional structure of all bodies to be constantly in flux. Therefore, what is also common to all bodies, along with being extended composites, is the fact that they are all moving at different speeds. To be a singular body is to be an indefinitely composing and decomposing extended composite that speeds up or slows down (IIP13, Ep 32). Spinoza calls the immediate and infinite in kind mode of extension “motion and rest.” Motion and rest is the whole or unity of all bodies conceived as one individual body that is all the degrees of compositional movement. All singular bodies are modes of motion and rest, which is itself the immediate and infinite in kind mode of the indivisibly infinite and absolutely self-modifying attribute of extension, or what Spinoza calls Nature naturing (natura naturans). Motion and rest parallels the infinite in kind intellect, and both are in essence the attributes they immediately modify and follow from, which is God’s indivisibly self-causal essence.

4c. Reason

 

Spinoza next needs to show us how we can conceive of these common notions through our affections. For Spinoza, we are very affected. The more we are affected the more we think, but usually imagine, what affects us. But now we know how to adequately conceive of the true nature, the essential properties, of all singular things. Through common notions we can open ourselves up to a plethora of affections without becoming enslaved to them because of our reflexive and perspectival ability to know the necessity and intellectual order of all things, that is, to know all things either as ways an infinite intellect thinks or as ways the whole of Nature compositionally moves. To be active and affirmative toward one’s affections is to use reason to understand how they determine one to exist. But reason is not merely a calm reception of affections. Through an adequate conception and utilization of the reasoning power of the common notions one can become the active cause of all of what one is affected by. The power to be affectively causal in one’s own right is reason’s ability to make us truly free. True freedom, for Spinoza, is the affirmative following of divine or natural necessity. By being rational one can control and order all of one’s affections by conceiving what it truly common to what one is affected by and thus thinks. To open oneself up to an indefinite amount of affections, and yet still rationally control one’s reactions to them, is to actually compose with all such bodies by forming a greater, stronger, and more joyful whole. Through a rational use of the implicit truth and power of the common notions inherent to the intellect one can become the very means through which the unity, and even more the absolute indivisibility, of God or Nature can be intuitively affirmed and embodied through one’s own essential existence.

5. The Third Kind of Knowledge

 

If the truth and adequacy of the common notions activate our intellectual capacity to rationally control our emotions and causally determine the bodies around us to enter into greater and stronger compositions, thereby liberating us into the absolute necessity of God’s natural and lawful order, then it is the intuition, the intuitive knowledge and embodiment, of this truth that will make us eternally wise and blessed. Blessedness consists in loving God with the love whereby he loves himself (VP36), and to intellectually love God not only gives us a blessed existence, it also gives us eternal joy. With the third kind of knowledge, knowledge is solely sub specie aeternitatis.

5a. Intuition

Spinoza defines the third kind of knowledge as a “kind of knowing that proceeds from an adequate idea of the formal essence of certain attributes of God to the adequate knowledge of the [formal] essence of things” (IIP40S2). The second kind of knowledge supplies us with the adequate idea that all singular things must be unified into something immediately caused by God (the infinite in kind and immediate modes) and that all singular things are modes of certain attributes of God (thought and extension). With the third kind of knowledge we can know an attribute not merely through a common notion, but as the essential existence itself of God’s indivisible infinity and eternal necessity. The third kind of knowledge is the knowledge that knows the essence of each and every thing as a way that God causes himself to exist. Knowing a singular thing without the explicit mediation of knowing what it composes into or is as a part of an immediate causal order and connection, is to know it intuitively as simply being a way God eternally and infinitely exists. Intuition is intellectual knowledge taken beyond the immediacy of the infinite in kind. Intuition is more immediate than immediacy; it is affirmative identification, the absolutely self-reflexive identification and knowledge of God and his modes through oneself. Intuition is the absolute affirmation of the natural and necessary eternity of God’s attributes as essentially being the singular things he expresses of himself. Intuition is the knowledge that all things are one thing that God is, that all his attributes are the modes with which he modifies himself. We can know through the essence of singular things that the certain attributes they modify are also the indivisibility of all of God’s attributes, insofar as “no attribute of substance can be truly conceived from which it follows that substance can be divided” (IP12). Intuition is what allows us to know not merely the attributes we modify, but to know both ourselves as the attributes we modify and all the attributes themselves as being the essential existence of all things that is God. In other words, intuition allows us to know all the attributes as the ways God is one indivisible and absolutely immanent entity. Through an intuition of God’s essence one can know the infinity and eternity of one’s own mind and body. To shift one’s perspective to that of God’s is to conceive of the eternal aspect of all things and to intuitively see oneself through God’s absolute perfection and power.

5b. Love and Blessedness

 

For Spinoza, to intuit God is to love God. The intuition of God is the intellectual love of his essential existence, with love being that power of intuition that makes intellection (the exercise of the intellect) more immediate than the immediacy known through the common notions of the second kind of knowledge. Love is defined, on the one hand, as “joy with the accompanying idea of an external cause” (IIIP13S), but, on the other hand, with the intellectual love of God the idea of the cause of such joy is more an internal cause than an external one because through the third kind of knowledge one knows absolutely that God constitutes one’s own essential existence. In a finite sense, joy is an increase in perfection, but the joy involved in the intellectual love of God is almost an identification of one’s love with God’s very absolute perfection, or infinite self-love. God’s absolute self-love is his indivisibly infinite and eternal self-causal power to essentially exist as all things. The third kind of knowledge, intuitive knowledge, loves this self-love in the way that it loves itself. The intellectual love of God is the absolute knowledge of all the ways one can know God and all the ways God knows himself as an infinity of ways he conceives and loves his own truth for all eternity. It is with the aid of the affective power of reason that our liberation into true necessity is affirmed even more intensely as we come to embody the freedom to conceive of the universe from its own eternally living and infinitely natural perspective of absolute perfection, power, and reality.

The third kind of knowledge endows us with a kind of immortality. It is not that we exist in our perceived or imagined finite form for all eternity, because all finite bodies and the ideas and affections of them decompose, but that we exist eternally by shifting our perspective and our knowledge to that of the infinity and eternity of God’s indivisibly physical self-conception and self-knowledge (VP29). Spinoza writes, “Insofar as our mind knows itself and the body under a species of eternity, it necessarily has knowledge of God, and knows that it is in God and is conceived through God” (VP30). To intuit God through an intellectual love of his essential existence, and thereby conceive all things from his eternal perspective, is to render our adequate knowledge and rational freedom truly divine. Blessedness is the virtue, rarity, excellence, and power of our absolute knowledge of God’s absolute knowledge. Absolute knowledge is thus divine wisdom.

6. References and Further Reading

All passages from the texts of Spinoza are taken from the translations appearing in The Collected Works of Spinoza. Vol. I. Edited and translated by Edwin Curley. (Princeton: Princeton University Press, 1985). Passages from the Ethics are cited according to Book (I – V), Definition (D), Axiom (A), Proposition (P), Corollary (C), and Scholium (S). For example, (IVP13S) refers to Ethics, Book IV, Proposition 13, Scholium. Passages from the Treatise on the Emendation of the Intellect are cited according to paragraph number. For example, (TdIE 35) refers to Treatise on the Emendation of the Intellect, paragraph 35.

  • Curley, Edwin, “Experience in Spinoza’s Theory of Knowledge” in Spinoza: A Collection of Critical Essays, ed. Marjorie Grene, (Garden City, NY: Doubleday/Anchor Press, 1973), 25-59.
  • Curley, Edwin, Filippo Magnini, and W. N. A Klever (eds). Spinoza’s Epistemology, vol.2 of Studia Spinozana. (Hanover: Walther & Walther Verlag, 1986).
  • De Dijn, Herman. Spinoza: The Way to Wisdom. (West Lafayette, IN: Purdue University Press, 1996).
  • Deleuze, Gilles. Spinoza: Practical Philosophy. (San Francisco: City Lights Books, 1988).
  • Della Rocca, Michael. Representation and the Mind-Body Problem in Spinoza. (Oxford: Oxford University Press, 1996).
  • Floistad, Guttorm, “Spinoza’s Theory of Knowledge in the Ethics” in Spinoza: A Collection of Critical Essays, ed. Marjorie Grene, (Garden City, NY: Doubleday/Anchor Press, 1973), 101-127.
  • Garret, Don, “Spinoza,” in A Companion to Epistemology, ed. Ernest Sosa and Jonathan Dancy, (Oxford: Basil Blackwell, 1992), 488-490.
  • Garrett, Don, “Representation and Consciousness in Spinoza’s Naturalistic Theory of the Imagination” in Interpreting Spinoza: Critical Essays, ed. Charlie Huenemann, (Cambridge: Cambridge University Press, 2008), 4-25.
  • Huenemann, Charlie, “Epistemic Autonomy in Spinoza,” in Interpreting Spinoza: Critical Essays, ed. Charlie Huenemann, (Cambridge: Cambridge University Press, 2008), 94-110.
  • Lloyd, Genevieve, Part of Nature: Self-Knowledge in Spinoza’s Ethics. (Ithaca, NY: Cornell University Press, 1994).
  • Mark, Thomas Carson. Spinoza’s Theory of Truth. (New York: Columbia University Press, 1972).
  • Parkinson, G. H. R., Spinoza’s Theory of Knowledge. (Oxford: Clarendon Press, 1954).
  • Parkinson, G. H. R., “Language and Knowledge in Spinoza” in Spinoza: A Collection of Critical Essays, ed. Marjorie Grene, (Garden City, NY: Doubleday/Anchor Press, 1973), 73-100.
  • Wilson, Margaret D., “Spinoza’s Theory of Knowledge” in The Cambridge Companion to Spinoza, ed. Don Garrett, (Cambridge: Cambridge University Press, 1996), 89-141.

Author Information

Nels Dockstader
Email: jdocksta@uwo.ca
The University of Western Ontario
Canada

Louise-Françoise de la Baume Le Blanc, marquise de La Vallière (1644—1710)

lavalliereA mistress of Louis XIV, who became a Carmelite nun, Mademoiselle de la Vallière has long fascinated historians and novelists by her picaresque life.  But only recently has the philosophical dimension of that life received attention.  During her years as royal mistress, La Vallière studied the works of Aristotle and Descartes in the literary salons of Paris.  After her religious conversion under the direction of Bossuet, she composed a treatise dealing with the mercy of God.  In this work and in her correspondence, La Vallière revealed her skill as a moraliste, a critic of the contradictions and subterfuges of the human psyche.  Her writings focus in particular on virtue theory.  La Vallière privileges the theological virtues of faith, hope, and charity; she criticizes the unredeemed cardinal virtues as masks of human pride.  As a social critic, La Vallière demonstrates how the culture of the court has produced counterfeits of the theological virtues. Her writings insist on the necessary presence of grace for the emergence of authentic virtue, as well as express skepticism on the capacity of nature alone to cultivate virtue.  Rather than being abolished, the human passions undergo their own conversion in the grace-induced dynamic of repentance and reform.

Table of Contents

  1. Biography
  2. Works
  3. Moral Philosophy
    1. Virtue Theory
    2. Nature and Grace
    3. Theory of Passions
  4. Reception and Interpretation
  5. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Biography

On August 6, 1644, Louise-Françoise de la Baume Le Blanc de laVallière was born into an aristocratic family in Tours.  Both parents claimed a distinguished lineage.  Her father, Laurent, Seigneur de la Vallière, descended from a family noted for its military service to the French crown.  At the time of his daughter’s birth, he held the post of governor of the royal chateau of Amboise.  Descended from a noblesse de robe family known for its legal service to the throne, her mother, Françoise Le Prévost, was the widow of a prominent member of the parliament in Paris.  After the death of Louise-Françoise’s father in 1651, Jacques de Courtavel, marquis de Saint Rémy, married her newly widowed mother.  In the recurrent struggles between the absolutist French monarchy and the restive aristocracy attempting to maintain its ancient privileges, the members of the La Vallière family sided with the royalist cause.

Mademoiselle de la Vallière was raised in a militantly Catholic provincial aristocracy.  Ecclesiastical vocations were common in her immediate family.  Uncle Gilles was bishop of Nantes; Uncle Jacques was a Jesuit priest; Aunts Élisabeth and Charlotte were Ursuline nuns.  La Vallière’s formal education was primarily literary.  Under the tutelage of her Urusuline aunts, the young Louis-Françoise studied grammar, reading, composition, and public speaking.  In 1655, she moved to the chateau of Blois for her adolescent education.  The official residence of Gaston, duc d’Orléans, the brother of Louis XIII, Blois permitted La Vallière to join the Orléans daughters in the courses conducted by the house chaplain, Abbé de Rancé, a cultured theologian who would later emerge as one of France’s leading monastic reformers.  In this royal curriculum, La Vallière studied the arts of painting, music, etiquette, and equitation as well as continuing her literary studies.  Under the guidance of Rancé, she was introduced to the neo-Aristotelian elements of the catechesis mandated by the Council of Trent.

Closely tied to the royal family, La Vallière made her official debut at court in 1661 when she was appointed a lady-in-waiting to Henriette d’Angleterre, the wife of Louis, duc d’Orléans.  At the moment of her arrival, court gossips were criticizing the excessive amount of private time Louis XIV was spending with his beautiful sister-in-law.  Royal counselors encouraged the king to deflect the rumors of an incestuous affair by appearing to express romantic interest in the new member of Henriette’s entourage, La Vallière.  The royal secretary Dangeau ghostwrote a series of romantic letters allegedly written by Louis XIV and La Vallière; other courtiers arranged late-night meetings between the king and the lady-in-waiting that projected the air of a romantic tryst.  The ruse quickly became fact as Louis XIV become infatuated with the cultured new courtier.  La Vallière was recognized as the official royal mistress and bore the king four children: Charles (1663-65), Philippe (1665-66), Marie Anne de Bourbon (1666-1739), and Louis de Bourbon (1667-83).  The king later legitimized his two surviving children and ennobled them under the respective titles Mademoiselle de Blois and Comte de Vermandois.

During her years as royal mistress, La Vallière continued to pursue her artistic and literary interests.  She attended performances of Racine and Molière, read the period’s fashionable novels, and took courses in painting at the Académie Royale.  La Vallière showed a predilection for philosophical issues.  In salon circles, she was known for her well-informed discussions on Aristotle’s Nicomachean Ethics and Descartes’s Discourse on Method.  Her circle of close intellectual friends was dominated by thinkers of a libertine tendency, notably Benserade and Lauzun.

In 1667, Louis XIV elevated La Vallière’s social status further by granting her the title of Duchesse de Vaujours, accompanied by the substantial estate at Vaujours.  But 1667 also marked the end of La Vallière’s ascendancy with the emergence of a rival, Madame de Montespan, who would ultimately displace La Vallière in the affection of the monarch and become the principal royal mistress.

Long troubled by scruples over her adulterous affair, La Vallière underwent a religious crisis in 1670.  After recovering from a serious illness, possibly smallpox, she made a confession of her sins and returned to the regular practice of the Catholic faith.  Under the direction of the court preacher Bossuet, La Vallière abandoned the social activities of the court and began to lead a penitential life of prayer and mortification.  Renouncing her former libertine allies, La Vallière allied herself to the parti dévot, a group of pious lay courtiers who opposed the moral decadence of the court.  In her new spiritual reading, La Vallière discovered the works of the Catholic Counter-Reformation, in particular Saint Teresa of Avila’s Path of Perfection, with its ascetical and mystical conception of virtue and beatitude.  Under the influence of Bossuet in 1671, La Vallière wrote a theological work, Reflections on the Mercy of God, which paralleled the divine attribute of mercy with the virtues proper to the repentant sinner.

The sudden conversion of a Versailles courtesan turned La Vallière into a religious celebrity but humiliated Louis XIV, whose sexual infidelities and religious hypocrisy had become public knowledge.  Only in 1674 did the monarch permit his former mistress to pursue her vocation as a nun.  On April 19, 1674, La Vallière entered the Carmelite convent in Paris, where she would henceforth be known as Soeur Louise de la Miséricorde.  Preaching to a convent packed by the capital’s religious elite, Bishop Jean-Louis de Fromentière of Aires denounced the immorality of the court at Versailles; according to the bishop, La Vallière’s entry into the austerity of Carmel amounted to a moral miracle.  On June 4, 1675, Soeur Louise pronounced her vows as a Carmelite nun.  Queen Marie-Thérèse, the wife of Louis XIV, personally headed the congregation and witnessed the apotheosis of the former courtesan who had defied Versailles.  Preaching at the ceremony of profession, Bossuet pointedly drew the lesson that even the world’s most powerful persons must repent of their sins and cease their abuses of power.

During her secluded decades in the convent, Soeur Louise de la Miséricorde lived an exemplary life as a Carmelite nun, noted for the rigor of her penitential practices.  She did, however, continue the correspondence she had begun during her conversion with the lay leader of the parti dévot, Maréchal de Bellefonds.  Her letters show the clear spiritual influence of the école française by their recurrent stress on abandonment to divine providence and on annihilation of the self.  They also contain an ongoing critique of the immorality, violent ambition, and practical atheism she had witnessed in her court years.  In the convent parlor, Soeur Louise occasionally received acquaintances from her previous life: Rancé, Bossuet, Queen Marie-Thérèse, even her old rival, Madame de Montespan, who had also fallen from her former status as royal mistress.

Mademoiselle de la Vallière died on June 6, 1710.

2. Works

La Vallière left two principal works to posterity: the treatise Reflections on the Mercy of God and her spiritual correspondence with the Maréchal de Bellefonds.  The erratic history of the commentary and publication of these two works indicate how easily the philosophical reflection of women authors has been erased from the canon.

In 1671 in the immediate aftermath of her religious conversion, La Vallière composed Reflections on the Mercy of God.  A semi-autobiographical work, this treatise studies the mercy of God for sinners, especially for courtesans who have renounced their sexual sins and sought a new penitential life in exile from the excesses of the court.  The author appeals to feminine figures of repentance and sanctity in the New Testament, notably Saint Mary Magdalene, as paradigms of the conversion which La Vallière has undergone.  The work studies how faith, hope, charity, and other theological virtues function in the life of those led to authentic moral reformation through the action of grace.  Conversely, it dissects the false variants of faith, hope, and charity produced by the court culture of ambition and avarice.  The influence of the theology of Bossuet, her spiritual director during the crisis of conversion, is apparent in the text, although the simple, limpid prose style differs markedly from the more rhetorical and periodic style of Bossuet himself.

The first print edition of Reflections on the Mercy of God appeared anonymously in 1680.  A popular work of piety, the book had undergone ten editions by the beginning of the eighteenth century.  La Vallière was always considered the author of the book, which was clearly written in her style and full of allusions to her life as a courtesan.  Many editions published in her lifetime, such as the Frankfurt and Brussels editions in 1683, explicitly named her as the author, with no demurral from Soeur Louise or her associates.  In the nineteenth-century, literary critics noted that the later editions of Reflections used a longer and somewhat more elegant version of the text than had the earlier editions.  In 1852, Damas-Hinard claimed that the true author of the book was Bossuet, for whom La Vallière had only served as an amanuensis, but other critics dismissed the claim on the grounds of stylistic differences with Bossuet’s others’ works and of the clearly gendered autobiographical experiences the author had incorporated into the work. Although Bossuet had incontestably influenced the theological opinions of La Vallière and a later editor had imposed some stylistic alterations, the text remained substantially La Vallière’s own.

In 1928, the literary critic Marcel Langlois made a more startling claim: that La Vallière had not written the book at all.  Langlois based this claim on the argument that the rationalist tone of the work indicated that it was written by a man rather than by a woman.  Furthermore, no woman of the period could have possessed the philosophical and theological culture which the author clearly displays.  “We observe that the author reads Holy Scripture in Latin and that he makes references to Aristotle and Descartes.  A careful look at the text indicates that there is no trace of a feminine style.  We know that Mademoiselle de la Vallière was very depressed at this time and that she was a shy person all her life.  On the contrary, on every page, we hear the voice of a man, of a director of conscience.”  Led by Jean-Baptiste Eriau, other literary critics immediately refuted Langlois’s claim and reattributed the authorship of the work to La Vallière.  They pointed out that La Vallière was renowned precisely for her command of Aristotle and Descartes in salon debates and that many cultured laywomen of the period possessed bilingual Latin-French psalters and New Testaments.  The recent textual analyses by Petitfils (1990) and Huertas (1998) have reconfirmed the duchess’s authorship of Reflections on the Mercy of God.

La Vallière’s other extant work, her correspondence with the Maréchal de Bellefonds, underwent a similarly tangled publication history.  The first edition of her letters (1767) was so full of errors, omissions, and interpellations as to be corrupt.  Her alleged memoirs (1829) were a fabrication.  Only Pierre Clément’s two-volume edition of her works in 1860 provided the first reliable publication of her letters to Bellefonds.  Her correspondence explores the ascetical and mystical sentiments of the soul and continues the critique of the moral corruption to which the courtier is prone.

3. Moral Philosophy

The primary philosophical interest in the works of La Vallière resides in her treatment of virtue in Reflections on the Mercy of God.  She rejects the claims of pagan antiquity to have possessed authentic moral virtues, exalts the theological virtues, and criticizes the moral values of the court as a distortion of the theological virtues, altered to suit ambitious self-interest.  Grace, rather than human merit, emerges as the cause of authentic virtue. Instead of minimizing the passions as a hindrance to the cultivation of virtue, La Vallière esteems the human emotions, especially the passion of love, as central to the moral personality of the human agent redeemed by grace.

3a. Virtue Theory

In Reflections on the Mercy of God, La Vallière develops her theory of the theological virtues of faith, hope, and charity.  The treatise also diagnoses the opponents and the distortions of the theological virtues in the aristocratic society of the period.

Faith emerges as more than an assent to the truths revealed by God and proposed by the teaching authority of the Catholic Church; it entails a militant opposition to the world.  This firmness of faith brooks no compromise with worldly allurements.  “O my God, give me…a firm faith that makes me believe in Your words and makes me remember, when the world wants me to follow it, that we cannot serve two masters” (RMD no.4).  When authentic, this militant faith comports two other virtues: humility and enlightenment.  The humility of faith closely ties the believer to the imitation of Jesus crucified, the opposite of conformity to the world’s concept of glory.  A properly enlightened faith continually reminds the believer of the radical superiority of eternal God over the fleeting world in terms of glory.

In her analysis of faith, La Vallière diagnoses the enemies of faith in the cultured society of her age.  Three positions in particular earn her rebuke: conventionalism, libertinism, and rationalism.  Religious conventionalism has reduced to faith a matter of external ritual, shorn of interior moral conversion.  “These are persons who, in the midst of shadows that blind them, refuse to be enlightened by the light of these theological truths.  We could say that a soul sunk within the world, without prayer, without reflection, and without consulting God on questions of conduct, is similar to a ship with neither captain nor rudder in the midst of a storm” (RMD no. 22).  For the conventional, faith is a simple matter of social conformity.

Libertinism proposes a more explicit rejection of the virtue of faith.  Its posture is marked by contempt for the very enterprise of religion.  “I will flee with horror all those evil people who parade their libertinism, who brag about their vices, and who, as Scripture says, never consider God in their conduct….These militant libertines can only help to foster irreligion, to destroy the purest reputation, to give us an exaggerated sense of self-worth that merits Your abandonment of us, to honor evil and those who commit it” (RMD no. 15).  The libertinism censured in this passage is clearly that of the courtier.  The destruction of reputation by malicious gossip and the vanity of proximity to power are the vices of the libertine courtier who holds traditional religion and its allied virtue of humility in contempt.

More subtle than libertinism, rationalism erodes faith by subjecting what lies beyond human reason to the judgment of fallible human reason.  La Vallière defends the orthodox faith of those who resist the rationalist attacks on the supernatural.  “I speak of those who are astonished to learn that there are some people who believe the histories of Alexander and Caesar but who doubt the history of Jesus Christ…who believe the truth of the gospel preached by a dozen poor preachers and of the establishment of His Church founded on an infinite number of miracles…who believe that so many mysteries incomprehensible to the human mind are pure effects of the omnipotence of Jesus Christ and of His infinite love toward His creatures” (RMD no.22).  This critique of rationalism defends the supernatural nature of the object of Christian faith by refusing to remove the miraculous and the mysterious from the content of faith.  Tellingly, it attacks historical-critical analysis of the Scriptures, which would undercut the historical veracity of the life of Christ.  In this particular line of attack, La Vallière is clearly influenced by her spiritual director Bossuet, who in the 1670s combated the historical-critical exegesis of Richard Simon, an Oratorian scholar who challenged the traditional thesis of the Mosaic authorship of the entire Pentateuch, the five opening books of the Bible.

In her treatment of hope, La Vallière similarly distinguishes between the authentic virtue and its counterfeits in the milieu of the court.  True hope emerges as trust in the redemptive power of God. “I implore you, Lord, by the merit of this precious blood that flows from Your sacred wounds that You offer to the eternal Father as the price of my redemption, a true confidence in Your mercies” (RMD no.7).  Hope can easily deteriorate into presumption when the sinner forgets divine justice and uses divine mercy as an excuse to delay repentance and moral reform.  “If You are a God full of compassion for sinners who return to You with all their hearts with hope in Your mercy, You are a terrifying God toward those who trust in You only to multiply their own offenses and who, having tasted the sweetness of your graces, only mock and hold them in contempt” (RMD no. 7).

In court society, theological hope has been eclipsed by the predominance of a purely secular hope for political and economic advancement.  The egocentric hopes of ambition have crowded out the authentic hope of eternal life in Christ.  “May this solid hope, showing me the nothingness and fragility of everything we call here below position, fortune, wealth, and grandeur, make me no longer esteem them as most people esteem them.  They act as if no other happiness and no other life exist after this one” (RMD no.16).  The danger of such a careerist hope is that it ignores rather than explicitly opposes the theological hope of immortality.  In such a purely terrestrial version of hope, the promise of eternity simply vanishes from concern.

Like other Christian writers, La Vallière accords primacy to the virtue of charity among the theological virtues.  Authentic charity is tempered by courage, the willingness to accept the world’s mockery out of fidelity to God.  “Create a new heart in me: a humble, firm, constant, and courageous heart, free from the world and its creatures─a truly Christian heart, whereby I will love You when I must sacrifice my life and fortune in witness to Your name and pay homage to the folly of the cross at the heart of a country and of a nation that consider it a scandal” (RMD no.11).  La Vallière’s concept of charity is not one of simple affection toward God and neighbor; it is contextualized as the love of God manifested in a society whose pride and self-esteem hold the cross, the central symbol of God’s love, in contempt.

The opposition to authentic charity is not generic hatred or indifference; it is specifically the contempt of others manifest by an ambitious aristocracy.  The malicious gossip of the courtier and of the salonnière is a prominent symptom of the contempt by which the neighbor is humiliated in court society.  “We only prize these gross sarcastic remarks and personal attacks, unworthy even for a pagan.  We consider as of no consequence words which attack the very soul of our neighbors, which mockingly dissect their faults and which make them appear ridiculous….We dismiss as nothing the destruction of their happiness and reputation as long as we do it with an entertaining laugh” (RMD no.17).  In this passage, the aristocratic society of wit is unmasked as the determined enemy of authentic charity, which finds its apotheosis in the humble sacrifice of the cross.

3b. Nature and Grace

For La Vallière, nature itself cannot cause moral virtue to exist, since nature exists in a state of postlapsarian corruption.  All moral virtue, and not only the theological virtues, requires God’s grace to emerge and mature.

Reflections on the Mercy of God argues that traditional moral virtues, even the cardinal virtues, are only masks for various vices.  The alleged virtue of prudence, for example, dissembles the human desire for security.  “God did not take flesh and die for us in order to grant our salvation through a comfortable life, according to the prudence of the sense and of the flesh….These moral virtues have no merit whatsoever before You if they are not animated by the merits and virtues of Jesus Christ” (RMD no.6).  Freed from the ingrained self-centeredness of human nature, authentic moral virtues constitute variations of the theological virtues, which are in turn the unmerited gift of God’s grace rather than products of human initiative.

This disjunction between apparent natural virtue and authentic supernatural virtue extends to the realm of intellectual virtue.  La Vallière sharply opposes the natural wisdom of the world, prized by philosophers, to the wisdom of the cross, revealed only by divine grace.  “Give me…less human and natural lights, out of fear that by following them rather than the lights of Your grace, I would lose myself.  By following them, instead of being a humble Christian, my self-love would turn me into a socialite philosopher, filled more with false maxims than with the science of the cross….This is the wisdom God hides from the haughty and reveals to the humble.  This is the wisdom which overturns prudence and which follows the movements of grace from Jesus Christ” (RMD no.5).  Rather than building on the wisdom of the world, the grace-inspired wisdom of the cross reveals the falsehood of the world’s account of what is true and valuable.  In the exercises of the intellect as in those of the will, only grace can permit the human agent to embrace actual, rather than counterfeit, goods.

3c. Theory of Passions

Whereas other moral philosophers of the period discounted or dismissed the passions in their account of the moral life, La Vallière places a positive value upon them in her ethical theory. Rather than being suppressed, the human passions should be presented to God for transformation in the itinerary of religious and moral conversion.  “Is it right that having found everything possible to satisfy my passions, which only had idols for their object, I find it difficult or impossible when I have to resurrect the passions and love You with all my heart?” (RMD no.12)  Just as the intellect and will must be transformed by grace through the acquisition of authentic wisdom and moral virtue, the emotions must be transformed by God into new sentiments of reverence and devotion.  It is love above all that must be altered from the self-centered quest for human esteem into the self-sacrificial adoration of God’s very self.

Prayerful meditation constitutes the privileged locus for the human agent to undergo this grace-inspired emotional transformation.  Rather than abolishing the human quest for pleasure, contemplation substitutes spiritual pleasure for the physical pleasures once sought by the sinful.  “There [in meditation] You make us find a holy and sovereign pleasure to love You above all things and to come often to speak to You, not only as our father and our God, but as the most tender friend we could ever have.  We come to lament before You about all of these passions that tyrannize us, about all these worries that upset us, and about all this sadness that exhausts us.  In the sweet exchange of prayer, we may show You the bottom of our hearts” (RMD no.19).  In this dialogical form of meditation, the meditant may present his or her emotional distresses before God for healing, just as he or she presents sins for forgiveness.  The mature fruit of such meditation is an unconditional love for God that slowly integrates once disordered passions into authentic charity for one’s neighbor.

4. Reception and Interpretation

The reception of the writings of Mademoiselle de La Vallière roughly follows three distinct phases: the devotional, the literary, and the philosophical.  In the late seventeenth, eighteenth, and early nineteenth centuries, La Vallière’s Reflections on the Mercy of God constituted a staple of French Catholic devotional literature.  Many commentators celebrated her as the French Magdalene and compared her to earlier examples of courtesans who had become public penitents, such as Saint Mary of Alexandria.  Madame de Genlis’s popular biography of La Vallière (1818) reflects this devotional image of the royal mistress who miraculously became a cloistered nun.

In the late nineteenth and early twentieth centuries, commentators focused more on the literary dimensions of La Vallière.  Illustrated by the works of Cornut (1857), Langlois (1932), and Eriau (1961), the protracted quarrel over the authorship of Reflections on the Mercy of God reflects this literary approach.  Petitfils (1990) has continued this scholarly concern for textual questions concerning La Vallière.

Recently, in such commentaries as those of Huertas (1998) and of Conley (2002), a greater emphasis has been given to the intellectual formation and philosophical theories of La Vallière.  Recent interest in virtue theory of moral philosophy and the development of a more sectarian ethics in recent Christian moral theology has highlighted the interest of La Vallière’s thesis that authentic moral and intellectual virtue is grounded in grace rather than in nature.  The recent feminist expansion of the canon of humanities has also underscored the claims of La Vallière to philosophical status, given her study of canonical philosophers such as Aristotle and Descartes, and also given her contributions to moral psychology through her treatise and correspondence.

5. References and Further Reading

All French to English translations above are by the author of this article.

a. Primary Sources

  • La Vallière, Françoise-Louise de la Baume Le Blanc, duchesse de. Réfléxions sur la Miséricorde de Dieu, suivies de ses lettres et des sermons pour sa vêture et sa profession, par messieurs d’Aires et de Condom, 2 vols., ed. Pierre Clément. Paris: J. Techner, 1860.
    • Despite its dated scholarship, Clément’s edition constitutes the most extensive print collection of writings by and concerning La Vallière.

b. Secondary Sources

  • Conley, John. The Suspicion of Virtue: Women Philosophers in Neoclassical France. Ithaca: Cornell University Press, 2002), 97-123.
    • The chapter studies the moral and social philosophy of La Vallière.
  • Conley, John. “Suppressing Women Philosophers: The Case of the Early Modern Canon,” Early Modern Women: An Interdisciplinary Journal 2006 1: 99-114.
    • The article examines the denial of attribution of authorship to La Vallière and other women philosophers of the period.
  • Cornut, Romain. Les Réflexions de Madame de la Vallière répentante écrite par elle-même et corrigées par Bossuet, 2nd ed. Paris: Didier, 1857.
    • Although Cornut exaggerates the role of Bossuet in the writing of Reflections, the degree and nature of Bossuet’s influence on La Vallière remains a topic of scholarly dispute.
  • Eriau, Jean-Baptiste. La Madeleine française: Louise de la Vallière dans sa famille, à la cour, au Carmel. Paris: Nouvelles éditions latines, 1961.
    • Eriau refutes Langlois’s misattribution of authorship of Reflections and restores the rightful attribution to La Vallière.
  • Genlis, Stéphanie, comtesse de. La Duchesse de la Vallière. Paris: Maradan, 1818.
    • This romanticized biography of La Vallière reflects the image of the repentant courtesan which had captivated the French Catholic public.
  • Huertas, Monique de. Louise de la Vallière: De Versailles au Carmel. Paris:Pygmalion/Watelet, 1998.
    • This biography of La Vallière discusses her participation in the philosophical salons of the period.
  • Langlois, Marcel. La conversion de Mlle de la Vallière et l’auteur véritable des Réflexions.  Paris: Plon, 1932.
    • Langlois’s denial of La Vallière’s authorship of Reflections was immediately refuted by other literary critics.
  • Petitfils, Jean-Christian. Louise de la Vallière. Paris: Perrin, 1990.
    • Petifils’s scholarly biography contains a critical edition of an early version of La Vallière’s Reflections on the Mercy of God.

Author Information

John J. Conley
E-mail: jconley1@loyola.edu
Loyola University in Maryland
U. S. A.

Anne-Thérèse Marguenat de Courcelles, marquise de Lambert (1647—1733)

LambertA prominent salonnière in the France of Louis XIV and the Regency, Madame de Lambert authored numerous essays dealing with philosophical issues.  Her most famous works, twin sets of instructions to her son and daughter, analyze the virtues to be cultivated by each gender in the aristocracy.  Men pursue glory while women focus on humility.  During the literary querelle de la femme, Lambert defends the dignity of women against misogynist stereotypes advanced by opponents of gender equality.  In her political writings, she criticizes the vices typical of the hierarchical society of the period, especially the unequal distribution of material goods.  The era’s distortion of friendship and mistreatment of the elderly also receive critical scrutiny.  Her religious philosophy leans toward the God of deism: a Supreme Being who should be honored for the works of creation but whose attributes do not transcend the categories of human reason.  Several works in aesthetics treat the subjective problem of taste and sensibility.  Throughout her writings, Lambert manifests her allegiance to a Cartesian understanding of the nature of philosophical analysis.  The French Enlightenment recognized the philosophical value of her works, most of which were published posthumously.  Fontenelle, Montesquieu, and Voltaire are the most prominent of the Enlightenment thinkers who lauded the philosophical acumen of Lambert.

Table of Contents

  1. Biography
  2. Works
  3. Philosophical Themes
    1. Virtue Theory
    2. Gender and Dignity
    3. Ethics of Love
    4. Social Criticism
    5. Religious Philosophy
    6. Aesthetics
    7. Cartesianism
  4. Reception and Interpretation
  5. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Biography

On September 25, 1647, Anne-Thérèse Marguenat de Courcelles was born in Paris to a provincial aristocratic family from the region of Troyes.  Both the paternal and maternal sides of the family had acquired substantial wealth from commercial transactions.  An administrator in the Chambre des Comptes, her father Étienne died on May 22, 1650.  Her mother Monique Passart then secretly married François Le Coigneux, seigneur de la Roche Turpin et de Bachaumont.  Anne-Thérèse received formal instruction at the convent of the Annonciades in Meulan, but it was her stepfather who cultivated the young Ann-Thérèse’s philosophical opinions.  A respected poet and memorialist, Bachamount introduced his stepdaughter to the neo-Epicurean philosophy he espoused in his writings.  He guided her study of the classics and helped to shape her limpid writing style in French.

On February 22, 1666, Anne-Thérèse married Henri de Lambert, marquis de Saint-Bris en Auxerrois, baron de Chitry et Augy.  Henceforth, she will be addressed as Marquise de Lambert or simply Madame de Lambert.  Descended from a provincial aristocratic family in Perigord, Henri de Lambert was a military officer who at the time of the marriage served as the captain of the First Company of the Royal Regiment of the Cavalry.  The marriage produced four children, one of whom died shortly after birth.

On June 12, 1684, Henri de Lambert reached the pinnacle of his political career when he was named governor of the duchy of Luxembourg.    He died suddenly on August 1, 1686.  His death was quickly followed by the death of their eleven-year old daughter, Monique.  The bereaved Madame de Lambert faced imminent impoverishment since she was locked in a lawsuit with her mother over the estate of her deceased father.  Estimated at over five-hundred thousand pounds in worth, the estate had been left entirely to Madame de Lambert’s mother by virtue of a will signed by her father.  The bitter adjudication of the will and the conflicting claims of mother and daughter did not end even with the mother’s death in 1692.  A royal pension permitted Madame de Lambert to survive and her two remaining children to pursue their education until the juridical controversy was settled largely in Lambert’s favor in the late 1690s.

In 1698 an economically secure Madame de Lambert opened her new residence in the Hôtel de Nevers in Paris.  Starting in 1710, she conducted a salon in the drawing room of her residence; it soon became the most intellectually distinguished salon in the capital.  She became noted for her contrasting “Tuesday” and “Wednesday” salons.  Tuesdays were devoted to men and women of letters.  Participants were expected to read aloud their works in progress and to debate the literary issues of the moment.  Wednesdays were devoted to more social receptions for the aristocracy living in the capital.

Prominent salon members included the philosophers Fontenelle and Montesquieu, the dramatist Marivaux, the classicist Anne Dacier, the poet Catherine Bernard, the theologian Fénelon, the tale-writer Marie-Catherine d’Aulnoy, and the mathematician Dortous de Mairan.  The intellectual distinction of Lambert’s salon earned it the sobriquet of bureau d’esprit (the business office of wit.)  The salon also earned a reputation as a place of literary intrigue, especially for lobbying for positions in the prestigious Académie française.  Lambert herself was credited with successfully lobbying for the appointment of Montesquieu from her “antechamber to the Académie.”  Although Lambert banned political and religious discussions from the salon sessions, her salon enjoyed a mildly libertine reputation.  She defended Montesquieu’s controversial Persian Letters, censured for its alleged religious skepticism, and supported Antoine Houdar de la Motte’s attacks on the neoclassical veneration of Homer and of the three unities in drama.

In the salon Madame Lambert shared her own writings with her guests.  Her early works were moral exhortations to her son and daughter respectively as they entered adulthood.  Later writings dealt with friendship, old age, and aesthetics.  Her writings were usually written in the form of a brief essay, modeled after her beloved Montaigne, and often incorporated the miniature literary genres then popular in the salons: maxim, literary portrait, literary dialogue, edifying tale.  Madame Lambert’s writings were written uniquely for diffusion in manuscript copies to members of her salon.  When a pirated edition of her Counsels of a Mother to her Son appeared in print in 1726, she vehemently protested and bought out what remained of the edition.  Publication of a book for public sale in the bookstalls of France was considered inappropriate for an aristocratic woman of the period; furthermore, the intimate details of family life revealed in these essays addressed to her children were not meant to be shared with the general public.  Despite Lambert’s protests, pirated print editions of her essays continued to sell briskly and quickly led to unauthorized translations into English.

Although her salon continued to flourish, the last years of Lambert’s life were darkened by the death of her daughter Monique-Thérèse in 1731 and by recurrent bouts of illness.  Madame de Lambert died on July 12, 1733.

2. Works

The works of Madame de Lambert attracted a broad European public from the time of the first pirated editions published during her lifetime: Counsels of a Mother to her Son (1726), New Reflections on Women (1727), and Counsels of a Mother to Her Editor (1728).  Her collected works enjoyed numerous editions throughout the eighteenth century (1747, 1748, 1750, 1751, 1758, 1761, 1766, 1774, 1785).  The English translation of her collected works enjoyed similar popularity in multiple editions (1749, 1756, 1769, 1770, 1781).  A German translation of the works appeared in 1750, a Spanish edition in 1781.

Most of Lambert’s extant works are written in the form of a brief essay, with occasional exercises in literary dialogue and literary portraiture.  The following works treat philosophical issues.  Counsels of a Mother to her Son analyzes the moral virtues an aristocratic man must develop; Counsels of a Mother to her Daughter examines the moral virtues essential for the aristocratic woman.  Treatise on Friendship studies the power and difficulty of ethical friendship.  Treatise on Old Age laments the neglect of the elderly in contemporary society.  Reflections on Wealth decries materialism.  Reflections on Taste and Discourse on the Delicacy of Mind and of Sentiment examine aesthetic judgment.  Psyche analyzes the nature of the human soul.  Dialogue between Alexander and Diogenes criticizes the false glory represented by warriors such as Alexander the Great.

The philosophical influences on Lambert are not difficult to identify.  Since her childhood, Lambert carefully noted striking phrases from her reading.  In many of her writings, she uses quotations to justify her argument.  Two groups of thinkers predominate.  The first are classical authors with a marked Stoic orientation: Plutarch, Seneca, Marcus Aurelius, and Cicero.  The second are contemporary French authors often considered moralistes, because of their exploration of moral psychology, especially the deceptions of the human mind.  Prominent in this second group are Montaigne, La Rochefoucauld, La Bruyère, Pascal, Fénelon and Saint-Evremond.  So frequent is Lambert’s use of quotation that some critics have dismissed her writings as a tissue of paraphrases.  But Lambert transforms her sources to accommodate her own concerns, notably her concern about the status of women.  Lambert cites Cicero’s dissertation on old age but her own essay contains considerations on the impoverishment of aging women that are absent in Cicero.  Similarly, the marquise admits the debt of her Counsels of a Mother to her Daughter to Fénelon’s Education of Girls but nowhere does Fénelon develop the argument for the philosophical education of women which Lambert pursues in her own text.

3. Philosophical Themes

 

Madame Lambert’s writings focus on philosophical themes that preoccupied the more intellectual Parisian salons of the period.  In her discussion of the virtues, she makes careful distinctions on the various types of moral virtue, with particular interest in the aristocratic virtue of glory.  Like other salonnières, she analyzes the gradations of love and constructs an apology for chaste, intellectual love between adults of the opposite sex.  Lambert’s interest in pedagogy springs from the conviction that formation in virtue constitutes the chief purpose of education.  Despite her loyalty to the French throne, she criticizes the social injustices of French society, especially its unequal distribution of material wealth, and condemns what she considers the major vices of her own social class.  Her philosophical reflections on art focus primarily on the subjective issue of aesthetic appreciation, notably taste and delicacy.  A practicing Catholic, she develops a religious philosophy more attuned to the emerging deism of the period.  God is the Supreme Being affirmed by rational reflection on the cosmos rather than the personal redeemer known through revelation and grace.  Relatively secondary, the virtues of religion are assimilated to the more generic moral virtues of moderation, prudence, and integrity.  Lambert’s works develop a gendered philosophy not only because they defend the dignity of women against the misogyny of the period, but because they treat such issues as friendship, education, and old age through the lens of gender differentiation.

a. Virtue Theory

Lambert’s intertwined theories of virtue and education emerge in her two most popular works, Counsels of a Mother to her Son and Counsels of a Mother to her Daughter.  In both works, Lambert exhorts her children to grow in virtue as they leave adolescence and begin the commitments of adulthood.  She praises the moral habits they have already acquired through their earlier formal education and advises them on the moral dispositions they must obtain in the future.  But the virtues central for men are not the same as those vital for women.  Like other men, especially those of the nobility destined for military service, her son must pursue glory and its associated public virtues.  Like other women, destined primarily for household duties, her daughter should cultivate the more hidden virtues clustered around humility.

For men, the acquisition of the virtue of glory constitutes their highest aspiration.  According to Lambert, society has rightly named military valor as the chief title to this virtue.  “The glory of heroes is the most brilliant.  True marks of honor and acclaim are attached to it.  Renown seems personally designed for these men.”  In pursuing such glory, men must refuse to limit their ambition through a constraining personal modesty.  In fact, such ambition is necessary for gentlemen pursuing glory as long as they refrain from unfair attacks on their enemies or rivals.  Lambert conceives the virtue of glory as central to political as well as personal masculine development.  Political order is founded on a social contract using the aspiration to glory as a guarantor of civic cohesion.  “Men found that it was necessary and useful for them to unite together for the sake of the common good.  They made laws to punish the evil.  They agreed among themselves what constituted the basic duties of society and attached the idea of glory to the proper practice of these duties.”

The pursuit of grandeur in the military and broader civic forum requires men to develop other social virtues.  Like other salonnières of the period, Lambert emphasizes the virtue of honesty (honnêteté), a personal integrity that permits the gentleman to witness the needs of others and to serve them without excessive preoccupation.  “If you want to be a perfectly honest man, consider disciplining your self-love and give it a good object.  Honesty consists in emptying oneself of focusing on one’s own rights and in respecting the rights of others.”  Unlike true glory, with its attendant concern for others, false glory encourages self-gratification and ignores the misery of the other.  “Why is it that in this infinite number of desires fabricated by voluptuousness and indulgence one never finds the desire to provide relief for the unfortunate?  Doesn’t simple humanity make one feel the need to aid one’s fellow humans?  Moral hearts feel more greatly the obligation to do good than they do the other necessities of life.”  For Lambert, the cultivation of this altruistic honesty naturally entails the pursuit of other similarly discreet social virtues: politeness, tact, delicacy, and wisdom. Such honesty preserves the gentleman from the typical moral vices of the courtier: envy and avarice.

Unlike men, women are not called to cultivate the social virtues proper to the political sphere; they should develop virtues more appropriate to the domestic sphere of the household.  “Women are not called to partake in visible and brilliant virtues; rather, they pursue simple and quiet virtues.”  Glory, the central virtue of men, has no role in the retired life of women.  “The virtues of women are difficult because glory does not help to practice them.  These virtues are hidden: living with oneself; limiting one’s government to one’s family; being simple, just, and modest.”  Among other virtues of self-effacement, women are called to pursue humility and temperance.  Like the opposite sex, women must cultivate the virtues of honesty and politeness, but their participation in the civic sphere remains more circumscribed than that assigned by Lambert to men.

Despite this limitation of female moral culture to the province of the household, Lambert argues that women must develop a substantial set of intellectual virtues.  She insists that women should maintain an intellectual curiosity that leads to a lifetime of learning.  “Curiosity is knowledge that has already begun; it will make one go faster and further in the path of truth.  It is a natural inclination which goes beyond formal instruction.  It must not be stopped by sloth or soft living.” The educational program commended by Lambert for her daughter indicates the substantial intellectual culture Lambert considers desirable for aristocratic women.  The program includes the study of Greek, Roman, and French history; the study of ethics through the writings of Cicero and Pliny; the study of literature, especially the tragedies of Corneille; and the study of Latin.  Lambert adds a Cartesian note to this ambitious neoclassical curriculum by her approval of the study of philosophy.  “[I commend] especially the new sort [of philosophy], if one is capable of it; it will cultivate precision in one’s mind, clarify one’s thoughts, and teach one to think correctly.”  This apology for serious intellectual, specifically philosophical, formation for women is allied to the critique of the neglect of women’s education with which she opens Counsels of a Mother to her Daughter.  “Throughout time we have neglected the education of women; we only paid attention to that of men.  We acted as if women were a different kind of species.  We abandoned them to themselves without any assistance and without the slightest consideration that they constitute half of the world.”

Despite this gendered differentiation in the treatment of the moral virtues, men and women are summoned to develop one virtue in common: the capacity to live by oneself and to rely on one’s own rational judgment.  This neo-Stoic ability to find interior rational peace is the key to mature happiness for both sexes.  Counsels of a Mother to her Son describes this virtue as “the happiness of knowing how to live with oneself, to find oneself with pleasure, to leave oneself with regret.”  In Counsels of a Mother to her Daughter, Lambert exhorts her daughter to “learn that the greatest science is to know how to be alone with yourself….Provide yourself with an interior place of retreat or asylum.  There you can always return to yourself and find yourself.”  In this contemplative self-possession, wherein the passions are subordinated to reason, both men and women discover the interior resources to combat the vicissitudes of existence, especially of reversal of fortune.

b. Gender and Dignity

In New Reflections On Women, Lambert provides an apology for the dignity and rights of women.  The essay criticizes the misogyny which has denied women a proper education.  “Can’t women say to men, ‘What right do you have to forbid us to study the sciences and fine arts?  Haven’t women who have devoted themselves to these disciplines produced both sublime and useful objects?’”  As contemporary examples of such success, the essay cites Madame de la Sablière, an astronomer, and the many recent women novelists.  Lambert laments the decline of the salons which had earlier contributed to the artistic and philosophical formation of women.  “In other times there were houses where it was permitted to speak and to think, where the Muses held company with the Graces….These houses were like the Banquet of Plato.”  The social constitution which reduces women to inferiors and denies them the possibility of scientific culture does not reflect nature or rights; it is simply a corporate act of violence by men to retain their supremacy and to maintain the domestic services of women without appropriate compensation.  “By force rather than by natural right, men have usurped authority over women.”  The period’s art, notably Molière’s parody of the précieuses in Women Scholars, conspires to persuade women that their legal subjection and exclusion from serious education is a product of nature rather than of culpable oppression.

Despite her critique of the period’s subjection of women, Lambert accepts the common argument that the difference between the genders is psychological and not only biological.  In particular, she accepts the argument advanced by Malebranche that women have a more active faculty of imagination than do men.  But whereas Malebranche and others had drawn the conclusion that this hyperactive imagination prevents women from exercising reason (and concomitantly from governing others), Lambert draws the opposite conclusion.  The essay claims that women’s natural vivacity of imagination and sentiment actually perfects the operations of reason.  Rather than being the antagonist of reason, imagination incites reason to undertake great projects and makes the fruits of reasoning more persuasive to the public.  “I do not think that sentiment weakens the mind; on the contrary, it provides new spiritual powers which illuminate the mind.  It makes the ideas present in the mind livelier, clearer, and more distinct….Persuasion of the heart is higher than that of the mind alone because our conduct often depends on the former.  It is to our imagination and to our heart that nature has committed the conduct of our actions and of its motives.”  Rather than being inferior to men, women appear to possess a certain mental superiority.  The success of ancient and contemporary women in the arts and sciences indicates that they are as capable as are men in pursuing intellectual activities.  Only social prejudice, expressed through the denial of appropriate education, explains the comparative paucity of women who have distinguished themselves in these fields.  The alleged greater attachment of women to the exercise of the imagination and of the sentiments in their decision-making only indicates that in an atmosphere free of gender prejudice women will exercise reason with a greater complement of imagery and of passion than do most men.

c. Ethics of Love

In several works, Lambert focuses on the central issue of salon debate: the nature of love.  She insists on the moral qualities necessary for authentic love and decries the descent into sexual debauchery that has characterized several prominent salons of the Regency.  The chaste love of mature friendship is both more desirable and more difficult to attain than is the passion-based love of romance.  Intellectual love between adults of the opposite sex constitutes the apex of this ideal moral friendship.

New Reflections on Women defines love as the central sentiment of human life.  Due to its interiority and its power, love enjoys a primacy among human sentiments.  “The difference between love and other pleasures is easy to detect for those who have been touched by it.  In order to be felt, most pleasures require the presence of the proper external object.  Music, cuisine, and theater are examples of pleasures that must have their immediate object in order to make their impressions, to call the soul to them and to hold the soul attentive….It is not the same with love.  It is within us, it is a part of ourselves.  It does not only exist in tandem with its corresponding object; we can experience love without the presence of the object.”  The superiority of love over other desires springs from the capacity of its sentiments to dominate the moral agent even in the absence of the beloved other person.  Memory and imagination deepen the force of a sentimental state that can captivate the human subject on the basis of fantasy alone.

Despite Lambert’s correlation of love with pleasure, Treatise on Friendship underscores that the highest form of love is disinterested friendship among peers rather than romantic affection.  Such mature friendship is based on virtue rather than passion.  “The first merit we must seek in our friends is virtue.  This is what assures us that they are capable and worthy of friendship.  We should expect nothing from our relationships which lack this foundation.”  Focused on the needs of the other, authentic friendship frees one from self-preoccupation and encourages altruistic service of the beloved.  “Friendship is a relationship, a contract, or a type of reciprocal commitment where one demands nothing, where the most worthy person gives more than is expected and is happy to do so in advance.  One shares one’s fortune with one’s friend: wealth, credit, concern, services, everything except one’s honor.”  Only in this virtuous friendship is the human person freed from the calculation of conquest and approval which characterizes most interpersonal affection.

Departing from its classical precedents, Treatise on Friendship argues that such a virtuous, altruistic friendship is not limited to peers of the same sex.  Chaste, intellectual friendship between members of the opposite sex constitutes the highest embodiment of such a meritorious relationship since it demands strict discipline of one’s personal passions.  “They ask if friendship can endure among members of different sex.   Although it is rare and difficult, this is the most delightful of friendships.  It is the most difficult because it requires more virtue and more restraint.”  At its apogee in altruistic friendship, the sentiment of love is so thoroughly refined by the rational will that the passions can no longer distort it.

d. Social Criticism

Like other moralistes of the period, Lambert criticizes the injustices of French society.  Economic inequality constitutes one of the principal injustices of this highly stratified society.  Avarice constitutes the major vice of an aristocracy transformed into avid courtiers.

Reflections on Wealth describes the rapacious efforts to acquire material wealth as a distortion of the human quest for happiness.  Whereas human beings can only find authentic happiness in the intellectual and moral goods of the soul, the social elite seeks an illusory happiness in the amassment of ever-increasing fortunes.  Such wealth may procure social approval and temporary pleasure, but the illusory nature of this unstable pleasure inevitably manifests itself.  “Riches are vain in their use and insatiable in their possession of us.  They are vain because of the false idea they give of themselves.  This idea is founded not on our real being but on our imaginary being.  Everything surrounding those favored with wealth serves their illusions.”  This illusion magnifies the egocentrism of a humanity marked by the fall.  Other people, even the earth itself (with its deposits of precious metals), become objects which exist to be exploited by and to adorn an aristocracy poisoned by avarice.

Despite its moral tares, this human avidity possesses a certain public utility.  The desire to be admired for one’s wealth-related grandeur drives many of the wealthy to provide a material assistance toward the poor which they would not otherwise give.  “Nothing is so great and nothing gives us such an illustrious position in the imagination of others as does the contribution of our wealth to the public weal.  Making one’s wealth flow to so many unfortunates is to give them a new type of existence which pulls them out of their desperate state.”  Like many social thinkers of the eighteenth-century, Lambert identifies material self-interest as the motor of public philanthropy.

Lambert’s critique of the intolerable lot of the poor in contemporary French society becomes explicitly gendered in her Treatise of Old Age.  It is women who bear the brunt of the material impoverishment and psychological isolation of old age.  “Throughout their lives, we have given men all the assistance necessary to perfect their reason and to teach them the great science of happiness.  Cicero composed a treatise on old age to help them draw benefits from an age where everything seems to leave us.  We do this work only for men.  For women in all ages, on the contrary, we simply abandon them to themselves.  We neglect their education in their youth.  During the rest of their lives, we deprive them of the support they need for their old age.  As a result, the majority of women live without care and without the ability to reflect on their state.  In their youth they are vain and dissipated; in their old age, frail and disheveled.”  It is the deprivation of education, especially of the methodical formation of reason and of the capacity for personal reflection, which provokes the material and psychological impoverishment of women, once their romantic and maternal utility has vanished.  The result of neither nature nor accident, this impoverishment of aging women reflects the gender imbalance of a society centered around the needs of men.

e. Religious Philosophy

Lambert’s writings exhibit the nascent deism of the period.  Although she repeatedly praises the virtue of piety, Lambert accords religious virtues a palpably secondary role in the constellation of moral virtues she commends to her readers.  Religion provides a cornerstone for the moral virtues the human person must cultivate, but the deity presiding over this religious theology is the deist Supreme Being rather than the biblical God of redemption and grace.

The deistic character of Lambert’s religious philosophy appears clearly in her Counsels of a Mother to her Son.  Although she insists that the greatest duty of the son is to “render worship to the Supreme Being,” this religious sentiment is markedly constricted.  The purpose of religion is to inspire the moral agent to fulfill his or her duties.  Prayer is an occasion to compare oneself with the moral order God has manifested in the cosmos.  “Moral virtues are in danger without the Christian ones.  I do not ask from you a piety full of weaknesses and superstition; I only ask that a love of moral order would submit to God your inclinations and your sentiments and that the same love of order would spill over on your conduct.  That will give you justice and the presence of justice will guarantee the existence of all the virtues.”  Religion is instrumentalized as an efficacious tool of moral formation and motivation.  Communion with God is based not on grace but on rational scrutiny of one’s conformity to the moral order detectable in nature.  It is the natural virtue of justice, and not the supernatural virtues of faith, hope, and charity, which constitutes the apex of the moral virtues fostered by an enlightened religiosity shorn of irrationality and superstition.

The religious virtue praised by Lambert is generic in nature.  Respect for religion entails respect for the particular religion established by the sovereign of the state.  “One does not attack religion when one has no interest in attacking it.  Nothing makes one happier than having the mind convinced and the heart touched by religion.  That is a good in all times.  Even those who are not fortunate enough to believe as they choose should submit to the established religion.  They know that what is called ‘prejudice’ has great standing in society and that it must be respected.”   The treatment of religious truth in this passage is markedly skeptical.  The assimilation of religion to a popular ‘prejudice’ is not refuted; it is simply useful to respect such a widespread belief, even if it is tainted by custom and bias.  The particular religion to be respected and embraced varies from one society to another, since it is the religious confession established by the state.  In France, this is Catholicism defended by the monarchy, but in other cultures this can easily be another religious confession whose tenets are enforced by a different type of political sovereignty.

Other writings, notably Counsels of a Mother to Daughter and Treatise on Old Age, commend the virtue of piety to women.  But despite the occasional Christian references, the religious sentiment lauded by Lambert remains closer to rationalist deism than to the Catholic sentiment of adoration and submission rooted in grace.

f. Aesthetics

In several works, Lambert studies the subjective dimension of aesthetics.  She explores how the taste for beauty develops in the human mind.  She also studies the related mental qualities of delicacy and refinement, which permit the human person to recognize beauty in nature or in artifacts.

Reflections on Taste concedes an irreducible subjectivity to the phenomenon of taste.  Whereas discursive reasoning inevitably leads to certain conclusions according to the rules of logic and of evidence, judgments of taste often evince irresolvable contradictions.  “Taste is the first movement and a type of instinct which draws us and guides us more surely than all the work of reason.  There is no necessary agreement among tastes.  This is not the same thing as among truths.  It is obvious that whoever concedes my premises will also agree with the consequences I draw.  In this way one may lead an intelligent person to accept one’s opinion, but one is never sure that one can lead a sensitive person to one’s judgment of taste.  There are no links or enticements to make someone else agree with this judgment.  Nothing is certain in the domain of taste; everything springs from the disposition of one’s interior organs and the relationship established between them and external objects.”  Despite its power over the human person’s judgment, taste delivers subjective judgments inasmuch as it depends on the physiology and the psychology unique to each person in the exercise of aesthetic perception.

Despite this subjective dimension, the essay insists that some judgments of taste are more justified than are others.   Although taste eludes analytic definition, it can be evoked intuitively for those who have experienced the difference in quality of aesthetic judgments.  “Right taste delivers a proper judgment on everything we call pleasing, satisfying, fitting, fine, or, so to speak, the flora of the soul.  It is this je ne sais quoi of wisdom and of skillfulness, which knows what is appropriate and which senses in each object the correct proportion it must possess.”  Although judgments of taste do not follow the strict logic of discursive reason, they are not arbitrary.  Irreducible to a formula, experience indicates that certain minds excel in the recognition of the obscure formal qualities that constitute the beauty of an external object.

Against emotivism and relativism, Lambert argues that the faculty of taste possesses a partial intellectual dimension.  “Up to the present, good taste has been defined as ‘a custom established for the members of high society who are sophisticated and discriminating.’  I think that good taste depends on two things: a sentiment of great delicacy in the heart and a great correctness in the mind.”  If Lambertian taste begins as a subjective movement of instinct and feeling, it only reaches its mature term when the intellect has refined this initial impression through a scrutiny of the formal qualities, especially the harmony and balance, of the external object under consideration.

g. Cartesianism

Lambert’s writings make few explicit references to Descartes, but her writings are suffused with Cartesian philosophy.  Although the degree of her personal knowledge of the texts of Descartes remains unclear, Lambert clearly imbibed the pervasive Cartesianism of the salons, militantly diffused in her own salon by Fontenelle.

The literary portrait Monsieur de la Motte provides a Cartesian definition of philosophy.  “To philosophize is to render to reason all its dignity and to make it enter into its rights.  It is to relate each object to its proper principles.  It is to shake off the yoke of opinion and of authority.”  In its attack on public opinion and appeals to authority as the antonym of right reason, this rationalist concept of philosophy clearly follows the path of Cartesianism.

In several works, this Cartesian apology for reason warns the reader of the dangers of reliance on public opinion.  Counsels of a Mother to her Daughter emphasizes the necessity to abandon prejudice, custom, and public opinion if one seeks to reason properly.  “Give yourself a true idea of things.  Don’t judge like the common people do.  Don’t yield your judgment to that of public opinion.  Throw off the prejudices of childhood.”  Similarly, the Dialogue between Alexander and Diogenes on the Equality of Goods condemns Alexander the Great’s reliance on the esteem of the public.  “I know very well that you [Alexander] have the masses for you.  The number of the wise is very small.  As much as you are a prince, you are still a man of the common people in your way of thinking.  Always dependant on the opinion of other people, you place your happiness in the judgments of others.”   It is Diogenes, the representative of the intellectual elite which relies on reason rather than on fluctuating public opinion, who has access to the truth.

Lambert’s Cartesian orientation often emerges in her treatment of specific areas of human endeavor.  Counsels of a Mother to Her Son considers history, focused on human passions and chance events, as inferior to the study of metaphysics, where the student can discover universal, immutable principles.  “Your ordinary reading must be history, but you must join reflection to it.  Don’t think of filling your memory with facts, of decorating your mind with the thoughts and opinions of authors.  This would only turn your mind into a store filled with the ideas of other people.  A quarter of an hour of reflection does more to deepen and form the mind than do hours of reading.  You should not fear a lack of knowledge; rather, you should fear error and false judgments.  Reflection is the guide leading to truth.”  Counsels of a Mother to her Daughter closely follows Descartes’s Discourse on Method in its exemption of religion from the rationalist censure of appeals to authority.  “In the area of religion, one must yield to authorities, but on every other subject, one must only accept the authority of reason and of evidence.”  As a result of this split in warrants between religious and non-religious knowledge, theological belief becomes a matter of arational assent.  “As a great man [Malebranche] said, ‘To be a Christian, one must believe blindly; to be wise, one must see the evidence.”  In this Cartesian framework, reason is not only to be exercised in metaphysics and science to discover indubitable, immutable principles; it is be used in other areas of human life to eliminate or at least to temper the weight of authority and custom on human judgment.

4. Reception and Interpretation

The reception of Madame de Lambert’s writings and philosophy has been checkered.  In the eighteenth century a large, cultivated European public purchased numerous editions of her works in French, English, German, and Spanish.  French Enlightenment philosophers, notably Bayle, Fontenelle, Montesquieu, and Voltaire, praised her contribution to moral philosophy.  By the late nineteenth century, however, Lambert was little read.  It is significant that the first twentieth-century edition of Lambert’s works occurred only at the very end of the century (1990) with Granderoute’s critical edition.

Several factors explain the eclipse of Lambert’s philosophy.  First, the marquise wrote in the style of literary miniatures that were popular in the salons of the period.  She often expressed her philosophy in the genre of the essay, the literary dialogue, the maxim, or the literary portrait.  Genres that appeared charming in the boudoirs of the Regency often appeared precious to a later literary public.  Written outside the framework of the systematic treatise, the essays’ arguments on virtue or politics or aesthetics often seemed unphilosophical to a later philosophical public accustomed to university norms of academic argument.

Second, Madame de Lambert wrote from and for a philosophical culture which has vanished.  She could presume that her listeners had studied the Stoicism of Plutarch and Cicero in their schooldays as she had.  Even indirect references to the classical authors would be immediately grasped.  Paraphrases of Montaigne or Pascal required no further explanation.  Any educated Frenchman or Frenchwoman in the early eighteenth century would possess at least a hazy outline of the skepticism represented by each of these masters of modern French prose.

The recent renaissance of philosophical interest in Lambert is tied to the neo-feminist expansion of the cannon of the humanities in early modernity.  Several recent studies focus on the question of gender and the status of women in Lambert.  The interpretations offered by Fassiotto (1984) and Beasely (1992) illustrate this tendency.  Other contributions by Lambert to moral philosophy, such as her virtue theory and her critique of the influence of popular opinion on moral judgment, await further research.

5. References and Further Reading

All translations from French to English above are by the author of this article.

a. Primary Sources

  • Lambert, Anne-Thérèse de Marguenat de Courcelles, marquise de. Oeuvres complètes de madame la marquise de Lambert. Paris: L. Collin, 1808.
    • A digital version of this edition of the works of Madame de Lambert is available at Gallica: bibliothèque numérique on the website of the Bibliothèque nationale de France.
  • Lambert, Anne-Thérèse de Marguenat de Courcelles, marquise de. Oeuvres, ed. Robert Granderoute. Paris: Librairie Honoré Champion, 1990.
    • This excellent critical edition of the works of Madame de Lambert has become the standard scholarly edition.
  • Lambert, Ann-Thérèse de Marguenat de Courcelles, marquise de. The Works of the Marchionesse de Lambert. Containing Thoughts on various entertaining and useful Subjects, Reflections on Education, on the writings of Homer and on various public Events of the Time. Carefully Translated from the French. London: William Owen, 1749.
    • This first English translation of the collected works of Madame de Lambert underwent four re-editions in the eighteenth century.  Digital texts of the English versions of several of Lambert’s works can be found at the following Internet sites: American Libraries Internet Archive and Google Book Search.

b. Secondary Sources

  • Barth-Cao Danh, Michèle. La philosophie cognitive et morale d’Anne-Thérèse de Lambert, 1647-1733: La volonté d’être. New York: Peter Lang, 2002.
    • This original monograph studies the epistemology of Madame de Lambert.
  • Beasely, Faith. “Anne-Thérèse de Lambert and the Politics of Taste,” Papers on French Seventeenth Century Literature, 1992, Vol. 19; no.37: 337-44.
    • The article focuses on gender in its analysis of aesthetic judgment and politics in Lambert.
  • Daniélou, Catherine. “L’amour-propre éclairé: Madame de Lambert et Pierre Nicole,” Papers on French Seventeenth Century Literature, 1995, Vol. 22, no. 42: 171-83.
    • [Daniélou contrasts the link between self-love and social utility in the philosophies of Lambert and of the Jansenist Nicole
  • Fassiotto, Marie-José. Madame de Lambert (1644-1733), ou, Le féminism moral. New York: Peter Lang, 1984.
    • Fassiotto explores gender issues in Lambert but the attribution of feminism is anachronistic.
  • Granderoute, Robert. “Madame de Lambert et Montaigne,” Bulletin de la Société des Amis de Montaigne, 1981, nos. 7-8: 97-106.
    • Granderoute demonstrates the dependence of Lambert on the thought and texts of Montaigne.
  • Granderoute, Robert. “De l’Education des filles aux Avis d’une mère à une fille: Fénelon et madame de Lambert,” Revue d’Histoire littéraire de la France,” 1987, no. 1: 15-30.
    • Granderoute examines the influence of Fénelon on Lambert’s educational philosophy.
  • Hine, Ellen McNiven. Madame de Lambert, her Sources and her Circle. Oxford: The Voltaire Foundation, 1973.
    • Hine studies Lambert’s ancient and contemporary intellectual sources.
  • Hoffman, Paul. “Madame de Lambert et l’exigence de dignité,” Travaux de linguistique et de littérature, 1973, vol. 11, no. 2: 19-32.
    • Hoffman analyzes the central concept of dignity in the ethics and political thought of Lambert.
  • Kryssing-Berg, Ginette, “La marquise de Lambert ou l’ambivalence de la vertu,” Revue Romane, 1982, Vol. 17: 35-45.
    • Kryssing-Berg studies the tension between virtue and social utility in Lambert’s ethics.
  • Marchal, Roger. Madame de Lambert et son milieu. Oxford: The Voltaire Foundation, 1991.
    • Marchal examines the aristocratic and salon context of Lambert’s thought.

Author Information

John J. Conley
E-mail: jconley1@loyola.edu
Loyola University in Maryland
U. S. A.

Françoise d’Aubigné, marquise de Maintenon (1635—1719)

maintenonThe second wife of King Louis XIV of France, Madame de Maintenon has long fascinated historians and novelists by her improbable life.  Born into an impoverished, criminal family, Maintenon conquered salon society as the wife of the poet Paul Scarron. During her salon years, she studied the philosophical currents of the period, notably libertinism and Cartesianism.  Maintenon then conquered court society as the governess of the illegitimate children of King Louis XIV and finally as the wife of the widowed King. The controversies surrounding her social ascent have long obscured the contributions of Maintenon to educational and moral philosophy. The founder and director of the celebrated school for women at Saint-Cyr, Maintenon defended her theories of education for women in a series of addresses to the Saint-Cyr faculty. In her pedagogical philosophy, practical moral formation rather than intellectual cultivation emerges as the primary goal of schooling.  Her dramatic dialogues and addresses to students developed her distinctive moral philosophy, based on detailed analysis of the moral virtues to be cultivated by the pupils.  In her account of the cardinal virtues, temperance holds pride of place. Addressing Saint-Cyr’s student body of aristocratic girls and women, Maintenon devoted particular attention to the virtues of civility essential for polite society. Her philosophy of virtues is a gendered one inasmuch as Maintenon attempted to redefine traditionally masculine virtues in terms of current female experience.

Table of Contents

  1. Biography
  2. Works
  3. Philosophical Themes
    1. Philosophy of Education
    2. Virtue Theory
    3. Virtue and Gender
    4. Virtue and Class
  4. Reception and Interpretation
  5. References and Further Reading

1. Biography

Françoise d’Augbigné was born on November 27-28, 1635, allegedly in the prison of Niort in central France.  Her father Constant d’Aubigné was a career criminal who had received jail terms for murder, kidnapping, treason, and debt.  Disowned by his father Agrippa d’Aubigné, a prominent Huguenot military officer and poet, Constant d’Aubigné had married Jeanne de Cardhilac, daughter of Niort’s prison warden, in 1627.  Françoise’s harrowing childhood included a stay in Martinique (1645-1647) during one of her father’s failed political adventures; a bitter stay with a distant relative who used her as a domestic servant (1648); tempestuous periods at Ursuline convent schools in Niort and Paris (1648); and a painful return to her impoverished mother (1649-1652), during which time the young Françoise was forced to beg in the streets.  A personal witness to the religious divisions of the period, she was baptized Catholic by her mother at birth, raised as a Protestant by her kindly aunt, Madame de Villette, and then converted to Catholicism by her Ursuline teachers.  The adolescent study of Plutarch introduced her to the period’s vogue for Stoicism and cultivated her lifelong taste for the literature of moral edification.

In 1652 Françoise d’Aubigné married her only suitor: the poet Paul Scarron.  The odd match became an object of ridicule in the Parisian salons.  Twenty-five years her senior, Scarron was a paralyzed, impotent satirist renowned for the vitriol of his verse burlesques.  Despite its unpromising origins, the marriage proved a reasonable success.  Madame Scarron patiently nursed a sickly husband who visibly esteemed his beautiful and intelligent young wife.  The tiny apartment of the Scarrons quickly became a salon for Parisian authors of a libertine bent.  Madame Scarron acquired a philosophical culture from the salon habitués: Benserade, Chapelain, Vivonne, Saint-Aignan, Costar, and Ménage.  She was especially influenced by George Brossin, chevalier de Méré, the essayist who argued that the honnête homme, the temperate person who exercised restraint in arriving at judgments, should be the moral ideal of an age exhausted by religious fanaticism.  During these salon sessions Madame Scarron also read and debated the works of Descartes.

At the death of her husband in 1660, Madame Scarron faced a precarious future, but her salon contacts permitted her to find some financial support and to continue her pursuit of literary and philosophical culture.  In 1669 she accepted a delicate mission: to serve as the governess for the illegitimate children of Louis XIV and her fellow salonnière, Madame de Montespan.  Her skillful education of the children impressed the king and his stormy mistress.  Her expert nursing of their son, the Duke of Maine, during a serious illness appeared to them miraculous.  In 1674, a grateful Louis XIV granted the devoted governess the lands and title of the fief of Maintenon.  Newly ennobled and financially secure, Madame de Maintenon now took her own place as a titled aristocrat among the courtiers of Versailles.  When the affair between Louis XIV and Madame de Montespan collapsed, Maintenon encouraged the king to reconcile with his estranged wife, Marie-Thérèse of Austria.  The successful reconciliation between the spouses enhanced Maintenon’s standing in court but earned her the enmity of her old patron, Madame de Montespan.

After the sudden death of Queen Marie-Thérèse on July 9, 1683, the king drew closer to Maintenon.  On October 9, 1683, the archbishop of Paris married the couple in a private ceremony.  The bride’s modest social origins raised a problem, since Louis XIV had insisted on dynastic marriages for other members of his family.  The marriage was never publicly announced, although the court quickly perceived that Madame de Maintenon had assumed the role and duties of Louis XIV’s legitimate wife.  The private marriage was also morganatic; Maintenon would never assume the title of queen and no relative of hers could claim the right to the throne.

In 1684 Maintenon began her life’s work: the construction of a school for the education of daughters of the impoverished nobility.  Situated in 1686 at Saint-Cyr, the Institute of Saint Louis was generously subsidized by Louis XIV.  Maintenon personally supervised the direction of the school, designed to serve two hundred and fifty students.  The school possessed a comparatively sophisticated curriculum, featuring courses in religion, reading, writing, mathematics, Latin, music, painting, dancing, needlework, and home economics.  Dissatisfied with the narrowly religious education provided by the convent schools of the period, Maintenon founded her own lay group of teachers, the Dames of Saint-Louis, to provide instruction.  Maintenon insisted that dialogue rather than lecture was to be the primary means of education in the Saint-Cyr classroom.

Saint-Cyr underwent three distinct periods in its pedagogical development.  In its artistic period (1686-1689), the school emphasized cultural achievement by its students.  Sophisticated concerts, plays, debates, and liturgical services soon attracted a prestigious Parisian public.  The artistic period achieved its culmination in the world premiere of Jean Racine’s Esther on January 26, 1689.  The cultural triumph of the school, however, created educational problems.  Dazzled by the applause of the court, students began to neglect their studies; class time began to shrink in favor of rehearsals for the elaborate school performances.

During its mystical period (1690-97), Maintenon sought to combat the worldliness of the earlier artistic phase by promoting piety in the school.  The faculty and students soon fell under the influence of Madame de Guyon, a controversial religious leader and friend of Maintenon.  The Quietism promoted by Guyon stressed simplicity in prayer, confidence in God, and retirement from the world.  Maintenon grew disenchanted with a piety that seemed to undercut the acquisition of virtue and ardor in one’s studies and future work.  By the middle of the decade, Maintenon encouraged Louis XIV’s campaign against Quietism and the expulsion of faculty sympathetic to Quietism.

By the end of the seventeenth century, Maintenon had guided Saint-Cyr toward the pedagogical model she would support until her death.  This approach to education stressed the acquisition of moral virtues by the students and development of the practical skills these impoverished women would need in their future lives as wives of provincial aristocrats in straitened financial circumstances.  This practical mode of education, with its distinctive moralistic coloration, would remain the guiding ethos of Saint-Cyr until its dissolution by revolutionaries in 1793.

Given the secret nature of her marriage, Maintenon’s influence on the court of Louis XIV remained a discreet one.  She clearly counseled her husband on religious matters, especially the appointment of bishops and abbots, but her role in the Revocation of the Edict of Nantes and the intensification of anti-Protestant measures by Louis XIV has been exaggerated by later critics.  Her primary interest remained the direction of the school at Saint-Cyr, to which she retired in 1715, shortly after the death of Louis XIV.

Madame de Maintenon died at Saint-Cyr on April 17, 1719.

2. Works

The majority of the works left by Madame de Maintenon originated during her tenure at the Institute of Saint Louis (1686-1719).  The Dames of Saint-Louis carefully transcribed the many addresses Maintenon delivered to the faculty and student body.  Maintenon would then correct and revise the transcriptions.  In addition, she composed dramatic monologues to be performed in class.  The Dames collected these various texts of Madame de Maintenon into a series of manuscript collections, the last and largest of which date from 1740.  In addition, a massive correspondence of over five thousand letters written by Maintenon has survived.  Théophile Lavallée’s multi-volume edition of Maintenon’s writings (1854-66) remains the most thorough print edition of Maintenon, but we remain far from a complete – let alone a critical – edition of her works.

Of particular philosophical importance are the writings where Maintenon treats ethical issues, especially the nature of virtue and vice.  Her Entretiens are conferences with the Saint-Cyr faculty in which Maintenon emphasizes the formation in virtue that is the principal end of education at the school.  Her Instructions are addresses to the students in which she censures the typical vices and exalts the ideal virtues of the student body.  Her Conversations (dialogues) are brief morality plays that define and illustrate the major virtues the student must inculcate.  Maintenon’s approach to ethics is gendered inasmuch as she redefines the virtues and vices, originally defined in terms of male experience, in the framework of typical women’s experience.  Her approach is also class-conscious, since she attempts to redefine the virtues in the perspective of women who are simultaneously aristocratic and impoverished.

3. Philosophical Themes

The primary philosophical interest of Maintenon’s works lies in its treatment of two related topics: educational theory and virtue theory.  For Maintenon, the primary goal of education is the formation of the moral character of the pupil, interpreted according to the canons of Counter-reformational Catholicism.  The secondary goal is vocational formation.  In the case of Saint-Cyr, it is the development of the skills and the moral habits of the pupil who faces the future as a member of the impoverished, provincial nobility.  Maintenon transforms the nature of moral virtue according to the demands of gender and social class.  Traditionally masculine virtues, such as courage, are redefined to serve as the ideal ethical traits of the industrious wife largely confined to the domestic sphere.  Virtues typical of the aristocratic class, notably politeness and civility, are raised to the status of primary moral dispositions.

a. Philosophy of Education

In her addresses to the faculty of Saint-Cyr, Maintenon sketches her philosophy of education.  The ends of education are traditional: the formation of moral character for a Catholic member of the provincial aristocracy.  But the dialogical methods of pedagogy championed by Maintenon exhibit a distinctive modernity.

Of Solid Education explains the educational end of Saint-Cyr for the faculty: “You [the teachers] apply yourself to developing the piety, the reason, and the morals of your girls.  You inspire in them the love and practices of all virtues proper to them now and in the future.”  Maintenon insists that the virtue to be cultivated and the means used to achieve this ethical culture must always be “reasonable,” but this reasonableness is of a practical rather than speculative nature.  Of the Education of Young Ladies specifies how this practical reasonableness differs from erudition or aesthetic achievement: “You [the teachers] should concern yourself less with furnishing their mind than with forming their reason.  Obviously, this approach provides less occasion for the knowledge and skill of the schoolmistress to sparkle.  A young woman who has memorized a thousand things impresses her family and friends more than does a girl who simply knows how to exercise her judgment, when to be silent, how to be modest and reserved, how to avoid rushing into showing what she thinks about something.”  This pedagogical ideal of practical reasonableness underscores the primacy Maintenon accords the virtues of discretion and restraint for aristocratic women, who are often plunged into dangerous political controversies.  It also expresses the mature Maintenon’s disillusionment with the aesthetic and mystical ideals that had earlier served as the educational end of Saint-Cyr.

To maintain the moral atmosphere of the school, Maintenon insists on a strict regime of censorship.  In Of the Danger of Profane Books, she condemns the use of all books that lack explicit religious or moral utility.  “I call profane all books that are not religious, even if they seem innocent, as soon as it is clear that they have no real usefulness.  Teach your pupils to be extremely cautious in their reading.  They should always prefer their needlework, housework, or their duties in their state of life to it.  If they really want to read, ensure that they use carefully chosen books apt to nourish their faith, to cultivate their judgment, and to guide their morals.”  Of the Proper Choice of Theatrical Pieces underlines the risk of heresy as well as of moral corruption run by too lenient a regime of literary surveillance: “Don’t you [the teachers] realize the ease with which you grant entry to these little booklets without preliminary approval exposes your pupils to the greatest dangers?  If the Jansenists and the Quietists knew this weakness, they would immediately find the secret in order to spread their errors.  They would flood you with pamphlets containing the maxims, phrases, and songs which they sell for practically nothing.”  Theoretical instruction in the demands of virtue is insufficient for the actual cultivation of it.  The personal moral modeling by the faculty and the strictly moral and religiously orthodox atmosphere maintained by the faculty in the school are essential for the successful maturation of the Saint-Cyr pupil along the lines of Maintenon’s practical reasonableness.

If character formation is the central goal of education, the teacher must engage in regular dialogue with her pupils.  In her faculty addresses, Maintenon criticizes the tendency of teachers to use lectures and to overvalue the cultivation of the memory of their pupils.  To assist in the perfection of moral character, the schoolmistress should regularly engage in conversation with her pupils.  Of the Education of Ladies argues that teacher-pupil dialogue should occur outside as well as inside the classroom: “On occasion you [the teachers] should be ready to chat informally with your pupils.  This will help the pupils to love and trust you.  You can acquire an influence over them that will prove beneficial.”  The pupil is not to remain passive in this dialogue.  The teacher can function as an accurate spiritual director only if the pupil discloses her actual moral struggles and achievements: “Sometimes you [the teachers] should let them express their will so that you may understand their basic dispositions.  You then more accurately teach them the differences between the good, the evil, and the morally indifferent.”  Maintenon’s insistence on a dialogical method of instruction reflects the value placed on refined conversation in the aristocratic circles of the period; it also expresses the conviction that the pedagogy of moral formation cannot succeed if the moral tutor has not gauged the actual moral temperament of the pupil as the tutor guides her to the school’s ideal of ethical maturity.

b. Virtue Theory

In several works Maintenon analyzes the four cardinal virtues: justice, fortitude, prudence, and temperance.  Strikingly, whereas most philosophers would name justice as the most important virtue, Maintenon prizes temperance as the central virtue in a moral character.  Without the restraining hand of temperance, the other virtues would quickly deteriorate into rigorism, foolhardiness, or fearfulness.

In the dialogue On the Cardinal Virtues, Maintenon defends this primacy of temperance in the ensemble of virtues.  At the beginning of the dialogue, Justice presents its traditional claim as the preeminent virtue: “There is nothing as beautiful as Justice.  It always has truth beside it.  It judges without bias.  It puts everything into order.  It knows how to condemn its friends and to honor the rights of its enemies.  It can even condemn itself.  It only honors what is worthy of honor.”  But the other cardinal virtues soon manifest their eminence over justice by demonstrating why and how the virtue of justice must be subordinated to them in order for justice to actually achieve its social ends.  Prudence prevents justice from acting in too brusque a manner.  “I [prudence] regulate its [justice’s] operations, prevent it from precipitation, make it take its time.”  Similarly, fortitude strengthens justice when justice hesitates to execute proper punishment on a friend.  “You [justice] need me [fortitude] because your sense of affection makes you find it difficult to inflict any pain on a friend.”  While justice can determine where to assign just dessert, the execution of this determination requires the conjugated virtues of prudence and fortitude to avoid the distortions of severity or pusillanimity.

Standing above prudence and fortitude is the virtue of temperance.  It imposes itself as the central virtue inasmuch as it prevents the other virtues from deteriorating into their customary excesses.  “I destroy gluttony and excess.  I tolerate no outbursts. Not only am I opposed to all evil; I moderate all good.  Without me, Justice would be intolerable to human weakness, Fortitude would drive us to despair, Prudence would often prevent us from taking the actions we should and make waste our time weighing every option.  But with me, Justice acquires a capacity for circumspection, Fortitude acquires suppleness, and Prudence continues to provide advice, but now without undue hesitation, without too much or too little haste.  In a word, I am the remedy to all forms of extremism.”  The primacy accorded temperance in the hierarchy of virtue parallels the emphasis accorded the values of discretion and good reputation in the education provided at Saint-Cyr.

Even the virtues of religion must subordinate themselves to the empire of temperance.  Exercises of piety are to be commended only to the extent that they reflect the moderation and sobriety typical of the virtue of temperance.  “I [temperance] must temper a religious zeal that is too busy, too emotional, and indiscreet.  I have to encourage conduct that avoids extremes.  I moderate both the inclination to give alms and the inclination to hoard money.  I moderate the length of prayer, ascetical practices, recollection, silence, and good works.  I shorten a sermon, a spiritual dialogue, or an examination of conscience.”  Echoing Méré’s portrait of the honnête homme, Maintenon’s moral ideal of the student is the woman who subjects all thought and action to the moderating influence of temperance.  Neither the mystic nor the activist represents Maintenon’s ideal of the moral agent who distinguishes herself through the modesty and emotional restraint with which she serves her neighbor.

c. Virtue and Gender

Given her exclusively feminine public of students and faculty, Maintenon often transforms the nature of the virtues in order to accommodate the sex-specific experience of women of the period.  Her gendered transformation of virtue is apparent in her analysis of three particular virtues: courage, glory, and eminence.

The dramatic dialogue On Courage demonstrates how women as well as men are required to cultivate the virtue of courage.  At the beginning of the dialogue, Faustine insists that courage is not proper for women. “Courage is not having any fear.  This type of achievement is not for our sex.”  Victoria counters that, although women are not called to cultivate the martial courage proper to men, there are other types of courage necessary to women.  “Certainly courage is opposed to fear.  But there is more than one kind of fear.  It is not necessary for us to cultivate the courage that makes someone go to war or be willing to risk his life.”  It is precisely the pupils and alumnae of Saint-Cyr who illustrate the type of courage proper to women.  Courage within the school manifests itself in the diligence with which one executes the duties of the school day.  “There are those who joyfully fulfill all their duties and who are first in everything.  They love work, they want to please their teachers, and they want to do even more than one asks of them.”  Saint-Cyr alumnae express this gendered courage by enduring the constraints of the impoverished life of the provincial aristocracy.  Emily muses about “the poverty we may find in the future and the foul character of those with whom we will have to deal.  They very well might criticize without the moderation we are accustomed to here [at Saint-Cyr].”  Distinct from the courage of the warrior, the courage of women presents itself as the capacity to endure academic and domestic obstacles in the patient pursuit of one’s personal vocation as student or mistress of the manor.

Similarly, glory is redefined away from its traditionally masculine framework of military prowess or political preeminence.  For Maintenon, glory is a matter of personal integrity that could manifest itself as easily in domestic work as in military or political achievement.  The address On True Glory defines glory as a species of personal honor:  “I believe that true glory consists in loving one’s honor and in never performing any base action.”  Maintenonian glory is clearly gendered.  It not only includes the refusal of any major sin; it encompasses the refusal of typical female indiscretions, such as flirtation, receiving gifts from men, or accepting letters from men unknown to the addressee.  The address insists that glory is not a biological category, reposing on one’s familial descent; it is a type of integrity and self-reliance allied to hard work.  “There is much more nobility in living from one’s work and from one’s savings than in being a burden to one’s friends….I wouldn’t tell rich people to sell their needlework, but I would tell those who aren’t so rich to do so.”  Rather than being tied to distinguished public achievement, glory emerges as a simple preeminence in the practice of sacrificial virtues of service.  “We ordinarily recognize glory by its honesty and even by its humility, by its concern to give pleasure to others, to relieve pain, to avoid giving offense, and to render service.”  Freed from its traditional accoutrements of wealth, military valor, and social prominence, the redefined virtue of glory can now be cultivated as easily by impoverished women as it is by others.

In the dialogue On Eminence, Maintenon redefines the aristocratic virtue of eminence to include the experience of impoverished but industrious women.  The dialogue denies that eminence consists in social rank or economic fortune; on the contrary, authentic eminence consists in an unusual degree of self-mastery.  “True eminence consists in esteeming virtue alone, in knowing how to distance ourselves from fortune when it turns against us and how to avoid being intoxicated by fortune when it turns our way.  It consists in sharing the destiny of the unfortunate and in never holding them in contempt.”  In this fusion of neo-Stoic and Christian theories of virtue, eminence denotes both volitional equilibrium and sacrificial love of the suffering neighbor.  The dialogue also insists that authentic eminence must be acquired through personal merit and struggle, not conferred by family descent or inherited wealth.  “There are different types of nobility.  We have to see ourselves as we are.  We should only raise ourselves up through our own merit.  That is where we find true eminence.”  Paralleling her own controversial career in the French court, Maintenonian eminence subverts a social hierarchy of rank based on biological inheritance and exalts moral and social distinction acquired through tenacious personal endeavor.

d. Virtue and Class

Addressing an aristocratic public, Maintenon devotes particular attention to two virtues prized by court society: politeness and civility.

The address On Politeness insists on the central value of good manners to be cultivated by the pupils at Saint-Cyr.  “Since God has made you ladies by birth, have a lady’s manners.  May those of you who have been properly raised by your parents retain these manners and may the others soon acquire them.”  Maintenon details the components of noble comportment: refined language, upright posture, discreet gestures.  But Maintenon politeness does not limit itself to a code of external conduct; it is ultimately an interior disposition of respect toward all persons whom the mature aristocrat encounters: “Whatever you say or do, be careful to avoid giving offense or embarrassment to anyone.”  The purpose of external polite conduct is to express sensitivity toward the feelings and dignity of others.  Maintenon repeatedly reminds her pupils that this posture of reverence includes one’s servants and social inferiors as well as one’s peers and social superiors.

Complementing the virtue of politeness, the virtue of civility entails a spirit of sacrificial service toward all those with whom one interacts.  The address On Civility presents this virtue as an ascetical attention to the interests and needs of others.  “Civility involves freeing oneself in order to be busy about the needs of other people, in paying attention to what can help or hinder them, in order to do the former and to avoid the latter.  Civility entails not talking about oneself, not making others listen too long to oneself, listening carefully to others, avoiding making conversation focus on oneself and one’s tastes, and permitting the conversation to move naturally toward the accommodation of other people’s interests.”  Although civility includes the salon art of refined conversation, Maintenon presents the virtue as a refined species of humility, in which the concerns of others trump one’s own.

To clarify the nature of authentic civility, Maintenon appeals to the evangelical golden rule.  “The Gospel firmly accords with the duties of a civil life.  You know that Our Lord tells us that we should not do to others what we do not want others to do to us.  This must be our great rule, which does not rule out certain customs traditional in our native lands.”  Civility entails reciprocity, a recognition of the other persons one meets as one’s equal in dignity and in need.  Although On Civility admits that the fluctuating customs of a particular culture may require one to show special deference toward those considered socially superior, Maintenonian civility is built on an egalitarian ethics of mutual respect.

4. Reception and Interpretation

The immediate posthumous reputation of Madame de Maintenon was a largely negative one.  The memoirs of the courtier Louis de Rouvroy, duc de Saint-Simon (1675-1755), and the letters of Charlotte-Elisabeth of Bavaria, duchesse d’ Orléans (1652-1722), depicted Maintenon as a schemer who manipulated Louis XIV’s emotions of grief to achiever her power and then used that power to intensify the anti-Protestant policies of the throne.  The publication of Maintenon’s alleged letters (1752) by the Huguenot writer Laurent Angliviel de La Beaumelle presented Maintenon as the hidden architect of Louis XIV’s Revocation of the Edict of Nantes and other persecutory measures.  Subsequent discovery of the forged nature of the most incriminating letters in La Beaumelle’s collection did little to soften the image of Maintenon as a manipulative bigot, an image still present in Patricia Mazuy’s film Saint-Cyr (2000).

In the nineteenth-century, Théophile Lavallée’s multi-volume edition of the works of Maintenon (1854-66) presented the breadth and complexity of Maintenon’s extensive writings.  Commentators began to note Maintenon’s skill as a moraliste, an analyst of the conflicting interplay of virtue and vice in the human constitution.  In the late nineteenth-century, educational officials of the French Third Republic attempted to foster public high school education for women through the new institution of the lycée. Maintenon’s addresses and dialogues seemed perfectly suited for an adolescent female public cultivating the virtues necessary for citizenship.  The anthologies of Maintenon’s texts assembled by Cadet (1885), Faguet (1885), Geoffroy (1887), and Jacquinet (1888) were textbooks designed for the new lycée.  But these anthologies presented an oddly areligious Maintenon, carefully denatured by the anti-clerical Third Republic.  References to God, religion, and piety were often censored out of her texts; only the more secular virtues survived.

Recent studies of Maintenon have attempted to present a more positive evaluation of Maintenon as a philosopher.  Madeleine Daniélou’s study of Maintenon’s educational theories and practices (1948) underscores her innovations as an educational philosopher and the theological foundations of that philosophy.  John Conley’s English translation of and commentary on Maintenon (2004) describes the complexity of her moral psychology, especially in her account of virtue and freedom.  Other commentators, however, notably Carolyn Lougee (1976) and Carlo François (1987), lament that Maintenon’s educational experiments and theories still confined women to the spheres of the household and of the convent.

5. References and Further Reading

All French to English translations were made by the author of this article.

  1. Primary Sources
  • Maintenon, Françoise d’Aubigné, marquise de Maintenon. Conseils et instructions aux demoiselles pour leur conduite dans le monde. Ed. Théophile Lavallée. 2 vols. Paris: Charpentier, 1857.
    • [Still the standard edition of the major works of Maintenon composed for pupils at Saint-Cyr.]
  • Maintenon, Françoise d’Aubigné, marquise de Maintenon . Lettres et entretiens sur l’éducation des filles. Ed. Théophile Lavallée. 2 vols. Paris: Charpentier, 1854.
    • [A collection of letters and addresses dealing with issues of education.]
  • Maintenon, Françoise d’Aubigné, marquise de Maintenon. Extraits de ses Lettres, Avis, Entretiens, Conversations et Proverbes. 4th ed. Ed. Octave Gréard. Paris: Hachette, 1886.
    • [This anthology of Maintenon’s texts is available online at Gallica, bibliothéque numérique, on the website of the Bibliothèque nationale de France.]
  • Maintenon, Françoise d’Aubigné, marquise de Maintenon. Comment la sagesse vient aux filles. Eds. Pierre-E. Leroy and Marcel Loyau.  Etrepilly: Batrillat, 1998.
    • [Extensive contemporary anthology of Maintenon texts dealing with education.]
  • Maintenon, Françoise d’Aubigné, marquise de Maintenon. Dialogues and Addresses. Trans. and ed. John Conley. Other Voice Series. Chicago: University of Chicago Press, 2004.
    • [Contemporary English translation of Maintenon’s major educational texts, accompanied by philosophical commentary.]
  1. Secondary Sources
  • Castelot, André. Madame de Maintenon: La reine secrète. Paris: Perrin, 1996.
    • [A sympathetic study of the political role of Maintenon.]
  • Conley, John. The Suspicion of Virtue: Women Philosophers in Neoclassical France. Ithaca, NY: Cornell University Press, 2002. pp. 124-56.
    • [A philosophical analysis of Maintenon’s educational and moral theories.]
  • Daniélou, Madeleine. Madame de Maintenon, éducatrice. Paris: Bloud & Gay, 1946.
    • [A sympathetic rehabilitation of the educational philosophy and theology of Maintenon.]
  • François, Carlo. Précieuses et autres indociles: Aspects du féminisme dans la littérature française du XVIIe siècle. Birmingham, AL: Summa Publications, 1987.
    • [A critical treatment of Maintenon’s work as antifeminist.]
  • Le Nabour, Eric. La Porteuse d’ombre: Madame de Maintenon et le Roi-Soleil. Paris: Tallandier, 1999.
    • [A biography focusing on the role of Maintenon in the court politics at Versailles.]
  • Lougee, Carolyn. Le paradis des femmes: Women, Salons, and Social Stratification in Seventeenth-Century France. Princeton, NJ: Princeton University Press, 1976.
    • [A critical study of Maintenon’s school at Saint-Cyr compared with other period experiments in education of women.]

Author information

John J. Conley
jconley1@loyola.edu
Loyola University of Maryland

Incarnation

In the Bible‘s fourth gospel, John tells us “the Word [God the Son] became flesh [incarnate] and dwelt among us” (John 1: 14). The central claim of Christianity is that Jesus of Nazareth was none other than God the Son, who while remaining fully divine, took on a human nature for the sake of our salvation. Philosophical puzzles and problems arise as soon as we begin to unpack these notions. The humans we know best, ourselves, make moral mistakes, have trouble bench pressing three hundred pounds, and lose their car keys. We are morally flawed beings lacking in both power and knowledge. God, on the other hand, is typically understood to be morally perfect, all-knowing and all-powerful. If being truly human includes moral failure and limitations in knowledge and power, and being truly divine requires moral perfection, along with perfect knowledge and power, then the incarnation runs afoul of the law of non-contradiction. This law, which Aristotle calls the most certain principle, states that nothing can both be and not be at the same time and in the same respect (Metaphysics, Bk. IV, Part 3). And so, neither Jesus of Nazareth, nor anyone or anything else, can simultaneously have a property (for example, be all-powerful) and lack it (for example, be limited in power).

The apparent conflict between the law of non-contradiction and the metaphysical claim that one person, Jesus of Nazareth, is both human and divine is not news to philosophers of religion. Some of the best philosophical minds in the past and present have wrestled with this problem. Four approaches stand out. Beginning with the most radical approach, some simply reject the law of non-contradiction. If the incarnation runs afoul of the law non-contradiction, so much the worse for that law. Less radically, one might argue that identity is not an all-or-nothing affair, and hold that there is a significant sense in which Jesus of Nazareth and God the Son could be identical without having all of the same properties. In technical terms, making this move requires giving up a principle called the indiscernibility of identicals in favor of a relative account of identity. If, by affirming relative identity, one could hold that Jesus of Nazareth is identical to God the Son, even though they do not have all the same properties, one could affirm both the incarnation and the law of non-contradiction.

Many philosophers have argued that one need not appeal to relative identity to reconcile the incarnation with the law of non-contradiction. Here there are two approaches to consider. First, some argue that the incarnation appears to flout this law because we have misunderstood the kinds of properties required for being truly human and/or truly divine. Second, some hold that the incarnation seems to run afoul of the law of non-contradiction because we have failed to see the way in which God the Son Incarnate possesses properties and their complements. Only if the incarnation required that God the Son Incarnate both be and not be at the same time and in the same respect, would it be incompatible with the law of non-contradiction.  The doctrine does not require this, and therefore is completely compatible with the law of non-contradiction. This article considers these various responses to the philosophical problem of incarnation.

Table of Contents

  1. The Historical Framework
  2. The Incompatibility Problem
  3. Responses to the Incompatibility Problem
    1. Rejecting the Law of Non-contradiction
    2. Rejecting the All-or-Nothing Account of Identity in Favor of Relative Identity
    3. Reconsidering the Properties Required for Being Truly Human and/or Truly Divine
      1. Reconsidering the Properties Required for Being Truly Human
        1. Thomas V. Morris’s Distinctions Between Essential and Common Properties, and Full and Mere Humanity
        2. Richard Swinburne’s Rejection of a Human Mind/Soul in Favor of a Human Range of Consciousness
      2. Reconsidering the Properties Required for Being Truly Divine: the Kenotic Approach
      3. Reconsidering the Properties Required for Being Truly Divine and Truly Human: Marilyn Adams’ Qualified-Property Approach
    4. Showing that God the Son Incarnate Does Not Possess Any Property and its Complement “in the same respect”: Eleonore Stump’s Borrowed-Property View
  4. Conclusion
  5. References and Further Reading

1. The Historical Framework

The word “Incarnation” derives from the Latin (in + carnis), which means “in the flesh.” Philosophers writing on the incarnation invariably refer to the classical or orthodox view of the incarnation, and here they have in mind the Chalcedonian Creed (451 [MP1]). Stephen T. Davis is typical: “This is the dogma (the Chalcedonian Creed) I have been calling the classical doctrine of the incarnation. It constituted something of a consensus in Christendom from the time of Chalcedon until recently” (Davis, 2006, 99). The creed defines what it means for God the Son to be incarnate, but does so in a way that allows for considerable metaphysical latitude. In the words of C. Stephen Evans, “This formulation at Chalcedon does not attempt a theoretical understanding of what it means for Jesus of Nazareth to be God Incarnate; it simply lays down some boundaries for what is to count as an orthodox Christian understanding of Jesus’ status” (Evans, 2006a,1 ).

In order to stay within the confines of orthodoxy, metaphysical accounts of the incarnation must preserve Jesus Christ’s divinity, humanity, and identity with God the Son. In other words, they must be compatible with three theses:

1) Jesus Christ is truly divine; in the language of Chalcedon: “. . . the same perfect in Godhead . . . truly God . . . consubstantial with the Father in Godhead” (Olson, 1999, 231).

2) Jesus Christ is truly human; in the words of the creed: “. . . the same in perfect manhood . . . truly man, the same of a rational soul and body. . .consubstantial with us in manhood; like us in all things except sin. . . ” (Olson, 1999, 231).

3) Jesus Christ is a single individual identical to God the Son; in the words of Chalcedon: “. . . made known in two natures without confusion, without change, without division, without separation; the difference of the natures being by no means removed because of the union but rather the property of each nature being preserved, and coalescing in one person (prosopon) and one hypostasis, not parted or divided into two persons, but one and the same Son, only-begotten, the divine Word, the Lord Jesus Christ . . . ” (Olson, 1999, 231-232).

We would do well to keep these three theses in mind as we consider “Responses to the Incompatibility Problem.” Insofar as a response emphasizes the distinction between the human and divine, the third thesis will be most relevant for its evaluation. For responses that emphasize a reconsideration of the properties required for being truly human, the second thesis will be most pertinent for an assessment of it. And, as an approach focuses on a reconsideration of the constitutive properties of divinity, the first thesis is the most important one for its evaluation.

Finally, it is important to note some of the views these theses rule out. Arius (250-336), bishop of Alexandria, taught that the Son is “God’s perfect creature” (Olson, 146) and therefore a lesser being than God the Father. Arian views deny the full divinity of God the Son and therefore are incompatible with the first thesis. Apollinarius, a 4th-century bishop of Laodicea, denied that God the Son Incarnate possessed a human mind as well as a human body. Apollinarian views deny the full humanity of God the Son Incarnate and therefore are incompatible with the second thesis. Nestorianism, taking its name from Nestorius, a 5th-century bishop of Constantinople, holds that in God the Son Incarnate there are two persons, one human and one divine, and is therefore incompatible with the third thesis.

2. The Incompatibility Problem

According to the classical account of the incarnation, Jesus Christ is truly human, truly divine, and a single individual who is identical to God the Son. Suppose that, as a matter of fact, Jesus of Nazareth worked as a carpenter, went fishing on the Sea of Galilee, and was unpopular with some civil and religious leaders. Things could have gone differently. Conceivably, Jesus might have been a potter who never set foot on the beaches of Galilee, and was unknown to the movers and shakers of his time. Either way he would have been truly human.

Characteristics or properties relating to employment, popularity, trips to the sea, and the like are compatible with being human but not essential for having that status. Just what properties are essential for being truly human is, as we shall see, a topic of considerable debate.

John Hick counts limited power and knowledge among the plausible candidates and argues that this spells trouble for the adherent of the Chalcedonian account of the incarnation, for the complements of these properties, unlimited knowledge and power, are essential for being truly divine.

. . . there is an obvious puzzle as to how the same being can jointly
embody those attributes of God and of humanity that are apparently
incompatible. God is eternal, whilst humans have a beginning in time;
God is infinite, humans finite; God is the creator of the universe,
including humanity, whilst humans are part of God’s creation; God is
omnipotent, omniscient, omnipresent, whilst humans are limited in power
and knowledge and have a bounded location; and so on. Let us call this
the incompatible-attributes problem (Hick, 1993,102).

The worry, then, is that the classic account of the incarnation is flawed in the most fundamental sense; it runs counter to what Aristotle called the most certain principle: nothing can both be and not be at the same time and in the same respect (Metaphysics, Bk. IV, Part 3). If being truly human and being truly divine are indeed incompatible, then Jesus could no more have fulfilled the conditions of the Chalcedonian account of the incarnation than he could have been a spherical cube.

3. Responses to the Incompatibility Problem

a. Rejecting the Law of Non-contradiction

Toward the end of his journal, A Grief Observed, C.S. Lewis asks “Can a mortal ask questions which God finds unanswerable?” and readily replies in the affirmative.

Quite easily, I should think. All nonsense questions are unanswerable.
How many hours are there in a mile? Is yellow square or round? Probably
half of the questions we ask─half our great theological and metaphysical
problems─are like that (Lewis, 1961, 81).

Though there is no reason to think that Lewis had questions about the incarnation in mind, one could respond to the objection that the Chalcedonian account of the incarnation runs counter to the law of non-contradiction, by arguing that this law no more applies to the incarnation than geometric properties do to colors. Asking if God the Son’s human nature is compatible with his divine nature, would be like asking if purple is perpendicular. It is what philosophers call ‘a category mistake,’ the error of applying concepts and distinctions to subjects where they have no purchase. In this regard, Thomas V. Morris cites H. M. Relton as asserting that “the person of Christ is the bankruptcy of human logic;” Soren Kierkegaard (1813-1855) as holding that the incarnation is “a breach with all thinking,” and notes Gareth Moore’s reference to those for whom “The doctrine of the incarnation expressed a divine mystery which we mere mortals could not expect to understand, and it was bordering on the blasphemous for any feeble, logic-chopping human intellect to attack it” (Morris, 1986, 24-25).

To evaluate rejecting the law of non-contradiction, as a response to the charge that some essential human and divine properties are incompatible, let’s assume, for the sake of the argument, that the law does not apply to the incarnation. Since it tells us that nothing can both be and not be at the same time and in the same respect, making our assumption amounts to holding that God the Son could possess any property (for example, having unlimited power) and its complement (for example, having limited power).

If this were so, there could not be any problem with God the Son being truly human and truly divine, no matter how we understand ‘humanity’ and ‘divinity.’ But the same problem-free possibility would also go for God the Son being truly divine and incarnate as a doorknob, the number seven or a piece of toast. Furthermore, apart from the law of non-contradiction, God the Son Incarnate could both have any property (for example, being human) and its complement (for example, not being human), at the same time and in the same respect.  However, if having a property does not rule out its absence, then all property distinctions (for example, being incarnate and not being incarnate) break down. As such, doing away with the law of non-contradiction, in order to defend the doctrine of the incarnation, leads to the loss all meaningful property distinctions, and the significance of theological assertions. What we need is a way to work within the metaphysical constraints of Chalcedon, not a way to shake them off altogether.

b. Rejecting the All-or-Nothing Account of Identity in Favor of Relative Identity

Our first attempt to address the incompatibility problem plaguing the Chalcedonian account of the incarnation rejecting the law of  non-contradiction led to the breakdown of meaningful property distinctions. A less radical approach for responding to the incompatibility problem requires a fresh look at the concept of identity. So far, in our reasoning, we have assumed that Jesus of Nazareth could be identical to God the Son only if Jesus possessed every property had by God the Son, and vice versa. In doing so, we have supposed that identity is an all-or-nothing affair. This view of identity is expressed in a principle Leibniz called the indiscernibility of identicals:

For any property P and any persons X and Y, if X is identical with Y then X has P if and only if Y has P (cf. Plantinga, 1976, 15).

Given both the law of non-contradiction and the indiscernibility of identicals, it is difficult indeed to see how Jesus of Nazereth could be identical to God the Son. Suppose Jesus is limited in power and God the Son is essentially all-powerful. The law of non-contradiction rules out the possibility of Jesus having both unlimited and limited power, and also the possibility of God the Son having both limited and unlimited power. But, the indiscernibility of identicals requires Jesus to have unlimited power in order to be identical to God the Son, and God the Son to have limited power in order to be identical to Jesus. It seems, then, that an acceptance of both the law of non-contradiction and the indiscernibility of identicals rules out the Chalcedonian view that a single individual can be both truly divine and truly human. So, if we want to affirm Chalcedon and retain the law of non-contradiction, it makes sense to consider rejecting the all-or-nothing account of identity expressed by the indiscernibility of identicals.

Some suggest that instead of thinking of identity as sameness in all respects, as in the indiscernibility of identicals, we should think of it as sameness in just some respects. On this account of identity, relative identity, two things, X and Y, can be identical in some respects but not others. So, for example, Senator Barack Obama and President Barack Obama are the same person but not the same official. As an official, Senator Barack Obama is a member of the legislative branch of government, while President Barack Obama, as an official, is a member of the executive branch of government.

The qualifiers in the Obama example, “person” and “official,” are count nouns, nouns we can modify numerically. It makes sense to speak of two persons or officials, but not of two courages or honesties. It follows, then, that while “person” and “official” are count nouns, “courage” and “honesty” are not.

For our present purposes, let’s suppose that Jesus of Nazareth is the same person as God the Son, but the two differ relative to X, where X does duty for some count noun. Let’s suppose that, relative to this count noun, Jesus is limited in knowledge and power and the like, and therefore not all-powerful and all-knowing, while God the Son is all-powerful and all-knowing and the like, and so not limited in power and knowledge.

Such an interpretation seems to be necessary if an appeal to relative identity is to show that Jesus of Nazareth and God the Son can be identical, notwithstanding property differences. However, it requires attributing essential human properties, like limited power, to Jesus but not God the Son, and essential divine properties, like unlimited knowledge, to God the Son but not Jesus of Nazareth. As a result, it is hard to see how an appeal to relative identity can be compatible with Chalcedon’s requirement that the divine and human natures be “. . . without division, without separation . . . coalescing in one person (prosopon) and one hypostasis. . . “(Olson, 1999, 231), in keeping with the third Chalcedonian thesis.

c. Reconsidering the Properties Required for Being Truly Human and/or Truly Divine

It is easy to assume, along with John Hick, that to be truly human God the Son had to be limited in knowledge and power, and, in general, possess the complements of essential divine properties. However, if Hick’s assumptions were unwarranted, then the doctrine of the incarnation would be perfectly compatible with the law of non-contradiction. We should then at least entertain the possibility that incompatibility problems show that our assumptions about the essential properties of humanity and/or divinity are incorrect.

i. Reconsidering the Properties Required for Being Truly Human

1) Thomas V. Morris’s Distinctions Between Essential and Common Properties, and Full and Mere Humanity

Thomas V. Morris challenges our assumptions regarding the properties necessary for being truly human. He does so, by drawing our attention to two crucialbut commonly overlookeddistinctions. First, Morris asks us to consider the distinction between being fully but not merely X, and being fully and merely X. For example, a cube, like a two-dimensional square, is fully a rectangle, as each one of the cube’s faces is a parallelogram with four right angles. However, a cube is not merely a rectangle, for it possesses a higher-level property; it is three-dimensional. A diamond-backed rattlesnake, like a diamond, is fully physical; it has a spatiotemporal location. But, a rattlesnake is not merely physical for it possesses higher-level properties diamonds lack, for example, cellular composition and voluntary motion. Similarly, God the Son Incarnate is fully but not merely human. He has all of the properties individually necessary and jointly sufficient for being human, but also higher-level divine properties.

Second, Morris draws our attention to the distinction between properties commonly possessed by humans and properties essential to humanity. By definition, if a property is essential for being human, all humans must have it. So, essential human properties are necessarily common human properties. However, the reverse does not hold. A property can be common without being essential. Breaking promises is a common human property but is not thereby an essential human property. God the Son’s genuine humanity would not have been jeopardized by his faithfully fulfilling all of his promises.

Further, if we neglect these distinctions, we may incorrectly assume that properties commonly possessed by those who are merely human are necessary for being fully human. Morris thinks that this is exactly what we have done. We have assumed that the properties commonly possessed by mere humans, for example, limited knowledge and power, are necessary for being fully human. Once we see that this is not so, the incarnation is no longer an affront to the law of non-contradiction.

Morris’s approach is bold and intriguing. Whether or not it is ultimately satisfactory, depends upon the strength of responses to the concerns it raises. First, if we allow, for the sake of the argument, that properties like limited knowledge and power are not essential for being fully human, we might  well ask, “What are essential?” In response, Morris takes a wait-and-see approach, “What essentially constitutes a human body and a human mind we wait upon a perfected science or a more complete revelation to say. We have neither a very full-blown nor a very fine-grained understanding of either at this point” (Morris, 1991, 166).

Second, we might ask “if properties like limited power and knowledge are not essential for being fully human, why are they so common?” Morris suggests that what makes these properties so common is either that they are included in our individual human natures, or they are the result of being merely human, that is, not possessing some additional nature (Morris, 1991, 165). Thus, the reason why Thomas V. Morris and the rest of us is limited in power and knowledge is either that his human nature is not possessed along with some higher nature, or because his individual nature the properties essential for being the particular human that is Thomas V. Morris includes limitations in power and knowledge.

There is a third concern. Morris rightly recognizes that an internally consistent account of the incarnation is not the only desideratum; he also wants an account that squares with the New Testament portrait of Jesus of  Nazareth. Morris must explain how it is that God the Son Incarnate could be, as described in the gospels, limited in power and knowledge (for example, Mark 13:32; John 4:6), even though he remained omnipotent and omniscient. Morris’s answer is that God the Son Incarnate had both a divine and human mind, and sometimes chose to rely only upon the resources of his human mind.

. . .  in the case of God Incarnate we must recognize something like two distinct minds or systems of mentality. There is first what we can call the eternal mind of God the Son, with its distinctively divine consciousness . . . encompassing the full scope of omniscience, empowered by the resources of  omnipotence, and present in power and knowledge throughout the entirety of the creation. And, in addition to this divine mind, there is a distinctly earthly mind with its consciousness that came into existence and developed with the conception, human birth and growth of Christ’s earthly form of   existence. . . . By living out his earthly life from on the resources of the human body and mind, he took on the form of our existence and shared the plight of our   condition (Morris, 1991, 169).

Talk of two minds inevitably raises the specter of two persons and Nestorianism. On a Cartesian view of persons, a human mind is a human person. From this perspective, if the incarnation required both a divine mind and human mind, then in God the Son Incarnate there were two persons, one human and one divine. Morris is aware of the concern and grants that in the case of mere humans, a human mind is a human person, “What we can refer to as my mental system was intended by God to define a person” (Morris, 1991, 174). However, for God incarnate, one who is fully human, but not merely human, having a human mind is not sufficient for being a human person. That individual’s personhood depends upon his ultimate metaphysical status, in this case divinity (Morris, 1991, 174).

2) Richard Swinburne’s Rejection of a Human Mind/Soul in Favor of a Human Range of Consciousness

At the core of Richard Swinburne’s account of the incarnation is the claim that God the Son Incarnate has both a human range of consciousness and a divine range of consciousness. In this way his view is akin to Thomas V. Morris’s. However, there is a crucial difference between their accounts. Morris holds that God the Son Incarnate has two minds, a divine mind and a human mind, each with its own range of consciousness.

Swinburne argues that God the Son Incarnate has a single mind with two ranges of consciousness. Instead of Morris’s two-minds view of the incarnation, Swinburne offers a divided-mind account of the incarnation.

To understand what Swinburne’s divided-mind view amounts to and why he prefers it to Morris’s two-minds view, we need to consider his understanding of humanity. In general, a mental substance, that is, a soul/mind, is human if it has a human body and is capable of “acting, acquiring beliefs, sensations and desires through it” (Swinburne, 1994, 196). Note that on this view, a mental substance is human only if it has a human body.

Richard Swinburne and the rest of us are human. But, by Swinburne’s reckoning, we are not essentially so. This follows from the fact that having a human body is a necessary condition for being human, and it is conceivable that we exist either without a body or with a very different sort of body. But, while no soul is essentially human, one soul became human by choice.

In taking on a human body and acquiring a human range of consciousness, God the Son did not lose omnipotence or omniscience. Indeed, he could not do so, for he is essentially divine, and omnipotence and omniscience belong to the divine nature. Instead, by becoming human, God the Son acquired additional ways of accessing the world; he took on “a way of operating which is limited and feels limited” (Swinburne, 1989, 66). So, we can explain references in the gospels to God the Son’s ignorance and powerlessness, as the results of the Son only relying on his human range of consciousness and abilities.

Because of his divided-mind account of the incarnation, Richard Swinburne steers clear of Nestorianism, for without two minds there cannot be two persons. That said, some may worry that without two minds, there cannot be two natures. If this is so, then Swinburne’s divided-mind view of the incarnation avoids Nestorianism only by taking an Apollinarian position in which God the Son incarnate has a human body but lacks a human mind.

Swinburne is well aware of the apparent problem and has a ready response. His view would be Apollinarian, if, in their talk about taking on a “reasonable soul,” the Fathers of Chalcedon had wished to affirm that God the Son took on an immaterial substance, a Cartesian soul so to speak. But that could not have been their view for then they would have been committed to a position they expressly denied, namely, that in the incarnation there are two beings. Instead, we should understand “soul” in the creed’s reference to “reasonable soul,” in an Aristotelian sense. So understood, to say that God the Son took on a human soul is to claim that he acquired “a human way of thinking and acting” (Swinburne, 1989, 61, note 12). If this reading of Chalcedon is correct, then Swinburne’s account does not entail Apollinarianism.

ii. Reconsidering the Properties Required for Being Truly Divine: the Kenotic Approach

The counterpart to reconsidering what properties are essential to humanity is a reexamination of the properties essential to divinity. If we have reason to believe contrary to Thomas V. Morris’s suggestion that limited knowledge and power are not just common human properties but essential ones, consistency requires that we no longer count omnipotence and omniscience as essential divine properties. There is data in the New Testament that would support revising the list of essential divine properties. The New Testament records tell us that God the Son was sometimes tired (John 4:6) and that he grew in wisdom (Luke 2:52). When these descriptions are considered along side of Philippians 2:7, which tells us that God the Son “emptied himself” in order to become incarnate, it is reasonable to suppose that God the Son Incarnate relinquished properties such as omnipotence and omniscience. This approach to the incarnation is known as the kenotic view, in keeping with the Greek verb keneo, “to empty,” found in Philippians 2:7.

In order for God the Son to be able to give up properties like omnipotence and omniscience, two things need to be true. First, none of these properties could be essential properties of divinity, for God the Son is, by his very nature, divine, and no being can lose an essential property and continue to exist. Second, all of these properties, if possessed by God the Son, or another member of the Trinity, must be compatible with the essential properties of divinity, for God the Son can relinquish only what he can possess, and can possess only properties compatible with his divine nature.

It is important to distinguish God the Son’s relinquishing of properties like omniscience and omnipotence in the kenotic view, with the views of Morris and Swinburne on which God the Son chose not to avail himself of these properties for a period of time. For Morris and Swinburne, omnipotence and omniscience are essential divine properties and therefore ones that God the Son must always have. On the kenotic view these properties are accidental and therefore properties that God the Son can lose. On the kenotic view, there was a period of time during which God the Son could not possibly avail himself of omnipotence and omniscience (Evans, 2006b, 200).

If properties like omnipotence and omniscience are not essential divine properties, one might well ask: in what sense are power and knowledge essential to divinity? The kenotic response is that, it is not omnipotence but omnipotence unless freely given up, not omniscience but omniscience unless freely given up, that are essential properties of divinity. On the kenotic view, God the Son gives up the “omni properties” in order to become incarnate, while retaining the “unless properties.”

If “omni properties” are not essential for divinity, then God the Father and God the Holy Spirit could also give up omnipotence and omniscience. If all three persons of the Trinity did so simultaneously ─ and to the extent God the Son did at the beginning of the incarnation ─ there would be a time when many ordinary humans would surpass God in knowledge and power. This seems sufficient for a reductio ad absurdum of the kenotic view.

Ronald J. Feenstra sees the problematic nature of a complete Trinitarian kenosis, and so suggests a further refinement of essential divine properties, replacing omnipotence unless freely given up with omnipotence unless freely given up for the sake of reconciliation and omniscience unless freely given up with omniscience unless freely given up for the sake of reconciliation. Given this fine-tuning and an assumption that God the Son has accomplished the work of redemption, it would no longer be possible to have an absurd scenario in which many humans surpass all three members of the Trinity in knowledge and power (Feenstra, 2006, 153).

There would, however, be another problem: the kenotic approach would appear ad hoc, inviting the following question: “Apart from rescuing a Chalcedonian account of the incarnation, is there any reason to suppose that God has these fine-tuned kenotic properties?” In response, the kenotic theologian might argue, in keeping with Alvin Plantinga’s “Advice to Christian Philosophers” (Plantinga, 1984), that it is perfectly appropriate to begin with what we know about the incarnation and revise our concepts of God and humanity accordingly (Feenstra, 2006, 159).

By the same token, if there is a conflict between special revelation and the kenotic account of the incarnation, the latter must go. C. Stephen Evans, a defender of the kenotic approach, draws our attention to just such an apparent conflict concerning the glorification of God the Son Incarnate and expresses it in the form of a dilemma (Evans 2002, 263-264).

  • ŸEither the glorified God the Son Incarnate reassumes the properties he set aside or not.
  • ŸIf so, these properties are compatible with God the Son’s incarnation, contrary to the kenotic view.
  • ŸIf not, the kenotic view has a deficient account of the glorification of God the Son Incarnate.
  • ŸSo, either the kenotic approach is incorrect in supposing that God the Son’s incarnation requires setting aside certain properties or it is committed to a deficient account of God the Son’s glorification.

In response to this dilemma, a kenotic defender could distinguish between incarnation and kenosis, and argue that while kenosis entails incarnation, the reverse is not true. It may be that kenosis was the means by which God the Son became incarnate and subsequently shared our trials and temptations (Feenstra 1989, 148-150). However, kenosis and incarnation are not co-extensive for, while God the Son’s kenosis ends at his glorification, his incarnation does not. Evans suggests that “. . . Christ’s Incarnation in an ordinary body may have required a kenosis, but the kind of body he possesses in his glorified state may be compatible with the reassumption of all of the traditional theistic properties” (Evans 206b., 201-202). If this is right, then limited power and knowledge are not essential human properties after all. The relevant essential properties are more fine-grained: being limited in power while having an ordinary (unglorified) human body, being limited in knowledge while having an ordinary (ungloried) human body and so forth. So, God the Son gave up the properties like omnipotence and omniscience, not because he had to do so to be truly human─or else the glorified Son of God would not be truly human─but because our redemption required it.

iii. Reconsidering the Properties Required for Being Truly Divine and  Truly Human: Marilyn Adams’ Qualified-Property Approach

Marilyn Adams holds that, barring a miracle, every human individual is  essentially human. In the miracle of the incarnation God the Son, who is essentially divine, acquires a human nature. As a result, God the Son is not only truly divine, but also truly human. However, since God the Son is not essentially human, none of the properties included in his human nature are among his essential properties.

In virtue of possessing a divine nature, God the Son has the property of being uncreated, while in virtue of having a human nature, he possesses the property of being created. Possessing both of these properties appears to be a violation of the law of non-contradiction, which tells us that nothing can both be and not be at the same time and in the same respect. Adams, however, taking her cue from Duns Scotus (1266-1308) (Adams, 2006, 133), argues that there is no incompatibility with the law of non-contradiction. As she sees it, strictly speaking, God the Son Incarnate does not possess the property pair: being created and being uncreated, but rather the pair: uncreated as (qua) divine and created as (qua) human. Further, since God the Son Incarnate is essentially divine and contingently human, he possesses the property of being uncreated, without qualification (simpliciter) and the property of being created, with qualification. Either way we choose to describe the difference between God the Son’s essential possession of his divine properties and contingent possession of his human properties, God the Son does not possess them in the same sense. Therefore there is no violation of the law of non-contradiction.

Adams goes on to note that Richard Cross (Cross, 2002, 204-205) “remains dubious” about this approach (Adams, 2006, 133). Chalcedon requires that God the Son Incarnate be “consubstantial with us in manhood; like us in all things except sin” (Olson, 1999, 231). However, what we possess is the property of being created, simpliciter, a property that God the Son Incarnate cannot possess as he has the property of being uncreated, simpliciter. It seems then that the distinction between properties God the Son Incarnate possesses with and without qualification, keeps the incarnation in line with the law of non-contradiction only by denying a core Chalcedonian claim – God the Son Incarnate is like us, save for sin. In response, Adams argues that the difficulty is only apparent, for the content of God the Son Incarnate’s human nature is the same as our nature; what differs is the way the content is attributed to him.

Commentators needlessly worry that if the Divine Word does not possess human nature in the way we do . . . in such a way that we could not exist without being human ─ then the Divine Word isn’t fully or perfectly human ─ i.e., doesn’t really possess all of what goes into being a human being. What the doctrine requires is that the Divine Word while essentially Divine contingently come to possess human nature in such a way as to be characterized by such features. So far as I know, no one . . . has envisioned the Divine Word possessing human nature essentially in such a way that the Divine Word couldn’t exist without being human (Adams, 2006, 134).

d. Showing that God the Son Incarnate Does Not Possess Any Property and its Complement “in the same respect”: Eleonore Stump’s Borrowed-Property View

Given the law of non-contradiction, God the Son Incarnate cannot both have and lack a property at the same time and in the same respect. To see how God the Son might have a property in one respect, but lack it in another, it is helpful to consider some everyday examples of this sort of thing. An apple, with respect to its skin, has the property of being red, but, with respect to its whitish inside, lacks that property. So, the apple has and lacks the property of being red, but there is no incoherence here because the apple has that property in one respect and lacks it in another (Leftow, 1992, 288). Similarly, a knife, with respect to its cutting edge, has the property of being sharp, but with respect to its handle, lacks that property. So, the knife has and lacks the property of being sharp, but there is no incoherence here for the knife has this property in one respect, but lacks it in another.

On the classical view of the incarnation, God the Son Incarnate is truly human and truly divine. Some, John Hick for example, hold that there cannot be a truly human and truly divine individual because, for example, such a being would have to possess omnipotence, to be fully divine, and lack it, to be fully human. This would indeed be problematic if God the Son Incarnate had to have and lack omnipotence at the same time and in the same respect. However, given that God the Son Incarnate has two natures, he can have some properties with respect to one nature and lack them with respect to the other nature. God Incarnate, with respect to his divine nature, is omnipotent, but with respect to his human nature, is not. God Incarnate, with respect to his human nature, is ignorant of some things, but, with respect to his divine nature, is not.

There is a significant objection to this way of reconciling the classical account of the incarnation with the law of non-contradiction; it only avoids running afoul of the law of non-contradiction by, contrary to Chalcedon, “dividing the natures” of God Incarnate. If one must treat God Incarnate’s human and divine natures as watertight compartments in order to avoid contradiction, then one must also give up the Chalcedonian claim that the two natures combine in one person. Or, to put a positive spin on it, if one is going to appeal to God the Son’s natures to show that he can possess a property with respect to one nature but not another ─ and stay within the bounds of Chalcedon ─ one will need to show how a property can be had relative to a nature, without being had only by that nature. By way of example, one will need to show that God the Son himself, not just his divine nature, can have the property of omnipotence, even though he is omnipotent only because that property belongs to his divine nature. Also, one would need to show that God the Son himself, can have the property of lacking strength, even though he has that property only because it is a part of his human nature. Though this description of the requisite demonstration has the appearance of an impossibility, Eleonore Stump  argues that with the notion of a “borrowed property” ─ a concept she finds implicit in Thomas Aquinas’s (1225-1274) work on the incarnation (Stump, 2002, 205-206) ─ it is possible to steer clear of contradiction and stay within the confines of Chalcedon.

For an explicit account of borrowed property, Eleonore Stump draws on the work of Lynne Rudder Baker:

Borrowing walks a fine line. On the one hand, if x borrows H from y, then x really has H-piggyback, so to speak . . . If I cut my hand, then I really bleed . . . I borrow the property of bleeding from my body, but I really bleed. But the fact that I am bleeding is none other than the fact that I am constituted by a body that is bleeding. So, not only does x really have H by borrowing it, but also ─ and this is the other hand ─ if x borrows H from y, there are not two independent instances of H: if x borrows H, then x’s having H is entirely a matter of having constitution elations to something that has H non-derivatively. [quoted in (Stump 2002), p. 205]

Stump provides an illustration of borrowed properties. She notes that Mark Twain’s Letters From the Earth is both comic and serious; as a biting critique of Christianity it is serious and as a satire it is comic. The work as a whole borrows the property of seriousness from its overall aim, while borrowing its comic property from Twain’s sarcasm and humor. So, Letters From the Earth is serious, with respect to its attack on Christianity, and comic, with respect to Twain’s use of humor. In a like manner, God the Son is omniscient with respect to his divine nature, and limited in knowledge with respect to his human nature. Just as the apparently incompatible properties, being comic and being serious, can be predicated of Letters From the Earth as a whole, when they are taken to be borrowed properties, so property pairs like unlimited knowledge and limited knowledge can be predicated of the person, God the Son, when they are understood as borrowed properties. The person, God the Son, borrows the property of omniscience from his divine nature and the property of limited knowledge from his human nature. As such, God the Son as (qua) divine is omniscient and as (qua) human is limited in knowledge.

4. Conclusion

The claim that God the Son Incarnate is truly human and truly divine appears to run afoul of the law of non-contradiction, which states that nothing can both be and not be at the same time and in the same respect. Four approaches to this incompatibility problem stand out: giving up the law of non-contradiction; adopting a relative account of identity; reconsidering the properties required for being truly human and/or divine; showing that God Incarnate does not possess any property and its complement in the same respect. Versions of the third and fourth approaches include Thomas V. Morris’s two-minds view, Richard Swinburne’s divided-mind account, Ronald J. Feenstra’s kenotic view, Marilyn Adams’ qualified-property perspective, and Eleonore Stump’s borrowed-property account. Significantly, all of these philosophers argue that their positions are compatible with the Chalcedonian Creed.

5. References and Further Reading

  • Adams, Marilyn McCord. 2006. Christ and Horrors. Cambridge: Cambridge University Press.
  • Cross, Richard. 2002. The Metaphysics of God Incarnate. Oxford: Oxford University Press.
  • Davis, Stephen T. 2006. Christian Philosophical Theology. Oxford: Oxford University Press.
  • Evans, C. Stephen. 2002. “The Self-Emptying of Love: Some Thoughts on Kenotic Christology” in Davis, Stephen T.; Kendall, Daniel, SJ; O’Collins, Gerald, S.J. eds. The Incarnation. Oxford: Oxford University Press. pp. 246-272.
  • Evans, C. Stephen. 2006a. “Introduction” in C. Stephen Evans ed. Exploring Kenotic Christology: The Self-Emptying of God. Oxford: Oxford University Press. pp. 1-24.
  • Evans, C. Stephen. 2006b. “Kenotic Christology and the Nature of God” in C. Stephen Evans ed. Exploring Kenotic Christology: The Self-Emptying of God. Oxford: Oxford University Press. pp. 190-217.
  • Feenstra, Ronald J. 1989. “Reconsidering Kenotic Christology” in Feenstra, Ronald J. and Plantinga, Cornelius, Jr. eds. Trinity Incarnation and Atonement. Notre Dame, IN: University of Notre Dame Press.
  • Feenstra, Ronald J. 2006 “A Kenotic Christological Method for Understanding the Divine Attributes” in C. Stephen Evans ed. Exploring Kenotic Christology: The Self-Emptying of God. Oxford: Oxford University Press. pp. 139-164.
  • Hick, John. 1993. The Metaphor of God Incarnate. Louisville, KY: Westminster Press.
  • Leftow, Brian. 1992. “A Timeless God Incarnate ” in eds. Davis, Stephen T.; Kendall, Daniel, SJ; O’Collins, Gerald, S.J. eds. The Incarnation. Oxford: Oxford University Press. pp. 273-299.
  • Lewis, C.S. 1961. A Grief Observed. New York: Bantam Books.
  • Morris, Thomas V. 1986. The Logic of God Incarnate. Ithaca, NY: Cornell University Press.
  • Morris, Thomas V. 1991. Our Idea of God. Notre Dame, IN: University of Notre Dame Press.
  • Olson, Roger E. 1999. The Story of Christian Theology. Downers Grove, IL: InterVarsity Press.
  • Plantinga, Alvin. 1976. The Nature of Necessity. Oxford, Oxford University Press.
  • Plantinga, Alvin. 1984. “Advice to Christian Philosophers” in Faith and Philosophy, Vol. 1, Number 3. pp. 253-271.
  • Stump, Eleonore. 2002. “Aquinas’ Metaphysics of Incarnation” in eds. Davis, Stephen T.; Kendall, Daniel, SJ; O’Collins, Gerald, S.J. eds. The Incarnation. Oxford: Oxford University Press. pp. 197-220.
  • Swinburne, Richard. 1989. “Could God Become Man?” in ed. Godfrey Vesey, The Philosophy in Christianity. Cambridge: Cambridge University Press. pp.53-70.
  • Swinburne, Richard. 1994. The Christian God. Oxford: Clarendon Press.

Author information

David Werther
Email: dwerther@dcs.wisc.edu
University of Wisconsin, Madison
U. s. A.

Friedrich Nietzsche (1844—1900)

NietzscheNietzsche was a German philosopher, essayist, and cultural critic. His writings on truth, morality, language, aesthetics, cultural theory, history, nihilism, power, consciousness, and the meaning of existence have exerted an enormous influence on Western philosophy and intellectual history.

Nietzsche spoke of “the death of God,” and foresaw the dissolution of traditional religion and metaphysics. Some interpreters of Nietzsche believe he embraced nihilism, rejected philosophical reasoning, and promoted a literary exploration of the human condition, while not being concerned with gaining truth and knowledge in the traditional sense of those terms. However, other interpreters of Nietzsche say that in attempting to counteract the predicted rise of nihilism, he was engaged in a positive program to reaffirm life, and so he called for a radical, naturalistic rethinking of the nature of human existence, knowledge, and morality. On either interpretation, it is agreed that he suggested a plan for “becoming what one is” through the cultivation of instincts and various cognitive faculties, a plan that requires constant struggle with one’s psychological and intellectual inheritances.

Nietzsche claimed the exemplary human being must craft his/her own identity through self-realization and do so without relying on anything transcending that life—such as God or a soul.  This way of living should be affirmed even were one to adopt, most problematically, a radical vision of eternity, one suggesting the “eternal recurrence” of all events. According to some commentators, Nietzsche advanced a cosmological theory of “will to power.” But others interpret him as not being overly concerned with working out a general cosmology. Questions regarding the coherence of Nietzsche’s views–questions such as whether these views could all be taken together without contradiction, whether readers should discredit any particular view if proven incoherent or incompatible with others, and the like–continue to draw the attention of contemporary intellectual historians and philosophers.

Table of Contents

  1. Life
  2. Periodization of Writings
  3. Problems of Interpretation
  4. Nihilism and the Revaluation of Values
  5. The Human Exemplar
  6. Will to Power
  7. Eternal Recurrence
  8. Reception of Nietzsche’s Thought
  9. References and Further Reading
    1. Nietzsche’s Collected Works in German
    2. Nietzsche’s Major Works Available in English
    3. Important Works Available in English from Nietzsche’s Nachlass
    4. Biographies
    5. Commentaries and Scholarly Researches
    6. Academic Journals in Nietzsche Studies

1. Life

Because much of Nietzsche’s philosophical work has to do with the creation of self—or to put it in Nietzschean terms, “becoming what one is”— some scholars exhibit uncommon interest in the biographical anecdotes of Nietzsche’s life. Taking this approach, however, risks confusing aspects of the Nietzsche legend with what is important in his philosophical work, and many commentators are rightly skeptical of readings derived primarily from biographical anecdotes.

Friedrich Wilhelm Nietzsche was born October 15, 1844, the son of Karl Ludwig and Franziska Nietzsche. Karl Ludwig Nietzsche was a Lutheran Minister in the small Prussian town of Röcken, near Leipzig. When young Friedrich was not quite five, his father died of a brain hemorrhage, leaving Franziska, Friedrich, a three-year old daughter, Elisabeth, and an infant son. Friedrich’s brother died unexpectedly shortly thereafter (reportedly, the legend says, fulfilling Friedrich’s dream foretelling of the tragedy). These events left young Friedrich the only male in a household that included his mother, sister, paternal grandmother and an aunt, although Friedrich drew upon the paternal guidance of Franziska’s father. Young Friedrich also enjoyed the camaraderie of a few male playmates.

Upon the loss of Karl Ludwig, the family took up residence in the relatively urban setting of Naumburg, Saxony. Friedrich gained admittance to the prestigious Schulpforta, where he received Prussia’s finest preparatory education in the Humanities, Theology, and Classical Languages. Outside school, Nietzsche founded a literary and creative society with classmates including Paul Deussen (who was later to become a prominent scholar of Sanskrit and Indic Studies). In addition, Nietzsche played piano, composed music, and read the works of Emerson and the poet Friedrich Hölderlin, who was relatively unknown at the time.

In 1864 Nietzsche entered the University of Bonn, spending the better part of that first year unproductively, joining a fraternity and socializing with old and new acquaintances, most of whom would fall out of his life once he regained his intellectual focus. By this time he had also given up Theology, dashing his mother’s hopes of a career in the ministry for him. Instead, he choose the more humanistic study of classical languages and a career in Philology. In 1865 he followed his major professor, Friedrich Ritschl, from Bonn to the University of Leipzig and dedicated himself to the studious life, establishing an extracurricular society there devoted to the study of ancient texts. Nietzsche’s first contribution to this group was an essay on the Greek poet, Theognis, and it drew the attention of Professor Ritschl, who was so impressed that he published the essay in his academic journal, Rheinisches Museum. Other published writings by Nietzsche soon followed, and by 1868 (after a year of obligatory service in the Prussian military), young Friedrich was being promoted as something of a “phenomenon” in classical scholarship by Ritschl, whose esteem and praise landed Nietzsche a position as Professor of Greek Language and Literature at the University of Basel in Switzerland, even though the candidate had not yet begun writing his doctoral dissertation. The year was 1869 and Friedrich Nietzsche was 24 years old.

At this point in his life, however, Nietzsche was a far cry from the original thinker he would later become, since neither he nor his work had matured. Swayed by public opinion and youthful exuberance, he briefly interrupted teaching in 1870 to join the Prussian military, serving as a medical orderly at the outbreak of the Franco-Prussian War. His service was cut short, however, by severe bouts of dysentery and diphtheria. Back in Basel, his teaching responsibilities at the University and a nearby Gymnasium consumed much of his intellectual and physical energy. He became acquainted with the prominent cultural historian, Jacob Burkhardt, a well-established member of the university faculty. But, the person exerting the most influence on Nietzsche at this point was the artist, Richard Wagner, whom Nietzsche had met while studying in Leipzig. During the first half of the decade, Wagner and his companion, Cosima von Bülow, frequently entertained Nietzsche at Triebschen, their residence near Lake Lucerne, and then later at Bayreuth.

It is commonplace to say that at one time Nietzsche looked to Wagner with the admiration of a dutiful son. This interpretation of their relationship is supported by the fact that Wagner would have been the same age as Karl Ludwig, had the elder Nietzsche been alive. It is also commonplace to note that Nietzsche was in awe of the artist’s excessive displays of a fiery temperament, bravado, ambition, egoism, and loftiness— typical qualities demonstrating “genius” in the nineteenth century. In short, Nietzsche was overwhelmed by Wagner’s personality. A more mature Nietzsche would later look back on this relationship with some regret, although he never denied the significance of Wagner’s influence on his emotional and intellectual path, Nietzsche’s estimation of Wagner’s work would alter considerably over the course of his life. Nonetheless, in light of this relationship, one can easily detect Wagner’s presence in much of Nietzsche’s early writings, particularly in the latter chapters of The Birth of Tragedy and in the first and fourth essays of 1874’s Untimely Meditations. Also, Wagner’s supervision exerted considerable editorial control over Nietzsche’s intellectual projects, leading him to abandon, for example, 1873’s Philosophy in the Tragic Age of the Greeks, which Wagner scorned because of its apparent irrelevance to his own work. Such pressures continued to bridle Nietzsche throughout the so-called early period. He broke free of Wagner’s dominance once and for all in 1877, after a series of emotionally charged episodes. Nietzsche’s fallout with Wagner, who had moved to Bayreuth by this time, led to the publication of 1878’s Human, All-Too Human, one of Nietzsche’s most pragmatic and un-romantic texts—the original title page included a dedication to Voltaire and a quote from Descartes.  If Nietzsche intended to use this text as a way of alienating himself from the Wagnerian circle, he surely succeeded. Upon its arrival in Bayreuth, the text ended this personal relationship with Wagner.

It would be an exaggeration to say that Nietzsche was not developing intellectually during the period, prior to 1877. In fact, figures other than Wagner drew Nietzsche’s interest and admiration. In addition to attending Burkhardt’s lectures at Basel, Nietzsche studied Greek thought from the Pre-Socratics to Plato, and he learned much about the history of philosophy from Friedrich Albert Lange’s massive History of Materialism, which Nietzsche once called “a treasure trove” of historical and philosophical names, dates, and currents of thought. In addition, Nietzsche was taken by the persona of the philosopher Arthur Schopenhauer, which Nietzsche claimed to have culled from close readings of the two-volume magnum opus, The World as Will and Representation.

Nietzsche discovered Schopenhauer while studying in Leipzig. Because his training at Schulpforta had elevated him far above most of his classmates, he frequently skipped lectures at Leipzig in order to devote time to [CE1] Schopenhauer’s philosophy. For Nietzsche, the most important aspect of this philosophy was the figure from which it emanated, representing for him the heroic ideal of a man in the life of thought: a near-contemporary thinker participating in that great and noble “republic of genius,” spanning the centuries of free thinking sages and creative personalities. That Nietzsche could not countenance Schopenhauer’s “ethical pessimism” and its negation of the will was recognized by the young man quite early during this encounter. Yet, even in Nietzsche’s attempts to construct a counter-posed “pessimism of strength” affirming the will, much of Schopenhauer’s thought remained embedded in Nietzsche’s philosophy, particularly during the early period. Nietzsche’s philosophical reliance on “genius”, his cultural-political visions of rank and order through merit, and his self-described (and later self-rebuked) “metaphysics of art” all had Schopenhauerian underpinnings. Also, Birth of Tragedy’s well-known dualism between the cosmological/aesthetic principles of Dionysus and Apollo, contesting and complimenting each other in the tragic play of chaos and order, confusion and individuation, strikes a familiar chord to readers acquainted with Schopenhauer’s description of the world as “will” and “representation.”

Despite these similarities, Nietzsche’s philosophical break with Schopenhauerian pessimism was as real as his break with Wagner’s domineering presence was painful. Ultimately, however, such triumphs were necessary to the development and liberation of Nietzsche as thinker, and they proved to be instructive as Nietzsche later thematized the importance of “self-overcoming” for the project of cultivating a free spirit.

The middle and latter part of the 1870s was a time of great upheaval in Nietzsche’s personal life. In addition to the turmoil with Wagner and related troubles with friends in the artist’s circle of admirers, Nietzsche suffered digestive problems, declining eyesight, migraines, and a variety of physical aliments, rendering him unable to fulfill responsibilities at Basel for months at a time. After publication of Birth of Tragedy, and despite its perceived success in Wagnerian circles for trumpeting the master’s vision for Das Kunstwerk der Zukunft (“The Art Work of the Future”) Nietzsche’s academic reputation as a philologist was effectively destroyed due in large part to the work’s apparent disregard for scholarly expectations characteristic of nineteenth-century philology. Birth of Tragedy was mocked as Zukunfts-Philologie (“Future Philology”) by Wilamowitz-Moellendorff, an up-and-coming peer destined for an illustrious career in Classicism, and even Ritschl characterized it as a work of “megalomania.” For these reasons, Nietzsche had difficulty attracting students. Even before the publication of Birth of Tragedy, he had attempted to re-position himself at Basel in the department of philosophy, but the University apparently never took such an endeavor seriously. By 1878, his circumstances at Basel deteriorated to the point that neither the University nor Nietzsche was very much interested in seeing him continue as a professor there, so both agreed that he should retire with a modest pension [CE2] . He was 34 years  old and now apparently liberated, not only from his teaching duties and the professional discipline he grew to despise, but also from the emotional and intellectual ties that dominated him during his youth. His physical woes, however, would continue to plague him for the remainder of his life.

After leaving Basel, Nietzsche enjoyed a period of great productivity. And, during this time, he was never to stay in one place for long, moving with the seasons, in search of relief for his ailments, solitude for his work, and reasonable living conditions, given his very modest budget. He often spent summers in the Swiss Alps in Sils Maria, near St. Moritz, and winters in Genoa, Nice, or Rappollo on the Mediterranean coast. Occasionally, he would visit family and friends in Naumburg or Basel, and he spent a great deal of time in social discourse, exchanging letters with friends and associates.

In the latter part of the 1880s, Nietzsche’s health worsened, and in the midst of an amazing flourish of intellectual activity which produced On the Genealogy of Morality, Twilight of the Idols, The Anti-Christ, and several other works (including preparation for what was intended to be his magnum opus, a work that editors later titled Will to Power) Nietzsche suffered a complete mental and physical breakdown. The famed moment at which Nietzsche is said to have succumbed irrevocably to his ailments occurred January 3, 1889 in Turin (Torino) Italy, reportedly outside Nietzsche’s apartment in the Piazza Carlos Alberto while embracing a horse being flogged by its owner.

After spending time in psychiatric clinics in Basel and Jena, Nietzsche was first placed in the care of his mother, and then later his sister (who had spent the latter half of the 1880’s attempting to establish a “racially pure” German colony in Paraguay with her husband, the anti-Semitic political opportunist Bernhard Foerster). By the early 1890s, Elisabeth had seized control of Nietzsche’s literary remains, which included a vast amount of unpublished writings. She quickly began shaping his image and the reception of his work, which by this time had already gained momentum among academics such as Georg Brandes. Soon the Nietzsche legend would grow in spectacular fashion among popular readers. From Villa Silberblick, the Nietzsche home in Weimar, Elisabeth and her associates managed Friedrich’s estate, editing his works in accordance with her taste for a populist decorum and occasionally with an ominous political intent that (later researchers agree) corrupted the original thought[CE3] . Unfortunately, Friedrich experienced little of his fame, having never recovered from the breakdown of late 1888 and early 1889. His final years were spent at Villa Silberblick in grim mental and physical deterioration, ending mercifully August 25, 1900. He was buried in Röcken, near Leipzig. Elisabeth spent one last year in Paraguay in 1892-93 before returning to Germany, where she continued to exert influence over the perception of Nietzsche’s work and reputation, particularly among general readers, until her death in 1935. Villa Silberblick stands today as a monument, of sorts, to Friedrich and Elisabeth, while the bulk of Nietzsche’s literary remains is held in the Goethe-Schiller Archiv, also in Weimar.

2. Periodization of Writings

Nietzsche scholars commonly divide his work into periods, usually with the implication that discernable shifts in Nietzsche’s circumstances and intellectual development justify some form of periodization in the corpus. The following division is typical:

(i.) before 1869—the juvenilia

Cautious Nietzsche biographers work to separate the facts of Nietzsche’s life from myth, and while a major part of the Nietzsche legend holds that Friedrich was a precocious child, writings from his youth bear witness to that part of the story. During this time Nietzsche was admitted into the prestigious Gymnasium Schulpforta; he composed music, wrote poetry and plays, and in 1863 produced an autobiography (at the age of 19). He also produced more serious and accomplished works on themes related to philology, literature, and philosophy. By 1866 he had begun contributing articles to a major philological journal, Rheinisches Museum, edited by Nietzsche’s esteemed professor at Bonn and Leipzig, Friedrich Ritschl. With Ritschl’s recommendation, Nietzsche was appointed professor of Greek Language and Literature at the University of Basel in January 1869.

(ii.) 1869-1876–the early period

Nietzsche’s writings during this time reflect interests in philology, cultural criticism, and aesthetics. His inaugural public lecture at Basel in May 1869, “Homer and Classical Philology” brought out aesthetic and scientific aspects of his discipline, portending Nietzsche’s attitudes towards science, art, philology and philosophy. He was influenced intellectually by the philosopher Arthur Schopenhauer and emotionally by the artist Richard Wagner. Nietzsche’s first published book, The Birth of Tragedy, appropriated Schopenhaurian categories of individuation and chaos in an elucidation of primordial aesthetic drives represented by the Greek gods Apollo and Dionysus. This text also included a Wagnerian precept for cultural flourishing: society must cultivate and promote its most elevated and creative types—the artistic genius. In the Preface to a later edition of this work, Nietzsche expresses regret for having attempted to elaborate a “metaphysics of art.” In addition to these themes, Nietzsche’s interest during this period extended to Greek philosophy, intellectual history, and the natural sciences, all of which were significant to the development of his mature thought. Nietzsche’s second book-length project, The Untimely Meditations, contains four essays written from 1873-1876. It is a work of acerbic cultural criticism, encomia to Schopenhauer and Wagner, and an unexpectedly idiosyncratic analysis of the newly developing historical consciousness. A fifth meditation on the discipline of philology is prepared but left unpublished. Plagued by poor health, Nietzsche is released from teaching duties in February 1876 (his affiliation with the university officially ends in 1878 and he is granted a small pension).

(iii.) 1877-1882—the middle period

During this time Nietzsche liberated himself from the emotional grip of Wagner and the artist’s circle of admirers, as well as from those ideas which (as he claims in Ecce Homo) “did not belong” to him in his “nature” (“Human All Too Human: With Two Supplements” 1).  Reworking earlier themes such as tragedy in philosophy, art and truth, and the human exemplar, Nietzsche’s thinking now comes into sharper focus, and he sets out on a philosophical path to be followed the remainder of his productive life. In this period’s three published works Human, All-Too Human (1878-79), Dawn (1881), and The Gay Science (1882), Nietzsche takes up writing in an aphoristic style, which permits exploration of a variety of themes. Most importantly, Nietzsche lays out a plan for  “becoming what one is” through the cultivation of instincts and various cognitive faculties, a plan that requires constant struggle with one’s psychological and intellectual inheritances. Nietzsche discovers that “one thing is needful” for the exemplary human being: to craft an identity from otherwise dissociated events bringing forth the horizons of one’s existence. Self-realization, as it is conceived in these texts, demands the radicalization of critical inquiry with a historical consciousness and then a “retrograde step” back (Human aphorism 20) from what is revealed in such examinations, insofar as these revelations threaten to dissolve all metaphysical realities and leave nothing but the abysmal comedy of existence. A peculiar kind of meaningfulness is thus gained by the retrograde step: it yields a purpose for existence, but in an ironic form, perhaps esoterically and without ground; it is transparently nihilistic to the man with insight, but suitable for most; susceptible to all sorts of suspicion, it is nonetheless necessary and for that reason enforced by institutional powers. Nietzsche calls the one who teaches the purpose of existence a “tragic hero” (GS 1), and the one who understands the logic of the retrograde step a “free spirit.” Nietzsche’s account of this struggle for self-realization and meaning leads him to consider problems related to metaphysics, religion, knowledge, aesthetics, and morality.

(iv.) Post-1882—the later period

Nietzsche transitions into a new period with the conclusion of The Gay Science (Book IV) and his next published work, the novel Thus Spoke Zarathustra, produced in four parts between 1883 and 1885. Also in 1885 he returns to philosophical writing with Beyond Good and Evil. In 1886 he attempts to consolidate his inquiries through self-criticism in Prefaces written for the earlier published works, and he writes a fifth book for The Gay Science. In 1887 he writes On the Genealogy of Morality. In 1888, with failing health, he produces several texts, including The Twilight of the Idols, The Anti-Christ, Ecce Homo, and two works concerning his prior relationship with Wagner. During this period, as with the earlier ones, Nietzsche produces an abundance of materials not published during his lifetime. These works constitute what is referred to as Nietzsche’s Nachlass. (For years this material has been published piecemeal in Germany and translated to English in various collections.) Philosophically, during this period, Nietzsche continues his explorations on morality, truth, aesthetics, history, power, language and identity. For some readers, he appears to be broadening the scope of his ideas to work out a cosmology involving the all encompassing “will to power” and the curiously related and enigmatic “eternal recurrence of the same.” Prior claims regarding the retrograde step are re-thought, apparently in favor of seeking some sort of breakthrough into the “abyss of light” (Zarathustra’s “Before Sunrise”) or in an encounter with “decadence” (“Expeditions of a Untimely Man” 43, in Twilight of the Idols). The intent here seems to be an overcoming or dissolution of metaphysics.  These developments are matters of contention, however, as some commentators maintain that statements regarding Nietzsche’s “cosmological vision” are exaggerated. And, some will even deny that he achieves (nor even attempts) the overcoming described above. Despite such complaints, interpreters of Nietzsche continue to reference these ineffable concepts.

3. Problems of Interpretation

Nietzsche’s work in the beginning was heavily influenced, either positively or negatively, by the events of his young life. His early and on-going interest in the Greeks, for example, can be attributed in part to his Classical education at Schulpforta, for which he was well-prepared as a result of his family’s attempts to steer him into the ministry. Nietzsche’s intense association with Wagner no doubt enhanced his orientation towards the philosophy of Schopenhauer, and it probably promoted his work in aesthetics and cultural criticism. These biographical elements came to bear on Nietzsche’s first major works, while the middle period amounts to a confrontation with many of these influences. In Nietzsche’s later  writings  we find the development of concepts that seem less tangibly related to the biographical events of his life.

Let’s outline four of these concepts, but not before adding a word of caution regarding how this outline should be received. Nietzsche asserts in the opening section of Twilight of the Idols that he “mistrusts systematizers” (“Maxims and Arrows” 26), which is taken by some readers to be a declaration of his fundamental stance towards philosophical systems, with the additional inference that nothing resembling such a system must be permitted to stand in interpretations of his thought. Although it would not be illogical to say that Nietzsche mistrusted philosophical systems, while nevertheless building one of his own, some commentators point out two important qualifications. First, the meaning of Nietzsche’s stated “mistrust” in this brief aphorism can and should be treated with caution. In Beyond Good and Evil Nietzsche claims that philosophers today, after millennia of dogmatizing about absolutes, now have a “duty to mistrust” philosophy’s dogmatizing tendencies (BGE 34). Yet, earlier in that same text, Nietzsche  claimed that all philosophical interpretations of nature are acts of will  power (BGE 9) and that his interpretations are subject to the same critique (BGE 22).   In Thus Spoke Zarathustra’s “Of Involuntary Bliss” we find Zarathustra speaking of his own “mistrust,” when he describes the happiness that has come to him in the “blissful hour” of the third part of that book. Zarathustra attempts to chase away this bliss while waiting for the arrival of his unhappiness, but his happiness draws “nearer and nearer to him,” because he does not chase after it. In the next scene we find Zarathustra dwelling in the “light abyss” of the pure open sky, “before sunrise.” What then is the meaning of this “mistrust”? At the very least, we can say that Nietzsche does not intend it to establish a strong and unmovable absolute, a negative-system, from which dogma may be drawn. Nor, possibly, is Nietzsche’s mistrust of systematizers absolutely clear. Perhaps it is a discredit to Nietzsche as a philosopher that he did not elaborate his position more carefully within this tension; or, perhaps such uncertainty has its own ground.  Commentators such as Mueller-Lauter have noticed ambivalence in Nietzsche’s work on this very issue, and it seems plausible that Nietzsche mistrusted systems while nevertheless constructing something like a system countenancing this mistrust. He says something akin to this, after all, in Beyond Good and Evil, where it is claimed that even science’s truths are matters of interpretation, while admitting that this bold claim is also an interpretation and “so much the better” (aphorism 22). For a second cautionary note, many commentators will argue along with Richard Schacht that, instead of building a system, Nietzsche is concerned only with the exploration of problems, and that his kind of philosophy is limited to the interpretation and evaluation of cultural inheritances (1995). Other commentators will attempt to complement this sort of interpretation and, like Löwith, presume that the ground for Nietzsche’s explorations may also be examined. Löwith and others argue that this ground concerns Nietzsche’s encounter with historical nihilism. The following outline should be received, then, with the understanding that Nietzsche’s own iconoclastic nature, his perspectivism, and his life-long projects of genealogical critique and the revaluation of values, lend credence to those anti-foundational readings which seek to emphasize only those exploratory aspects of Nietzsche’s work while refuting even implicit submissions to an orthodox interpretation of “the one Nietzsche” and his “one system of thought.” With this caution, the following outline is offered as one way of grounding Nietzsche’s various explorations.

The four major concepts presented in this outline are:

  • (i)  Nihilism and the Revaluation of Values, which is embodied by a historical event, “the death of God,” and which entails, somewhat problematically, the project of transvaluation;
  • (ii) The Human Exemplar, which takes many forms in Nietzsche’s thought, including the “tragic artist”, the “sage”, the “free spirit”, the “philosopher of the future”, the Übermensch (variously translated in English as “Superman,” “Overman,” “Overhuman,” and the like), and perhaps others (the case could be made, for example, that in Nietzsche’s notoriously self-indulgent and self-congratulatory Ecce Homo, the role of the human exemplar is played by “Mr. Nietzsche” himself);
  • (iii) Will to Power (Wille zur Macht), from a naturalized history of morals and truth developing through subjective feelings of power to a cosmology;
  • (iv)  Eternal Recurrence or Eternal Return (variously in Nietzsche’s work, “die ewige Wiederkunft” or “die ewige Wiederkehr”) of the Same (des Gleich), a solution to the riddle of temporality without purpose.

 

4. Nihilism and the Revaluation of Values

Although Michael Gillespie makes a strong case that Nietzsche misunderstood nihilism, and in any event Nietzsche’s Dionysianism would be a better place to look for an anti-metaphysical breakthrough in Nietzsche’s corpus (1995, 178), commentators as varied in philosophical orientation as Heidegger and Danto have argued that nihilism is a central theme in Nietzsche’s philosophy. Why is this so? The constellation of Nietzsche’s fundamental concepts moves within his general understanding of modernity’s historical situation in the late nineteenth century. In this respect, Nietzsche’s thought carries out the Kantian project of “critique” by applying the nineteenth century’s developing historical awareness to problems concerning the possibilities of knowledge, truth, and human consciousness. Unlike Kant’s critiques, Nietzsche’s examinations find no transcendental ego, given that even the categories of experience are historically situated and likewise determined. Unlike Hegel’s notion of historical consciousness, however, history for Nietzsche has no inherent teleology. All beginnings and ends, for Nietzsche, are thus lost in a flood of indeterminacy. As early as 1873, Nietzsche was arguing that human reason is only one of many peculiar developments in the ebb and flow of time, and when there are no more rational animals nothing of absolute value will have transpired (“On truth and lies in a non-moral sense”). Some commentators would prefer to consider these sorts of remarks as belonging to Nietzsche’s “juvenilia.” Nevertheless, as late as 1888’s “Reason in Philosophy” from Twilight of the Idols, Nietzsche derides philosophers who would make a “fetish” out of reason and retreat into the illusion of a “de-historicized” world. Such a philosopher is “decadent,” symptomatic of a “declining life”. Opposed to this type, Nietzsche valorizes the “Dionysian” artist whose sense of history affirms “all that is questionable and terrible in existence.”

Nietzsche’s philosophy contemplates the meaning of values and their significance to human existence. Given that no absolute values exist, in Nietzsche’s worldview, the evolution of values on earth must be measured by some other means. How then shall they be understood? The existence of a value presupposes a value-positing perspective, and values are created by human beings (and perhaps other value-positing agents) as aids for survival and growth. Because values are important for the well being of the human animal, because belief in them is essential to our existence, we oftentimes prefer to forget that values are our own creations and to live through them as if they were absolute. For these reasons, social institutions enforcing adherence to inherited values are permitted to create self-serving economies of power, so long as individuals living through them are thereby made more secure and their possibilities for life enhanced. Nevertheless, from time to time the values we inherit are deemed no longer suitable and the continued enforcement of them no longer stands in the service of life. To maintain allegiance to such values, even when they no longer seem practicable, turns what once served the advantage to individuals to a disadvantage, and what was once the prudent deployment of values into a life denying abuse of power. When this happens the human being must reactivate its creative, value-positing capacities and construct new values.

Commentators will differ on the question of whether nihilism for Nietzsche refers specifically to a state of affairs characterizing specific historical moments, in which inherited values have been exposed as superstition and have thus become outdated, or whether Nietzsche means something more than this. It is, at the very least, accurate to say that for Nietzsche nihilism has become a problem by the nineteenth century. The scientific, technological, and political revolutions of the previous two hundred years put an enormous amount of pressure on the old world order. In this environment, old value systems were being dismantled under the weight of newly discovered grounds for doubt. The possibility arises, then, that nihilism for Nietzsche is merely a temporary stage in the refinement of true belief. This view has the advantage of making Nietzsche’s remarks on truth and morality seem coherent from a pragmatic standpoint, in that with this view the problem of nihilism is met when false beliefs have been identified and corrected. Reason is not a value, in this reading, but rather the means by which human beings examine their metaphysical presuppositions and explore new avenues to truth.

Yet, another view will have it that by nihilism Nietzsche is pointing out something even more unruly at work, systemically, in the Western world’s axiomatic orientation. Heidegger, for example, claims that with the problem of nihilism Nietzsche is showing us the essence of Western metaphysics and its system of values (“The Word of Nietzsche: ‘God is dead’”). According to this view, Nietzsche’s philosophy of value, with its emphasis on the value-positing gesture, implies that even the concept of truth in the Western worldview leads to arbitrary determinations of value and political order and that this worldview is disintegrating under the weight of its own internal logic (or perhaps “illogic”). In this reading, the history of truth in the occidental world is the  “history of an error” (Twilight of the Idols), harboring profoundly disruptive antinomies which lead, ultimately, to the undoing of the Western philosophical framework. This kind of systemic flaw is exposed by the historical consciousness of the nineteenth century, which makes the problem of nihilism seem all the more acutely related to Nietzsche’s historical situation. But to relegate nihilism to that situation, according to Heidegger, leaves our thinking of it incomplete.

Heidegger makes this stronger claim with the aid of Nietzsche’s Nachlass. Near the beginning of the aphorisms collected under the title, Will To Power (aphorism 2), we find this note from 1887: “What does nihilism mean? That the highest values devalue themselves. The aim is lacking; ‘Why?’ finds no answer.”  Here, Nietzsche’s answer regarding the meaning of nihilism has three parts.

(i) The first part makes a claim about the logic of values: ultimately, given the immense breadth of time, even “the highest values devalue themselves.” What does this mean? According to Nietzsche, the conceptual framework known as Western metaphysics was first articulated by Plato, who had pieced together remnants of a declining worldview, borrowing elements from predecessors such as Anaximander, Parmenides, and especially Socrates, in order to overturn a cosmology that had been in play from the days of Homer and which found its fullest and last expression in the thought of Heraclitus. Plato’s framework was popularized by Christianity, which added egalitarian elements along with the virtue of pity. The maturation of Western metaphysics occurs during modernity’s scientific and political revolutions, wherein the effects of its inconsistencies, malfunctions, and mal-development become acute. At this point, according to Nietzsche, “the highest values devalue themselves,” as modernity’s striving for honesty, probity, and courage in the search for truth, those all-important virtues inhabiting the core of scientific progress, strike a fatal blow against the foundational idea of absolutes. Values most responsible for the scientific revolution, however, are also crucial to the metaphysical system that modern science is destroying. Such values are threatening, then, to bring about the destruction of their own foundations. Thus, the highest values are devaluing themselves at the core. Most importantly, the values of honesty, probity, and courage in the search for truth no longer seem compatible with the guarantee, the bestowal, and the bestowing agent of an absolute value. Even the truth of “truth” now falls prey to the workings of nihilism, given that Western metaphysics now appears groundless in this logic.

For some commentators, this line of interpretation leaves Nietzsche’s revaluation of values lost in contradiction. What philosophical ground, after all, could support revaluation if this interpretation were accurate? For this reason, readers such as Clark work to establish a coherent theory of truth in Nietzsche’s philosophy, which can apparently be done by emphasizing various parts of the corpus to the exclusion of others. If, indeed, a workable epistemology may be derived from reading specific passages, and good reasons can be given for prioritizing those passages, then consistent grounds may exist for Nietzsche having leveled a critique of morality. Such readings, however, seem incompatible with Nietzsche’s encounter with historical nihilism, unless nihilism is taken to represent merely a temporary stage in the refinement of Western humanity’s acquisition of knowledge.

With the stronger claim, however, Nietzsche’s critique of the modern situation implies that the “highest values [necessarily] devalue themselves.” Western metaphysics brings about its own disintegration, in working out the implications of its inner logic. Nietzsche’s name for this great and terrible event, capturing popular imagination with horror and disgust, is the “death of God.” Nietzsche acknowledges that a widespread understanding of this event, the “great noon” at which all “shadows of God” will be washed out, is still to come. In Nietzsche’s day, the God of the old metaphysics is still worshiped, of course, and would be worshiped, he predicted, for years to come. But, Nietzsche insisted, in an intellectual climate that demands honesty in the search for truth and proof as a condition for belief, the absence of foundations has already been laid bare. The dawn of a new day had broken, and shadows now cast, though long, were receding by the minute.

(ii) The second part of the answer to the question concerning nihilism states that “the aim is lacking.” What does this mean? In Beyond Good and Evil Nietzsche claims that the logic of an existence lacking inherent meaning demands, from an organizational standpoint, a value-creating response, however weak this response might initially be in comparison to how its values are then taken when enforced by social institutions (aphorisms 20-23).  Surveys of various cultures show that humanity’s most indispensable creation, the affirmation of meaning and purpose, lies at the heart of all fundamental values. Nihilism stands not only for that apparently inevitable process by which the highest values devalue themselves. It also stands for that moment of recognition in which human existence appears, ultimately, to be in vain. Nietzsche’s surveys of cultures and their values, his cultural anthropologies, are typically reductive in the extreme, attempting to reach the most important sociopolitical questions as neatly and quickly as possible. Thus, when examining so-called Jewish, Oriental, Roman, or Medieval European cultures Nietzsche asks, “how was meaning and purpose proffered and secured here? How, and for how long, did the values here serve the living? What form of redemption was sought here, and was this form indicative of a healthy life? What may one learn about the creation of values by surveying such cultures?” This version of nihilism then means that absolute aims are lacking and that cultures naturally attempt to compensate for this absence with the creation of goals.

(iii) The third part of the answer to the question concerning nihilism states that “‘why?’ finds no answer.” Who is posing the question here? Emphasis is laid on the one who faces the problem of nihilism. The problem of value-positing concerns the one who posits values, and this one must be examined, along with a corresponding evaluation of relative strengths and weaknesses. When, indeed, “why?” finds no answer, nihilism is complete. The danger here is that the value-positing agent might become paralyzed, leaving the call of life’s most dreadful question unanswered. In regards to this danger, Nietzsche’s most important cultural anthropologies examined the Greeks from Homer to the age of tragedy and the “pre-Platonic” philosophers. Here was evidence, Nietzsche believed, that humanity could face the dreadful truth of existence without becoming paralyzed. At every turn, the moment in which the Greek world’s highest values devalued themselves, when an absolute aim was shown to be lacking, the question “why?” nevertheless called forth an answer. The strength of Greek culture is evident in the gods, the tragic art, and the philosophical concepts and personalities created by the Greeks themselves. Comparing the creativity of the Greeks to the intellectual work of modernity, the tragic, affirmative thought of Heraclitus to the pessimism of Schopenhauer, Nietzsche highlights a number of qualitative differences. Both types are marked by the appearance of nihilism, having been drawn into the inevitable logic of value-positing and what it would seem to indicate. The Greek type nevertheless demonstrates the characteristics of strength by activating and re-intensifying the capacity to create, by overcoming paralysis, by willing a new truth, and by affirming the will. The other type displays a pessimism of weakness, passivity, and weariness—traits typified by Schopenhauer’s life-denying ethics of the will turning against itself. In Nietzsche’s 1888 retrospection on the Birth of Tragedy in Ecce Homo, we read that “Hellenism and Pessimism” would have made a more precise title for the first work, because Nietzsche claims to have attempted to demonstrate how

the Greeks got rid of pessimism—with what they overcame it….Precisely tragedy is the proof that the Greeks were no pessimists: Schopenhauer  blundered in this as he blundered in everything (“The Birth of Tragedy” in Ecce Homo section 1).

From Twilight of the Idols, also penned during that sublime year of 1888, Nietzsche writes that tragedy “has to be considered the decisive repudiation” of pessimism as Schopenhauer understood it:

affirmation of life, even in its strangest and sternest problems, the will to life rejoicing in its own inexhaustibility through the sacrifice of its highest types—that is what I called Dionysian….beyond [Aristotelian] pity and terror, to realize in oneself the eternal joy of becoming—that joy which also encompasses joy in destruction (“What I Owe the Ancients” 5).

Nietzsche concludes the above passage by claiming to be the “last disciple of the philosopher Dionysus” (which by this time in Nietzsche’s thought came to encompass the whole of that movement which formerly distinguished between Apollo and Dionysus). Simultaneously, Nietzsche declares himself, with great emphasis, to be the “teacher of the eternal recurrence.”

The work to overcome pessimism is tragic in a two-fold sense: it maintains a feeling for the absence of ground, while responding to this absence with the creation of something meaningful. This work is also unmodern, according to Nietzsche, since modernity either has yet to ask the question “why?,” in any profound sense or, in those cases where the question has been posed, it has yet to come up with a response. Hence, a pessimism of weakness and an incomplete form of nihilism prevail in the modern epoch. Redemption in this life is denied, while an uncompleted form of nihilism remains the fundamental condition of humanity. Although the logic of nihilism seems inevitable, given the absence of absolute purpose and meaning, “actively” confronting nihilism and completing our historical encounter with it will be a sign of good health and the “increased power of the spirit” (Will to Power aphorism 22). Thus far, however, modernity’s attempts to “escape nihilism” (in turning away) have only served to “make the problem more acute” (aphorism 28). Why, then, this failure? What does modernity lack?

5. The Human Exemplar

How and why do nihilism and the pessimism of weakness prevail in modernity? Again, from the notebook of 1887 (Will to Power, aphorism 27), we find two conditions for this situation:

1. the higher species is lacking, i.e., those whose inexhaustible fertility and power keep up the faith in man….[and] 2. the lower species (‘herd,’ ‘mass,’ ‘society,’) unlearns modesty and blows up its needs into cosmic and metaphysical values. In this way the whole of existence is vulgarized: insofar as the mass is dominant it bullies the exceptions, so they lose their faith in themselves and become nihilists.

With the fulfillment of “European nihilism” (which is no doubt, for Nietzsche, endemic throughout the Western world and anyplace touched by “modernity”), and the death of otherworldly hopes for redemption, Nietzsche imagines two possible responses:  the easy response, the way of the “herd” and “the last man,” or the difficult response, the way of the “exception,” and the Übermensch.

Ancillary to any discussion of the exception, per se, the compatibility of the Übermensch concept with other movements in Nietzsche’s thought, and even the significance that Nietzsche himself placed upon it, has been the subject of intense debate among Nietzsche scholars. The term’s appearance in Nietzsche’s corpus is limited primarily to Thus Spoke Zarathustra and works directly related to this text. Even here, moreover, the Übermensch is only briefly and very early announced in the narrative, albeit with a tremendous amount of fanfare, before fading from explicit consideration. In addition to these problems, there are debates concerning the basic nature of the Übermensch itself, whether “Über-” refers to a transitional movement or a transmogrified state of being, and whether Nietzsche envisioned the possibility of a community of Übermenschen, as opposed to a solitary figure among lesser types. So, what should be made of Nietzsche’s so-called “overman” (or even “superman”) called upon to arrive after the “death of God”?

Whatever else may be said about the Übermensch, Nietzsche clearly had in mind an exemplary figure and an exception among humans, one “whose inexhaustible fertility and power keep up the faith in man.” For some commentators, Nietzsche’s distinction between overman and the last man has political ramifications. The hope for an overman figure to appear would seem to be permissible for one individual, many, or even a social ideal, depending on the culture within which it appears. Modernity, in Nietzsche’s view, is in such a state of decadence that it would be fortunate, indeed, to see the emergence of even one such type, given that modern sociopolitical arrangements are more conducive to creating the egalitarian “last man” who “blinks” at expectations for rank, self-overcoming, and striving for greatness. The last men are “ the most harmful to the species because they preserve their existence as much at the expense of the truth as at the expense of the future” (“Why I am a Destiny” in Ecce Homo 1). Although Nietzsche never lays out a precise political program from these ideas, it is at least clear that theoretical justifications for complacency or passivity are antithetical to his philosophy. What, then, may be said about Nietzsche as political thinker?   Nietzsche’s political sympathies are definitely not democratic in any ordinary way of thinking about that sort of arrangement. Nor are they socialist or  Marxist.

Nietzsche’s political sympathies have been called “aristocratic,” which is accurate enough only if one does not confuse the term with European royalty, landed gentry, old money or the like and if one keeps in mind the original Greek meaning of the term, “aristos,” which meant “the good man, the man with power.” A certain ambiguity exists, for Nietzsche, in the term “good man.” On the one hand, the modern, egalitarian “good man,” the “last man,” expresses hostility for those types willing to impose measures of rank and who would dare to want greatness and to strive for it. Such hostilities are born out of ressentiment and inherited from Judeo-Christian moral value systems. (Beyond Good and Evil 257-260 and On the Genealogy of Morals essay 1). “Good” in this sense is opposed to “evil,” and the “good man” is the one whose values support the “herd” and whose condemnations are directed at those whose thoughts and actions might disrupt the complacent normalcy of modern life. On the other hand, the kind of “good man” who might overcome the weak pessimism of “herd morality,” the man of strength, a man to confront nihilism, and thus a true benefactor to humanity, would be decidedly “unmodern” and “out of season.” Only such a figure would “keep up the faith in man.” For these reasons, some commentators have found in Nietzsche an existentialist program for the heroic individual dissociated in varying degrees from political considerations. Such readings however ignore or discount Nietzsche’s interest in historical processes and the unavoidable inference that although Nietzsche’s anti-egalitarianism might lead to questionably “unmodern” political conclusions, hierarchy nevertheless implies association.

The distinction between the good man of active power and the other type also points to ambiguity in the concept of freedom. For the hopeless, human freedom is conceived negatively in the “freedom from” restraints, from higher expectations, measures of rank, and the striving for greatness. While the higher type, on the other hand, understands freedom positively in the “freedom for” achievement, for revaluations of values, overcoming nihilism, and self-mastery.

Nietzsche frequently points to such exceptions as they have appeared throughout history—Napoleon is one of his favorite examples. In modernity, the emergence of such figures seems possible only as an isolated event, as a flash of lightening from the dark cloud of humanity. Was there ever a culture, in contrast to modernity, which saw these sorts of higher types emerge in congress as a matter of expectation and design? Nietzsche’s early philological studies on the Greeks, such as Philosophy in the Tragic Age of the Greeks, The Pre-Platonic Philosophers, “Homer on Competition,” and “The Greek State,” concur that, indeed, the ancient world before Plato produced many exemplary human beings, coming forth independently of each other but “hewn from the same stone,” made possible by the fertile cultural milieu, the social expectation of greatness, and opportunities to prove individual merit in various competitive arenas. Indeed, Greek athletic contests, festivals of music and tragedy, and political life reflected, in Nietzsche’s view, a general appreciation for competition, rank, ingenuity, and the dynamic variation of formal structures of all sorts. Such institutions thereby promoted the elevation of human exemplars. Again, the point must be stressed here that the historical accuracy of Nietzsche’s interpretation of the Greeks is no more relevant to his philosophical schemata than, for example, the actual signing of a material document is to a contractarian political theory. What is important for Nietzsche, throughout his career, is the quick evaluation of social order and heirarchies, made possible for the first time in the nineteenth century by the newly developed “historical sense” (BGE 224) through which Nietzsche draws sweeping conclusions regarding, for example, the characteristics of various moral and religious epochs (BGE 32 and 55), which are themselves pre-conditioned by the material origins of consciousness, from which a pre-human animal acquires the capacity (even the “right”) to make promises and develops into the “sovereign individual” who then bears responsibility for his or her actions and thoughts (GM II.2).

Like these rather ambitious conclusions, Nietzsche’s valorization of the Greeks is partly derived from empirical evidence and partly confected in myth, a methodological concoction that Nietzsche draws from his philological training. If the Greeks, as a different interpretation would have them, bear little resemblance to Nietzsche’s reading, such a difference would have little relevance to Nietzsche’s fundamental thoughts. Later Nietzsche is also clear that his descriptions of the Greeks should not be taken programmatically as a political vision for the future (see for example GS 340).

The “Greeks” are one of Nietzsche’s best exemplars of hope against a meaningless existence, hence his emphasis on the Greek world’s response to the “wisdom of Silenus” in Birth of Tragedy. (ch. 5). If the sovereign individual represents history’s “ripest fruit”, the most recent millennia have created, through rituals of revenge and punishment, a “bad conscience.” The human animal thereby internalizes material forces into feelings of guilt and duty, while externalizing a spirit thus created with hostility towards existence itself (GM II.21). Compared to this typically Christian manner of forming human experiences, the Greeks deified “the animal in man” and thereby kept “bad conscience at bay” (GM II.23).

In addition to exemplifying the Greeks in the early works, Nietzsche lionizes the “artist-genius” and the “sage;” during the middle period he writes confidently, at first, and then longingly about the “scientist,” the “philosopher of the future,” and the “free spirit;” Zarathustra’s decidedly sententious oratory heralds the coming of the Übermensch; the periods in which “revaluation” comes to the fore finds value in the destructive influences of the “madman,” the “immoralist,” the “buffoon,” and even the “criminal.” Finally, Nietzsche’s last works reflect upon his own image, as the “breaker of human history into two,” upon “Mr. Nietzsche,” the “anti-Christian,” the self-anointed clever writer of great books, the creator of Zarathustra, the embodiment of human destiny and humanity’s greatest benefactor: “only after me,” Nietzsche claims in Ecce Homo, “is it possible to hope again” (“Why I am a Destiny” 1). It should be cautioned that important differences exist in the way Nietzsche conceives of each of these various figures, differences that reflect the development of Nietzsche’s philosophical work throughout the periods of his life. For this reason, none of these exemplars should be confused for the others. The bombastic “Mr. Nietzsche” of Ecce Homo is no more the “Übermensch” of Thus Spoke Zarathustra, for example, than the “Zarathustra” character is a “pre-Platonic philosopher” or the alienated, cool, sober, and contemptuous “scientist” is a “tragic artist,” although these figures will frequently share characteristics. Yet, a survey of these exceptions shows that Nietzsche’s philosophy, in his own estimation, needs the apotheosis of a human exemplar, perhaps to keep the search for meaning and redemption from abdicating the earth in metaphysical retreat, perhaps to avert the exhaustion of human creativity, to reawaken the instincts, to inspire the striving for greatness, to remind us that “this has happened once and is therefore a possibility,” or perhaps simply to bestow the “honey offering” of a very useful piece of folly. This need explains the meaning of the parodic fourth book of Zarathustra, which opens with the title character reflecting on the whole of his teachings: “I am he…who once bade himself, and not in vain: ‘Become what you are!’” The subtitle of Nietzsche’s autobiographical Ecce Homo, “How One Becomes What One Is,” strikes a similar chord.

6. Will to Power

The exemplar expresses hope not granted from metaphysical illusions. After sharpening the critique of art and genius during the positivistic period, Nietzsche seems more cautious about heaping praise upon specific historical figures and types, but even when he could no longer find an ideal exception, he nevertheless deemed it requisite to fabricate one in myth. Whereas exceptional humans of the past belong to an exalted “republic of genius,” those of the future, those belonging to human destiny, embody humanity’s highest hopes. As a result of this development, some commentators will emphasize the “philosophy of the future” as one of Nietzsche’s most important ideas. Work pursued in service of the future constitutes for Nietzsche an earthly form of redemption. Yet, exemplars of type, whether in the form of isolated individuals like Napoleon, or of whole cultures like the Greeks, are not caught up in petty historical politics or similar mundane endeavors. According to Nietzsche in Twilight of the Idols, their regenerative powers are necessary for the work of interpreting the meaning and sequence of historical facts.

My Conception of the genius—Great men, like great epochs, are explosive material in whom tremendous energy has been accumulated; their prerequisite has always been, historically and psychologically, that a protracted assembling, accumulating, economizing and preserving has preceded them—that there has been no explosion for a long time. If the tension in the mass has grown too great the merest accidental stimulus suffices to call the “genius,” the “deed,” the great destiny, into the world. Of what account then are circumstances, the epoch, the Zeitgeist, public opinion!…Great human beings are necessary, the epoch in which they appear is accidental… (“Expeditions of an Untimely Man,” 44).

It is with this understanding of the “great man” that Nietzsche, in Ecce Homo, proclaims even himself a great man, “dynamite,”“breaking the history of humanity in two” (“Why I am a Destiny” 1 and 8). A human exemplar, interpreted affirmatively in service of a hopeful future, is a “great event” denoting qualitative differences amidst the play of historical determinations. Thus, it belongs, in this reading, to Nietzsche’s cosmological vision of an indifferent nature marked occasionally by the boundary-stones of noble and sometimes violent uprisings.

To what extent is Nietzsche entitled to such a vision? Unlike nihilism, pessimism, and the death of God, which are historically, scientifically, and sometimes logically derived, Nietzsche’s “yes-saying” concepts seem to be derived from intuition, although Nietzsche will frequently support even these great hopes with bits of inductive reasoning. Nietzsche attempts to describe the logical structure of great events, as if a critical understanding of them pertains to their recurrence in modernity: great men have a “historical and psychological prerequisite.” Historically, there must be a time of waiting and gathering energy, as we find, for example, in the opening scene of Zarathustra. The great man and the great deed belong to a human destiny, one that emerges in situations of crisis and severe want. Psychologically, they are the effects of human energy stored and kept dormant for long periods of time in dark clouds of indifference. Primal energy gathers to a point before a cataclysmic event, like a chemical reaction with an electrical charge, unleashes some decisive, episodic force on all humanity. From here, the logic unfolds categorically: all great events, having occurred, are possibilities. All possibilities become necessities, given an infinite amount of time. Perhaps understanding this logic marks a qualitative difference in the way existence is understood. Perhaps this qualitative difference will spark the revaluation of values. When a momentous event takes place, the exception bolts from the cloud of normalcy as a point of extreme difference. In such ways, using this difference as a reference, as a “boundary-stone” on the river of eternal becoming, the meaning of the past is once again determined and the course of the future is set for a while, at least until a coming epoch unleashes the next great transvaluative event. Conditions for the occurrence of such events, and for the event of grasping this logic itself, are conceptualized, cosmologically in this reading, under the appellation “will to power.”

Before developing this reading further, it should be noted some commentators argue that the cosmological interpretation of will to power makes too strong a claim and that the extent of will to power’s domain ought to be limited to what the idea might explain as a theory of moral psychology, as the principle of an anthropology regarding the natural history of morals, or as a response to evolutionary theories placed in the service of utility. Such commentators will maintain that Nietzsche either in no way intends to construct a new meta-theory, or if he does then such intentions are mistaken and in conflict with his more prescient insights. Indeed, much evidence exists to support each of these positions. As an enthusiastic reader of the French Moralists of the eighteenth century, Nietzsche held the view that all human actions are motivated by the desire “to increase the feeling of power” (GS 13). This view seems to make Nietzsche’s insights regarding moral psychology akin to psychological egoism and would thus make doubtful the popular notion that Nietzsche advocated something like an egoistic ethic. Nevertheless, with this bit of moral psychology, a debate exists among commentators concerning whether Nietzsche intends to make dubious morality per se or whether he merely endeavors to expose those life-denying ways of moralizing inherited from the beginning of Western thought. Nietzsche, at the very least, is not concerned with divining origins. He is interested, rather, in measuring the value of what is taken as true, if such a thing can be measured. For Nietzsche, a long, murky, and thereby misunderstood history has conditioned the human animal in response to physical, psychological, and social necessities (GM II) and in ways that have created additional needs, including primarily the need to believe in a purpose for its very existence (GS 1). This ultimate need may be uncritically engaged, as happens with the incomplete nihilism of those who wish to remain in the shadow of metaphysics and with the laisser aller of the last man who overcomes dogmatism by making humanity impotent (BGE 188). On the other hand, a critical engagement with history is attempted in Nietzsche’s genealogies, which may enlighten the historical consciousness with a sort of transparency regarding the drive for truth and its consequences for determining the human condition. In the more critical engagement, Nietzsche attempts to transform the need for truth and reconstitute the truth drive in ways that are already incredulous towards the dogmatizing tendency of philosophy and thus able to withstand the new suspicions (BGE 22 and 34). Thus, the philosophical exemplar of the future stands in contrast, once again, to the uncritical man of the nineteenth century whose hidden metaphysical principles of utility and comfort fail to complete the overcoming of nihilism (Ecce Homo, “Why I am a Destiny” 4). The question of whether Nietzsche’s transformation of physical and psychological need with a doctrine of the will to power, in making an affirmative principle out of one that has dissolved the highest principles hitherto, simply replaces one metaphysical doctrine with another, or even expresses completely all that has been implicit in metaphysics per se since its inception continues to draw the interest of Nietzsche commentators today. Perhaps the radicalization of will to power in this way amounts to no more than an account of this world to the exclusion of any other. At any rate, the exemplary type, the philosophy of the future, and will to power comprise aspects of Nietzsche’s affirmative thinking. When the egoist’s “I will” becomes transparent to itself a new beginning is thereby made possible. Nietzsche thus attempts to bring forward precisely that kind of affirmation which exists in and through its own essence, insofar as will to power as a principle of affirmation is made possible by its own destructive modalities which pulls back the curtain on metaphysical illusions and dogma founded on them.

The historical situation that conditions Nietzsche’s will to power involves not only the death of God and the reappearance of pessimism, but also the nineteenth century’s increased historical awareness, and with it the return of the ancient philosophical problem of emergence. How does the exceptional, for example, begin to take shape in the ordinary, or truth in untruth, reason in un-reason, social order and law in violence, a being in becoming? The variation and formal emergence of each of these states must, according to Nietzsche, be understood as a possibility only within a presumed sphere of associated events. One could thus also speak of the “emergence,” as part of this sphere, of a given form’s disintegration. Indeed, the new cosmology must account for such a fate. Most importantly, the new cosmology must grant meaning to this eternal recurrence of emergence and disintegration without, however, taking vengeance upon it. This is to say that in the teaching of such a worldview, the “innocence of becoming” must be restored.  The problem of emergence attracted Nietzsche’s interest in the earliest writings, but he apparently began to conceptualize it in published texts during the middle period, when his work freed itself from the early period’s “metaphysics of aesthetics.” The opening passage from 1878’s Human, All Too Human gives some indication of how Nietzsche’s thinking on this ancient problem begins to take shape:

Chemistry of concepts and feelings. In almost all respects, philosophical problems today are again formulated as they were two thousand years ago: how can something arise from its opposite….? Until now, metaphysical philosophy has overcome this difficulty by denying the origin of the one from the other, and by assuming for the more highly valued things some miraculous origin…. Historical philosophy, on the other hand, the very youngest of all philosophical methods, which can no longer be even conceived of as separate from the natural sciences, has determined in isolated cases (and will probably conclude in all of them) that they are not opposites, only exaggerated to be so by the metaphysical view….As historical philosophy explains it, there exists, strictly considered, neither a selfless act nor a completely disinterested observation: both are merely sublimations. In them the basic element appears to be virtually dispersed and proves to be present only to the most careful observer. (Human, All Too Human, 1)

It is telling that Human begins by alluding to the problem of “emergence” as it is brought to light again by the “historical philosophical method.” A decidedly un-scientific “metaphysical view,” by comparison, looks rather for miraculous origins in support of the highest values. Next, in an unexpected move, Nietzsche relates the general problem of emergence to two specific issues, one concerning morals (“selfless acts”) and the other, knowledge—which is taken to include judgment (“disinterested observations”): “in them the basic element appears to be virtually dispersed” and discernable “only to the most careful observer.”

The logical structure of emergence, here, appears to have been borrowed from Hegel and, to be sure, one could point to many Hegelian traces in Nietzsche’s thought. But previously in 1874’s “On the Uses and Disadvantages of History for Life,” from Untimely Meditations, Nietzsche had steadfastly refuted the dialectical logic of a “world historical process,” the Absolute Idea, and cunning reason. What, then, is “the basic element”, dispersed in morals and knowledge? How is it dispersed so that only the careful observer can detect it? The most decisive moment in Nietzsche’s development of a cosmology seems to have occurred when Nietzsche plumbed the surface of his early studies on the pathos and social construction of truth to discover a more prevalent feeling, one animating all socially relevant acts. In Book One of the The Gay Science (certainly one of the greatest works in whole corpus) Nietzsche, in the role of “careful observer,” identifies, with a bit of moral psychology, the one motive spurring all such acts:

On the doctrine of the feeling of power. Benefiting and hurting others are ways of exercising one’s power upon others: that is all one desires in such cases…. Whether benefiting or hurting others involves sacrifices for us does not affect the ultimate value of our actions. Even if we offer our lives, as martyrs do for their church, this is a sacrifice that is offered for our desire for power or for the purpose of preserving our feeling of power. Those who feel “I possess Truth”—how many possessions would they not abandon in order to save this feeling!…Certainly the state in which we hurt others is rarely as agreeable, in an unadulterated way, as that in which we benefit others; it is a sign that we are still lacking power, or it shows a sense of frustration in the face of this poverty….(aphorism 13).

The “ultimate value” of our actions, even concerning those intended to pursue or preserve “truth,” are not measured by the goodness we bring others, notwithstanding the fact that intentionally harmful acts will be indicative of a desperate want of power. Nietzsche, here, asserts the significance of enhancing the feeling of power, and with this aphorism from 1882 we are on the way to seeing how “the feeling of power” will replace, for Nietzsche, otherworldly measures of value, as we read in finalized form in the second aphorism of 1888’s The Anti-Christ:

What is good?—All that heightens the feeling of power, the will to power, power itself in man. What is bad?—All that proceeds from weakness.  What is happiness?—The feeling that power increases—that a resistance is overcome.

No otherworldly measures exist, for Nietzsche. Yet, one should not conclude from this absence of a transcendental measure that all expressions of power are qualitatively the same. Certainly, the possession of a Machiavellian virtù will find many natural advantages in this world, but Nietzsche locates the most important aspect of “overcoming resistance” in self-mastery and self-commanding. In Zarathustra’s chapter, “Of Self-Overcoming,” all living creatures are said to be obeying something, while “he who cannot obey himself will be commanded. That is the nature of living creatures.” It is important to note the disjunction: one may obey oneself or one may not. Either way, one will be commanded, but the difference is qualitative. Moreover, “commanding is more difficult than obeying” (BGE 188 repeats this theme). Hence, one will take the easier path, if unable to command, choosing instead to obey the directions of another. The exception, however, will command and obey the healthy and self-mastering demands of a willing self. But why, we might ask, are all living things beholden to such commanding and obeying? Where is the proof of necessity here? Zarathustra answers:

Listen to my teaching, you wisest men! Test in earnest whether I have crept into the heart of life itself and down to the roots of its heart! Where I found a living creature, there I found will to power; and even in the will of the servant, I found the will to be master (Z “Of the Self-Overcoming”).

Here, apparently, Nietzsche’s doctrine of the feeling of power has become more than an observation on the natural history and psychology of morals. The “teaching” reaches into the heart of life, and it says something absolute about obeying and commanding. But what is being obeyed, on the cosmological level, and what is being commanded? At this point, Zarathustra passes on a secret told to him by life itself: “behold [life says], I am that which must overcome itself again and again…And you too, enlightened man, are only a path and a footstep of my will: truly, my will to power walks with the feet of your will to truth.” We see here that a principle, will to power, is embodied by the human being’s will to truth, and we may imagine it taking other forms as well. Reflecting on this insight, for example, Zarathustra claims to have solved “the riddle of the hearts” of the creator of values: “you exert power with your values and doctrines of good and evil, you assessors of values….but a mightier power and a new overcoming grow from out of your values…” That mightier power growing in and through the embodiment and expression of human values is will to power.

It is important not to disassociate will to power, as a cosmology, from the human being’s drive to create values. To be sure, Nietzsche is still saying that the creation of values expresses a desire for power, and the first essay of 1887’s On the Genealogy of Morality returns to this simple formula. Here, Nietzsche appropriates a well-known element of Hegel’s Phenomenology, the structural movement of thought between basic types called “masters and slaves.” This appropriation has the affect of emphasizing the difference between Nietzsche’s own historical “genealogies” and that of Hegel’s “dialectic” (as is worked out in Deleuze’s study of Nietzsche). Master and slave moralities, the truths of which are confirmed independently by feelings that power has been increased, are expressions of the human being’s will to power in qualitatively different states of health. The former is a consequence of strength, cheerful optimism and naiveté, while the latter stems from impotency, pessimism, cunning and, most famously, ressentiment, the creative reaction of a “bad conscience” coming to form as it turns against itself in hatred. The venom of slave morality is thus directed outwardly in ressentiment and inwardly in bad conscience. Differing concepts of “good,” moreover, belong to master and slave value systems. Master morality complements its good with the designation, “bad,” understood to be associated with the one who is inferior, weak, and cowardly. For slave morality, on the other hand, the designation, “good” is itself the complement of “evil,” the primary understanding of value in this scheme, associated with the one possessing superior strength. Thus, the “good man” in the unalloyed form of “master morality” will be the “evil man,” the man against whom ressentiment is directed, in the purest form of “slave morality.” Nietzsche is careful to add, at least in Beyond Good and Evil, that all modern value systems are constituted by compounding, in varying degrees, these two basic elements. Only a “genealogical” study of how these modern systems came to form will uncover the qualitative strengths and weaknesses of any normative judgment.

The language and method of The Genealogy hearken back to The Gay Science’s “doctrine of the feeling of power.” But, as we have seen, in the period between 1882 and 1887, and from out of the psychological-historical description of morality, truth, and the feeling of power, Nietzsche has given agency to the willing as such that lives in and through the embrace of power, and he generalizes the willing agent in order to include “life” and “the world” and the principle therein by which entities emerge embodied. The ancient philosophical problem of emergence is resolved, in part, with the cosmology of a creative, self-grounding, self-generating, sustaining and enhancing will to power. Such willing, most importantly, commands, which at the same time is an obeying: difference emerges from out of indifference and overcomes it, at least for a while. Life, in this view, is essentially self-overcoming, a self-empowering power accomplishing more power to no other end. In a notebook entry from 1885, Will to Power’s aphorism 1067, Nietzsche’s cosmological intuitions take flight:

And do you know what “the world” is to me? Shall I show it to you in my mirror? This world: a monster of energy, without beginning, without end…as force throughout, as a play of forces and waves of forces…a sea of forces flowing and rushing together, eternally changing and eternally flooding back with tremendous years of recurrence…out of the play of contradictions back to the joy of concord, still blessing itself as that which must return eternally, as a becoming that knows no satiety, no disgust, no weariness; this my Dionysian world of the eternally self-creating, the eternally self-destroying, this mystery world of the two-fold voluptuous delight, my “beyond good and evil,” without goal, unless the joy of the circle is itself a goal….This world is the will to power—and nothing besides! And you yourselves are also this will to power—and nothing besides!

Nietzsche discovers, here, the words to articulate one of his most ambitious concepts. The will to power is now described in terms of eternal and world-encompassing creativity and destructiveness, thought over the expanse of “tremendous years” and in terms of “recurrence,” what Foucault has described as the “play of domination” (1971). In some respects Nietzsche has indeed rediscovered the temporal structure of Heraclitus’ child at play, arranging toys in fanciful constructions of what merely seems like everything great and noble, before tearing down this structure and building again on the precipice of a new mishap. To live in this manner, according to Nietzsche in The Gay Science, to affirm this kind of cosmology and its form of eternity, is to “live dangerously” and to “love fate” (amor fati).

In spite of the positivistic methodology of The Genealogy, beneath the surface of this natural history of morals, will to power pumps life into the heart of both master and slave conceptual frameworks. Moreover, will to power stands as a necessary condition for all value judgments. How, one might ask, are these cosmological intuitions derived? How is knowledge of both will to power and its eternally recurring play of creation and destruction grounded? If they are to be understood poetically, then the question “why?” is misplaced (Zarathustra, “Of Poets”). Logically, with respect to knowledge, Nietzsche insists that principles of perception and judgment evolve co-dependently with consciousness, in response to physical necessities. The self is organized and brought to stand within the body and by the stimuli received there. This means that all principles are transformations of stimuli and interpretations thereupon: truth is “a mobile army of metaphors” which the body forms before the mind begins to grasp. Let us beware, Nietzsche cautions, of saying that the world possesses any sort of order or coherence without these interpretations (GS 109), even to the extent that Nietzsche himself conceives will to power as the way of all things. If all principles are interpretive gestures, by the logic of Nietzsche’s new cosmology, the will to power must also be interpretive (BGE 22). One aspect of the absence of absolute order is that interpretive gestures are necessarily called-forth for the establishment of meaning. A critical requirement of this interpretive gesture becoming transparent is that the new interpretation must knowingly affirm that all principles are grounded in interpretation. According to Nietzsche, such reflexivity does not discredit his cosmology: “so much the better,” since will to power, through Nietzsche’s articulation, emerges as the thought that now dances playfully and lingers for a while in the midst of what Vattimo might call a “weakened” (and weakening) “ontology” of indifference. The human being is thereby “an experimental animal” (GM II). Its truths have the seductive power of the feminine (BGE 1); while Nietzsche’s grandest visions are oriented by the “experimental” or “tempter” god, the one later Nietzsche comes to identify with the name Dionysus (BGE 295).

The philosopher of the future will posses a level of critical awareness hitherto unimagined, given that his interpretive gestures will be recognized as such. Yet, a flourishing life will still demand, one might imagine, being able to suspend, hide, or forget—at the right moments—the creation of values, especially the highest values. Perhaps the cartoonish, bombastic language of The Genealogy’s master and slave morality, to point to an example, which was much more soberly discussed in the previous year’s Beyond Good and Evil, is employed esoterically by Nietzsche for the rhetorical effect of producing a grand and spectacular diversion, hiding the all-important creative gesture that brought forth the new cosmology as a supreme value: “This world is the will to power and nothing besides!—And you yourselves are also this will to power–and nothing besides!” With this teaching, Nietzsche leaves underdeveloped many obvious themes, such as how the world’s non-animate matter may (or may not) be involved with will to power or whether non-human life-forms take part fully and equally in the world’s movement of forces. To have a perspective, for Nietzsche, seems sufficient for participating in will to power, but does this mean that non-human animals, which certainly seem to have perspectives, and without question participate in the living of life, have the human being’s capacity (or any capacity for that matter) to command themselves? Or, do trees and other forms of vegetation? Apparently, they do not. Such problems involve, again, the question of freedom, which interests Nietzsche primarily in the positive form. Of more importance to Nietzsche is that which pertains solely to the human being’s marshalling of forces but, even here (or perhaps especially here), a hierarchy of differences may be discerned. Some human forms of participation in will to power are noble, others ignoble. But, concerning these sorts of activities, Nietzsche stresses in Beyond Good and Evil (aphorism 9) the difference between his own cosmology, which at times seems to re-establish the place of nobility in nature, and the “stoic” view, which asserts the oneness of humanity with divine nature:

“According to nature” you want to live? Oh you noble Stoics, what deceptive words these are! Imagine a being like nature, wasteful beyond measure, indifferent beyond measure, without purposes and consideration, without mercy and justice, fertile and desolate and uncertain at the same time; imagine indifference itself as a power—how could you live according to this indifference? Living—is that not precisely wanting to be other than this nature? Is not livingestimating, preferring, being unjust, being limited, wanting to be different? ….But this is an ancient, eternal story: what formerly happened with the Stoics still happens today, too, as soon as any philosophy begins to believe in itself. It always creates the world in its own image; it cannot do otherwise. Philosophy is this tyrannical drive itself; the most spiritual will to power, to the “creation of  the world,” to the causa prima.

Strauss claims that here Nietzsche is replacing “divine nature” and its egalitarian coherence with “noble nature” and its expression of hierarchies, the condition for which is difference, per se, emerging in nature from indifference (1983). Other commentators have suggested that Nietzsche, here, betrays all of philosophy, lacking any sense of decency with this daring expose—that what is left after the expression of such a forbidden truth is no recourse to meaning.

The most generalized form of the philosophical problem of emergence and disintegration, of the living, valuing, wanting to be different, willing power, is described here in terms of the difference-creating gesture embodied by the human being’s essential work, its “creation of the world” and first causes. Within nature, one might say, energy disperses and accumulates in various force-points: nature’s power to create these force-points is radically indifferent, and this indifference towards what has been created also characterizes its power. Periodically, something exceptional is thrust out from its opposite, given that radical indifference is indifferent even towards itself (if one could speak of ontological conditions in such a representative tone, which Nietzsche certainly does from time to time). Nature is disturbed, and the human being, having thus become aware of its own identity and of others, works towards preserving itself by tying things down with definitions; enhancing itself, occasionally, by loosening the fetters of old, worn-out forms; creating and destroying in such patterns, so as to make humanity and even nature appear to conform to some bit of tyranny. From within the logic of will to power, narrowly construed, human meaning is thus affirmed. “But to what end?” one might ask. To no end, Nietzsche would answer. Here, the more circumspect view could be taken, as is found in Twilight of the Idol’s “The Four Great Errors”: “One is a piece of fate, one belongs to the whole, one is in the whole, there exist nothing which could judge, measure, compare, condemn our being, for that would be to judge, measure, compare, condemn the whole….But nothing exists apart from the whole!” Nietzsche conceptualizes human fate, then, in his most extreme vision of will to power, as being fitted to a whole, “the world,” which is itself “nothing besides” a “monster of energy, without beginning, without end…eternally changing and eternally flooding back with tremendous years of recurrence.” In such manner, will to power expresses itself not only through the embodiment of humanity, its exemplars, and the constant revaluation of values, but also in time. Dasein, for Nietzsche, is suspended on the cross between these ontological movements—between an in/different playing of destruction/creation—and time. But, what temporal model yields the possibility for these expressions? How does Nietzsche’s experimental philosophy conceptualize time?

7. Eternal Recurrence

The world’s eternally self-creating, self-destroying play is conditioned by time. Yet, Nietzsche’s skepticism concerning what can be known of telos, indeed his refutation of an absolute telos independent of human fabrication, demands a view of time that differs from those that place willing, purposiveness, and efficient causes in the service of goals, sufficient reason, and causa prima. Another formulation of this problem might ask, “what is the history of willing, if not the demonstration of progress and/or decay?”

Nietzsche’s solution to the riddle of time, nevertheless, radicalizes the Christian concept of eternity, combining a bit of simple observation and sure reasoning with an intuition that produces curious, but innovative results. The solution takes shape as Nietzsche fills the temporal horizons of past and future with events whose denotations have no permanent tether. Will to power, the Heraclitean cosmic-child, plays-on without preference to outcomes. Within the two-fold limit of this horizon, disturbances emerge from their opposites, but one cannot evaluate them, absolutely, because judgment implicates participation in will to power, in the ebb and flow of events constituting time. The objective perspective is not possible, since the whole consumes all possibilities, giving form to and destroying all that has come to fulfillment. Whatever stands in this flux, does so in the midst of the whole, but only for a while. It disturbs the whole, but does so as part of the whole. As such, whatever stands is measured, on the one hand, by the context its emergence creates. On the other hand, whatever stands is immeasurable, by virtue of the whole, the logic of which would determine this moment to have occurred in the never-ending flux of creation and destruction. Even to say that particular events seem better or worse suited to the functionality of the whole, or to its stability, or its health, or that an event may be measured absolutely by its fitted-ness in some other way, presupposes a standpoint that Nietzsche’s cosmology will not allow. One is left only to describe material occurrences and to intuit the passing of time.

The second part of Nietzsche’s solution to the riddle of time reasons that the mere observation of an occurrence, whether thought to be a simple thing or a more complex event, is enough to demonstrate the occurrence’s possibility. If “something” has happened, then its happening, naturally, must have been possible. Each simple thing or complex event is linked, inextricably, to a near infinite number of others, also demonstrating the possibilities of their happenings. If all of these possibilities could be presented in such a way as to account for their relationships and probabilities, as for example on a marvelously complex set of dice, then it could be shown that each of these possibilities will necessarily occur, and re-occur, given that the game of dice continues a sufficient length of time.

Next, Nietzsche considers the nature of temporal limits and duration. He proposes that no beginning or end of time can be determined, absolutely, in thought. No matter what sort of temporal limits are set by the imagination, questions concerning what lies beyond these limits never demonstrably cease. The question, “what precedes or follows the imagined limits of past and future?” never contradicts our understanding of time, which is thus shown to be more culturally and historically determined than otherwise admitted.

Finally, rather than to imagine a past and future extended infinitely on a plane of sequential moments, or to imagine a time in which nothing happens or will happen, Nietzsche envisions connecting what lies beyond the imagination’s two temporal horizons, so that time is represented in the image of a circle, through which a colossal, but definitive number of possibilities are expressed. Time is infinite with this model, but filled by a finite number of material possibilities, recurring eternally in the never-ending play of the great cosmic game of chance.

What intuition led Nietzsche to interpret the cosmos as having no inherent meaning, as if it were playing itself out and repeating itself in eternally recurring cycles, in the endless creation and destruction of force-points without purpose? How does this curious temporal model relate to the living of life?  In his philosophical autobiography, Ecce Homo, Nietzsche grounds eternal recurrence in his own experiences by relating an anecdote regarding, supposedly, its first appearance to him in thought. One day, Nietzsche writes, while hiking around Lake Silvaplana near Sils Maria, he came upon a giant boulder, took out a piece of paper and scribbled, “6000 Fuss jenseits von Mensch und Zeit.” From here, Nietzsche goes on to articulate “the eternal recurrence of the same,” which he then characterizes as “a doctrine” or “a teaching” of the “highest form of affirmation that can possibly be attained.”

It is important to note that at the time of this discovery, Nietzsche was bringing his work on The Gay Science to a close and beginning to sketch out a plan for Zarathustra. The conceptualization of eternal recurrence emerges at the threshold of Nietzsche’s most acute positivistic inquiry and his most poetic creation. The transition between the two texts is made explicit when Nietzsche repeats the final aphorism of The Gay Science’s Book IV in the opening scene of Zarathustra’s prelude. The repetition of this scene will prove to be no coincidence, given the importance Nietzsche places upon the theme of recurrence in Zarathustra’s climactic chapters. Moreover, in the penultimate aphorism of The Gay Science, as a sort of introduction to that text’s Zarathustra scene (which itself would seem quite odd apart from the later work), Nietzsche first lays out Zarathustra’s central teaching, the idea of eternal recurrence.

The greatest weight.—What, if some day or night a demon were to steal after you into your loneliest loneliness and say to you: “This life as you now live it and have lived it, you will have to live once more and innumerable times more; and there will be nothing new in it, but every pain and every joy and every thought and sigh and everything unutterably small or great in your life will have to return to you, all in the same succession and sequence—even this spider and this moonlight between the trees, and even this moment and I myself. The eternal hourglass of existence is turned upside down again and again, and you with it, speck of dust!” (GS 341).

“What if,” wonders Nietzsche, the thought took hold of us? Here, the conceptualization of eternal recurrence, thus, coincides with questions regarding its impact: “how well disposed would you have to become to yourself and to life to crave nothing more fervently than this ultimate eternal confirmation and seal?”

How would the logic of this new temporal model alter our experiences of factual life? Would such a thought diminish the willfulness of those who grasp it? Would it diminish our willingness to make normative decisions? Would willing cease under the pessimistic suspicion that the course for everything has already been determined, that all intentions are “in vain”? What would we lose by accepting the doctrine of this teaching? What would we gain? It seems strange that Nietzsche would place so much dramatic emphasis on this temporal form of determinism. If all of our worldly strivings and cravings were revealed, in the logic of eternal recurrence, to be no more than illusions, if every contingent fact of creation and destruction were understood to have merely repeated itself without end, if everything that happens, as it happens, both re-inscribes and anticipates its own eternal recurrence, what would be the affect on our dispositions, on our capacities to strive and create? Would we be crushed by this eternal comedy? Or, could we somehow find it liberating?

Even though Nietzsche has envisioned a temporal model of existence seemingly depriving us of the freedom to act in unique ways, we should not fail to catch sight of the qualitative differences the doctrine nevertheless leaves open for the living. The logic of eternity determines every contingent fact in each cycle of recurrence. That is, each recurrence is quantitatively the same. The quality of that recurrence, however, seems to remain an open question. What if the thought took hold of us? If we indeed understood ourselves to be bound by fate and thus having no freedom from the eternal logic of things, could we yet summon love for that fate, to embrace a kind of freedom for becoming that person we are? This is the strange confluence of possibility and necessity that Nietzsche announces in the beginning of Gay Science’s Book IV, with the concept of Amor fati: “I want to learn more and more to see as beautiful what is necessary in things; then I shall be one of those who make things beautiful. Amor fati: let that be my love henceforth!”

Responses to this “doctrine” have been varied. Even some of the most enthusiastic Nietzsche commentators have, like Kaufmann, deemed it unworthy of serious reflection. Nietzsche, however, appears to stress its significance in Twilight of the Idols and Ecce Homo by emphasizing Zarathustra’s importance in the “history of humanity” and by dramatically staging in Thus Spoke Zarathustra the idea of eternal recurrence as the fundamental teaching of the main character. The presentation of this idea, however, leaves room for much doubt concerning the literal meaning of these claims, as does the paucity of direct references to the doctrine in other works intended for publication. In Nietzsche’s Nachlass, we discover attempts to work out rational proofs supporting the theory, but they seem to present no serious challenge to a linear conception of time. Among commentators taking the doctrine seriously, Löwith takes it as a supplement to Nietzsche’s historical nihilism, as a way of placing emphasis on the problem of meaning in history after the shadows of God have been dissolved. For Löwith’s Nietzsche, nihilism is more than an historical moment giving rise to a crisis of confidence or faith. Rather, nihilism is the essence of Nietzsche’s thought, and it poses the sorts of problems that lead Nietzsche into formulating eternal return as a way of restoring meaning in history. For Löwith, then, eternal return is inextricably linked to historical nihilism and offers both cosmological and anthropological grounds for accepting imperatives of self-overcoming. Yet, this grand attempt fails to restore meaning after the death of God, according to Löwith, because of eternal return’s logical contradictions.

8. Reception of Nietzsche’s Thought

The reception of Nietzsche’s work, on all levels of engagement, has been complicated by historical contingencies that are related only by accident to the thought itself. The first of these complications pertains to the editorial control gained by Elizabeth in the aftermath of her brother’s mental and physical collapse. Elisabeth’s overall impact on her brother’s reputation is generally thought to be very problematic. Her husband, Bernhard Förster, whom Friedrich detested, was a leader of the late nineteenth-century German anti-Semitic political movement, which Friedrich often ridiculed and unambiguously condemned, both in his published works and in private correspondences. On this issue, Yovel demonstrates persuasively, with a contextual analysis of letters, materials from the Nachlass, and published works, that Nietzsche developed an attitude of “anti-anti-Semitism” after overcoming the culture of prejudice that formed him in his youth (Yovel, 1998). In the mid-1880s, Förster and wife led a small group of colonists to Paraguay in hopes of establishing an idyllic, racially pure, German settlement. The colony foundered, Bernhard committed suicide, and Elisabeth returned home, just in time to find her brother’s health failing and his literary career ready to soar.

Upon her return, Elisabeth devised a way to keep alive the memory of both husband and brother, legally changing her last name to “Förster-Nietzsche,” a gesture indicative of designs to associate the philosopher with a political ideology he loathed. The stain of Elisabeth’s editorial imprint can be seen on the many ill-informed and haphazard interpretations of Nietzsche produced in the early part of the twentieth century, the unfortunate traces of which remain in some readings today. During the 1930s, in the midst of intense activity by National Socialist academic propagandists such as Alfred Bäumler, even typically insightful thinkers such as Emmanuel Levinas confused the public image of Nietzsche for the philosopher’s stated beliefs. Counter-efforts in the 1930s to refute such propaganda, and the popular misconceptions it was fomenting at the time, can be found both inside and outside Germany, in seminars, for example, led by Karl Jaspers and Karl Löwith, and in Georges Bataille’s essay “Nietzsche and the Fascists.” Of course, the ad hominem argument that “Nietzsche must be a Fascist philosopher because the Fascists venerated him as one of their own,” may be ignored. (No one should find Kant’s moral philosophy reprehensible, by comparison, simply on the grounds that Eichmann attempted to exploit it in a Jerusalem court). Apart from the fallacy, here, even the premise itself regarding Nietzsche and the Fascists is not entirely above reproach, since some Fascists were skeptical of the commensurability of Nietzsche’s thought with their political aims. The stronger claim that Nietzsche’s thought leads to National Socialism is even more problematic. Nevertheless, intellectual histories pursuing the question of how Nietzsche has been placed into the service of all sorts of political interests are an important part of Nietzsche scholarship.

Since the middle part of the last century, Nietzsche scholars have come to grips with the role played by Elisabeth and her associates in obscuring Nietzsche’s anti-Nationalistic, anti-Socialist, anti-German views, his pan-European advocacy of race mixing, as well as his hatred for anti-Semitism and its place in the late-nineteenth-century politics of exploitation. The work Elisabeth performed as her brother’s publicist, however, undoubtedly fulfilled all of her own fantasies: in the early 1930’s, decades after Friedrich’s death, the Nietzsche-Archiv was visited, ceremoniously, by Adolf Hitler, who was greeted and entertained by Elisabeth (in perhaps the most symbolic gesture of her association with the Nietzsche image) with a public reading of the work of her late husband, Bernhard, the anti-Semite. Hitler later attended Elisabeth’s funeral as Chancellor of Germany.

In a matter related to Elizabeth’s impact on the reception of her brother’s thought, the relevance of Nietzsche’s biography to his philosophical work has long been a point of contention among Nietzsche commentators. While an exhaustive survey of the way this key issue has been addressed in the scholarship would be difficult in this context, a few influential readings may be briefly mentioned. Among notable German readers, Heidegger and Fink dismiss the idea that Nietzsche’s thought can be elucidated with the details of his life, while Jaspers affirms the “exceptional” nature of Nietzsche’s life and identifies the exception as a key aspect of his philosophy. French readers such as Bataille, Deleuze, Klossowski, Foucault, and Derrida assert the relevance of various biographical details to specific movements within Nietzsche’s writings. In the United States, the influential reading of Walter Kaufman follows Heidegger, for the most part, in denying relevance, while his student, Alexander Nehamas, tends the other way, linking Nietzsche’s various literary styles to his “perspectivism” and ultimately to living, per se, as an self-interpretive gesture. However difficult it might be to see the philosophical relevance of various biographical curiosities, such as Nietzsche’s psychological development as a child without a living father, his fascination and then fallout with Wagner, his professional ostracism, his thwarted love life, the excruciating physical ailments that tormented him, and so on, it would also seem capricious and otherwise inconsistent with Nietzsche’s work to radically severe his thought from these and other biographical details, and persuasive interpretations have argued that such experiences, and Nietzsche’s well-considered views of them, are inseparable from the multiple trajectories of his intellectual work.

Attempts to isolate Nietzsche’s philosophy from the twists and turns of a frequently problematic life may be explained, in part, as a reaction to several early, and rather detrimental, popular-psychological studies attempting to explain the work in a reductive and decidedly un-philosophical manner. Such was the reading proffered, for example, by Lou Salomè, a woman with whom Nietzsche briefly had an unconventional and famously complex romantic relationship, and who later befriended Sigmund Freud among other leaders of European culture at the fin-de-siècle. Salomè’s Friedrich Nietzsche in His Works (1894) helped cast the image of Nietzsche as a lonely, miserable, self-immolating, recluse whose “external intellectual work…and inner life coalesce completely.” In some commentaries, this image prevails yet today, but its accuracy is also a matter of debate. Nietzsche had many casual associates and a few close friends while in school and as a professor in Basel. Even during the period of his most intense intellectual activity, after withdrawing from the professional world of the academy and, like Marx and others before him in the nineteenth century, taking up the wandering life of a “good European,” the many written correspondences between Nietzsche and life-long friends, along with what is known about the minor details of his daily habits, his days spent in the company of fellow lodgers and travelers, taking meals regularly (in spite of a very closely regulated diet), and similar anecdotes, all put forward a different image. No doubt the affair with Salomè and their mutual friend, the philosopher Paul Rée, left Nietzsche embittered towards the two of them, and it seems likely that this bitterness clouded Salomè’s interpretation of Nietzsche and his works. Elisabeth, who had always loathed Salomè for her immoderation and perceived influence over Friedrich, attempted to correct her rival’s account by writing her own biography of Friedrich, which was effusive in its praise but did little to advance the understanding of Nietzsche’s thought. Perhaps these kinds of problems, then, provide the best argument for resisting the lure to reduce interpretations of Nietzsche’s thought to gossipy biographical anecdotes and clumsy, amateurish speculation, even if the other extreme has also been excessive at times.

Another key issue in the reception of Nietzsche’s work involves determining its relationship to the thoughts of other philosophers and, indeed, to the philosophical tradition itself. On both levels of this complex issue, the work of Martin Heidegger looms paramount. Heidegger began working closely with Nietzsche’s thought in the 1930s, a time rife with political opportunism in Germany, even among scholars and intellectuals. In the midst of a struggle over the official Nazi interpretation of Nietzsche, Heidegger’s views began to coalesce, and after a series of lectures on Nietzsche’s thought in the late 1930’s and 1940, Heidegger produces in 1943 the seminal essay, “Nietzsche’s Word: “God is Dead””.  Nietzsche, for Heidegger, brought “the consummation of metaphysics” in the age of subject-centered reasoning, industrialization, technological power, and the “enframing” (Ge-stell) of humans and all other beings as a “standing reserve.” Combining Nietzsche’s self-described “inversion of Platonism” with the emphasis Nietzsche had undoubtedly placed upon the value-positing act and its relatedness to subjective or inter-subjective human perspectives, Heidegger dubbed Nietzsche “the last metaphysician” and tied him to the logic of a historical narrative highlighted by the appearances of Plato, Aristotle, Roman Antiquity, Christendom, Luther, Descartes, Leibniz, Schopenhauer, and others. The “one thought” common to each of these movements and thinkers, according to Heidegger, and the path Nietzsche thus thinks through to its “consummation,” is the “metaphysical” determination of being (Sein) as no more than something static and constantly present. Although Nietzsche appears to reject the concept of being as an “empty fiction” (claiming, in Twilight of the Idols, to concur with Heraclitus in this regard), Heidegger nevertheless reads in Nietzsche’s Platonic inversion the most insidious form of the metaphysics of presence, in which the destruction and re-establishment of value is taken to be the only possible occasion for philosophical labor whereby the very question of being is completely obliterated. Within this diminution of thought, the Nietzschean “Superman” emerges supremely powerful and triumphant, taking dominion over the earth and all of its beings, measured only by the mundane search for advantages in the ubiquitous struggle for preservation and enhancement.

As is typically the case with Heidegger’s interpretations of the history of philosophy, many aspects of this reading are truly remarkable—Heidegger’s scholarship, for example, his feel for what is important to Nietzsche, and his elaboration of Nietzsche’s work in a way that seems compatible with a narrative of the concealing and revealing destiny of being. However, the plausibility of this reading has come into question almost from the moment the full extent of it was made known in the 1950s and 60s. In Germany, for example, Eugen Fink concludes his 1960 study of Nietzsche by casting doubt upon Heidegger’s claim that Nietzsche’s thought can be reduced to a metaphysics:

Heidegger’s Nietzsche interpretation is essentially based upon  Heidegger’s summary and insight into the history of being and in particular on his interpretation of the metaphysics of modernity. Nevertheless, the question remains open whether Nietzsche does not already leave the metaphysical dimensions of any problems essentially and intentionally behind in his conception of the cosmos. There is a non-metaphysical originality in his cosmological philosophy of “play.” Even the early writings indicate the mysterious dimension of play….

Fink’s reluctance to take a stronger position against the reading of his renowned teacher seems rather coy, given that Fink’s study, throughout, has stressed the meaning and importance of “cosmological play” in Nietzsche’s work. Other commentators have much more explicitly challenged Heidegger’s grand narrative and specifically its place for Nietzsche in the Western tradition, concurring with Fink that Nietzsche’s conceptualization of play frees his thought from the tradition of metaphysics, or that Nietzsche, purposively or not, offered conflicting views of himself, eluding the kind of summary treatment presented by Heidegger and much less-gifted readers (who consider Nietzsche to be no more than a late-Romantic, a social-Darwinist, or the like). In this sort of commentary, Nietzsche’s work itself is at play in deconstructing the all-too-rigid kinds of explanations.

While such a reading has proven to be popular, partly because it seems to make room for various points of entry into Nietzsche’s thought, it has understandably stirred a backlash of sorts among less charitable commentators who find pragmatic or neo-Kantian strains in Nietzsche’s critique of metaphysics and who wish to separate Nietzsche’s level-headed philosophy from his poorly-developed musings. Notable works by Schacht, Clark, Conway, and Leiter fall into this category. In a loosely related movement, many commentators bring Nietzsche into dialogue with the tradition by concentrating on aspects of his work relevant to particular philosophical issues, such as the problem of truth, the development of a natural history of morals, a philosophical consideration of moral psychology, problems concerning subjectivity and logo-centrism, theories of language, and many others. Finally, much work continues to be done on Nietzsche in the history of ideas, regarding, for example, Nietzsche’s philology, his intellectual encounters with nineteenth-century science; the neo-Kantians; the pre-Socratics (or “pre-Platonics,” as he called them); the work of his friend, Paul Rée; their shared affinity for the wit and style of La Rochefoucauld; historical affinities and influences such as those pertaining to Hölderlin, Goethe, Emerson, and Lange, detailed studies of what Nietzsche was reading and when he was reading it, and a host of other themes. Works by Habermas, Porter, Gillespie, Brobjer, Ansell-Pearson, Conway, and Strong are notable for historicizing Nietzsche in a variety of contexts.

The Anglo-American reception of Nietzsche is typically suspicious of Heidegger’s influence and strongly disapproves of gestures linking the “New Nietzsche” found in late twentieth-century discussions of postmodernism and literary criticism to a supposed end of philosophy, although some American scholars will admit, with Gillespie, that “the core of this postmodern reading cannot simply be dismissed,” despite this reading’s excesses (1995, 177). Due to these suspicions, moreover, common Nietzschean themes such as historical nihilism, Dionysianism, tragedy, and play, as well as cosmological readings of will to power, and eternal recurrence are downplayed in Anglo-American treatments, in favor of bringing out more traditional sorts of philosophical problems such as truth and knowledge, values and morality, and human consciousness. Nietzsche reception in the United States has been determined by a unique set of circumstances, as portrayed by Schacht (1995) and others. A very early stage of that reception is stained by the Nazi-misappropriation of Nietzsche, which popular American audiences were prepared to accept uncritically due on the one hand to their initial impression of Nietzsche as an enemy of Christianity who ultimately went insane and on the other hand to their lack of familiarity with Nietzsche’s work. The next stage of Nietzsche reception in the U.S. benefited greatly from Walter Kaufmann’s landmark treatment in the 1950’s. Kaufmann’s Nietzsche was certainly no fascist. Rather, he was a secular humanist and a forerunner of the existentialist movement enjoying a measure of popularity (and acceptability) on college campuses in the United States during the 1950’s and 1960’s. Whereas European commentators such as Jaspers, Löwith, Bataille, and even Heidegger had been busy in the 1930’s “marshalling” Nietzsche (as Jaspers described it) against the National Socialists, in the U.S. it was left to Kaufmann and others in the 1950’s to successfully refute the image of Nietzsche as a Nazi-prototype. So successful was Kaufmann in this regard, that Anglo-American readers had difficulty seeing Nietzsche in any other light, and philosophers who found existentialism shallow regarded Nietzsche with the same disdain. This image of Nietzsche was corrected, somewhat, by Danto’s Nietzsche as Philosopher, which attempted to cast Nietzsche as a forerunner to analytic philosophy, although doubts about Nietzsche’s suitability for this role surely remain even today. To the extent that Danto succeeded in the 1970’s in reshaping philosophical discussions regarding Nietzsche, a new difficulty emerged, related generally to a tension in the world of Anglo-American philosophy between Analytic and Continental approaches to the discipline. In such a light, Schacht sees his work on Nietzsche as an attempt to bridge this institutional divide, as do other Anglo-American readers. The work of Rorty may certainly be characterized in this manner. Despite these attempts, tensions remain between Anglo-American readers who cultivate a neo-pragmatic version of Nietzsche and those who, by comparison, seem too comfortable accepting uncritically the problematic aspects of the Continental interpretation.

In most cases, interpretations of Nietzsche’s thought, and what is taken to be most significant about it, when not directed solely by external considerations, will be determined by the texts in Nietzsche’s corpus given priority and by a decision regarding Nietzsche’s overall coherence, as concerns any given issue, throughout the trajectory of his intellectual development.

9. References and Further Reading

a. Nietzsche’s Collected Works in German

  • Samtliche Werke: Kritische Studienausgabe, ed. Giorgio Colli and Mazzino Montinari, 15 vols (Berlin: de Gruyter, 1980).
    • This “critical student edition” of collected works, commonly referenced as the KSA, contains Nietzsche’s major writings and most of the well-known essays and aphorisms found in his journals. Specialists and readers seeking Nietzsche’s letters, his lectures at Basel, and other writings from his vast Nachlass, will need to supplement the KSA with two additional sources.
  • Kritische Gesamtausgabe: Briefwechsel, ed. Giorgio Colli and Mazzino Montinari, 24 vols. (Berlin: de Gruyter, 1975-84).
    • This edition offers a comprehensive collection of Nietzsche’s correspondences.
  • Kritische Gesamtausgabe: Werke, ed. Giorgio Colli and Mazzino Montinari, (Berlin: de Gruyter, 1967-).
    • The project of publishing a “complete edition” of Nietzsche’s writings was started in 1967 by Colli and Montinari and has since enlisted the services of a number of other editors. At the present time, the project remains unfinished. The most important contribution of the KGW, as this edition is commonly referenced, is perhaps its publication of Nietzsche’s lectures from the University of Basel on topics such as pre-Platonic philosophy, the Platonic dialogues, and ancient rhetoric.

b. Nietzsche’s Major Works Available in English

Most of Nietzsche’s major works were published during his lifetime and are now available to English readers in competing translations. The following list is by no means exhaustive.

  • The Birth of Tragedy (Die Geburt der Tragödie,1872); published in English with The Case of Wagner (Der Fall Wagner, 1888), trans. Walter Kaufmann, (New York: Vintage, 1966).
    • These two texts are available separately in other editions
  • Untimely Meditations (Unzeitgemässe Betrachtungen, 1873-1876), trans. R.J. Hollingdale (Cambridge: Cambridge University Press, 1983).
    • The four essays of this work are available separately in other editions
  • Human, All Too Human (Menschliches, Allzumenschliches [vol. 1], 1878 and [vol. 2], 1879-1880), trans. R. J. Hollingdale (Cambridge: Cambridge University Press, 1986).
    • Volume one of this work and the two distinct parts of volume two, “Assorted Maxims and Aphorisms” and “The Wanderer and His Shadow,” are available separately in other editions.
  • Daybreak (Morgenröte, 1881), trans. R, J. Hollingdale (Cambridge: Cambridge University Press, 1996).
    • The later editions of this translation contain a helpful index.
  • The Gay Science (Die fröliche Wissenschaft, 1882; with important supplements to the second edition, 1887), trans. Walter Kaufman (New York: Vintage, 1974).
  • Thus Spoke Zarathustra (Also Sprach Zarathustra, bks I-II, 1883; bk III, 1884; bk IV [printed and distributed privately], 1885), trans. R. J. Hollingdale, (New York: Penguin, 1973).
  • Beyond Good and Evil (Jenseits von Gut und Böse, 1886), trans. Walter Kaufman (New York: Vintage, 1966).
  • On the Genealogy of Morality (Zur Genealogie der Moral, 1887), edited with important supplements from the Nachlass and other works by Keith Ansell-Pearson; trans. Carol Diethe (Cambridge: Cambridge University Press, 1995).
  • The Case of Wagner (Der Fall Wagner, 1888); published in English with The Birth of Tragedy (Die Geburt der Tragödie,1872), trans. Walter Kaufmann, (New York: Vintage, 1966)
  • Ecce Homo (Ecce Homo, 1888, first published 1908), trans. R. J. Hollingdale (New York: Penguin, 1992).
  • Nietzsche contra Wagner (Nietzsche contra Wagner, 1888, first published 1895), trans. Walter Kaufmann, in The Portable Nietzsche, ed. Walter Kaufmann (New York: Viking, 1954).
  • Twilight of the Idols (Götzen-Dämmerung, 1889); published in English with The Anti-Christ (Der Antichrist, 1888), trans. R. J. Hollingdale (New York: Penguin, 1968).

c. Important Works Available in English from Nietzsche’s Nachlass

Nietzsche’s Nachlass contains several developed essays and an overwhelming number of fragments, sketches of outlines, and aphorisms, some in thematically related successions. A number of these writings are available to English readers, and a few are accessible in a variety of editions, either as supplements to the major works or as part of assorted critical editions. The following list offers a sample of these writings.

  • “Homer on Competition” (“Homers Wettkampf,” 1872) and “The Greek State” (Der griechische Staat, 1872), included in On the Genealogy of Morality (Zur Genealogie der Moral, 1887), ed. Keith Ansell-Pearson; trans. Carol Diethe (Cambridge: Cambridge University Press, 1995).
  • “On Truth and Lies in a Nonmoral Sense” (“Über Wahrheit und Lüge im aussermoralischen Sinne,” 1873), collected in various editions, including Philosophy and Truth: Selections from Nietzsche’s Notebooks of the early 1870’s, ed. and trans. Daniel Breazeale (New Jersey: Humanities Press, 1979) and Friedrich Nietzsche on Rhetoric and Language, ed. and trans. Sander L. Gilman, Carole Blair, and David J. Parent (New York: Oxford University Press, 1989).
  • Philosophy in the Tragic Age of the Greeks (Die Philosophie im tragischen Zeitalter der Griechen, 1873), trans. Marianne Cowan (Washington, D. C.: Gateway Editions, 1962).
  • The Pre-Platonic Philosophers (Die vorplatonischen Philosophen, lectures during various semesters at Basel from 1869 to 1876; ed. by Fritz Bornmann and Mario Carpitella for the KGW, vol. II, part 4), ed. and trans. with an interpretive essay and appendix by Greg Whitlock (Urbana, IL: University of Illinois Press, 2001).
  • Unpublished Writings from the Period of Unfashionable Observations (vol. 11 of The Completed Works of Friedrich Nietzsche), based on the KGW, adapted by Ernst Behler; ed. Bernd Magnus; trans. Richard T. Gray (Stanford, CA: Stanford University Press, 1999).
  • The Will to Power (Der Wille zur Macht, writings from the Nachlass ed. and arranged by Elizabeth Förster-Nietzsche and Peter Gast and published in various forms after Nietzsche’s death), trans. Walter Kaufmann and R. J. Hollingdale (New York: Vintage, 1967).
  • Writings from the Late Notebooks (writings from the Nachlass), ed. Rüdigger Bittner; trans. Kate Sturge (Cambridge: Cambridge University Press, 2003).

d. Biographies

A firsthand and secondhand biographical narrative may be followed in the collected letters of Nietzsche and his associates:

  • Selected Letters of Friedrich Nietzsche, ed. Christopher Middleton (Indianapolis: Hackett, 1996)
  • Conversations with Nietzsche: A Life in the Words of His Contemporaries, ed. Sander L. Gilman, trans. David J. Parent (New York: Oxford University Press, 1987).

The following list includes a few of the most well known biographies in English.

  • Diethe, Carol. Nietzsche’s Sister and the Will to Power: A Biography of Elisabeth Förster-Nietzsche (Urbana: University of Illinois Press, 2003).
  • Hayman, Ronald. Nietzsche: A Critical Life (New York: Oxford University Press, 1980).
  • Hollingdale, R. J. Nietzsche, the Man and His Philosophy (Baton Rouge: Louisiana State University Press, 1965).
  • Pletsch, Carl. Young Nietzsche: Becoming a Genius (New York: The Free Press, 1991).
  • Safranski, Rüdiger. Nietzsche: Biographie Seines Denkens (Muenchen: Carl Hanser, 2000).
  • Nietzsche: A Philosophical Biography, trans. Shelley Frisch (New York: Norton, 2002).
  • Salomé, Lou. Nietzsche, ed. and trans. Siegfried Mandel (Redding Ridge, CT: Black Swan, 1988).

e. Commentaries and Scholarly Researches

Hollingdale once wrote that Nietzsche anticipated what would soon become “part of the consciousness of every thinking person” living in the twentieth century and, no doubt, beyond. During the last forty years, Nietzsche scholarship has generated a considerable amount of commentary and research, and some of the most important of these texts were produced by the twentieth century’s most significant thinkers. Even so, the work of elucidating Nietzsche’s thought seems unfinished. The following list is by no means comprehensive, nor does it purport to represent all of the major themes prevalent in Nietzsche scholarship today. It is designed for the reader seeking to learn more about the intellectual history of Nietzsche reception in the twentieth century.

  • Allison, David B. ed.,  The New Nietzsche: Contemporary Styles of Interpretation, (Cambridge, Mass.: MIT Press, 1985).
  • Allison, David B. Reading the New Nietzsche (Lanham, MD: Rowman and Littlefield, 2001).
  • Ansell-Pearson, Keith. An Introduction to Nietzsche as Political Thinker (Cambridge: Cambridge University Press, 1994).
  • Aschheim, Steven E. The Nietzsche Legacy in Germany: 1890-1990 (Berkeley: University of California Press, 1994).
  • Bambach, Charles R. Heidegger’s Roots: Nietzsche, National Socialism, and the Greeks (Ithaca: Cornell University Press, 2003).
    • This text delivers a scholarly, critical account of Heidegger’s intellectual encounter with Nietzsche against the politically charged backdrop of Germany in the 1930s.
  • Bataille, Georges. Sur Nietzsche (Paris, Gallimard, 1945), available in English under the title, On Nietzsche, trans. Bruce Boon (New York: Paragon House, 1992).
  • Bataille, Georges. “Nietzsche and the Fascists,” available in Visions of Excess: Selected Writings, 1927-1939 (which includes other essays devoted to Nietzsche), ed. Allan Stoekl, trans. Stoekl, et. al (Minneapolis: University of Minnesota Press, 1985).
  • Brobjer, Thomas. Nietzsche’s Philosophical Context: An Intellectual Biography (Urbana: University of Illinois Press, 2008).
    • Brobjer delivers invaluable resource for collating Nietzsche’s writings with the texts that he was himself reading.
  • Clark, Maudemarie. Nietzsche on Truth and Philosophy (Cambridge: Cambridge University Press, 1990).
    • This study is representative of the trend in American scholarship emphasizing those parts of Nietzsche’s thought apparently commensurate with pragmatic and neo-Kantian concerns. It is, perhaps, the best point of entry for readers hoping to gain such insight. For Clark, many of Nietzsche’s remarks on truth are simply confused, although he is redeemed as a philosopher by conclusions drawn in 1887 and thereafter.
  • Conway, Daniel W. Nietzsche’s Dangerous Game: Philosophy in the Twilight of the Idols (Cambridge: Cambridge University Press, 2002).
  • Conway, Daniel W. Nietzsche and the Political (London: Routledge, 1997).
  • Danto, Authur C. Nietzsche as Philosopher (New York: Columbia University Press, 1965).
    • According to Danto, a surprisingly rigorous analytic system of thought is embedded in Nietzsche’s writings, which for Danto are rather poorly executed from a philosophical perspective. In this reading, Nietzsche’s architectonic shortcomings are redeemed, even unconsciously, by the consistency of his polemics.
  • Deleuze, Gilles. Nietzsche et la philosophie, (Paris: Presses Universitaires de France, 1962), available in English under the title, Nietzsche and Philosophy, trans. Hugh Thomlinson (New York: Columbia University Press, 1983).
    • Deleuze’s seminal work delivers the classic statement on Nietzsche as a thinker of processes and relations of active and reactive forces. For Deleuze, Nietzsche is a post-Kantian thinker of historical consciousness and a genealogist refuting the dialectic rationalism of Hegel
  • Derrida, Jacques. Spurs: Nietzsche’s Styles (Èperons: Les Styles de Nietzsche), published with French and English facing pages, trans. Barbara Harlow (Chicago: The University of Chicago Press, 1979).
  • Derrida, Jacques . “Interpreting Signatures (Nietzsche/Heidegger): Two Questions,” trans. Diane P. Michelfelder and Richard E. Palmer in Dialogue and Deconstruction: The Gadamer-Derrida Encounter (Albany: State University of New York Press, 1989).
  • Fink, Eugen. Nietzsches Philosophie (Stuttgart: Kohlhammer, 1960); available in English under the title, Nietzsche’s Philosophy, trans. Goetz Richter (London: Continuum, 2003).
  • Foucault, Michel. “Nietzsche, la généalogie, l’historiè,” in Hommage à Jean Hyppolite (Paris: Presses Universitaires de France, 1971), available in English under the title, “Nietzsche, Genealogy, History,” trans. Donald F. Bouchard and Sherry Simon in The Foucault Reader, ed. Paul Rabinow (New York: Pantheon Books, 1984), 76-100.
    • According to Foucault, Nietzsche’s genealogies eschew the search for origins and teleology with the result of uncovering simply the “play of dominations” in history.
  • Gillespie, Michael Allen. Nihilism Before Nietzsche (Chicago: University of Chicago Press, 1995).
  • Gillespie, Michael Allen and Strong, Tracy B. ed. Nietzsche’s New Seas (Chicago: University of Chicago Press, 1988).
  • Golomb, Jacob and Robert S. Wistrich ed. Nietzsche, Godfather of Fascism? On the Uses and Abuse of a Philosophy (Princeton: Princeton University Press, 2002).
  • Habermas, Jürgen. Der philosophische Diskurs der Moderne (Frankfurt: Suhrkamp, 1985), available in English under the title, The Philosophical Discourse of Modernity, trans. Frederick Lawrence (Cambridge, MA: MIT Press, 1987).
    • These lectures offer a historical reading of Nietzsche’s decisive role in interrupting “the discourse of Modernity” and abandoning its emancipatory content. Habermas detects two dominant strains of post-Nietzschean philosophical rhetoric: a Dionysian messianism (transmitted through Heidegger and Derrida) which longs for the absent god and a fetishization of power, heterogeneity, and subversion (found in Bataille and Foucault).
  • Heidegger, Martin. “Nietzsches Wort‘Gott is tot,’” in Holzwege (Frankfurt: Vittorio Klostermann, 1952 [written in 1943]). The essay is available to English readers as “Nietzsche’s Word: God is dead” in The Question Concerning Technology and other essays, trans. William Lovitt; co-edited J. Glenn Gray and Joan Stambaugh (New York: Harper, 1977).
    • This essay is Heidegger’s first published and most concise treatment of Nietzsche.
    • Heidegger’s preparation for this essay includes several lecture courses devoted entirely to Nietzsche’s philosophy, taught at the University of Freiburg from 1936 to 1940.
    • The published form of these lectures first appeared during 1961 in two volumes.
  • Heidegger, Martin. Nietzsche I-II (Pfulligen: Neske, 1961).
    • Beginning in 1979, Heidegger’s Nietzsche lectures at Freiberg became available to English readers in piecemeal fashion, along with other materials in a somewhat confusing manner, in a two edition, four-volume, set.
  • Heidegger, Martin . Nietzsche, vol. I-IV, trans. David Farrell Krell, (San Francisco: Harper, 1979ff).
    • The philosophy of Nietzsche plays a prominent role in several other works by Heidegger.
  • Heidegger, Martin.  “Platons Lehre von der Wahrheit,”(written in 1930, revised in 1940), published in Wegmarken (Frankfurt am Main: Klostermann, 1967); available in English under the title, “Plato’s Doctrine of Truth,” in Pathmarks, ed. William McNeill (Cambridge: Cambridge University Press, 1998).
  • Heidegger, Martin. “Was Heisst Denken?” (Tübingen: Niemeyer, 1954); available in English under the title, “What is Called Thinking?,” trans. J. Glenn Gray and Fred Wieck (San Francisco: Harper, 1968).
  • Heidegger, Martin. “Wer ist Nietzsches Zarathustra?” in Vorträge und Aufsätze (Stuttgart: Neske, 1954); available in English under the title, “Who is Nietzsche’s Zarathustra?” in Nietzsche vol. II trans. David Farrell Krell, (San Francisco: Harper, 1979), 209-233.
  • Jaspers, Karl. Nietzsche. Einführung in das Verständnis seines Philosophierens (Berlin: de Gruyter, 1936); available in English under the title, Nietzsche: An Introduction to the Understanding of His Philosophical Activity, trans. Charles F. Wallraff and Frederick J. Schmitz (Baltimore: Johns Hopkins University Press, 1997)
  • Kaufmann, Walter. Nietzsche: Philosopher, Psychologist, Antichrist, 4th edition: (Princeton: PUP, 1974). Kaufmann’s study was a watershed text in the history of Nietzsche reception in the United States
  • Klossowski, Pierre. Nietzsche et le cercle vicieux (Paris: Mercure de France, 1969), available in English under the title, Nietzsche and the Vicious Circle, trans. Daniel W. Smith (Chicago and London: University of Chicago Press and Athlone Press, 1997)
  • Lambert, Laurence. Leo Strauss and Nietzsche (Chicago: University of Chicago Press, 1996)
  • Lambert, Laurence. Nietzsche’s Teaching: An Interpretation of ‘Thus Spoke Zarathustra,’ (New Haven: Yale University Press, 1986)
  • Leiter, Brian. Nietzsche on Morality (London: Routledge, 2002).
    • Leiter plays down the ineffable aspects of Nietzsche’s thought in order to elaborate formally and concisely Nietzsche’s writings on morality, especially from the Genealogy. This approach lends credit to the claim that Nietzsche was foremost a moral philosopher with pragmatic, even analytic consistency
  • Löwith, Karl. Nietzsche’s Philosophy of the Eternal Return of the Same, trans. J. Harvey Lomax (Berkley: University of California Press, 1997).
    • Löwith’s study was originally produced in the mid 1930’s, during a wave of interest that included treatments by Heidegger and Jaspers. Like these works, Löwith attempted to correct Alfred Bäumler’s political misappropriation. While National Socialist renditions glorify subjectivity and power in will to power and to the exclusion of eternal return and other ineffable concepts, Löwith places eternal return at the forefront of Nietzsche’s thought, arguing that such thought is thereby flawed with internal contradictions
  • MacIntyre, Ben. Forgotten Fatherland: The Search for Elisabeth Nietzsche (New York: Farrar, Strauss, Giroux 1992).
    • This study offers a somewhat informative, if rather sensationalistic, account of Elizabeth and Bernhard Förster’s sordid misadventure in Paraguay. This title should not be counted on, however, for any sort of understanding of Nietzsche’s philosophy
  • Michelfelder, Diane P. and Palmer, Richard E. eds. Dialogue and Deconstruction: The Gadamer-Derrida Encounter (Albany: SUNY Press, 1989).
    • This text chronicles an interesting confrontation on Nietzsche reception between two landmark philosophers of the late twentieth century. The encounter regards Heidegger’s reading of Nietzsche and what it implies for post-Heideggerian thought
  • Montinari, Mazzino. Reading Nietzsche trans. Greg Whitlock (Urbana: University of Illinois Press, 2003).
    • With Giorgio Colli, Montinari was coeditor of the KSA and the first volumes of the KGW. This translation of his collection of lectures and essays originally published in 1982 portrays Nietzsche being primarily interested in science, albeit taken off course for a time by Wagner and their shared interest in Schopenhauer. Montinari’s Nietzsche is best characterized as having a lifelong “passion for knowledge.” However, Montinari’s insights into previous editions of Nietzsche’s corpus, and the editorial politics behind these editions, may be the most valuable parts of this interesting work
  • Mueller-Lauter,Wolfgang. Nietzsche: His Philosophy of Contradictions and the Contradictions of His Philosophy, trans. David J. Parent (Urbana: University of Illinois Press, 1999)
  • Nehamas, Alexander. Nietzsche: Life as Literature, (Cambridge, Massachusetts: Harvard University Press, 1985).
  • Porter, James I.  Nietzsche and the Philology of the Future (Stanford: Stanford University Press, 2000).
    • Porter’s study places Nietzsche’s philology in historical context and shows how this training prepared hermeneutic gestures found in later Nietzsche’s philosophy of interpretation
  • Porter, James I. The Invention of Dionysus: An Essay on the Birth of Tragedy (Stanford: Stanford University Press, 2000)
  • Schacht, Richard. Nietzsche: The Great Philosophers (London: Routledge, 1983)
  • Schacht, Richard. Making Sense of Nietzsche: Reflections Timely and Untimely (Champagne/Urbana, IL: University of Illinois Press, 1995)
  • Schrift, Alan D. Nietzsche’s French Legacy: A Genealogy of Poststructuralism (New York: Routledge, 1995).
    • As the title promises, this text surveys aspects of the French reception of Nietzsche
  • Schutte, Ofelia. Beyond Nihilism: Nietzsche Without Masks (Chicago: University of Chicago Press, 1984)
  • Strauss, Leo. “Note on the Plan of Nietzsche’s Beyond Good and Evil” in Studies in Platonic Political Philosophy (Chicago: University of Chicago Press, 1983).
    • Strauss’ take on Nietzsche, here and elsewhere, has generated quite a bit of scholarship on its own
  • Strong, Tracy B. Friedrich Nietzsche and the Politics of Transfiguration: Expanded Edition, (Berkley: University of California Press, 1988).
    • Strong’s reading is somewhat esoteric, but it nevertheless brings out important political tensions seemingly implied in Nietzsche’s encounter with Socrates, Aeschylus, and other Greeks
  • Vattimo, Gianni. The End of Modernity trans. Jon R. Snyder (Baltimore: Johns Hopkins, 1988)
  • Vattimo, Gianni. Nihilism and Emancipation (New York: Columbia University Press, 2004).
    • With these titles and several others, Vattimo takes up Heidegger’s transmission of Nietzsche and works out the issue of “completed nihilism” with impressive results. Vattimo’s Nietzsche emerges as one of the best philosophical resources for grounding emancipatory discourse in the twentieth first century
  • Waite, Geoff. Nietzsche’s Corps/e, (Durham, NC: Duke University Press, 1996).
    • Waite offers a richly thematized, innovative Kulturkampf using Nietzsche-reception itself as a wedge for breaking open a variety of late-twentieth century issues
  • Yovel, Yirmiyahu. Dark Riddle: Hegel, Nietzsche, and the Jews (University Park, PA: Penn State University Press, 1998)
  • Zimmerman, Michael. Heidegger’s Confrontation with Modernity: Technology, Politics, Art (Bloomington: Indiana University Press, 1990).
    • Zimmerman delivers a useful text for understanding this key conduit of Nietzsche reception.

f. Academic Journals in Nietzsche Studies

In addition to a typically large number full-length manuscripts on Nietzsche published every year, scholarly works in English may be found in general, academic periodicals focused on Continental philosophy, ethical theory, critical theory, the history of ideas and similar themes. In addition, some major journals are devoted entirely to Nietzsche and aligned topics. Related both to the issue of orthodoxy and to the backlash against multiplicity in Nietzsche interpretation, the value of having so many outlets available for Nietzsche commentators has even been questioned. The following journals are devoted specifically to Nietzsche studies.

  • Nietzsche-Studien (Berlin: de Gruyter).
  • The Journal of Nietzsche Studies (University Park, PA: The Pennsylvania State University Press).
  • New Nietzsche Studies: The Journal of the Nietzsche Society (New York: Nietzsche Society).

Author Information

Dale Wilkerson
Email: dale.wilkerson@utrgv.edu
University of Texas Rio Grande Valley
U. S. A.

Reliabilism

Reliabilism encompasses a broad range of epistemological theories that try to explain knowledge or justification in terms of the truth-conduciveness of the process by which an agent forms a true belief. Process reliabilism is the most common type of reliabilism. The simplest form of process reliabilism regarding knowledge of some proposition p implies that agent S knows that p if and only if S believes that p,  p is true, and S’s belief that p is formed by a reliable process. A truth-conducive or reliable process is sometimes described as a belief-forming process that produces either mostly true beliefs or a high ratio of true to false beliefs. Process reliabilism regarding justification, rather than knowledge, says that S’s belief that p is justified if and only if S’s belief that p is formed by a reliable process.  This article discusses process reliabilism, including its background, motivations, and well-known problems. Although the article primarily emphasizes justification, it also discusses knowledge, followed by brief descriptions of other versions of reliabilism such as proper function theory, agent and virtue reliabilism, and tracking theories.

Table of Contents

  1. Background and Anti-Luck Predecessors of Process Reliabilism
    1. Brief Background
    2. Anti-Luck Predecessors of Process Reliabilism
  2. Process Reliabilist Theories of Justification and Knowledge
    1. Goldman’s “What Is Justified Belief?”
    2. Some Unresolved Issues
    3. Some Theoretical Commitments of Reliabilism
  3. Objections and Replies
    1. Reliably Formed True Belief Is Insufficient for Justification
    2. Reliably Formed True Belief Is Not Necessary for Justification
    3. The Problem of Easy Knowledge
    4. The Value Problem for Reliabilism
    5. The Generality Problem
  4. Proper Function and Agent and Virtue Reliabilism
    1. Plantinga’s Proper Function Account
    2. Agent and Virtue Reliabilism
  5. Tracking and Anti-Luck Theories
    1. Sensitivity
    2. Safety
  6. Conclusion
  7. References and Further Reading

1. Background and Anti-Luck Predecessors of Process Reliabilism

a. Brief Background

The nature of the knowledge-constituting link between truth and belief is a principal issue in epistemology.  Nearly all philosophers accept that a person, S, knows that p (where p is a proposition), only if S believes that p and p is true.  But true belief alone is insufficient for knowledge because S may believe that p without adequate or perhaps any grounds or evidence.  If, for example, S believes that p merely because he or she guesses that p, then the connection between S’s belief that p and the truth that p is too flimsy to count as knowledge.  S might just as easily have guessed that not-p and thus have been wrong.

Dating back to Plato’s Theaetetus, philosophical tradition held that knowledge is justified true belief (although it is debatable whether Plato’s ‘logos’, often translated simply as account, corresponds to the contemporary idea of justification, and Plato himself found the true belief with logos explication of knowledge wanting).   Although the nature of justification is a matter of considerable debate, a central idea is that when a belief is justified it is far likelier to be true than when it is not justified.  Reliabilists put this notion of truth-conduciveness front-and-center in their accounts of justification and knowledge.

F.P. Ramsey (1931) is often credited with the first articulation of a reliabilist account of knowledge.  He claimed that knowledge is true belief that is certain and obtained by a reliable process.  That idea lay more-or-less dormant until the 1960s, when reliabilist theories emerged in earnest.  A crucial development occurred when Edmund Gettier (1963) demonstrated that even justified true belief is insufficient for knowledge.  The diagnosis of the counterexamples Gettier provided is that an agent can obtain true beliefs with very solid grounds and yet the agent could still easily have been wrong.  It is only by luck or coincidence that the agent’s source of justification leads to true belief.  That is, the agent’s true belief is infected by knowledge-precluding “epistemic luck. It is difficult to say just how much Gettier’s paper motivated reliabilist accounts of justification and knowledge, especially since, as discussed below, process reliabilism regarding justification is somewhat detached from concerns about epistemic luck.  It is nonetheless clear that Gettier’s counterexamples led to fresh thinking about the knowledge-constituting link between belief and truth, and that process reliabilism emerged as a theory-type from some of the responses to Gettier.  This section briefly addresses precursors to process reliabilism that aim to eliminate luck, with the aim of giving a partial, reconstructed genealogy of process reliabilism.  Section 5 discusses other versions of reliabilism that explicitly address epistemic luck.

b. Anti-Luck Predecessors of Process Reliabilism

Alvin Goldman is perhaps the most influential proponent of reliabilism.  Goldman (1967) responded to Gettier by arguing that knowledge is true belief caused in an appropriate way. Goldman left the notion of “appropriate” open-ended, awaiting scientific discovery of causal mechanisms that reliably yield true belief.  To see how Goldman’s causal theory attempts to eliminate epistemic luck, consider the following Gettier counterexample.  Smith has very good evidence that Jones owns a Ford, but has no idea of the whereabouts of his friend, Brown.  Smith forms the belief, via competent deduction from the justified premise that Jones owns a Ford, that either Jones owns a Ford or Brown is in Barcelona.  It turns out that Jones does not own a Ford—perhaps Jones showed Smith a fake title while giving Smith a ride home in the Ford—but Brown is, by coincidence, in Barcelona.  Smith’s disjunctive belief is true and justified, but clearly not a case of knowledge.  Goldman’s causal theory correctly diagnoses this case, because the specific fact that makes Smith’s disjunctive belief true—that Brown is in Barcelona—is not a causal antecedent of Smith’s belief.  Rather, Smith believes what he does because he has evidence that Jones owns a Ford.

Goldman recognized that his causal theory still permitted knowledge-precluding epistemic luck (Goldman, 1976).  A crucial counterexample to the causal theory (and to many others) is the famous barn facsimile case.  Driving through the countryside, Henry points out a barn to his son, saying, “That’s a barn.”  It so happens that all the other “barns” in the area are mere façades meant to look exactly like barns from the road.  Does Henry know that the ostended object is a barn?  On Goldman’s causal theory, the answer is “yes,” since perception of the actual barn causes Henry to believe that it is a barn.  But Henry just got lucky.  He could very easily have pointed to a façade and formed the false belief that it is a barn, and therefore Henry does not know that the object he pointed to is a barn.

Although the fake barn example does not fit the precise mold of Gettier’s cases, it is nonetheless a case of epistemic luck, whose common feature is that the agent has a true belief that could easily have been false—the link between belief and truth is too weak to constitute knowledge.  To shore up that link, Goldman (1976) introduced his discrimination account of perceptual knowledge.  Goldman says, “S has perceptual knowledge if and only if not only does his perceptual mechanism produce true belief, but there are no relevant counterfactual situations in which the same belief would be produced via an equivalent percept and in which the belief would be false” (Goldman 1976, 786).  In the fake barns case, because the countryside is filled with barn façades that Henry cannot distinguish from actual barns, there is a relevant counterfactual situation where what Henry sees matches his perception of the real barn, leading him to believe falsely that he sees a barn.  Because Henry’s belief thereby fails to satisfy Goldman’s discrimination requirement, Henry does not know that what he sees is a barn.

Goldman’s discrimination theory makes reference to the notion of a relevant alternative, which is now a staple of epistemological theorizing.  Usually, when a theorist exploits the idea of relevant alternatives, it signals a commitment to fallibilism.  In many cases, an agent knows that p because she can distinguish the state of affairs where p is true from possibilities where p is false—she can “rule out” those other possibilities.  For example, S knows the cat is on the mat when she sees that it is, because if the cat were not on the mat she would see that it is not and would not believe that the cat is on the mat.  But S cannot and, on many relevant alternatives accounts, need not rule out all logical counter-possibilities, such as a scenario where S is a brain-in-a-vat (BIV), having her experiences “fed” to her by a mad scientist through electrodes connected to the brain, in which case all her beliefs about the external world would be false.  S knows (says the fallibilist) but she is not infallible.

A full discussion of the myriad ways in which philosophers construe relevant alternatives is beyond the scope of this article.  On Goldman’s discrimination account, an alternative is relevant if it is a situation that occurs in a nearby possible world.  Though appeals to possible worlds are controversial—Which worlds are possible?  How do we know which are nearby and which are distant?—intuitively, a possible world where the cat is not on the mat but is on her bird-watching perch is closer to the actual world than one where S is a BIV having cat-on-the-mat images fed directly to her brain.  This may sound question-begging against the skeptic who insists that, for all S knows, the actual world could be one where S is a BIV, and so S cannot achieve any empirical knowledge because she cannot rule out that possibility.  However, it is uncontroversial that S knows that p only if p is true.  So when analyzing ‘S knows that p’—that is, when explicating the conditions in which ‘S knows that p’ is true—the actual world is one where p is true; where, for example, the cat is on the mat.  (More on the distinction between formulating necessary and sufficient conditions for ‘S knows that p’ and arguing that human agents in fact have knowledge, below.)  Given that it is true that the cat is on the mat, the possibility that the cat is on her perch is far closer to the actual world than the possibility that there are no cats, mats or perches and that S is just a BIV being fed such images.

To this point, there has been little discussion of process reliabilism.  But the preceding description of Goldman’s early views is useful because it provides the background to his well-known reliabilist theory of justification.  In addition, when the previous discussion is coupled with the following section on reliabilism regarding justification, a broader picture of the basic theoretical commitments of process reliabilism emerges.  The following section looks first at process reliabilism (2a) and then, after canvassing some of its unresolved issues (2b), aims to unpack some of its basic theoretical commitments (2c).  Section 5 of this article discusses tracking theories, often seen as versions of reliabilism that are close in spirit to, and aim to eliminate the kind of epistemic luck revealed in, Goldman’s discrimination account.

2. Process Reliabilist Theories of Justification and Knowledge

Goldman’s process reliabilism is a descendant of his earlier causal and discrimination accounts of knowledge, but constitutes a major change of focus.  For one thing, neither of the earlier theories is explicitly intended as an account of epistemic justification, whereas providing such an account is a central project of Goldman’s process reliabilism.  For another, the requisite knowledge-constituting link between belief and truth, whether or not conceived of as a form of justification, is radically reconstrued.  The causal account asks whether the specific cause of a true belief is sufficient for knowledge.  The discrimination account asks whether there are relevant counterfactual situations in which the percept upon which the given true belief is based would lead S to form a false belief, in which case S does not know that p in the actual case.  Because both accounts focus on specific features of a particular belief , they are versions of local reliabilism.  Process reliabilism, by contrast, asks whether the general belief-forming process by which S formed the belief that p would produce a high ratio of true beliefs to false beliefs.  As with the causal and discrimination accounts, the central question is whether the belief at issue is reliably formed.  But here the answer is determined not by the belief’s unique causal ancestry, or by the nature of the specific percept upon which the belief is based, but by appeal to the truth-conduciveness of the general cognitive process by which it was formed.  This is sometimes called global reliabilism.  It should be noted, however, that Goldman gestures in the direction of process reliabilism, of a global account, in his discrimination paper when he says: “a cognitive mechanism or process is reliable if it not only produces true beliefs in actual situations, but would produce true beliefs…in relevant counterfactual situations” (1976, 771).

a. Goldman’s “What Is Justified Belief?”

Goldman proposed an account of process (or global) reliabilist justification in “What Is Justified Belief?” (1979). In the causal and discrimination accounts discussed above, Goldman demurred from describing the knowledge-constituting link between belief and truth as justification.  In summarizing  his discrimination theory, Goldman said, “If one wishes, one can so employ the term ‘justification’ [such] that belief causation of [the discriminatory] kind counts as justification.  In this sense, of course, my theory does require justification.  But this is entirely different from the sort of justification demanded by Cartesianism” (1979, 790).  At least since Descartes, philosophers have traditionally thought of justification internalistically, such that S’s belief is justified only if S is in a position to produce reasons or evidence to support her belief.  Goldman balked at the claim that he was offering a theory of justification because his theories do not require justification as traditionally conceived.  On the other hand, what one calls “justification” is a matter of debate, so it is not implausible to think of any theory aiming to explicate the knowledge-constituting link between truth and belief as a theory of justification.  If, however, one insists that the very idea of justification demands being in a position to offer grounds for belief, one will refrain from calling Goldman’s causal and discrimination accounts theories of justification.  That leaves open the possibility that one could accept some version of a causal or discrimination account of the belief-truth link as a theory of knowledge, and simply deny that knowledge requires justification.  (See Kornblith (2008).  Internalists about knowledge will still be unsatisfied, as they will demand that knowledge itself requires being in a position to offer grounds for belief.  An early and influential version of reliabilism about knowledge is David Armstrong’s Belief, Truth and Knowledge.)

The main point of contention here revolves around how one understands the word “justification”.  The term connotes having good reasons or even the act of giving good reasons.  Thus it is not surprising that many philosophers would reject a theory of justification that did not require an agent at least to be able to give reasons for her belief.  But if one thinks of epistemic justification as whatever sufficiently ties an agent’s belief to the truth, externalist accounts like Goldman’s will count as theories of justification.  The debate about justification is why some reliabilists, local and/or global, eschew justification altogether, aiming to directly explicate “knowledge” as true belief with an appropriate link between belief and truth.  These are reliabilist theories of knowledge as opposed to accounts of justification.

(The preceding discussion may seem to suggest that debates about justification are merely terminological, based solely on whether the term “justified” is applicable to a belief when the agent lacks cognitive access to the factors that tie her belief to the truth.  That is, perhaps, too simplistic.  See, for example, Bergmann’s Justification Without Awareness for an extended study and defense of externalism that directly engages internalist arguments and positions.)

Goldman (1979) sets out to provide substantive conditions for when a belief is justified (hence this version is explicitly a reliabilist theory of justification as a necessary condition for knowledge).  Now, “justified” is both an epistemic and an evaluative term, and presumably evaluative because epistemic.  If knowledge is justified true belief, the only epistemic constituent of knowledge is justification.  Belief is a psychological notion, and truth is a metaphysical or semantic— at any rate not epistemic— concept.  In addition, the concepts of belief and truth are not evaluative—to believe that p is by itself neither good nor bad, and the truth by itself is neither good nor bad.  (One might think, though, that true belief (or having a true belief) is good.  But as we have seen, an agent can acquire a true belief in all kinds of bad ways—guessing, wishful thinking, hasty generalization, and the like.  There may of course be some instrumental value in having a true belief through some such means—it may help the agent achieve some end—but acquiring a true belief in some such deficient way warrants a negative appraisal of the agent’s belief.  In addition, even if it makes sense to say that true belief is good, it does not follow that truth  or belief  themselves are good; thus of the three constituents of knowledge, only ‘justification’ is by itself an evaluative term, and it is also the only epistemic one.)

Why must a substantive (or illuminating) account of justification eschew epistemic-cum-evaluative terms?  Consider a couple rudimentary alternatives.  1) A belief that p is justified for an agent S if and only if S has good reasons to believe that p.  2) A belief that p is justified for an agent S if and only if S has solid evidence that p.  In both cases there is an obvious next question: Q1) What are good reasons?  Q2) What is solid evidence?  Because the notions of “good reasons” and “solid evidence” are similarly evaluative, they do not cast much light on the epistemic and evaluative concept of justification.  Goldman canvasses several possible theories of justification to show that, when construed as free of epistemic terms, they do not plausibly explicate the notion of justification, and when construed as containing epistemic terms, they leave open the central questions about justification, as seen in our two questions above.

Goldman diagnoses the failure of putative theories or analyses of justification that are properly cashed out in non-epistemic terms.  Though he does not use this terminology (in this paper, but see Goldman (2008)), it will be helpful to introduce the distinct concepts of propositional and doxastic justification.  Suppose we have an analysis of justification which says that a belief that p is justified for S if and only if (some condition) x obtains.  We can then say that a proposition p is justified for S if and only if, whether or not S believes that p, x obtains.  Here, S may not believe that p but may be considering whether p.  Now suppose that S does believe that p.  Then, S is doxastically justified in believing that p if and only if p is propositionally justified for S and S believes that p because x obtains.  Suppose, for example, that Jones sees a blue jay in her back yard and is thus justified in believing there is a blue jay in the back yard.  The existence of a blue jay in the back yard entails that there is at least one animal in the back yard.  Whether or not Jones draws that inference, the proposition that there is at least one animal in the back yard is propositionally justified for Jones.  Now suppose Jones believes that there is at least one animal in the back yard.  Is that belief doxastically justified?  Not if Jones believes it because a notorious liar asserted it.  That there exists propositional justification for an agent does not entail that the agent is doxastically justified in believing the proposition.  Goldman’s insight is that doxastic justification requires that the belief has an appropriate cause, and he goes on to characterize “appropriate cause” as having been produced by a reliable belief-forming process— that is, a process that produces mostly true beliefs or a high ratio of true to false beliefs.  Guessing, wishful thinking, and hasty generalization are unreliable, whereas believing on the basis of a distinct memory, attentive viewing, or valid deduction is reliable.

Philosophers sometimes use other terminology to draw a distinction similar to the one between propositional and doxastic justification.  Feldman and Conee (1985) distinguish justification from “well-foundedness”, where the latter requires not only that the agent have (propositional) justification, but also that the agent’s belief is based on that justification.  Others (for example, Moser (1989)) employ the notion of a basing relation to distinguish between an agent’s (merely) having a reason to believe and an agent’s believing because of that reason.  Knowledge requires doxastic justification, or well-founded belief, or belief based on reasons or formed on the basis of a reliable process.

Goldman also distinguishes between basic beliefs and non-basic beliefs.  Basic beliefs are not justified by reference to other beliefs, whereas non-basic beliefs are so justified.  Basic beliefs are justified if and only if they result from (are causal outputs of) an unconditionally reliable process—a process none of whose inputs consist of other beliefs (perceptual beliefs are plausible candidates here).  Non-basic beliefs are justified if and only if they result from a belief-dependent process that is conditionally reliable— that is, a process whose inputs consist partially of other beliefs and which, given that the inputs are true, produces beliefs that are likely to be true.  Memory, which is based on previously formed beliefs, induction on a large and varied base, and deduction might be considered reliable belief-dependent processes.

Because basic beliefs do not have other beliefs as sources of justification, they invite no regress of reasons or justification.  The traditional internalist who insists that justification requires that the agent be in a position to give reasons in support of her belief encounters trouble here.  Where does the justification end?  If an agent offers her belief that q in support of her belief that p, the obvious question is: Why believe that q?  If the answer is, “because r“, a potential regress threatens.  It may be infinite, and one might wonder whether an embodied human agent can make use of such an infinite chain to justify her beliefs, or whether such a regress is vicious.  (For a defense of infinitism, see Klein (1999).)  Alternatively, the chain of justification might go round in a circle, where no single belief is independently justified, which raises the concern that the circle is vicious.  Toy version: S believes that p on the basis of q, q on the basis of r, and r on the basis of p.  Third, all of one’s beliefs might be deemed justified because they properly cohere in the sense that they are interdependent and mutually supporting.  But one can have interdependent and mutually supporting beliefs all of which are false.  Whatever else justification is, we noted above that a common thread in epistemological discussions is that a justified belief is more likely to be true than one that is not justified, whereas coherence is compatible with one’s having all false beliefs.  The reliabilist externalist simply opts out of the requirement that reasons are reflectively accessible to the agent by identifying justified beliefs with those that are the outputs of reliable processes, whether or not the process itself includes other beliefs.  If it does not, then the process is belief-independent and the beliefs produced by it are basic.  Put differently, reliabilism makes plausible a form of structural foundationalism which stops the regress of justification, whereas it is difficult for the internalist to cite regress-stopping basic beliefs that are justified but not by other beliefs.

BonJour (1985, chapter 2) presents a master argument against foundationalism in general, and then (chapter 4) presents a dilemma faced by internalist foundationalists who appeal to “the given” as foundational.  The latter goes something like this.  If the given, as what constitutes the justificatory foundation, itself has propositional content, then for that reason it may provide rational justification for the beliefs based on it, but then one wants to know how the foundation is justified, and the regress begins.  If, on the other hand, the given does not have propositional content, then it’s not the sort of thing that needs justification, but then how can it be a reason at all?  How can it justify other beliefs?  This dilemma is part of Bonjour’s larger argument against foundationalism in general, because he recognizes that one could avoid the dilemma faced by internalists by ‘going externalist’— that is, by not requiring that all beliefs must be supported by reflectively accessible reasons (by other justified beliefs) to be justified, so long as they are the result of a reliable process.  BonJour rejects this maneuver because he thinks the very ideas of knowledge and justification require reflectively accessible reasons.

A feature of this account that Goldman himself touts is that process reliabilism is an historical theory.  Whereas traditional Cartesian justification and many other theories construe justification as a function of only current mental states of an agent, Goldman emphasizes the belief’s causal history.  An historical account is naturally coupled with externalism because on the traditional internalist theory of justification one’s reasons must be reflectively accessible at the time of belief.  If the latter requirement is rejected, it opens the possibility that a belief may be partly justified by past events in the causal chain leading to belief.  And if those justificatory factors were reflectively accessible at the time of belief, that they occurred in the past would be irrelevant.  Thus reflective accessibility (internalism) naturally pairs with what Goldman calls “current time-slice” theories, whereas externalism naturally pairs with an historical theory.

When naturally coupled with externalism, an historical conception of justification makes intelligible some intuitive cases of knowledge that an internalist conception fails to capture. For example, suppose S read years ago about a certain fact in a reliable source.  S now recalls that fact, but cannot remember the source from which she obtained it.  S is not in a position to offer reasons for her belief— in response to a challenge about why she believes what she does, she may say, “I just do”—but, if her memory is reliable, then the belief might plausibly be considered justified.

As mentioned briefly in §1, Goldman’s process reliabilism is not designed to handle some forms of epistemic luck, such as Gettier cases.  It is conceived, rather, as an alternative to (and improvement over) traditional theories of justification, and we saw above how a belief can be true and justified but not a case of knowledge because of luck.  Thus Goldman: “Justified beliefs…have appropriate causal histories; but they may fail to be knowledge either because they are false or because they founder on some other requirement for knowing of the kind discussed in the post-Gettier knowledge-trade” (1979, 15).

In sum, Goldman proposes a theory of justification according to which a belief is doxastically justified for an agent S just in case S’s belief is formed from a reliable, that is truth-conducive, belief-independent process (for basic beliefs) or from a conditionally reliable belief-dependent process (for non-basic beliefs).  Further details need to be filled in, but on some of these issues Goldman offers suggestions but remains agnostic.

b. Some Unresolved Issues

First, what exactly does one mean by a process that is “truth-conducive” or “has a tendency to produce true belief”?  Does it mean that, in the long run, the process actually produces mostly true beliefs?  Or does it mean that it would produce mostly true beliefs if it were used?  For example, suppose that Jones, blind from birth, undergoes  new eye surgery that provides him with 20-20 vision.  He wakes up, sees a very realistic-looking  stuffed cat, hears a creature “meowing”  nearby, and forms the false belief that the stuffed cat is a real cat.  Deathly afraid of cats, he goes into cardiac arrest and dies.  He has formed one belief based on vision, but it is false.  Ought we to conclude that his vision is unreliable because it produced only false belief?  Presumably not, and so reliability should not be construed in terms of the actual outputs of a process.  Goldman sees this and says: “For the most part, we simply assume that the ‘observed’ frequency of truth versus error would be approximately replicated in the actual long-run, and also in relevant counterfactual situations, i.e. ones that are highly ‘realistic’, or conform closely to circumstances of the actual world” (1979, 11).  Is the suggestion, then, that we use observed frequency as a guide to what would happen in the long run, or in worlds similar to the actual world?  This won’t work in the case just described.  Or is the suggestion that we can dispense with observed frequency and think instead in terms of how the process would perform in the long run or in close possible worlds?  And if so, what is the basis of our understanding of how it would perform?  Reliabilists owe answers to these questions, but so far no one set of answers is generally accepted.

Second, which are the worlds in which a process must be reliable to constitute justification?  Suppose there is a possible world where a benevolent demon arranges things such that beliefs based on wishful-thinking always turn out to be true.  Wishful-thinking would be truth-conducive, but we would hesitate to say that those beliefs are justified.  One way to repair this defect is to say that a belief in a possible world w is justified if and only if it is formed from a process that is reliable in the actual world.  But what if, unbeknownst to us, wishful-thinking is reliable in the actual world?  Goldman’s suggestion here is that what we seek is an explanation of why we deem some beliefs justified and others not, and what we deem justified depends not on actual facts about reliability but on what we believe about reliability.  So even if wishful-thinking were in fact reliable, because we do not believe it to be, it would not count as a basis for justification.

It is worth pausing here to note a consequence of the distinction between reliabilist theories of justification and reliabilist theories of knowledge.  The consequence is not a logical one, but it appears real enough.  Goldman wants to improve upon the traditional notion of justification, and as a result he must take seriously basic judgments about when a belief is justified.  Because it seems counterintuitive to deem wishful-thinking a basis for justification (even in a benevolent demon world), Goldman suggests a shift from actual reliability to what we believe about reliability as the basis for justification.  But in so doing, the original novel insight that justification depends on facts, some historical, about reliability loses its grip.  If, on the other hand, a theorist were not concerned to elucidate “justification” in a reliabilist theory of knowledge, she would be less inclined to feel the pull of intuitions about justification.  She could say that knowledge is reliably formed true belief and leave it at that.  If some cases of knowledge lacked features typically associated with justification, so be it.

Third, what is a process?  Fundamentally, it simply takes inputs (such as percepts or other beliefs) and yields belief outputs.  But how are processes individuated?  Is vision a process?  Vision in good lighting conditions might well be reliable, but vision in the dark is not.  The point is that processes can be individuated coarsely, such as a process by which beliefs are formed on the basis of vision, or finely, such as where beliefs are formed on the basis of vision in good lighting at close range, and so forth.  Such questions about process individuation must be settled in advance of answers to questions about justification.  This is, again, because process reliabilism is intended to be a substantive account of justification, such that whether a belief is justified is determined by whether the process is reliable.  Because processes can be individuated in myriad ways, one could always cite some suitably refined reliable process to answer to the antecedent judgment that a belief is justified.  But this gets things backwards, since the reliabilist wants to derive facts about justification from antecedent understanding of when a belief is reliably produced.  This is the heart of the generality problem for reliabilism, which will be discussed further in the following section.

c. Some Theoretical Commitments of Reliabilism

Having described both process reliabilism and its historical predecessors, some theoretical commitments common to both come to light.

First, it was noted earlier (1a) that Goldman’s early appeal to relevant alternatives signals a commitment to fallibilism.  Process reliabilism is also fallibilist.  So long as a belief-forming process produces mostly true beliefs, it is a source of justification and knowledge that p, even if the process does not provide the agent with the ability to rule out all counter-possibilities where not-p.  On this view, a belief can be justified but false (which is generally accepted), and, more importantly, S can know that p even when S is susceptible to error because she cannot rule out all the possibilities in which not-p.

Second, closely related to the commitment to fallibilism is a strategy to undermine the skeptic.  The skeptic says that, because S cannot rule out the possibility that she is a BIV (or is dreaming or is deceived by an evil demon), S cannot know even mundane truths about her environment, for example that the cat is on the mat.  But if it is correct that the BIV scenario is an irrelevant alternative, and that one need rule out only relevant alternatives to know that p, it follows that one can know ordinary empirical truths even though the skeptic may be right that one cannot know that one is not a BIV.

Reliabilists need not be committed to the claim that one cannot know that radical skeptical hypotheses, like the BIV scenario, are false, and there are strong theoretical considerations for rejecting it.  Suppose S knows (on some or other reliable grounds) that the cat is on the mat.  Upon reflection, S will also know that if the cat is on the mat, then S is not a BIV (because, ex hypothesi, there are no real cats and mats in the BIV world).  And it would seem that S could easily know, by deduction from known premises, which is a paradigm reliable process, that she is not a BIV.  To claim that there are cases where S cannot achieve knowledge through valid logical deduction from known premises is to deny the principle that knowledge is closed under known entailment, which strikes many as preposterous.  And accepting the closure principle appears to imply either that we can know that radical skeptical hypotheses are false, which strikes many as intuitively incorrect, or that we know nothing about the external world, because if we did, we could logically infer that radical skeptical hypotheses are false.  This issue arises again in section 5 when the discussion turns to particular reliabilist tracking theories that explicitly deny closure.

Third, it is important to understand that the reliabilist primarily aims to produce an account of the nature of knowledge, whereas it is a secondary objective to show that human agents in fact have knowledge.  The skeptical appeal to the BIV scenario is meant as the basis of an a priori argument that knowledge is impossible: S knows a priori that she cannot rule out the BIV possibility because any perceptual experience she could have is compatible with the BIV scenario, and the skeptic argues a priori that S therefore cannot even know that the cat is on the mat, because for all S knows she is a BIV.  Goldman’s causal and discrimination accounts and his subsequent process reliabilist theory counter the skeptic’s claim by saying that if, as a matter of fact, S’s belief that p is caused in the right way (or S can discriminate p from close counter-possibilities or S’s belief is formed from a reliable process), then S knows that p.  Surely any or all of these conditions might hold for S’s belief, and no a priori skeptical argument can demonstrate otherwise.  This is a significant advance against skepticism, because the skeptic must adopt the more defensive position of having to show that these conditions never hold, which is not something that can be proved a priori.  On the other hand, when the reliabilist goes further and tries to show that empirical knowledge is not only possible but actual, she needs to show that her favored conditions for knowledge in fact obtain, and that is a far more difficult task.  This also raises a concern about bootstrapping—where one uses some or other reliable process to infer that her belief-forming processes are in fact reliable—and this smacks of question-begging.  (See “the problem of easy knowledge,” section 3.)

Fourth, and perhaps most importantly, reliabilism is typically construed as a paradigm version of epistemological externalism, which is the thesis that not all aspects of the knowledge-constituting link between belief and truth need be cognitively available to the agent.  (See Steup (2003) for a defense of the claim that any factors that justify belief or constitute the requisite link between belief and truth must be cognitively available to the agent, or “recognizable on reflection”.)  When the skeptic claims that S cannot know that p because, for all S knows, she might be a BIV, the externalist replies that, if in fact the relevant causal, discriminatory, or process reliabilist conditions obtain, whether or not the agent is able to recognize on reflection that they do, and in general whether or not facts about their obtaining are cognitively available to her, S knows that p.  Internalists are often seen as playing into the hands of the skeptic because the cognitively available factors that confer justification on one’s empirical beliefs, such as perceptual evidence, are compatible with the BIV scenario.  Because there are no further means cognitively available to rule out the BIV scenario, the skeptic’s claim that one cannot achieve even ordinary empirical knowledge appears to be more damaging to the internalist than to the externalist.

The points about anti-skepticism and externalism can be brought out in another way.  Because internalists typically demand reflectively accessible reasons for justification, they encounter more difficulty in accounting for cases of unreflective knowledge in adults, and of the kind of knowledge had by unsophisticated or unreflective persons, or perhaps even animals.  A stock example is the chicken-sexer, a person who can reliably determine the sex of a young chick, but does not know how she does it.  If asked, “How do you know that one is male?” the chicken-sexer can offer no reasons.  Still, for many it is quite plausible to say that the chicken-sexer knows the sex of the chick simply because, somehow, she is very successful in distinguishing males from females.  The point generalizes.  Many true beliefs held by very young people, who are less reflective than adults, and basic perceptually based beliefs even in adults, plausibly count as cases of knowledge because the processes from which those beliefs are formed allow the believer to distinguish what is true (for example, that the chick is male) from what is false (that the chick is female).  The externalist can account for these more easily than the internalist can, and such cases suggest that both the skeptic and the internalist may be setting the bar for knowledge too high.  For fuller discussion, see “Grandma, Timmy, and Lassie.”

Finally, it is worthwhile to note further theoretical inspirations for process reliabilism.  One inspiration is epistemological naturalism— very roughly, the view that finding answers to epistemological questions requires more than just armchair inquiry, but also empirical investigation.  Some naturalists, for instance Quine (1969), will find this characterization too weak-kneed, arguing that armchair epistemological inquiry should be replaced by scientific investigation into what actually produces true beliefs.  Present purposes allow us to construe naturalism more broadly, because the crucial idea is that science can inform philosophy, which undermines the “traditional” idea of philosophy as providing the foundation of science.  (“Traditional” is in scare quotes because the history of philosophy prior to the twentieth century shows that the relationship between philosophy and science has not always been conceived of as that between foundation and superstructure.)  In particular, reliabilists look to cognitive science to understand the nature of our belief-forming processes and to tell us which among them are reliable.  Goldman himself is a leading figure in naturalistic epistemology, and has held joint appointments in philosophy and cognitive science.  Reliabilism intimately connects what previously were considered two distinct inquiries—the nature of cognition and the nature of knowledge.

3. Objections and Replies

a. Reliably Formed True Belief Is Insufficient for Justification

Perhaps the most basic objection to reliabilism is that reliably formed belief is not sufficient for justification.  Laurence BonJour (1980) has famously argued this point by way of counterexample.  Suppose S is reliably clairvoyant but has reason to believe there is no such thing as clairvoyance.  Still, on the basis of her clairvoyant powers, she believes truly that the President is in New York City.  Bonjour argues that S’s belief is not justified because S is being irrational—believing on the basis of a power she believes not to exist.  Goldman (1979) “replies” to this sort of problem (though Goldman’s paper came first) by tweaking his account of reliability.  For S’s belief that p to be justified, not only must it be produced by a reliable process, but there must be no other reliable process available to S such that, had S used that process, S would not believe that p.  Suppose S has scientific evidence that clairvoyance does not exist, scientific evidence typically being a reliable source of knowledge.  Had S based her belief on that evidence, it would override her clairvoyance-based belief, hence she would not believe that the President is in New York, supporting the conclusion that her actual belief is not in fact justified.

But what if, BonJour asks, S has no evidence in support of or against the existence of clairvoyance?  Then, there would be no other reliable process available to her such that, had her belief been based on it, she would not believe what she does.  In that case, S seems to believe blindly where, unlike typical perceptually based beliefs, she has no reason to think her clairvoyant powers are real.  A similar case is provided by Keith Lehrer (1990).  Mr. Truetemp has had a device implanted in his head, a “tempucomp”, which is an accurate thermometer “hooked up” to his brain in such a way that he automatically forms true beliefs about the ambient temperature but does not know anything about the thermometer.  Imagine that it was implanted while he was in the hospital for some other procedure.  Truetemp has reliably formed beliefs about the temperature, but does he know the temperature?  Here again, he appears to believe blindly, which seems irrational, hence unjustified.  A thoroughgoing externalist about knowledge may be willing to bite this bullet and say that S knows that the President is in New York (and that Truetemp knows the temperature), citing the reliability of the basis of the belief.  An externalist about justification might also bite this bullet and say that S’s belief is justified, but this seems to some a bit harder to swallow, since blind belief appears to undermine justification.

In Epistemology and Cognition (Goldman, 1986), Goldman suggested that a belief is justified if and only if it is reliable in normal worlds.  Normal worlds are those that are consistent with our most “general beliefs about the sorts of objects, events, and changes that occur in” the actual world (Goldman 1986, 107).  The suggestion addresses the benevolent demon and clairvoyance objections, and perhaps too the Truetemp objection, because none of those scenarios is consistent with our general beliefs about the actual world (though this is less clear for the Truetemp case).  Thus on the normal worlds approach, beliefs based on help from the demon, on clairvoyance, and on a thermometer implanted in one’s head “feeding” temperature data directly into one’s cognition would not count as genuinely reliable, and so are not justified.

As an account of when we would deem a belief justified, the normal worlds approach is promising, but one might wonder whether it is a plausible account of when one is actually justified.  After all, if our general beliefs about the actual world are not themselves justified, it would seem that beliefs formed against that backdrop are unjustified.  (See Pollock and Cruz (1999).)

Sensitive to this kind of objection, Goldman proposed yet another version of process reliabilism in his “Strong and Weak Justification” (Goldman, 1988).  The basic idea is that a belief is strongly justified when formed from a process that is actually reliable, but weakly justified when formed by a process that is deemed reliable (say, by one’s community). As we have seen, the two kinds of justification can come apart.  Imagine a community where astrology is deemed reliable and where an agent has no reason to believe that his community’s beliefs about which processes typically yield true beliefs are false or misguided.  Because the agent’s beliefs are blameless—she would not be faulted by her community peers for forming her astrology-based beliefs—there is a sense in which her beliefs are justified.  This is weak justification and is a plausible basis for when justification is properly attributed to an agent’s belief or believing.  But because astrology is not in fact reliable, she is not strongly justified.  On the other hand, reliably formed beliefs in the benevolent demon world, and beliefs formed from clairvoyance or from a tempucomp implanted in one’s head, are strongly justified.  However, because our community does not recognize such processes as actually reliable (or existent), such beliefs are not weakly justified.  In addition, one could view weak justification as an account of when it is proper to attribute justification, and strong justification as an account of when one is actually justified.  (Or, one could say that a belief is fully justified only if it is both strongly and weakly justified.)

Goldman subsequently offers another theory of justification attribution in “Epistemic Folkways and Scientific Epistemology” (Goldman, 1992), which proceeds in two stages.  In the first stage, an agent constructs a mental list based on her community’s beliefs about which processes are reliable.  Processes deemed reliable are thought of as virtuous, others as vicious.  In the second stage, the agent attributes justification only if a belief is virtuously formed— that is, formed according to whether the belief-forming process is on her list of virtues.  Most of us do not have clairvoyance or benevolent-helper-demon processes on our list of virtues, which explains why we do not attribute justification to beliefs formed on those bases.  Analogous to Goldman’s earlier strong and weak distinction, here a belief is deemed justified only if formed from a process that appears on one’s list of virtues, but is actually justified only if formed from a process that is in fact reliable.  This discussion of the non-sufficiency objection to reliabilism reveals how accounting for de facto reliability and believed reliability make different demands on the theorist, requiring her to distinguish actual world reliable processes from processes that may not actually be reliable, but because they answer to our basic beliefs about what is reliable, they form the basis of our practices of attributing justification.

b. Reliably Formed True Belief Is Not Necessary for Justification

A second objection to reliabilism holds that reliably formed belief is not even necessary for justification.  Suppose there is a world where an evil demon furnishes people with false perceptions, such that their senses are unreliable bases of belief (Cohen, 1984; sometimes called ‘the New Evil Demon problem’).  In the actual world, many of our beliefs are justified on the basis of perception, and in the evil demon world, people’s perceptions are just like ours.  It would seem to follow that their beliefs are justified to the same extent as ours, in which case reliability is not necessary for justification.  Here again one can see the pressure exerted on reliabilist attempts to capture the intuitive notion of justification within an externalist framework.

Though the first and second objections to reliabilism are clearly distinct, the former challenging the sufficiency of reliably formed belief for justification, the latter the necessity of reliably formed belief, one or another of the strategies countenanced above to reply to the sufficiency objection may also help here.  Once one distinguishes the grounds for how we attribute justification from the grounds for when a belief is actually justified—believed reliability from factual reliability—one could say that in the new evil demon world, attributions of justification are appropriate because perception is believed to be reliable.  Goldman’s distinction between strong and weak justification can help here, as can his proposal in “Epistemic Folkways,” and perhaps even the normal worlds approach, because even in the demon world, we attribute justification to perceptually grounded beliefs because it is consistent with our general beliefs about that world.

c. The Problem of Easy Knowledge

A third problem which has stimulated much recent discussion charges reliabilism with illicit bootstrapping (or circularity), allowing knowledge (and justification) to be achieved too easily—the “problem of easy knowledge”.  (See, for example, Jonathan Vogel (2000) and Stewart Cohen (2002).)  Cohen is explicit that the concern about “easy knowledge” reaches beyond reliabilism; in fact, in the paper cited, he presents it as a worry for evidentialism as well.  Because the problem arises, according to Cohen, for any view with a basic knowledge structure—that is, in Cohen’s usage, any view which denies that one must know that one’s source of belief is reliable in order to obtain knowledge from that source—it is unclear to what extent reliabilism in particular is threatened by it.  (Cohen’s overall strategy is to force a dilemma: If one denies basic knowledge, insisting that a belief source must be known to be reliable in order for one to achieve knowledge from that source, skepticism becomes a threat.  This motivates a consideration of basic knowledge, which leads to the problem of easy knowledge.)

Cohen presents two versions of the problem.  One begins with the closure principle—that if S knows that p and S knows that p entails q, then S is in a position to know that q, via competent deduction from what she knows.  If a theorist makes space for basic knowledge, here’s an illustration of the problem.  S knows that the table is red on the (reliable) basis of its looking red and without having certified that what looks red usually is red—again, we begin with basic knowledge.  But S also knows that if the table is red, then it is not merely white and illuminated by red light, creating the red appearance, and by closure S knows the latter.  And if S knows that, it’s a short step from there to concluding that visual appearances are reliable indicators of the truth.  So from basic knowledge that does not require knowledge of the reliability of its source, we somehow obtain knowledge of the reliability of the source.  Could it really be that easy?  (No, it would seem.)

Here is Cohen’s other version, which echoes presentations of the problem by Vogel (2000) and Richard Fumerton (1995):

Suppose I have reliable color vision. Then I can come to know e.g. that the table is red, even though I do not know that my color vision is reliable. But then I can note that my belief that the table is red was produced by my color vision.  Combining this knowledge with my knowledge that the table is red, I can infer that in this instance, my color vision worked correctly.  By repeating this process enough times, I would seem to be able to amass considerable evidence that my color vision is reliable, enough for me to come to know my color vision is reliable (316).

This smacks of illicit bootstrapping because one’s only grounds for concluding that one’s color vision is reliable are basic beliefs that, while by hypothesis de facto reliable, were never certified as such.  See Cohen’s paper and Peter Markie (2005) for two proposed solutions that incorporate basic knowledge.

d. The Value Problem for Reliabilism

A fourth problem for reliabilism has also received a lot of attention recently, namely, the value problem for reliabilism.  What the many forms of reliabilism have in common, as noted at the outset, is a concern to explicate the way in which knowledge and/or justification requires that beliefs are formed on a truth-conducive basis, highlighting the crucial link between belief and truth that constitutes knowledge.  The value problem begins with the thought, expressed in Plato’s Meno, that knowledge, whatever it is, is surely more valuable than mere true belief.  But given reliabilism’s exclusive focus on truth-conduciveness, it seems hard-pressed to explain why knowledge is more valuable than true belief.  After all, if one has a true belief, one already has what matters to the reliabilist, so how could it matter whether the belief is reliably formed?  How could that add any value?  Linda Zagzebski (2003) offers the following analogy.  If what you care about is a good cup of espresso (/truth), it does not matter to you, once you have it, whether it was made from a reliable espresso maker (/belief forming process) or not.  A good cup of espresso is not made better by having been reliably produced.

Here again, this problem plausibly extends to any theory of justification (or knowledge) where the crucial knowledge-constituting link between truth and belief is cast in truth-conducivist terms.  Zagzebski (2003, 16) argues this point, citing BonJour’s (1985) claim that “the basic role of justification is that of a means to truth.”  It is important here not to be misled by adjectives that indicate a positive evaluation of belief, like ‘justified’ and ‘reliable’ (or ‘reliably formed’).  One might easily think that being justified is a good thing, hence that a justified true belief is better than a mere true belief—a quick “solution” to the value problem.  But if justification is understood primarily as a means to truth, the implication is that truth is the source of value, and we’re back to the value problem: once an agent has true belief, she has what is valuable, so who cares how she got it?  So again, it’s not clear whether the reliabilist in particular needs a response.  That said, the reliabilist is not without resources.  Wayne Riggs (2002), although not a reliabilist, has argued that the added value of reliably formed belief might accrue to the agent insofar as it was to the agent’s credit that she formed a true belief.  When one achieves true belief unreliably, perhaps merely luckily, no such credit accrues to the agent.  A similar approach is to focus on the agent directly (as opposed to indirectly, through her reliable processes).  Roughly, when an agent forms true beliefs on the basis of good epistemic character traits or virtues, she is due credit, which explains the extra “goodness” accruing to knowledge over mere true belief.  This sort of position will be discussed further in section 4, below.

e. The Generality Problem

The final objection to reliabilism discussed herein—the previously mentioned generality problem—is especially thorny because it appears to imply that, even if it is conceded that reliability could be a plausible basis for justification and knowledge, the reliabilist project cannot succeed even on its own terms.  One begins to see the generality problem by noticing that every belief token is formed from a process that instantiates many types of process, and then wondering which process type is relevant to assessing reliability.  After all, on one way of individuating the relevant process, it may be truth-conducive (/reliable), whereas on another, it may not be truth-conducive (/may not be reliable).  “For example, the process token leading to my current belief that it is sunny today is an instance of all the following types: the perceptual process, the visual process, processes that occur on Wednesday, processes that lead to true beliefs, etc.  Note that these process types are not equally reliable.  Obviously, then, one of these types must be the one whose reliability is relevant to the assessment of my belief” (Feldman 1985, 159-60).  If the question about process type individuation cannot be answered independently of our basic judgments about when a belief is justified, reliabilism will not be a substantive, informative theory of justified belief.  (See also Conee and Feldman, 1998.)

Another way to understand the difficulty of the problem is to present it as a dilemma.  If processes are individuated too narrowly, the process will be applicable to only one instance of belief formation.  But then the reliability of the process will be determined simply by whether the one belief in question is true (because its truth ratio will be either horrible or impeccable), which is implausible.  If processes are individuated too widely, then every belief formed from the process will be deemed either reliable or unreliable, depending on the truth-conduciveness of that process, whereas, intuitively, some of those beliefs will be justified and others not.  Feldman dubs the former horn of the dilemma “the single case problem,” and the latter horn “the no-distinction problem” (Feldman 1985, 161).  A solution to the generality problem, then, requires a principled means of individuating processes that steers between the single case and the no-distinction problems, and which also plausibly answers to judgments about justification.

The generality problem has spawned a lot of philosophical work, and as of now it’s fair to say that there is no widely accepted solution to it.  Conee and Feldman (1998) provide a nice survey and critique of possible solutions, finding them wanting.  Since then a variety of new solutions have been proposed.  Mark Heller (1996) argues that the context of evaluation partly determines whether a process is rightly deemed reliable, hence that context is useful for individuating process types.  Juan Comesaña (2006) argues that any theory of justification needs to incorporate an account of the basing relation.  Recall the distinction between propositional and doxastic justification (from section 2).  Doxastic justification demands not only that one has adequate grounds for belief, or (for the reliabilist) not only that one possesses a process that would be reliable if used, but that the belief is actually based on those grounds or that reliable process. Comesaña argues that an adequate account of the basing relation can solve the generality problem, and because everyone owes an account of the basing relation, the reliabilist is in no worse shape than anyone else.  If that’s right, then perhaps the generality problem, like the bootstrapping and value problems, is not unique to reliabilism after all.

James Beebe (2004) proposes a two-stage approach to solving the generality problem.  The first stage narrows the field of relevant process types, including only those that: (i) solve the same type of information-processing problem as the token process at issue; (ii) use the same information-processing procedure; and (iii) share the same cognitive architecture.  Beebe notes that this still leaves a range of possible process types.  At the second stage, then, Beebe argues that we can further define the relevant process by partitioning the remaining candidate processes, concluding that “the relevant process type for any process token t is the subclass of [the candidates remaining from stage one] which is the broadest objectively homogeneous subclass of [the candidates] within which t falls.  A subclass S is objectively homogeneous if there are no statistically relevant partitions of S that can be effected” (Beebe 2004, 181).

Finally, Kelly Becker (2008) approaches the problem from the perspective of epistemic luck, and argues that an anti-luck epistemology requires both local and global (or process) reliability conditions.  Satisfying the local condition ensures that the truth of the acquired belief will not be due merely to some coincidental but fortuitous feature of the specific, actual circumstances in which the belief is formed.  (More on “local” reliabilism in section 5.)  The suggestion is that the local condition eliminates luck accruing to specific instances—single cases—of belief formation.  We are then free to characterize the relevant global process very narrowly, including in its description any and all features of the process that are causally operative in producing belief, short of implicating the specific content of the belief in the description.  We thereby avoid the no-distinction problem, given the specificity of the process description, and the single-case problem, since the process is repeatable, given that it is applicable to beliefs with contents other than the specific content of the target belief.

4. Proper Function and Agent and Virtue Reliabilism

There are relatives of process reliabilism that deserve mention in this article.  This section includes a discussion of global alternatives to process reliabilism, and the following section discusses local alternatives.  Because the central topic of this article is process reliabilism, these final two sections will be rather brief.

a. Plantinga’s Proper Function Account

Alvin Plantinga (1993) argues that not just any de facto reliable process provides a basis for justified belief.  For example, suppose S has a brain lesion that causes her to believe that she has a brain lesion, but she has no other evidence for that belief (and perhaps has some evidence against it).  Is her belief that she has a brain lesion warranted?  Plantinga thinks not, and concludes that a belief is warranted, hence constitutes knowledge, only if formed from a properly functioning cognitive process or faculty.  Because it is natural to suppose that the brain lesion case involves an improperly functioning process, one can conclude that S’s belief is unwarranted.

John Greco (2003) cites cases from Oliver Sacks that suggest that the proper function requirement is too strong.  One is the case of autistic twins with extraordinary mathematical abilities, another of “a man whose illness resulted in an increase in detail and vividness concerning childhood memory” (Greco 2003, 357).  If one wants to say that these are not improperly functioning faculties, then one might say the same about the brain lesion.  More plausibly, one would say that, like the brain lesion case, there is a reliable but improperly functioning process at work.  And because it is intuitively arbitrary, or just wrong, to say that the autistic twins are not warranted (or justified) in their mathematical beliefs, and that the man’s illness induced abilities cannot be the basis of warranted belief, it follows that the proper functioning of one’s cognitive processes is not required for warrant (/justification) and knowledge.

b. Agent and Virtue Reliabilism

Greco concludes that what really matters is whether belief is formed from a stable character trait, and this brings us to agent reliabilism.  One crucial insight here is that a true belief constitutes knowledge only if having achieved that true belief can be credited  to the agent.  This helps to eliminate the possibility that mere luck is responsible for one’s true belief, and it discounts very strange and fleeting processes as a basis for knowledgeable beliefs because they are not stable.  The brain lesion case might be such a fleeting process, if we imagine that there are lots of nearby worlds where it fails to produce true beliefs, whereas the Oliver Sacks cases involves processes that are not so susceptible to failure.

Ernest Sosa’s virtue reliabilism (1991 and 2007) bears an important similarity to Greco’s agent reliabilism.  The basis idea is that one knows that p only if one’s belief that p is formed from an epistemic virtue that reliably produces true belief.  S’s belief that p can be true but not based on an epistemic virtue, just as someone with little skill can sometimes make a shot in basketball.  S’s belief can be true and based on an epistemic virtue but not a case of knowledge because S does not achieve true belief because it was based on the epistemic virtue, just as a skilled shooter can make a basket even when the ball is partially blocked by a defender.  The shot is skillful—it demonstrates his basketball virtue—but it went in the basket because the trajectory was altered.  Finally, S’s belief that p can be true, based on an epistemic virtue, and true because based on that virtue.  Only then is the true belief a case of knowledge.  It is not just a matter of luck, as it is in the cases of the unskilled shooter and the skilled shooter whose shot is blocked.

With these distinctions in place, Sosa then distinguishes animal knowledge and reflective knowledge such that, roughly, animal knowledge is based on an epistemic virtue (say, on vision) and is thus reliably produced and non-accidental, whereas reflective knowledge is animal knowledge plus an understanding of how the bit of animal knowledge at issue came about.  That is, reflective knowledge requires metabeliefs about, among other things, how one’s target object-level belief was produced and how it coheres with one’s other object-level beliefs.  One potential problem here—and pretty much anywhere that meta-belief is introduced as a necessary condition—is the threat of regress.  If meta-belief is required to certify an instance of reflective knowledge, then what certifies that meta-belief?  A meta-meta-belief?  And if that question-and-answer is proper, then what principle can be presented to stop the question from being asked anew?  That is, what prevents us from rightly asking about the meta-meta-belief?

If we think of Greco’s stable character traits as epistemic virtues, then Greco’s and Sosa’s positions are both virtue epistemologies—they both say that knowledge is true belief formed from epistemically virtuous processes or faculties, and that it is to the agent’s credit that she has achieved true belief.  Virtue or agent reliabilism is also touted as the basis of a solution to the value problem for reliabilism, discussed above.  The idea is that knowledge is more valuable than true belief, but the added value is not in the belief itself, but “in” the agent, insofar as she deserves credit for her true belief.

5. Tracking and Anti-Luck Theories

This final section discusses local versions of reliabilism, whose aim is to develop an account of knowledge that eliminates knowledge-precluding epistemic luck.  Instead of focusing on the reliability of general processes with a view toward explicating justification, they focus on the specific belief at issue, together with the token method by which the belief is formed, and ask, “Though the belief is true, might it have easily been false?”  If “yes,” this is an indication that the belief is true partly by luck, and is thus not an instance of knowledge.  If the answer is “no,” then the belief, given the method by which it was formed, tracks the truth, is therefore not merely lucky, and is a case of knowledge.  Because the theories discussed in this section share process reliabilism’s commitments to externalism and fallibilism, and because these theories aim to explicate how knowledge requires more than an accidental connection between belief and truth—it requires a reliable link—they belong in the reliabilist family.

a. Sensitivity

Perhaps the most well-known, widely discussed, but also widely criticized tracking theory is Robert Nozick’s (1981) sensitivity theory.  Nozick presents two tracking conditions necessary for knowledge, both modalized— that is, both appealing to considerations about what would be the case in nearby possible worlds.  He calls the combination of the two conditions “sensitivity”.

The first condition is variance: S knows that p only if, were p false, S would not believe that p. For example, suppose Smith believes truly that the cat is on the mat, but the method by which she forms the belief is tea-leaf reading.  On the plausible assumption that this method is not a good means to form true belief, if it were false that the cat is on the mat, Smith would believe it anyway, using her method.  She is just lucky to have actually achieved true belief, and thus does not know.

Second, adherence: S knows that p only if, were p true, S would believe that p.

Suppose Jones believes truly that today is Friday, but her method is to believe that it is Friday whenever Johnson wears a green shirt.  If Johnson had shown up wearing a red shirt on a Friday, Jones would believe that it is not Friday, violating the adherence condition.  Jones would have a lucky true belief, which is not a case of knowledge.

Somehow over the intervening three decades since Nozick’s book was published, the term “sensitivity” has come to apply just to the variance condition, which is arguably the most interesting and crucial of the two because it clearly establishes a discrimination requirement for knowledge—one knows that p only if one can discriminate the actual world where p is true from various close worlds where p is false.  (See also Dretske (1971) and Goldman (1976) for versions of a discrimination requirement that anticipate Nozick’s sensitivity.)  The ensuing discussion focuses on variance, which will be referred to as “sensitivity”.

Sensitivity has faced numerous problems in the literature.  First, it appears to violate the very plausible principle that knowledge is closed under known entailment—that if S knows that p, and S knows that p entails q, then S is at least in a position to know that q (and would know that q if she deduced it from what she knows).  For example, suppose that S knows she is typing at her computer.  If it were false, she would not believe it based on her actual method of forming belief, which involves, say, at least vision, because she would be doing something else and would see that she’s not typing.  S knows, too, that if she is typing at her computer, then she is not a BIV.  Among other things, BIVs don’t have hands, so they cannot type.  It would seem that, by closure, S could simply deduce that she’s not a BIV.  But that belief is insensitive—by hypothesis, if S were a BIV, she would not believe that she is, because she would have exactly the same experiences she does in the actual world.  Closure failure. Tim Black (2002) argues for a version of Nozickean sensitivity that construes the methods by which one forms belief externalistically, thereby showing how sensitivity-based knowledge that one is not a BIV is possible, thus restoring closure. The basic idea is that one can know one is not a BIV because, in a BIV world, one’s method would be different than the method one uses in the actual world; in particular, BIV world beliefs are not really perceptual (because BIVs don’t have the normal sensory apparatus). Thus one’s actual perceptual method (on this construal of methods) would not lead one to believe, in a BIV world, that one is not a BIV. Some other method would or might do this, but not the actual method.

Second and third, it has been argued that sensitivity is incompatible with higher-level knowledge (Vogel, 2000)—knowledge that one knows—and with inductive knowledge (Vogel 2000; Sosa 1999).  Suppose that S knows that p.  Does she know that she knows that p, or even that she has a true belief that p?  Of course, many philosophers reject the thesis that knowledge requires knowing that one knows, but the objection is that sensitivity is incompatible with ever knowing that one knows.  Why?  Because if it were false that one knows that p, one would still believe that one knows that p.  (See Vogel for a precisely rendered version of this argument.  See Becker (2006a) for a counterargument meant to show how sensitivity is compatible with higher-level knowledge.)  Sensitivity is claimed to be incompatible with inductive knowledge because when one’s true belief is formed from reliable induction, there are nearby worlds where one’s inductive base is the same and so one forms the same belief, but the belief is false.  Sosa’s trash chute case is a widely cited example.  As I often do, I go to the trash chute to dump some garbage and believe that it will fall to the basement.  But if it were false that it will fall, I would still believe that it will fall.  Sosa argues that his preferred safety condition, the second of the two tracking conditions to be discussed herein, can handle inductive knowledge better than sensitivity.

A fourth problem for sensitivity is based on Timothy Williamson’s (2000) margins-for-error considerations.  Suppose Jones is six-foot-ten, and Smith believes that Jones is at least six feet tall.  If Jones were only five-foot-eleven-and-a-half inches tall, Smith might very well believe that Jones is at least six feet tall.  Smith is a decent judge of height, but not perfect.  Sensitivity is violated even though, intuitively, surely Smith knows that [the six-foot-ten] Jones is at least six feet tall.  The problem is that knowledge (or knowledgeable belief) requires a margin for error, and the sensitivity condition fails to account for this.  Williamson argues that the need for an error margin motivates a safety condition on knowledge.  Becker (2009) argues that, on a Nozickean construal of the methods by which one forms belief, Williamson’s counterexamples can be defanged.  The idea, applied to the present case, is to distinguish the method that Smith actually uses in coming to believe that Jones is at least six feet tall from the method that Smith would use in believing that Jones is at least six feet tall if Jones were only five-foot-eleven-and-a-half.  If the methods are distinct, then one can say that Smith would not believe, using her actual method, that Jones is at least six feet tall in the closest worlds where this is false, hence Smith actually knows that Jones is at least six feet tall.  And if the methods were not distinguishable, one might rightly argue that Smith is simply a terrible judge of height and does not know that Jones is at least six feet tall in the actual case.

b. Safety

There is another anti-luck condition receiving a lot of recent attention, and it was designed in large part as a response to the problems with sensitivity.  It is called “safety”, and, like sensitivity, is sometimes cast in subjunctive terms, but often given a possible worlds construal.  Safety says that S knows that p only if, were S to believe that p, p would be true.  Alternatively put, S knows that p only if, in many, most, nearly all, or all nearby worlds (depending on the strength of the principle endorsed by the particular theorist) where S believes that p, p is true.  The anti-luck intuition at the heart of safety is that S knows that p only if S’s belief could not easily have been false.  That safety requires true belief throughout nearby worlds ensures this result.

Notice that safety sounds, on first hearing, like the contrapositive of sensitivity.  (“If S were to believe that p, p would be true” versus “If p were false, S would not believe that p.”)  It is important to see that subjunctive conditionals do not contrapose, else the principles would be equivalent.  The difference can be illustrated by means of an example, which also serves to demonstrate one of the major advantages claimed for safety over sensitivity.  Take the proposition I am not a BIV (where “I” refers to the agent, S).  If that were false, by hypothesis, S would believe that it is true anyway, and therefore, according to the sensitivity principle, S does not know that she is not a BIV.  But in all the nearby worlds were S believes that she is not a BIV, it is true (assuming, of course, that the actual world is rather like we believe it to be).  So safety is compatible with knowledge that radical skeptical hypotheses are false, and in turn safety upholds the closure principle.  For example, S knows—has a safe belief—that she is typing at her computer, that this entails that she is not a BIV, and also that she is not a BIV.  Safety, then, promises a Moorean response to the skeptic, thereby achieving a stronger anti-skeptical result than sensitivity, and is not committed to obvious closure violations.

Sosa (1999) explains how safety overcomes the higher-level knowledge and inductive knowledge objections to sensitivity.  Suppose S knows that p.  Is safety compatible with S’s knowing that she knows that p?  Because her belief that p is safe, p is true in the nearby worlds where she believes that p.  Then, S’s belief that her belief that p is also safe, because the first-level belief is true throughout nearby worlds, and in those worlds, S believes that her first-level belief is true.  That is, S’s belief that q—her belief that p is true—is true throughout nearby worlds, because her belief that p is true is itself true throughout nearby worlds.

Safety also appears to be compatible with inductive knowledge.  In the previously mentioned trash chute case, S’s belief is safe because, in most nearby worlds where S believes that the garbage will fall to the basement, it is true.  John Greco (2003) questions this result by juxtaposing two cases.  In order to reconcile safety with inductive knowledge, the principle needs a somewhat weak reading: S’s belief is safe if and only if it is true throughout most nearby worlds.  On the other hand, in order to account for the intuition that one does not know that one’s lottery ticket will lose, safety requires a stronger formulation: S’s belief is safe if and only if it is true throughout all nearby worlds.  Why?  Because given the incredible odds against winning the lottery, say, 1 in 10 million, there are extremely few nearby worlds where one wins.  If we carry the strong reading over to the trash chute case, then it would seem that S’s belief is not safe.  After all, there are many nearby possible worlds where, for whatever reason, the bag does not fall to the basement.  Presumably, S would believe that the bag will fall anyway, and therefore her belief violates safety.

Duncan Pritchard (2005, chapter 6) argues that this conflict is illusory, and that paying close attention to the details of the cases described can resolve it.  “As Sosa describes [the trash chute case], there clearly isn’t meant to be a nearby possible world where the bag snags on the way down” (Pritchard 2005, 164).  Thus even the strengthened version of safety is claimed to be compatible with inductive knowledge in the trash chute case.  On the other hand, if there are nearby worlds where the bag gets snagged, then safety is violated, but in that case, perhaps it is correct to say that S does not knows that the bag will drop.

It is worth noting, too, that Pritchard’s path to endorsing the safety principle begins with his general characterization of luck, the central element of which is this: “If an event is lucky, then it is an event that occurs in the actual world but which does not occur in a wide class of the nearest possible worlds where the relevant initial conditions for that event are the same as in the actual world” (Pritchard 2005, 128).  Knowledge-precluding epistemic luck, then, occurs where one’s belief is true, but there are nearby worlds where her belief, formed in the same way as in the actual world, is false.  Thus Pritchard has a more general, independent motivation for safety than just a desire to overcome problems with sensitivity.

Timothy Williamson (2000) has also advocated safety.  One crucial consideration in his work is that knowledge, as we saw above in the discussion of sensitivity, requires a margin for error.  He argues that sensitivity does not always respect those margins.  (Recall the case of Smith’s belief that Jones [who is six-foot-ten] is at least six feet tall—if Jones were five-eleven-and-a-half, Smith (by hypothesis) would believe falsely that Jones is at least six feet tall, even though Jones knows in the actual case.)  Safety is designed with the need for an error margin in mind, precisely because it requires that S’s belief is true throughout nearby worlds.

One of safety’s central positive features also constitutes a potential problem for it—that it grounds the Moorean strategy for defeating the skeptic and thereby upholds closure.  For many philosophers, it is very difficult to see how a person could know she is not a BIV.  Putting the point in a way that perhaps sounds question-begging in favor of sensitivity, one might say that S simply cannot know that radical skeptical hypotheses are false because she would believe, for example, that she is not a BIV even if she were one—she simply cannot tell the difference between BIV worlds and normal worlds.  Whether one deems this a serious problem depends on whether one believes that knowledge always requires a capacity to discriminate worlds where p is true from worlds where p is false.  If one is not moved by any such discrimination requirement, one will not be moved by this objection.

See Becker (2006b) for a criticism of safety that does not hinge on discrimination per se, but which shows how safety is compatible with knowledge-precluding luck when a safe belief is formed by an unreliable belief forming process.  Sosa (2000, note 10) seems to have anticipated a similar concern: “what is required for a belief to be safe is not just that it would be held only if true, but rather that it be held on a reliable indication,” whereas Becker’s examples hinge on unreliably formed belief.  Whether the reliability requirement ought to be built into safety or added as a further necessary condition for knowledge is a separate issue.

This section provided an overview of the two main anti-luck tracking principles discussed in the contemporary literature.  Together with the preceding discussions of precursors to process reliabilism, process reliabilism itself, and close cousins, such as proper function theory and agent reliabilism, the reader should now be well-placed to investigate the varieties of reliabilism in some depth.

6. Conclusion

There are many possible motivations for a reliabilist account of knowledge: its naturalistic orientation makes it ripe for interdisciplinary investigation, particularly with cognitive science; its externalist underpinning makes possible both an account of unreflective knowledge and a strategy against the skeptic; its aim to elucidate a real link between belief and truth makes it a plausible basis for justification and suggests ways of handling knowledge-precluding luck.  Though reliabilism takes many forms, each focuses on the truth-conduciveness of the process or specific method through which belief is formed.  Reliabilism makes no antecedent commitment to traditional ideas about knowledge— for example, that one must have accessible reasons for belief, or that one must fulfill one’s epistemic duty to count as knowing— and therefore admits of more flexibility in its possible developments.

7. References and Further Reading

 

 

  • Armstrong, D. 1973. Belief, Truth, and Knowledge (London: Cambridge University Press).
    • This is an early reliabilist account of knowledge, according to which knowledge requires a law-like connection between the state of affairs that p and one’s belief that p.
  • Becker, K. 2006a. “Is Counterfactual Reliabilism Compatible with Higher-Level Knowledge?” dialectica 60:1, 79-84.
    • Replies to Vogel’s (2000) argument that sensitivity is incompatible with knowing that one knows, or knowing that one has a true belief.
  • Becker, K. 2006b. “Reliabilism and Safety,” Metaphilosophy 37:5, 691-704.
    • Argues that safety (or any tracking principle) is insufficient, by itself, to eliminate knowledge-precluding luck due to faulty belief-forming processes.
  • Becker, K. 2008. “Epistemic Luck and The Generality Problem,” Philosophical Studies 139, 353-66.
    • Argues that there are two distinct sources of epistemic luck, so an anti-luck theory requires two distinct “reliability” conditions: one local, one global.  Together, the two conditions provide a basis for a solution to the generality problem.
  • Becker, K. 2009. “Margins for Error and Sensitivity: What Nozick Might Have Said,” Acta Analytica 24:1, 17-31.
    • Explains how, on a particular Nozickean conception of the methods by which an agent forms belief, sensitivity theorists can avoid Timothy Williamson’s counterexamples to sensitivity that are based on the plausible idea that knowledge requires a margin for error.
  • Beebe, J. 2004. “The Generality Problem, Statistical Relevance and the Tri-Level Hypothesis,” Noûs 38:1, 177-95.
    • Argues that the generality problem can be solved by appeal to the tri-level hypothesis for cognitive processing, which distinguishes three basis levels of explanation: computational, algorithmic, and implementation.
  • Bergmann, M. 2006. Justification Without Awareness (Oxford: Oxford University Press).
    • Defends externalism about justification, after presenting a dilemma for internalism—that it leads either to vicious regress or to skepticism.
  • Black, T. 2002. “A Moorean Response to Brain-in-a-vat Skepticism,” Australasian Journal of Philosophy 80, 148–163.
    • Explains how, on an externalist conception of the methods by which one forms belief, Nozickean sensitivity can account for knowledge that radical skeptical hypotheses are false, which in turn can allow sensitivity theorists to uphold closure.
  • BonJour, L. 1980. “Externalist Theories of Empirical Knowledge,” Midwest Studies in Philosophy 5, 53-73.
    • Argues that externalist theories of justification and knowledge are insufficient because one can have, say, reliably formed belief, but in some cases those beliefs will be irrational.
  • BonJour, L. 1985. The Structure of Empirical Knowledge (Cambridge, MA: Harvard University Press).
    • Presents a master argument against foundationalism, and then a dilemma for internalist foundationalists who appeal to “the given”, while arguing that externalism, as a plausible way out of the dilemma, fails to answer to our concept of justification.
  • Cohen, S. 1984. “Justification and Truth,” Philosophical Studies 46:3, 279-95.
    • Presents the New Evil Demon problem, which aims to show that one could have lots of justified beliefs, all of which are false.
  • Cohen, S. 2002. “Basic Knowledge and the Problem of Easy Knowledge,” Philosophy and Phenomenological Research LXV:2, 309-29.
    • Presents two arguments to show that theories that allow basic knowledge—knowledge from a reliable source but where one need not know that the source is reliable—permit implausible bootstrapping from the basic source to achieve knowledge that the source itself is reliable.
  • Comesaña, J. 2006. “A Well-Founded Solution to the Generality Problem,” Philosophical Studies 129, 27-47.
    • Argues that any adequate epistemological theory requires an account of the basing relation, and that such an account can be the basis of a solution to the generality problem for reliabilism.
  • Conee, E. and Feldman, R. 1998. “The Generality Problem for Reliabilism,” Philosophical Studies 89, 1-29.
    • Formulates the generality problem for reliabilism and argues that proffered solutions extant in the literature fail to solve it.
  • Dretske, F. 1971. “Conclusive Reasons,” Australasian Journal of Philosophy 49:1, 1-22.
    • Presents an account of knowledge-constituting reasons that anticipates Nozick’s variance condition (which has come to be known as sensitivity).
  • Feldman, R. 1985.  “Reliability and Justification,” The Monist 68:2, 159-74.
    • Formulates the generality problem for reliabilism in terms of a dilemma, where one horn is the single case problem, and the other horn is the no-distinction problem.
  • Feldman, R. and Conee, E. 1985. “Evidentialism,” Philosophical Studies 48, 15-34.
    • Offers an account of justification and well-foundedness in terms of the fit between one’s doxastic attitude and one’s evidence.
  • Fumerton, R. 1995.  Metaepistemology and Skepticism (Rowman & Littlefield, Lanham, MD).
    • Elicits relationships between metaepistemological topics, such as the analysis of knowledge, and skepticism, and argues that externalism fails to take skeptical concerns seriously.
  • Gettier, E. 1963. “Is Justified True Belief Knowledge?” Analysis 23:6, 121-2
    • Presents two widely accepted counterexamples to the tripartite analysis of knowledge as justified true belief.
  • Goldman, A. 1967. “A Causal Theory of Knowing,” Journal of Philosophy 64:12, 355-72.
    • Argues that knowledge requires a causal connection between an agent’s belief and the state of affairs that makes the belief true, partly motivated by Gettier’s counterexamples.
  • Goldman, A. 1976. “Discrimination and Perceptual Knowledge,” Journal of Philosophy 73:20, 771-91.
    • Argues that perceptual knowledge requires a capacity to distinguish the fact that p from close possibilities where p is false, anticipating Nozick’s sensitivity condition.
  • Goldman, A. 1979. “What Is Justified Belief?” in G. Pappas, ed. Justification and Knowledge (Dordrecht: D. Reidel), 1-23.
    • Aims to provide a substantive account of justification, in non-evaluative terms, by reference to reliable, that is, truth-conducive, belief-forming processes.
  • Goldman, A. 1986. Epistemology and Cognition (Cambridge, MA: Harvard University Press).
    • Continues and elaborates the reliabilist theory of justification.  Explains how thinking of reliability in terms of truth-conduciveness in “normal worlds” helps to answer the objection that (actual) reliably formed belief is insufficient for justification.
  • Goldman, A. 1988. “Strong and Weak Justification,” in J. Tomberlin, ed. Philosophical Perspectives 2, 51-69.
    • By distinguishing strong justification (as actually reliably formed belief) from weak justification (as believed reliably formed belief), replies to the objections that reliability is neither necessary nor sufficient for justification.
  • Goldman, A. 1992. “Epistemic Folkways and Scientific Epistemology,” Liaisons: Philosophy Meets the Cognitive and Social Sciences (Cambridge, MA: MIT Press), 155-75.
    • Offers a virtue-theoretic approach to understanding reliably formed belief, which in turn is the basis for justification.
  • Goldman, A. 2008. “Immediate Justification and Process Reliabilism,” in Q. Smith, ed. Epistemology: New Essays (Oxford: Oxford University Press), 63-82.
    • Argues that reliabilism is uniquely suited to account for basic beliefs—those not justified by reference to other beliefs—thereby permitting a foundational epistemology that is not threatened by a regress of reasons.
  • Greco, J. 2003. “Virtue and Luck, Epistemic and Otherwise,” Metaphilosophy 34:3, 353-66.
    • Argues that epistemic luck is better handled by agent reliabilism, where knowledge requires true belief acquired through the exercise of an agent’s character traits, than it is by extant versions of modal principles (like safety) or by proper function accounts.
  • Heller, M. 1995. “The Simple Solution to the Problem of Generality,” Noûs 29, 501-515.
    • Argues that the notion of reliability is context-sensitive, which provides a basis for a solution to the generality problem.
  • Klein, P. 1999. “Human Knowledge and the Infinite Regress of Reasons,” in J. Tomberlin, ed. Philosophical Perspectives 13, 297-325.
    • Argues that an infinite regress of reasons is not always vicious and thus infinitism is a better alternative to foundationalism and coherentism.
  • Kornblith, H. 2008. “Knowledge Needs No Justification,” in Q. Smith, ed. Epistemology: New Essays (Oxford: Oxford University Press), 5-23.
    • See the title.
  • Lehrer, K. 1990. Theory of Knowledge (Boulder: Westview Press).
    • His “Truetemp” example aims to show that reliably formed true belief is sufficient neither for justification nor for knowledge.
  • Markie, P. 2005. “Easy Knowledge,” Philosophy and Phenomenological Research LXX:2, 406-16.
    • Aims to avoid the problem of easy knowledge for theories that allow basic beliefs to be justified, by distinguishing between when a belief is justified—say, the belief that one’s belief-forming process is reliable—and when that justification is of use against the skeptic.  We can bootstrap our way into the former justification, but it does not put us in a position to satisfy the skeptic.
  • Moser, P. 1989. Knowledge and Evidence (Cambridge: Cambridge University Press).
    • Presents a causal theory of the basing relation—of the reasons for which a belief is held.
  • Nozick, R. 1981. Philosophical Explanations (Cambridge, MA: Harvard University Press).
    • Epistemological concerns constitute less than one-fourth of this impressive book (which also includes discussions of metaphysics, ethics, and the meaning of life).  Nozick presents his subjunctive conditional, or ‘tracking’ theory, which includes his variance condition, now known simply as sensitivity.
  • Plantinga, A. 1993. Warrant and Proper Function (New York: Oxford University Press).
    • Argues that warrant—whatever it is that ties one’s belief to the truth, constituting knowledge—depends on the proper functioning of cognitive faculties.
  • Plato. Meno. (Many translations)
    • A dialogue on the nature of virtue and whether it can be taught.  The question of the value of knowledge is first presented here.
  • Plato. Theaetetus. (Many translations)
    • A dialogue on the nature of knowledge.  Near the end, Socrates considers the view that knowledge is true opinion or judgment with an account, closely related to the traditional tripartite analysis of knowledge as justified true belief, and finds it deficient.
  • Pollock, J. and Cruz, J. 1999. Contemporary Theories of Knowledge, 2nd edition (Lanham, MD: Rowman and Littlefield).
    • Surveys contemporary epistemology and its problems.  Also presents a problem for Goldman’s ‘normal worlds’ approach to understanding reliability.
  • Pritchard, D. 2005. Epistemic Luck (Oxford: Oxford University Press).
    • Offers a general characterization of luck, in which terms epistemic luck is formulated.  Argues that epistemic luck is best eliminated by a safety condition on knowledge.
  • Quine, W.V. 1969. “Epistemology Naturalized,” Ontological Relativity and Other Essays (New York: Columbia University Press), 69-90.
    • Argues, largely on the basis of failed attempts to understand how philosophy can provide foundations for science, that science itself needs to be pressed into the service of answering philosophical questions.
  • Ramsey, F.P. 1931. “Knowledge,” in R.B. Braithwaite, ed. The Foundations of Mathematics and Other Essays (New York: Harcourt Brace).
    • Proposes the first version of a reliabilist account of knowledge.
  • Riggs, W. 2002. “Reliability and the Value of Knowledge,” Philosophy and Phenomenological Research 64:1, 79-96.
    • Argues that reliabilists can cite a source of value in reliably formed belief because the latter indicates credit due to the agent.
  • Sosa, E. 1991. Knowledge in Perspective (Cambridge: Cambridge University Press).
    • Presents a virtue-theoretic account of justification, where the concept of justification attaches primarily to beliefs formed from intellectual virtues, or stable dispositions for acquiring beliefs.
  • Sosa, E. 1991. 1999. “How to Defeat Opposition to Moore,” Philosophical Perspectives 13, 141-53.
    • Criticizes sensitivity on the grounds that it is incompatible with inductive and higher-level knowledge, and argues that safety better handles these kinds of knowledge and provides the basis for a neo-Moorean anti-skeptical strategy.
  • Sosa, E.. 2000. “Skepticism and Contextualism,” Philosophical Issues 10, 1-18.
    • Criticizes contextualism but, more importantly for present purposes, claims that safety must somehow be wedded to a “reliable indication” requirement to be sufficient, in addition to true belief, for knowledge.
  • Sosa, E.. 2007. A Virtue Epistemology: Apt Belief and Reflective Knowledge,Volume I (Oxford: Oxford University Press).
    • Distinguishes animal knowledge (apt belief) from adult human, or reflective knowledge, and takes a virtue-theoretic approach to both.
  • Steup, M. 2003. “A Defense of Internalism,” in L. Pojman, ed. The Theory of Knowledge, 3rd edition (Belmont, CA: Wadsworth), 310-21.
    • Defends internalism about justification, and characterizes internalism as the thesis that all factors that justify belief must be recognizable on reflection, thus discounting mere de facto reliability as justificatory.
  • Vogel, J. 2000. “Reliabilism Leveled,” The Journal of Philosophy 97:11, 602-23.
    • Criticizes both local and global versions of reliabilism.  Among other things, on the former, Vogel argues that sensitivity is incompatible with knowing that one has a true belief, and on the latter, presents the problem of easy knowledge.
  • Williamson, T. 2000. Knowledge and its Limits (New York: Oxford University Press).
    • Presents a wide range of novel theses about knowledge, including the claims that knowledge is a mental state, that it cannot be analyzed, and that it requires a margin for error, which prompts Williamson to argue for a version of safety.
  • Zagzebski, L. 2003. “The Search for the Source of Epistemic Good,” Metaphilosophy 34:1/2, 12-28.
    • Criticizes the machine-product model of knowledge on which reliabilism seems to depend for not being able to explain the unique value of knowledge.  Replaces this model with an agent-act model.

Author Information

Kelly Becker
Email: kbecker “at” unm “dot” edu
University of New Mexico
U. S. A.

Śāntideva (fl. 8th c.)

Śāntideva (literally “god of peace”) was the name given to an Indian Mahāyāna Buddhist philosopher-monk, known as the author of two texts, the Bodhicaryāvatāra and the Śikṣāsamuccaya. These works both express the ideal of the bodhisattva — the ideal person of Mahāyāna Buddhism. The term Mahāyāna, literally “Great Vehicle,” came into use to mean the idea of attempting to become a bodhisattva (and eventually a buddha) oneself, rather than merely following the teachings set out by Siddhārtha Gautama (considered the original Buddha). This was the earliest usage of the term mahāyāna in Sanskrit, although even by Śāntideva’s time, understandings of what becoming a bodhisattva involved had undergone many changes; the Mahāyāna had come to be understood as a separate school rather than as a vocation (see Nattier 2003; Harrison 1987).

Both of Śāntideva’s texts explore the bodhisattva ideal as an ethical one, in that they prescribe how a person should properly live, and provide reasons for living in that way. Śāntideva’s close attention to ethics makes him relatively unusual among Indian philosophers, for whom metaphysics (or theoretical philosophy more generally) was more typically the primary concern. Śāntideva’s ethical thought is widely known, cited  and loved among Tibetan Buddhists, and is increasingly coming to the attention of Western thinkers. Śāntideva’s metaphysics is of interest primarily because of its close connection to his ethics.

Table of Contents

  1. History and Works
    1. Writings
    2. Life
    3. Reception and Influence
  2. The Progress of the Bodhisattva
  3. Excellence in Means
  4. Good and Bad Karma
  5. The Perfections
    1. Giving
      1. Giving as Giving Up
      2. Upward Gifts: Expressing Esteem
      3. Downward Gifts: Attracting Others
    2. Good Conduct
    3. Patient Endurance
      1. Happiness from Enduring Suffering
      2. The Case Against Anger
    4. Heroic Strength
    5. Meditation
      1. Equalization of Self and Other
      2. Exchange of Self and Other
      3. Meditations Against the Three Poisons
    6. Metaphysical Insight
      1. Content
      2. Practical Implications
  6. References and Further Reading
    1. Primary Works
    2. Translations Cited
    3. General Studies of Śāntideva
    4. Specialized Studies
    5. Related Interest

1. History and Works

a. Writings

The name “Śāntideva” is associated above all with two extant texts: the Bodhicaryāvatāra (hereafter BCA) and the Śikṣāsamuccaya (hereafter ŚS). The Bodhicaryāvatāra (often rendered “Guide to the Bodhisattva’s Way of Life”), in its most widely known form, is a work of just over 900 verses. Tibetan legends suggest that the text was originally recited orally (see de Jong 1975), as do the text’s own literary features. Although it has been translated into Tibetan multiple times and is revered throughout Tibetan Buddhist tradition, it was originally composed and redacted in Sanskrit. Its Sanskrit is relatively close to Pānini’s official standards of grammar, with a Buddhist vocabulary.  Its ten chapters lead their reader through the path to becoming a bodhisattva — which is to say a future Buddha, and therefore a being on the way to perfection, according to Mahāyāna tradition.

The Śikṣāsamuccaya (“Training Anthology”) is a longer prose work in nineteen chapters. The ŚS is organized as a commentary on twenty-seven short mnemonic verses known as the Śikṣāsamuccaya Kārikā (hereafter ŚSK). It consists primarily of quotations (of varying length) from sūtras, authoritative texts considered to be the word of the Buddha — generally those sūtras associated with Mahāyāna tradition. Most scholars have taken the ŚS to be composed almost entirely of such quotations. However, Paul Harrison (2007) has recently claimed that a substantial portion of it is original to the redactor.

Like the BCA, the ŚS was originally composed in Sanskrit, as were the sūtras it quotes. However, while Śāntideva’s own portions are in relatively standard Sanskrit, the quotations are mostly in the heavily vernacularized language usually known as Buddhist Hybrid Sanskrit. It is considerably less accessible to a novice reader than the BCA, and its organization can be bewildering. Richard Mahoney (2002) has recently provided a clear account of the text’s structure, which will be discussed later in this article.

Who were these texts written for? One can infer from the texts that they are intended for an audience of men whose sexual desires are directed toward women, as the auditor’s sexual cravings are always discussed in those terms. Therefore, the use of masculine forms to refer to the implied audience is unproblematic. This auditor also understands Sanskrit, and lives in or after the seventh century CE. His knowledge of Sanskrit implies, at the least, that he is well educated, and therefore well versed in the ideas of classical Sanskritic culture. And he is not necessarily on the bodhisattva path when he begins reading or hearing the texts, but is motivated to enter that path by studying them.

The texts’ implied audience includes monks, and may also include householders (nonmonks). While monks are a significant component of the text’s implied audience (Onishi 2003), and are in some respects the ideal audience, they are not necessarily the only such audience. The principles of conduct put forth in the BCA’s fifth chapter resemble those of vinaya monastic codes, and indeed some of them have been taken directly from the prātimokṣa monastic rule books (Crosby and Skilton 1995, 32), but few of them would be impossible or absurd for a householder to follow. In the ŚS, too, Śāntideva certainly considers monasticism better and more praiseworthy than the householder life, but part of his task is to convince householding readers to pursue the monastic life. He claims that “in every birth the great bodhisattva goes forth [as a monk] . . . from the household life” (ŚS 14). But this is a process renewed in every lifetime, beginning with the household life; and Śāntideva does refer on multiple occasions to householding bodhisattvas (for example at ŚS 120 and 267). This text, then, is addressed in part to householders.

b. Life

Tibetan hagiographic histories (Bu ston, Tāranātha, Ye shes dPal ‘byor and Sum pa mKhan po) provide the most detailed accounts of Śāntideva’s life, although most contemporary historians doubt their veracity. In brief, they tell of a prince from Saurāstra (in contemporary Gujarat) who joined the great monastic university of Nālandā. His fellow monks, unaware of his wisdom, saw only a lazy man unworthy of their company. To prove his presumed lack of knowledge, they asked him to recite a Buddhist sūtra text. Śāntideva, undaunted, asked whether they would like to hear something old or something new. Asked for something new, he proceeded to recite the BCA. When he reached verse IX.34 — “When neither an entity nor a nonentity remain before thought, then thought, with no object, is pacified because it has no other destination” — he rose into the air and his body disappeared. The remainder of the text was recited by a disembodied voice. The written text of the ŚS, the voice told the audience, could be found in Śāntideva’s room, along with a text called the Sūtrasamuccaya (Pezzali 1968, 4-20). There is some debate among scholars as to the nature of the latter work, but all agree that the title does not refer to any additional surviving work of Śāntideva’s, and that the BCA and ŚS constitute his extant corpus (see Lele 2007, 17n8).

Beyond the hagiographies, most of what we know of Śāntideva comes from the ideas found in extant recensions of his texts. This article treats Śāntideva’s works together, as the works of a single author, as Indian and Tibetan Buddhist tradition has always done; similarly, it refers to the ideas found in the canonical Sanskrit recensions of the texts, not to the Tibetan or to the BCA recension found at Dunhuang. Since the article’s approach is to examine the ideas of this author, Śāntideva, it spends relatively little time on the structure of each of his two texts as separate units. For an overview of the relevant textual issues and a defense of this article’s approach to the texts, see Lele 2007, 9-31. More specifically, for a discussion of the Dunhuang recension, see Saito 1993. For discussions of the structure of the BCA, see Crosby and Skilton 1995; Saito 1993. For discussions of the structure of the ŚS, see Clayton 2006; Griffiths 1999, 133-43; Hedinger 1984; Mahoney 2002; Mrozik 2007. On both, see Pezzali 1968.

It is difficult to learn much about the texts’ historical composer, or their redactor, beyond what is found in the texts themselves. As noted, Tibetan historians recount the life story of a Śāntideva identified as the texts’ author, but it is difficult to sort fact from legend with so little corroborating evidence. There seems little reason to doubt that someone by the name of Śāntideva wrote some portion of the two texts, or that he was a monk at Nālandā. (The Tibetan historians agree on this last point, and based on what we know of Indian Buddhist history it seems a likely place for historically significant Buddhist works to have been composed.) Paul Griffiths (1999, 114-24) uses the accounts of Chinese and Tibetan visitors to reconstruct a detailed account of what life and literary culture at Nālandā might have looked like.

Beyond these points, we can say relatively little beyond the approximate date of the texts’ composition. The Tibetan translator Ye shes sde, who rendered the BCA into Tibetan, worked under the king Khri lde srong brtsan (816-838 CE), so it must have been composed before that time (Bendall 1970, v). Since the Chinese pilgrim Yijing (or I-tsing) mentions all the major Indian Mahāyāna thinkers known in India but does not mention Śāntideva, it is likely that these texts were composed, or at least became famous, after Yijing left India in 685 CE (Pezzali 1968, 38). We may therefore assign Śāntideva an approximate date of  sometime in the eighth century.

c. Reception and Influence

As historical evidence on India is difficult to come by, it is relatively difficult to ascertain Śāntideva’s influence in the later Indian Buddhist philosophical tradition. Nevertheless, a significant number of later Indian texts do refer to the BCA and ŚS (Bendall 1970, viii-x), so Śāntideva’s work must have been relatively important there.

It is far easier to speak of Śāntideva’s influence in Tibet. Tibetan Buddhists revere Śāntideva and his work, especially the BCA. All the major Tibetan texts on the stages of the bodhisattva path, such as those of Tsong kha pa and sGam po pa, quote it at length (Sweet 1977, 4-5); it is a key  source for the entire Tibetan literary genre of blo sbyong or lojong (“mental purification”) (Sweet 1996, 245). The present Dalai Lama cites it as the highest inspiration for his ideals and practices (Williams 1995, ix). Tibetan commentators have written many commentaries on the text over the years, several of which are now available in English translation (e.g. Gyatso 1986; Rinpoche 2002; Tobden 2005). While the ŚS was less influential overall, the tradition has not ignored it. In 1998 the present Dalai Lama gave public teachings on the ŚS, referring to it as a “key which can unlock all the teachings of the Buddha” (quoted in Clayton 2006, 2). Śāntideva’s work has played a significant role in other cultures influenced by Tibetan Buddhism, such as Mongolia (see, for example, de Rachewiltz 1996; Kanaoka 1963). A less influential translation of the BCA was also made into Chinese (Bendall 1970, xxix-xxx).

The BCA has also been widely translated, studied, and admired in the West. (See Onishi 2003 for a thesis-length discussion of the text’s Western reception.) Luís Gómez (1999, 262-3) even suggests that it is now the third most frequently translated text in all of Indian Buddhism, after the Dhammapāda and the Heart Sūtra. A recent introductory text (Cooper 1998) also treats the BCA as one of “the classic readings” in ethics, alongside such works as Plato’s Gorgias and Mill’s Utilitarianism.  The BCA is an appropriate choice for a reading in Buddhist ethics, for relatively few Buddhist texts make explicit ethical arguments. This situation even leads one scholar (Keown 2005, 50) to proclaim that Buddhism “does not have normative ethics,” though he does not appear to have taken Śāntideva’s work into account in making this claim (see Lele 2007, 48-52).

2. The Progress of the Bodhisattva

The central concern of both of Śāntideva’s texts is the bodhisattva, literally “awakening-being.” A bodhisattva is a being aiming to become a buddha (literally “awakened one”); the process of the final transformation into a buddha is called bodhi, “awakening,” sometimes referred to as “enlightenment.” The title Bodhicaryâvatāra, “introduction to conduct for awakening,” is usually taken to be short for Bodhisattvacaryâvatāra — “introduction to the conduct of a bodhisattva,” or “A Guide to the Bodhisattva Way of Life,” as one major translation (Wallace and Wallace 1997) has it. “Introduction to the conduct of a bodhisattva” is an appropriate description of the contents of the text, although “introduction to conduct for awakening” would be equally appropriate. Śāntideva also introduces the Śikṣāsamuccaya by claiming he will explain the sugatâtmajasamvārâvatāra, a similar phrase meaning “introduction to the requirements for the sons of the Sugatas” (ŚS 1). (Throughout Buddhist literature sugata, literally “gone well,” is a common term for buddhas, and Mahāyāna literature regularly refers to bodhisattvas as the buddhas’ sons.) The term “bodhisattva” occurs at least seven times in the nineteen chapters of the ŚS. This section examines the bodhisattva’s progress from being an ordinary person through to being a buddha, as this progress is discussed in Śāntideva’s texts.

To describe those who are neither bodhisattvas nor buddhas, Śāntideva most frequently uses the term “ordinary person,” prithagjana. He refers at one point to “all buddhas, bodhisattvas, solitary buddhas, noble searchers and ordinary people” (ŚS 9) — suggesting that ordinary people are the residual category of all those who do not fall into the previous categories. It is standard in Mahāyāna texts to refer to three “vehicles” (yāna) or paths, with the vehicles of the searcher (śrāvaka) and solitary buddha (pratyekabuddha) being distinguished from the Great Vehicle (mahāyāna) of the bodhisattva. It is quite rare, however, for Śāntideva to refer to searchers and solitary buddhas, and even buddhas appear relatively infrequently, so in practice the most important distinction in his texts is between bodhisattvas and ordinary people.

Śāntideva’s view of ordinary people is not flattering. The term “ordinary person” frequently occurs in his work alongside the term “fool” (bāla) — sometimes with the latter as a modifier (“foolish ordinary person,” bālaprithagjana, as at ŚS 61) and sometimes with the two terms used synonymously and interchangeably, as at ŚS 194. Ordinary people’s foolishness traps them in suffering; the way for them to escape from suffering is to enter the bodhisattva path and become a bodhisattva.

To become a bodhisattva, one must possess the awakening mind (bodhicitta). This mental transformation brings one out of the status of ordinary person and points one toward awakening. Śāntideva makes an important distinction between two kinds of the awakening mind: the mind resolved on awakening (bodhipraṇidhicitta) and the mind proceeding to awakening (bodhiprasthānacitta). The first, he tells us, can be reached quickly; it exists when the thought “I must become a buddha” arises as a vow (ŚS 8). He is not as explicit about the nature of the second, but in describing the first he notes that “the awakening mind is productive even without conduct” (ŚS 9), suggesting that conduct (caryā, bodhicaryā) may be what makes the difference between the mind resolved on awakening and the mind proceeding to awakening. (Brassard 2000 is a book-length study of the awakening mind and the BCA.)

It would appear, however, that possession of the mind resolved on awakening     is sufficient to make its possessor into a bodhisattva. The BCA, recall, suggests that it is intended to be ritually recited. Its reader develops the awakening mind while reciting the third chapter sincerely — saying “Therefore I will produce the awakening mind for the welfare of the world” (BCA III.23). Two verses later, the reciter, apparently not having done anything else in the intervening time, declares: “Today I have been born into the family of the buddhas; now I am a child of the buddhas,” which is to say a bodhisattva(BCA III.25).

This is not, of course, the end of the story. Such a beginning bodhisattva has just started on the path; he has a long task ahead of him. Śāntideva does not spell out the different levels of attainment that a bodhisattva may reach, but he suggests that he agrees with the account of ten stages (bhūmi) of a bodhisattva’s achievement, as set out in the Daśabhūmika Sūtra and followed in Candrakīrti’s Madhyamakâvatāra (see Sprung 1979 for a partial translation of, and commentary on, this latter text). The ŚS quotes the Daśabhūmika six times. In this context, Śāntideva distinguishes between “one who has entered a stage” (bhūmipraviṣṭa) and a beginning (ādikarmika) bodhisattva (ŚS 11), suggesting that beginning bodhisattvas have not even entered the first of the ten stages.

Notice, however, that the BCA’s reciter does not become a bodhisattva, even a beginning one, until taking the vow in the third chapter. So Śāntideva’s audience, it would seem, is not limited to bodhisattvas — a point strengthened by the profuse praises of the awakening mind in the opening chapters of both texts. The reader who starts the text might not have generated the awakening mind, hence not have started trying to become a bodhisattva, and needs to be convinced of the importance of doing so.

The eighteenth chapter of the ŚS gives some account of the end of the path. It gives a fantastical description of the buddhas — their great beauty, virtue and power (ŚS 318-22). Shortly afterwards, it also describes the qualities of bodhisattvas in similar terms  and at greater length. It is difficult to imagine how a reader who had just become a bodhisattva, taking the vow, could see himself as described by these qualities — spontaneously emitting perfumes and garlands and pearls from his body, for example (ŚS 327) — so this is likely the culmination of a long period of effort, in the last stages of which one becomes a fully realized bodhisattva. The distinctions between buddhas and fully realized bodhisattvas are not clearly spelled out; one suspects that being one of these advanced bodhisattvas is almost as good as being an actual buddha.

3. Excellence in Means

To interpret Śāntideva’s ethics in the BCA and ŚS, it is important to turn to the concept of excellence in means (upāyakauśalya). This common Mahāyāna concept is best known as a way of explaining the existence of other Buddhist traditions, as in texts like the Lotus Sūtra: the Buddha preached mainstream Buddhism as a clever way to reach people who were not ready to receive the superior teaching of the Mahāyāna. (See Pye 1978 for a book-length discussion.)

The term has a number of different senses in Buddhist tradition (see Harvey 2000, 134-40). Some Mahāyāna texts treat excellence in means as the seventh of ten perfections or virtues (pāramitā); Śāntideva does not do this, as he adheres to the conception that there are only six perfections (on which see below). For him, there are two senses in which the idea is important. The first is hermeneutical: different teachings are intended for people at different levels of ability, with the idea of ultimate truth at the very highest level (see BCA IX.2-8). For this reason the BCA is usually understood as a progressive text, leading its audience through progressively deeper levels of practice and understanding (e.g. see Crosby and Skilton 1995, 83-6). Śāntideva does not specifically use the term “excellence in means” to refer to this idea, although it is a common name for the idea in other Mahāyāna texts (Harvey 2000, 134). The second sense of the term is ethical; the idea most frequently comes up when he quotes the Upāyakauśalya Sūtra, a text which claims that bodhisattvas may break standard precepts or rules out of compassion. (The sūtra exists in Chinese and has been translated into English twice: Chang 1991, 427-68, and Tatz 1994.)

This second sense of excellence in means takes on considerable importance in contemporary discussions of Śāntideva’s ethics (e.g. Clayton 2006, 102-9) because it is under this rubric that Śāntideva comes closest to addressing the “hard cases” so beloved of contemporary moral philosophy, such as situations when one seems called on to kill in order to prevent a greater evil. While discussing excellence in means, he explains that behaviors normally forbidden, including sexual activity, can be permitted out of compassion. So too, it is to explain the importance of excellence in means that Śāntideva notes that one is permitted to kill someone about to commit a grave wrong. The idea is important to this article for similar reasons, in that it seems to be a key principle involved in what we might call Śāntideva’s casuistry — his examination of particular cases where different pieces of advice seem to collide.

For Śāntideva, a key component of excellence in means is that it is an excellence — a skill and a virtue which allows one to respond appropriately to difficult situations, if not a virtue on the official list of six perfections. There is no one formula or principle for action that Śāntideva sets out in advance (along the lines of “act to bring about the greatest happiness for the greatest number” or “act only according to that maxim you can also will to be a universal law”). As we will shortly see, there are definite elements of consequentialist reasoning in Śāntideva, but more often the bodhisattva is called on to exercise judgment, once his character is already well developed: When Śāntideva says that “even the forbidden is permitted,” it is specifically “for a compassionate one who has sight of the purpose” (BCA V.84); that is, it depends on the agent’s ability to exercise discretion in the name of compassion.

This level of discretion is evinced in the numerous places in Śāntideva’s work where difficult cases are considered. When he approves of the killing of someone about to commit a grave wrong, he says only that there is “permission” (anujñāna), not that it must be done. Similarly, in the case of alcoholics, alcohol may be given; Śāntideva uses the gerundive form deya (ŚS 271), and the gerundive in -ya does not have the imperative force of the gerundive in -tavya.

Śāntideva explicitly refers to consequences in the case of giving a weapon: one may do so after the “consideration of good or bad consequences” (ŚS 271). This is still a consideration or reflection rather than a maximizing or weighing; “consideration,” vicāra, is literally “moving around (in the mind).” A weighing of some sort comes across in introducing the possibility that one might have sex out of compassion: “even then, if one should see a greater benefit (artha) to beings, one may discard the training” (ŚS 167). Some sort of consequentialist maximizing appears to be at work here. Clayton (2006, 107) suggests that such concern for consequences means that these “examples of upāya become problematic from the perspective of a virtue ethic.” However, for Śāntideva, any true “benefit” to other beings will ultimately be an increase in their virtue. Goodman (2008) argues strongly for a consequentialist interpretation of Śāntideva’s ethics, but on the understanding that it is a “perfectionist consequentialism,” in which the consequences to be maximized consist of virtue in oneself and others.

4. Good and Bad Karma

The terms “good karma” and “bad karma,” respectively, translate the Sanskrit terms puṇya and pāpa. These terms appear very frequently in Śāntideva’s work — often as justifications for acting and feeling in a certain way. They refer to a kind of ethical causality: the process by which ethically good and bad actions (respectively) have positive and negative results. These results most characteristically, but not exclusively, include better and worse rebirths. The Sanskrit terms parallel the English usage of “good and bad karma,” thought of as the way in which one’s good or bad actions come back to affect one positively or negatively in the future. This usage corresponds exactly to the meaning of the Buddhist terms puṇya and pāpa, even though those terms do not themselves involve the Sanskrit word karma or karman (which simply means “action”). There is, at any rate, no disputing the close connection between Sanskrit karma, on the one hand, and puṇya and pāpa on the other; the latter are typically referred to in Sanskrit as karmaphala, the fruits of action.

The concepts of good and bad karma are central to Śāntideva’s thought. The ŚS is typically thought to be structured around the idea, presented inŚSK 4, that one should “protect, purify and enhance” one’s person, one’s possessions and one’s good karma, though one should also be prepared to give all of these things away (Bendall 1970, xi). ŚS 356 connects each of these verbs to good and bad karma: to “protect” something is to prevent new karmically bad mental states (dharmas) related to it; to “purify” it is to reduce the existing karmically bad states related to it; and to “enhance” it is to increase the karmically good states related to it. (Mahoney 2002, 32-9 identifies the significance of these verbs with respect to the traditional Buddhist samyakprahānas or “right strivings”.) In a certain sense, one might see the ŚS as being all about good and bad karma — a sense strengthened by the long discussions of bad karma in ŚS III, IV and VIII, and of the good karma deriving from worship in ŚS XVII. In the BCA, too, the final chapter — the highest and most important, if one adheres strictly to a progressive understanding of the text — deals with the redirection (pariṇāmanā) of good karma. Dayal (1970, 189-90) goes so far as to say that Śāntideva substituted karmic redirection for metaphysical insight as the ultimate goal of the bodhisattva path. Clayton (2006, 83) and Lele (2007, 96-7) argue that Dayal’s claim is overstated, but neither dispute that good and bad karma are vitally important to Śāntideva’s work. Clayton (2006, 67) identifies three terms closely related to good karma (kuśala, śīla and puṇya) as the most central ethical concepts in the ŚS, and even as “probably the most important ethical concepts in Indian Buddhism” more generally.

The redirection of good karma (often called “transference of merit”) is a central part of Śāntideva’s understanding of karma’s workings. He urges his readers to redirect any good karma that they acquire, so that it does not merely result in a worldly form of well-being, such as a more prosperous rebirth for oneself. This redirection can sometimes be to ensure that the good karma brings one closer to awakening instead of worldly rebirths (bodhipariṇāmanā, ŚS 158); see Kajiyama 1989 for a discussion of this first form, which is often neglected in studies of karmic redirection. More frequently, though, it means the giving up of one’s good karma to others (puṇyotsarga). This is a common idea in Buddhist texts. Buddhist stories often emphasize the supernatural nature of karmic redirection. Especially, they commonly claim or imply that ghosts (pretas or petas) are incapable of receiving physical gifts. If one wishes to give them something, it must be one’s good karma(Kajiyama 1989, 7-8).

In contemporary philosophical terms, Śāntideva’s idea of karma suggests, though not conclusively, an internal connection between virtue or ethical excellence and well-being. That is, he often uses these terms in a way that suggests that virtue is well-being in many significant senses. He does this by using puṇya in ways that make it equivalent both to virtue or excellence and to well-being or flourishing. Śāntideva uses the term for good karma (puṇya) interchangeably with the terms for good conduct (śīla) and excellence (kuśala) (see Lele 2007, 79-82)(Clayton 2006, 73). Even more frequently, however, he equates it with well-being or welfare, śubha, as Clayton (2006, 48-51) notes. This equivalence suggests a sense in which, on Śāntideva’s understanding, good karma not only produces well-being, but is well-being — constitutive of a good life, at least at the level of conventional truth. There does remain some ambiguity, however, in the sense that Śāntideva’s work also suggests that well-being is the product of the result or “ripening” (vipāka) of good karma.

This ambiguity may be compared to that in Greek conceptions of eudaimonia, which also means human welfare or flourishing, but includes a strong element of excellence (aretē) as well. To the extent that good karma is equated with excellence, Śāntideva’s thought resembles that of the Stoics, who thought that excellence alone constituted well-being. To the extent that good karma is equated with the results of excellent action, however, it looks more like Aristotle’s view, where “external goods,” outside the control of the agent’s excellence or lack thereof, are intrinsic components of well-being. (See Greek Philosophy and Stoicism.) However, Śāntideva does not ever suggest, as Aristotle does, that everyone aims at well-being but not everyone knows what it is (NE 1095a).

However we interpret the relation between action and result, it would seem that for Śāntideva good karma, as a complex of virtue and well-being, effectively constitutes its own intrinsic reason for action, as eudaimonia does. That a given action or mental state is karmically good, and that it is good per se, seem to be one and the same; Śāntideva does not make claims of the form “one should refrain from an action or mental state in spite of the good karma it generates,” or “one should have an action or mental state even though it is karmically bad.” Amod Lele argues that “there are a number of cases where it would seem like Śāntideva is saying it is not good to have more good karma, but in nearly all such cases, he actually ends up saying that the apparent loss of good karma turns out to bring more good karma” (Lele 2007, 85-7, emphasis in original).

5. The Perfections

Śāntideva typically describes the bodhisattva in terms of his six “perfections” (pāramitās); e.g., ŚS 97, 187. The perfections are beneficial and valuable traits of character, similar to Aristotelian virtues or excellences. This article renders Śāntideva’s term pāramitā as the literal “perfection” rather than as “virtue” because Śāntideva does discuss other virtues — beneficial traits of character — which are not themselves considered pāramitās, such as nonattachment and esteem.

The six perfections are nearly always arranged in ascending order: giving or generosity (dāna), good conduct (śīla), patient endurance (kṣānti), heroic strength (vīrya), meditation (dhyāna) and metaphysical insight (prajñā). An observer might be tempted to apply Aristotle’s classification  of the virtues  here and identify the first four as “moral” virtues, the sixth (and possibly the fifth) as “intellectual.” However, one should bear in mind the significance of Aristotle’s distinction: intellectual virtues are primarily attained through teaching, moral virtues through habituation (NE 1103a). Śāntideva does not distinguish the perfections in this regard; as we will see in the section on metaphysical insight below, in many ways it too is acquired through habituation.

The perfections are sufficiently important to Śāntideva’s ethical thought that  both of his texts are to some extent structured around them. The final four perfections are explicitly identified, in turn, as the topics of the BCA’s chapters VI through IX. Patient endurance and heroic strength are also identified as the topics of ŚS chapters IX and X. While the first two perfections — giving or generosity (dāna) and good conduct (śīla) — do not receive their own chapter headings, they do have an important place in Śāntideva’s ethical worldview, as we will see.

a. Giving

Śāntideva uses the term dāna to refer both to the act of giving, and to the perfection which might more idiomatically be rendered into English as generosity (dānapāramitā). He does not usually distinguish between the two. This article follows his usage and uses “giving” and “generosity” as synonyms.

Giving has relatively little role in the BCA except for its role in the redirection of good karma, mentioned above. In the ŚS, however, it takes pride of place. The first chapter of the ŚS closes by claiming that “giving alone is the bodhisattva’s awakening” (ŚS 34).  Richard Mahoney (2002), undertaking a detailed study of the ŚS’s structure, has demonstrated that the entire text is effectively organized around the idea of protecting, purifying and enhancing one’s person, possessions and good karma — culminating in giving each of these three things away.

Why is giving so important to Śāntideva? For him, giving serves at least three important and distinct purposes: first, the development of nonattachment; second, the “upward” expression of esteem (śraddhā); and third, “downward” compassionate benefit to others. Each of these three, for him, is an essential component of the bodhisattva path, and giving allows one to realize each component, though in different ways.

i. Giving as Giving Up

The first reason Śāntideva offers for giving is that one should not be attached to things in the first place; one should be ready to give them away. Śāntideva sometimes uses terms, utsarga and tyāga, which have both the sense of “giving” and of “renunciation.” By giving something to another person, one both demonstrates one’s own lack of attachment to it and minimizes the risk that it will cause future attachment. As a result, one generates a great deal of good karma. Here giving is primarily “giving up”; “giving to” is a secondary function. Śāntideva expresses this rationale for giving most forcefully in a long passage excerpted here:

What is given must no longer be guarded; what is at home must be guarded. What is given is [the cause] for the reduction of craving (triṣṇā); what is at home is the increase of craving. What is given is nonattachment (aparigraha); what is at home is with attachment (saparigraha). What is given is safe; what is at home is dangerous. What is given is [the cause] for supporting the path of awakening; what is at home is [the cause] for supporting Māra [the demonic tempter]. What is given is imperishable; what is at home is perishable. From what is given [comes] happiness; having obtained what is at home, [there is] suffering. (ŚS 19)

This passage indicates a common theme in Śāntideva’s work, one more radical than some other Buddhist takes on attachment and possession. It is not merely that a bodhisattva should avoid attachment to possessions, but that the possessions are themselves potentially harmful, because having them creates a danger of increasing one’s attachment to them. Thus Śāntideva claims elsewhere that a bodhisattva “should have fear of material gain (lābha) and of honour,” (ŚSK 16) and that “great gain is among the obstacles to the Mahāyāna” (ŚS 145).

ii. Upward Gifts: Expressing Esteem

The second reason for giving is to express one’s esteem or trust (śraddhā) in beings who have achieved a higher level on the bodhisattva path. The term śraddhā has a number of different and related senses, usually blending together: esteem, trust, confidence, devotion, faith. Maria Hibbets’s (2000) rendering “esteem” may come closest overall to the sense in which Śāntideva uses the term, though it loses the important connotation of trust. Śraddhā, Śāntideva says, is the prasāda (peaceful pleasure) of an unsoiled mind, rooted in respect (gaurava, literally “weightiness,” like the Latin gravitas), without arrogance (ŚS 5). Those without esteem oppose or ridicule buddhas (ŚS 174). One with esteem will listen whenever the Buddha’s word is spoken (ŚS 15); esteem is that by which one approaches the noble ones (Buddhas) and does not do what should not be done (ŚS 316).

When a householder makes a gift to a monk, especially a gift of food, it is called a śraddhādeya, a gift by esteem (ŚS 137-8). Similarly, when the aspiring bodhisattva makes offerings to advanced bodhisattvas and buddhas as part of the seven-part Anuttarapūjā ritual worship in BCA II.10-19, the act expresses esteem. Śāntideva does not use the word śraddhā in this passage, but the feelings it evokes match his descriptions of esteem elsewhere: a pleasurable trust in more advanced beings, recognizing their status as more advanced, that leads to better actions. Just before describing the fabulous offerings he gives, Śāntideva’s narrator describes the esteem he places in the buddhas and bodhisattvas and the good action that will result from doing so:

by becoming your possession, I am in a state of fearlessness; I make the well-being of all beings. I overcome previous bad karma and will make no further bad karma. (BCA II.9)

This esteem has deeply important benefits. It is a pleasure taken in good actions; it is “a maker of gladness about renunciation, a maker of excitement about the Jinas’ (Buddhas’) dharma” (ŚS 3). This combination of trust and pleasure leads one on to good action; as Śāntideva says, those who always have esteem toward a respectable Buddha will abandon neither good conduct nor training (ŚS 3). So the practice of esteem helps increase one’s good karma (ŚS 317).  Moreover, to encourage the growth of esteem in a giver, when an aspiring bodhisattva receives a gift, he encourages the giver and makes him feel excited about giving it (ŚS 150).

iii. Downward Gifts: Attracting Others

When one gives for either of the above reasons (expressing nonattachment or expressing esteem), one effectively does so for one’s own spiritual benefit. But Śāntideva also says that one gives to all beings (sarvasatvebhyas, ŚSK 4), for their enjoyment (ŚSK 5), adding that one also preserves the gift for the sake of their enjoyment (satvôpabhogārtham, ŚSK 6). Here he is advocating a different kind of giving, motivated by compassion and aimed at benefitting the recipient. The distinction between the second two types of giving corresponds to Maria Heim’s (Heim 2004, 74-5) distinction between “upward” and “downward” giving, out of esteem and out of compassion.

The reasons Śāntideva offers for downward giving are not as straightforward as they may first appear. For Śāntideva, the recipient of a gift benefits less from possessing the gift object, and more from receiving it in a gift encounter. When a bodhisattva gives a gift, he attracts the recipient to the bodhisattva path, so that the recipient is more likely to become a virtuous bodhisattva. The gift object itself provides little benefit, and could even be harmful (2007, 136-75).

As well as giving possessions and more conventional goods, one also gives good karma to others through its redirection (parināmanā), as noted above. Since Śāntideva tends to see good karma as intrinsically good, in this case the recipient is more likely to benefit from the gift itself. Even so, good karma involves a potential danger, since if it is not redirected it can lead merely to dangerous wealth rather than to awakening.

b. Good Conduct

Of all the perfections, Śāntideva tells us the least about the second one, śīla. This Sanskrit and Pali term has a general sense of “good conduct” or “good habits,” but its particular meaning is less clear. Unlike the final four perfections, it is not identified specifically as the single topic of a chapter in the BCA, and the chapters identified with it in the ŚS (II and V) make little reference to it. Unlike giving, it is not discussed at systematic length in either text. Śāntideva sometimes uses the term in a broad sense that would seem to encompass all of the perfections, to the point of using it interchangeably with puṇya, good karma, or śubha, well-being (Clayton 2006, 73). ŚS chapter V, entitled Śīlapāramitāyām Anarthavarjanam — abandoning of the worthless with respect to the perfection of good conduct — seems like a miscellany of topics, describing a wide variety of actions that Śāntideva endorses. A reader may then be tempted to take up the common usage in which this good conduct refers to “morality,” “virtue” or “ethics” in a general sense (see Clayton 2006, 72-3) — perhaps even a sense that includes the other perfections.

Yet Śāntideva does give some further specification of a way in which he understands “good conduct,” conceptually distinct from the other perfections, even though he does not stick consistently to this usage. His one reference to the perfection of good conduct in the BCA proclaims: “when the mind of cessation (viraticitta) is obtained, the perfection of good conduct is understood [to exist]” (BCAP 53). The ŚS specifies the goal of good conduct in a similar vein, but is more specific about what constitutes good conduct: “whichever practices are causes of meditative concentration (samādhi), those are included in good conduct” (ŚS 121). It seems that good conduct, when understood as a single perfection, consists primarily of practices that aid one to concentrate one’s mind and still its uncontrolled activity.

This suggestion is borne out by the content of the fifth BCA chapter, which, following up the claim about the mind of cessation, details exactly these sorts of practices. (Since this chapter comes immediately before the chapter on patient endurance — the third perfection — it would be a logical place for Śāntideva to discuss good conduct, the second perfection.) The chapter begins by warning the reader of the dangers of an unrestrained mind, comparing it to a mad, rutting elephant, and then specifies a number of practices that Śāntideva claims will help the mind remain under control.  We may imagine, then, that this chapter gives us some idea of what Śāntideva means by the perfection of good conduct.

The practices bear some resemblance to Buddhist monastic rules (vinaya), although they could all be followed by lay householders and the text does not restrict them to monks. Śāntideva urges his readers to walk with a downcast gaze, as if continually meditating, but notes that they may look outward to rest their eyes or to greet someone. One should look ahead (or behind) before moving there, he says, and think about one’s actions before undertaking them; one should continually observe the positioning of one’s body. Each of these actions, Śāntideva specifies, allows one to restrain the mind (BCA V.35-40). Similarly, one should avoid idle chatter, or purposeless nervous tics (BCA V.45-6). In general, as Susanne Mrozik notes, “Close careful attention to one’s bodily movements and gestures generates mindfulness and awareness. Disciplining the body is thus a means of disciplining one’s thoughts and feelings” (Mrozik 1998, 63).

Śāntideva notes that the relationship between good conduct and meditative concentration is two-way: “One aiming at meditative concentration should have good conduct, for mindfulness and introspection; so too, one aiming at good conduct should make effort at meditative concentration.” He claims that the “complete perfection of mental action” will comes from the two “mutually enhancing causes” that are good conduct and meditative concentration (ŚS 121).

The second half of the fifth BCA chapter involves details about bodily comportment which aim at pleasing others, rather than at focusing the mind; similar instructions are found in the sixth chapter of the ŚS. It is possible, though not clear, that Śāntideva also intends these to be included under good conduct. Śāntideva here enjoins etiquette of various kinds (do not spit in public, do not make noises while eating) and a pleasant tone of speaking (BCA V.71-96, ŚS 124-7). Mrozik (2007, 75-6) notes that such actions are intended to generate prasāda, a kind of peaceful pleasure, in those who observe the bodhisattva. Lele (2007, 151-9) suggests further that the goal of generating this prasāda is to attract them to the bodhisattva path, making them more likely to enter that path and increase their well-being.

c. Patient Endurance

Śāntideva divides patient endurance (kṣānti) into three major varieties: first, enduring suffering (duṣkhâdhivāsanakṣānti); second, dharmic patience, the patient endurance that comes from reflecting on the Buddha’s teaching, the dharma (dharmanidhyānakṣānti); and third, patience toward others’ wrongdoing (parâpakāramarṣanakṣānti, ŚS 179). The first, which Śāntideva opposes to frustration (daurmanasya), is closer to the English word “endurance”; the third, which Śāntideva opposes to anger (dveṣa), is closer to the English word “patience.” For this reason it is helpful to use a two-word term like “patient endurance” to encapsulate the idea of kṣānti as a whole. Śāntideva does not link these phenomena under the rubric of patient endurance merely for the sake of convenience or etymology; rather, patient endurance has common elements that pervade them all. In all three cases, one remains calm and even happy in the face of various undesired events — pains, frustrations, wrongs — that one might face.

Dharmic patience, the second variety — as Śāntideva describes it in BCA VI.22-32 — is juxtaposed against anger, and involves being patient with others’ bad actions. For this reason, it seems largely like a subtype of the third type, patience toward wrongdoing, which involves reflecting on the fact that their actions all have causes. Śāntideva likely treats the two as distinct in order to emphasize the particular importance of metaphysical reasons for patient endurance. In terms of the actions and mental dispositions that they entail, they do not appear to be different from each other. So we may here subsume this second variety under the third, except as otherwise specified.

There are at least two ways in which enduring suffering and patience toward wrongdoing are closely related in Śāntideva’s work. First, there is a logical or analytical relationship. When one is wronged by others, it is likely to be an undesired event, and therefore experienced as suffering. So, effectively, the events that evoke patience toward wrongdoing are a subset of those that evoke the endurance of  suffering. The appropriate reactions are intertwined as well. We see this when Śāntideva discusses being the victim of theft. While he addresses theft in the context of anger, and more generally of patience toward wrongdoing, the reason he gives to remain patient is that possessions are dangerous to have anyway (BCA VI.100) — a central part of Śāntideva’s justifications for nonattachment, which itself is very closely tied to enduring suffering.

Second, there is a causal relationship. Enduring suffering, as Śāntideva discusses it, requires that one fight frustration; patience toward wrongdoing requires that one fight anger. And both of Śāntideva’s texts (ŚS 179 and BCA VI.7-8) note that anger feeds on frustration; so enduring suffering makes it easier to have patience toward wrongdoing.

i. Happiness from Enduring Suffering

Śāntideva’s case for enduring suffering is relatively straightforward: one will feel less suffering and be happier. Early in his discussion of frustration (daurmanasya), Śāntideva makes the pragmatic point that it accomplishes little. So it is not only an unpleasant mental state, but an unnecessary one: “If indeed there is a remedy, then what’s the point of frustration? And if there is no remedy, then what’s the point of frustration?” (BCA VI.10).

Enduring suffering can lead to happiness, for Śāntideva, in a particularly extreme meditative state (samādhi). He refers to this state as the sarvadharmasukhakrānta, “making happiness toward all phenomena.” The passage describing this meditative state is one of the most provocative in the entire ŚS. Śāntideva says that “for a bodhisattva who has obtained this meditative state, with respect to all sense objects, pain is felt as happiness indeed, not as suffering or as indifference” (ŚS 181). He proceeds to describe a panoply of graphic tortures in a startlingly upbeat manner. For example:

[The bodhisattva who has attained this meditative state], while being fried in oil, or while pounded like pounded sugarcane, or while crushed like a reed, or while being burned in the way that oil or ghee or yogurt are burned — has a happy thought arisen. (ŚS 181)

While a reader might cringe at the literal masochism in this passage, it is also not hard to see the power of its appeal: It strongly suggests that a bodhisattva can be happy anywhere, any time, in any condition. And there is a particular practice that the bodhisattva pursues to reach this state. Whenever he is subjected to such an unpleasant fate, he makes a mental determination or vow (pranidhāna) that everyone, from those who honor him to those who torture him, should reach the great awakening (ŚS 182). In the BCA he suggests starting with small pains to learn to endure bigger ones: “because of the practice of mild distress, even great distress is tolerable” (BCA VI.14). Prajñākaramati draws a direct connection between the two, quoting the ŚS passage in his commentary on the BCA verse.

ii. The Case Against Anger

Śāntideva’s arguments for patience toward wrongdoing consist of arguments against anger, against which this patience is juxtaposed. He lays out these arguments primarily in the sixth chapter of the BCA; for a detailed commentary on this chapter, see Thurman 2004. His arguments here derive from premises both naturalistic and supernaturalistic: “One who destroys anger is happy in this world and the next” (BCA VI.6).

Śāntideva’s naturalistic arguments against anger rest first on psychological grounds: “The mind does not get peace, nor enjoy pleasure and happiness, nor find sleep or satisfaction, when the dart of anger rests in the heart” (BCA VI.3). This set of psychological claims has a strong intuitive plausibility, in our context as well as his; it is probably not difficult for anyone to remember times that anger has negatively affected her peace of mind or pleasure or sleep.

Beyond this, Śāntideva seeks to minimize the significance of others’ wrongdoing (apakāra). He is especially concerned to neutralize insults and the destruction of praise. He asks: “The gang of contempt, harsh speech and infamy does not bind my body. Why, O mind, do you get enraged by it?” (BCA VI.53)

Śāntideva also offers severe warnings concerning the karmic consequences of anger. There is no bad karma equal to anger, he says, so patient endurance is the most effective means to reduce bad karma (BCA VI.2). He warns that anger leads to suffering in the hell realms far greater than the suffering that originally provoked the anger:

If suffering merely here and now cannot be endured, why is anger, the cause of distress in hell, not restrained? In the same way, for the sake of anger I have been placed in hells thousands of times; I have done this neither for my own sake nor for anyone else’s. (BCA VI.73-4)

There is only one kind of anger that Śāntideva seems to approve of, effectively an exception that proves the rule. He approves of anger when it is directed at anger itself: “Let anger toward anger be my choice” (BCA VI.41). More generally, he suggests elsewhere that anger at “my enemies, craving, anger and so on” (BCA IV.28) might be valuable: “Lodged in my own mind, these well-stood ones still harm me. In this very case I do not get angry. Damn, what unsuitable patience (sahiṣṇutā)!” (BCA IV.29).

Śāntideva also makes the case for dharmic patience (dharmanidhyānakṣānti) in BCA VI.22-32; this, as mentioned earlier, is patience toward wrongdoing which is informed by metaphysical insight. Śāntideva’s point here is that the emotion of anger comes out of an incorrect belief about the world — namely that other agents can appropriately be blamed for their actions. “I have no anger at my bile and so on, though they make great suffering. Why is there anger at sentient beings? They too are angry due to a cause” (BCA VI.22). Anger, whether my own or another’s, has its causes. It is not chosen; it is merely another product of the universe’s dependent arising (BCA VI.23-26). Moreover, there is no self which is capable of being an agent of anger (BCA VI.27-30). And “therefore, whether one has seen an enemy or a friend doing something wrong, having considered that the act has causes, one should become happy” (BCA VI.33). Mark Siderits (2005) refers to this argument for dharmic patience as “paleo-compatibilist,” and suggests that it can help resolve contemporary debates on free will and determinism.

These arguments against anger are phrased in terms that could convince someone not already on the path. Other arguments are directed specifically at bodhisattvas. As has been mentioned before, it is crucial for the bodhisattva to win beings over; and anger interferes with this activity, where desire (rāga) might be able on some occasions to help with it. This is why anger, in Śāntideva’s eyes, is far worse than desire, though desire and anger are both afflictions (kleṣas) that cloud the mind and lead one on to suffering (ŚS 164).

He claims further that “bodhisattvas who are not excellent in means (upāyakuśala) fear downfalls connected with desire (rāga); bodhisattvas who are excellent in means fear downfalls connected with anger, not downfalls connected with desire” (ŚS 164-5). Excellence in means (upāyakauśalya), the ability to teach others in the appropriate way to bring them onto the path, is deeply hindered by anger. Unlike desire, anger has no saving graces. Anger both creates suffering for oneself and interferes with one’s ability to benefit others; this is why nothing is as karmically bad as anger, or as karmically good as patient endurance.

d. Heroic Strength

Śāntideva devotes relatively little attention to the fourth perfection, heroic strength (vīrya). Each of his texts has a short chapter (BCA VII and ŚS X) devoted to it; parallel discussions occur in the fourth chapter of the BCA. He defines heroic strength as “excellent effort” (kuśalotsaha, BCA VII.2), effort that is both skillful and virtuous — a tireless striving on the bodhisattva path. In BCA VII, he contrasts heroic strength with laziness (ālasya, BCA VII.3). The primary point of BCA VII is to insist on the urgency of the bodhisattva’s task. It is rare to be born as a human, and a short human life leaves one with little time for adequate spiritual development, so it is crucial to devote oneself wholeheartedly to the task.

ŚS X, the shortest chapter in the text — a mere four pages — explains the importance of listening to sacred texts (śruta). The topic is surprising, since it seems tangentially related, at best, to the more straightforward heroic strength addressed in BCA VII. The connection seems to be that, to listen to sacred texts properly, one must do so tirelessly. If one does not do so, Śāntideva claims, even a sacred text can lead to  “destruction” (vināśa), probably because one reads and applies the text too selectively (ŚS 189).

e. Meditation

The fifth perfection, discussed in BCA VIII and ŚS XI-XIII, is meditation (dhyāna). Meditation for Śāntideva is very much an intellectual and even philosophical exercise, not merely a stilling of the mind; some of Śāntideva’s most famous arguments appear in a context of discussions of meditation. Śāntideva emphasizes that a calming and stilling of the mind is essential to meditation, and enjoins his reader to flee society and find a solitary spot in the wilderness in order to achieve the proper degree of undistracted calm (BCA VIII.1-40, ŚS 193-201). But becoming calm and solitary, in both texts, is only the first step to grasping arguments and transformative techniques with an explicit cognitive content.

In the BCA, the first meditation that Śāntideva describes sharpens his emphasis on solitude: one considers the foulness of the human body. Specifically, his male audience is urged to reflect on the foulness of a potential female lover. He notes that the beloved will invariably become a corpse, highlights the repulsiveness of corpses, and asks the reader rhetorically why the living beloved seems any less repulsive (VIII.41-7). He then calls attention to the repulsiveness of the body’s waste products, natural smells, and fluids (VIII.48-71). Next he notes the great effort one must take in finding and keeping a lover, and the ultimate vanity of such efforts (VIII.72-83).

This meditation takes on a strongly misogynist tone, describing as it does the repulsiveness of female bodies. A contemporary reader should keep in mind its intent as a critique of lust, the passion which so easily distracts the mind from the bodhisattva’s path. While the argument is phrased in terms of the foulness of a woman’s body, its logic would apply equally well to the foulness of a man’s body, if imagined by a heterosexual female or homosexual male meditator. (Śāntideva never inverts the argument this way himself. As Wilson 1996 notes, historically Buddhists have never turned the arguments about female foulness around to have it apply to men, even when speaking to a female audience. The point is noted here to stress the relevance of these meditations for a contemporary philosophical audience, rightly skeptical of misogynistic claims.) The ideal to achieve in this lifetime, for Śāntideva, is that of a male or female monk who forswears lust and sexuality, and he calls attention to the body’s repulsive aspects in order to convince his readers of this ideal’s value.

i. Equalization of Self and Other

The two meditations which follow in BCA VIII, on the relationship between oneself and another, are Śāntideva’s most famous. The first of these is known as the equalization of self and other (parātmasamatā). In this meditation Śāntideva argues for an ethical conclusion from a metaphysical premise: because the self is empty and unreal, it makes little sense to protect only oneself from suffering and not others.

The arguments are framed against a hypothetical objector (pūrvapakṣin) who wishes to prevent only his own suffering, but not that of others. Suffering here has a strong normative force; that suffering is bad and worthy of prevention is taken as self-evident, and Śāntideva assumes that his readers will share that assumption. When an imagined objector asks why suffering should be prevented at all, he responds, “No one disputes that!” (BCA VIII.103) If we substitute “the absence of suffering” for “pleasure,” Śāntideva’s claim here seems to work like Alasdair MacIntyre’s interpretation of Mill’s claim that we know pleasure is desirable because men desire it:

He treats the thesis that all men desire pleasure as a factual assertion which guarantees the success of an ad hominem apeal to anyone who denies his conclusion. If anyone denies that pleasure is desirable, then we can ask him, But don’t you desire it? and we know in advance that he must answer yes, and consequently must admit that pleasure is desirable. (MacIntyre 1966, 239)

To deny that suffering should be prevented at all, in other words, is to argue in bad faith: anyone who makes such a claim does not really believe it. It is not hard to see the intuitive force of Śāntideva’s claim about suffering; while one might come up with exceptions, in general most human beings in most contexts have viewed suffering as something bad and undesirable.

The selfish objector is right, then, to believe that suffering should be prevented. Where he goes awry is in focusing only on his own suffering; this focus turns out to be absurd. There is no self that endures from moment to moment, so one’s own future self is as different from one’s present self as other beings are: “If [someone else] is not protected because his suffering cannot hurt me — the sufferings of a future body are not mine. Why is that hurt protected against?” (BCA VIII.97) Śāntideva’s arguments here have been compared to those of Derek Parfit (1984), who also attacks the metaphysical premise of selfhood as a premise for an altruistic ethics.

Paul Williams (1998a, 30) notes that most commentators, including Prajñākaramati, have read this verse so that the “future body” (āgāmikāya) means only the bodies one will inhabit in future rebirths, not the future state of one’s body in the present life. A literal reading of this verse and the next would suggest that they are right; the next verse adds that “one is dead, a very different other one is born” (BCA VIII.98). So Williams thinks that “from a textual point of view” this verse must be correct. However, later Tibetan commentators, especially rGyal tshab rje, interpret the verse so that it could refer to any present suffering one might try to prevent (Williams 1998a, 32-6). The “death” and “birth” would likely then refer to the body’s non-enduring nature — dying as the present moment passes away and being born anew in the following moment — rather than to literal death and rebirth. Logically this seems a more satisfying reading. The argument seems entirely superfluous if it refers only to future births; based on everything else that Śāntideva says, one concerned with better future births should, above all, prevent the suffering of others.

Śāntideva makes an additional argument beyond the point about future selves. Even the present self should be broken up into its parts. When the opponent objects that one who suffers should only prevent the suffering that belongs to him, Śāntideva retorts: “The foot’s suffering is not the hand’s. Why does [the hand] protect [the foot]?” (BCA VIII.99)

Williams (1998b) has attempted to refute Śāntideva’s arguments against egoism, claiming that the concept of suffering or pain makes little sense without a subject or self to feel the suffering. Williams’s refutation has been controversial, provoking Barbra Clayton (Clayton 2001), John Pettit (1999) and Mark Siderits (Siderits 2000) all to defend Śāntideva’s claims.

Why do these arguments appear in the chapter on meditation, when the primary focus of that chapter seems to concern the kind of metaphysical insight that is the topic of the following chapter? Two reasons suggest themselves. First, the arguments prepare the audience for the more imaginatively focused practice of the exchange and self and other. Second, as Crosby and Skilton suggest(1995, 84-5), these meditations derive from Cittamātra (Yogācāra) metaphysical views on the ultimate equivalence of self and other.   Śāntideva considers these Cittamātra views to be only a step on the road to the highest Madhyamaka view (see BCA IX). These arguments, then,  are really true only at the level of conventional truth, not at the level of wordless ultimate reality, the object of real metaphysical insight.

ii. Exchange of Self and Other

The last meditation in the chapter is called the exchange of self and other (parātmaparivartana). In it, Śāntideva attempts to put the equalization of self and other into practice, even taking it a step further to dissolve all the meditator’s vestiges of egoism. Here he urges his readers to create “a sense of self in inferiors and others, and a sense of other in oneself,” (VIII.140) to literally form a concept of “I” (ahamkāra) with respect to others, just as one would do with respect to the “drops of semen and blood” (VIII.158) which created the entity that one would normally consider a self. The intervening verses manifest this idea in practice. Here Śāntideva switches pronouns and grammatical persons so that the third person refers to the meditator and the first person to “others.” The new “I” that is the others can then feel envy and contempt toward the “he” that was oneself.

One now imagines how “he” — that is, oneself — seems happy, wealthy and praised, while “I” — others — “am” miserable, poor and despised; “I” should envy “him” (BCA VIII.141-2). Having imagined oneself from the viewpoint of an envious inferior, one then imagines the inverse viewpoint of a contemptuous superior:

We joyous ones see him finally mistreated, and the mocking laughter of all the people here and there. That wretch even had a rivalry with me! . . . Even if he were to have wealth, we should take it forcibly, having given him a mere pittance, if he does any work for us. And he should be caused to fall from happiness. (BCA VIII.150-4)

This sadomasochistic advice and the play of pronouns work together to end  feelings of egoism or attachment to self. Meditating in this way, one comes to live entirely for others.

iii. Meditations Against the Three Poisons

The above meditations from the BCA, while Śāntideva’s most famous, are not the only meditations that he prescribes. In the ŚS, after briefly advising solitude and the control of thoughts, Śāntideva presents in turn three meditations intended to counter the three mental “poisons” which, in Buddhist thought, are responsible for suffering: desire (rāga), anger (dveṣa) and delusion (moha).

Against desire, Śāntideva describes a meditation on the foulness of the body, as in the BCA (ŚS 209-12).  To counteract anger, Śāntideva prescribes the practice of friendliness or love (maitrī, ŚS 212-19). This practice takes a number of forms, but the most notable is the redirection (parināmanā) of good karma toward others’ benefit. (This will be discussed below under “good and bad karma.”) Such acts are discussed at a number of places in Śāntideva’s texts; at ŚS 213-16 he specifically refers to the practice of friendliness, which is intended to counteract anger. The way that one redirects good karma, in practice, is through an expressly stated wish: for example, “Whoever is suffering distress of body or mind in any of the ten directions — may they obtain oceans of happiness and joy through my good karma” (BCA X.2). This rationale for karmic redirection could apply even to those skeptical whether a supernatural process of karmic causality will actually work: by regularly wishing that one’s own good deeds will benefit others’ well-being, one can at least diminish the anger that one feels toward them.

Finally, to counteract delusion, one meditates on dependent origination (pratītyasamutpāda), the Buddhist theory that all things come to exist in dependence upon other causes (ŚS 219-28). This meditation leads into Śāntideva’s discussion of the final perfection, metaphysical insight.

f. Metaphysical Insight

The sixth and final perfection in Śāntideva’s thought is prajñā, a complex term which this article renders as “metaphysical insight.” The term “insight” emphasizes the depth and transformative nature of this knowledge — as we will see, Śāntideva makes strong claims about the effects that prajñā has on its possessor, so that it is classified as a perfection alongside patient endurance and restrained good conduct. The term “metaphysical” emphasizes the specific content of this knowledge: claims about the nature of reality. This is a relatively loose and nontechnical sense of the term “metaphysics” that one may find in introductory textbooks on philosophy — for example, “Metaphysics is the attempt to say what reality is” (Solomon 2006, 113). This section begins with a discussion of the ideas and arguments that Śāntideva includes as the content of metaphysical insight, and then proceeds to discuss their significance for ethics and the conduct of life.

i. Content

Śāntideva’s views on metaphysics follow those of the Madhyamaka school of thought, associated with Nāgārjuna. (See Nagarjuna and Madhyamaka Buddhism for more detail.) For Madhyamaka, all things, especially the self, are empty (śūnya) and dependently originated (pratītyasamutpanna) — they have no essential or abiding existence. Tibetan tradition has typically associated Śāntideva with the more radical Prāsangika Mādhyamika school, as his metaphysical arguments follow their approach of reductio ad absurdum (prasanga) argument rather than the independent syllogisms (svatantra) of the Svātantrika school. On the other hand, Akira Saito (1996, 261) has argued that “we cannot be too careful” in using the term Prāsangika with reference to Śāntideva.  (See McClintock and Dreyfus 2002 for a discussion of the distinction between the Prāsangika and Svātantrika schools.)

Śāntideva’s metaphysics is widely studied and commented on, both in Tibetan tradition and in the West. (For Tibetan commentaries see Dalai Lama XIV 1988; Palden and Seunam 1993. For Western commentaries see Oldmeadow 1994; Sweet 1977.) Nevertheless, the content of Śāntideva’s metaphysics does not seem particularly original; as Michael Sweet’s book-length study of Śāntideva’s metaphysics notes,

we do not find that his philosophical concerns or patterns of argumentation differ in any significant manner from those of Nāgārjuna, and especially from those of Candrakīrti, the great systematizer of the Prāsangika-Mādhyamika who preceded Śāntideva by at least a century. (Sweet 1977, 14)

Where Śāntideva’s approach innovates is in the way that he draws ethical conclusions directly from his metaphysical premises. Many Buddhist texts draw soteriological conclusions of some sort from metaphysical premises — the nature of the universe is such that everyday life is filled with suffering but one can be liberated from it. Moreover, texts often draw ethical conclusions from these soteriological ideas. So in earlier texts there is an indirect connection from metaphysics to ethics by way of soteriology. Śāntideva, on the other hand, argues directly from metaphysics to advice about conduct in life, in a way that is relatively unusual in South Asian Buddhist literature. One exception is Candrakīrti himself, who derives ethical conclusions from metaphysics in his Catuhṣataka commentary (see Lang 2003), though his approach to doing so is significantly different from Śāntideva’s.

Śāntideva’s prasanga arguments avoid foundational claims, in the stricter sense of attempts to definitively establish a position from which other claims can be deduced. Any such position would itself be considered empty and therefore in some sense flawed. Indeed, an earlier Madhyamaka text, the Vigrahavyāvartani of Nāgārjuna, famously refuted its opponents by proclaiming: “If I had any position, then I would have a flaw [in my argument]. But I have no position; therefore I have no flaw at all” (VV 29). Rather, the approach is intended to be purely dialectical and critical, examining alternative positions and knocking them down, as Śāntideva does in BCA IX. Because Śāntideva is deconstructing concepts and deriving ethical significance from this deconstruction, William Edelglass (2007) compares his philosophy to that of Emmanuel Lévinas.

Claims to have no position may seem absurd at first glance, especially when associated with a thinker like Śāntideva who seems to make many positive claims about how one should live. Śāntideva’s response relies on the central Madhyamaka distinction between conventional (samvriti) and ultimate (paramārtha) truth (e.g. BCA IX.2). The ultimate truth is inexpressible (anabhilāpya), untaught (adeṣita) and unmanifest (aprakāśita, ŚS 256); it is nonconceptual, and therefore nonrational. But because we are caught up in illusion, seeing substance, we still need to make provisional statements at a conventional level to make ourselves and others aware of this illusion and free ourselves from it. Since the ultimate truth is inexpressible, all of Śāntideva’s actual claims need to be understood at the conventional level.

The above is what Śāntideva appears to say in his own words, at any rate. It is worth noting here that the Tibetan dGe lugs (Geluk) school argues that such claims cannot be taken literally and that in fact the ultimate truth is accessible to the intellect, although other commentators from the Sa skya (Sakya) and rNying ma (Nyingma) schools accept a more literal interpretation like the one I have just provided (Sweet 1977, 20).

The distinction between ultimate and conventional truth lends support to a number of Śāntideva’s practical arguments. Especially, it supports his self-interested case for altruism on the grounds of the bodhisattva’s happiness: “All who are suffering in the world [are suffering] because of desire for their own happiness. All who are happy in the world [are happy] because of desire for others’ happiness” (BCA VIII.129). Śāntideva does not explain how this psychological claim is supposed to work. Lele (2007, 65-6) ties the claim to Śāntideva’s theory of nonattachment (aparigraha); concern for oneself and one’s own particular interests leads to painful feelings of grief, loss, and fear when, as inevitably happens, those interests are harmed. But however such arguments are supposed to work, they would seem to be undercut by another claim of Śāntideva’s: namely, that bodhisattvas still suffer in a sense, because of their compassion for others. He claims: “Just as one whose body is on fire has no joy at all, even through all pleasures, exactly so there is no way to joy with respect to the distress of beings, for those made of compassion” (BCA VI.123; see also ŚS 156, 166).

The distinction between conventional and ultimate, however, helps one resolve this apparent problem — for the claim that bodhisattvas suffer is made merely at the conventional level of truth. Śāntideva argues that suffering itself is unreal (BCA IX.88-91); and only one who realizes the ultimate truth, it seems, will be able to really recognize this unreality. This recognition is the way in which it is possible for suffering to end, as the Third Noble Truth of Buddhism promises. It is also probably part of the reason that Śāntideva proclaims that happy people are happy because they desire others’ happiness — a bodhisattva, who has lost the illusion of self, can also lose the illusion of suffering and thereby escape it.

If suffering is unreal, however, one may wonder why it should be prevented. A similar worry applies to good and bad karma. Śāntideva claims, after all, that good and bad karma themselves arise out of illusion (BCA IX.11); like everything else we can speak of, they are ultimately empty. Clayton (2006, 97-8) argues that this point implies that ethical action, good karma, or eliminating suffering are unnecessary or insignificant. She quotes Richard Hayes (1994, 38) to the effect that maintaining a sense of the importance of ethics in such a philosophy is merely “philosophical rigour and integrity being compromised by the perceived need to preserve a social institution.” She finds herself “not quite cynical enough” to doubt Śāntideva’s sincerity in accordance with Hayes’s quote, but provides no alternative explanation for why Śāntideva might have still believed in ethical action. Lele (2007, 89-90) argues to the contrary that Śāntideva maintains his philosophical integrity through the conventional-ultimate distinction. Ultimately good and bad karma are unreal, but they are very real at the conventional level. Most people remain trapped in the conventional level, where suffering occurs, and so they experience the suffering as real. For them, it is this conventional level of truth that matters.

ii. Practical Implications

Metaphysical insight has three major ethical and soteriological implications for Śāntideva, some of which we have already seen. First, knowing the nonexistence of self will lead one to benefit others. Second, one who knows dependent origination can become more patient with others’ wrongdoing, because he will know to avoid blaming them. Finally, “one who knows emptiness is not emotionally attached to worldly phenomena, because he is independent [of them]” (ŚS 264); recognizing the emptiness of things allows one to attach less significance to them.

These implications, for Śāntideva, are not merely a matter of logical implication. There is also a practical, cause-and-effect relationship between one’s realization of the metaphysical claims and one’s actions and mental states. For this reason Luis Gómez (1994, 121) notes that the closing verses of BCA IX “leave no room for doubt that we are dealing with a technology of the self” which is also a philosophical discourse. The passage quoted above does not merely state that one who knows emptiness also knows that he should not be emotionally attached to worldly phenomena; it states further that he himself is not in fact so attached (na samhriyate). Elsewhere in the text Śāntideva makes other, similar, causal claims that metaphysical insight will cause one to feel and act differently. For example, after having made a series of logical arguments for the equivalence of self and other, he immediately comes to add: “Those whose mental dispositions are developed in this way (evam), for whom the suffering of others is equal to their loves, go down into the Avīci hell like geese [into] a lotus pond” (BCA VIII.107, emphasis added). The “in this way” (Sanskrit evam) indicates that the logical arguments themselves are a way to develop mental dispositions; hearing these arguments is the thing that develops one’s mind to treat others’ suffering equally to one’s own. Metaphysical insight is not merely an idea added to a stock of knowledge, with which one can do as one pleases; it has direct consequences for one’s emotional states.

Such a view seems perplexing to contemporary Western ears, including some informed by Buddhism. Understanding ideas often seems not to have this liberating effect. David Burton puts the problem well, in terms of his personal experience:

I do not seem to be ignorant about the impermanence of entities. I appear to understand that entities have no fixed essence and that they often change in disagreeable ways. I seem to understand that what I possess will fall out of my possession. I apparently accept that all entities must pass away. And I seem to acknowledge that my craving causes suffering. Yet I am certainly not free from craving and attachment. . . . How, then, might one preserve the common Buddhist claim that knowledge of the three characteristics of existence [i.e. nonself, impermanence and suffering] results in liberation in the face of this objection? (Burton 2004, 31)

Burton explores several potential hypotheses to resolve his question. He labels the hypothesis which seems to come closest to Śāntideva’s view as “insufficient attentiveness and reflection.” That is, that for those who have not experienced the beneficial ethical, emotional or soteriological consequences that are presumed to accrue from knowledge of Buddhist ideas, their belief in such ideas “is something they have thought about from time to time perhaps, but they do not bring it to mind often enough” (Burton 2004, 48-9).

Śāntideva suggests such a hypothesis in two ways. First, he frequently mentions the shifting and changing nature of the mind; for example, he notes that the mind is “like a river flow, unstable, broken up and dissolved when produced,” and “like lightning, unsteadily cut off in a moment” (ŚS 234). Second, within the chapter of the BCA on metaphysical insight, he speaks of “cultivating,” or meditating on, arguments: “this reasoning (vicāra) is meditated on as an antidote to that [fixation on imagination]” (BCA IX.92). This point is reinforced elsewhere in the text; as we have seen, his most famous metaphysical argument, on the equivalence of self and other (BCA VIII.90-119), occurs in the context of a particular meditation, within the BCA’s chapter on meditation (dhyāna). It is not enough, for Śāntideva, to find an argument persuasive and then move on to other things; it must be fixed in one’s mind.

6. References and Further Reading

a. Primary Works

BCA — Śāntideva, Bodhicaryāvatāra. Edition: Bodhicaryāvatāra of Śāntideva with the commentary Pañjikā of Prajñākaramati; ed. P.L. Vaidya (1960), Buddhist Sanskrit Texts XII, Darbhanga, India: Mithila Institute. References given are to chapter and verse numbers.

BCAP — Prajñākaramati, Bodhicaryāvatārapañjikā. Edition: Bodhicaryāvatāra of Śāntideva with the commentary Pañjikā of Prajñākaramati; ed. P.L. Vaidya (1960), Buddhist Sanskrit Texts XII, Darbhanga, India: Mithila Institute. Page references given are to the Poussin edition (listed with “P” in the Vaidya edition’s margins).

NE — Aristotle, Nicomachean Ethics. Edition: J. Bywater, available for download and online search at www.perseus.tufts.edu as of 14 Aug 2007.

ŚS — Śāntideva, Śikṣāsamuccaya. Edition: Çikshāsamuccaya: a compendium of Buddhistic teachings, compiled by Çāntideva chiefly from earlier Mahāyāna sūtras; ed. Cecil Bendall (1970), Bibliotheca Buddhica I, Osnabruck, Germany: Biblio Verlag.

ŚSK — Śāntideva, Śikṣāsamuccaya Kārikā, in the Bendall edition of the ŚS above.

VV — Nāgārjuna, Vigrahavyāvartani. Edition: Vigrahavyāvartani of Nāgārjuna: Sanskrit Text, eds. Christian Lindtner and Richard Mahoney (2003), available for download at http://indica-et-buddhica.org as of 14 Aug 2007.

b. Translations Cited

  • Bendall, Cecil. 1970. Introduction. In Çikshāsamuccaya: A Compendium of Buddhistic Teaching Compiled By Çāntideva Chiefly From Earlier Mahāyāna-Sūtras. Osnabrück: Biblio Verlag.
  • Crosby, Kate, and Andrew Skilton. 1995. The Bodhicaryāvatāra: A New Translation. Oxford: Oxford University Press.
  • Wallace, Vesna A., and B. Alan Wallace, eds. 1997. A Guide to the Bodhisattva Way of Life. Ithaca, NY: Snow Lion.

c. General Studies of Śāntideva

  • Brassard, Francis. 2000. The Concept of Bodhicitta in Śāntideva’s Bodhicaryāvatāra. Albany, NY: State University of New York Press.
  • Clayton, Barbra. 2006. Moral Theory in Śāntideva’s Śikṣāsamuccaya: Cultivating the Fruits of Virtue. London and New York: RoutledgeCurzon.
  • Cooper, David E., ed. 1998. Ethics: The Classic Readings. Oxford: Blackwell Publishers.
  • Dayal, Har. 1970. The Bodhisattva Doctrine in Buddhist Sanskrit Literature. Delhi: Motilal Banarsidass.
  • Griffiths, Paul J. 1999. Religious Reading: The Place of Reading in the Practice of Religion. Oxford, UK: Oxford University Press.
  • Gyatso, Geshe Kelsang. 1986. Meaningful to Behold: A Commentary to Shantideva’s Guide to the Bodhisattva’s Way of Life. London: Tharpa Publications.
  • Harvey, Peter. 2000. An Introduction to Buddhist Ethics: Foundations, Values and Issues. Cambridge, UK: Cambridge University Press.
  • Hedinger, Jürg. 1984. Aspekte der Schulung in der Laufbahn eines Bodhisattva: Dargestellt nach dem Śikṣāsamuccaya des Śāntideva. Wiesbaden: Otto Harrassowitz.
  • Lele, Amod. 2007. Ethical Revaluation in the Thought of Śāntideva. Unpublished PhD dissertation, Harvard University.
  • Mahoney, Richard. 2002. Of the Progress of the Bodhisattva: The Bodhisattvamārga in the Śikṣāsamuccaya. University of Canterbury.
  • Pezzali, Amalia. 1968. Śāntideva: Mystique Bouddhiste Des Viie Et Viiie Siècles. Florence: Vallecchi Editore.
  • Rinpoche, Thrangu. 2002. A Guide to the Bodhisattva’s Way of Life of Shantideva: A Commentary. Delhi: Sri Satguru Publications.
  • Tobden, Geshe Yeshe. 2005. The Way of Awakening: A Commentary on Shantideva’s Bodhicharyavatara. Somerville, MA: Wisdom.
  • Williams, Paul. 1995. General Introduction: Śāntideva and His World. In The Bodhicaryāvatāra. Ed. Kate Crosby, and Andrew Skilton, Oxford: Oxford University Press.

d. Specialized Studies

  • Clayton, Barbra. 2001. Compassion as a Matter of Fact: The Argument From No-Self to Selflessness in Śāntideva’s Śikṣāsamuccaya. Contemporary Buddhism 2 (1): 83-97.
  • Dalai Lama XIV. 1988. Transcendent Wisdom: A Commentary on the Ninth Chapter of Śāntideva’s Guide to the Bodhisattva Way of Life. Ithaca, NY: Snow Lion.
  • de Jong, J.W. 1975. La légende de Śāntideva. Indo-Iranian Journal 16 (3): 161-82.
  • de Rachewiltz, Igor. 1996. The Mongolian Tanjur Version of the Bodhicaryāvatāra, Edited and Transcribed, With a Word-Index and a Photo-Reproduction of the Original Text (1748). Wiesbaden, Germany: Harrassowitz.
  • Edelglass, William. 2007. Ethics and the Subversion of Conceptual Reification in Lévinas and Śāntideva. In Deconstruction and the Ethical in Asian Thought. Ed. Youru Wang, London and New York: Routledge.
  • Gómez, Luis O. 1994. Presentations of Self: Personal Dimensions of Ritualized Speech. In Other Selves: Autobiography and Biography in Cross-Cultural Perspective. Ed. Phyllis Granoff, and Koichi Shinohara, Oakville, ON and Buffalo, NY: Mosaic Press.
  • Gómez, Luis O. 1999. The Way of the Translators: Three Recent Translations of Śāntideva’s Bodhicaryāvatāra. Buddhist Literature 1 262-354.
  • Goodman, Charles. 2008. Consequentialism, Agent-Neutrality, and Mahāyāna Ethics. Philosophy East and West 58 (1): 17-35.
  • Harrison, Paul. 2007. The Case of the Vanishing Poet: New Light on Śāntideva and the Śikṣā-Samuccaya. In Festschrift für Michael Hahn, zum 65. Geburtstag von Freunden und Schülern Überreicht. Ed. Konrad Klaus, and Jens-Uwe Hartmann. Vienna: Arbeitskreis für Tibetische und Buddhistische Studien.
  • Kanaoka, S. 1963. Regional Characteristics of Mongolian Buddhism: A Study on the Basis of the “Bodhicaryāvatāra”. Bukkyo Shigaku 10 (4): 15-24.
  • Palden, Khentchen Kunzang, and Minyak Kunzang Seunam. 1993. Comprendre La Vacuité: Deux Commentaires Du Chapitre Ix De La Marche Vers L’éveil De Shāntideva. Peyzac-le-Moustier, France: Éditions Padmakara.
  • Mrozik, Susanne. 1998. The Relationship Between Morality and the Body in Monastic Training According to the Śikṣāsamuccaya. Harvard University.
  • Mrozik, Susanne. 2007. Virtuous Bodies: The Physical Dimensions of Morality in Buddhist Ethics. Oxford: Oxford University Press.
  • Oldmeadow, P.R. 1994. A Study of the Wisdom Chapter (Prajñāparamitā Pariccheda) of the Bodhicaryāvatārapañjikā of Prajñākaramati. Australian National University.
  • Onishi, Kaoru. 2003. The Bodhicaryāvatāra and Its Monastic Aspects: On the Problem of Representation. University of Michigan.
  • Pettit, John. 1999. Altruism and Reality: Studies in the Philosophy of the Bodhicharyavatara. Journal of Buddhist Ethics 6.
  • Saito, Akira. 1993. A Study of Akṣayamati (=Śāntideva)’s Bodhisattvacaryāvatāra as Found in the Tibetan Manuscripts From Tun-Huang. Faculty of Humanities, Miye University.
  • Saito, Akira. 1996. Śāntideva in the History of Mādhyamika Philosophy. In Buddhism in India and Abroad: An Integrating Influence in Vedic and Post-Vedic Perspective. Ed. Kalpakam Sankarnarayan, Motohiro Yoritomi, and Shubhada A. Joshi. Mumbai: Somaiya Publications Pvt. Ltd.
  • Siderits, Mark. 2000. The Reality of Altruism: Reconstructing Śāntideva. Philosophy East and West 50 (3): 412-24.
  • Siderits, Mark. 2005. Freedom, Caring and Buddhist Philosophy. Contemporary Buddhism 6 (2): 87-113.
  • Sweet, Michael J. 1977. Śāntideva and the Mādhyamika: The Prajñāpāramitā-Pariccheda of the Bodhicaryāvatāra. University of Wisconsin-Madison.
  • Sweet, Michael J. 1996. Mental Purification (Blo Sbyong): A Native Tibetan Genre of Religious Literature. In Tibetan Literature: Studies in Genre. Ed. José Ignacio Cabezón, and Roger R. Jackson. Ithaca, NY: Snow Lion.
  • Thurman, Robert A.F. 2004. Anger: The Seven Deadly Sins. Oxford: Oxford University Press.
  • Williams, Paul. 1998a. Altruism and Reality: Studies in the Philosophy of the Bodhicaryāvatāra. Richmond, UK: Curzon Press.
  • Williams, Paul. 1998b. The Absence of Self and the Removal of Pain: How Śāntideva Destroyed the Bodhisattva Path. In Altruism and Reality: Studies in the Philosophy of the Bodhicaryāvatāra, Richmond, UK: Curzon Press.

e. Related Interest

  • Burton, David. 2004. Buddhism, Knowledge, and Liberation: A Philosophical Analysis of Suffering. Aldershot, England; Burlington, VT: Ashgate.
  • Chang, Garma C.C., ed. 1991. A Treasury of Mahāyāna Sūtras: Selections From the Mahāratnakūṭa Sūtra. Delhi: Motilal Banarsidass.
  • Harrison, Paul. 1987. Who Gets to Ride in the Great Vehicle? Self-Image and Identity Among Followers of the Early Mahāyāna. Journal of the International Association of Buddhist Studies 10 (2): 67-89.
  • Hayes, Richard. 1994. The Analysis of Karma in Vasubandhu’s Abhidharmakośabhāṣya. In Hermeneutical Paths to the Sacred Worlds of India. Ed. Katherine K. Young, Atlanta: Scholars Press.
  • Heim, Maria. 2004. Theories of the Gift in South Asia: Hindu, Buddhist and Jain Reflections on Dāna. New York and Oxford: Routledge.
  • Hibbets, Maria. 2000. The Ethics of Esteem. Journal of Buddhist Ethics 7 26-42.
  • Kajiyama, Yuichi. 1989. Transfer and Transformation of Merits in Relation to Emptiness. In Studies in Buddhist Philosophy (Selected Papers). Ed. Katsumi Minaki. Kyoto: Rinsen Book Co.
  • Keown, Damien. 2005. Buddhism: Morality Without Ethics? In Buddhist Studies From India to America: Essays in Honor of Charles S. Prebish. Ed. Damien Keown. London: Routledge.
  • Lang, Karen. 2003. Four Illusions: Candrakīrti’s Advice to Travelers on the Bodhisattva Path. Oxford: Oxford University Press.
  • MacIntyre, Alasdair. 1966. A Short History of Ethics: A History of Moral Philosophy From the Homeric Age to the Twentieth Century. New York: Touchstone.
  • McClintock, Sara, and Georges Dreyfus, eds. 2002. The Svātantrika-Prāsaṅgika Distinction: What Difference Does a Difference Make? Somerville, MA: Wisdom Publiccations.
  • Nattier, Jan. 2003. A Few Good Men: The Bodhisattva Path According to the Inquiry of Ugra (Ugraparipṛcchā). Honolulu: University of Hawai’i Press.
  • Parfit, Derek. 1984. Reasons and Persons. Oxford: Oxford University Press.
  • Pye, Michael. 1978. Skilful Means: A Concept in Mahayana Buddhism. London: Duckworth.
  • Solomon, Robert C. 2006. The Big Questions: A Short Introduction to Philosophy. Belmont, CA: Thomson Wadsworth.
  • Sprung, Mervyn. 1979. Lucid Exposition of the Middle Way: The Essential Chapters From the Prasannapadā of Candrakīrti. Boulder, CO: Prajñā Press.
  • Tatz, Mark. 1994. The Skill in Means (Upāyakauśalya) Sūtra. Delhi: Motilal Banarsidass.
  • Wilson, Liz. 1996. Charming Cadavers: Horrific Figurations of the Feminine in Indian Buddhist Hagiographic Literature. Chicago: University of Chicago Press.

Author Information

Amod Lele
Boston University
U.S.A.

Nicholas Rescher (1928—)

RescherNicholas Rescher (1928- ) is a prominent representative of contemporary pragmatism, but, unlike most analytic thinkers, he managed to establish himself as a systematic philosopher. In particular, he built a system of “pragmatic idealism” that combines elements of the European continental idealism with American pragmatism. One of the most salient features of Rescher¹s work is the breadth of topics with which he has dealt, including logic in its various forms, epistemology, the philosophy of science, metaphysics, process philosophy, ethics and political philosophy. He has written about 400 articles and 100 books.

In his system of pragmatic idealism, the activity of the human mind plays a key role and makes a fundamental contribution to knowledge, while “valid” knowledge contributes to practical success. Rescher also defends a coherence theory of truth in a manner differing in a significant way from that endorsed by classical idealism. He draws an original distinction between a pragmatism of the left and a pragmatism of the right. The first is a flexible type of pragmatism that endorses a greatly enhanced cognitive relativism. The second envisions the pragmatist enterprise as a source of cognitive security. Rescher sees Charles S. Peirce, Clarence I. Lewis and himself as adherents to the pragmatism of the right, and William James, F. S. C. Schiller and Richard Rorty as representatives of the pragmatism of the left, with John Dewey standing in a middle of the road position.

In the philosophy of science, Rescher claims, against any form of instrumentalism and many postmodern authors as well, that natural science can validate a plausible commitment to the actual existence of its theoretical entities. Scientific conceptions aim at what really exists in the world, but only hit it imperfectly and “well off the mark.” What we can get is, at most, a rough consonance between our scientific ideas and reality itself.

Rescher recognizes that moral rules are frequently part of the customs of a community, but he denies that morality consists in conformity to mores or in benefit-maximization.

Table of Contents

  1. Life
  2. Main Topics of Rescher’s Work
  3. Pragmatism
  4. Objectivity and Rationality
  5. Truth
  6. Evolutionary Epistemology
  7. Pragmatic Idealism
  8. Philosophy of Science
  9. Logic and Conceptual Schemes
  10. Social Philosophy
  11. Ethical Issues
  12. References and Further Reading

1. Life

Nicholas Rescher was born on July 15, 1928, in the German town of Hagen, Westphalia. He is one of the many contemporary American philosophers whose life began in a foreign country, and who then pursued a successful career in the United States. Rescher obtained his Ph.D. in Philosophy from Princeton University in 1951 at the age of twenty-two. He was the youngest person ever to do so in that department. He is also among the most prolific of contemporary scholars, having written more than 400 articles and 100 books, ranging over many areas of philosophy, over a dozen of which have been translated into foreign languages.

He was awarded the Alexander von Humboldt Prize for Humanistic Scholarship in 1984, the Cardinal Mercier Prize in 2005, and the American Catholic Philosophical Society’s Aquinas medal in 2007. He has served as a President of the American Philosophical Association, American Catholic Philosophy Association, American G. W. Leibniz Society, C. S. Peirce Society, and the American Metaphysical Society. He has held visiting lectureships at Oxford, Constance, Salamanca, Munich, and Marburg; and his work has been recognized by seven honorary degrees from universities on three continents. Rescher serves on the editorial board of Process Studies, the principal academic journal for both process philosophy and theology. He has for many years been teaching at the University of Pittsburgh with a status of University Professor. His life is detailed in an Autobiography (Frankfurt: Ontos Verlag, 2007).

2. Main Topics of Rescher’s Work

Rescher has written on a wide range of topics, including logic, epistemology, the philosophy of science, metaphysics, and the philosophy of value. He is best known as an advocate of pragmatism and, more recently, of process philosophy. Over the course of his six-decade research career, Rescher has established himself as a systematic philosopher of the old style, and the author of a system of pragmatic idealism that combines elements of continental idealism with American pragmatism. To this end, he:

  • Has developed a system of pragmatic idealism, in which the activity of the human mind makes a positive and constitutive contribution to knowledge, and “valid” knowledge contributes to practical success;
  • Defends a coherence theory of truth in a manner differing somewhat from that of classical idealism; see for example his exchange in The Philosophy of Brand Blanshard (in the Library of Living Philosophers series);
  • Advocates an “erotetic propagation” of science, asserting that scientific inquiry will continue without end because each newly answered question adds a presupposition for at least one more open question to the current body of scientific knowledge;
  • Propounds an epistemic law of diminishing returns that holds that actual knowledge merely stands as the logarithm of the available information. This has the corollary that the comparative growth of knowledge is inversely proportional to the volume of information already at hand, so that when information grows exponentially, knowledge will grow at a merely linear rate.

Apart from this larger program, Rescher has made significant contributions to:

  • Historical studies on Leibniz, Kant, Peirce, and on the medieval Arabic theory of modal syllogistic and logic;
  • Logic (the conception of autodescriptive systems of many-sided logic);
  • The theory of knowledge (“epistemetrics” as a quantitative approach in theoretical epistemology);
  • The philosophy of science (the theory of logarithmic returns in scientific effort).

3. Pragmatism

Rescher draws an important distinction between a more flexible “pragmatism of the left” and a more conservative “pragmatism of the right.” Referring to a famous article by Arthur Lovejoy, he notes that there seem to be as many pragmatisms as pragmatists. Usually, however, those who are interested in pragmatism from an historical point of view tend to forget that, from the beginning, a substantial polarity is present in this tradition of thought. It is a dichotomy between what Rescher calls “pragmatism of the left,” namely a flexible type of pragmatism which endorses a greatly enhanced cognitive relativism, and a “pragmatism of the right,” namely a different position that sees the pragmatist stance as a source of cognitive security. Both positions are eager to assure pluralism in the cognitive enterprise and in the concrete conduct of human affairs, but the meaning they attribute to the term “pluralism” is not the same. Rescher sees C. S. Peirce, C. I. Lewis and himself as adherents of the pragmatism of the right, and William James, F. S. C. Schiller and Richard Rorty as representatives of the pragmatism of the left, with John Dewey standing somehow in a middle of the road position.

The position of the so-called pragmatists of the left is clear: one just has to read Rorty’s works to see where it ends up, from both a cognitive and a social-political viewpoint. But what does the pragmatism of the right really come to? Parochial diversity is something that a post-modern pragmatist such as Rorty gladly accepts in order to achieve results that are, at the same time, subjectivistic and relativistic. On the other hand, even a Rescherian pragmatist sees practical efficacy as the cornerstone of our endeavors, but at the same time he takes efficacy to be the best instrument we have at our disposal for achieving objectification.

Objective pragmatism — or the pragmatism of the right, as Rescher calls it — implies that (a) our social-linguistic world evolved out of natural reality; (b) this social-linguistic world acquires an increasing autonomy; (c) between the social and the natural worlds there is no ontological line of separation, but just a functional one; (d) however, the accessibility to natural reality is only granted by the tools that the social-linguistic world provides us with; (e) this means that our knowledge of natural reality is always tentative and mediated by our conceptual capacities; (f) there is no need to draw relativistic conclusions from this situation, because the presence of an objective reality that underlies the data at hand puts upon personal desires objective constraints that we are able to overcome at the verbal level, but not in the sphere of rational deliberations implementing actions.

4. Objectivity and Rationality

Rescher’s definition of ontological objectivity is the following: Objectivity is not something we infer from the data; it is something we do and must presuppose. It is something that we postulate or presume from the very outset of our dealings with people’s claims about the world’s facts – our own included. Its epistemic status is not that of an empirical discovery but that of a presupposition whose ultimate justification is a transcendental argument from the very possibility of the projects of communication and inquiry as we standardly conduct them.

The specification at stake here is just the opposite of objectivity conceived of as something that we merely infer from empirical data (maybe with a little abstractive effort). But, on the other side, nor can it be equated with a classical idealistic viewpoint, according to which objectivity is something that our mind simply creates in the process of reflection. Objectivity is, in this case, a sort of cross-product of the encounter between our mind-shaped tools and capacities, and a surrounding reality made of things that are real in the classical meaning of the term: they are there and in no way can be said to be mind-created. But a final — and quite important — qualification is in order: the very mode in which we see these real things, and conceive of (and speak about) them is indeed mind-dependent. Science itself gives us some crucial insights in this direction, since it shows that we see, say, tables and trees in a certain way which, however, does not match the image that scientific instruments are able to attain.

On the other hand rationality is for Rescher a matter of idealization. Although we must admit our natural origins and evolutionary heritage, we must give way as well to the recognition that there is indeed something that makes us unique. Only human beings are able to “gaze towards idealities” and to somehow detach themselves from “the actualities on an imperfect world.” Just like objectivity, rationality is the expression of mankind’s capacity to see not only how things actually are, but also how they might have been and how they could turn out to be if we were to take some course of action rather than another. Thus the concept of possibility plays a key role.

5. Truth

Rescher endorses a coherentist approach to truth. Why? The answer is, first of all, systemic and holistic: he needs a coherence theory because the older and more classical correspondence theories do not fit into the comprehensive philosophical system he managed to build. But there is also a more theoretical reply, because he believes a coherence theory has a great number of fertile applications, such as in the methodology of the use of historical sources, the analysis of counterfactual conditionals, and the problems of inductive logic. As he recognizes in The Coherence Theory of Truth, the first impetus towards developing a coherentist approach to truth came from a theory of inference from inconsistent premises constructed for the analysis of counterfactual conditionals.

Rescher’s point of departure is the distinction between “definitional” and “criterial” theories of truth, that is, between what truth is and how we acquire truth. The definitional theories try to provide a definition of the expression “is true” as a characteristic of propositions. The criterial ones aim, instead, at specifying the test-conditions which allow us to determine whether (or not) there is warrant to apply “is true” to propositions. Rescher prefers the second alternative and, once again, the reasons for such a preference are typically pragmatic: The criterial approach to truth is decision-oriented. Its aim is not to specify in the abstract what “is true” means, but rather to put us into a position to implement and apply the concept by instructing us as to the circumstances under which there is rational warrant to characterize or class something (that is, some proposition) as true. Why bother with a criterion once a definition is at hand? To know the meaning of a word or concept is only half the battle: We want to be able to apply it, too. It does little good to know how terms like “speed limit” or “misdemeanor” are defined in the abstract if we are left in the dark as to the conditions of their application.

6. Evolutionary Epistemology

According to Rescher we must address a basic question: which kind of evolution are we referring to when talking of evolutionary epistemology? If we take evolution to be an undifferentiated concept, such that no useful distinction can be found in it, we are — according to our author — on a wrong track. The evolutionary “pattern” is certainly one, but for sure this should not lead us to assume that the specific characteristics of mankind must be left out of the picture, either because they are not important or because no specifically human characteristic is admitted. Rescher’s evolutionary framework, as it always happens in his philosophical system, is pluralistic and multi-sided.

The evolutionary pathway provided by the route of intelligence is one of the alternative ways of coping within nature that are available to biological organisms. (Other ways include toughness, multiplicity and isolation). Human beings, thus, can be said to have evolved to fill a possible ecological niche left free for intelligent creatures.

There are, however, many ways to look at the evolution of mankind. Rescher stresses that, after all, intelligence has evolved not because it aids the survival of its possessors within nature. It arose because it represents one effective means of survival. Intelligence is our functional substitute for the numerousness of termites, the ferocity of lions, or the toughness of microorganisms. So, it might even be said that this is our specific manner of fighting the battle for survival: we would not be here if our intelligence-led rationality were not survival-conducive. But does all this mean that intelligence is an inevitable feature of conscious organic life? The answer to such a question is crucial and, as long as Rescher is concerned, is negative.

The scheme we get by adopting this stance is, thus, more complex than the reductionistic one endorsed by materialist philosophers, since any element of the biological sphere is matched by an analogous element located in a sphere that may be defined as “sociological-intellectual,” along the following lines. At the biological level we have:

(A) Biological mutation;

(B) Reproductive elimination of traits through their non-realization in an individual’s progeny; and, eventually,

(C) One’s physical progeny.

The same steps can be traced at the sociological-intellectual level:

(A1) Procedural variation;

(B1) Reproductive elimination of processes through their lapsed transmissions to one’s successors (for example, children or students);

(C1) Those individuals whom one influences.

The differences between (A)-(C) and (A1)-(C1) are clearly visible but, no doubt, the same process is at issue in both cases, since both involve structures that are maintained over time.

7. Pragmatic Idealism

No one can seriously doubt that there are strong idealistic features in Rescher’s philosophy. For example, he never tires of stressing that the conceptual apparatus we employ itself makes a creative contribution to our view of the world, and his holistic stance is clearly influenced by Hegel and Bradley, thinkers who have long been quite unpopular within American analytic philosophy. But idealism is just one element in a broader framework where pragmatism plays the key role, and other important components are detectable as well in his thought (for instance naturalism). No doubt Leibniz, Kant, Hegel and Bradley are all philosophers who deeply influenced his outlook. But, still, the central figure in Rescher’s personal Olympus is (and will remain) Charles S. Peirce. Here is how Rescher recalls how the idealistic perspective became a central feature of his comprehensive philosophical outlook:

I recall well how the key ideas of my idealistic theory of natural laws – of “lawfulness as imputation” – came to me in 1968 during work on this project while awaiting the delivery of Arabic manuscripts in the Oriental Reading Room of the British Museum. It struck me that what a law states is a mere generalization, but what marks this generalization as something special in our sight — and renders it something we see as a genuine law of nature — is the role that we assign to it in inference. Lawfulness is thus not a matter of what the law-statement says, but how it is used in the systematization of knowledge — the sort of role we impute to it. These ideas provided an impetus to idealist lines of thought and marked the onset of my commitment to a philosophical idealism which teaches that the mind is itself involved in the conceptual constitution of the objects of our knowledge. (Instructive Journey: An Essay in Autobiography, pages 172-173)

It should be noted that Rescher immediately tied these idealistic insights to the philosophy of science, a sector that has always been at the core of his interests. The aforementioned statements, in fact, led him to the conclusion that scientific discovery, Galileo notwithstanding, is not a matter of simply “reading” what is written in the book of nature, but is rather the outcome of the interaction between nature on the one side, and human mind on the other. The contribution which mind gives to the construction of “our science” is at least as important as that provided by nature: no science as we know it would be possible without the specific contribution of the mind.

What is the source of our ideas according to his philosophical outlook? Locke, for instance, remarked that we can only think about ideas, their source being either sensation or observation of the internal operations of our mind. Taking this path we can certainly avoid the problems connected to metaphysical skepticism, but ideas become our only “real” point of reference, which is not such a wonderful solution from an empiricist point of view. According to the verifiability principle held by the logical positivists, on the other hand, the meaningfulness of a statement is strictly tied to the existence of some possible set of observations that, were they to be ever made, would determine the truth of the statement itself. In this case metaphysical skepticism could be avoided by equating metaphysics with non-sense, but the verifiability principle created other, unexpected problems. Scientific laws, in fact, clearly resist the application of the verifiability principle, and the price to be paid for the elimination of metaphysics seemed, to say the least, too high. So the problem of demarcating science from metaphysics, which has been deemed tremendously important by some sectors of early twentieth century philosophy, remains pressing.

Detaching himself from the mainstream of American analytic philosophy which, under the influence of the logical positivists, had been largely dominated by empiricist and positivist trends of thought, Rescher in the early 1970’s launched his project of rehabilitating idealism. Taking notice of the fact that idealism had been effectively dead in Anglo-American philosophy for more than a generation, he tells us that, “this eclipse of an important sector of philosophical tradition seems to be entirely unjustified on the merits.”

“Idealism” is a sort of umbrella-term that covers a large variety of trends and sub-trends. Each of them is somehow connected to the others, but disagreements within the idealistic field have always been strong. Rescher readily recognizes this fact, providing a general scheme in which all the various idealistic trends can be inserted. The fundamental distinction to be made is between the “ontological” versions of idealism and the “epistemic” ones. Ontological versions imply that everything there is arises causally from, or is supervenient upon, the operations of mind. Epistemic versions are less strongly committed because they rule out the thesis that mind creates the world in toto, be it natural or social, and content themselves to point out the intimate correlatedness between our mind and the world-as-we-know it. Rescher says explicitly that his conceptual idealism belongs to the epistemic version of the theory, and he characterizes it as follows: “Conceptual idealism [states that] any fully adequate descriptive characterization of the nature of the physical (‘material’) reality must make reference to mental operations; some recourse to verbal characteristics or operations is required within the substantive content of an adequate account of what it is to be real.”

Another important consideration relates to Rescher’s attitude towards Kant and his transcendental idealism. Kant’s presence is clearly perceivable in our author’s writings, but his Kant is always Kant viewed and interpreted through the lenses of pragmatism (which in this case are Peircean lenses). On the one hand Rescher accepts the Kantian view that our knowledge is strongly determined by the a priori elements present in our conceptual schemes, and that they indeed have an essential function as long as our interpretation of reality is concerned. On the other hand, he tends to see these aprioristic elements as resting on a contingent basis, and validated on pragmatic rather than necessitarian considerations. The mind certainly makes a great contribution towards shaping reality-as-we-see-it, but the very presence of the mind itself can be explained by adopting an evolutionary point of view.

8. Philosophy of Science

It is only too natural that when the man of the street reads about the results of scientific discoveries he takes them to be descriptions of “real” nature. Why should different thoughts come to his mind, given the impressive results that science was able to attain in the last few centuries? It should be noted, however, that not only philosophers, but also even many scientists have often denied the validity of the picture that the man of the street takes more or less for granted. Many examples could be provided in this regard, as any standard text on the history of science might easily confirm. In the past century uncertainty about the content of our theories has grown fast, together with the feeling that there are alternative theories that can account equally well for all possible observations. Clearly the threat of relativism arises at this point, even though many authors nowadays no longer take relativism to be a threat, but just a fact of the matter.

Obviously things were different when logical positivism still was the dominant — and, in many cases, even the only — doctrine in philosophy of science. In that case the main purpose was to individuate the immutable models that lie beyond concrete scientific practice, because it was commonly held by the main representatives of this neopositivism that science is objective and progressive, in the cumulative sense of the term. Intersubjectivity was granted through recourse to the scientific language, purportedly believed to be neutral, free of errors and misunderstandings and, thus, available to every observer. Formal logic became then something much more important than a simple instrument, since its task was supposed to be that of “capturing” intersubjectivity by means of a language constructed in the purest form possibly available to human beings, leaving aside all the unpleasant distortions that our natural languages bring with them.

At this point we can note that scientific realism (and the nature of scientific knowledge at large) is a theme where the originality of Rescher’s position clearly emerges. Certainly he is very distant from the received view of logical empiricism. Looking back to the years of his philosophical formation, he says: I was thus led back to take a rather different view of the technical preoccupations in the minutiae of formal analysis which came to the forefront in the postwar years. It seemed to me that the passion for the detailed analysis of small-scale side issues was getting out of hand. All too often, philosophers were using their technical tools on those issues of detail congenial to their application, rather than concentrating them on inherently important matters. Technical questions became preoccupations in their own right, rather than because of any significant bearing on the central problems of the field.

Rescher’s increasing distance from the neopositivist model, however, should not lead one to think that he got closer to the more recent, and more fashionable, post-empiricist trend of thought. He argues, against any form of instrumentalism and many postmodern authors as well, that natural science can indeed validate a plausible commitment to the actual existence of its theoretical entities. Scientific conceptions aim at what really exists in the world, but only hit it imperfectly and “well off the mark.” What we can get is, at most, a rough consonance between our scientific ideas and reality itself. This statement should not sound surprising, if only one recalls Rescher’s proclaimed conceptual idealism and his unwillingness to trace a precise borderline between ontology and epistemology.

Furthermore, Rescher’s aim is to replace Charles S. Peirce’s “long-run convergence” theory of scientific progress by a more modest position geared to increasing success in scientific applications, especially in matters of prediction and control. This dimension of applicative efficacy is something real, and can hardly be denied from a rational point of view. He goes on arguing that the connection between adequacy and applicative success in questions of scientific theorizing leads, in turn, to a pragmatist-flavored philosophy of science. He also states very clearly that “perfection” (the completion of the project) is, in principle, unfeasible. This means that his ideas are opposed to all those scientific projects whose aim is the search for a “final” theory.

So we have a general picture of this kind: In attempting answers to our questions about how things stand in the world, science offers (or at any rate, both endeavors and purports to offer) information about the world. The extent to which science succeeds in this mission is, of course, disputable. The theory of sub-atomic matter is unquestionably a “mere theory,” but it could not help us to explain those all too real atomic explosions if it is not a theory about real substances. Only real objects can produce real effects. There exist no “hypothetical” or “theoretical entities” at all, only entities, plus hypotheses and theories about them which may be right or wrong, well-founded or ill-founded. The theoretical entities of science are introduced not for their own interest but for a utilitarian mission, to furnish the materials of causal explanation for the real comportment of real things. Thus our inability to claim that natural science as we understand it depicts reality correctly must not be taken to mean that science is a merely practical device, a mere instrument for prediction and control that has no bearing on describing “the nature of things.” What science says is descriptively committal in making claims regarding “the real world,” but the tone of voice in which it proffers these claims always is (or should be) provisional and tentative.

So we can never assume that a particular scientific theory, for instance, Einstein’s relativity theory, gives us the true picture of reality, since we know perfectly well from the history of science that, in a future we cannot actually foresee, it will be replaced by a better theory. And it should be noted, moreover, that this future theory will be better for future scientists, but not the best in absolute terms, since its final destiny is to be displaced by yet another theory.

Rescher’s conception of scientific realism is thus strictly tied to his distinction between reality-as-such and reality-as-we-think-of-it. He argues that there is indeed little justification for believing that our present-day natural science describes the world as it really is, and this fact does not allow us to endorse an absolute and unconditioned scientific realism. In other words, if we claim that the theoretical entities of current science correctly pick up the “furniture of the world,” we run into the inevitable risk of hypostatizing something, that is, our present science, that is only a historically contingent product of humankind, valid in this particular period of its cultural evolution. Rescher’s view is, instead, that “a realistic awareness of scientific fallibilism precludes the claim that the furnishings of the real world are exactly as our science states them to be — that electrons “actually are just what the latest Handbook of Physics claims them to be.”

But what about future science? We might in fact be tempted to say that, since present-day science is really bound to be imperfect and incomplete, perhaps future science will do the job, thus accomplishing that project of “perfected science” that the logical positivists loved so much. Even in this case, however, many problems arise. First of all, just which future are we talking about? There is indeed no reason to believe that tomorrow’s science will be very different from ours as long as its capacity of providing the “correct” picture of reality is concerned. The fact is, he argues, that scientific theories always have a finite lifespan. This is so for every human creation (and science is a human product, in any possible sense of the term), so that, “as something that comes into being within time, the passage of time will also bear it away.” While we can certainly claim that the aims of science are stable, it should honestly be recognized that its questions and answers are not.

Ideal science, even when its realization is referred to the future, looks more like a philosophical utopia than a feasible accomplishment (even though utopias, as Rescher often recognizes, are indeed useful when they are viewed as essentially “regulative” ideas). Perfected science, thus, is not “what will emerge when,” but “what would emerge if,” and many realistically unachievable conditions must be provided in order to obtain such a highly desirable result. This means that our cognitive enterprise must be pursued in an imperfect world, and the strong realistic thesis that science faithfully describes the real world should be taken for what it is: a matter of intent. The only type of scientific realism that looks reasonable to Rescher is a scientific realism viewed in idealistic perspective, in which what is at stake is a sort of “ideal science” that no wise men can claim to possess.

9. Logic and Conceptual Schemes

The real alternative at stake here is the following: logic as “doctrine” vs. logic as “instrument.” Rescher does not deny that logic has, in this particular regard, a dual nature. From the doctrinal point of view it is clearly a body of theses or, even better, a systematic codification of those special propositions defined as “logical truths.” At the methodological level, instead, it must be seen as an operational code for conducting sound reasoning. Having once again recourse to historical considerations, our author observes that the distinction at issue carries back to the old dispute — carried on throughout late antiquity and the Middle Ages — as to whether logic is to be considered as a part of knowledge or as an instrument for its development. The best minds of the day insisted that the proper answer is simply that logic is both of these — at once a theory with a body of theses of its own, and a tool for testing arguments to determine whether they are good or bad.

A pragmatic conception of logic, however, leads him to view its instrumental-methodological character as primary with respect to the doctrinal features. All this follows quite naturally from what we said above, because, for a pragmatically oriented thinker, logic’s task lies, first of all, in systematizing and rationalizing the practice of reasoning in all the contexts (theoretical included) where human beings usually draw inferences. Logical rules, in turn, are not supposed to have an abstract and formalistic character, because in that case they cannot be attuned to human practices (be they theoretical or instrumental). It is interesting to note that this approach is not distant from some insights contained in the works of the second Wittgenstein, where language is no longer taken to be an ideal entity endowed with some sort of “essence,” but rather a set of social practices that are used in order to satisfy men’s concrete needs. Our models of inference thus become the products of social practices, while the social dimension pertains to language in each of its many characteristics and features. In other words, our rules for drawing inferences are essentially practical and not formal; they are rules that allow (or do not allow) us to perform a certain kind of action.

For Rescher a conceptual scheme for operation in the factual domain is always correlative with a Weltanschauung — a view of how things work in the world. And the issue of historical development becomes involved at this juncture, seeing that such a fact-committal scheme is clearly a product of temporal evolution. Our conceptions of things are a moving rather than a fixed target for analysis. The startling conclusion is that there are assertions in a conceptual scheme A that are simply not available in another conceptual scheme B, because no equivalent in it may be found. This view also allows him to challenge Donald Davidson when he says that, “we get a new out of an old scheme when the speakers of a language come to accept as true an important range of sentences they previously took to be false.” The point at stake, in fact, is different, since Rescher answers that a change of scheme is not just a matter of saying things differently, but rather of saying altogether different things.

In other words, a scheme A may be committed to phenomena that another scheme B cannot even envisage: Galenic physicians, for instance, had absolutely nothing to say about bacteria and viruses because those entities lay totally beyond their conceptual dimension. Where one scheme is eloquent, Rescher says, the other is altogether silent. This means, moreover, that our classical and bivalent logic of the True and False is not much help in such a context. Some assertions that are deemed to be true in a certain scheme may have no value whatsoever in another scheme, so that we need to formalize this truth-indeterminacy by having recourse, say, to a many-valued logical system in which, besides the classical T and F, a third (Indeterminate) value I is present. We have, in sum, a more complex picture than Davidson’s. Rescher observes that in brushing aside the idea of different conceptual schemes we incur the risk of an impoverishment in our problem-horizons. So, to deny that different conceptual schemes exist is absurd.

10. Social Philosophy

Even in the social field, for Rescher, context-relativization means neither irrationalism nor indifferentism. For sure we must recognize the presence of different perspectives, but on the other hand our experiential indications provide us with criteria for making a rational choice. The fact that no appropriate universal diet exists does not lead to the conclusion that we can eat anything, and the absence of a globally correct language does not mean that we can choose a language at random for communicating with others in a particular context. For these reasons he concludes that an individual need not be intimidated by the fact of disagreement — it makes perfectly good sense for people to do their rational best towards securing evidentiated beliefs and justifiable choices without undue worry about whether or not others disagree.

To what extent are Rescher’s doubts about the notion of consensus applicable to the real social and political situations? Consensus is deemed by many authors to be a sine qua non condition for achieving a benign political and social order, while its absence is often viewed as a premonitory symptom of chaos. Needless to say the feelings are usually strong in this regard, because political and social philosophy has a more direct impact on our daily life than other such traditional sectors of the philosophical inquiry as, say, metaphysics or epistemology.

What deserves to be pointed out is that the search for consensus has many concrete contraindications, which can mainly be drawn from history. Think, for instance, of how Hitler gained power in Germany in the 1930’s. As a matter of fact he obtained a resounding victory through democratic election, because he was able to make the political platform of the Nazi party consensually accepted by a large majority of citizens. It would be foolish, however, to draw the conclusion that Hitler and the Nazis were right just because they were good consensus-builders. On the contrary, the United States is a good example of a democratically thriving society that can dispense with consensus, and where dissensus is deemed to be productive (at least to a certain extent). Another striking fact is that the former Soviet Union was, instead, a typically consensus-seeking society.

Homogeneity granted by consensus is not the mark of a benign social order, since this role is more likely to be played by a dissensus-dominated situation that is in turn able to accommodate diversity of opinions. It follows, among other things, that we should be very careful not to characterize the consensus endorsed by majority opinion as intrinsically rational. In the industrialized nations of the Western world the power of the media in building up consensus is notoriously great. It may, and does, happen sometimes, however, that the power of the media in assuring consensus is used to support bad politicians, who repay the favor by paying attention to sectorial rather than to general interests. It is thus easily seen that consensus is not an objective that deserves to be pursued no matter what.

All this seems plausible and reasonable to Rescher, despite the fact that many theorists nowadays continue to view consensus as an indispensable component of a good and stable social order. It is the case, for example, with Jürgen Habermas. The Marxist roots of Habermas’ thought explain why the German philosopher is so eager to have the activities of the people harmonized thanks to their interpersonal agreement about ends and means. The basis of agreement is thus both collective and abstractly universal. Another Rescher’s key word, “acquiescence,” needs at this point be introduced. Given that the insistence on the pre-requisite of communal consensus is simply unrealistic, we must come to terms with concrete situations, that is, with facts as presented by real life. If, according to contractarian lines of thought, we take justice to be the establishment of arrangements that are (or, even better, would be) reached in idealized conditions, then we cannot help but note that justice is not a feature of our imperfect world. “Life is unjust” is bound to be our natural conclusion, together with the acknowledgement that real-life politics is the art of the possible. It is obvious as well, however, that even in real-life politics we constantly need to make decisions and to take some course of action. How should we behave, then, given the fact that the so-called communal consensus turned out to be unachievable?

The answer is that a modern and democratic society looks for social accommodation, which means that it always tries to devise methods for letting its members live together in peace even in those inevitable cases when a subgroup prevails over another. As Rescher as it, the choice is not just between either the agreement of the whole group, on the one hand, or the lordship of some particular subgroup, on the other hand. Accommodation through general acquiescence is a perfectly practicable mode for making decisions in the public order and resolving its conflicts. And, given the realities of the situation in a complex and diversified society, it has significant theoretical and practical advantages over its more radical alternatives. The reader will not find it difficult to recognize that this is just the strategy constantly adopted within the democratic societies of the Western world, which, in turn, distinguishes them from all forms of tyrannies and monocratic (one-person) forms of government.

Acquiescence is thus a matter of mutual restraint, a sort of “live and let live” concrete politics that permits any individual or subgroup belonging in a larger group to avoid fight in order to gain respect for its own position. Thus acquiescence, and not consensual agreement, turns out to be the key factor for building a really democratic society, Rescher argues. In a situation like that of the former Yugoslavia, for instance, it would be foolish to ask for consensus given the historical and ethnical roots of war today. But a search for acquiescence would be much less foolish, with all factions giving up something in order to avoid even greater damages and losses.

If we want to be pluralists in the true spirit of Western democratic thought, we must abandon the quest for a monolithic and rational order, together with the purpose of maximizing the number of people who approve what the government, say, does. On the contrary, we should have in mind an acquiescence-seeking society where the goal is that of minimizing the number of people who strongly disapprove of what is being done. We should never forget, Rescher claims, that the idea that “all should think alike” is both dangerous and anti-democratic, as history shows with plenty of pertinent examples. Since consensus is an absolute unlikely to be achieved in concrete life, a difference must be drawn between “being desirable” and “being essential.” All in all, it can be said that it qualifies at most for the former status. The general conclusion is that consensus is no more than one positive factor that has to be weighed on the scale along with many others.

11. Ethical Issues

Rescher recognizes that cultural, social and ethical diversity are a fact of life rather than a mere hypothesis. Social scientists have always stressed the elements of differentiation across social groups, and especially sociologists are ready to pick up strong differences as long as moral beliefs of various social groups are concerned. From this, most social scientists and even several philosophers draw the conclusion that cultural relativism is unavoidable: since each group has a different way of dealing with beliefs, relationships, and so forth, it follows that there is no unique criterion for evaluating actions. Or, to put it in a slightly different way, we are provided with no “trans-cultural standard” which can be deemed to be valid for all conceptual schemes. Social scientists and philosophers who find the hermeneutic stance congenial will most likely be in favor of the aforementioned conclusion, because it shows that cultures are unique and cannot be investigated from a general viewpoint.

It goes without saying that the ethical side of relativism is strictly connected to all its other branches (conceptual, epistemological, etc.), since the real problem at stake here is the search for cross-cultural “universals” which could explain the fact, often denied by relativists, that we share as rational beings many common features (which, of course, does not mean to deny that there are many and important differences, too).

So we must wonder about the real nature of norms and values: are they something that can be only referred to particular social groups, in the sense that we can only speak of norms and values as referred to group A, or B, or C? Or are we authorized to talk about kinds of “moral universals” that are the true foundations of any normative system?

It would seem that anthropology, and social science in general, has a message for us concerning human variability, but it is not exactly the one endorsed by radical cultural relativism. Rather, the correct conclusion appears to be that there is both uniformity and diversity across human cultures at the level of concepts, beliefs, and norms, sasys Rescher. Diversity shows the creativeness of human capacity for developing cultural instruments. Uniformity, instead, reflects both the biological constants in human life and the common features of the human existential situation.

Relativists of all sorts try to solve the problem by equating “morality” on the one side and “mores” on the other. Rescher notes in this regard that cultural relativism is the doctrine that societies and cultures have their own customs and folkways, which are so many different and in principle equally valid ways of transacting their business of everyday life. Moral relativism is the theory which holds, analogously, that there are different and discordant but in principle equally valid moralities. It is one of the widely pervasive convictions of our day that the former, plausible mode of relativism somehow entails the latter, that one group’s moral goodness is another’s moral wickedness — it all simply “lies in the eyes of the beholder”.

Rescher goes on noting that social scientists are especially drawn to this sort of approach, which in his opinion amounts to “imperialistic power grabbing.” Thus anthropologists, who study norms and customs, claim that morality belongs to their discipline because moral rules are nothing more than norms and customs. The same happens with the economists, who study the operations of rational self-interest in the production and distribution of goods; they, too, claim that morality belongs to their discipline, because moral rules are no more than procedures that maximize social utility and serve “the greatest good of the greatest number.” Rescher disagrees.

There is in his view a “wide gulf” that separates morality from mere mores. Many social theorists endorsedrelativism from a variety of anthropological, sociological, and ideological perspectives. Relativism has become so successful that it is often seen as a sort of truism that does not even need a defense. For Rescher, however, the rejection of relativism and the articulation of plausible arguments for absolutism are indeed essential to any meaningful legitimation of the moral project. They represent his main task, meaning that the moral project must itself be legitimated “in terms of morality-external values,” that is, values which, like personhood and responsibility for self-realization, are fully in agreement with moral concerns. Instead, values as social conformity or personal advantage are not consonant with such concerns.

Rescher’s strategy is twofold. On the one side he is ready to admit that moral rules are frequently part of the customs of a community or that moral behavior advances the welfare interests of the social group or the individual agent. On the other, however, he firmly rejects the view according to which morality consists in conformity to mores or in benefit-maximization. In other words, morality cannot adequately be accounted for in terms of values that imply no characteristically moral bearing. For this reason Rescher claims that the anthropological route to moral relativism is highly problematic. There is no difficulty whatever about the idea of different social customs, but the idea of different moralities faces insuperable difficulties. The case is much like that of saying that the tribe whose counting practices is based on the sequence: “one, two, many” has a different arithmetic from ourselves. To do anything like justice to the facts one would have to say that they do not have arithmetic at all, but just a peculiar, and very rudimentary way of counting. And similarly with those exotic tribesmen. On the given evidence, they do not have a different morality, but rather their culture has not developed to a point where they have a morality at all. If they think that it is acceptable to engage in practices like the sacrifice of firstborn girl children, then their grasp on the conception of morality is, on the face of it, somewhere between inadequate and nonexistent.

The conclusion is thus clear. Anti-absolutism must take a flexible and non-dogmatic stance if it wants to be coherent enough, while what it does today often is the opposite. The global rejection of absolutes has gone too far, and a middle of the road position is indeed mandatory. As Rescher notes, the very antipathy to dogmatic uniformity that characterizes the era’s sensibilities will, or should, militate against an absolutistic position in relation to philosophical absolutes. There is good reason to see the anti-absolutism of 20th century thought as misguided and in need of replacement by a position that is far less doctrinaire.

12. References and Further Reading

Rescher has published more than 100 books as well as more than 400 essays, chapters, and reviews. Below is a list of selected books:

  • The Development of Arabic Logic. Pittsburgh: University of Pittsburgh Press, 1964.
  • Studies in Arabic Philosophy. Pittsburgh: University of Pittsburgh Press, 1968.
  • Introduction to Value Theory. Englewood Cliffs, NJ: Prentice Hall, 1969.
  • The Coherence Theory of Truth. Oxford: Clarendon Press, 1973.
  • Methodological Pragmatism: A Systems-Theoretic Approach to the Theory of Knowledge. Oxford: Basil Blackwell, 1977.
  • Scientific Progress: A Philosophical Essay on the Economics of Research in Natural Science. Pittsburgh: University of Pittsburgh Press, 1978.
  • Risk: A Philosophical Introduction to the Theory of Risk Evaluation and Management. Lanham, MD: University Press of America, 1983.
  • The Strife of Systems: An Essay on the Grounds and Implications of Philosophical Diversity. Pittsburgh: University of Pittsburgh Press, 1985.
  • Rationality. Oxford: Oxford University Press, 1988.
  • Cognitive Economy: Economic Perspectives in the Theory of Knowledge. Pittsburgh: University of Pittsburgh Press, 1989.
  • A Useful Inheritance: Evolutionary Epistemology in Philosophical Perspective. Lanham, MD: Rowman & Littlefield, 1989.
  • Human Interests: Reflections on Philosophical Anthropology. Palo Alto: Stanford University Press, 1990.
  • A System of Pragmatic Idealism (three volumes): Volume I: Human Knowledge in Idealistic Perspective. Princeton: Princeton University Press, 1991. Volume II: The Validity of Values: Human Values in Pragmatic Perspective. Princeton: Princeton University Press, 1992. Volume III: Metaphilosophical Inquiries. Princeton: Princeton University Press, 1994.
  • Pluralism: Against the Demand for Consensus. Oxford: Oxford University Press, 1993.
  • Luck. New York: Farrar, Straus & Giroux, 1995.
  • Essays in the History of Philosophy. Aldershot, UK: Avebury, 1995.
  • Process Metaphysics. Albany, NY: SUNY Press, 1995.
  • Instructive Journey: An Autobiographical Essay. Lanham, MD: University Press of America, 1996.
  • Complexity: A Philosophical Overview. New Brunswick, NJ: Transaction Publishers, 1998.
  • Predicting The Future: An Introduction To The Theory Of Forecasting. Albany, NY: SUNY Press, 1998.
  • Kant and the Reach of Reason. Cambridge: Cambridge University Press, 1999.
  • Realistic Pragmatism: An Introduction to Pragmatic Philosophy. Albany, NY: SUNY Press, 1999.
  • The Limits of Science, 2nd ed. Pittsburgh: University of Pittsburgh Press, 1999.
  • Nature and Understanding: A Study of the Metaphysics of Science. Oxford: Oxford University Press, 2000.
  • Paradoxes: Their Roots, Range, and Resolution. Chicago: Open Court Publishing, 2001.
  • Process Philosophy Nature and Understanding: A Study of the Metaphysics of Science: A Survey of Basic Issues. Pittsburgh: University of Pittsburgh Press, 2001.
  • Epistemology: On the Scope and Limits of Knowledge. Albany, NY: SUNY Press, 2003.
  • On Leibniz. Pittsburgh: University of Pittsburgh Press, 2003.
  • Epistemic Logic. Pittsburgh: University of Pittsburgh Press, 2004.
  • Metaphysics: The Key Issues from a Realist Perspective. Amherst, NY: Prometheus Books, 2005.
  • Reason and Reality: Realism and Idealism in Pragmatic Perspective. Lanham, MD: Rowman & Littlefield, 2005.
  • Collected Papers (14 volumes). Frankfurt: Ontos Verlag, 2005-2006.
  • Epistemetrics. Cambridge: Cambridge University Press, 2006.
  • Conditionals. Cambridge: MIT Press, 2006.
  • Error: On Our Predicament When Things Go Wrong. Pittsburgh: University of Pittsburgh Press, 2007.

Author Information

Michele Marsonet
Email: marsonet@unige.it
University of Genoa
Italy

Romanization Systems for Chinese Terms

Originally, the Chinese language and its many dialects did not use any form of alphabetical writing to express the meanings and sounds of Chinese characters. As Western interest in China intensified during the eighteenth and nineteenth centuries, various systems of romanization (transliteration into the Roman alphabet used in most Western languages) were proposed and utilized. Of these, the most frequently used today are the pinyin system and the Wade-Giles system. Both are based on the pronunciation of Chinese characters according to “Mandarin,” used as the official language of government in both the People’s Republic of China (mainland China) and the Republic of China (Taiwan).

The Wade-Giles system prevailed in both China and the West until the late twentieth century, at which point the pinyin system (developed in the People’s Republic of China during the 1950s) began to gain adherence among journalists and scholars. Today, the most current scholarship tends to use pinyin renderings of Chinese terms. For this reason, the Internet Encyclopedia of Philosophy introduces the names of Chinese philosophical concepts and figures in pinyin romanizations, with the exception of Wade-Giles forms that appear in bibliographical entries. The difference between the two systems can be compared by examining the renderings of some common Chinese philosophical terms according to each:

Pinyin Wade-Giles English Translation
Dao Tao Way, path
de te virtue, moral force, power
jing ching classic, scripture
junzi chün-tzu gentleman, profound person
ren jen benevolence, humaneness
Tian T’ien Heaven, nature
ziran tzu-jan spontaneity, naturalness

The following table may be used to convert pinyin and Wade-Giles romanizations:

Pinyin Wade-Giles Pronounce As-
b p b as in “be,” aspirated
c ts’, ts’ ts as in “its”
ch ch’ as in “church”
d t d as in “do”
g k g as in “go”
ian ien
j ch j as in “jeep”
k k’ k as in “kind,” aspirated
ong ung
p p’ p as in “par,” aspirated
q ch’ ch as in “cheek”
r j approx. like “j” in French “je”
s s, ss, sz s as in “sister”
sh sh sh as in “shore”
si szu
t t’ t as in “top”
x hs sh as in the “she” – thinly sounded
yi I
you yu
z ts z as in “zero”
zh ch j as in “jump”
zi tzu

Author Information

Jeffrey L. Richey
Email: Jeffrey_Richey@berea.edu
Berea College

Benedict de Spinoza: Metaphysics

SpinozaBaruch (or, in Latin, Benedict) de Spinoza (1632-1677) was one of the most important rationalist philosophers in the early modern period, along with Descartes, Leibniz, and Malebranche.  Spinoza is also the most influential “atheist” in Europe during this period.  “Atheist” at the time meant someone who rejects the traditional Biblical views concerning God and his relation to nature.  In his most important book, titled Ethics Demonstrated in a Geometrical Manner, Spinoza argues for a radically new picture of the universe to rival the traditional Judeo-Christian one.  Using a geometrical method similar to Euclid’s Elements and later Newton’s Principia, he argues that there is no transcendent and personal God, no immortal soul, no free will, and that the universe exists without any ultimate purpose or goal.  Instead, Spinoza argues the whole of the natural world, including human beings, follows one and the same set of natural laws (so, humans are not special), that everything that happens could not have happened differently, that the universe is one inherently active totality (which can be conceived of as either “God” or “Nature”), and that the mind and the body are one and the same thing conceived in two ways.

Spinoza’s Ethics appeared provocative  to his contemporaries.  First, many of them found his arguments clear and compelling.  Spinoza begins Ethics by defining key terms and identifying his assumptions.  Most of these would have seemed commonplace to Spinoza’s contemporaries.  He then derives theorems, which he calls “propositions,”  on the basis of this foundation.  Many of the philosophers and theologians who first read Spinoza’s Ethicsn found these definitions and assumptions unproblematic, but were horrified by the theorems which Spinoza proved on the basis of them.  Second, by all accounts Spinoza was an especially good man who lived a modest and virtuous life. The mere possibility of a “virtuous atheist,” however, severed one of the most popular arguments in favor of traditional Biblical religion: that without it, living a moral life was impossible.

This article examines some fundamental issues of Spinoza’s new “atheistic” metaphysics, and it focuses on three of the most important and difficult aspects of Spinoza’s metaphysics: his theory of substance monism, his theory of attributes, and his theory of conatus.


Table of Contents

  1. The Formal Structure of the Ethics
  2. The Basic Metaphysical Picture: Substance, Attributes, and Modes
  3. Substance Monism
    1. Leibniz’s Objection to Spinoza’s Substance Monism Argument
    2. Why Does the One Substance Have Modes?
  4. Attributes
    1. Subjectivism
    2. Objectivism
    3. Modal Parallelism
  5. Conatus
    1. Conatus and Purposive Action
    2. The Conatus Argument
  6. References and Further Reading
    1. Original Language
    2. English Translations
    3. Historical Studies
    4. Philosophical Studies

1. The Formal Structure of the Ethics

The Ethics is broken into five parts:

  1. Of God
  2. Of the Nature and Origin of the Mind
  3. Of the Origin and Nature of the Affects
  4. Of Human Bondage, or the Power of the Affects
  5. Of the Power of the Intellect, or of Human Freedom

Part I concerns issues in general metaphysics (the existence of God, free will, the nature of bodies and minds, etc.) Part II concerns two issues related to the mind: (i) what the mind is and how it relates to the body, and (ii) a general theory of knowledge. In Part III, Spinoza presents his theory of emotions (which he calls “affects”) and a fully deterministic human psychology. In Parts IV and V, Spinoza presents his ethical theory.

Each part of the Ethics is broken into definitions of key terms, axioms (assumptions),
propositions (theorems proven on the basis of the definitions, axioms, and the previous propositions), demonstrations (proofs), corollaries (where Spinoza often draws attention to other claims which can be proven on the basis of his propositions, but which are not part of his main argument), and scholia (where Spinoza breaks out of his rigorous structure to comment, argue, or restate the demonstrated material in a more easily accessible way.)

To this classic geometrical structure, Spinoza adds three additions to the Ethics. (1) Spinoza ends Parts I and IV with appendices. In these appendices he comments on the previous part, clarifies his position, and adds new arguments. (2) In Part II and after proposition 13, Spinoza interrupts his argument to include a short discussion on physics and the laws of motion. This part of the Ethics is sometimes called the “Physical Digression,” “Physical Interlude,” or the “Short Treatise on Bodies.” (3) At the end of Part III Spinoza includes an organized list of the definition of the affects (emotions) as argued for in Part III.

When citing the Ethics begin with the Part number, then use the following shorthand:

a Axiom
d Definition
l Lemma
post. Postulate
p Proposition
c Corollary
d demonstration
s Scholium
exp. Explanation

For example, to cite the demonstration of the 14th proposition of Part III one would write “3p14d.” A number of minor variations exist. Some authors also put an “E” at the beginning of the citation to stand for “Ethics” to distinguish the Ethics from Spinoza’s other book written in a geometrical manner, the Principles of Cartesian Philosophy Demonstrated in a Geometrical Manner (1663). For example, the demonstration of the 14th proposition of Part III is often cited as “E3p14d.” Other scholars mark the part number with Roman numerals, thus citing the proposition as “IIIp14d” or “EIIIp14d.”

So why does Spinoza utilize this cumbersome method of proof in the Ethics? Scholars have given a number of different answers to this question. One common explanation concerns how people thought about science in this period. In the 17th century, mathematics was the paradigmatic science. It was widely admired for offering conclusive and incontrovertible proofs which no rational person (who understood them) could reject. Many philosophers attempted to replicate Euclid’s success in other areas and so found other sciences as conclusive and demonstrable as mathematical science. For example, Hobbes attempted to organize political concepts “geometrically” in his Leviathan. Descartes also considered the possibility of organizing his entire philosophy geometrically in the Second Replies, though he never made a serious attempt to do so.) Spinoza, however, geometrically reorganized the first two books of Descartes’ Principles (along with other original material) in his first published book: Principles of Cartesian Philosophy Demonstrated in a Geometrical Manner (1663).

Other scholars argue that there is a deeper reason for Spinoza’s use of the geometrical method. The goal of the Ethics, Spinoza says, is to prove those things that can “lead us, by the hand, as it were, to the knowledge of the human mind and its highest blessedness” (Preface to Part II). Ethics is supposed to be a philosophical therapy which helps its readers to overcome their passions and superstitions and become more rational. Working through the proofs, Spinoza promotes these goals by forcing us to think carefully, and so promotes the therapeutic aim of his book. For more on the purpose of the geometrical method see Wolfson 1958, I 3-32; Bennett 1988, 16-28; Garrett 2003; Nadler 2006, 35-51.

2. The Basic Metaphysical Picture: Substance, Attributes, and Modes

According to Spinoza, everything that exists is either a substance or a mode (E1a1). A substance is something that needs nothing else in order to exist or be conceived. Substances are independent entities both conceptually and ontologically (E1d3). A mode or property is something that needs a substance in order to exist, and cannot exist without a substance (E1d5). For example, being furry, orange, hungry, angry, etc. are modes that need a substance which is furry, orange, hungry, angry, etc. Hunger and patches of orange color cannot exist floating around on their own, but rather, hunger and patches of orange color need something (namely, a substance) to be hungry and have the orange color. Hunger and colors are, therefore, dependent entities or modes.

According to almost all of Spinoza’s predecessors (including Aristotle and Descartes) there are lots of substances in the universe, each with their own modes or properties. For example, according to Descartes a cat is a substance which has the modes or properties of being furry, orange, soft, etc. (Though some have argued that Descartes cannot actually individuate multiple extended substances. See Curley 1988, 15-19; 141-2 n. 9.) Spinoza, however, rejects this traditional view and argues instead that there is only one substance, called “God” or “Nature.” Cats, dogs, people, rocks, etc. are not substances in Spinoza’s view, but rather, cats, dogs, people, rocks, etc. are just modes or properties of one substance. This one substance is simply people-like in places, rock-like in other places, chair-like in still other places, etc.

One can think of substance as an infinite space. Some regions of this one space are hard and brown (rocks), other regions of space are green, juicy, and soft (plants), while still other regions are furry, orange, and soft (cats), etc. As a cat walks across the room all that happens in Spinoza’s view is that different regions of space become successively furry, orange, and soft (See Bennett 1984: 88-92 for more on space and the extended substance in Spinoza).

This one substance has an infinite number of attributes. An attribute is simply an essence; a “what it is to be” that kind of thing. According to Descartes, every substance has only one attribute: bodies have only the attribute of extension, and minds have only the attribute of thought. Spinoza, however, argues against this claim that the one substance is absolutely infinite and so it must exist in every way that something can exist. Thus, he infers that the one substance must have an infinite number of attributes (E1p9). An attribute, according to Spinoza, is just the essence of substance under some way of conceiving or describing the substance (E1d4). When we consider substance one way, then we conceive of its essence as extension. When we consider substance another way, then we conceive of its essence as thought. (See Della Rocca 1996a: 164-167.) While substance has an infinite number of different attributes, Spinoza argues that human beings only know about two of them: extension and thought.

3. Substance Monism

The most distinctive aspect of Spinoza’s system is his substance monism; that is, his claim that one infinite substance—God or Nature—is the only substance that exists.  His argument for this monism is his first argument in Part I of the Ethics.  The basic structure of the argument is as follows:

  1. Every substance has at least one attribute.  (Premise 1, E1d4)
  2. Two substances cannot share the same nature or attribute.  (Premise 2, E1p5)
  3. God has all possible attributes. (Premise 3, Definition of ‘God’, E1d6)
  4. God exists.  (Premise 4, E1p11)
  5. Therefore, no other substance other than God can exist.  (From 1-4, E1p14)

That is, there is only one substance (called “God” or “Nature”) which has all possible attributes.  No other substance can exist because if it existed it would have to share an attribute with God, but it is impossible for two different substances to both have the same attribute.  Spinoza defends each of his four assumptions as follows:

The Argument for Premise One (E1d4)

If a substance existed which did not have any attributes, then (by Spinoza’s definition of attribute at E1d4) the substance would not have an essence.  However, according to Spinoza, it makes no sense to claim that something exists which does not have an essence.  Thus, every substance has at least one attribute.  This premise is not particularly controversial.

The Argument for Premise Two (E1p5)

Spinoza’s argument for the second premise (“Two substances cannot share the same nature or attribute”) is much more controversial.  Here Spinoza argues that if two substances share one and the same attribute, then there is no way to tell the two substances apart.  If substance A and substance B both have attribute 1 as their nature, then in virtue of what are there two different substances here?  Why aren’t A and B just one substance?  Since no cause can be given to explain their distinctness, Spinoza infers that they must actually be the same.  Formally, the argument is as follows:

  1. Two substances are distinguished from each other either by a difference in attributes or a difference in modes.  (Premise 1)
  2. Substance is prior in nature to its modes.  (Premise 2, E1p1)
  3. If two substances A and B are indistinguishable, then they are identical.  (Premise 3)
  4. If substances A and B differ only in attributes, then A and B are two different substances with different natures.  (From 1 and the definition of “attribute.”)
  5. If substances A and B differ only in modes and share an attribute, and if the modes are put to one side and the substances are considered in themselves, then the two substances would be indistinguishable.  (From 1, 2)
  6. But if substances A and B are indistinguishable, then they are identical. (From 3, 5)
  7. Thus, no two substances can share a nature or attribute.  (From 4, 6)

The Arguments for Premise Four (E1p11)

In the demonstration of E1p11, Spinoza explicitly provides a number of different proofs for the existence of a substance with infinite attributes (namely, God.)  One proof is a version of the Ontological Argument also used by Anselm and Descartes.  Spinoza’s argument is interesting, however, because he provides a very different reason for claiming that the essence of each substance includes existence.  Spinoza’s Ontological Argument, once unpacked, is as follows:

  1. When two things have nothing in common, one cannot be the cause of the other (Premise 1, E1p3).
  2. It is impossible for two substances to have the same attribute (or essence) (Premise 2, E1p5).
  3. Two substances with different attributes have nothing in common (Premise 3,  E1p6d).
  4. Thus, one substance cannot cause another substance to exist (From 1, 2, 3.  E1p6).
  5. Either substances are caused to exist by other substances, or they exist by their own nature (Premise 4, E1p7d).
  6. Thus, substances must exist by their own nature (that is, the essence of a substance must involve existence.) (From 4, 5.  E1p7)

This argument differs from the Ontological Arguments offered by Anselm and Descartes in that (i) Spinoza does not infer the existence of God from the claim that our idea of God involves existence and (ii) Spinoza does not assume that existence is a perfection (and so a property).  Spinoza’s argument, therefore, can avoid some of the more common objections to the Ontological proofs as formulated by Descartes and Anselm.  See Earle 1973a and Earle 1973b for a partial defense of Spinoza’s Ontological Argument.

a. Leibniz’s Objection to Spinoza’s Substance Monism Argument

Spinoza’s Argument for Substance Monism is generally deemed a failure by contemporary philosophers.  There are a number of ways to attack the argument.  The most common way is to reject Spinoza’s second premise (E1p5: “That two substances cannot share the same nature or attribute.”)   One of the most popular arguments against this promise was first presented by Leibniz.  Leibniz argued that whereby it might be impossible for two substances to have all of their attributes in common (because then they would be indistinguishable), it may be possible for two substances to share an attribute and yet differ by each having another attribute that is not shared.  For example, one substance may have attributes A and B and another substance has attributes A and C.  The two substances would be distinguishable because each has an attribute the other lacks, but both substances would nevertheless share an attribute.  This objection was first presented by Leibniz to Spinoza himself.  Though Spinoza did not find the objection persuasive, he never offered an explicit reply.  See Della Rocca 2002: 17-22 for a plausible solution on Spinoza’s behalf based upon the conceptual independence of the attributes.

b. Why Does the One Substance Have Modes?

If Spinoza’s Substance Monism Argument were sound, it would prove that the only substance which exists is God or Nature (a substance with an infinite number of attributes).  But why does this one substance have any finite modes (properties)?  Spinoza provides an answer at E1p16.  Here Spinoza argues that “from the necessity of the divine nature there must follow infinitely many things in infinitely many ways (that is, everything which can fall under an infinite intellect)” (E1p16).  Spinoza argues that the greater something is, the greater the number of properties which follow from its nature or essence.  For example, it follows from the nature of a triangle that it has three sides.  Why do triangles have interior angles of 180 degrees?  Because of the kind of things that they are (that is, because of their essence.)

The greater the essence of the thing, the more properties that follow from it.  God’s essence is the greatest possible essence.  Thus, the greatest possible number of properties (that is, an infinite number) must follow from God’s essence or nature.  Thus, an infinite number of finite modes must follow from the essence of God in just the way that certain properties of triangles (having interior angles of 180 degrees, for example) follow from the essence of a triangle.  Because a triangle’s essence is finite only a finite number of properties follow from it; because God’s essence is infinite an infinite number of properties follow from it.  Human beings, chairs, tables, cats, dogs, trees, etc. are some of the properties that follow from God’s essence or nature.

Spinoza claims that one important consequence of this proof is that modes are properties of substance.  The view that modes are properties of substance has been denied by at least one prominent interpreter of Spinoza (Curley 1988: 31-39).  Curley’s view has, however, proven unpopular (See Carriero 1999; Malamed 2009.)  The dominant interpretation today is that modes are properties of the one substance.

4. Attributes

Spinoza’s theory of the attributes (extension, thought, etc.) is the most original, difficult, and controversial aspect of his metaphysics.  According to Descartes, the attribute of a substance is simply the substance’s essence (Principles I.53.)  Given this definition, Descartes infers that each substance has only one attribute.  Spinoza modifies Descartes’s definition at E1d4 and states that “by attribute I understand what the intellect perceives of a substance as constituting its essence.”  The Latin here is “per attributum intelligo id, quod intellectus de substantia percipit, tanquam ejusdem essentiam constituens.”  Spinoza then claims that the one substance (“God” or “Nature”) has an infinite number of attributes (E1d6.)  A number of scholars have found it hard to understand how one substance could have multiple attributes each one of which is “what the intellect perceives … as constituting its essence.”  Either Spinoza is claiming that the one substance has multiple essences, or that the attributes are not really the essence of the substance but only seem to be.

The interpretive problems with Spinoza’s theory of attributes begin with his definition.  In the definition he uses the word ‘tanquam’ which can be correctly translated into English both as ‘as if’ and as ‘as.’  If ‘tanquam’ is translated as ‘as if’, then that translation suggests that the attributes are not really the essence of substance but only seem to be the essence of substance.  If, however, ‘tanquam’ is translated as ‘as’, then that translation would seem to indicate that each attribute really is the essence of substance.  The problem is then to explain how we can have one substance with more than one essence.  Thus, the first problem with Spinoza’s theory of attributes is to explain the relation between the attributes and the essence of substance.

According to some scholars (often called “subjectivists”) each attribute is not really the essence of substance but merely seems to be.  According to these scholars, substance’s essence is in some way “hidden” from the intellect and “unthinkable.”  All we can know is how the essence of the one substance appears to the intellect (either as extension or as thought.)  According to other scholars (often called “objectivists”) each attribute really is the essence of substance.  The problem is then to explain how one substance can have multiple essences and still remain one substance.

The second problem with Spinoza’s theory of attributes is to explain how the attributes are related to one other.  If each attribute really is the essence of the one substance, then how do they relate to each other?  Are they identical?  Or is each attribute really different from every other attribute?  If they are identical, then why does the intellect distinguish them?  If they are different, then how can one substance have more than one essence?  Some subjectivists (such as Wolfson 1958: 142 ff.) argue that there is really only one attribute which is distinguished wrongly into numerous attributes by the intellect.  Objectivists, on the other hand, argue that there is more than one attribute and that they are really distinct from each other.

In summary, there are two major problems with Spinoza’s theory of attributes:

  1. The Attribute-Essence Problem:  How do the attributes relate to the essence of substance?  Are they identical to the essence of substance or distinct?
  2. The Attribute-Attribute Problem:  How do the attributes relate to each other?  Are they identical or distinct?

a. Subjectivism

The most influential defense of the “Subjectivist” interpretation of the attributes is presented by Wolfson 1958 Vol. 1: 142-157.  Wolfson argues that

the two attributes appear to the mind as being distinct from each other.  In reality, however, they are one.  For by [E1p10], attributes, like substance, are summa genera (“conceived through itself”.)  The two attributes must therefore be one and identical with substance.  Furthermore, the two attributes have not been acquired by substance after it had been without them, nor are they conceived by the mind one after the other or deduced one from the other.  They have always been in substance together, and are conceived by our mind simultaneously.  Hence, the attributes are only different words expressing the same reality and being of substance (Wolfson 1958 Vol. 1: 156.)

That is, substance has only one essence and that essence is the sum total of all of its attributes.  The attributes are all identical (and also identical with the substance itself).  The attributes are distinguished from one another merely conceptually (“only different words expressing the same reality”), but in reality the attributes are all one and the same.  The essence of substance is therefore the one attribute extension-thought-etc.  This one attribute cannot be thought as it is, but is instead mentally broken into pieces and considered only partially.  Wolfson thus explicitly provides answers to both the Attribute-Essence Problem and to the Attribute-Attribute Problem.  In both cases Wolfson claims that the relation is identity.  Each attribute is identical to every other attribute (in reality, there is only one “super attribute”) and the essence of substance is this one unthinkable “super attribute.”  Wolfson goes further, however, and also argues that substance is identical to this one unthinkable “super attribute.”

A very different theory of attributes, which also goes by the name of “Subjectivism,” is offered by Bennett.  Bennett argues that the attributes do not constitute the essence of substance at all.  Instead the essence of substance is really the infinite series of finite modes.  The attributes merely appear to constitute the essence of substance.  Bennett disagrees with Wolfson in that Bennett believes “that Nature really has extension and thought, which really are distinct from one another, but that they are not really fundamental properties, although they must be perceived as such by any intellect” (Bennett 1984: 147.)  Thus, Bennett’s solution to the Attribute-Essence Problem is to claim that the essence and attributes are distinct.  But he differs from Wolfson in regard to the Attribute-Attribute Problem.  Here Bennett argues that the attributes are not identical (as Wolfson claims.)

One thing to note here is the looseness of the term “Subjectivism.”  Both Bennett and Wolfson are considered “Subjectivists” because they each deny at least one of the following two claims:

  1. The attributes are really distinct.
  2. The attributes constitute the essence of substance.

Wolfson denies both; Bennett denies only the second.

b. Objectivism

There are significant problems with both Wolfson’s and Bennett’s “Subjectivism.”  The problem is that there is strong textual evidence in favor of the two claims:

  1. The attributes are really distinct.
  2. The attributes constitute the essence of substance.

The argument in favor of (i) is that Spinoza claims at E1p10d that all intellects can conceive of the attributes as really distinct (that is, one without the help of the other.)  Thus, even the infinite intellect (that is, God’s Mind) must conceive of the attributes as really distinct.  But the infinite intellect understands everything exactly as it is
(E1p32).  Therefore, the attributes must be really distinct.  This argument has persuaded almost all recent scholars that (i) is true.

The argument in favor of (ii) also relies on the infinite intellect.  Spinoza claims at E2p3 that the infinite intellect has an adequate and true idea of God’s essence.  But on both Wolfson’s and Bennett’s subjectivist accounts that is not true.  On Wolfson’s account the infinite intellect cannot have an adequate idea of the one “super attribute” extension-thought-etc.  The infinite intellect can only have an idea of the different fragmented pieces, namely, extension, thought, etc.  On Bennett’s account the essence of substance isn’t even an attribute.  Both scholars have to admit that the infinite intellect does not have an adequate idea of the essence of substance, which contradicts Spinoza’s claim at E2p3.  See Della Rocca 1996a: 157-171 for more on the case against Subjectivism.

If both claims (i) and (ii) are true on Spinoza’s view, then the attributes are really distinct, and yet each one constitutes the essence of substance.  This is a significant problem.  How can there be only one substance if this substance has multiple distinct essences?  Edwin Curley answers this question by claiming both that “the attributes of substance satisfy the definition of substance” (Curley 1988: 29) and that the attributes come together to form one essence because “this particular complex is a complex of very special elements” (Curley 1988: 30.)  The attributes on Curley’s view are a collection of an infinite number of substances that come together in much the same way that numbers come together to form a number line.  The number line is a unity composed of an infinite amount of very special elements.

Thus, Curley’s solution to the Attribute-Essence Problem is to claim that each attribute pertains to the essence of substance.  Concerning the Attribute-Attribute Problem, Curley claims that the attributes are really distinct from each other.  A similar view may also have been held by Gueroult 1968 Vol. 1.  Objectivism is often characterized by three theses:

  1. The attributes are really distinct.
  2. The attributes constitute the essence of substance.
  3. The attributes are substances.

The third claim, however, has been disputed by some more recent Objectivists.  Della Rocca in his 1996 book Representation and the Mind-Body Problem in Spinoza offers what is currently the most influential objectivist interpretation of Spinoza’s theory of the attributes.  Della Roccca accepts claims (i) and (ii), but rejects the idea that attributes are themselves substances.  Della Rocca’s interpretation centers on the idea of “referential opacity.”  Della Rocca claims that “a context is referentially opaque if the truth value of the sentence resulting from completing the context does depend on which particular term is used to refer to that object” (Della Rocca 1996a, 122.)  That is, the truth value of a particular sentence depends upon how the objects in the sentence are described.  If the description changes, then the truth value of the sentence may change too.  For example, consider the morning star and the evening star.  The following sentence is true:  Bob believes that the morning star rises in the morning.  However, if you replace ‘the morning star’ without another equally correct description of the same object, then the sentence turns out false.  Because Bob does not know that the morning star and evening star are actually the same thing (namely, Venus) the following sentence is false:  Bob believes that the evening star rises in the morning.  Because the truth-value of the sentence depends upon the description of Venus used in the sentence, this context is referentially opaque.

Della Rocca provides the example of a spy.  One may know that there is a spy in the community and even hate this spy, without knowing that the spy is one’s brother.  In this case the truth-value of sentences such as I hate the spy, I believe that the spy is a spy, etc. all depend upon the term used to pick out the spy.  If we replace ‘the spy’ with the term ‘my brother,’ the truth value of these two sentences changes:  I hate my brother, I believe that my brother is a spy.  Because the truth-value changes when the term used to pick out the person changes, these contexts are referentially opaque.

Della Rocca believes that referential opacity is the key to understanding Spinoza’s theory of attributes.  The idea here is to understand that attribute contexts are referentially opaque.  So, the sentence “the essence of substance is thought” and the sentence “the essence of substance is extension” are referentially opaque contexts.  Della Rocca claims that Spinoza’s definition of attribute should be interpreted as saying: “by attribute I understand that which constitutes the essence of a substance under some description or way of conceiving that substance” (Della Rocca 1996a, 166.)  When substance is considered in one way, then the essence of substance is thought; when substance is considered in another way, then the essence of substance is extension.  What the essence of substance is taken to be will depend upon how the substance is being considered.

By arguing that attribute contexts are referentially opaque, Della Rocca believes that he can avoid the central problem of Subjectivism:  the claim that God misunderstands his own essence (contra E2p3).  Thus, though Della Rocca’s view may at first sound like a form of Subjectivism, it avoids the central problem.  The attributes are really distinct on Della Rocca’s interpretation in that each attribute is the essence of substance under some description of that substance: each really distinct description gives one a different essence.  The attributes also constitute the essence of substance on this view, so long as we add the phrase “under some description or way of conceiving of that substance” to the end.  Della Rocca, however, does not have to accept that attributes are themselves substances.  An attribute is not a substance according to this view (contra Curley); an attribute is simply the essence of a substance under some description or way of conceiving of that substance.

c. Modal Parallelism

How one interprets Spinoza’s theory of attributes will significantly affect the rest of his metaphysics.  For example, one of Spinoza’s most important claims is that “the order and connection of ideas is the same as the order and connection of things” (E2p7.)  That is, the order of modes under the attribute of extension is the same as the order of modes under the attribute of thought.  Spinoza explains this idea in an important and controversial scholium.  He claims that

a circle existing in nature and the idea of the existing circle, which is also in God, are one and the same thing, which is explained through different attributes.  Therefore, whether we conceive nature under the attribute of Extension, or under the attribute of Thought, or under any other attribute, we shall find one and the same order, or one and the same connection of causes, i.e., that the same things follow one another (E2p7s.)

The view that one and the same order exists under each of the attributes is called ‘modal parallelism.’  The word ‘parallelism’ is used because not all scholars believe that the relationship between a body and the mind of that body is identity.  How one interprets modal parallelism in Spinoza will depend upon one’s interpretation of Spinoza’s theory of the attributes.  Two of the most developed and influential recent interpretations of Spinoza’s parallelism are Bennett 1984 (who argues that the mind and body are not identical) and Della Rocca 1996a (who argues that the mind and body are identical).

Bennett and others reject the numerical identity interpretation of parallelism on the grounds that it commits Spinoza to a contradiction.  Spinoza claims that there is no causal interaction between minds and bodies at E3p2.  If he then claimed (so the argument goes) that minds and bodies are identical, then he would seemingly be committed to the following contradiction:  if mind M causally interacts with mind N and body 1 is identical with mind M, then it seems as though body 1 must also causally interact with mind N (thus violating Spinoza’s explicit claims at E3p2.)  This argument is presented by both Bennett 1984, 141 and Delahunty 1985, 197 to argue against the identity of minds and bodies in Spinoza.

But Spinoza does say that the mind and the body are “one and the same thing” conceived in two ways (E2p7s).  What could that mean if not that minds and bodies are identical?  Bennett argues that in Spinoza a mind and a body merely share a part (which he calls a “trans-attribute mode”).  Minds and bodies are not fully identical.  (See Bennett 1984, 141).  One “trans-attribute mode” can combine both with the attribute of thought (creating a mind) and the attribute of extension (creating a body) at the same time.  Thus, my body is a trans-attribute mode combined with the attribute of extension; my mind is that same trans-attribute mode combined with the attribute of thought.  Bennett thus rejects the interpretation of parallelism whereby a body and a mind are one and the same thing.  A body and its parallel mind merely share a part (namely, a trans-attribute mode).

By contrast Della Rocca argues that minds and bodies in Spinoza are fully identical.  Della Rocca argues that the notion of referential opacity (see the Objectivism section above) can allow Spinoza to accept both the identity of minds and bodies without accepting that minds and bodies causally interact.  Della Rocca claims that causal contexts in Spinoza are referentially opaque.  That is, x is the cause of y only under certain descriptions or ways of thinking about x.  It is not the case that the sentence “x causes y” is true under all possible ways of describing or conceiving of x.  For example, “x under a mental description caused y” can be true while “x under a physical description caused y” is false.  Thus, Della Rocca argues that the claim that minds and bodies are identical does not entail that minds and bodies causally interact because whether x caused y or not depends upon how x is described.  (See Della Rocca 1996a, 118-140, 157-167.)

5. Conatus

In Part III of the Ethics, Spinoza argues that each mode (that is, every physical and mental thing) “strives to persevere in its being” (E3p6.)  The word translated into English as “strives” is the Latin “conatus.”  (“Conatus” is also sometimes translated as “endeavor.”)  From the claim that every mode strives to persevere in its being, Spinoza infers that each mode’s conatus is the actual essence (E3p7.)  That is, what it is to be a cat is just to strive in a certain cat-like way.  What it is to be a desk is for the complex body to strive in a certain desk-like way.  Every thing that exists—every particle, rock, plant, animal, planet, solar system, idea, mind, etc.—is striving to survive.  From the claim that the essence of every mode is its striving to persist Spinoza derives much of his physics, psychology, moral philosophy, and political theory in Parts III, IV, and V of the Ethics.

Despite the importance of Spinoza’s theory of conatus, there are a number of interpretive and philosophical difficulties with it and Spinoza’s argument for it.  First, there is the widely debated issue of whether Spinoza’s theory of conatus should be interpreted teleologically or non-teleologically.  Is each mode trying to survive?  Are modes goaloriented things?  Or is Spinoza simply claiming that everything that modes do helps them to survive (while not claiming that modes are acting purposively)?

Second, Spinoza’s argument for the theory of conatus (which takes place in Part III of the Ethics from propositions 4 to 6) has been subject to considerable scrutiny and many scholars have argued that it is multiply invalid.  A few recent scholars have, however, attempted to defend Spinoza’s argument for his conatus theory against the charge of invalidity.  Garrett 2002, for example, provides an influential defense of the validity of the argument.  Likewise, Waller (2009) provides a partial defense of the first third of the argument.

a. Conatus and Purposive Action

Spinoza clearly denies the claim that God or Nature has a purpose or plan for the universe.  The universe simply exists because it could not fail to exist.  God did not make the universe with any predetermined goal or plan in mind; instead the universe simply follows from God’s essence in just the way that the properties of a triangle follow from the essence of the triangle (E1p16, E1p32c1, E1p33).  In the Appendix to Part I of the Ethics Spinoza claims that

[People] find—both in themselves and outside themselves—many means that are very helpful in seeking their own advantage, for example, eyes for seeing, teeth for chewing, plants and animals for food, the sun for light, the sea for supporting fish.  Hence, they consider all natural things as means to their own advantage.  And knowing that they had found these means, not provided them for themselves, they had reason to believe that there was someone else who had prepared the means for their use … And since they had never heard anything about the temperament of these rules, they had to judge from themselves.  Hence, they maintained that the gods direct all things for the use of men in order to bind men to them and be held by men in the highest honor. … But while they sought to show that Nature does nothing in vain (that is, nothing not of use to men), they seem to have shown only that Nature and the gods are as mad as man.   … Not many words will be required to show that Nature has no end set before it, and that all final causes are nothing but human fictions (Ethics Part I, Appendix.)

The earth does not exist so that we may live on it.  The universe is not designed for the good of human beings.  The universe has no purpose; it simply exists.  These ideas were revolutionary in the seventeenth century and remain controversial even today.

But some scholars (most influentially, Bennett 1984) argue that Spinoza’s rejection of purpose or goals in nature goes much further than a simple rejection of Divine purposes or goals—Bennett argue that Spinoza rejects all purposive or goal directed activities whatsoever, including human purposive action.  The claim that human actions are not purposive or goal-oriented is startling and presents us with a very different theory of what human beings are.

To understand the impact of this claim, consider the following example: if I walk across the room to get a drink of water, we might believe that this activity is purposive or goal-oriented.  I am walking across the room in order to get a glass of water.  My behavior is partly explained in the common sense view by my goal or purpose (that is, getting a drink of water.)  Bennett 1984, 240-251, however, claims that according to Spinoza this explanation of my behavior must be wrong.  According to Bennett’s Spinoza, I do not walk across the room in order to get water.  Rather I walk across the room because my organs were organized in a certain way such that when light strikes my eyes, it moves certain parts of my brain, which in turn moves certain tendons in my legs, which in turn causes my legs to move back and forth in certain ways, carrying my body to the counter, moving my hand toward the water fountain, etc.  That is, my behavior can be fully and completely understood mechanistically, just like a watch.  The springs inside a watch do not move so that the watch may indicate the correct time, rather the clock indicates the correct time because the springs and levers move in a certain way.  Similarly with human beings, they do not walk in order to get to certain places; they get to certain places because they walk.  (When considering a human being under the attribute of thought, Spinoza would claim that certain ideas follow logically from other ideas in just the way that certain effects follow necessarily from certain causes in the physical world.)  In just the way that the universe exists without any purpose or goal, so every action performed by every human similarly is done for no purpose or goal.  We do what we do simply because we could not fail to—our actions simply follow from the organization of our many complex parts.

Bennett’s interpretation of Spinoza as denying all purposive or goal-oriented action is controversial because Spinoza does claim in a number of different places that while the whole of nature has no purpose or ultimate goal, individuals do act purposively.  In the Appendix to Part I, where Spinoza makes his clearest claims against Divine purposes, he also claims that “men act always on account of an end.”  This passage and other similar ones have been a problem for Bennett’s interpretation.  (See Curley 1990 and Bennett 1990 for more on this debate.)

The issue of whether purposive action is possible is important to the interpretation of Spinoza’s theory of conatus.  Does Spinoza’s theory of conatus entail that every physical thing—every animal, plant, rock, planet, solar system, idea, and mind—acts in order to persevere in its own being?  Is all of nature goal-oriented, even though the whole of nature is not?  Some (including Garrett 1999) think so.  If Garrett is right, then Spinoza’s physical theory may be a lot closer to Aristotle’s than it is to Descartes’.  Spinoza does not seem fully consistent on the point.  In the words of one recent scholar, Spinoza is “having trouble getting the blind efficient causality of the new science and the end-governed efficient causality of human activity into the same frame, so to speak” (Carriero 2005, 146.)  When Spinoza attempts to treat all of nature, including human behavior and emotions, in a completely deterministic scientific way—as if human beings were just complicated clocks—he struggles to remain consistent.

b. The Conatus Argument

The argument for Spinoza’s claim that everything strives to persevere in its own being is found at the very beginning of Part III of the Ethics.  The argument is usefully summarized by Garrett 2002 as follows:

  1. The definition of a thing affirms, and does not deny, the thing’s essence, or it posits the thing’s essence, and does not take it away.
  2. While we attend only to the thing itself, and not to external causes, we shall not be able to find anything in it which can destroy it. (from 1)
  3. 3p4 – Nothing can be destroyed except through an external cause. (from 2)
  4. If [things insofar as they can destroy one another] could agree with one another, or be in the same subject at once, then there could be something in the same subject which could destroy it.
  5. [That there could be something in the same subject which could destroy it] is absurd. (from 3)
  6. 3p5 – Things are of a contrary nature, that is, cannot be in the same subject, insofar as one can destroy the other. (from 4-5)
  7. 1p25c – Singular things are modes by which God’s attributes are expressed in a certain and determinate way.
  8. 1p34 – God’s power is his essence itself.
  9. Singular things are modes that express, in a certain and determinate way, God’s power, by which God is and acts. (from 7-8)
  10. No thing has anything in itself by which it can be destroyed, or which takes its existence away. (from 3)
  11. [Each thing] is opposed to everything which can take its existence away. (from 6)
  12. 3p6 – Each thing, as far as it can by its own power, strives to persevere in its being (from 9-10).

That is, Spinoza begins by arguing that no thing can destroy itself (E3p4).  He argues for this claim on the basis of the claim that the definition affirms and does not deny the thing’s essence.  From the claim that no thing can destroy itself, Spinoza then infers that no two things which can destroy each other can be parts of the same whole (E3p5.)  From this claim Spinoza infers that each thing must strive to persevere in its own being (E3p6).

There seem to be numerous invalid inferences here.  The first occurs right at the beginning of the argument.  In the first three lines, Spinoza infers that since a definition of something does not contain anything inconsistent with the thing, that a thing contains nothing contrary to its own nature.  But this inference seems invalid.  If we understand a definition to be a statement of a thing’s essence (see E2d2), then it does validly follow that the essence includes nothing inconsistent with itself (if the essence were internally inconsistent, then it could not exist.)  But it does not follow that a thing cannot have certain accidental properties (not mentioned in the definition) which are capable of destroying the thing.  Thus, Spinoza seems to mistakenly infer a claim about the whole thing (both essential and accidental properties) from a premise which merely concerns the essence.  (See Bennett 1984, 234-237; Della Rocca 1996b, 202-206.  For a recent defense of Spinoza’s argument see Waller forthcoming.)

Another invalid inference occurs toward the end of the argument in lines 6 and 11.  Spinoza infers that since two things cannot both be parts of the same whole, they must actively oppose one another.  However, perhaps they could simply be in a passive relation to one another.  It is one thing to passively resist, and it is quite another to actively resist.  (See Garber 1994, 61-63 for more on this objection and its roots in Leibniz.)  A few recent scholars have attempted to respond to these charges on Spinoza’s behalf.  See, for example, Garrett 2002.

6. References and Further Reading

a. Original Language

  • Gebhart, Carl.  (ed.)  Spinoza Opera. (Heidelberg: Carl Winters, 1925.)
    • This is the standard original language edition of Spinoza’s works.

b. English Translations

  • Edwin Curley, trans.  The Collected Works of Spinoza Vol. 1. (Princeton:  Princeton University Press, 1985.)
    • This translation is the standard English translation.
  • R.H.M. Elwes, trans.  On the Improvement of the Understanding, The Ethics, Correspondence. (New York: Dover, 1955.)
    • An out-of-date English translation first published in the nineteenth century.
  • Samuel Shirley, trans. and Michael Morgan, editor.  Spinoza: Complete Works. (Indianapolis: Hackett, 2002.)
    • The only single volume English translation of Spinoza’s complete works currently available.  Shirley’s translation is often much easier to read, but a little less accurate than Curley’s.

c. Historical Studies

  • Israel, Jonathan.  Radical Enlightenment. (New York: Oxford, 2001.)
    • This book is the most extensive and authoritative historical study of the rise and influence of Spinoza and Spinozism during the Enlightenment (1650-1750.)  Israel argues that Spinoza is the one of the key figures of the Radical Enlightenment.
  • Nadler, Steven.  Spinoza: A Biography. (New York, Cambridge, 1999.)
    • This is the most authoritative biography of Spinoza.
  • Stewart, Matthew.  The Courtier and the Heretic. (W.W. Norton: 2006.)
    • This book is an entertaining novel for the non-specialist on the relationship between Leibniz and Spinoza.

d. Philosophical Studies

  • Bennett, Jonathan.  A Study of Spinoza’s “Ethics” (Indianapolis: Hackett, 1984.)
    • An influential and often critical study of Spinoza.  The book is widely cited in secondary literature.  Much of the recent scholarship on Spinoza has been an attempt to defend Spinoza against Bennett’s criticisms.
  • Bennett, Jonathan.  “Spinoza and Teleology: A Reply to Curley” in Spinoza: Issues and Directions. Edited by Edwin Curley and Pierre-Francois Moreau.  (New York: E.J. Brill, 1990), p. 53-57.
    • An important defense of the view that there is no purposive action in Spinoza.
  • Carriero, John.  “On the Relationship Between Mode and Substance in Spinoza’s Metaphysics” in The Rationalists: Critical Essays on Descartes, Spinoza, and Leibniz.  Edited by Derk Pereboom. (New York: Rowman & Littlefield, 1999), p. 131-164.
    • This article defends the claim that modes are “individual accidents” or “tropes” as opposed to universals (as Bennett maintains.)
  • Carriero, John.  “Spinoza on Final Causality” in Oxford Studies in Early Modern Philosophy Vol. II. Edited by Daniel Garber and Steven Nadler.  (New York: Claredon Press, 2005), 105-148.
    • This article concerns the metaphysics of causation in early modern philosophy and argues that the rejection of final causes in the early modern period forces a change in the conception of efficient causality.  The article clarifies different issues related to the notion of teleology in Spinoza.
  • Curley, Edwin.  Spinoza’s Metaphysics.  (MA: Harvard University Press, 1969.)
    • Curley argues in this book for a controversial interpretation of the mode-substance relation.  Instead of arguing that modes are properties or tropes, he argues that they are merely causally dependent entities.  This conclusion has been widely criticism and is currently unpopular.
  • Curley, Edwin. Behind the Geometrical Method: A Reading of Spinoza’s Ethics. (Princeton:  Princeton University Press, 1988.)
    • A more recent defense of Curley’s controversial interpretation of Spinoza which replies to many of the criticisms offered by Bennett and others.
  • Curley, Edwin.  “On Bennett’s Spinoza:  the Issue of Teleology” in Spinoza: Issues and Directions. Edited by Edwin Curley and Pierre-Francois Moreau.  (New York: E.J. Brill, 1990), p. 39-52.
    • A critique of Bennett’s view that there is no purposive action in Spinoza.
  • Della Rocca, Michael.  Representation and the Mind-Body Problem in Spinoza. (New York: Oxford, 1996a.)
    • This book is one of the most influential books on Spinoza written in English in the last thirty years.  In this book Della Rocca argues for a new interpretation of the attributes, defends the mind-body identity thesis, and works out the necessary and sufficient conditions for representation in Spinoza.
  • Della Rocca, Michael.  “Spinoza’s Metaphysical Psychology” in The Cambridge Companion to Spinoza. Edited by Don Garrett.  (New York:  Cambridge, 1996b.)
    • A study of Spinoza’s deterministic psychology.  One of the most influential parts of this study is Della Rocca’s analysis of various possible interpretations of E3p6.
  • Della Rocca, Michael.  “Spinoza’s Substance Monism” in Spinoza: Metaphysical Themes. Edited by Olli Koistinen and John Biro.  (New York: Oxford, 2002), p. 11-37.
    • This article defends Spinoza’s argument for substance monism from a number of common objections.
  • Della Rocca, Michael.  Spinoza (Routledge Philosophers Series). (Routledge: 2008.)
    • Della Rocca argues for a double use of the Principle of Sufficient Reason in Spinoza.  First, everything has an explanation.  Second, that explanation can be given in terms of explanatory concepts.  Della Rocca uses this double use of the Principle of Sufficient Reason to interpret many of Spinoza’s more difficult doctrines.
  • Earle, William.  “The Ontological Argument in Spinoza” reprint in Spinoza: A Collection of Critical Essays. Edited by Marjorie Grene.  (Garden City: Anchor Press, 1973a), p. 213-219.
    • A limited defense of Spinoza’s ontological argument.
  • Earle, William.  “The Ontological Argument in Spinoza:  Twenty Years Later” in Spinoza: A Collection of Critical Essays. Edited by Marjorie Grene.  (Garden City: Anchor Press, 1973b), p. 220-226.
    • A meditation on the ontological argument and various misinterpretations of it.
  • Garrett, Aaron.  Meaning in Spinoza’s Method.  (Cambridge: 2003.)
    • This book is the most extensive and authoritative study of Spinoza’s geometrical method.  Garrett argues that the method has moral import and is supposed to help readers view the world and themselves in a different way.
  • Garrett, Don.  “Teleology in Spinoza and Early Modern Rationalism” in New Essays on the Rationalists.  Edited by Rocco J. Gennaro and Charles Huenemann.  (New York: Oxford, 1999), p. 310-335.
    • This article defends an Aristotelian interpretation of Spinoza’s theory of teleology.
  • Garrett, Don.  “Spinoza’s Conatus Argument” in Spinoza: Metaphysical Themes. Edited by Olli Koistinen and John Biro.  (New York: Oxford, 2002), p. 127-158.
    • An extremely influential defense of the validity of Spinoza’s Conatus Argument.  Garrett bases his interpretation on a novel theory of inherence.
  • Gueroult, Martial.  Spinoza. 2 Volumes.  (Paris:  Aubier-Montaigne, 1968, 1974.)
    • An extremely influential two volume work among both French and English scholars on the first two parts of Spinoza’s Ethics.  Gueroult presents the classic case against the Subjectivism of Wolfson.  These volumes have not to date been translated into English.
  • Kulstad, Mark.  “Leibniz, Spinoza, and Tschirnhaus: Metaphysics a Trois, 1675-1676”  in Spinoza: Metaphysical Themes. Edited by Olli Koistinen and John Biro.  (New York: Oxford, 2002), p. 221-240.
    • An interesting and useful analysis of the relationship between Leibniz, Tschirnhaus, and Spinoza during a critical period in Leibniz’s philosophical development.
  • Melamed, Yitzhak.  “Spinoza’s Metaphysics of Substance:  The Substance-Mode Relation as a Relation of Inherence and Predication”, Philosophy and Phenomenological Research (1): 2009.  17-82
    • In this article Melamed argues against Curley’s interpretation of modes and in favor of the claim that modes are properties that both inhere in substance and are predicated of substance.
  • Nadler, Steven.  Spinoza’s Ethics: An Introduction. (New York: Cambridge, 2005.)
    • A good general introduction to Spinoza’s Ethics which takes into account much of the recent scholarship.
  • Pruss, Alexander.  The Principle of Sufficient Reason. (New York: Cambridge, 2007.)
    • A recent defense of a weakened form of the Principle of Sufficient Reason.  Pruss both defends the PSR against all of the classical objections to it and provides a number of arguments in favor of it.
  • Waller, Jason.  “Spinoza on the Incoherence of Self-Destruction”, British Journal for the History of Philosophy, 17 (3) 2009, 507-523
    • This article is a defense of the validity of Spinoza’s demonstration of E3p4 (“No thing can be destroyed except through an external cause.”)  Waller argues that the conclusion follows validly given Spinoza’s views on causation and destruction.
  • Wolfson, Harry.  The Philosophy of Spinoza, Vols 1 and 2. (New York: Meridian Books, 1958.)
    • Wolfson’s book contains the classic statement of subjectivism.  The scholarship of the book is extremely impressive, however, Wolfson’s conclusions are often criticized for providing a reductionist account of Spinoza.

Author Information

Jason Waller
Email: jsnwaller@yahoo.com
Eastern Illinois University
U. S. A.

Willard Van Orman Quine: Philosophy of Science

quine1W. V. O. Quine (1908-2000) did not conceive of philosophy as an activity separate from the general province of empirical science. His interest in science is not best described as a philosophy of science but as a set of reflections on the nature of science that is pursued with the same empirical spirit that animates scientific inquiry. Quine’s philosophy should then be seen as a systematic attempt to understand science from within the resources of science itself. This project investigates both the epistemological and ontological dimensions of scientific theorizing. Quine’s epistemological concern is to examine our successful acquisition of scientific theories, while his ontological interests focus on the further logical regimentation of that theory. He thus advocates what is more famously known as ‘naturalized epistemology’, which consists of his attempt to provide an improved scientific explanation of how we have developed elaborate scientific theories on the basis of meager sensory input. Quine further argues that the most general features of reality can be examined through the use of formal logic by clarifying what objects we must acknowledge as real given our acceptance of an overarching systematic view of the world. In pursuing these issues, Quine reformulates and thus transforms these philosophical concerns according to those standards of clarity, empirical adequacy, and utility that he takes as central to the explanatory power of empirical science. While few philosophers have adopted Quine’s strict standards or accepted the details of his respective positions, the general empirical reconfiguration of philosophy and philosophy of science recommended by his naturalism has been very influential. This article provides an overview of Quine’s naturalistic conception of philosophy, and elaborates on its examination of the epistemological and ontological elements of scientific practice.

Table of Contents

  1. Naturalism
  2. Naturalized Epistemology
  3. Theory, Evidence and Underdetermination
  4. Ontology, Explication and the Regimentation of Theory
  5. Physicalism, Instrumentalism, and Realism
  6. Quine’s Influence
  7. Quine’s Critics
  8. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Naturalism

One central theme from the history of Western thought concerns the relationship between philosophy and science. Philosophy is often depicted as providing a set of general conditions that somehow support or validate the various claims made in the formal and empirical sciences. So, Plato describes how geometry helps equip philosophers with rational insight into a supersensible realm of ideas or forms—a superior level of reality that shapes how the world looks in ordinary sensory perception. In a related way, Descartes argues that inner reflection of the mind’s contents and activities reveals indubitable truths that form the basis of the emerging modern scientific worldview. Lastly, Kant argues for the active structuring role of human reason in making possible experience and scientific knowledge.

Such examples highlight a prominent historical self-understanding of philosophy and its relation to science, in which philosophy offers general truths that in some way serve to justify, ground, or support the specific results of scientific inquiry. On this general picture, philosophy is not conceived as a science, but as distinct from experience and experiment and further providing a priori resources that constitute a secure foundation for scientific claims. The empiricist tradition in philosophy, stretching from Locke to Russell, with its view that all substantial knowledge finds its source in experience, provides a useful contrast to this a priori conception of philosophy. Empiricists have been more sympathetic with the idea of aligning philosophy more closely to science, but there remained a problem concerning the nature of logical and mathematical knowledge, which did not appear to depend on experience. Rudolf Carnap’s logical empiricism with its use of the analytic-synthetic distinction is often presented as responding to this specific epistemological challenge (see Quine 1995a; for dissenting views see Richardson 1998, Friedman 2006). Statements such as “All bachelors are unmarried” were deemed analytic and were true in virtue of the meaning of the words used, whereas synthetic claims such as “Some bachelors are over six feet tall,” are determined true by the meaning of their terms and through experience.

Analytic statements, including logical and mathematical claims, provide no substantial knowledge about the world but merely report the conventional use of certain terms within a language. Analytic statements do not then make any claims about the world, but are the product of the specific way we construct a language. With the a priori (now thought of as analytic) character of logic and mathematics depicted in such terms, it does not constitute a separate type of knowledge, and does then conflict with the empiricist commitment that all knowledge has its source in experience. Carnap further conceived of philosophy as concerned with the analysis of the formal linguistic structure of scientific claims. Philosophy then focuses on the analytic framework of scientific language, and finds its place as a kind of subdiscipline within the formal sciences, while still distinct from the empirical sciences (see Carnap 1935).

Quine’s view of philosophical inquiry breaks decisively with the a priori conception of philosophy’s relation to science as seen in Plato, Descartes and Kant. Although he finds himself more in sympathy with the empiricist tradition (this is especially true with regard to both Russell’s and Carnap’s distinctive attempts to make philosophy more scientific), he also rejects what he sees as its attempt to preserve the a priori status of logic and mathematics through the distinction between analytic and synthetic statements (1981, 67-72). The basic conception of philosophy and philosophical practice that informs his discussion of science is commonly know as naturalism, a view that recommends the “abandonment of the goal of a first philosophy prior to natural science” (1981, 67), which further involves a “readiness to see philosophy as natural science trained upon itself and permitted free use of scientific findings” (1981, 85) and lastly, recognizes that “…it is within science itself, and not in some prior philosophy, that reality is to be identified and described” (1981, 21).

These remarks indicate that Quine rejects the view that philosophy maintains some distinctive perspective, or type of knowledge that distinguishes it from science, and which could further serve as a independent standpoint from which to critically assess or ground the methods and procedures found in science. Consequently, he recommends the pursuit of philosophical issues from within the available resources of the empirical sciences themselves.

So, for example, the philosophical treatment of scientific knowledge does not proceed from a perspective different in kind from the very knowledge that is under examination.

Here, Quine often appeals to Neurath’s metaphor of science as a boat, where changes need to be made piece by piece while we stay afloat, and not when docked at port. He further emphasizes that both the philosopher and scientist are in the same boat (1960, 3; 1981, 72, 178). The Quinean philosopher then begins from within the ongoing system of knowledge provided by science, and proceeds to use science in order to understand science. In laying out these various points, Quine offers few remarks concerning the nature of science or why he thinks that it should be given such priority with regard to philosophical investigations. This is because, in part, his use of the term “science” applies quite broadly referring not simply to the ‘hard’ or natural sciences, but also including psychology, economics, sociology, and even history (Quine 1995, 19; also see Quine 1997). But a more substantive reason centers on his view that all knowledge strives to provide a true understanding of the world and is then responsive to observation as the ultimate test of its claims. Once we view this as the shared pursuit of human knowledge, and couple it with Quine’s broad use of ‘science,’ then any attempt to gain such an understanding can be thought of as proceeding in a general scientific spirit. Quine then attaches scientific status to any statement that makes a contribution, no matter how slight, to a theory that can be tested through prediction (1992, 20).

These points gain some support from Quine’s general view of what one commentator has called “the seamlessness of knowledge” (Hylton 2007, 8-9). This seamlessness of our overall system of knowledge emphasizes how all knowledge claims are on par without any significant breaks or gaps between them. There are not, then, on this view, different distinctive types of knowledge that may be responsive to divergence standards of evidence. Quine views human knowledge as one all-encompassing system of belief, which is accepted, rejected, or modified according to how well it accommodates and explains what is observed. He sometimes makes this point by highlighting the ‘continuity’ between the claims of common-sense and those of more advanced science, where all attempts at making true claims are viewed as continuous in the general sense of being responsive to the same standards of evidence and testability that are the hallmark of scientific knowledge (1976b, 233). Most significantly, this results in Quine’s rejection of any a priori element to human knowledge. This point received its most sophisticated modern formulation with Carnap’s use of the analytic-synthetic distinction. By rejecting any sharp distinction between analytic and synthetic truths, Quine is led to the further denial of any type of knowledge that is categorically distinct from that found in our system of empirical knowledge (for details, see Quine 1951; Hylton 2007, 48-80). We can also note that this view of knowledge serves to reinforce Quine’s view of philosophy as more or less identical with the philosophical examination of scientific practice.

Not surprisingly then, Quine views science as our most successful attempt at acquiring knowledge. Accordingly, if philosophical work is to contribute to human knowledge it must locate its concerns within this ongoing attempt to acquire successful knowledge of the world, and aspire to the very same scientific standards of clarity, utility and explanation. From this perspective, philosophical reflection cannot simply rely on the uncritical use of our everyday terms but will need to propose new ways of formulating its concerns based on the rigorous standards found in the sciences. Given the kind of standards that Quine emphasizes as conducive to philosophical progress and to the advancement of knowledge, it is perhaps not surprising to learn that much of the vocabulary used in philosophy does not meet his standards. He would then reject it as insufficiently clear for the purposes of his naturalistic conception of philosophy and as incapable of advancing our understanding of the issues it discusses (see Hylton 2007, 11; Quine 1981, 184-6; 1987). It is perhaps here that Quine’s basic attitude to philosophical concerns most clearly departs from other philosophical approaches.

One example of this tendency in Quine’s thought is found with the concept of ‘knowledge’ itself. Although our everyday use of the term is unobjectionable, Quine thinks that it is too vague to meet the scientific demands of his theory of knowledge because it does not admit of clear and sharp boundaries. For example, it remains unclear how much evidence is needed for someone to ‘know’ something, or how much certainty is required for a belief to count as case of genuine knowledge (Quine 1987). Progress in the theory of knowledge cannot then be achieved if we continue to use such concepts as knowledge or evidence within the formulation of our problems and solutions. Given the more technical uses required of his scientific approach to knowledge Quine thinks it better to use expressions such as “our system of the world” or “our theory.” These expressions are sufficiently clear, or can be made so, to address the questions that matter while placing aside those concepts, and the concerns they generate, which would forestall any attempt at increased understanding.

This attitude can also be seen with Quine’s interest in ontological questions. Here he examines our system of scientific knowledge in order to further clarify how it might be best formulated, if it can be further simplified, and to make more explicit its basic ontological commitments. The interest here remains philosophical in the sense of being concerned with determining what general categories are needed to clearly specify what kinds of objects our scientific theory takes to be real. While such concerns are more abstract than the more focused empirical studies of the natural sciences, Quine does not take them to be distinct from such scientific questions:

What distinguishes between the ontological philosopher’s concerns and …[zoology, botany, and physics] is only breadth of categories. Given physical objects in general, the natural scientist is the man to decide about wombats and unicorns. Given classes…it is the mathematician to say whether in particular there are any even prime numbers…On the other hand it is the scrutiny of this uncritical acceptance of the realm of physical objects itself, or of classes, etc., that devolves upon ontology. (Quine 1960, 275)

General worries about ontology are then of a piece with specific scientific decisions about whether electrons or quarks exist; they are simply more general in their philosophical scrutiny of the broad categories needed to do justice to this specific acceptance of electrons or quarks. In carrying out these concerns, Quine requires that our scientific theory fit within the framework of first-order logic, have an ontology of physical objects and sets, and further meet the standards of physicalism (although Quine advocates a nonstandard use of the term “physicalism”) (see Hylton 2007, 324). In pursuing this logical ‘regimentation’ of our theory, Quine appeals to criteria that many philosophers have found to overly restrictive for calibrating human knowledge. Yet he thinks that it is only through such standards that we can clarify what we must acknowledge as real given our acceptance of that theory. To settle for less rigorous standards would obscure what our knowledge tells us about what ultimately exists.

The need to reformulate our philosophical concerns in this way highlights an important feature of Quine’s attitude to theoretical progress in science. Advances are often achieved through the recognition that our questions themselves cannot be successfully addressed because of the vagueness of the concepts employed. The proper response here is to recognize that our concepts are failing us, and to then search for better formulations that yield fruitful explanations of the phenomena under investigation. If as a result, some philosophical problems need to be dropped in favor of scientific formulations that hold the promise of increased understanding, then Quine would claim so much the worse for those old problems and their formulations. This itself represents a kind of scientific progress. Quine thinks that those philosophical problems most worth considering are those that can be clarified according to these scientific standards (see Hylton 2007, 11-12; Kemp 2006, 151-164). He is then impressed with the fact that scientific progress is often achieved by the dropping of the relevant terms, concepts, issues or distinctions that lead to the type of problems that hinder the growth of knowledge.

2. Naturalized Epistemology

Quine’s extension of this general perspective into the study of human knowledge results in his famous naturalization of epistemology, where the philosophical treatment of knowledge is presented as a scientific account of how humans have developed a systematic scientific understanding of the world. Here is how Quine conceives his core epistemological project:

The business of naturalized epistemology, for me, is an improved understanding of the chains of causation and implication that connect the bombardment of our surfaces, at one extreme, with our scientific output at the other. (1995c, 349)

It is rational reconstruction of the individual’s and/or the [human] race’s actual acquisition of a responsible theory of the external world. It would address the question how we, physical denizens of the physical world, can have projected our scientific theory of that whole world from our meager contacts with it: from the mere impacts of rays and particles on our surfaces and a few odds and ends such as the strain of walking uphill. (1995a, 16)

A naturalized conception of human knowledge seeks to provide an improved scientific account of the connections between the activation of our sensory surfaces and our theoretical discourse about the world. Put succinctly, Quine seeks to elucidate how cognitive discourse about the world is systematically related to sensory stimulation. Because he rejects the epistemological search for some independent philosophical validation of scientific inquiry, Quine’s own project presupposes and thus uses whatever scientific resources he thinks are relevant to understanding human knowledge (1992, 19).

So, Quine takes the traditional problem of the epistemology of empirical knowledge and interprets it in exclusively scientific terms. From this viewpoint, epistemological problems need to be reformulated according to those standards of clarity, evidence and explanation that are found in science. This explains Quine’s use of the various technical terms that form part of his project, such as “observation sentence,” “neural intake,” and others. These are all chosen for their perceived ability to adhere to the methodological dictates of empirical science. The usual philosophical concepts of “experience,” “sense data,” and “the external world” are too unclear to advance the type of scientific understanding and explanation promoted by Quine’s naturalized conception of epistemology. He replaces them with scientifically acceptable counterparts in the form of “stimulations,” “the triggering of sensory receptors” and “observation sentence.”

Perhaps his most significant move in this direction is the rejection of any conception of observation as something empirically ‘given’ that grounds or justifies our knowledge. Here, he follows Russell and Popper and rejects induction as providing confirmation of our theories through an appeal to pure observation (see Lugg 2006). Instead, Quine examines how knowledge emerges from our responses to sensory stimulation and how observation sentences (sentences we are disposed to accept or reject simply on the basis of stimulation) are related to these responses. Quine thinks that science itself tells us that our information about the world comes through the impingement of energy on our sensory surfaces resulting in the stimulation of our nerve endings (1992, 19). This empirical fact stands as a scientific vindication of empiricism, and it forms the basis for Quine’s further reflections on the nature of natural knowledge. Philosophers have generally been skeptical about the possibility of accounting for human knowledge in such austere scientific terms, most notably, without any use of the concepts of knowledge, meaning and understanding. Quine’s response to such skepticism consists of his attempt to sketch the details of this naturalistic account and thus demonstrate how it is possible to make sense of human knowledge and our use of cognitive language in such strict scientific terms. He then endeavors to show that we can pursue such an account without presupposing any mentalistic concepts (see Hylton 2007, 94-5).

In doing so, he provides a genetic account describing how humans have come to learn cognitive language. To bring out the epistemological significance of such an account he draws a parallel between the learning of cognitive language and the evidential support for a scientific theory:

The channels by which, having learned observation sentences, we acquire theoretical language, are the very same channels by which observation lends evidence to scientific theory…We see, then, a strategy for investigating the relation of evidential support, between observation and scientific theory. We can adopt a genetic approach, studying how theoretical language is learned. For the evidential relation is virtually enacted, it would seem, in the learning. This genetic strategy is attractive because the learning of language goes on in the world and is open to scientific study. It is a strategy for the scientific study of scientific method and evidence. (Quine 1975a, 75-6)

On Quine’s account, for a sentence to be considered cognitive it must be connected in some way to sentences that are answerable to sensory stimulation. It is through the learning of language that such connections are forged, since the child must learn to use sentences in response to sensory stimulation. The link between language and the world is described in terms of sentences causally tied to neural input, and is essential to both the learning of language and the responsiveness of theory to evidence (see Hylton 2007, 95).

Quine’s emphasis on language learning and causal conditioning has been at times sharply criticized as overly behaviorist in orientation (Searle 1987). It is then important to clarify the extent of this behaviorist commitment. (For further details see Gibson 2004.) Importantly, Quine dismisses any definition of behaviorism that limits it to conditioned response, and explains “What matters, as I see it, is just the insistence upon couching all criteria in observation terms” (1976a, 58). From his perspective behaviorism is a crucial methodological requirement resulting from the need for observable evidence, which facilitates the prediction and testing of hypotheses, and is also mandated by sound empirical method. He further explains how this “disciplines data, not explanation” and that to account for any appreciable language learning beyond the present observable scene requires a significant innate endowment: “Behaviorism welcomes genetics, neurology and innate endowments” (2000d, 417). Even if the processes involved in the learning of observation sentences should turn out to be unlike classical conditioning, this still would not, Quine emphasizes, be a refutation of behaviorism (Quine 1976a, 57). His use of the term is solely concerned with the establishment of the observable evidence required by empirical method. Quine’s behaviorism is not then some odd a priori assumption, nor a straightforward empirical thesis, but stands as the name for an approach to language learning which signals Quine’s commitment to the evidential and methodological requirements of his naturalism. His understanding of what is required with such a commitment results in his use of this behaviorist stance when examining language and the nature of human knowledge.

Quine’s genetic account then utilizes this methodological requirement to consider how the human child, subject to various forms of sensory stimulation, could come to acquire a theory of the world. He takes knowledge itself to be embodied within our language, so the examination of how this language is learned will enable us to better understand how the causal relations between observation sentences and sensory stimulation yield evidence for our scientific theory. Beginning with our basic cognitive vocabulary, we see that the child starts by making basic, primitive responses to sensory stimulation, and through the encouragement and discouragement of others, more sophisticated language and knowledge gradually emerges. In describing the various steps the child would take, Quine continues to emphasis the importance of observation sentences, which are those expressions that children learn through direct association with neural input (Quine 1995a, 22-25).

Observation sentences are an important subset of occasion sentences, sentences that are true or false on different occasions, with the additional requirement that they command an individual’s assent or dissent outright on the specific occasion of the relevant stimulation (Quine 1992, 3). The significance of observation sentences cannot be overemphasized, because they serve as the final objective checkpoint of science. It is through the utterance of an observation sentence that one provides the prediction that tests a hypothesis implied by our scientific theory. It is the requirement that neural input prompt the verdict outright, without further reflection, which makes the observation sentence the final checkpoint. The further requirement of intersubjectivity, unlike the report of a pain or feeling, indicates that the observation sentence yields the same response from all linguistically competent members of the community, revealing the source of the objective nature of science.

We can then imagine the child being conditioned to utter certain observation sentences in response to neural input, such as “milk,” when encountering the necessary stimulus. Over time children learn to assent and dissent, learning to assent to a sentence when stimulated in a way that would have caused them to utter that expression themselves, and to dissent when stimulated in a way that would not cause the utterance of this sentence. Quine emphasizes how such observation sentences, “Milk,” “Dog,” “Red” and “It’s raining” should be treated as wholes or holophrastically; each expression, whether containing one word or more, is conditioned as a whole to stimulation, and not as containing component words: “Each is simply an expression learned intact by association with stimulation and, derivatively, similar stimulations” (Quine 1984, 15). Each such observation sentence becomes associated with a range of perceptually similar neural intakes through conditioning. Quine defines perceptual similarity as a relation between an individual’s neural intake, testable through the reinforcement and extinction of the individual’s responses. He explains that perceptual similarity “is the basis of all learning, all habit formation, all expectation by induction from past experience; for we are innately disposed to expect similar events to have sequels that are similar to each other” (Quine 1995b, 253).

The relation between neural input and observation sentences is then understood in terms of conditioned response and subjective standards of perceptual similarity. However, there remains a lingering difficulty only resolved in some of Quine’s last writings in epistemology (see Quine 1995a, 1996, 2000a). Simply put, the problem concerns bridging “the gap between the privacy of our neural intake and the publicity of our testimony” (2000e, 409). Consider the surrounding environment of two interlocutors, what we might call the distal scene. Observation sentences tend to report this distal scene, and our agreement on what we see is registered with such verbal reports. Once we consider the causal chain from distal objects to our neural input we realize that all we share is this distal cause of our utterance; that is, we both utter “rabbit” in the presence of rabbits, but our perspectives on the scene are different, and there is no homology (shared neural structure) between our nerve endings. Despite this neural diversity we end up associating the same words with the same object, and the problem then is: “How is this distal harmony across proximal heterogeneity to be explained?” (Quine 2000e, 407).

Quine’s answer involves what he calls a “preestablished harmony of standards of perceptual similarity” (1996). He begins with his familiar emphasis on each individual’s subjective similarity standards and their central role in learning. Each bit of neural intake is similar to another more than it is to others, allowing us to notice differences as well as similarities. However, such perceptual similarities are private between us, and we share no receptors, nor are they homologous, but we still end up agreeing on the passing show. I utter “rabbit,” and you agree; in this case my neural intake was perceptually similar to earlier ones, as was your current ‘rabbity’ intake. What explains this convergence is a preestablished harmony between our similarity scales. Generally, when two events produce neural intakes that are perceptually similar for me, they also tend to be perceptually similar for you. Some of these similarity metrics must be innate, since learning cannot get started without them. Quine then concludes that our perceptual similarity standards are in part innate, and are in preestablished harmony. This harmony is further explained through natural selection:

There is survival value in successful induction, successful expectation: it expedites our elusion of predators and our pursuit of prey. Natural selection, then, has favored similarity standards that mesh relatively well with the succession of natural events…It…explains the preestablished harmony: the standards are largely fixed in the genes of the race, the species” (2000b, 2).

Our ability to successfully engage in primitive induction or expectation, as well as successfully communicate with each other about the distal scene, is revealed as dependent on this harmony of our subjective standards of perceptual similarity. Natural selection accounts for this through its shaping of our ancestor’s perceptual standards into a partial conformity with our own shared environment. It is through such biological origins that sensory connections between language and the world were forged, further establishing the responsiveness to observation of our later more advanced scientific pronouncements.

3. Theory, Evidence and Underdetermination

In addition to his interest in the acquisition of scientific knowledge, Quine also reflects on our theory as a more or less finished product and considers in a more general way the nature of the relationship between this theory and its evidence:

Within this baffling tangle of relations between our sensory stimulation and our scientific theory of the world, there is a segment that we can gratefully separate out and clarify without pursuing neurology, psychology, psycholinguistics, genetics, or history. It is the part where theory is tested by prediction. It is the relation of evidential support, and its essentials can be schematized by means of little more than logical analysis. (Quine 1992, 1-2)

Examining the logical links between our scientific statements and their connection to observation reveals that as a matter of strict logical implication our theory can be seen to imply its evidence (Quine 1975b). For example, what our scientific theory tells us about the physical composition of metal indicates that it will expand when heated. It then follows from our theory that if we heat a piece of metal this will result in its expansion. The claims made by our scientific theory imply that under certain conditions, specific observations will follow, and such observations count as evidence for the theory being on the right track. When such an implied hypothesis happens as expected (the metal expands) then our confidence in the original hypothesis increases and we provisionally include it within our backlog of theory. But when this hypothesis fails in its predictions, it has been falsified, and the theory requires further revision. These revisions must prevent the false implication but continue to imply the correct claims of our previously unrevised theory. This indicates that in general Quine accepts the hypothetico-deductive method that many philosophers have emphasized as central to scientific inquiry, and further endorses Karl Popper’s view that observation only serves to falsify our hypotheses and never confirms them (1992, 12-16).

However, there remains an issue concerning the nature of the evidence that is implied by our theory. More specifically, we might ask what plays the role of evidence within Quine’s naturalized account of knowledge (see Davidson 1983)? Given Quine’s naturalized account of knowledge, his answer must be in line with scientific practice. Although, he has at times claimed that observation sentences should be seen as evidence, they cannot measure up to this naturalist standard (1969a). This is because observation sentences are also occasion sentences where their truth-value can vary, while our theory and its implications (if true) would be true once and for all. There then appears to be no direct inferential connection between our theoretical statements and observation sentences (Quine 1975b).

In order to better capture scientific practice, Quine then introduces what he calls “observation categoricals” to help bridge this inferential gap between theory and evidence. An observation categorical is a hypothetical expression that links two observation sentences where the first specifies some experimental conditions and the second suggests what will follow from such conditions. In other words, they express the general expectation that whenever one observation sentence holds, the other will also (Quine 1995a, 25). Simple examples might include: “When it rains, it pours” or “Where there is smoke, there is fire.” For Quine, these constructions highlight the way in which evidence for a respective hypothesis is to be found: “The scientist deduces from his hypotheses that a certain observable situation should bring about another observable situation; then he realizes the one situation and watches for the other. Evidence for or against his set of hypotheses ensues, however inconclusive” (2000c, 411).

The observable consequences predicted by the observation categorical are offered in the form of observation sentences that are directly conditioned to sensory stimulation, and in this way remain answerable to observation and evidence as Quine conceives it. But the categorical itself is an eternal sentence (true or false once and for all) implied by our background theory, and if true can be incorporated into our theory (1981, 26). Experimental method then remains the source of justification for our beliefs: “Where I do find justification of science and evidence of truth is…in successful prediction of observations…” (Quine 2000c, 412). The scientist is justified in his belief that whenever X then Y because it has been provisionally supported by an experiment that has yielded the predicted consequences. Concerns over justification and evidence acquire paradigm expression in the experimental situation, with the endorsement of specific hypotheses stemming from their fulfilled prediction as described in observation categoricals.

Quine then takes our scientific theory of the world to imply its evidence, now seen as consisting of a set of observation categoricals. But he explains how the reverse does not hold, since no group of observation categoricals will logically imply our theory (Quine 1975b, 228). This fact further suggests that more than one theory might be compatible with the evidence, that is, imply the same group of observation categoricals. This conclusion is usually referred to as the underdetermination of theory by evidence – the view that our choice of theory is not wholly determined by the evidence. Quine thinks that this general thesis acquires some support from his holistic view of theories, where theoretical statements fail to imply any observation categoricals in isolation from one another, but must be taken together as a larger group if they are to have empirical implications. It is then because of Quine’s claim that there is a significant degree of empirical looseness of fit between theories and their evidence, that the evidence cannot uniquely determine one single theory. And this opens up the possibility that several theories may be compatible with that evidence.

Although such considerations lend some plausibility to the underdetermination thesis, Quine argues that once we attempt to further clarify this thesis, it is revealed as not as intuitively plausible as it originally appeared. The basic problem stems from the consequence suggested by the thesis, namely, that if we have an overall global theory, then there is also another empirically equivalent alternative theory. The trouble then consists of making sense of what “alternative” might mean in this context (1975b, 230-241). Quine wonders if there is way of making sense of such alternatives that rule out trivial cases, leaving us an interesting formulation of the basic thesis. He invokes the idea of translation between theories to highlight their distinctness, where we claim that our global theory has an alternative that is empirically equivalent but which cannot be translated sentence by sentence into our theory.

These theories differ in the predicates they use within their respective languages. A trivial example is given by switching two terms, “molecule” and “electron,” that do not appear in any observation sentence. These two theories would then be empirically equivalent since they imply the same observation sentences, but they say different things because one assigns certain properties to molecules, while the other denies them and attributes them to electrons (Quine 1981, 28-9). Successfully translating one to the other would then require a systematic conversion of one into the other. The underdetermination thesis that emerges from these remarks “asserts that our system of the world is bound to have empirically equivalent alternatives that are not reconcilable by reconstrual of predicates” (Quine 1975b, 242). Quine thinks it remains an open question whether this situation could arise. But, he does endorse the possibility that we might uncover empirically equivalent theories that we see no way to successfully reconcile through translation (1992, 97; see Hylton 2007, 189-196).

Quine’s discussion of issues involving the justification of theoretical statements stands in sharp contrast to the common criticism that his naturalized epistemology eliminates any normative concern with justification. The standard reference for this criticism is found with Kim (1993), who argues that Quine’s naturalized account of knowledge asks us to “set aside the entire framework of justification-centered epistemology” replacing it with “ a purely descriptive, causal-nomological science of human cognition” (224). With his explicit appeal to the resources of natural science, Kim takes Quine’s epistemological program as only describing how we have arrived at our current beliefs, and as incapable of accounting for the rational basis of these beliefs, or providing any recommendations concerning what beliefs we should accept or reject. He concludes that Quinean naturalized epistemology results in a radical rejection of the traditional normative project of epistemology.

Quine’s emphasis on the causal connections between our sensory surfaces and the statements of advanced science forms one element of his attempt to clarify the evidential support of science but one that does not explicitly address Kim’s normative concern. That is, it does not deal with questions of justification, or reasons for belief, and consequently does not establish those standards needed for the evaluation of our beliefs. Moreover, Quine would agree that sensory stimulation is incapable of dealing with normative concerns involving evidence, since this causal source of ‘information’ does not justify our beliefs, because we are unaware of our sensory input and cannot then infer anything from it. This agreement is partly obscured with Quine’s occasional use of “evidence” in summary statements of his position. However, this concept is not clear enough to be used within the more precise scientific formulations required of Quine’s naturalized account of knowledge. By concentrating on “the causal-nomological” element of Quine’s view, and finding there no evident interest in the issue of justification, Kim concludes that naturalized epistemology eschews any such concern. But this mistakenly takes Quine’s description of the causal chains from stimulus to science as all that would remain of epistemology after it has been situated within the empirical constraints of natural science. Quine thinks that concerns over justification find their most explicit expression in experimental contexts, when specific hypotheses lead to their fulfilled prediction. These predicted expectations are captured with his use of observation categoricals that serve to bridge the inferential gap between observation sentences and the more advanced pronouncements of our scientific theory.

This view of justification is also in accord with Kim’s insistence that epistemology indicate the conditions beliefs must satisfy to be considered justified. It further indicates which beliefs we have a rational responsibility to hold and those we do not. Through his appeal to experimental method and the claim that hypotheses are justified through the successful prediction of observational consequences, Quine indicates that these hypotheses are to be accepted while others that fail to lead to their respective predictions are not. Rather than reject normative epistemology, Quine’s theory of knowledge provides an account of the normative that is tempered by scientific resources and empirical methods. The result is a view of justification that remains capable of addressing those justificatory concerns that Kim sees as fundamental to the traditional normative project of epistemology. This suggests that the central normative issue that divides Quine and his critics does not involve the question of whether individual claims are justified but rather centers on his more fundamental denial of any general evaluative perspective on science from some external philosophical vantage point. For more on these issues see Gregory 2008, Johnsen 2005, Roth 1999, and Sinclair 2004, 2007.

4. Ontology, Explication and the Regimentation of Theory

Quine’s concern with science or with our overarching “scientific theory of the world” is not confined to the acquisition and evidential support of this theory, but also considers the question of its further ontological commitments. Here, he is interested in what the world is like in its most general structural features, and in further clarifying what our scientific theory tells us about this ontological structure (Quine 1960, 161). Such concerns indicate a philosophical task for the naturalist philosopher: a detailed consideration of how our scientific theory might be organized and systematized. This, as we will see, results in Quine’s attempt to further simply this theory and in the process help to clarify what sorts of objects we must acknowledge as real given our acceptance of this theory.

In carrying out this systemization of our theory Quine speaks of its “regimentation,” in which the theory is to be cast in a logically clear and rigorous language (1960, 157). The results of this regimentation further lead to ontological reduction, in which we appeal to various logical techniques to demonstrate that our theory does not commit us to the existence of certain kinds of things that it may, at first glance, appear to (Hylton 2007, 245). The overall aims of regimentation are to make our theory clearer, more precise and systematic. Quine takes this drive towards greater systematization as central to the improvement of human knowledge generally. It is precisely these further systematic refinements to our knowledge that helps it move beyond the claims of commonsense to more sophisticated science (Quine 1976b, 233-234). By injecting greater system into the precise examination of evidence the scientist is able to take positive steps beyond commonsense understanding. Quine views the philosophical concerns that motivate his use of logical regimentation as a straightforward continuation of the scientific effort to impose greater system upon our theory (see Hylton 2007, 232-233). The scientist is interested in organizing and clarifying some specific area of a theory, such as biology or chemistry, in order to provide a better understanding of that part of human knowledge and further lay the groundwork for future progress in that area. The philosophical aim here is, not surprisingly, broader and more abstract than that of the empirical scientist, but the motivation and result is the same (Quine 1960, 275-276). These ontological interests are another example of the way Quine conceives of philosophy as continuous with the aims and motives of scientific inquiry.

Quine is concerned with making explicit the ontological claims that our theory requires us to accept. In other words, what kinds of objects must we accept as real, given our commitment to this theory (Hylton 2007, 236). In pursuing such issues, he thinks that our ordinary language or system of concepts fails to make explicit the nature of such ontological commitments, because it fails to definitely pick out objects. When dealing with various ontological concerns, we cannot then simply “read them off” our ordinary use of terms and concepts:

The common man’s ontology is vague and untidy in two ways. It takes in many purported objects that are vaguely or inadequately defined. But also, what is more significant, it is vague in its scope; we cannot even tell in general which of these vague things to ascribe to a man’s ontology at all, which things to count him as assuming…It is only our somewhat regimented and sophisticated language of science that has evolved in such a way as really to raise ontological questions. (Quine 1979, 276)

It is only once we have cast our knowledge of the world into a regimented notation that it then makes sense to ask about what it claims to exist. However, there are various logical methods and techniques available for this logical calibration or regimentation. We must then choose a method, and base this choice on that method which does the best job at helping us systematize our theory. Quine argues that the best way to regiment our theory is to formulate it within the terms set by the syntax of classical first order logic. Setting up our theory within such syntactical forms will, he thinks, provide the best way of simplifying and clarifying this theory (see Hylton 2007, 252). Quine’s general concern with clearly and explicitly capturing the nature of our theory’s ontological commitments is then intimately connected with his attempt to regiment our scientific theory into the syntax of modern logic.

One important way that regimentation helps with the simplification and clarification of our theory is through helping us avoid nagging philosophical problems by ‘resolving’ them. Again, this claim needs to be measured against problematic features of ordinary language use. Ordinary language contains idioms and constructions that lead to puzzling questions or paradoxes. For example, to meaningfully speak about some thing not existing, seems to require that there is in fact such an object to talk about. But following Russell, Quine shows how such expressions can be rewritten within a formal language using quantifiers and bound variables (for more details see Quine 1948, 1-19; Hylton 2007, 280-297). The meaningfulness of such expressions is then understood within the resources of a formal language and does not further require that there exist objects such as a round square, or Pegasus, in order for us to speak meaningful of there being no round square, nor Pegasus.

For such reasons, Quine thinks that we can avoid these idioms and constructions and, in turn, sidestep the philosophical puzzlement that accompanies them. This reflects his attitude to progress in philosophy and science, where serious philosophical work is concerned with science or our general systematic structure of human knowledge. The simplification of this theory demonstrates how to avoid puzzling and irresolvable questions that have been part of historical philosophical concerns. Scientific work can than move forward without any distraction from such potential philosophical impediments to progress (Hylton 2007, 244). Quine explains that “problems are dissolved in the important sense of being shown to be purely verbal, and purely verbal in the important sense of arising from usages that can be avoided in favor of ones that engender no such problems” (1960, 261). It should be stressed that Quine does not think that all philosophical problems can be dissolved in this way. His point here is to emphasize that philosophical worries often derive from the vagueness of the terms employed, rather than from a discovery of a genuine issue that needs to be addressed. This itself is revealed once we adopt a proper scientific attitude to the problem, further demonstrating that it is unreal and should placed aside.

We have seen that Quine takes the ontological claims of our theory as only becoming clear relative to some form of logical regimentation. However, at first glance, it appears as if our ordinary discourse comes with ontological commitments. The subject of a given sentence seems to correspond to an object, suggesting that accepting such a sentence is to commit oneself to the existence of that object. It is possible that given our choice of a regimented language, this commitment may remain, or we may be able to do without it, since the sentence can be logically recalibrated without any reference to such an object. This second case is one of ontological reduction, where we have demonstrated how the commitment to the existence of an object does not need to be taken as a real commitment (Hylton 2007, 246; Quine 1960, 257-262).

Quine illustrates this point with his discussion of the definition of an ordered pair. Within set theory, the definition of set is indifferent to the order of its members. The set consisting of my coffee cup and my copy of Word and Object is the same set as that made up of my copy of Word and Object and my coffee cup. There are times, however, when this order makes a difference and we need to specify which member of a set comes first and which comes second. To do so we introduce an entity called an “ordered pair.” For example to define the relation of fatherhood, we would introduce the ordered pair of <Abraham, Isaac> where the first member is male and the second is a child of the first. The father relation can then be defined as the set of all ordered pairs of this kind (Quine 1960, 257). Ordered pairs need to be subject to one fundamental postulate: that the ordered pair consisting of a and b is identical to the ordered pair consisting of x and y if and only if a = x and b = y (Gustafsson 2006, 60; Hylton 2007, 247). Now, the ontological issue concerns the apparent need to be committed to an extra entity called ‘ordered pair’ of which this postulate is true or whether we can define this construction using only the conceptual resources within our existing theory, that is, within set theory. It turns out that we do not need to assume the existence of such entities, since there are, at least, two ways to use set theory to define ordered pairs (for details, see Gustaffsson 2006, 60-65; Hylton 2007, 247). The above postulate can then be translated via a theorem of set theory using one of these proposed definitions. When our explanatory needs require a more precise specification of the order of a set’s members, we are able to meet this demand by simply using the resources of our existing theory. The justification for making such theoretical maneuvers and using these definitions, is found with the demands of overall utility and convenience; we can address our explanatory interests by using the existing resources of set theory while avoiding assumptions and entities that we do not need. For Quine, it does not matter that there are several definitions of ordered pair available, nor that they make different claims about what ordered pairs ‘really’ are. Any definition that is capable of fulfilling the basic postulate is deemed acceptable for his theoretical purposes (Gustaffsson 2006, 61; Hylton 2007, 247-8). Simply put, what these definitions then show is that we can proceed with our explanatory interests without ordered pairs. Despite his focus on this relatively technical point internal to set theory, Quine suggests that we draw a general philosophical moral:

This construction is paradigmatic of what we are most typically up to when in a philosophical sprit we offer an “analysis” or “explication” of some hitherto inadequately formulated “idea” or expression.… We fix on the particular functions of the unclear expression that make it worth troubling about, and then devise a substitute, clear and couched in terms to our liking, that fills those functions. Beyond those conditions of partial agreement, dictated by our interests and purposes, any traits of the explicans come under the head of “don’t-cares” (Quine 1960, 258-259).

This definition or explication of ‘ordered pair’ has this broader ontological significance because the technical issues that motivate it are here viewed as simply a basic part of what it means to address such ontological questions. Due to the inherent vagueness of our ordinary discourse, Quine views ontology itself to be largely an artificial enterprise, which is inseparable from the very sort of logical techniques and regimentation we have discussed (Hylton 2004, 128). The study of ontology requires addressing those technical issues that answer the explanatory needs of convenience, simplicity and overall considerations of utility. For Quine, any serious attempt at clarifying our ontological commitments will then involve the technical considerations found in this explication of the ordered pair.

This definition or explication has resulted in our proceeding without assuming the existence of ordered pairs. There then remains a general question concerning whether such ontological reductions explain or eliminate the entity under consideration. Given Quine’s general attitude to ontological issues, we might expect that he recognizes no sharp difference here between explication and elimination. If the definition results in a rejection of certain uses of a term, then we may be more inclined to view this as a rejection of the entity in question. But if these uses are still recognized as important in different contexts, we may favor the explication of the term rather than its elimination. Given the artificial nature of the ontological enterprise, these are largely rhetorical differences that do not admit of sharp boundaries (Quine 1960, 261).

This is perhaps best seen with Quine’s view of the disagreement within the philosophy of mind between identity theorists and so-called eliminative materialists (see Gustaffsson 2006). Despite a lack of neurophysical detail, Quine thinks that we still can provide an explication of the mental that shows how to proceed without the positing of mental entities. If one grants that each mental state has a corresponding bodily state, then we can simply assign mental predicates to states of the physical body, thus bypassing any need to assign the mental to some non-bodily substance. John’s pain is not located in some mind that is in a state of pain, but we instead take the predicate “is feeling pain” as applicable directly to John’s body. In this way we get rid of all reference to mental entities and appeal to mental predicates as applying only to physical things, in this case John’s body (Gustaffsson 2006, 66). As in the case of ordered pairs, we have a definition that leads to ontological reduction, and we might be inclined to ask whether this reduction explains what mental states really are, or eliminates then completely from our ontology.

Quine’s attitude here is the same as before; a proper scientific regimentation of discourse about minds demonstrates how to proceed without the positing of mental entities. But the further question of whether this identifies the mental with the physical or eliminates the mental is shown to be merely a rhetorical difference. It is only through our choice of a logical framework, a regimented language, that we are capable of settling the question of what identity criteria are available. Once this has been decided we can recognize that scientific discourse about minds does not require a commitment to mental entities. However, this reveals that there are no further objective facts characterized within this formally regimented language that settles the question of the identification or elimination of the mental (see Gustaffsson 2006, 67-68; Quine 1960, 265). We have shown how our commitment to physicalism is compatible with the explanatory need to posit mental states, but how we might further describe this outcome is merely a choice between which way of talking we like best (Quine 1995a, 86).

5. Physicalism, Instrumentalism, and Realism

With regard to Quine’s general attitude within ontology we have seen his insistence on clarity, utility, ontological reduction, and the general simplicity and sparseness of our theoretical commitments. These features coupled with Quine’s early flirtation with nominalism might lead one to conclude that his philosophy be characterized as “nominalist” (Quine 1946, Quine and Goodman 1947). However, this conclusion does not follow. Much of our theorizing uses abstract objects, including for example, mathematics objects such as numbers and functions, which in turn form a crucial part of the overall structure of the sciences. Without abstract objects we would be unable to accommodate mathematics within our overall system of knowledge, and so would deprive ourselves of such knowledge within natural science. Moreover, ordinary statements such as “I own two cars,” appeal to the idea of a type of object, which we may most readily understand in terms of abstract entities (See Hylton 2007, 302-303). Quine is then driven to accept abstract entities, by stressing the overwhelming theoretical and structural reasons for including them into our ontology. It is important to note that no experiment or fulfilled prediction settles this or any other ontological issue (Quine 1960, 276). Rather, the reality of abstract objects gains indirect support through the structural benefits they provide our theory in our ongoing attempt to formulate testable hypotheses.

Quine further clarifies the status and role of such abstract objects through an appeal to sets as the only type of abstract object required. Most significantly, he thinks it is possible to demonstrate how various mathematical entities can be defined using only sets. The use of sets then allows us to preserve the importance of mathematics and its crucial role within the language of natural science, while admitting only one type of abstract object into our ontology.

When Quine’s general ontological viewpoint is characterized as physicalist, we must note its endorsement of physical objects, and abstract objects. This use of “physicalism” is nonstandard, as the term is sometimes equated with materialism (only physical things exist), and as explicitly rejecting the existence of abstract objects (see Hylton 2007, 310). Quine further formulates his physicalism as the view that there is no difference without a physical difference. That is, nothing happens in the world without a redistribution of microphysical states (Quine 1981, 98). Importantly, this does not result in a strict form of reductive physicalism, where, for example, we might claim that a particular type of physical event occurs when someone thinks about their vacation in Mexico. Rather, Quine advocates a form of what is often called “nonreductive physicalism,” in which various vocabularies, including intentional descriptions, cannot be reduced to the language of physics, but that each particular mental event can be identified with a specific physical event. He takes the general significance of this form of physicalism as stemming from the fact that it is physics, as the fundamental science, which aims for the full coverage of all events in the universe:

…nothing happens in the world, not the flutter of the eyelid, not the flicker of a thought, without some redistribution of microphysical states…If the physicist suspected that there was any event that did not consist in the redistribution of the elementary states allowed for in his physical theory, he would seek a way of supplementing his theory. Full coverage in this sense is the very business of physics, and only of physics. (Quine 1981, 98)

It falls to physics to account for all actions and events within its universal and exceptionless laws. The importance that Quine assigns to his physicalism is based on the plausible empirical assumption that there is an adequate physical theory to be found along the lines he suggests (Hylton 2007, 315-316). While physics remains incomplete, it nonetheless provides us with a coherent unified theory with great explanatory power. It is reasonable to believe that, as the details of physical theory are further worked out, the resulting theory will remain a natural extension and continuation of the current physical understanding at hand.

Quine further emphasizes what he describes as a “robust” realism about the objects posited by our overarching theory of world. This realism remains grounded in his naturalistic conception of philosophy, where it is science itself that describes and identifies the most basic features of reality. He emphasizes the way human knowledge is a means for the prediction of observation or, more technically, of sensory stimulation:

Our talk of external things, our very notion of things, is just a conceptual apparatus that helps us foresee and control the triggering of our sensory receptors in the light of previous triggering of sensory receptors. The triggering, first and last, is all that we have to go on. (1981, 1)

This view of knowledge appears to suggest that theories are only instruments, and then conflict with the realist stance Quine further affirms of the objects posited by our scientific theories (Hylton 2007, 18-22). If knowledge is simply viewed as a way of predicting stimulation, then why should we take the further step and proclaim that the objects it claims to tell us about really exist? The basic critical point here claims that despite Quine’s professed realism his view of theories and their relations to sensory stimulation prevent him from taking the things described as real.

This point is reinforced with Quine’s emphasis on what he calls “Ontological Relativity” (Quine 1969b). Suppose we have provided a fully regimented scientific theory in which all of our ontological commitments are now completely transparent. Quine argues that there remains more than one way to interpret such commitments. We can provide a different interpretation of its predicates, and this will give a corresponding change in the ontological commitments of the theory. For example, instead of claiming that x is a dog, we could say that x is a certain temporal stage of a dog. Here, the predicates assigned to the objects of the theory have changed, but the overall structure of the theory remains the same; and its empirical content, that is, its implied observations, also remain unchanged (see Hylton 2004, 115-150). But what the theory tells us is real has changed. Quine thinks it is important that the structure of our theory is built up to accommodate sensory experience, but that the objects used to carry this out can vary. Once again, this may seem to conflict with his further commitment to a realism about the objects posited by our theory. More specifically, in spite of his emphasis on viewing objects as theoretical posits, and how they can vary with no impact on implied observation, he still affirms the reality of the objects posited by our theory. He himself thinks that this represents no serious conflict, and that the key reconciliation of these elements is found with his naturalism (1981, 21). It will then be useful to briefly examine why Quine thinks his naturalism can reconcile the instrumentalist and realist elements of his philosophy of science.

Standard forms of instrumentalism take scientific theories to be instruments for making predictions but view the objects or entities named within such theories as merely useful fictions. They are not claimed to be real, but are simply posited in order to help us make successful predictions. Sometimes this view claims that everyday objects like tables and chairs are real and that the posited non-observable fictions of the theory help us understand the observable behavior of such real objects. Other times it takes all of these objects, including chairs and tables as useful fictions. Either way, such positions rely on a distinction between types or levels of reality, in which one class of objects is depicted as somehow less real than the other, and such objects are then just simple posits for organizing our experience of things (see Hylton 2007, 18-20).

Importantly, Quine’s epistemological and ontological views do not permit any such contrast. He does not think that we can take our sensory stimulations as real while at the same time viewing physical objects as mere fictions. For Quine, sensory stimulations are physical objects and we then need to view them as on par with all other physical objects. But this is a basic corollary of his naturalistic stance in philosophy. Quine’s naturalism emphasizes that we always begin within our ongoing theory of the world, which takes for granted both the existence of the physical world and our knowledge of that world. There is then no neutral, pre-theoretical position that would provide us with access to some other standard of reality. He rejects the claim that in philosophical inquiry we can appeal to a standard of reality that is different from the one we use when we distinguish, for example, a real pool of water from a mere mirage (Hylton 2007, 20). What we have available is our ordinary knowledge of things, where further modifications of this knowledge may lead through a process of internal development. Consequently, we lack any superior standard of reality other than that found within our general overarching systematic theory of the world. Stated somewhat differently, it is only by means of our developing our theory of the world that we have any coherent way of distinguishing what is real from what is not real.

This represents, once again, a rejection of any philosophical perspective that is independent of the general philosophical (and scientific) task of establishing the best theory available for the predicting and making sense of our sensory stimulation. We select scientific theories that best predict sensory input, but, in contrast with the instrumentalist, we cannot simply rest with prediction, and are further committed to affirming the reality of the objects described by the theory.

Quine’s naturalism reconciles the instrumentalist and realist elements of his view by affirming that epistemological and ontological commitments go hand in hand. There is no conflict between our recognition that knowledge is a human-made artifact designed to accommodate observation and our further acceptance of the reality of those objects discussed by that knowledge (Hylton 2007, 22). We can study how we have constructed our knowledge of the world, while at the same time taking for granted the theory we are trying to make sense of with its realistic acceptance of objects, sets, nerve endings, and human beings. Quine’s naturalism then claims that the study of human knowledge takes place within the theory it studies and presupposes the reality of the objects discussed in that theory. There is, as he remarks, “no first philosophy prior to natural science” (Quine 1981, 67).

6. Quine’s Influence

Few philosophers have been willing to adopt Quine’s strict standards nor have they accepted all the details of his respective views. Nevertheless, his influence has been widespread, and its importance can be measured in several different ways.

From the standpoint of the development of philosophy in America, Quine’s early training in logic and his later promotion of themes from logical empiricist philosophy helped set the stage for the emergence of what would be called “analytic philosophy.” Quine saw the importance of logical empiricism within its marshaling of logical techniques in philosophy, and this would then prove central for his later explicit development of a scientific, naturalist conception of philosophy, which rejected any epistemologically significant understanding of the a priori. His emphasis on the technical, scientific aspects of philosophy fed into the increasing pressure for professionalization in philosophy. In the aftermath of the Second World War, Quine’s understanding of the discipline prevailed, with conceptions of scientific philosophy and various forms of scientific naturalism reaffirming the model of the professional philosopher as empirical technician, rather than as moral and social visionary (for more details see Isaac 2005, 205-234).

Quine’s most explicit philosophical influence is then to be found in his empirical reconfiguration of philosophy, and its suggestion that philosophical inquiry must be intimately tied to empirical scientific work. Following Quine’s emphasis on naturalized epistemology, many analytic philosophers have proceeded to ‘naturalize’ various areas of philosophical inquiry. Such projects emphasize the importance of a greater alignment between philosophy and the empirical sciences, while raising suspicions about many traditional projects in philosophy that trade in objects (such as minds, propositions, meanings, and norms) that are hard to locate in the natural world. Although Quine’s philosophy does not engage in any detailed way with empirical results, his work can be usefully viewed as a general model for how philosophical issues can be interpreted scientifically. It is not surprising to see recent trends in naturalistic philosophy making a more explicit appeal to work in psychology, evolutionary biology, neuroscience, and the cognitive sciences. For some examples, see Churchland 1987 and Kornblith 1994.

The idea that philosophy should be informed by work in the sciences may seem hard to resist. The impressive successes found in modern science make it a compelling example of how to pattern our ongoing attempts to advance human knowledge. Moreover, in the face of scientific prestige and progress, philosophers have faced the difficult question of articulating what they still can contribute to the progress of human knowledge. The inconclusiveness of philosophical speculation has led many philosophers to offer varying ways of making philosophy more scientific in the hopes of partaking in scientific progress. This assimilation of philosophical problems or concerns to science may then help philosophy regain some measure of epistemic respect, and intellectual authority, by adopting a more modest but at least legitimate place alongside, or within, science.

But how we are to understand this relationship between philosophy and science is not unproblematic. Quine’s attempt to situate philosophical inquiry within or alongside empirical science is one pointed and forceful way of thinking about this relationship. His key contribution to our understanding of science does not consist in providing a philosophy of science, but in showing how philosophical concerns can be conceived as scientific. Here, it is useful to further reflect on his specific attempt to bring strict scientific standards to bear on key philosophical issues and problems. Given the ongoing importance of addressing such metaphilosophical worries about the status of philosophy in relation to science, Quine’s view remains useful as a resource, even if many philosophers remain reluctant to adopt his general strategy or its detailed reconstructions of philosophical problems.

7. Quine’s Critics

Searle’s criticism of Quine’s behaviorism was discussed above. One other important critical response to Quine’s specific rendering of the philosophy-science relationship is found with the work of Michael Friedman (1997, 2001). Quine’s naturalism, with its rejection of any form of a priori knowledge, results in a holistic picture of human knowledge as one large web of belief touching experience only at its edges. Friedman argues that this picture fails to account for a more subtle interaction between the exact sciences, such as mathematics and logic, and the natural sciences, and as a result, cannot properly make sense of their historical development.

Friedman’s alternative picture involves a dynamical system of beliefs, concepts, and principles that can be distinguished into three main elements or levels. There is an evolving system of empirical scientific concepts and principles, a system of mathematical concepts and principles that make possible the framing of empirical science and its precise experimental testing, and lastly a system of philosophical concepts and principles that serve during times of scientific revolution as a source of suggestions for choosing one scientific framework rather than another (Friedman 1997, 18-9; 2001). All of these three systematic levels are constantly changing and interact with each other, but each plays a distinctive role within the general framework of scientific knowledge. For example, consider the revolutionary scientific changes of the sixteenth and seventeenth centuries. Here, the guiding aim was a precise mathematical description of natural phenomena using an atomistic theory of matter that explained natural changes as the result of movement and impact of tiny particles. This guiding ideal requires the use of mathematics to achieve precise results that can then be subjected to exact experimental tests. Here, we have a distinctive contribution at the mathematical level, where this forms the necessary backdrop to empirical testing within the natural sciences. But this achievement lacked the mathematical and empirical resources needed for its successful completion and was sustained by distinct philosophical contributions. It is here that Descartes’ system of natural philosophy, with its careful revision and reorganization of philosophical concepts derived from scholastic philosophy that distinctive philosophical contributions helped to promote this new scientific ideal (Friedman 1997, 14, 16-7).

Although Friedman’s account agrees with Quine that none of our beliefs are forever immune from revision, it further diverges from Quinean naturalism in two fundamental ways. First, it highlights a modified Kantian view of the way mathematical concepts and principles stand as a priori conditions that make possible both the very framing of empirical scientific principles and their experimental testing. Second, it highlights a distinct role for philosophy in relation to science, when it suggests that during deep conceptual revolutions in science, a separate level of philosophical ideas and concepts can be offered as resources for sustaining a new scientific framework. Adopting Quine’s general assimilation of philosophy to empirical science obscures the constitutive a priori role mathematics plays in the formulation of empirical scientific principles, Friedman argues, and further ignores the distinctive role philosophy plays in relation to science during scientific revolutions. Friedman’s alternative conception of the relations between philosophy, mathematics and empirical science suggests a more complicated interaction than seen with Quine’s naturalism, one that arguably is needed if we are to fully understand the historical development of the sciences and philosophy’s contribution to that process.

8. References and Further Reading

a. Primary Sources

  • Quine, W.V. 1946. Nominalism. In Confessions of a Confirmed Extensionalist and Other Essays (2008b). Edited by Dagfinn Føllesdal and Douglas B. Quine. Cambridge: Harvard University Press.
    • An early unpublished presentation on the merits and limits of nominalism.
  • Quine, W.V. 1948. On What There Is. In From a Logical Point of View (1981). Cambridge: Harvard University Press.
    • An early discussion of ontological issues, where Quine uses Russell’s theory of descriptions and offers a criterion for ontological commitment.
  • Quine, W.V. 1951. Two Dogmas of Empiricism. Philosophical Review 60: 20-43.
    • Famously criticizes the tenability of the analytic-synthetic distinction.
  • Quine, W.V. 1960. Word and Object. Cambridge: MIT Press.
    • His magnum opus dealing with core issues in language, epistemology, and ontology.
  • Quine, W.V. 1969a. Epistemology Naturalized. In Ontological Relativity and Other Essays. New York: Columbia University Press.
    • The classic statement of Quine’s naturalized epistemology.
  • Quine, W.V. 1969b. Ontological Relativity. In Ontological Relativity and Other Essays. New York: Columbia University Press.
    • Discussion concerning how ontology is relative to theory choice.
  • Quine, W.V. 1975a. The Nature of Natural Knowledge. In Mind and Language. Edited by Samuel Guttenplan. Oxford: Clarendon Press. Reprinted in Quine 2008b.
    • Overview of Quine’s naturalistic account of human knowledge.
  • Quine. W.V. 1975b. On Empirically Equivalent Systems of the World. Erkenntnis 9: 313-328. Reprinted in Quine 2008b.
    • Discusses the nature and intelligibility of the underdetermination thesis.
  • Quine, W. V. 1976a. Linguistics and Philosophy. In The Ways of Paradox and other Essays, Enlarged edition. New York: Random House.
    • Further clarifies the extent of Quine’s use of behaviorism.
  • Quine, W.V. 1976b. The Scope and Language of Science. In The Ways of Paradox and other Essays, Enlarged edition. New York: Random House.
    • Overview of Quine’s philosophical attitude to scientific knowledge and the logical calibration of scientific language.
  • Quine, W. V. 1979. Facts of the Matter. In Essays on the Philosophy of W.V. Quine. Edited by Robert Shahan and Chris Swoyer. Norman: University of Oklahoma Press. Reprinted in Quine 2008b.
    • Discusses Quine’s approach to knowledge and its connection to ontology.
  • Quine, W.V. 1981. Theories and Things. Cambridge: Harvard University Press.
    • Useful collection of essays and responses to critics.
  • Quine, W.V. 1984. Sticks and Stones; or, the Ins and Outs of Existence. In On Nature. Edited by Leroy Rouner. Notre Dame: University of Notre Dame Press. Reprinted in Quine 2008a.
    • Another useful overview of Quine’s naturalized account of knowledge and ontology.
  • Quine, W. V. 1987. Quiddities. Cambridge: Harvard University Press.
    • Quine’s philosophical dictionary.
  • Quine, W.V. 1992. Pursuit of Truth (2nd Edition). Cambridge: Harvard University Press.
    • Later concise overview of Quine’s interlocking views on meaning, knowledge, and ontology.
  • Quine, W.V. 1995a. From Stimulus to Science. Cambridge: Harvard University Press.
    • Quine’s last book where he situates his view in relation to the history of empiricism and summarizes his mature standpoint on various philosophical issues.
  • Quine, W.V. 1995b. Naturalism; Or, Living Within One’s Means. Dialectica 49: 251-61. Reprinted in Quine 2008b.
    • Later summary statement of Quine’s naturalist conception of philosophy.
  • Quine, W.V. 1995c. Reactions. In On Quine: New Essays. Edited by Paolo Leonardi and Marco Santambrogio. Cambridge: Cambridge University Press. Reprinted in Quine 2008b.
    • Quine’s response to a set of essays on his work. He clarifies his position on a variety of different topics including epistemology, ontology, mathematics and logic.
  • Quine, W.V. 1996. Progress on Two Fronts. The Journal of Philosophy 93: 159-63. Reprinted in Quine 2008b.
    • Important short article discussing the perceptual harmony of similarity standards.
  • Quine, W.V. 1997. Response to Haack. Revue Internationale de Philosophie 51: 571-2. Reprinted in Quine 2008b.
    • Responds to Haack’s questions concerning Quine’s use of “science,” his discussion of evidence versus method, and other related issues.
  • Quine, W.V. 2000a. Three Networks: Similarity, Implication, and Membership. In The Proceedings of the 20th World Congress of Philosophy Volume VI: Analytic Philosophy and Logic. Edited by Akihiro Kahamori. Reprinted in Quine 2008b.
    • Quine’s last public presentation briefly discussing his use of perceptual harmony.
  • Quine, W.V. 2000b. I, You and It: An Epistemological Triangle. In Knowledge, Language and Logic: Questions for Quine. Edited by Alex Orenstein and Petr Kotatko. Dordrecht: Kluwer.
    • Concise statement of Quine’s later amendments to his epistemology.
  • Quine, W.V. 2000c. Response to Lehrer. In Knowledge, Language and Logic: Questions for Quine. Edited by Alex Orenstein and Petr Kotatko. Dordrecht: Kluwer. Reprinted in Quine 2008a.
    • Brief discussion of Quine’s view of evidence and justification.
  • Quine, W. V. 2000d. Response to Segal. In Knowledge, Language and Logic: Questions for Quine. Edited by Alex Orenstein and Petr Kotatko. Dordrecht: Kluwer.
    • Brief clarification of Quine’s use of behaviorism.
  • Quine, W. V. 2000e. Response to Szuba. In Knowledge, Language and Logic: Questions for Quine. Edited by Alex Orenstein and Petr Kotatko. Dordrecht: Kluwer.
    • Discusses the perceptual harmony of our similarity standards.
  • Quine, W. V. 2008a. Quine in Dialogue. Edited by Dagfinn Føllesdal and Douglas B. Quine. Cambridge: Harvard University Press.
    • Useful collection of Quine’s interviews, book reviews and responses to other philosophers.
  • Quine, W. V. 2008b. Confessions of a Confirmed Extensionalist and Other Essays. Edited by Dagfinn Føllesdal and Douglas B. Quine. Cambridge: Harvard University Press.
    • Quine’s main articles from his last three decades and important unpublished writings.
  • Quine, W. V. and Nelson Goodman. 1947. Steps Toward a Constructive Nominalism. Journal of Symbolic Logic 12: 97-122.
    • Early attempt with Goodman to develop a nominalist program in philosophy.

b. Secondary Sources

  • Carnap, Rudolf. 1935. Philosophy and Logical Syntax. London: Routledge & Kegan Paul.
    • Introductory presentation of Carnap’s use of the analytic-synthetic distinction and his conception of philosophy as concerned with the logical syntax of language.
  • Churchland, Patricia. 1987. Epistemology in the Age of Neuroscience. The Journal of Philosophy 84: 544-553.
    • Short article discussing some applications of work in neuroscience to issues in epistemology.
  • Davidson, Donald. 2001. A Coherence Theory of Truth and Knowledge. In Subjective, Intersubjective, Objective. Oxford: Clarendon Press.
    • Questions Quine’s use of sensory stimulation as evidence.
  • Friedman, Michael. 1997. Philosophical Naturalism. Proceedings and Addresses of the American Philosophical Association 71:7-21.
    • Argues that Quine’s holistic picture of human knowledge cannot account for the historical development and interaction of the mathematical and natural sciences.
  • Friedman, Michael. 2001. Dynamics of Reason. Stanford: CLSI Publications.
    • Defends a modified Kantian view of a priori principles in opposition to Quine’s naturalism.
  • Friedman, Michael. 2006. Carnap and Quine: Twentieth-Century Echoes of Kant and Hume. Philosophical Topics 34: 35-58.
    • Describes the philosophical development of these two thinkers and their debates by contrasting Carnap’s Kantian affinities with Quine’s Humean sympathies.
  • Gibson, Roger. ed. 2004. The Cambridge Companion to Quine. Cambridge: Cambridge University Press.
    • A set of important essays on Quine’s philosophy written by distinguished scholars.
  • Gibson, Roger. 2004. Quine’s Behaviorism cum Empiricism. In The Cambridge Companion to Quine. Cambridge: Cambridge University Press.
    • A careful overview detailing the nature of Quine’s behaviorist commitment.
  • Gustafsson, Martin. 2006. Quine on Explication and Elimination. Canadian Journal of Philosophy 36: 57-70.
    • Insightful discussion of Quine’s conception of explication and its role in ontological reduction.
  • Gregory, Paul. 2008. Quine’s Naturalism: Language, Knowledge and the Subject. Continuum Press.
    • A new interpretation and defense of Quine’s naturalized conception of knowledge.
  • Hylton, Peter. 2004. Quine on Reference and Ontology. In The Cambridge Companion to Quine. Cambridge: Cambridge University Press.
    • Overview of Quine’s ontological views and their relation to objective reference.
  • Hylton, Peter. 2007. Quine. New York: Routledge.
    • The most careful, detailed scholarship on Quine’s work available.
  • Isaac, Joel. 2005. W. V. Quine and the Origins of Analytic Philosophy in America. Modern Intellectual History 2: 205-234.
    • An important historical treatment of Quine’s influence on the rise of analytic philosophy in America.
  • Johnsen, Bredo. 2005. How to Read “Epistemology Naturalized”. The Journal of Philosophy 102: 78-93.
    • An important discussion arguing that Quine never abandoned normative epistemology.
  • Kemp, Gary. 2006. Quine: A Guide for the Perplexed. New York: Continuum.
    • An introductory survey of Quine’s views especially useful for first-time readers of Quine’s philosophy.
  • Kim, Jaegwon. 1993. “What is ‘Naturalized Epistemology’?” In Supervenience and Mind. Cambridge: Cambridge University Press.
    • Argues that Quine abandons normative epistemology.
  • Kornblith, Hilary. ed. 1994. Naturalizing Epistemology, (2nd Edition). Cambridge: MIT Press.
    • Important collection of articles exploring the interface between psychology and epistemology.
  • Lugg, Andrew. 2006. Russell as Precursor of Quine. Bertrand Russell Society Quarterly 128- 129: 9-21.
    • Defends Quine’s reading of Russell as a naturalized epistemologist.
  • Richardson, Alan. 1998. Carnap’s Construction of the World. Cambridge: Cambridge University Press.
    • Offers a revisionist reading of Carnap’s philosophy emphasizing its neoKantian origins.
  • Roth, Paul. 1999. The Epistemology of ‘Epistemology Naturalized’. Dialectica 53: 87-109.
    • A careful reappraisal of Quine’s argument in “Epistemology Naturalized.”
  • Searle, John. 1987. Indeterminacy, Empiricism and the First Person. The Journal of Philosophy 84:23-147.
    • Pointed criticism of Quine’s behaviorist approach to meaning and knowledge.
  • Sinclair, Robert. 2004. When Naturalized Epistemology Turns Normative: Kim on the Failures of Quinean Epistemology. Southwest Philosophy Review 20: 53-67.
    • A Quinean reply to Kim’s claim that naturalized epistemology cannot address the normative demands of justification.
  • Sinclair, Robert. 2007. Quine’s Naturalized Epistemology and the Third Dogma of Empiricism. The Southern Journal of Philosophy 45: 455-472.
    • Defends Quine’s naturalized account of knowledge and evidence against Davidson’s criticisms.

Author Information

Robert Sinclair
Email: rsinclair@brooklyn.cuny.edu
Brooklyn College, The City University of New York
U. S. A.

Nicolas Malebranche: Religion

MalebrancheNicolas Malebranche (1638-1715) was a French philosopher and a rationalist in the Cartesian tradition. But he was also an Oratorian priest in the Catholic Church. Religious themes pervade his works, and in several places he clearly affirms his intention to write philosophy as a Catholic. These religious themes are important for understanding his philosophy. As a rationalist, Malebranche places great emphasis on the importance of Reason. However, because he identifies Reason with the Divine Word, that is, with the Son or Second Person of the Trinity, his rationalism has features that are not common among other forms of rationalism. For example, Reason is a divine person and therefore capable of a wide range of action. In tracing out some of the consequences of this identification of Reason with the Divine Word, the student of Malebranche is quickly immersed in a wide range of his favorite theological and philosophical ideas. The present article will explore three theological ideas which play a special role in Malebranche’s philosophical thought: the Trinity, Original Sin, and the Incarnation.

Table of Contents

  1. A Trinitarian Account of Reason
  2. Love and Order
  3. Original Sin
  4. Universal Reason as External Teacher
  5. Conclusion
  6. References and Further Reading
    1. Reference Format
    2. Further Reading

1. A Trinitarian Account of Reason

The features of the doctrine of the Trinity that are of the greatest importance for understanding Malebranche’s philosophical views are the following:

(1) There are three persons of the Godhead, usually known as the Father, the Son, and the Holy Spirit. Malebranche, however, follows the opening verses of the Gospel of John, which calls the Son the Logos. The usual translation of this into English is ‘Word,’ but it can also be translated as ‘Reason,’ and this is how Malebranche understands it. Likewise, Malebranche preferred the Augustinian tradition of giving the name ‘Love’ to the Holy Spirit.

(2) The three persons are consubstantial and coeternal; that is, they are not three distinct Gods but one God and are inseparable. (3) Human beings are created in some way in the image of God, so that there is a sort of analogy, however loose, indirect, or approximate, between the human mind and the Trinity.

The influence of these ideas is recognizable in Malebranche’s account of ideas. Rather than holding ideas to be innate, Malebranche claims that they are found in God. In fact, he identifies them with divine ideas in the traditional theological sense. Theologians attributed ideas to God by drawing an analogy to artistic design. Just as the artisan who makes a product knows his product independently of that product’s actual existence, since the product’s actual existence presupposes the plan or idea by which the artisan makes it in the first place, so God knows His creation by means of productive ideas. Since these ideas cannot be something independent of God Himself, they are simply the divine substance itself insofar as God’s perfections are participable or imitable by creatures: each creature in its own limited way imitates or ‘partitions’ the infinite unlimited perfection of God. By knowing His own unlimited perfection, then, God knows all things He could possibly make, and thus all things that could possibly come to exist. It is this conception of ideas that makes up the primary background for Malebranche’s account of ideas and, pressed by critics, Malebranche through the course of his career placed greater and greater emphasis on this element of his thought that derived from tradition. Malebranche’s place in this tradition is most explicitly developed in the 1696 Preface to the Dialogues, where he quotes a number of passages from Augustine and Thomas Aquinas in order to extract a general description of divine ideas, which he then directly applies to ideas in his account.

Malebranche goes farther than this, into territory that might well have made traditional theologians uncomfortable. Ideas are not merely in God in the sense that they are the divine substance understood in a certain way; they are somehow a manifestation of God’s Reason, which is “coeternal and consubstantial with Him” (LO 614; OC 3:131). The use of the term “consubstantial,” a traditional theological term applied to the Word or Son, that is, the second Person of the Trinity, marks out the direction in which the Oratorian wants to take this line of reasoning. Drawing on, and modifying, the Augustinian tradition, Malebranche suggests that a proper account of the reason to which we regularly appeal must be rooted in the Christian doctrine of the Trinity. God’s Reason is the Word, and we are rational because the Word, the Logos, is our Interior Teacher (an Augustinian phrase). When we attend to various ideas we are learning from the Divine Word, universal Reason; thus Malebranche’s thesis that all things are seen in God is a way of putting the Word at the center of epistemology. Ideas are the province of the second Person of the Trinity; to attribute ideas to ourselves is to commit the serious mistake of attributing to ourselves what only belongs to God. It is to fail to see (to use another Augustinian phrase that is one of the Oratorian’s favorite sayings) that we are not our own light. This Trinitarian move is the foundation for Malebranche’s version of rationalism; Reason is infallible because Reason is quite literally God.

In a Trinitarian account of Reason there is necessarily more to Reason than an account of our rational ideas can cover on its own. As the Interior Teacher, Reason not only illuminates us with ideas, but also guides us in inquiry through interior sentiments, particularly pleasures and pains. Some background explaining Malebranche’s view of the role of freedom in inquiry will help to clarify this unusual twist in his epistemology.

The understanding is “that passive faculty of the soul by means of which it receives all the modifications of which it is capable” (LO 3; OC 1:43). On the other hand, the will is “the impression or natural impulse that carries us toward general and indeterminate good” (LO 5; OC 1:46). The will is both active, although Malebranche is careful to qualify this by the phrase “in a sense” (LO 4; OC 1:46), and free, where freedom is “the force that the mind has of turning this impression toward objects that please us, and making it so that our natural inclinations are directed to some particular object” (OC 1:46; cf. LO 5). When we believe something necessary, it is because “there is in these things no further relation to be considered that the understanding has not already perceived” (LO 9; OC 1:53). We need freedom because there are many cases in which this has not yet occurred, requiring us to direct our attention (another act of the will) in other directions, and, more importantly, because everything the intellect receives has some appearance of truth (we seem to perceive it, after all), so “if the will were not free and if it were infallibly and necessarily led to everything having the appearance of truth and goodness, it would almost always be deceived” (LO 10; OC 1:54). At first glance, this would force us to say that God, as Author of our natures, is the source of our errors. To avoid this premise, Malebranche concludes that God gives us freedom in order that we may under these circumstances avoid falling into error. In particular, we are given freedom so that we may refrain from accepting the merely probable, by continuing to investigate “until everything to be investigated is unraveled and brought to light” (LO 10; OC 1:54).

Therefore, we have an epistemic duty to use our freedom as much as we can, as long as we do not use it to avoid yielding to “the clear and distinct perception of all the constituents and relations of the object necessary to support a well-founded judgment” (LO 10; OC 1:55). How do we know we have reached clear and distinct perception? Malebranche does not appeal to anything intrinsic to the clear and distinct perception itself. Rather, he suggests that we know it through the “inward reproaches of our reason” (LO 10; OC 1:55), “the powerful voice of the Author of Nature,” which he also calls “the reproaches of our reason and the remorse of our conscience” (LO 11; OC 1:57). That is, we know we clearly and distinctly perceive something because when we try to doubt the perception, Reason reproaches us with pangs of intellectual conscience. In addition to these pangs of intellectual conscience, we are led by “a certain inward conviction” and “the impulses felt while meditating” (LO 13; OC 1:60).

It is in the context of discussing these sentiments, in fact, that Reason first appears in the main body of his major work, the Search after Truth, and, since similar sentiments about “the replies He gives to all those who know how to question Him properly” arise in the conclusion to the work, these epistemic sentiments may perhaps be said to frame the entire work. They play an important role in the Dialogues on Metaphysics and on Religion as well. We are told by the character Theodore early in the Dialogues that Reason guides inquiry by dispensing convictions and reproaches (JS 33; OC 12:194), and the point recurs throughout the Dialogues. Malebranche admits that distinguishing this guidance from prejudice can be difficult, but this is perhaps the point of the Search as a manual for avoiding error: by giving us rules and guidelines by which to avoid error, it helps us listen to the voice of Reason (cf. LO xlii-xliii, 529; OC 1:25-26, 2:453-454).

2. Love and Order

Malebranche extends this Trinitarian rationalism in order to give his own take on the claim that human minds are in the image of God, suggesting in the Treatise on Morals that our lives are structured by the Trinity itself:

The Father, to whom power is attributed, makes them to partake of His power, having established them as occasional causes of all the effects that they produce. The Son communicates His wisdom to them and discloses all truths to them through the direct union they have with the intelligible substance that He contains as universal Reason. The Holy Spirit animates them and sanctifies them through the invincible impression they have for the good, and through the charity or love of Order which He infuses into all hearts (OC 11:186; W 163).

This short passage on the way we are in the image of God gives a succinct summary of a number of claims that Malebranche regards as important; it also shows how intimately related to his Trinitarian concerns many of his most distinctive philosophical positions are. First, there is occasionalism, the view that only God is a true cause. Second, there is the union with universal Reason, according to which we are rational only by union with the Divine Word. Third, there is the will understood as the “invincible impression for the good,” which is attributed to the Holy Spirit.

The Holy Spirit is not invoked by Malebranche as often as the Father and the Son are, but there are several passages that hint at the Spirit’s importance; for example, in Elucidation Ten: “For since God cannot act without knowledge and in spite of Himself, He made the world according to wisdom and through the impulse of His love—He made all things through His Son and in the Holy Spirit as Scripture teaches” (OC 3:141; cf. LO 620). Despite receiving less emphasis, this third element, the theory of love that is associated with the Spirit as the theory of Reason is associated with the Son, plays an important role in the account of how we are related to Reason. Recognizing this requires recognizing Reason’s role in morality; Reason is (moral) Order.

The notion of Order is the core of Malebranche’s ethical theory, since “what makes a man righteous is that he loves order and that he conforms his will to it in all things; likewise the sinner is such only because order does not please him in everything and because he would rather have order conform to his own wishes” (OC 3:137; cf. LO 618). Order, in turn, is explained in Augustinian fashion in terms of the divine ideas. Having argued that ideas do not represent things equally noble or perfect, Malebranche goes on to explain the importance of this inequality:

If it is true, then, that God, who is the universal Being, contains all beings within Himself in an intelligible fashion, and that all these intelligible beings that have a necessary existence in God are not in every sense equally perfect, it is clear that there will be a necessary and immutable order among them, and that just as there are necessary and eternal truths because there are relations of magnitude among intelligible beings, there must also be a necessary and immutable order because of the relations of perfection among these same beings. An immutable order has it, then, that minds are more noble than bodies, as it is a necessary truth that twice two is four, or that twice two is not five (LO 618; OC 3:137-138).

We know ideas are not all equal because we judge the perfections of things by means of their ideas, and it is certain that things themselves are not all equal in perfection; some things are distinguished from others in that they have “more intelligence or mark of wisdom” (LO 618; OC 3:137). Because of this inequality, which is effectively an inequality in the moral salience of the things we know by way of ideas, the eternal, immutable intelligible world of ideas is also an eternal, immutable order. This order, however, is not a merely descriptive order. Were there nothing more to divine Order than the theory of ideas, it would be “more of a speculative truth than a necessary law” (LO 618; OC 3:138). Malebranche wants to go farther. This ordering of perfections among the divine ideas has a necessity that constrains even God. To take this system of divine ideas and make it “necessary law,” the Oratorian introduces his theory of love.

This theory, like the theory of ideas, is rooted in an understanding of the divine nature. Just as the theory of ideas is rooted in God as being in general, so the theory of love is rooted in God as good in general. God’s goodness is a universal or sovereign goodness; God is “a good that contains all other goods within itself” (LO 269; OC 2:16). As such, God is the only perfect or completely adequate object for love, and, accordingly, God loves Himself perfectly. In loving Himself, He necessarily loves what in Himself represents Himself perfectly, namely, His own self-image, divine Wisdom or universal Reason, which contains the order of all things; and because of this, God always acts according to divine Order. The Father, the Son, and the Holy Spirit are inseparable, and therefore God necessarily has a Love for Order. Malebranche goes so far as to say that “it is a contradiction that God should not love and will order” (LO 594; OC 3:97). It is because of this necessary love that order has a normative aspect; because of this love, order has “the force of law” for all minds (LO 620; OC 3:140), both created and uncreated.

Since God loves Himself, and in so doing operates according to Order, God creates us with an impulse to the most perfect good, namely Himself. This is our will. As Malebranche states,

Only because God loves Himself do we love anything, and if God did not love Himself, or if He did not continuously impress upon man’s soul a love like His own, i.e., the impulse of love that we feel toward the good in general, we would love nothing, we would will nothing, and as a result, we would be without a will, since the will is only the impression of nature that leads us toward the good in general… (LO 337; OC 2:126-127)

Because order has the force of law, God makes us according to Order; part of this involves making us to love God alone as our sovereign good. This leaves us with the question of other goods besides God. Malebranche sometimes says that God loves only Himself (for example, LO 364; OC 2:169). However, this is never taken to mean that God does not love other things; in fact, “He loves all His works” (LO 330, 666; OC 2:113, 3:220). The reason is that, as sovereign good, God loves other things in loving Himself. As he notes, “God loves only Himself—He loves His creations only because they are related to His perfections, and He loves them to the extent to which they have this relation—in the final analysis God loves Himself and the things He has created with the same love” (LO 364; OC 2:169-170). On the other hand, not all things bear the same type of relation to Himself; there are, as we noted above, different relations of perfection in Order. Mind is more perfect than body; and, being more perfect, it is more closely related to God, and therefore more lovable. Because of this God cannot will that the mind be subordinated to the body. This is not a metaphysical or logical necessity, but an ethical necessity (an obligation) that presupposes the metaphysical necessity of divine self-love. Given that He loves Order, He ought to will the right ordering of perfections among creatures; this ‘ought’ is an obligation grounded in love.

God, in loving himself, loves sovereign Reason or Order and, because of this love, Order has normative force. When we see in Reason that the soul is more perfect than the body, for instance, we can recognize this principle as not merely a truth, but a law: “the living law of the Father” (JS 238; OC 12:302). Because it is according to Order that Order be loved, and since God always acts out of love of Order, and therefore always in conformity with it, God directs our own love toward Order. Moreover, the law of Order is sanctioned by divine omnipotence itself. Conformity with Order will, in the long run, be rewarded, while divergence from Order will be punished. In one key respect, however, Order is not like other laws. In a case of human law, we can evaluate a law, and perhaps reject it, by considering higher principles than those embodied in the law itself. Because it is the highest law, this can never be the case with Order; when we evaluate the goodness or rationality of any law, we can only do so by comparing it to Order. As divine, Order is the good in general; as Reason, Order is what makes anything rational. Order, in short, is authoritative in every significant way. This authority is essential to Malebranche’s discussion of human nature in its natural, ‘prelapsarian’ state, that is, its state prior to the Fall.

3. Original Sin

We know that God acts according to Order, and that, therefore, everything God creates is originally in conformity with Order. Because Reason shows us the divine ideas, we have cognitive access to Order, and therefore know the original, natural state of human beings (what God created human beings to be) despite not being in it ourselves:

But to speak accurately of innocent man, created in the image of God, we must consult the divine ideas of immutable order. It is there that we find the model of a perfect man such as our father was before his sin (JS 65; OC 12:103).

On this view, our natural state is nothing other than our ideal ethical state; we are most natural when we are perfect. What we find in “the model of the perfect man” is in some ways like us, but in some ways not. Like us, Adam in his original state was made in such a way as to be constituted by two relations, one to sensible goods and one to Reason. This twofold union, of mind to God and mind to body, looms large in Malebranche’s thought, and he sees it in terms borrowed from St. Augustine. Our union to God is what elevates us, and from it “the mind receives its life, its light, and its entire felicity”; however, our excessive attachment to our body “infinitely debases man and is today the main cause of all his errors and miseries” (LO xxxiii; OC 1:9). This intimate union of ethical, epistemological, metaphysical, and theological themes is characteristic of Malebranche’s thinking; a deviation from ethical perfection entails a corruption of nature and an obscuring of our cognitive abilities, and this deviation from ideal is nothing other than distraction from divine Reason.

However, if this is so, Adam (man as God originally created him) must differ from us in not being able to enjoy sensible goods in a way that ever conflicted with, or distracted from, the good of sovereign Reason. God works according to general laws, as Order requires, but as the general laws now stand, it is very easy for our union with bodies to interfere with our union with Reason. Therefore, there must have been some special characteristic in Adam’s situation that gave him greater control over his sensory union with the body. Because Adam was created to be subject only to God, he merited a special ability to maintain his relationship with divine Reason (JS 233; OC 12:296). Since God always acts according to Order, He cannot subject the mind to the body because this would violate Order by subjecting the more noble to the less noble. Malebranche interprets this to mean that something must have been in place to make it possible for Adam not to be distracted from Reason by bodies. In the Dialogues Theodore tells Aristes precisely what this something must have been:

And conclude from all this that prior to sin there were exceptions favoring human beings in the laws of the union of the soul and the body. Or, rather, conclude from it that there was a law which has been abolished, by which the human will was the occasional cause of that disposition of the brain by which the soul is shielded from the action of objects though the body is struck by them, and that thus despite this action it was never interrupted in its meditations and ecstasy. Do you not sense some vestige of this power in yourself when you are deeply absorbed in thought and the light of truth penetrates and delights you? (JS 65; OC 12:103)

When we look at what should be natural to us, and therefore what made our original state different from our current state, we may perhaps find it surprising that it involves a special ability to control our brains – an ability we now unnaturally lack. Although, intriguingly, Malebranche thinks we still have traces of it when we are “deeply absorbed in thought.”

Examination of ourselves in light of Reason, therefore, leads us to conclude that we are currently in a state of disorder. As Malebranche illustrates, alluding to the letter of Paul to the Romans, “each of us is sufficiently aware of a law in himself that captures and disorders him, a law not established by God because it is contrary to the immutable order of justice, which is the inviolable rule for all His volitions” (LO 580; OC 3:72). In practice, this disorder is an excessive concern with bodies, a concern so strong that it is a pathological dependence. We treat bodies, rather than God, as our true good of the mind. This makes us exalt our union with bodies over our union with Order, in the process running afoul, of course, of principles of Order (principles like “bodies are not worthy of love” and “all the love that God places in us must end in Him”). Given that this motion of love toward good is the will, and given that the will governs attention, we are driven to attend more to sensible matters than their ethical importance and value for inquiry would merit. While the senses are not corrupt in themselves, then, our excessive dependence on them is an essential feature of the corruption of our cognitive capacities. Malebranche regards these matters, at least at a very general level, as common knowledge.

For Malebranche, original sin is not purely a doctrine known on faith because it is something of which he thinks we can all be conscious of in ourselves, by comparing ourselves, known by interior sentiment, with Order, which is known clearly by ideas but obscurely by the interior sentiments it effects. In other words, we can recognize our disorder through moral principles or, more obscurely, through the feelings of conscience. Through faith we learn important details about this disorder, particularly about its history, some of which we could not otherwise know; the disorder itself, however, is something everyone can recognize. Reason teaches us that there is a way things should be; experience shows us that we are not the way we should be. What is more, experience seems also to suggest that the reason we are not the way we should be is not that we cannot be so, at least in any absolute sense. Malebranche does not develop the idea, but it seems suggested by Theodore’s statement in the Dialogues that we can still experience “some vestige of this power” (JS 65; OC 12:102). In general our minds are clouded and confused, but on rare occasions, we go beyond this.

Furthermore, because it affects the way we interact with sensible goods, the disorder of original sin has serious epistemic consequences. In particular, “the mind constantly spreads itself externally; it forgets itself and Him who enlightens and penetrates it, and it lets itself be so seduced by its body and by those surrounding it that it imagines finding in them its perfection and happiness” (LO 657; OC 3:203). Our primary union is with sovereign Reason, but distracted by our union with sensible things, we treat this latter union as if it were more important; and because “we cannot increase our union with sensible things without diminishing our union with intelligible truths” (LO 415; OC 2:257), we ignore our union with universal Reason to the extent we devote our attention to sensible things. The reason, Malebranche thinks, is that we enjoy making judgments, and therefore try to have this pleasure without first consulting Reason (LO 649; OC 3:189). This trait bodes ill for us if we are interested in avoiding error, as we shall see. For now what is interesting is just how sharply this error-inducing dependence on the body differentiates human nature in its original and ideal state from human nature as we currently find it. There is a sort of inevitability about some aspects of our dependence on the body. Our ideas are clouded, our attention becomes tired (JS 65; OC 12:103), and in practice there is little we can do about this. Malebranche is clear that this was not the case with Adam, due to the special power over the body we have already noted, a power that we (at least beyond a certain degree) conspicuously lack.

Since we have lost the ability to govern our brains properly because its presence in us was linked by principles of Order to our merit, we now must struggle to overcome disturbances Adam in Eden would easily have overcome. There is a sense in which this has been a fall from intelligence, since our thought is now subject to our body’s limitations and thus we are naturally inclined to make stupid mistakes. Prior to sin, Adam was not stupid enough to think that bodies were the real cause of his pleasure (LO 593; OC 3:96). We, however, have become that stupid. This is the root of Malebranche’s diagnosis of the psychological basis for the claim that bodies are true causes, a claim he considers to be the most dangerous philosophical error original sin has spawned. This brings us immediately to the motivation for Malebranche’s occasionalism, his view that God alone is a true cause.

For Malebranche, a pagan worldview follows closely on, and is perhaps the primary consequence of, original sin. It is this recognition that mediates between his arguments against necessary connection and his general views; it is by means of their ethical role, as correctives to the presumptions of the pagan mindset, that the arguments interest him; see Gouhier’s excellent discussion (1926, pp. 108-114). Gouhier’s phrase for this pagan worldview, la philosophie du serpent, the philosophy of the serpent, captures Malebranche’s view perfectly. Occasionalism is an ethical antidote, or at least an ethical treatment, for our tendency to idolatry, and, in particular, for an especially pernicious instance of this idolatry:

If the nature of pagan philosophy is a chimera, if this nature is nothing, we must be advised of it, for there are many people who are mistaken with respect to it. There are more than we might think who thoughtlessly attribute to it the works of God, who busy themselves with this idol or fiction of the human mind, and who render to it the honor due only to the Divinity. (LO 668; OC 3:223-224)

The philosophical superstition of causal powers or efficacious natures is but one more sad example of the terrible failure of human nature to live up to the demands of Order; it is but one more expression of the “secret opposition between God and man” (LO 657; OC 3:204). It has its root in a religious failing, the failure to give God the credit He is due.

4. Universal Reason as External Teacher

Even though original sin puts our cognitive capacities in a wretched state, Malebranche does not throw up his hands in despair, nor does he resort to skepticism. The reasons for Malebranche’s optimism all have to do with the active and personal role played by universal Reason in human life. Without his personal role of sovereign Reason, despair and skepticism would be unavoidable. With it, Malebranche can afford to be optimistic.

The first reason for Malebranche’s optimism is that we are never entirely cut off from the teaching of Reason. However, much of our perverse fascination with bodily goods may obscure the guidance, yet Reason still guides us. Not only does Reason still illuminate us with ideas, He “teaches us inwardly” when we take the trouble to engage in philosophical meditation (LO 13; OC 1:61). Reason still encourages, warns, and rebukes us as our intellectual conscience. Although prejudices resulting from original sin have made it difficult to find truth, knowledge is still possible.

The second reason that Malebranche can be optimistic is that Reason has not been idle in the face of our perversity. This is seen most clearly in the Incarnation. In more secularly-minded times this may be the hardest bit of Malebranche’s system to wrap one’s mind around; even someone willing to allow Reason an active role in guiding inquiry might balk at taking the Incarnation as an essential part of epistemology. It is not, however, an ad hoc addition to the Oratorian’s other claims. It would, indeed, be rather strange if he did not think along these lines, given other claims he makes. Reason is the second Person of the Trinity, the Logos or divine Word; the Word is, in the opening words of the gospel of John, the light of all who come into the world, and also is the Word made flesh. It is Reason that we consult in inquiry; Reason illuminates us with ideas, judges our actions, rebukes us for bad uses of freedom and rewards us for good. Given all this, it is not surprising that Reason takes an active and personal hand in fixing the epistemological and ethical mess in which fallen humanity finds itself; Malebranche has already insisted that Reason takes an active and personal hand in a number of epistemological and ethical areas.

In the Incarnation, therefore, the divine Word has resorted to a new method of teaching in its attempt to counteract our fallen condition:

The Son of God, who is the wisdom of God or eternal truth, was made man and became sensible to make Himself known to crude and carnal men. He wished to instruct them by means of what was blinding them; He wished to lead them to His love, to free them from sensible goods by means of the same things that were enslaving them. Dealing with fools, He used a kind of foolishness to make them wise (LO 367; OC 2:124. Cf. also LO 417-418; OC 2:260-261).

The divine Word took physical form because human beings have an excessive love for sensory things. According to Malebranche, this teaches us several things. First, in our own teaching we should invest intelligible truth with the sort of presentation that would in some way appeal to the senses. This can be overdone, of course. It is being done correctly only when it elevates us to the intelligible rather than flattering the senses, or, more specifically, when it causes people to withdraw inward in order to think and meditate rather than outward in order to be entertained by sensible things (cf. LO 418; OC 2:261).

Malebranche also contemplates about Wisdom becoming sensible “in order to condemn and sacrifice in its person all sensible things.” He does not elaborate much on this phrase, but the Preface to the Search makes it clear enough. He claims that one of the lessons the Incarnation is meant to teach us is “the scorn we should have for all objects of the senses” (LO xxxviii; OC 1:18). By uniting Himself with a body, he exalted to the highest dignity anything could have, namely, union with God; it became “the most estimable of sensible things.” This “most estimable of sensible things,” however, was subjugated to divine truth to the point of suffering and death. The idea is that if even the most estimable sensible thing should be held less important than truth and order, than all sensible things should be regarded as less important than truth and order. From this Malebranche concludes that “we must gradually become accustomed to disbelieving the reports our senses make about all the bodies surrounding us, which they always portray as worthy of our application and respect.” As he asks rhetorically in Treatise on Nature and Grace, “did not Jesus Christ sacrifice and destroy, in his person, all grandeurs and sensible pleasures? Has not his life been for us a continual example of humility and of penitence?” (R 131-132; OC 5:53). In effect, Malebranche advocates others to take Jesus Christ as an epistemological model. It is perhaps not common to appeal to epistemological rather than ethical exemplars, but in Malebranche’s philosophy epistemology and ethics are closely related. In fact, there are passages that suggest that he considers them to be essentially the same thing. Consider, for example, the following passage, which opens

Error is the cause of men’s misery; it is the sinister principle that has produced the evil in the world; it generates and maintains in our soul all the evils that afflict us, and we may hope for sound and genuine happiness only by seriously laboring to avoid it (LO 1; OC 1:39).

The error here is both intellectual and moral. That it is both appears to be necessitated by the role of the will. Every error is a misuse of will contrary to the guidance of Reason, and therefore can be treated as an immoral rebellion against Reason (cf. LO 8-11; OC1:50-54). Since the Incarnation involves the perfect union of body, mind, and divine Word, the incarnate Word is a paradigm case of perfect orderly relation among the three, and therefore in itself serves as part of Reason’s pedagogy, as “the rule of beauty and of perfection” (R 123; OC 5:41) against which we must measure ourselves.

The third way in which Malebranche thinks the incarnate Word extends its work of teaching the human race is the most obvious, through explicit moral teaching, which communicates to us “in a sensible, palpable way the eternal commands of the divine law,” so as to reinforce its too-often-ignored inner promptings (JS 81; OC 3:121). Related to this, Malebranche considers the teaching of the Church to be one form that Reason’s teaching takes. That is, the Church is “a visible authority emanating from incarnate Wisdom,” extending that moral teaching through time (JS 81; OC 3:121). This is in part necessary because Reason is interested in teaching “the poor, the simple, the ignorant, and those who cannot read,” not merely “those who have enough life, as well as mind and knowledge, to discern truth from error” (JS 255-256; OC 12:322-323). Reason’s exercise of visible teaching authority has not ceased, but rather continues in the Church, which continues Reason’s work of compensating for human failings.

It is unsurprising, then, that Malebranche attacks the Protestant notion of sola scriptura as not merely theologically problematic but also philosophically irrational. Even if the author of the Gospel of Matthew were the apostle, and even if we can suppose there was no corruption in the transmission of the text, we cannot base our faith on the words we read there unless we have an infallible authority teaching that the evangelist was inspired by God. The only infallible authority is God Himself, so the Holy Spirit must either reveal the inspiration of Scripture to each person individually or to the church as a trust for all; of this choice, Malebranche says, “the latter is much more simple, more general, more worthy of providence than the former” (JS 256; OC 12:323). Even if we granted that God revealed to each individual that the text was inspired, Malebranche thinks that this is far from adequate; after you recognize the text as inspired you still must come to understand it. Since God wills for all people to arrive at knowledge of the truth, there must be something to help lead us to it, and again the choice is between inspiration of each person individually or the church collectively. But, states Malebranche, it is absurd to attribute to each individual person the divine assistance one denies to the entire church in assembly, given that the church preserves tradition and, more than any individual, deserves that Jesus Christ guarantee its protection. Jesus imitates the Father as much as is possible; therefore “He will never act in a certain person in a particular manner without some particular reason, without some kind of necessity” (JS 258; OC 12:325). Since it is generally sufficient for Christ to preserve the faithful by preserving the Church’s authority and infallibility in matters of faith, it is absurd and presumptuous to expect special enlightenment by reading Scripture on one’s own, just as it is absurd and presumptuous to expect God to make exceptions to natural laws for one’s personal convenience.

The existence of a church or divine society (with authority, scripture, teaching, and rituals) makes it possible for Reason to do the most good to the most people in the simplest way, preparing for the restoration even of those who do not have the leisure or ability to do rigorous philosophical meditation (JS 257-258; OC 12:323-324). The graces of enlightenment and sentiment (R 151; OC 5:97) extend the dual teaching function of Reason discussed previously, namely, enlightenment by ideas and guidance by sentiments. These graces form and guide the Church, making certain aspects of its teaching, for example, preaching on the basis of Scripture, an infallible authority on whose basis arguments almost like demonstrations can be formed. In Malebranche’s view, Reason is therefore the foundation for the infallibility of the Catholic Church in matters of faith and morals. He was quite right in saying that his philosophy was a Catholic philosophy.

5. Conclusion

There are a number of ways in which Malebranche’s religious interests affect his philosophical discussion.

(1) Reason has the features of the Second Person of the Trinity, that is, the Son or Word of God. Reason is a divine person. This allows Malebranche to attribute a wider range of activities to Reason than could be attributed to an impersonal reason.

(2) The Trinitarian influence helps to clarify why Malebranche has no problem with talking as if Reason, in its aspect of Order, constrained even God: he has a Trinitarian account of why God must act according to Order.

(3) Original sin plays an extraordinarily important role in Malebranche’s philosophy, to such an extent that even Malebranche’s discussion of very philosophical topics, like the question of whether there are causal powers, is affected by his understanding of original sin and its tendency to drag us away from attentive meditation on divine ideas in Reason.

(4) There is no question that Malebranche’s philosophy is Catholic throughout. Purely Catholic themes and ideas arise throughout, to such an extent that he does not hesitate to bring Catholic doctrines about the Incarnation or the Church into his philosophical discussions.

These are only a few examples. There are many other ways in which Malebranche’s religious views and practices are reflected in his philosophy: his discussions of grace and providence, his theodicy, his relation to the French School of Spirituality founded by Bérulle, and more. Many of these have only just begun to be studied in any detail. If, however, we were to examine every way in which Malebranche’s philosophy were influenced by his religious views, this would not be any different from a complete examination of every facet of his philosophy.

6. References and Further Reading

a. Reference Format

In this article the following reference format for Malebranche’s works has been used:

(LO 418; OC 2:261; cf. also R 131-132; OC 5:53)

The English translation is given first, with its page number; followed by ‘OC’ to indicate the standard French edition, the Oeuvres Complètes, with the volume and page number; particularly notable analogous references follow the “cf. also.” At times, when reference is intended to two different passages equally, the following format has been used:

(LO 330, 666; OC 2:113, 3:220)

The English translations are listed first, while their corresponding pages in the Oeuvres Complètes are listed in order after the semicolon. Thus “OC 2:113” corresponds to “LO 330” and “OC 3:220” corresponds to “LO 666.” Where the passage as quoted in the article deviates from the English translation, this is noted by the following format:

(OC 12:196; cf. JS 147)

The edition abbreviations that have been used are:

JS: Dialogues on Metaphysics and on Religion, Nicholas Jolley and David Scott, eds. New York: Cambridge University Press, 1997.

LO: The Search after Truth, Thomas Lennon and Paul Olscamp, eds. New York: Cambridge University Press, 1997.

OC: Oeuvres Complètes de Malebranche, 20 vols., André Robinet, ed. Paris: J. Vrin, 1958-84.

R: Treatise on Nature and Grace, Patrick Riley, ed. Oxford: Clarendon Press, 1992.

W: Treatise on Ethics, Craig Walton, ed. Dordrecht: Kluwer, 1993.

Current scholarship on the role of religion in Malebranche’s philosophy is fairly limited, and what exists is somewhat uneven. The following are suggested as useful for those who wish to study this topic. Some of them discuss the matter in its own right, while others simply raise important questions and topics for further investigation in the course of discussing other things.

b. Further Reading

  • Arnauld, Antoine. On True and False Ideas, Elmar Kremer, ed. Lewiston: Edwin Mellen Press, 1990. This important work, occasioned by Malebranche’s views on grace, began the long-lasting dispute between Arnauld and Malebranche.
  • Astell, Mary, and Norris, John. Letters Concerning the Love of God, E. Derek Taylor and Melvyn New, eds. London: Ashgate, 2005. John Norris was a British Malebranchean; his correspondence with Mary Astell is an excellent resource for identifying features of Malebranche’s thought that would have been considered especially relevant to religion in the period.
  • Connell, Desmond. The Vision in God: Malebranche’s Scholastic Sources, Paris: Nauwelaerts, 1967. Connell’s book, despite its relatively limited topic, is a good beginning for those interested in looking at the question of how Malebranche’s thought relates to the broader context of Catholic thought out of which it emerges.
  • Gouhier, Henri. La philosophie de Malebranche et son expérience religieuse, 2nd ed., Paris: J. Vrin, 1948.
  • Gouhier, Henri. La vocation de Malebranche, Paris: J. Vrin, 1926. This and the immediately preceding work are still the must-read texts for any study of the relation between Malebranche’s religion and his philosophy.
  • Guéroult, Martial. Malebranche, 3 vols. Paris: Aubier, 1955-59. This rather extensive work discusses a number of religion-related issues in Malebranche, and has some particularly notable discussions of Malebranche’s Augustinianism.
  • Jolley, Nicholas. The Light of the Soul: Theories of Ideas in Leibniz, Malebranche, and Descartes. In the course of his discussion of theories of ideas Jolley raises a number of key questions that have to be considered by anyone interested in the relation between religion and philosophy in Malebranche.
  • Nadler, Steven. Arnauld and the Cartesian Philosophy of Ideas, Princeton: Princeton University Press, 1989. Among other things, Nadler considers the important question of why Arnauld chose to begin his attack on the Treatise on Nature and Grace with a criticism of the philosophy of the Search after Truth.
  • Radner, Ephraim. Spirit and Nature: A Study of 17th Century Jansenism, New York: Crossroad, 2002. Radner is mostly concerned with the theological controversies over Jansenist appellants, but the dispute between Arnauld and Malebranche is treated as important background to this religious question.
  • Reid, Jasper. “Malebranche on Intelligible Extension,” British Journal of the History of Philosophy 11:4 (2003), 581-608. An excellent demonstration of how considering Malebranche’s theological interests can clarify puzzles arising elsewhere in his philosophy.
  • Robinet, André. Système et existence dans l’oeuvre de Malebranche, Paris: J. Vrin, 1965. This work contains good, albeit occasionally short, discussions of various religious issues in Malebranche’s works (notably original sin).
  • Schmaltz, Tad. Malebranche’s Theory of the Soul: A Cartesian Interpretation. New York: Oxford University Press, 1996. This work only obliquely discusses matters relevant to religious themes in Malebranche’s philosophy, but it is currently the best discussion of the diverse roles Malebranche attributes to sentiment.

Author Information

Brandon Watson
Email: bwatson2@autincc.edu
Austin Community College
U. S. A.

Identity Theory

Identity theory is a family of views on the relationship between mind and body. Type Identity theories hold that at least some types (or kinds, or classes) of mental states are, as a matter of contingent fact, literally identical with some types (or kinds, or classes) of brain states. The earliest advocates of Type Identity—U.T. Place, Herbert Feigl, and J.J.C. Smart, respectively—each proposed their own version of the theory in the late 1950s to early 60s. But it was not until David Armstrong made the radical claim that all mental states (including intentional ones) are identical with physical states, that philosophers of mind divided themselves into camps over the issue.

Over the years, numerous objections have been levied against Type Identity, ranging from epistemological complaints to charges of Leibniz’s Law violations to Hilary Putnam’s famous pronouncement that mental states are in fact capable of being “multiply realized.” Defenders of Type Identity have come up with two basic strategies in response to Putnam’s claim: they restrict type identity claims to particular species or structures, or else they extend such claims to allow for the possiblity of disjunctive physical kinds. To this day, debate concerning the validity of these strategies—and the truth of Mind-Brain Type Identity—rages in the philosophical literature.

Table of Contents

  1. Early Versions of the Theory
  2. Traditional Objections
  3. Type vs. Token Identity
  4. Multiple Realizability
  5. Attempts at Salvaging Type Identity
  6. References and Further Reading

1. Early Versions of the Theory

Place accepted the Logical Behaviorists’ dispositional analysis of cognitive and volitional concepts. With respect to those mental concepts “clustering around the notions of consciousness, experience, sensation, and mental imagery,” however, he held that no behavioristic account (even in terms of unfulfilled dispositions to behave) would suffice. Seeking an alternative to the classic dualist position, according to which mental states possess an ontology distinct from the physiological states with which they are thought to be correlated, Place claimed that sensations and the like might very well be processes in the brain—despite the fact that statements about the former cannot be logically analyzed into statements about the latter. Drawing an analogy with such scientifically verifiable (and obviously contingent) statements as “Lightning is a motion of electric charges,” Place cited potential explanatory power as the reason for hypothesizing consciousness-brain state relations in terms of identity rather than mere correlation. This still left the problem of explaining introspective reports in terms of brain processes, since these reports (for example, of a green after-image) typically make reference to entities which do not fit with the physicalist picture (there is nothing green in the brain, for example). To solve this problem, Place called attention to the “phenomenological fallacy“—the mistaken assumption that one’s introspective observations report “the actual state of affairs in some mysterious internal environment.” All that the Mind-Brain Identity theorist need do to adequately explain a subject’s introspective observation, according to Place, is show that the brain process causing the subject to describe his experience in this particular way is the kind of process which normally occurs when there is actually something in the environment corresponding to his description.

At least in the beginning, J.J.C. Smart followed U.T. Place in applying the Identity Theory only to those mental concepts considered resistant to behaviorist treatment, notably sensations. Because of the proposed identification of sensations with states of the central nervous system, this limited version of Mind-Brain Type Identity also became known as Central-State Materialism. Smart’s main concern was the analysis of sensation-reports (e.g. “I see a green after-image”) into what he described, following Gilbert Ryle, as “topic-neutral” language (roughly, “There is something going on which is like what is going on when I have my eyes open, am awake, and there is something green illuminated in front of me”). Where Smart diverged from Place was in the explanation he gave for adopting the thesis that sensations are processes in the brain. According to Smart (1959), “there is no conceivable experiment which could decide between materialism and epiphenomenalism” (where the latter is understood as a species of dualism); the statement “sensations are brain processes,” therefore, is not a straight-out scientific hypothesis, but should be adopted on other grounds. Occam’s razor is cited in support of the claim that, even if the brain-process theory and dualism are equally consistent with the (empirical) facts, the former has an edge in virtue of its simplicity and explanatory utility.

Occam’s razor also plays a role in the version of Mind-Brain Type Identity developed by Feigl (in fact, Smart claimed to have been influenced by Feigl as well as by Place). On the epiphenomenalist picture, in addition to the normal physical laws of cause and effect there are psychophysical laws positing mental effects which do not by themselves function as causes for any observable behavior. In Feigl’s view, such “nomological danglers” have no place in a respectable ontology; thus, epiphenomenalism (again considered as a species of dualism) should be rejected in favor of an alternative, monistic theory of mind-body relations. Feigl’s suggestion was to interpret the empirically ascertainable correlations between phenomenal experiences (“raw feels,” see Consciousness and Qualia) and neurophysiological processes in terms of contingent identity: although the terms we use to identify them have different senses, their referents are one and the same—namely, the immediately experienced qualities themselves. Besides eliminating dangling causal laws, Feigl’s picture is intended to simplify our conception of the world: “instead of conceiving of two realms, we have only one reality which is represented in two different conceptual systems.”

In a number of early papers, and then at length in his 1968 book, A Materialist Theory of the Mind, Armstrong worked out a version of Mind-Brain Type Identity which starts from a somewhat different place than the others. Adopting straight away the scientific view that humans are nothing more than physico-chemical mechanisms, he declared that the task for philosophy is to work out an account of the mind which is compatible with this view. Already the seeds were sown for an Identity Theory which covers all of our mental concepts, not merely those which fit but awkwardly on the Behaviorist picture. Armstrong actually gave credit to the Behaviorists for logically connecting internal mental states with external behavior; where they went wrong, he argued, was in identifying the two realms. His own suggestion was that it makes a lot more sense to define the mental not as behavior, but rather as the inner causes of behavior. Thus, “we reach the conception of a mental state as a state of the person apt for producing certain ranges of behavior.” Armstrong’s answer to the remaining empirical question—what in fact is the intrinsic nature of these (mental) causes?—was that they are physical states of the central nervous system. The fact that Smart himself now holds that all mental states are brain states (of course, the reverse need not be true), testifies to the influence of Armstrong’s theory.

Besides the so-called “translation” versions of Mind-Brain Type Identity advanced by Place, Smart, and Armstrong, according to which our mental concepts are first supposed to be translated into topic-neutral language, and the related version put forward by Feigl, there are also “disappearance” (or “replacement”) versions. As initially outlined by Paul Feyerabend (1963), this kind of Identity Theory actually favors doing away with our present mental concepts. The primary motivation for such a radical proposal is as follows: logically representing the identity relation between mental states and physical states by means of biconditional “bridge laws” (e.g., something is a pain if and only if it’s a c-fiber excitation) not only implies that mental states have physical features; “it also seems to imply (if read from the right to the left) that some physical events…have non-physical features.” In order to avoid this apparent dualism of properties, Feyerabend stressed the incompatibility of our mental concepts with empirical discoveries (including projected ones), and proposed a redefinition of our existent mental terms. Different philosophers took this proposal to imply different things. Some advocated a wholesale scrapping of our ordinary language descriptions of mental states, such that, down the road, people might develop a whole new (and vastly more accurate) vocabulary to describe their own and others’ states of mind. This begs the question, of course, what such a new-and-improved vocabulary would look like. Others took a more theoretical/conservative line, arguing that our familiar ways of describing mental states could in principle be replaced by some very different (and again, vastly more accurate) set of terms and concepts, but that these new terms and concepts would not—at least not necessarily—be expected to become part of ordinary language. Responding to Feyerabend, a number of philosophers expressed concern about the appropriateness of classifying disappearance versions as theories of Mind-Brain Type Identity. But Richard Rorty (1965) answered this concern, arguing that there is nothing wrong with claiming that “what people now call ‘sensations’ are (identical with) certain brain processes.” In his Postscript to “The ‘Mental’ and the ‘Physical’,” Feigl (1967) confessed an attraction to this version of the Identity Theory, and over the years Smart has moved in the same direction.

2. Traditional Objections

A number of objections to Mind-Brain Type Identity, some a great deal stronger than others, began circulating soon after the publication of Smart’s 1959 article. Perhaps the weakest were those of the epistemological variety. It has been claimed, for example, that because people have had (and still do have) knowledge of specific mental states while remaining ignorant as to the physical states with which they are correlated, the former could not possibly be identical with the latter. The obvious response to this type of objection is to call attention to the contingent nature of the proposed identities—of course we have different conceptions of mental states and their correlated brain states, or no conception of the latter at all, but that is just because (as Feigl made perfectly clear) the language we use to describe them have different meanings. The contingency of mind-brain identity relations also serves to answer the objection that since presently accepted correlations may very well be empirically invalidated in the future, mental states and brain states should not be viewed as identical.

A more serious objection to Mind-Brain Type Identity, one that to this day has not been satisfactorily resolved, concerns various non-intensional properties of mental states (on the one hand), and physical states (on the other). After-images, for example, may be green or purple in color, but nobody could reasonably claim that states of the brain are green or purple. And conversely, while brain states may be spatially located with a fair degree of accuracy, it has traditionally been assumed that mental states are non-spatial. The problem generated by examples such as these is that they appear to constitute violations of Leibniz’s Law, which states that if A is identical with B, then A and B must be indiscernible in the sense of having in common all of their (non-intensional) properties. We have already seen how Place chose to respond to this type of objection, at least insofar as it concerns conscious experiences—that is, by invoking the so-called “phenomenological fallacy.” Smart’s response was to reiterate the point that mental terms and physical terms have different meanings, while adding the somewhat ambiguous remark that neither do they have the same logic. Lastly, Smart claimed that if his hypothesis about sensations being brain processes turns out to be correct, “we may easily adopt a convention…whereby it would make sense to talk of an experience in terms appropriate to physical processes” (the similarity to Feyerabend’s disappearance version of Mind-Brain Type Identity should be apparent here). As for apparent discrepancies going in the other direction (e.g., the spatiality of brain states vs. the non-spatiality of mental states), Thomas Nagel in 1965 proposed a means of sidestepping any objections by redefining the candidates for identity: “if the two sides of the identity are not a sensation and a brain process but my having a certain sensation or thought and my body’s being in a certain physical state, then they will both be going on in the same place—namely, wherever I (and my body) happen to be.” Suffice to say, opponents of Mind-Brain Type Identity found Nagel’s suggestion unappealing.

The last traditional objection we shall look at concerns the phenomenon of “first-person authority”; that is, the apparent incorrigibility of introspective reports of thoughts and sensations. If I report the occurrence of a pain in my leg, then (the story goes) I must have a pain in my leg. Since the same cannot be said for reports of brain processes, which are always open to question, it might look like we have here another violation of Leibniz’s Law. But the real import of this discrepancy concerns the purported correlations between mental states and brain states. What are we to make of cases in which the report of a brain scientist contradicts the introspective report, say, of someone claiming to be in pain? Is the brain scientist always wrong? Smart’s initial response to Kurt Baier, who asked this question in a 1962 article, was to deny the likelihood that such a state of affairs would ever come about. But he also put forward another suggestion, namely, that “not even sincere reports of immediate experience can be absolutely incorrigible.” A lot of weight falls on the word “absolutely” here, for if the incorrigibility of introspective reports is qualified too strongly, then, as C.V. Borst noted in 1970, “it is somewhat difficult to see how the required psycho-physical correlations could ever be set up at all.”

3. Type vs. Token Identity

Something here needs to be said about the difference between Type Identity and Token Identity, as this difference gets manifested in the ontological commitments implicit in various Mind-Brain Identity theses. Nagel was one of the first to distinguish between “general” and “particular” identities in the context of the mind-body problem; this distinction was picked up by Charles Taylor, who wrote in 1967 that “the failure of [general] correlations…would still allow us to look for particular identities, holding not between, say, a yellow after-image and a certain type of brain process in general, but between a particular occurrence of this yellow after-image and a particular occurrence of a brain process.” In contemporary parlance: when asking whether mental things are the same as physical things, or distinct from them, one must be clear as to whether the question applies to concrete particulars (e.g., individual instances of pain occurring in particular subjects at particular times) or to the kind (of state or event) under which such concrete particulars fall.

Token Identity theories hold that every concrete particular falling under a mental kind can be identified with some physical (perhaps neurophysiological) happening or other: instances of pain, for example, are taken to be not only instances of a mental state (e.g., pain), but instances of some physical state as well (say, c-fiber excitation). Token Identity is weaker than Type Identity, which goes so far as to claim that mental kinds themselves are physical kinds. As Jerry Fodor pointed out in 1974, Token Identity is entailed by, but does not entail, Type Identity. The former is entailed by the latter because if mental kinds themselves are physical kinds, then each individual instance of a mental kind will also be an individual instance of a physical kind. The former does not entail the latter, however, because even if a concrete particular falls under both a mental kind and a physical kind, this contingent fact “does not guarantee the identity of the kinds whose instantiation constitutes the concrete particulars.”

So the Identity Theory, taken as a theory of types rather than tokens, must make some claim to the effect that mental states such as pain (and not just individual instances of pain) are contingently identical with—and therefore theoretically reducible to—physical states such as c-fiber excitation. Depending on the desired strength and scope of mind-brain identity, however, there are various ways of refining this claim.

4. Multiple Realizability

In “The Nature of Mental States,” (1967) Hilary Putnam introduced what is widely considered the most damaging objection to theories of Mind-Brain Type Identity—indeed, the objection which effectively retired such theories from their privileged position in modern debates concerning the relationship between mind and body.

Putnam’s argument can be paraphrased as follows: (1) according to the Mind-Brain Type Identity theorist (at least post-Armstrong), for every mental state there is a unique physical-chemical state of the brain such that a life-form can be in that mental state if and only if it is in that physical state. (2) It seems quite plausible to hold, as an empirical hypothesis, that physically possible life-forms can be in the same mental state without having brains in the same unique physical-chemical state. (3) Therefore, it is highly unlikely that the Mind-Brain Type Identity theorist is correct.

In support of the second premise above—the so-called “multiple realizability” hypothesis—Putnam raised the following point: we have good reason to suppose that somewhere in the universe—perhaps on earth, perhaps only in scientific theory (or fiction)—there is a physically possible life-form capable of being in mental state X (e.g., capable of feeling pain) without being in physical-chemical brain state Y (that is, without being in the same physical-chemical brain state correlated with pain in mammals). To follow just one line of thought (advanced by Ned Block and Jerry Fodor in 1972), assuming that the Darwinian doctrine of evolutionary convergence applies to psychology as well as behavior, “psychological similarities across species may often reflect convergent environmental selection rather than underlying physiological similarities.” Other empirically verifiable phenomena, such as the plasticity of the brain, also lend support to Putnam’s argument against Type Identity. It is important to note, however, that Token Identity theories are fully consistent with the multiple realizability of mental states.

5. Attempts at Salvaging Type Identity

Since the publication of Putnam’s paper, a number of philosophers have tried to save Mind-Brain Type Identity from the philosophical scrapheap by making it fit somehow with the claim that the same mental states are capable of being realized in a wide variety of life-forms and physical structures. Two strategies in particular warrant examination here.

In a 1969 review of “The Nature of Mental States,” David Lewis attacked Putnam for targeting his argument against a straw man. According to Lewis, “a reasonable brain-state theorist would anticipate that pain might well be one brain state in the case of men, and some other brain (or non-brain) state in the case of mollusks. It might even be one brain state in the case of Putnam, another in the case of Lewis.” But it is not so clear (in fact it is doubtful) that Lewis’ appeal to “tacit relativity to context” will succeed in rendering Type Identity compatible with the multiple realizability of mental states. Although Putnam does not consider the possibility of species-specific multiple realization resulting from such phenomena as injury compensation, congenital defects, mutation, developmental plasticity, and, theoretically, prosthetic brain surgery, neither does he say anything to rule them out. And this is not surprising. As early as 1960, Identity theorists such as Stephen Pepper were acknowledging the existence of species (even system)-specific multiple realizability due to emergencies, accidents, injuries, and the like: “it is not…necessary that the [psychophysical] correlation should be restricted to areas of strict localization. One area of the brain could take over the function of another area of the brain that has been injured.” Admittedly, some of the phenomena listed above tell against Lewis’ objection more than others; nevertheless, prima facie there seems no good reason to deny the possibility of species-specific multiple realization.

In a desperate attempt at invalidating the conclusion of Putnam’s argument, the brain-state theorist can undoubtedly come up with additional restrictions to impose upon the first premise, e.g., with respect to time. This is the strategy of David Braddon-Mitchell and Frank Jackson, who wrote in a 1996 book that “there is…a better way to respond to the multiple realizability point [than to advocate token identity]. It is to retain a type-type mind-brain identity theory, but allow that the identities between mental types and brain types may—indeed, most likely will—need to be restricted. Identity statements need to include an explicit temporal restriction.” Mental states such as pain may not be identical with, say, c-fiber excitation in humans (because of species-specific multiple realization), but—the story goes—they could very well be identical with c-fiber excitation in humans at time T. The danger in such an approach, besides its ad hoc nature, is that the type physicalist basis from which the Identity Theorist begins starts slipping into something closer to token physicalism (recall that concrete particulars are individual instances occurring in particular subjects at particular times). At the very least, Mind-Brain Type Identity will wind up so weak as to be inadequate as an account of the nature of the mental.

Another popular strategy for preserving Type Identity in the face of multiple realization is to allow for the existence of disjunctive physical kinds. By defining types of physical states in terms of disjunctions of two or more physical “realizers,” the correlation of one such realizer with a particular (type) mental state is sufficient. The search for species- or system-specific identities is thereby rendered unnecessary, as mental states such as pain could eventually be identified with the (potentially infinite) disjunctive physical state of, say, c-fiber excitation (in humans), d-fiber excitation (in mollusks), and e-network state (in a robot). In “The Nature of Mental States,” Putnam dismisses the disjunctive strategy out of hand, without saying why he thinks the physical-chemical brain states to be posited in identity claims must be uniquely specifiable. Fodor (in 1974) and Jaegwon Kim (1992), both former students of Putnam, tried coming to his rescue by producing independent arguments which purport to show that disjunctions of physical realizers cannot themselves be kinds. Whereas Fodor concluded that “reductionism… flies in the face of the facts,” however, Kim concluded that psychology is open to sundering “by being multiply locally reduced.”

Even if disjunctive physical kinds are allowed, it may be argued that the strategy in question still cannot save Type Identity from considerations of multiple realizability. Assume that all of the possible physical realizers for some mental state M are represented by the ideal, perhaps infinite, disjunctive physical state P; then it could never be the case that a physically possible life-form is in M and not in P. Nevertheless, we have good reason to think that some physically possible life-form could be in P without being in M—maybe P in that life-form realizes some other mental state. As Block and Fodor have argued, “it seems plausible that practically any type of physical state could realize any type of psychological state in some physical system or other.” The doctrine of “neurological equipotentiality” advanced by renowned physiological psychologist Karl Lashley, according to which given neural structures underlie a whole slew of psychological functions depending upon the character of the activities engaged in, bears out this hypothesis. The obvious way for the committed Identity theorist to deal with this problem—by placing disjunctions of potentially infinite length on either side of a biconditional sign—would render largely uninformative any so-called “identity” claim. Just how uninformative depends on the size of the disjunctions (the more disjuncts, the less informative). Infinitely long disjunctions would render the identity claim completely uninformative. The only thing an Identity Theory of this kind could tell us is that at least one of the mental disjuncts is capable of being realized by at least one of the physical disjuncts. Physicalism would survive, but barely, and in a distinctly non-reductive form.

Recently, however, Ronald Endicott has presented compelling considerations which tell against the above argument. There, physical states are taken in isolation of their context. But it is only if the context is varied that Block and Fodor’s remark will come out true. Otherwise, mental states would not be determined by physical states, a situation which contradicts the widely accepted (in contemporary philosophy of mind) “supervenience principle”: no mental difference without a physical difference. A defender of disjunctive physical kinds can thus claim that M is identical with some ideal disjunction of complex physical properties like “C1 & P1,” whose disjuncts are conjunctions of all the physical states (Ps) plus their contexts (Cs) which give rise to M. So while “some physically possible life-form could be in P without being in M,” no physically possible life-form could be in C1 & P1 without being in M. Whether Endicott’s considerations constitute a sufficient defense of the disjunctive strategy is still open to debate. But one thing is clear—in the face of numerous and weighty objections, Mind-Brain Type Identity (in one form or another) remains viable as a theory of mind-body relations.

6. References and Further Reading

  • Armstrong, D.M. (1968). A Materialist Theory of the Mind, London, Routledge.
  • Baier, Kurt (1962). Pains. Australasian Journal of Philosophy 40 (May): 1-23.
  • Block, Ned & Fodor, Jerry A. (1972). “What psychological states are not.” Philosophical Review 81 (April):159-81
  • Borst, Clive V. (ed.) (1970). The Mind/Brain Identity Theory. Macmillan.
  • Braddon-Mitchell, D. and Jackson, F. (1996). Philosophy of Mind and Cognition, Oxford, Blackwell.
  • Endicott, Ronald P. (1993). “Species-specific properties and more narrow reductive strategies.” Erkenntnis 38 (3):303-21.
  • Feigl, H. (1958). “The ‘Mental’ and the ‘”Physical’,” in Feigl, H., Scriven, M. and Maxwell, G. (eds.) Concepts, Theories and the Mind-Body Problem, Minneapolis, Minnesota Studies in the Philosophy of Science, Vol. 2, reprinted with a Postscript in Feigl 1967.
  • Feigl, H. (1967). The “Mental” and the “Physical,” The Essay and a Postscript, Minneapolis, University of Minnesota Press.
  • Feyerabend, Paul K. (1963). “Comment: Mental Events and the Brain.” Journal of Philosophy 60 (11):295-296.
  • Fodor, Jerry A. (1974). “Special sciences.” Synthese 28:97-115.
  • Kim, Jaegwon (1992). “Multiple realization and the metaphysics of reduction.” Philosophy and Phenomenological Research 52 (1):1-26.
  • Lewis, D. (1966). “An Argument for the Identity Theory,” Journal of Philosophy, 63, 17-25.
  • Lewis, D. (1969). “Review of Art, Mind, and ReligionJournal of Philosophy 66, 23-35.
  • Lewis, D. (1970). “How to Define Theoretical Terms,” Journal of Philosophy, 67, 427-446.
  • Lewis, D. (1972). “Psychophysical and Theoretical Identifications,” Australasian Journal of Philosophy, 50, 249-258.
  • Nagel, Thomas (1965). “Physicalism.” Philosophical Review 74 (July):339-56.
  • Place, U.T. (1956). “Is Consciousness a Brain Process?,” British Journal of Psychology, 47, 44-50,
  • Place, U.T. (1960). “Materialism as a Scientific Hypothesis,” Philosophical Review, 69, 101-104.
  • Place, U.T. (1967). “Comments on Putnam’s “Psychological Predicates”’. In Capitan, W.H. and Merrill, D.D. (eds) Art, Mind and Religion, Pittsburgh, Pittsburgh University Press.
  • Place, U.T. (1988). “Thirty Years on–Is Consciousness still a Brain Process?,” Australasian Journal of Philosophy, 66, 208-219.
  • Putnam, Hilary (1967). “The Nature of Mental States,” In W.H. Capitan & D.D. Merrill (eds.), Art, Mind, and Religion. Pittsburgh University Press.
  • Rorty, Richard (1965). “Mind-body identity, privacy, and categories,” Review of Metaphysics 19 (September): 24-54.
  • Ryle, G. (1949). The Concept of Mind, London, Hutchinson.
  • Smart, J.J.C. (1959). “Sensations and Brain Processes,” Philosophical Review, 68, 141-156.
  • Taylor, C. (1967). “Mind-body identity, a side issue?” Philosophical Review 76 (April):201-13.

Author Information

Steven Schneider
Email: sjs@inbox.com
Harvard University
U. S. A.

Theories of Emotion

There are different theories of emotion to explain what emotions are and how they operate. This is challenging, since emotions can be analyzed from many different perspectives. In one sense, emotions are sophisticated and subtle, the epitome of what make us human. In another sense, however, human emotions seem to be very similar to (if not the same as) the responses that other animals display. Further, the emotions that we have and how we express them reflect our social environment, but it also seems likely that emotions were shaped by natural selection over time. These and other conflicting features of the emotions make constructing a theory difficult and have led to the creation of a variety of different theories.

Theories of emotion can be categorized in terms of the context within which the explanation is developed. The standard contexts are evolutionary, social and internal. Evolutionary theories attempt to provide an historical analysis of the emotions, usually with a special interest in explaining why humans today have the emotions that they do. Social theories explain emotions as the products of cultures and societies. The internal approach attempts to provide a description of the emotion process itself.  This article is organized around these three categories and will discuss the basic ideas that are associated with each. Some specific theories, as well as the main features of emotion will also be explained.

Table of Contents

  1. Emotion
  2. Evolutionary Theories
    1. Natural Selection in Early Hominids
    2. Adaptations Shared by All Animals: Plutchik
    3. Historical, but Not Adaptationist: Griffiths
  3. Social and Cultural Theories
    1. Motivations for the Social Approach
    2. Emotions Are Transitory Social Roles: Averill
  4. Theories of the Emotion Process
    1. Cognitive Theories
      1. Judgment Theories
      2. Cognitive Appraisal Theories
    2. Non-Cognitive Theories
      1. Some Emotions Are Non-Cognitive: Ekman and Griffiths
      2. All Emotions Are Non-Cognitive: Robinson
    3. Somatic Feedback Theories
  5. Conclusion
  6. References and Further Reading
    1. References
    2. Suggested Reading

1. Emotion

Emotion is one type of affect, other types being mood, temperament and sensation (for example, pain). Emotions can be understood as either states or as processes. When understood as a state (like being angry or afraid), an emotion is a type of mental state that interacts with other mental states and causes certain behaviors.

Understood as a process, it is useful to divide emotion into two parts. The early part of the emotion process is the interval between the perception of the stimulus and the triggering of the bodily response. The later part of the emotion process is a bodily response, for example, changes in heart rate, skin conductance, and facial expression. This description is sufficient to begin an analysis of the emotions, although it does leave out some aspects of the process such as the subjective awareness of the emotion and behavior that is often part of the emotion response (for example, fighting, running away, hugging another person).

The early part of the process is typically taken to include an evaluation of the stimulus, which means that the occurrence of an emotion depends on how the individual understands or “sees” the stimulus. For example, one person may respond to being laid-off from a job with anger, while another person responds with joy—it depends on how the individual evaluates this event. Having this evaluative component in the process means that an emotion is not a simple and direct response to a stimulus. In this way, emotions differ from reflexes such as the startle response or the eye-blink response, which are direct responses to certain kinds of stimuli.

The following are some of the features that distinguish emotion from moods. An emotion is a response to a specific stimulus that can be internal, like a belief or a memory. It is also generally agreed that emotions have intentional content, which is to say that they are about something, often the stimulus itself. Moods, on the other hand, are typically not about anything, and at least some of the time do not appear to be caused by a specific stimulus. Emotions also have a relatively brief duration—on the order of seconds or minutes—whereas moods last much longer. Most theories agree about these features of the emotions. Other features will be discussed in the course of this article. There is much less agreement, however, about most of these other features that the emotions may (or may not) have.

2. Evolutionary Theories

The evolutionary approach focuses on the historical setting in which emotions developed. Typically, the goal is to explain why emotions are present in humans today by referring to natural selection that occurred some time in the past.

It will help to begin by clarifying some terminology. Evolution is simply “change over generational time” (Brandon, 1990, p. 5). Change to a trait can occur because of natural selection, chance, genetic drift, or because the trait is genetically linked with some other trait. A trait is an adaptation if it is produced by natural selection. And a trait is the result of natural selection only when “its prevalence is due to the fact that it conferred a greater fitness” (Richardson, 1996, p. 545), where fitness means reproductive success.

However, a trait can enhance fitness without being an adaptation. One example, noted by Darwin in The Origin of Species, is the skull sutures in newborns:

The sutures in the skulls of young mammals have been advanced as a beautiful adaptation for aiding parturition [that is, live birth], and no doubt they facilitate, or may be indispensable for this act; but as sutures occur in the skulls of young birds and reptiles, which have only to escape from a broken egg, we may infer that this structure has arisen from the laws of growth, and has been taken advantage of in the parturition of the higher animals (p. 218).

In this case, the evidence from non-mammals indicates that this trait was not selected because it aids live birth, although it later became useful for this task.

In order to know that a trait is an adaptation, we have to be familiar with the circumstances under which the selection occurred (Brandon, 1990; Richardson, 1996). However, often the historical evidence is not available to establish that a new trait replaced a previous one because the new trait increased fitness. This is especially true for psychological traits because there is no fossil record to examine. Hence, establishing that an emotion is an adaptation presents some difficult challenges.

Nevertheless, this has not prevented the development of theories that explain emotions as adaptations. The attractiveness of this approach is easy to see. Since all humans have emotions and most non-human animals display emotion-like responses, it is likely that emotions (or emotion-like behaviors) were present in a common ancestor. Moreover, emotions appear to serve an important function, which has led many to think that the certain emotions have been selected to deal with particular problems and challenges that organisms regularly encounter. As Dacher Keltner et al. has stated, “Emotions have the hallmarks of adaptations: They are efficient, coordinated responses that help organisms to reproduce, to protect offspring, to maintain cooperative alliances, and to avoid physical threats” (Keltner, Haidt, & Shiota, 2006, p. 117).

Three different ways in which the evolutionary position has been developed will be discussed in the following sections. The first is based on the claim that emotions are the result of natural selection that occurred in early hominids. The second also claims that emotions are adaptations, but suggests that the selection occurred much earlier. Finally, the third position suggests that emotions are historical, but does not rely on emotions being adaptations.

a. Natural Selection in Early Hominids

The theories in the first group claim that the emotions were selected for in early hominids. Most of these theories suggest that this selection occurred in response to problems that arose because of the social environment in which these organisms lived (Tooby & Cosmides, 1990; Cosmides & Tooby, 2000; Nesse, 1990; Keltner et al., 2006). Some examples of the problems that early hominids may have encountered, and the emotions that may have been selected in response to these problems, are listed in Table 1.

Table 1

Table 1. Some possible examples of emotions that were selected for in early hominids.
These emotions, it is suggested, have been selected to deal with the types of problems indicated.

Although the time period during which this selection is believed to have occurred is typically not specified with any precision, the general period begins after the human lineage diverged from that of the great apes, 5 to 8 million years ago, and continues through the appearance of Homo sapiens, which was at least 150,000 years ago (Wood & Collard, 1999; Wood, 1996).

Adherents of this position suggest that each emotion should be understood as a set of programs that guide cognitive, physiological, and behavioral processes when a specific type of problem is encountered (Tooby & Cosmides, 1990; Cosmides & Tooby, 2000; Nesse, 1990). In Randolph Nesse’s words, “The emotions are specialized modes of operation shaped by natural selection to adjust the physiological, psychological, and behavioral parameters of the organism in ways that increase its capacity and tendency to respond adaptively to the threats and opportunities characteristic of specific kinds of situations” (1990, p. 268).

For example, Cosmides and Tooby suggest that sexual jealousy is an adaptation that occurred in “our hunger-gatherer ancestors” (2000, p. 100). As they explain it, sexual jealousy was selected to deal with a group of related problems. The main one is that a mate is having sex with someone else, but other problems include the harm that has been done to the victim’s status and reputation, the possibility that the unfaithful mate has conceived with the rival, and the likelihood that the victim of the infidelity has been deceived about a wide variety of other matters (2000, p. 100).

According to Cosmides and Tooby, the emotion of sexual jealousy, deals with these problems in the following ways:

Physiological processes are prepared for such things as violence, sperm competition, and the withdrawal of investment; the goal of deterring, injuring, or murdering the rival emerges; the goal of punishing, deterring, or deserting the mate appears; the desire to make oneself more competitively attractive to alternative mates emerges; memory is activated to reanalyze the past; confident assessments of the past are transformed into doubts; the general estimate of the reliability and trustworthiness of the opposite sex  (or indeed everyone) may decline; associated shame programs may be triggered to search for situations in which the individual can publicly demonstrate acts of violence or punishment that work to counteract an (imagined or real) social perception of weakness; and so on (2000, p. 101).

Cosmides and Tooby, and others who have similar theories, stress that these emotions are responses that enhanced fitness when the selection occurred—whenever that was in the past. Although these emotions are still present in humans today, they may no longer be useful, and may even be counterproductive, as Cosmides and Tooby’s description of the more violent aspects of sexual jealousy illustrates.

b. Adaptations Shared by All Animals: Plutchik

In contrast to theories that claim that the emotions are the result of natural selection that occurred in early hominids, another position is that the selection occurred much earlier, and so the adaptations are shared by a wider collection of species today. Robert Plutchik claims that there are eight basic emotions, each one is an adaptation, and all eight are found in all organisms (1980, 1984). According to Plutchik, the emotions are similar to traits such as DNA or lungs in air breathing animals—traits that are so important that they arose once and have been conserved ever since. In the case of the emotions, which he calls “basic adaptations needed by all organisms in the struggle for individual survival” (1980, p. 145), Plutchik suggests that the selection occurred in the Cambrian era, 600 million years ago. The eight adaptations are incorporation, rejection, destruction, protection, reproduction, reintegration, orientation, and exploration (see Table 2 for a description of each).

Table 2

Table 2. This table lists the eight basic emotions in Robert Plutchik theory. On the left are the behaviors that, according to Plutchik, are the result of natural selection, and on the right are the emotions associated with these behaviors. The first emotion listed in each row (e.g., fear, anger, joy) is the basic emotion, the second is the same emotion except at a greater intensity (that is, terror, rage, ecstasy) (1980, 1984).

In Plutchik’s theory, these adaptations are, in one sense, types of animal behaviors. The term “emotion” is just a particular way of describing these behaviors in humans. However, he does acknowledge that the same behaviors are not found in all species. The emotions that appear in humans are more complex than what are found in lower species, “but the basic functional patterns remain invariant in all animals, up to and including humans” (1980, p. 130).

Plutchik’s theory also accounts for more than just these eight emotions. Other emotions, he says, are either combinations of two or three of these basic emotions, or one of these eight emotions experienced at a greater or a milder intensity. Some examples are: anger and disgust mixing to form contempt; fear and sadness mixing to form despair; and with regard to levels of intensity, annoyance is a milder form of anger, which is itself a milder form of rage.

c. Historical, but Not Adaptationist: Griffiths

Although the trend when explaining emotions from a historical point of view is to focus on adaptations, an alternative is simply to identify the traits that are present in a certain range of species because of their shared ancestry. According to Paul Griffiths, some emotions should be identified and then classified in this way (1997, 2004). This classification creates a psychological category, which Griffiths terms the affect program emotions: surprise, anger, fear, sadness, joy, and disgust. In Griffiths’ theory, the other emotions belong to different categories—the higher-cognitive emotions and the socially constructed emotions—and in some cases a single vernacular term, for example, anger, will have instances that belong to different categories. Affect programs are explained further in section 4.

Griffiths’ idea is that these emotions are basically the same as other traits that are studied and classified by evolutionary biology. An affect program emotion is, “no different from a trait like the human arm, which has unique features but can be homologized more or less broadly with everything from a chimpanzee arm to a cetacean fin” (1997, p. 230). For example, sadness, one of Griffiths’ affect program emotions, occurs in all humans and in other related species. This trait may differ slightly from species to species, but it is a single trait because all of the occurrences can be traced back to a common ancestor.

Griffiths suggests that this method of classification will identify the emotions that are carried out by similar mechanisms in different species. For example, “threat displays in chimps look very different from anger in humans, but when their superficial appearance is analyzed to reveal the specific muscles whose movement produces the expression and the order in which those muscles move, it becomes clear that they are homologues of one another. The same is almost certainly true of the neural mechanisms that control those movements” (Griffiths, 2004, p. 238). Rather than simply focusing on the functions of the emotions, this kind of analysis is more useful for psychology and neuropsychology because these sciences are interested in identifying the mechanisms that drive behavior (Griffiths, 2004).

3. Social and Cultural Theories

The second main approach to explaining the emotions begins with the idea that emotions are social constructions. That is, emotions are the products of societies and cultures, and are acquired or learned by individuals through experience. Virtually everyone who defends this position acknowledges that emotions are to some degree, natural phenomena. Nonetheless, the central claim made in these theories is that the social influence is so significant that emotions are best understood from this perspective.

a. Motivations for the Social Approach

This section will discuss some of the motivations for adopting this approach to explaining the emotions. Some brief examples to show how these ideas have been developed are also reviewed.

1. A number of anthropological studies have found discrepancies among the emotion words used in different languages. In particular, there are emotion words in other languages that do not correspond directly or even closely to emotion words in English. Given that individuals experience the emotions that they have terms for (and vice versa), the claim that follows from these findings is that people in different cultures have and experience different emotions. The following are some of the examples that are often used to illustrate the variability of emotion terms.

The people of Ifaluk, a small island in the Pacific, have an emotion that they refer to as fago. Catherine Lutz translates fago as “compassion/love/sadness” and claims that it is unlike any single western emotion (1988). The Japanese have the emotion amae, which is a feeling of dependency upon another’s love. This is similar to the feeling that children have towards their mothers, but it is experienced by adults. (Morsbach & Tyler, 1986). And there are several cultures in which anger and sadness are not distinguished as separate, discrete emotions (Orley, 1970 [quoted in Russell, 1991]; Davitz, 1969; M. Z. Rosaldo, 1980; R. I. Rosaldo, 1984). (See Russell [1991] for a comprehensive review of this literature.)

2. Emotions typically occur in social settings and during interpersonal transactions—many, if not most, emotions are caused by other people and social relationships. Thus, in many cases emotions may be best understood as interactions between people, rather than simply as one individual’s response to a particular stimulus (Parkinson, 1996). Brian Parkinson and his colleagues have developed a theory based upon these considerations (Parkinson, 1996, 1997; Parkinson, Fischer, & Manstead, 2005). In brief, Parkinson describes emotion as:

something that emerges directly through the medium of interaction. Interpersonal factors are typically the main causes of emotion, and emotions lead people to engage in certain kinds of social encounter or withdraw from such interpersonal contact. Many emotions have relational rather than personal meanings … and the expression of these meanings in an emotional interaction serves specific interpersonal functions depending on the nature of the emotion (1996, p. 680).

Rom Harré also points out that language, social practices, and other elements of an individual’s culture have a significant role in the formation of emotions. Individuals in a society develop their emotions based on what they are exposed to and experience, either directly or indirectly (1986, 1995). One example that Harré uses to demonstrate this is an emotion that depended upon religious beliefs and the norms that develop around those beliefs in the Middle Ages. Accidie was a negative emotion that Harré and Finlay-Jones describe as “boredom, dejection, or even disgust with fulfilling one’s religious duty” (Harré & Finlay-Jones, 1986, p. 221). Moreover, this emotion was “the major spiritual failing to which those who should have been dutiful succumbed” and “to feel it at all was a sin” (p. 221). Nevertheless, experience it people did. Today, although people still get bored and dejected, this emotion no longer exists because our emotions are, according to Harré and Finlay-Jones, “defined against the background of a different moral order” (p. 222).

3. Emotions and their expression are regulated by social norms, values, and expectations. These norms and values influence what the appropriate objects of emotion are (that is, what events should make a person angry, happy, jealous, and so on), and they also influence how emotions should be expressed.

As an example of how specific and recognizable these norms, values, and expectations sometimes are, one can consider “emotion rules” that Americans often follow. James Averill (1993; see also 1982) has identified the rules for anger, some of which are listed here:

  • A person has the right (duty) to become angry at intentional wrongdoing or at unintentional misdeeds if those misdeeds are correctable (for example, due to negligence, carelessness, or oversight).
  • Anger should be directed only at persons and, by extension, other entities (one’s self, human institutions) that can be held responsible for their actions.
  • Anger should not be displaced on an innocent third party, nor should it be directed at the target for reasons other than the instigation.
  • The aim of anger should be to correct the situation, restore equity, and/or prevent recurrence, not to inflict injury or pain on the target or to achieve selfish ends through intimidation.
  • The angry response should be proportional to the instigation; that is, it should not exceed what is necessary to correct the situation, restore equity, or prevent the instigation from happening again.
  • Anger should follow closely the provocation and not endure longer than is needed to correct the situation (typically a few hours or days, at most) (pp. 182–84).

Once these rules are specified by society (either implicitly or explicitly), they become, Averill says, “part of our ‘second nature'” (1993, p. 184), and so we follow them without any deliberate effort.

Claire Armon-Jones goes further and says that the purpose of the emotions is to reinforce society’s norms and values (1986b, see also 1985, 1986a). Allowing that emotions may also serve other purposes, some of the functions that they have are “the regulation of socially undesirable behavior and the promotion of attitudes which reflect and endorse the interrelated religious, political, moral, aesthetic and social practices of a society” (1986b, p. 57). For example, an individual’s envy of someone who is successful (or his guilt over having cheated someone) are both emotions that have been prescribed by the individual’s society so that the individual will take the appropriate attitude towards success and cheating.

Of course, there are times when emotion responses do not adhere well to what one may think of as moral rules or values, for instance, taking pleasure in creating graffiti or taking pride in hurting people. For these cases, Armon-Jones suggests that the emotion has still been learned by the individual, just not in a way that is consistent with what the larger portion of the society would endorse. Rather, the individual has acquired the emotion from some sub-population of society or a peer-group that the individual identifies with (1986b).

b. Emotions Are Transitory Social Roles: Averill

Many theories have been developed from the social perspective, but one that has been particularly significant is James Averill’s, which will be reviewed in this section (1980, 1982, 1986). According to Averill, “an emotion is a transitory social role (a socially constituted syndrome) that includes an individual’s appraisal of the situation and that is interpreted as a passion rather than as an action” (1980, p. 312). These transitory social roles and syndromes are generated by social norms and expectations, and so, by these means, social norms and expectations govern an individual’s emotions.

Averill employs the notion of a syndrome to indicate that each emotion (like fear, anger or embarrassment), covers a variety of elements. A syndrome is a collection of all of the appropriate responses of a particular emotion, any of which may at certain times constitute an emotion response, but none of which are essential or necessary for that emotion syndrome. It also consists of beliefs about the nature of the eliciting stimuli and perhaps some natural (that is, non-social) elements. All of these various components are linked together for an individual by principles of organization. These principles are what allow the various elements to be construed coherently as one particular emotion (1982).

For example, grief is a syndrome. Every individual who understands this syndrome may at different times have the following grief responses: shock, crying, refusing to cry (that is, keeping a stiff upper lip), declining to eat, neglecting basic responsibilities, and so on. Further, the conditions that the individual understands should elicit grief are also part of this syndrome: the death of a loved one, the loss of a valuable object, a setback at work, rainy days, and so forth.

Bringing these parts together into one coherent whole are the mental constructs that allow an individual to construe all of these various elements as grief. An individual labels both his response at a funeral and his response to his favorite baseball team losing as grief, even if the two responses have nothing in common. Additionally, with an understanding of the grief syndrome an individual can judge when others are experiencing grief and whether another individual’s grief is genuine, severe, mild, and so on.

The idea of emotions as transitory social roles is distinct from the notion of a syndrome, but characterizes the same phenomena, in particular, the eliciting conditions and the responses for an emotion. In Averill’s theory, transitory social roles are the roles that individuals adopt when they choose to play a particular part in a situation as it unfolds. That being said, although the individual chooses the role, Averill stresses that the emotional responses are interpreted by the agent as passive responses to particular situations, not as active choices.

The transitory social roles are rule governed ways of performing a social role, and so individuals adopt a role that is consistent with what a given situation calls for. For example, a grief response is appropriate at a funeral, but different grief responses are appropriate at the burial and at the service before the burial. In order to have an emotion response that is consistent with social norms and expectations, the individual must understand what the role they are adopting means in the context in which it is used.

Summarizing these different resources from Averill’s theory, the syndromes are used to classify emotions and demarcate them from each other. The transitory social roles are useful for explaining how the emotion responses relate to the society as well as the specific social context. Considering an emotion as a syndrome, the individual has a variety of choices for the emotion response. The transitory social role imposes rules that dictate which response is appropriate for the situation. For example, the possible responses for anger may include pouting, yelling, hitting, or perhaps no overt behavior at all. In a particular situation, say a baseball game, a player may adopt a social role that includes pushing the umpire as an anger response. Yelling at the umpire would have been another role the player could have adopted.  However, social norms and expectations dictate that pouting in this situation would not be an appropriate response.

4. Theories of the Emotion Process

The third category of theories contains those that attempt to describe the emotion process itself. Generally speaking, the emotion process begins with the perception of a stimulus, although in some cases the “stimulus” may be internal, for example, a thought or a memory. The early part of the emotion process is the activity between the perception and the triggering of the bodily response (that is, the emotion response), and the later part of the emotion process is the bodily response: changes in heart rate, blood pressure, facial expression, skin conductivity, and so forth.

Most of the theories that will be considered in this section focus on the early part of the emotion process because—according to these theories—the specific emotion that occurs is determined during this part of the process. There is, however, disagreement about how simple or complex the early part of the emotion process might be, which has lead to competing cognitive and non-cognitive theories. These two types of theories are discussed in this section, as is a third type, the somatic feedback theories.

a. Cognitive Theories

The cognitive theories contend that the early part of the emotion process includes the manipulation of information and so should be understood as a cognitive process. This is in contrast to theories that state that the generation of the emotion response is a direct and automatic result of perceiving the stimulus—these non-cognitive theories are discussed below.

Two observations demonstrate some of the motivation for the cognitive position. First, different individuals will respond to the same event with different emotions, or the same individual may at different times respond differently to the same stimulus. For example, one person may be relieved to be laid-off from her job, while a co-worker greets the same news with dread. Or one person may, as a young woman, be excited to be laid-off from her job, but several years later find being laid-off frightening. As the psychologists Ira Roseman and Craig Smith point out, “Both individual and temporal variability in reaction to an event are difficult to explain with theories that claim that stimulus events directly cause emotional response” (2001, p. 4).

Second, there is a wide range of seemingly unrelated events that cause the same emotion. None of these events share any physical feature or property, but all of them can cause the same response. Roseman and Smith provide an example using sadness and comment on the consequence of this example for a theory of emotion:

sadness may be elicited by the death of a parent (see Boucher & Brandt, 1981), the birth of a child (see, for example, Hopkins, Marcus, & Campbell, 1984), divorce (for example, Richards, Hardy, & Wadsworth, 1997), declining sensory capacity (Kalayam, Alexopoulos, Merrell, & Young, 1991), not being accepted to medical school (Scherer, 1988), or the crash of one’s computer hard drive … These examples pose problems for theories claiming that emotions are unconditioned responses to evolutionary specified stimulus events or are learned via generalization or association (2001, p. 4).

Cognitive theories account for these two observations by proposing that the way in which the individual evaluates the stimulus determines the emotion that is elicited. Every individual has beliefs, as well as goals, personal tendencies, and desires in place before the emotion causing event is encountered. It is in light of these factors that an individual evaluates the event. For example, different emotions will occur depending on whether an individual evaluates being laid-off as consistent with her current goals or inconsistent with them.

i. Judgment Theories

Judgment theories are the version of the cognitive position that have been developed by philosophers. The basic idea, as Robert Solomon puts it, is that an emotion is “a basic judgment about our Selves and our place in our world, the projection of the values and ideals, structures and mythologies, according to which we live and through which we experience our lives” (1993, p. 126). Judging in this context is the mental ability that individuals use when they acknowledge a particular experience or the existence of a particular state of the world; what Martha Nussbaum calls “assent[ing] to an appearance” (2004, p. 191).

Taking anger as an example, in Solomon’s theory, “What constitutes the anger is my judging that I have been insulted and offended” (1977, p. 47). Nussbaum has a similar, but more detailed, description of anger as the following set of beliefs: “that there has been some damage to me or to something or someone close to me; that the damage is not trivial but significant; that it was done by someone; that it was done willingly; that it would be right for the perpetrator of the damage to be punished” (2004, p. 188). In some contexts, Nussbaum treats judgments and beliefs interchangeably and it is sometimes the case that a series of judgments constitute the emotion.

Elaborating upon her example, Nussbaum points out how the different beliefs are related to the emotion. She notes that, “each element of this set of beliefs is necessary in order for anger to be present: if I should discover that not x but y had done the damage, or that it was not done willingly, or that it was not serious, we could expect my anger to modify itself accordingly or recede” (2004, p. 188). Thus, a change in an individual’s beliefs—in his or her way of seeing the world—entails a different emotion, or none at all.

Judging is the central idea in these theories because it is something that the agent actively does, rather than something that happens to the individual. This in turn reflects the judgment theorists’ claim that in order to have an emotion the individual must judge (evaluate, acknowledge) that events are a certain way. Of course, one can make judgments that are not themselves emotions. For example, the judgment that the wall is red, or the judgment that the icy road is dangerous. One way to distinguish the judgments that are emotions from those that are not is to suggest (like Nussbaum) that the judgment must be based on a certain set of beliefs. If those beliefs are present, then the emotion will occur; if they are not, then it won’t. A second response is to be more specific about the nature of the judgment itself. The judgments related to emotions are, as Solomon says, “self-involved and relatively intense evaluative judgments … The judgments and objects that constitute our emotions are those which are especially important to us, meaningful to us, concerning matters in which we have invested our Selves” (1993, p. 127).

It is also important to note that, although these theories claim that emotion is a cognitive process, they do not claim that it is a conscious or a deliberative process.  As Solomon says, “by ‘judgment’, I do not necessarily mean ‘deliberative judgment’ … One might call such judgments ‘spontaneous’ as long as ‘spontaneity’ isn’t confused with ‘passivity'” (1977, p. 46). For example, the judgment that I have been insulted and offended does not necessarily require any conscious mental effort on my part.

The last issue that needs to be addressed concerns the bodily response. All of the judgment theories state that judgments are necessary for an emotion. While these theories acknowledge that in many cases various bodily responses will accompany the emotion, many do not consider the bodily response an integral part of the emotion process. Nussbaum believes that this can be demonstrated by considering the consequences of having the requisite mental states while not having a bodily response:

There usually will be bodily sensations and changes involved in grieving, but if we discovered that my blood pressure was quite low during this whole episode, or that my pulse rate never went above sixty, there would not, I think, be the slightest reason to conclude that I was not grieving. If my hands and feet were cold or warm, sweaty or dry, again this would be of no critical value (2004, p. 195).

Some judgment theorists are, however, more accommodating and allow that the bodily response is properly considered part of the emotion, an effect of the judgments that are made. Thus, William Lyons describes his theory, the causal-evaluative theory, as follows:

the causal-evaluative theory gets its name from advocating that X is to be deemed an emotional state if and only if it is a physiologically abnormal state caused by the subject of that state’s evaluation of his or her situation. The causal order is important, emotion is a psychosomatic state, a bodily state caused by an attitude, in this case an evaluative attitude (1980, pp. 57–58).

In theory such as Lyons’, the bodily response is considered part of the emotion process and the emotion is determined by the cognitive activity—the judgment or evaluation—that occurs (Lyons 1980, pp. 62–63; see also Roseman and Smith, 2001, p. 6).

ii. Cognitive Appraisal Theories

Cognitive appraisal theories are the cognitive theories that have been developed by psychologists. Like the judgment theories, the cognitive appraisal theories emphasize the idea that the way in which an individual evaluates or appraises the stimulus determines the emotion. But unlike the judgment theories, the cognitive appraisal theories do not rely on the resources of folk psychology (beliefs, judgments, and so forth). The cognitive appraisal theories also offer a more detailed analysis of the different types of appraisals involved in the emotion process.

This section will focus on Ira Roseman’s theory (1984), which was one of the first cognitive appraisal theories. As an early contribution, Roseman’s theory is in some ways simpler than more recent cognitive appraisal theories and so will serve as a good introduction. Similar models are offered by Roseman, Antoniou, and Jose [1996], Roseman [2001], Lazarus [1991], and Scherer [1993, 2001]. The basic theoretical framework is the same for all of the cognitive appraisal theories. The main differences concern the exact appraisals that are used in this process.

Roseman’s model, which is described in Table 3, has five appraisal components that can produce 14 discrete emotions. The appraisal components and the different values that each component can take are motivational state (appetitive, aversive), situational state (motive-consistent, motive-inconsistent), probability (certain, uncertain, unknown), power (strong, weak), and agency (self-caused, other-caused, circumstance-caused). The basic idea is that when a stimulus is encountered it is appraised along these five dimensions. Each appraisal component is assigned one of its possible values, and together these values determine which emotion response will be generated.

Table 3

Table 3. The different appraisal components in Roseman’s theory are motivational state, situational state, probability, power, and agency. The arrows point to the different values that each appraisal component can take. Each emotion type takes the values that its placement in the chart indicates. When the emotion is placed such that it lines up with more than one value for an appraisal component (e.g., anger can be uncertain or certain), any of those values can be assigned for that emotion. Adapted from Roseman (1984, p. 31).

For example, for joy, the situational state must be appraised as motive-consistent, the motivational state as appetitive, agency must be circumstance-caused, probability must be certain, and power can be either weak or strong. Notice also that the different emotions all use the same appraisal components, and many emotions take the same values for several of the components. For example, in Roseman’s model, anger and regret take the same values for all of the appraisals except for the agency component; for that appraisal, regret takes the value self-caused and anger takes other-caused.

The five appraisal components are described as follows:

  1. The motivational state appraisal distinguishes between states that the individual views as desirable (appetitive) and states that are viewed as undesirable (aversive). This is not an evaluation of whether the event itself is positive or negative; rather it is an evaluation of whether the event includes some important aspect that is perceived as a goal or some aspect that is perceived as a punishment. A punishment (or something perceived as a punishment) that is avoided is a positive event, but still includes an evaluation of a punishment. For example, according to Roseman, although relief is a positive emotion, it includes an evaluation that some important aspect of the event is aversive. Conversely, sorrow, a negative emotion, includes an evaluation that some important aspect of the event is appetitive.
  2. The situational state component determines whether the desirable or undesirable quality of the event is present or absent. The appraisal that something desirable is present and the appraisal that something undesirable is absent are both motive-consistent. On the other hand, the appraisal that something desirable is absent or something undesirable is present is motive-inconsistent. So for instance, the situational state for both joy and relief is motive-consistent. But, joy includes the appraisals that there is a desirable state and it is present, and relief includes the appraisals that there is an undesirable state and it is absent.
  3. The probability component evaluates whether an event is definite (certain), only possible (uncertain), or of an unknown probability. For this component, an outcome of uncertainty contributes to hope instead of joy or relief, which both involve an appraisal that the event is certain (that is, the outcome of the event has been determined). The possibility that the event can be appraised as having an unknown probability was added by Roseman in order to account for surprise, which is often considered a basic emotion (for example, Izard, 1977; Ekman, 1992). For this appraisal, unknown differs from uncertain in that unknown is the value that is assigned when the distinction between motive-consistent versus motive-inconsistent cannot be made. When the distinction can be made, the value is assigned certain or uncertain.
  4. The evaluation of power is the individual’s perception of his or her strength or weakness in a situation. These values distinguish, for example, shame (weak) and regret (strong), as well as dislike (weak) and anger (strong). Roseman suggests a situation that would be likely to cause an evaluation of weakness rather than strength. He suggests that we “consider someone being robbed at gunpoint. Will this person, quite unjustly treated but quite weak, be feeling anger? I contend that he would not, though he would probably feel some negative emotion towards his assailant. This emotion, in … [my] theory, is dislike” (1984, p. 27).
  5. Lastly, the agency component. An evaluation is made about whether the event was caused by the individual, caused by some other person, or is merely a result of the situation (that is, the event is perceived as lacking an agent). This appraisal usually determines to whom or towards what the emotion is directed. Making this evaluation sometimes requires a subtle understanding of what the emotion-causing stimulus is. For instance, consider an individual who is presented with a gift by a friend. If the individual focuses on the gift and having just received it (the general state of affairs), his emotion is joy. If the individual focuses on the friend who has just given the gift (focuses on another person), the emotion is liking.

Just like the judgment theorists, Roseman and the other appraisal theorists say that these appraisals do not have to be deliberate, or even something of which the individual is consciously aware. To illustrate this, consider someone accidentally spilling a glass of water on you versus intentionally throwing the glass of water on you. According to Roseman’s theory, in the first case, the agency appraisal would most likely be circumstance-caused. In the latter case, it would be other-caused. As a result, different emotions would be elicited. Most people have had an experience like this and can see that determining these values would not take any conscious effort. The values are set outside of conscious awareness.

Unlike some of the judgment theorists, all of the cognitive appraisal theorists agree that the appraisals are followed by a bodily response, which is properly consider part of the emotion process. Roseman suggests that once the appraisals have been made, a response that has the following parts is set in motion: (1) “the thoughts, images, and subjective ‘feeling’ associated with each discrete emotion,” (2) “the patterns of bodily response,” (3) the “facial expressions, vocal signals, and postural cues that communicate to others which emotion one is feeling,” (4) a “behavioral component [that] comprises actions, such as running or fighting, which are often associated with particular emotions,” and (5) “goals to which particular emotions give rise, such as avoiding some situation (when frightened) or inflicting harm upon some person (when angered)” (1984, pp. 19–20).

b. Non-Cognitive Theories

Non-cognitive theories are those that defend the claim that judgments or appraisals are not part of the emotion process. Hence, the disagreement between the cognitive and the non-cognitive positions primarily entails the early part of the emotion process. The concern is what intervenes between the perception of a stimulus and the emotion response. The non-cognitive position is that the emotion response directly follows the perception of a relevant stimulus. Thus, instead of any sort of evaluation or judgment about the stimulus, the early part of the emotion process is thought to be reflex-like.

The non-cognitive theories are in many ways a development of the folk psychological view of emotion. This is the idea that emotions are separate from the rational or cognitive operations of the mind: cognitive operations are cold and logical, whereas emotions are hot, irrational, and largely uncontrollable responses to certain events. The non-cognitive position has also been motivated by skepticism about the cognitive theories. The non-cognitive theorists deny that propositional attitudes and the conceptual knowledge that they require (for example, anger is the judgment that I have been wronged) are necessary for emotions. Advocates of the non-cognitive position stress that a theory of emotion should apply to infants and non-human animals, which presumably do not have the cognitive capabilities that are described in the judgment theories or the cognitive appraisal theories.

With respect to the non-cognitive theories themselves, there are two different approaches. The first develops an explanation of the non-cognitive process, but claims that only some emotions are non-cognitive. The second approach describes the non-cognitive process in a very similar way, but defends the idea that all emotions are non-cognitive.

i. Some Emotions Are Non-Cognitive: Ekman and Griffiths

Paul Ekman originally developed what is now the standard description of the non-cognitive process (1977), and more recently Paul Griffiths has incorporated Ekman’s account into his own theory of the emotions (1997). This section will review the way in which Ekman and Griffiths describe the non-cognitive process. The next section will examine a theory that holds that all emotions are non-cognitive, a position that Ekman and Griffiths do not defend.

Ekman’s model is composed of two mechanisms that directly interface with each other: an automatic appraisal mechanism and an affect programme. Griffiths adopts a slightly different way of describing the model; he treats Ekman’s two mechanisms as a single system, which he calls the affect program. Griffiths also suggests that there is a separate affect program for each of several emotions: surprise, fear, anger, disgust, sadness, and joy (1997, p. 97). (As noted in section one, Griffiths identifies this class of emotions, the affect programs, historically.)

Describing the automatic appraisal mechanism, Ekman says:

There must be an appraiser mechanism which selectively attends to those stimuli (external or internal) which are the occasion for activating the affect programme … Since the interval between stimulus and emotional response is sometimes extraordinarily short, the appraisal mechanism must be capable of operating with great speed. Often the appraisal is not only quick but it happens without awareness, so I must postulate that the appraisal mechanism is able to operate automatically. It must be constructed so that it quickly attends to some stimuli, determining not only that they pertain to emotion, but to which emotion, and then activating the appropriate part of the affect programme (1977, p. 58).

The automatic appraisal mechanism is able to detect certain stimuli, which Ekman calls elicitors. Elicitors can vary by culture, as well as from individual to individual. On a more general level, however, there are similarities among the elicitors for each emotion. These are some of the examples that Ekman offers:

Disgust elicitors share the characteristic of being noxious rather than painful; … fear elicitors share the characteristic of portending harm or pain. One of the common characteristics of some of the elicitors of happiness is release from accumulated pressure, tension, discomfort, etc. Loss of something to which one is intimately attached might be a common characteristic of sadness elicitors. Interference with ongoing activity might be characteristic of some anger elicitors (1977, pp. 60–61).

Related to Ekman’s notion of an elicitor, Griffiths suggests that this system includes a “biased learning mechanism,” which allows it to easily learn some things, but makes it difficult for it to learn others. For example, it is easier for humans to acquire a fear of snakes than a fear flowers (Griffiths, 1997, pp. 88–89). Furthermore, this system “would have some form of memory, storing information about classes of stimuli previously assessed as meriting emotional response” (1997, p. 92).

The second mechanism that Ekman describes, what he calls the affect programme, governs the various elements of the emotion response: the skeletal muscle response, facial response, vocal response, and central and autonomic nervous system responses (1977, p. 57; see also Griffiths, 1997, p. 77). According to Ekman, this is a mechanism that “stores the patterns for these complex organized responses, and which when set off directs their occurrence” (1977, p. 57).

Griffiths also points out that the affect programs (recall that, in Griffiths’ parlance, affect program refers to the whole system) have several of the features that Fodor (1983) identified for modular processes. In particular, when the appropriate stimulus is presented to the system the triggering of the response is mandatory, meaning that once it begins it cannot be interfered with or stopped. The affect programs are also encapsulated, or cut off from other mental processes (1997, pp. 93–95). Ekman appears to have been aware of the modular nature of this system when he wrote, “The difficulty experienced when trying to interfere with the operation of the affect programme, the speed of its operation, its capability to initiate responses that are hard to halt voluntarily, is what is meant by out-of-control quality to the subjective experiences of some emotions” (1977, p. 58).

Ekman and Griffiths both believe that this system accounts for a significant number of the emotions that humans experience, but neither think that it describes all emotions. Ekman says that the automatic appraisal mechanism is one kind of appraisal mechanism, but he also believes that cognitive appraisals are sometimes utilized. Griffiths defends the view that the vernacular term emotion does not pick out a single psychological class. In addition to the affect program emotions, he suggests some emotions are cognitively mediated and some are socially constructed.

ii. All Emotions Are Non-Cognitive: Robinson

An alternative view is that the emotion process is always a non-cognitive one. That is, a system like the one described by Ekman and Griffiths accounts for all occurrences of emotion. This position is defended by Jenefer Robinson (1995, 2004, 2005). It is also similar to the theories developed by William James (1884) and, more recently, Jesse Prinz (2004a), which are discussed in the next section. See Zajonc (1980, 1984) for another important defense of the non-cognitive position.

In her “exclusively non-cognitive” theory, Robinson claims that any cognitive processes that occur in an emotion-causing situation are in addition to the core process, which is non-cognitive. She acknowledges that in some cases, an emotion might be caused by cognitive activity, but this is explained as cognitive activity that precedes the non-cognitive emotion process. For example, sometimes an individual’s fear is in response to cognitively complex information such as the value of one’s investments suddenly dropping. In this case, a cognitive process will determine that the current situation is dangerous, and then what Robinson calls an affective appraisal will be made of this specific information and a fear response will be triggered. As Robinson describes this part of her theory, “My suggestion is that there is a set of inbuilt affective appraisal mechanisms, which in more primitive species and in neonates are automatically attuned to particular stimuli, but which, as human beings learn and develop, can also take as input more complex stimuli, including complex ‘judgments’ or thoughts” (2004, p. 41).

This explanation allows Robinson to maintain the idea that emotions are non-cognitive while acknowledging that humans can have emotions in response to complex events. This aspect of her theory can also be used to explain how an individual can be cognitively aware that he or she has been unjustly treated, or been unexpectedly rewarded, but not experience any emotion (for example, anger, or sadness, or happiness)—a situation which does seem to occur sometimes. For example, the cognitive appraisal may indicate that the individual has been unjustly treated, but the affective appraisal will not evaluate this as worthy of an emotion response.

Robinson also suggests that the non-cognitive process may be followed by cognitive activity that labels an emotion response in ways that reflect the individual’s thoughts and beliefs. The non-cognitive process might generate an anger response, but then subsequent cognitive monitoring of the response and the situation causes the emotion to be labeled as jealousy. Thus, the individual will take him or herself to be experiencing jealousy, even though the actual emotion process was the one specific to anger (2004, 2005).

c. Somatic Feedback Theories

The theories discussed in this section have varied in the importance that they place on the bodily changes that typically during the emotion process. The judgment theorist Martha Nussbaum is dismissive of the bodily changes, whereas the cognitive appraisal theorists (that is, the psychologists) hold that the bodily response is a legitimate part of the process and has to be included in any complete description of the emotions. Meanwhile, all of the non-cognitive theorists agree that bodily changes are part of the emotion process.

However, the cognitive theories all maintain that it is the cognitive activity that determines the specific emotion that is produced (that is, sadness, anger, fear, and so forth.) and the non-cognitive position is not very different in this regard. Ekman’s automatic appraisal mechanism and Robinson’s affective appraisals are both supposed to determine which emotion is generated.

The further question is whether there is a unique set of bodily changes for each emotion. The cognitive appraisal theorist Klaus Scherer claims that each appraisal component directs specific bodily changes, and so his answer to this question is affirmative (2001); Griffiths says that is likely that each affect program emotion has a unique bodily response profile (1997, pp. 79–84); and Robinson is skeptical that different emotions can be distinguished by any of the features of the bodily response, except perhaps the facial expression (2005, pp. 28–34). Nevertheless, although answering this question is important for a complete understanding of the emotions, it does not greatly affect the theories mentioned here, which are largely based on what occurs in the early part of the emotion process.

The somatic feedback theorists differ from the cognitive and non-cognitive positions by claiming that the bodily responses are unique for each emotion and that it is in virtue of the unique patterns of somatic activity that the emotions are differentiated. Thus, according to these theories, there is one set of bodily changes for sadness, one set for anger, one for happiness, and so on. This is a claim for which there is some evidence, although except for facial expressions, the current evidence is not very strong (see Ekman, 1999; Levenson, Ekman, & Friesen, 1990; Prinz, 2004b). In any case, it is the feedback that the mind (or brain) gets from the body that makes the event an emotion.

William James (1884) was the first to develop a somatic feedback theory, and recently James’ model has been revived and expanded by Antonio Damasio (1994, 2001) and Jesse Prinz (2004a, 2004b). Somatic feedback theories suggest that once the bodily response has been generated (that is, a change in heart rate, blood pressure, facial expression, and so forth), the mind registers these bodily activities, and this mental state (the one caused by the bodily changes) is the emotion.

James describes it this way: “the bodily changes follow directly the perception of the exciting fact [that is, the emotion causing event], and … our feeling of the same changes as they occur is the emotion,” (1884, p. 189–90, italics and capitalization removed). Note that James’ theory overlaps with the non-cognitive theories insofar as James suggests that when the stimulus is perceived, a bodily response is triggered automatically or reflexively (1884, p. 195–97). The way in which he describes this process is just as central to the non-cognitive theories as it is to his own: “the nervous system of every living thing is but a bundle of predispositions to react in particular ways upon the contact of particular features of the environment. . . . The neural machinery is but a hyphen between determinate arrangements of matter outside the body and determinate impulses to inhibition or discharge within its organs” (1884, p. 190). Hence, according to James, when the appropriate type of stimulus is perceived (that is a bear), this automatically causes a bodily response (trembling, raised heart rate, and so forth), and the individual’s awareness of this bodily response is the fear.

A consequence of this view is that without a bodily response there cannot be an emotion. This is a point that James illustrates with the following thought experiment:

If we fancy some strong emotion, and then try to abstract from our consciousness of it all the feelings of its characteristic bodily symptoms, we find we have nothing left behind, no “mind-stuff” out of which the emotion can be constituted, and that a cold and neutral state of intellectual perception is all that remains (1884, p. 193; notice that Nussbaum articulates the opposite intuition in a quote above).

Jesse Prinz has recently expanded upon James’ theory. For Prinz, as for James, the emotion is the mental state that is caused by the feedback from the body. However, Prinz makes a distinction between what this mental state registers and what it represents. According to Prinz, an emotion registers the bodily response, but it represents simple information concerning what each emotion is about—for example, fear represents danger, sadness represents the loss of something valued, anger represents having been demeaned.

Like James, Prinz suggests that the bodily response is primarily the result of a non-cognitive process. In Prinz’s example in Figure 1, there is no mental evaluation or appraisal that the snake is dangerous, rather the perception of the snake triggers the bodily changes. In this case, Prinz says that the bodily changes that occur in response to perceiving a snake can be explained as an adaptation. Our bodies respond in the way that they do to the perception of a snake because snakes are dangerous, and so danger is what the mental state is representing (2004a, p. 69).

Figure 1

Figure 1. An illustration of Prinz’s somatic feedback theory. In this example, fear is the mental state caused by feedback from the body (that is, the perception of the bodily changes). This mental state registers the bodily changes, but represents meaningful, albeit simple, information. In this example the mental state represents danger. Adapted from Prinz (2004a, p. 69).

The advantage that Prinz’s theory has over James’ is that it incorporates a plausible account of the intentionality of emotions into a somatic feedback theory. In Prinz’s theory, the mental state (the emotion) is caused by bodily activity, but, rather than being about the bodily activity, the emotion is about something else, namely these simple pieces of information that the mental state represents.

The third theorist in this group, Antonio Damasio, is also able to account for the intentionality of the mental state that is caused by feedback from the body. Here, Damasio’s account differs from Prinz’s because Damasio takes it that the emotion process does include cognitive evaluations, at least for most emotions. A word of clarification before proceeding: what James and Prinz call the emotion, Damasio refers to as a feeling.

In Damasio’s theory, a typical case begins with thoughts and evaluations about the stimulus, and this mental activity triggers a bodily response—this process Damasio calls “the emotion.” A mental representation of the bodily activity is then generated in the brain’s somatosensory cortices—this is the feeling according to Damasio (1994, p. 145). This feeling occurs “in juxtaposition” to the thoughts and evaluations about the stimulus that triggered the bodily changes in the first place.

Figure 2

Figure 2. Damasio’s somatic feedback theory. The part of this process that includes (B) and (C) is what Damsio calls the emotion. The mental representation of the activity in the body, (D), Damasio calls the feeling. Since (B) and (D) co-occur, the feeling will be accompanied by the information that triggered the bodily response.

According to Damasio, these feelings are crucial in helping us make decisions and choose our actions (see Damasio’s somatic marker hypothesis, 1994, 1996). As an illustration of this, let us say that Bill’s brother-in-law has just offered to let him in on a risky, but possibly lucrative business venture. Although Bill realizes that there are many aspects of the situation to consider, the thought of losing a lot of money causes a bodily response. The feedback from Bill’s body is then juxtaposed with the thought of being tangled up in a losing venture with his brother-in-law. It is this negative feeling that informs Bill’s choice of behavior, and he declines the offer without ever pondering all of the costs and benefits. Bill could have considered the situation more thoroughly, but acting on this kind of feeling is, according to Damasio, often the way in which actions are chosen.

Another important feature of Damasio’s account (and one that Prinz has adopted) is the idea that there is an as-if loop in the brain—as in ‘as-if the body were active.’ According to Damasio, the mental representations that constitute feelings can occur in the way just described, or the brain areas that evaluate the stimulus (the amygdala and the prefrontal cortices) can directly signal the somatosensory cortices instead of triggering bodily activity. The somatosensory cortices will respond as if the bodily activity was actually occurring. This will generate a feeling more quickly and efficiently, although it may not feel the same as a genuine bodily response (1994, p. 155–56). In any case, the consequence is that there can be a feeling even if the body is not involved. The possibility that there is an as-if loop in the brain allows the somatic feedback theorists to explain how individuals who cannot receive the typical feedback from the body can still have feelings (or in Prinz’s language, emotions), for instance, those individuals who have suffered spinal cord injuries.

5. Conclusion

This article has outlined the basic approaches to explaining the emotions, it has reviewed a number of important theories, and it has discussed many of the features that emotions are believed to have. One tentative conclusion that can now be drawn is that it is unlikely that any single theory will prevail anytime soon, especially since not all of these theories are in direct competition with each other. Some of them are compatible, for instance, an evolutionary theory and a theory that describes the emotion process can easily complement each other; Griffiths’ theory of the affect program emotions demonstrates that these two perspectives can be employed in a single theory. On the other hand, some of the theories are simply inconsistent, like the cognitive and non-cognitive theories, and so the natural expectation is that one of these positions will eventually be eliminated. Many of the theories, however, fall somewhere in between, agreeing about some features of emotion, while disagreeing about others.

The empirical evidence that exists and continues to be collected is one topic that has not been discussed in this article. Being familiar with this research is central to analyzing and critiquing the theories. In the past forty years, a vast amount of data has been collected by cognitive and social psychologists, neuroscientists, anthropologists, and ethologists. This empirical research has made theorizing about the emotions an interesting challenge. A problem that remains for the theorist of emotion is accounting for all of the available empirical evidence.

6. References and Further Reading

a. References

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  • Armon-Jones, C. (1986a). The thesis of constructionism. In R. Harré (Ed.), The social construction of emotions (pp. 32–56). Oxford, UK: Blackwell.
  • Armon-Jones, C. (1986b). The social functions of emotion. In R. Harré (Ed.), The social construction of emotions (pp. 57–82). Oxford, UK: Blackwell.
  • Averill, J. R. (1980). A constructivist view of emotion. In R. Plutchik & H. Kellerman (Eds.), Emotion: Theory, research, and experience (pp. 305–339). New York: Academic Press.
  • Averill, J. R. (1982). Anger and aggression: An essay on emotion. New York: Springer-Verlag.
  • Averill, J. R. (1986). The acquisition of emotions during adulthood. In R. Harré (Ed.), The social construction of emotions (pp. 98–118). Oxford, UK: Blackwell.
  • Averill, J. R. (1993). Illusions of anger. In R. B. Felson & J. T. Tedeschi (Eds.), Aggression and violence: Social interactionist perspectives (pp. 171–192). Washington, DC: American Psychological Association.
  • Boucher, J. D. & Brandt, M. E. (1981). Judgment of emotion: American and Malay antecedents. Journal of Cross-Cultural Psychology, 12, 272–283.
  • Brandon, R. N. (1990). Adaptation and environment. Princeton, N.J: Princeton University Press.
  • Cosmides, L. & Tooby, J. (2000). Evolutionary psychology and the emotions. In M. Lewis & J. M. Haviland-Jones (Eds.), Handbook of emotions (2nd ed., pp. 91–115). New York: Guilford Press.
  • Damasio, A. R. (1994). Descartes’ error: Emotion, reason, and the human brain. New York: G. P. Putnam.
  • Damasio, A. R. (1996). The somatic marker hypothesis and the possible functions of the prefrontal cortex. Philosophical Transactions of the Royal Society of London. Series B, 351, 1413–1420.
  • Damasio, A. R. (2001). Fundamental feelings. Nature, 413, 781.
  • Darwin, C. (2003). On the origin of species by means of natural selection (J. Carroll, Ed.). Peterborough, Ontario: Broadview.
  • Davitz, J. R. (1969). The language of emotion. New York: Academic Press.
  • Ekman, P. (1977). Biological and cultural contributions to body and facial movement. In J. Blacking (Ed.), The anthropology of the body (pp. 39–84). London: Academic Press.
  • Ekman, P. (1992). An argument for basic emotions. Cognition and Emotion, 6, 169–200.
  • Ekman, P. (1999). Facial expressions. In T. Dalgleish & M. J. Power (Eds.), Handbook of cognition and emotion (pp. 301–320). New York: Wiley.
  • Fodor, J. A. (1983). Modularity of mind: An essay on faculty psychology. Cambridge, MA: MIT Press.
  • Griffiths, P. E. (1997). What emotions really are: The problem of psychological categories. Chicago: University of Chicago Press.
  • Griffiths, P. E. (2004). Is emotion a natural kind? In R. C. Solomon (Ed.), Thinking about feeling: Contemporary philosophers on emotions (pp. 233–249). New York: Oxford University Press.
  • Harré, R. (1986). An outline of the social constructionist viewpoint. In R. Harré (Ed.), The social construction of emotions (pp. 2–14). Oxford, UK: Blackwell.
  • Harré, R. (1995). Emotion and memory: The second cognitive revolution. In A. P. Griffiths (Ed.), Philosophy, psychology, and psychiatry (pp. 25–40). New York: Cambridge University Press.
  • Harré, R., & Finlay-Jones, R. (1986). Emotion talk across times. In R. Harré (Ed.), The social construction of emotions (pp. 220–233). Oxford, UK: Blackwell.
  • Hopkins, J., Marcus, M., & Campbell, S. B. (1984). Postpartum depression: A critical review. Psychological Bulletin, 95, 498–515.
    Izard, C. E. (1977). Human emotions. New York: Plenum Press.
    James, W. (1884). What is an emotion? Mind, 9, 188–205.
  • Kalayam, B., Alexopoulos, G. S., Merrell, H. B., & Young, R. C. (1991). Patterns of hearing loss and psychiatric morbidity in elderly patients attending a hearing clinic. International Journal of Geriatric Psychiatry, 6, 131–136.
  • Keltner, D., Haidt, J., & Shiota, M. N. (2006). Social functionalism and the evolution of emotions. In M. Schaller, J. A. Simpson, D. T. Kenrick (Eds.), Evolution and social psychology (pp. 115–142). New York: Psychology Press.
  • Lazarus, R. S. (1991). Emotion and adaptation. New York: Oxford University Press.
  • Levenson, R. W., Ekman, P., & Friesen, W. V. (1990). Voluntary facial action generates emotion-specific autonomic nervous system activity. Psychophysiology, 27, 363–384.
  • Lutz, C. (1988). Unnatural emotions: Everyday sentiments on a Micronesian atoll & their challenge to Western theory. Chicago: University of Chicago Press.
  • Lyons, W. E. (1980). Emotion. New York: Cambridge University Press.
  • Morsbach, H., & Tyler, W. J. (1986). A Japanese emotion: Amae. In R. Harré (Ed.), The social construction of emotions (pp. 289–307). Oxford, UK: Blackwell.
  • Nesse, R. (1990). Evolutionary explanations of emotions. Human Nature, 1, 261–289.
  • Nussbaum, M. (2004). Emotions as judgements of value and importance. In R. C. Solomon (Ed.), Thinking about feeling: Contemporary philosophers on emotions (pp. 183–199). New York: Oxford University Press.
  • Orley, J. H. (1970). Culture and mental illness. Nairobi, Kenya: East Africa.
  • Parkinson, B. (1996). Emotions are social. British Journal of Psychology, 87, 663–683.
  • Parkinson, B. (1997). Untangling the appraisal–emotion connection. Personality & Social Psychology Review, 1, 62–79.
  • Parkinson, B., Fischer, A., & Manstead, A. S. R. (2005). Emotion in social relations: Cultural, group, and interpersonal processes. New York: Psychology Press.
  • Plutchik, R. (1980). Emotion, a psychoevolutionary synthesis. New York: Harper & Row.
  • Plutchik, R. (1984). Emotions: A general psychoevolutionary theory. In K. R. Scherer & P. Ekman (Eds.), Approaches to emotion (pp. 197–219). Hillsdale, NJ: Lawrence Erlbaum.
  • Prinz, J. J. (2004a). Gut reactions: A perceptual theory of emotion. New York: Oxford University Press.
  • Prinz, J. J. (2004b). Embodied emotions. In R. C. Solomon (Ed.), Thinking about feeling: Contemporary philosophers on emotions (pp. 44–58). New York: Oxford University Press.
  • Richards, M., Hardy, R., & Wadsworth, M. (1997). The effects of divorce and separation on mental health in a national UK birth cohort. Psychological Medicine, 27, 1121–1128.
  • Richardson, R. C. (1996). The prospects for an evolutionary psychology: Human language and human reasoning. Minds and Machines, 6, 541–557.
  • Robinson, J. (1995). Startle. The Journal of Philosophy, 92, 53–74.
  • Robinson, J. (2004). Emotion: Biological fact or social construction? In R. C. Solomon (Ed.), Thinking about feeling: Contemporary philosophers on emotions (pp. 28–43). New York: Oxford University Press.
  • Robinson, J. (2005). Deeper than reason: Emotion and its role in literature, music, and art. Oxford, UK: Oxford University Press.
  • Rosaldo, M. Z. (1980). Knowledge and passion: Ilongot notions of self and social life. Cambridge, UK: Cambridge University Press.
  • Rosaldo, R. I. (1984). Grief and a headhunter’s rage: On the cultural forces of emotions. In E. M. Bruner (Ed.), Text, play, and story: The construction and reconstruction of self and society (pp. 178–195). Washington, D.C: American Ethnological Society.
  • Roseman, I. J. (1984). Cognitive determinants of emotions: A structural theory. In P. Shaver (Ed.), Review of Personality and Social Psychology: Vol. 5. Emotions, relationships, and health (pp. 11–36). Beverly Hills, CA: Sage.
  • Roseman, I. J. (2001). A model of appraisal in the emotion system: Integrating theory, research, and applications. In K. R. Scherer, A. Schorr, & T. Johnstone (Eds.), Appraisal processes in emotion: Theory, methods, research (pp. 68–91). New York: Oxford University Press.
  • Roseman, I. J., Antoniou A. A., & Jose P. E. (1996). Appraisal determinants of emotions: Constructing a more accurate and comprehensive theory. Cognition and Emotion, 10, 241–278.
  • Roseman, I. J., & Smith, C. A. (2001). Appraisal theory: Overview, assumptions, varieties, controversies. In K. R. Scherer, A. Schorr, & T. Johnstone (Eds.), Appraisal processes in emotion: Theory, methods, research (pp. 3–19). New York: Oxford University Press.
  • Russell, J. A. (1991). Culture and the categorization of emotions. Psychological Bulletin, 110, 426–450.
  • Scherer, K. R. (1988). Criteria for emotion-antecedent appraisal: A review. In V. Hamilton, G. H. Bower, & N. H. Frijda (Eds.), Cognitive perspectives on emotion and motivation (pp. 89–126). Dordrecht, Netherlands: Klumer.
  • Scherer, K. R. (1993). Studying the emotion-antecedent appraisal process: An expert system approach. Cognition and Emotion , 7, 325–355.
  • Scherer, K. R. (2001). Appraisal considered as a process of multilevel sequential checking. In K. R. Scherer, A. Schorr, & T. Johnstone (Eds.), Appraisal processes in emotion: Theory, methods, research (pp. 92–120). New York: Oxford University Press.
  • Solomon, R. C. (1977). The logic of emotion. Noûs, 11, 41–49.
  • Solomon, R. C. (1993). The passions: Emotions and the meaning of life (2nd ed.). Indianapolis, IN: Hackett.
  • Tooby, J., & Cosmides, L. (1990). The past explains the present: Emotional adaptations and the structure of ancestral environments. Ethology and Sociobiology, 11, 375–424.
  • Wood, B. (1996). Human evolution. BioEssays, 18, 945–954.
  • Wood, B., & Collard, M. (1999). The human genus. Science, 284, 65–71.
  • Zajonc, R. B. (1980). Feeling and thinking: Preferences need no inferences. American Psychologist, 35, 151–175.
  • Zajonc, R. B. (1984). On the primacy of affect. American Psychologist, 39, 117–123.

b. Suggested Reading

  • Lewis, M., Haviland-Jones, J. M., & Barrett, L. F. (Eds.). (2008). Handbook of emotions (3rd ed.). New York: Guilford Press.
  • Scherer, K. R., Schorr, A., & Johnstone, T. (Eds.). (2001). Appraisal processes in emotion: Theory, methods, research. New York: Oxford University Press.
  • Solomon, R. C. (Ed.). (2003). What is an emotion?: Classic and contemporary readings (2nd ed.). New York: Oxford University Press.
  • Solomon, R. C. (Ed.). (2004). Thinking about feeling: Contemporary philosophers on emotions. New York: Oxford University Press.

Author Information

Gregory Johnson
Email: gregory.s.johnson@drexel.edu
Drexel University
U. S. A.

The Paradox of Fiction

How is it that we can be moved by what we know does not exist, namely the situations of people in fictional stories? The so-called “paradox of emotional response to fiction” is an argument for the conclusion that our emotional response to fiction is irrational. The argument contains an inconsistent triad of premises, all of which seem initially plausible. These premises are (1) that in order for us to be moved (to tears, to anger, to horror) by what we come to learn about various people and situations, we must believe that the people and situations in question really exist or existed; (2) that such “existence beliefs” are lacking when we knowingly engage with fictional texts; and (3) that fictional characters and situations do in fact seem capable of moving us at times.

A number of conflicting solutions to this paradox have been proposed by philosophers of art. While some argue that our apparent emotional responses to fiction are only “make-believe” or pretend, others claim that existence beliefs aren’t necessary for having emotional responses (at least to fiction) in the first place. And still others hold that there is nothing especially problematic about our emotional responses to works of fiction, since what these works manage to do (when successful) is create in us the “illusion” that the characters and situations depicted therein actually exist.

Table of Contents

  1. Radford’s Initial Statement of the Paradox
  2. The Pretend Theory
  3. Objections to the Pretend Theory
    1. Disanalogies with Paradigmatic Cases of Make-Believe Games
    2. Problems with Quasi-Emotions
  4. The Thought Theory
  5. Objections to the Thought Theory
  6. The Illusion Theory
  7. References and Further Reading

1. Radford’s Initial Statement of the Paradox

In a much-discussed 1975 article, and in a series of “Replies to my Critics” written over the next two decades, Colin Radford argues that our apparent ability to respond emotionally to fictional characters and events is “irrational, incoherent, and inconsistent” (p. 75). This on the grounds that (1) existence beliefs concerning the objects of our emotions (for example, that the characters in question really exist; that the events in question have really taken place) are necessary for us to be moved by them, and (2) that such beliefs are lacking when we knowingly partake of works of fiction. Taking it pretty much as a given that (3) such works do in fact move us at times, Radford’s conclusion, refreshing in its humility, is that our capacity for emotional response to fiction is as irrational as it is familiar: “our being moved in certain ways by works of art, though very ‘natural’ to us and in that way only too intelligible, involves us in inconsistency and so incoherence” (p. 78).

The need for existence beliefs is supposedly revealed by the following sort of case. If what we at first believed was a true account of something heart-wrenching turned out to be false, a lie, a fiction, etc., and we are later made aware of this fact, then we would no longer feel the way we once did—though we might well feel something else, such as embarrassment for having been taken in to begin with. And so, Radford argues, “It would seem that I can only be moved by someone’s plight if I believe that something terrible has happened to him. If I do not believe that he has not and is not suffering or whatever, I cannot grieve or be moved to tears” (p. 68). Of course, what Radford means to say here is: “I can only be rationally moved by someone’s plight if I believe that something terrible has happened to him. If I do not believe that he has not and is not suffering or whatever, I cannot rationally grieve or be moved to tears.” Such beliefs are absent when we knowingly engage with fictions, a claim Radford supports by presenting and then rejecting a number of objections that might be raised against it.

One of the major objections to his second premise considered by Radford is that, at least while we are engaged in the fiction, we somehow “forget” that what we are reading or watching isn’t real; in other words, that we get sufficiently “caught up” in the novel, movie, etc. so as to temporarily lose our awareness of its fictional status. In response to this objection, Radford offers the following two considerations: first, if we truly forgot that what we are reading or watching isn’t real, then we most likely would not feel any of the various forms of pleasure that frequently accompany other, more “negative” emotions (such as fear, sadness, and pity) in fictional but not real-life cases; and second, the fact that we do not “try to do something, or think that we should” (p. 71) when seeing a sympathetic character being attacked or killed in a film or play, implies our continued awareness of this character’s fictional status even while we are moved by what happens to him. This second consideration—an emphasis on the behavioral disanalogies between our emotional responses to real-life and fictional characters and events—is one that crops up repeatedly in the arguments of philosophers such as Kendall Walton and Noel Carroll, whose positive accounts are nevertheless completely opposed to one another.

Finally, Radford thinks there can be no denying his third premise, that fictional characters themselves are capable of moving us—as opposed to, say, actual (or perhaps merely possible) people in similar situations, who have undergone trials and tribulations very much like those in the story. So his conclusion that our emotional responses to fiction are irrational appears valid and, however unsatisfactory, at the very least non-paradoxical. Summarizing his position in a 1977 follow-up article, with specific reference to the emotion of fear, Radford writes that existence beliefs “[are] a necessary condition of our being unpuzzlingly, rationally, or coherently frightened. I would say that our response to the appearance of the monster is a brute one that is at odds with and overrides our knowledge of what he is, and which in combination with our distancing knowledge that this is only a horror film, leads us to laugh—at the film, and at ourselves for being frightened” (p. 210).

Since the publication of Radford’s original essay, many Anglo-American philosophers of art have been preoccupied with exposing the inadequacies of his position, and with presenting alternative, more “satisfying” solutions. In fact, few issues of The British Journal of Aesthetics, Philosophy, or The Journal of Aesthetics and Art Criticism have come out over the past 25 years which fail to contain at least one piece devoted to the so-called “paradox of emotional response to fiction.” As recently as April 2000, Richard Joyce writes in a journal article that “Radford must weary of defending his thesis that the emotional reactions we have towards fictional characters, events, and states of affairs are irrational. Yet, for all the discussion, the issue has not.been properly settled” (p. 209). It is interesting to note that while virtually all of those writing on this subject credit Radford with initiating the current debate, none of them have adopted his view as their own. At least in part, this must be because what Radford offers is less the solution to a mystery (how is it that we can be moved by what we know does not exist?) than a straightforward acceptance of something mysterious about human nature (our ability to be moved by what we know does not exist is illogical, irrational, even incoherent).

To date, three basic strategies for resolving the paradox in question have turned up again and again in the philosophical literature, each one appearing in a variety of different forms (though it should be noted, other, more idiosyncratic solutions can also be found). It is to these strategies, and some of the powerful criticisms that have been levied against them, that we now briefly turn.

2. The Pretend Theory

Pretend theorists, most notably Kendall Walton, in effect deny premise (3), arguing that it is not literally true that we fear horror film monsters or feel sad for the tragic heroes of Greek drama. As noted above, Walton’s defense of premise (2) also rests on a playing up of the behavioral disanalogies between our responses to real-life versus fictional characters and events. But unlike Radford, who looks at real-life cases of emotional response and the likelihood of their elimination when background conditions change in order to defend premise (1), Walton offers nothing more than an appeal to “common sense”: “It seems a principle of common sense, one which ought not to be abandoned if there is any reasonable alternative, that fear must be accompanied by, or must involve, a belief that one is in danger” (1978, pp. 6-7).

According to Walton, it is only “make-believedly” true that we fear horror film monsters, feel sad for the Greek tragic heroes, etc. He admits that these characters move us in various ways, both physically and psychologically—the similarities to real fear, sadness, etc. are striking—but regardless of what our bodies tell us, or what we might say, think, or believe we are feeling, what we actually experience in such cases are only “quasi-emotions” (e.g., “quasi-fear”). Quasi-emotions differ from true emotions primarily in that they are generated not by existence beliefs (such as the belief that the monster I am watching on screen really exists), but by “second-order” beliefs about what is fictionally the case according to the work in question (such as the belief that the monster I am watching on screen make-believedly exists. As Walton puts it, “Charles believes (he knows) that make-believedly the green slime [on the screen] is bearing down on him and he is in danger of being destroyed by it. His quasi-fear results from this belief” (p. 14). Thus, it is make-believedly the case that we respond emotionally to fictional characters and events due to the fact that our beliefs concerning the fictional properties of those characters and events generates in us the appropriate quasi-emotional states.

What has made the Pretend Theory in its various forms attractive to many philosophers is its apparent ability to handle a number of additional puzzles relating to audience engagement with fictions. Such puzzles include the following:

  • Why a reader or viewer of fictions who does not like happy endings can get so caught up in a particular story that, for example, he wants the heroine to be rescued despite his usual distaste for such a plot convention. Following Walton, there is no need to hypothesize conflicting desires on the part of the reader here, since “It is merely make-believe that the spectator sympathizes with the heroine and wants her to escape. .[H]e (really) wants it to be make-believe that she suffers a cruel end” (p. 25).
  • How fictional works—especially suspense stories—can withstand multiple readings or viewings without becoming less effective. According to Walton, this is possible because, on subsequent readings/viewings, we are simply playing a new game of pretend—albeit one with the same “props” as before: “The child hearing Jack and the Beanstalk knows that make-believedly Jack will escape, but make-believedly she does not know that he will. It is her make-believe uncertainty.not any actual uncertainty, that is responsible for the excitement and suspense that she feels” (p. 26).

3. Objections to the Pretend Theory

Despite its novelty, as well as Walton’s heroic attempts at defending it, the Pretend Theory continues to come under attack from numerous quarters. Many of these attacks can be organized under the following two general headings:

a. Disanalogies with Paradigmatic Cases of Make-Believe Games

Walton introduces and supports his theory with reference to the familiar games of make-believe played by young children—games in which globs of mud are taken to be pies, for example, or games in which a father, pretending to be a vicious monster, will stalk his child and lunge at him at the crucial moment: “The child flees, screaming, to the next room. But he unhesitatingly comes back for more. He is perfectly aware that his father is only ‘playing,’ that the whole thing is ‘just a game,’ and that only make-believedly is there a vicious monster after him. He is not really afraid” (1978, p. 13). Such games rely on what Walton calls “constituent principles” (e.g., that whenever there is a glob of mud in a certain orange crate, it is make-believedly true that there is a pie in the oven) which are accepted or understood to be operating. However, these principles need not be explicit, deliberate, or even public: “one might set up one’s own personal game, adopting principles that no one else recognizes. And at least some of the principles constituting a personal game of make-believe may be implicit” (p. 12). According to Walton, just as a child will experience quasi-fear as a result of believing that make-believedly a vicious monster is coming to get him, moviegoers watching a disgusting green slime make its way towards the camera will experience quasi-fear as a result of believing that, make-believedly, they are being threatened by a fearsome creature. In both cases, it is this quasi-fear which makes it the case that the respective game players are make-believedly (not really) afraid.

To the extent that one is able to identify significant disanalogies with familiar games of make-believe, then, Walton’s theory looks to be in trouble. One such disanalogy concerns our relative lack of choice when it comes to (quasi-)emotional responses to fiction films and novels. Readers and viewers of such fictions, the argument goes, don’t seem to have anything close to the ability of make-believe game-playing children to control their emotional responses. On the one hand, we can’t just turn such responses off—refuse to play and prevent ourselves from being affected—like kids can. As Noel Carroll writes in his book, The Philosophy of Horror, “if it [the fear produced by horror films] were a pretend emotion, one would think that it could be engaged at will. I could elect to remain unmoved by The Exorcist; I could refuse to make believe I was horrified. But I don’t think that that was really an option for those, like myself, who were overwhelmedly struck by it” (1990, p. 74).

On the other hand, Carroll also points out that as consumers of fiction we aren’t able to just turn our emotional responses on, either: “if the response were really a matter of whether we opt to play the game, one would think that we could work ourselves into a make-believe dither voluntarily. But there are examples [of fictional works] which are pretty inept, and which do not seem to be recuperable by making believe that we are horrified. The monsters just aren’t particularly horrifying, though they were intended to be” (p. 74). Carroll cites such forgettable pictures as The Brain from Planet Arous and Attack of the Fifty Foot Woman as evidence of his claim that some fictional texts simply fail to generate their intended emotional response.

Another proposed disanalogy between familiar examples of make-believe game-playing and our emotional engagement with fictions focuses on the phenomenology of the two cases. The objection here is that, assuming the accuracy of Walton’s account when it comes to children playing make-believe, it is simply not true to ordinary experience that consumers of fictions are in similar emotional states when watching movies, reading books, and the like. David Novitz, for one, notes that “many theatre-goers and readers believe that they are actually upset, excited, amused, afraid, and even sexually aroused by the exploits of fictional characters. It seems altogether inappropriate in such cases to maintain that our theatre-goers merely make-believe that they are in these emotional states” (1987, p. 241). Glenn Hartz makes a similar point, in stronger language:

My teenage daughter convinces me to accompany her to a “tear-jerker” movie with a fictional script. I try to keep an open mind, but find it wholly lacking in artistry. I can’t wait for it to end. Still, tears come welling up at the tragic climax, and, cursing, I brush them aside and hide in my hood on the way to the car. Phenomenologically, this description is perfectly apt. But it is completely inconsistent with the Make-Believe Theory, which says emotional flow is always causally dependent on make-believe. [H]ow can someone who forswears any imaginative involvement in a series of fictional events.respond to them with tears of sadness? (1999, p. 572)Carroll too argues that “Walton’s theory appears to throw out the phenomenology of the state [here ‘art-horror’] for the sake of logic” (1990, p. 74), on the grounds that, as opposed to children playing make-believe, when responding to works of fiction we do not seem to be aware at all of playing any such games.

Of course, Walton’s position is that the only thing required here is the acceptance or recognition of a constituent principle underlying the game in question, and this acceptance may well be tacit rather than conscious. But Carroll thinks that it “strains credulity” to suppose that not only are we unaware of some of the rules of the game, but that “we are completely unaware of playing a game. Surely a game of make-believe requires the intention to pretend. But on the face of it, consumers of horror do not appear to have such an intention” (pp. 74-75). Although he disagrees with Walton’s Pretend Theory on other grounds, Alex Neill offers a powerful reply to objections which cite phenomenological disanalogies. In his words, what philosophers such as Novitz, Hartz, and Carroll miss “is that the fact that Charles is genuinely moved by the horror movie.is precisely what motivates Walton’s account”:

By labeling this kind of state ‘quasi-fear,’ Walton is not suggesting that it consists of feigned or pretended, rather than actual, feelings and sensations. .Rather, Walton label’s Charles’s physiological/psychological state ‘quasi-fear’ to mark the fact that what his feelings and sensations are feelings and sensations of is precisely what is at issue. .On his view, we can actually be moved by works of fiction, but it is make-believe that we are moved to is fear. (1991, pp. 49-50)Suffice to say, the question whether objections to Walton’s Pretend Theory on the grounds of phenomenological difference are valid or not continues to be discussed and debated.

b. Problems with Quasi-Emotions

In arguing that Walton’s quasi-emotions are unnecessary theoretical entities, some philosophers have pointed to cases of involuntary reaction to visual stimuli—the so-called “startle effect” in film studies terminology—where the felt anxiety, repulsion, or disgust is clearly not make-believe, since these reactions do not depend at all on beliefs in the existence of what we are seeing. Simo Säätelä for example, argues that “fear is easy to confuse with being shocked, startled, anxious, etc. Here the existence or non-existence of the object can hardly be important. When we consider fear [in fictional contexts] this often seems to be a plausible analysis—it is simply a question of a mistaken identification of sensations and feelings. Thus no technical redescription in terms of make-believe is needed” (1994, p. 29). One problem with turning this objection into a full-blown theory of emotional response to fiction in its own right, as both S„„tel„ and Neill have suggested doing, is that there seem to be at least some cases of fearing fictions where the startle effect is not involved. Another problem is that it is not at all clear what equivalents to the startle effect are available in the case of emotions such as, say, pity and regret.

A similar objection to Walton’s quasi-emotional states has been put forward by Glenn Hartz. He argues not that our responses to fiction are independent of belief, to be understood on the model of the startle effect, but that they are pre-conscious: that real (as opposed to pretend) beliefs which are not consciously entertained are automatically generated by certain visual stimuli. These beliefs are inconsistent with what the spectator—fully aware of where he is and what he is doing—explicitly avows. As Hartz puts it, “how could anything as cerebral and out-of-the-loop as ‘make believe’ make adrenaline and cortisol flow?” (1999, p. 563).

4. The Thought Theory

Thought theories boldly deny premise (1), the old and established thesis, traceable as far back as Aristotle and central to the so-called “Cognitive Theory of emotions,” (see Theories of Emotion) that existence beliefs are a necessary condition of (at the very least rational) emotional response. At the heart of the Thought Theory lies the view that, although our emotional responses to actual characters and events may require beliefs in their existence, there is no good reason to hold up this particular type of emotional response as the model for understanding emotional response in general. What makes emotional response to fiction different from emotional response to real world characters and events is that, rather than having to believe in the actual existence of the entity or event in question, all we need do is “mentally represent” (Peter Lamarque), “entertain in thought” (Noel Carroll), or “imaginatively propose” (Murray Smith) it to ourselves. By highlighting our apparent capacity to respond emotionally to fiction—by treating this as a central case of emotional response in general—the thought theorist believes he has produced hard evidence in support of the claim that premise (1) stands in need of modification, perhaps even elimination.

Even before the first explicit statement of the Thought Theory in a 1981 article by Lamarque, a number of philosophers rejected existence beliefs as a requirement for emotional response to fictions. Instead, they argued that the only type of beliefs necessary when engaging with fictions are “evaluative” beliefs about the characters and events depicted; beliefs, for example, about whether the characters and events in question have characteristics which render them funny, frightening, pitiable, etc. Eva Schaper, for example, in an article published three years before Lamarque’s, writes that:

We need a distinction.between the kind of beliefs which are entailed by my knowing that I am dealing with fiction, and the kind of beliefs which are relevant to my being moved by what goes on in fiction. .[B]eliefs about characters and events in fiction.are alone involved in our emotional response to what goes on. (1978, p. 39, 44)

More recently, but again without reference to the Thought Theory, R.T. Allen argues that, “A novel.is not a presentation of facts. But true statements can be made about what happens in it and beliefs directed towards those events can be true or false. .Once we realize that truth is not confined to the factual, the problem disappears” (1986, p. 66).

Although the two are closely related, strictly-speaking this version of the Thought Theory should not be confused with what is often referred to as the “Counterpart Theory” of emotional response to fiction. As Gregory Currie explains, according to this latter theory, “we experience genuine emotions when we encounter fiction, but their relation to the story is causal rather than intentional; the story provokes thoughts about real people and situations, and these are the intentional objects of our emotions” (1990, p. 188). Walton himself provides an early statement of the Counterpart Theory: “If Charles is a child, the movie may make him wonder whether there might not be real slimes or other exotic horrors like the one depicted in the movie, even if he fully realizes that the movie-slime itself is not real. Charles may well fear these suspected dangers; he might have nightmares about them for days afterwards” (1978, p. 10). Some variations of this theory go so far as make their claims with reference to possible as opposed to real people and situations. Regardless, it is important to note that Counterpart theories have at least as much in common with Pretend theories as with Thought theories, since, like the former, they seem to require a modification of Radford’s third premise (it is not the fictional works themselves that move us, but their real or possible counterparts).

5. Objections to the Thought Theory

Somewhat surprisingly, the Thought Theory has generated relatively little critical discussion, a fact in virtue of which it can be said to occupy a privileged position today. In a 1982 article, however, Radford himself attacks it on the following grounds:

Lamarque claims that I am frightened by ‘the thought’ of the green slime. That is the ‘real object’ of my fear. But if it is the moving picture of the slime which frightens me (for myself), then my fear is irrational, etc., for I know that what frightens me cannot harm me. So the fact that we are frightened by fictional thoughts does not solve the problem but forms part of it. (pp. 261-62]

More recently, film-philosopher Malcolm Turvey criticizes the Thought Theory on the grounds that it appears to ignore the concrete nature of the moving image, instead hypothesizing a “mental entity as the primary causal agent of the spectator’s emotional response” (1997, p. 433). According to Turvey, because we can and frequently do respond to the concrete presentation of cinematic images in a manner that is indifferent to their actual existence in the world, and because there is nothing especially mysterious about this fact, no theory at all is needed to solve the problem of emotional response to fiction film.

Even if it is correct with respect to the medium of film, however, what we might call Turvey’s “concreteness consideration” does not stand up as a critique of the Thought Theory generally. In the case of literature, for example, the reader obviously does not respond emotionally to the words as they appear on the printed page, but rather to the mental images these words serve to conjure in his mind.

It is also debatable whether the Thought Theory cannot be revised so as to incorporate the concreteness consideration, by simply redefining the psychological attitude referred to by Carroll as “entertaining” in either neutral or negative terms. In order for us to be moved by a work of fiction, the revised theory would go, all we need do is adopt a nonassertive—though still evaluative—psychological attitude towards the images which appear before us on screen (while watching a film) or in our minds (when thinking about them later, or perhaps while reading about them in a book). Turvey himself makes a move in this direction when he writes that “the spectator’s capacity to ‘entertain’ a cinematic representation of a fictional referent does not require the postulation of an intermediate, mental entity such as a ‘thought’ or ‘imagination’ in order to be understood” (1997, p. 456).

Arguing on behalf of the Thought Theory, Murray Smith invites us to “imagine gripping the blade of a sharp knife and then having it pulled from your grip, slicing through the flesh of your hand. If you shuddered in reaction to the idea, you didn’t do so because you believed that your hand was being cut by a knife” (1995, p. 116). In part due to its intuitive plausibility, in part due to its ability to explain away certain behavioral disanalogies with real-life cases of emotional response (for example: although he frightens us, the reason we don’t run out of the theater when watching the masked killer head towards us on the movie screen is because we never stop believing for a moment that what we are watching is only a representation of someone who doesn’t really exist), few philosophers have sought to meet the challenge posed by the Thought Theory head on.

Perhaps the biggest problem for the Thought Theory lies in its difficulty justifying its own presuppositions. In his original article, Radford asks the following questions in order to highlight the mysterious nature of our emotional responses to fiction: “We are saddened, but how can we be? What are we sad about? How can we feel genuinely and involuntarily sad, and weep, as we do knowing as we do that no one has suffered or died?” (1977, p. 77). These are questions the Thought theorist will have a tough time answering to the satisfaction of anyone not already inclined to agree with him. That is to say, where the Thought theorist seems to run into trouble is in explaining just why it is the mere entertaining in thought of a fictional character or event is able to generate emotional responses in audiences.

6. The Illusion Theory

Illusion theorists, of whom there seem to be fewer and fewer these days, deny Radford’s second premise. They suggest a mechanism—whether it be some loose concept of “weak” or “partial” belief, Samuel Taylor Coleridge’s famous “willing suspension of disbelief,” Freud’s notion of “disavowal” as adapted by psychoanalytic film theorists such as Christian Metz, or something else entirely—whereby existence beliefs are generated in the course of our engagement with works of fiction.

In Section 1, we came across one of the most powerful objections to have been levied against the Illusion Theory to date: the obvious behavioral disanalogies between our emotional responses to real-life versus fictional characters and events. Even when the existence beliefs posited by the Illusion theorist are of the weak or partial variety, Walton argues that

Charles has no doubts about the whether he is in the presence of an actual slime. If he half believed, and were half afraid, we would expect him to have some inclination to act on his fear in the normal ways. Even a hesitant belief, a mere suspicion, that the slime is real would induce any normal person seriously to consider calling the police and warning his family. Charles gives no thought whatever to such courses of action. (1978, p. 7)The force of this and related objections has led to a state of affairs in which Gregory Currie, in a lengthy essay on the paradox of emotional response to fiction, can devote all of two sentences to his dismissal of the Illusion Theory:

Hardly anyone ever literally believes the content of a fiction when he knows it to be a fiction; if it happens at moments of forgetfulness or intense realism in the story (which I doubt), such moments are too brief to underwrite our often sustained responses to fictional events and characters. Henceforth, I shall assume the truth of [Radford’s second premise] and consider the [other] possibilities. (1990, pp. 188-89)Notice, however, that a tremendous amount of weight seems to be placed here on the word “literally.” Is it really true to the facts that when normal people—not philosophers or film theorists!—talk about the “believability” of certain books they have read and movies they have seen, the notions of belief and believable-ness they have in mind are metaphorical, or else simply confused or mistaken? And that everyday talk of being “absorbed by” fictions, “engaged in” them, “lost” in them, etc. can be explained away solely in terms of such non-belief dependent features of the fictions in question as their “vividness” and “immediacy”?

It certainly isn’t clear whether the Illusion Theory in any form can be salvaged as a possible solution to the paradox of emotional response to fiction. It isn’t even clear whether what we have here really qualifies as a “paradox” at all. As Richard Moran (1994) argues, with reference to what he takes to be non-problematic cases of emotional response to modal facts (things that might have happened to us but didn’t) and historical facts (things that happened to us in the past): “our paradigms of ordinary emotions exhibit a great deal of variety., and.the case of fictional emotions gains a misleading appearance of paradox from an inadequate survey of examples”(p. 79). What is clear, however, is that the various debates surrounding the topic of emotional response to fiction continue to rage in the philosophical literature.

7. References and Further Reading

  • Allen, R.T. (1986) “The Reality of Responses to Fiction.” British Journal of Aesthetics 26.1, pp. 64-68.
  • Carroll, N. (1990) The Philosophy of Horror; or, Paradoxes of the Heart. New York, Routledge.
  • Currie, G. (1990) The Nature of Fiction. Cambridge, Cambridge University Press.
  • Hartz, G. (1999) “How We Can Be Moved by Anna Karenina, Green Slime, and a Red Pony.” Philosophy 74, pp. 557-78.
  • Joyce, R. (2000) “Rational Fear of Monsters.” British Journal of Aesthetics 40.2, pp. 209-224.
  • Lamarque, P. (1981) “How Can We Fear and Pity Fictions?” British Journal of Aesthetics 21.4, pp. 291-304.
  • Moran, R. (1994) “The Expression of Feeling in Imagination.” Philosophical Review 103.1, pp. 75-106.
  • Neill, A. (1991) “Fear, Fiction and Make-Believe.” Journal of Aesthetics and Art Criticism 49.1, pp. 47-56.
  • Novitz, D. (1987) Knowledge, Fiction and Imagination. Philadelphia, Temple University Press.
  • Radford, C. (1975) “How Can We Be Moved by the Fate of Anna Karenina?” Proceedings of the Aristotelian Society, Supplemental Vol. 49, pp. 67-80.
  • Radford, C. (1977) “Tears and Fiction.” Philosophy 52, pp. 208-213.
  • Säätelä, S. (1994) “Fiction, Make-Believe and Quasi Emotions.” British Journal of Aesthetics 34, pp. 25-34.
  • Schaper, E. (1978) “Fiction and the Suspension of Disbelief.” British Journal of Aesthetics 18, pp. 31-44.
  • Smith, M. (1995) “Film Spectatorship and the Institution of Fiction.” Journal of Aesthetics and Art Criticism 53.2, pp. 113-27.
  • Turvey, M. (1997) “Seeing Theory: On Perception and Emotional Response in Current Film Theory.” Film Theory and Philosophy, R. Allen and M. Smith (Eds.). Oxford, Oxford University Press, pp. 431-57.
  • Walton, K. (1978) “Fearing Fictions.” Journal of Philosophy 75.1, pp. 5-27.

Author Information

Steven Schneider
Email: sjs@inbox.com
Harvard University
U. S. A.

Cheng Hao (Cheng Mingdao, 1032—1085)

Cheng_HaoCheng Hao, also known as Cheng Mingdao, was a pioneer of the neo-Confucian movement in the Song and Ming dynasties, which is often regarded as the second epoch of the development of Confucianism, with pre-Qin classical Confucianism as the first, and contemporary Confucianism as the third. If neo-Confucianism is to be understood as the learning of li (conventionally translated as “principle”), then Cheng Hao and his younger brother Cheng Yi can be regarded as the true founders of neo-Confucianism, as with them li came to be regarded as the ultimate reality of the universe for the first time in Chinese history . Cheng Hao’s unique understanding of the ultimate reality is that it is not some entity but rather is the “life-giving activity.” This understanding strikes a similar tone to Martin Heidegger’s Being of beings which was created almost a millennium later. Assuming the identity of li and human nature, Cheng Hao argues that human nature is good, since what is essential to human nature is humanity (ren), also the cardinal virtue in Confucianism, and this is nothing but this life-giving activity. A person of ren is the one who is in one body with “ten thousand things” and therefore can feel their pains and itches just as one can feel them in one’s own body. This is an idea central to the whole idealist school (xinxue, learning of heart-mind) of the neo-Confucian movement, a movement culminating in Wang Yangming.

Table of Contents

  1. Life and Works
  2. Principle
  3. Goodness of Human Nature
  4. Origin of Evil
  5. Moral Cultivation
  6. Influence
  7. References and Further Reading

1. Life and Works

Cheng Hao was born in Huangpi of the present Hubei Province in Mingdao Year 1 of Emperor Ren of the Song dynasty (1032) and so is also called Mr. Mingdao. He and his younger brother Cheng Yi (1033-1107) are often referred to as “the two Chengs” by later Confucians. Growing up, the brothers moved quite often as their father, Cheng Xiang, was appointed as a local official in various places. In 1046, his father became acquainted with Zhou Dunyi (1016-1073), one of the so-called “five Confucian masters” of the Northern Song. He sent Cheng Hao and Cheng Yi – who themselves turned out to be the other two of the five masters – to study with Zhou for about a year. In 1057, after passing the civil service examination, Cheng Hao followed in his father’s footsteps and started his own career as a local official, culminating in his initial participation in (1069) and eventual withdrawal from (1070) the reform movement led by Wang Anshi (1021-1086). Cheng Hao returned to Luoyang after 1072 and continued to assume a few minor official positions, but he spent most of his time studying and teaching Confucian classics together with his brother. During this period, the brothers also had frequent discussions with the final two of the five masters, Shao Yong (1011-1077) and Zhang Zai (1020-1077). The former was their neighbor in Luoyang, and the latter was their uncle.

Cheng Hao’s philosophical ideas are largely developed in conversations with his students, many of whom recorded his sayings. In 1168, Zhu Xi (1130-1200) edited some of these recorded sayings in Chengs’ Surviving Sayings (Yishu) in 25 volumes, in which 4 volumes are attributed to Cheng Hao and 11 volumes to Cheng Yi. The first 10 volumes are sayings by the two masters, where in most cases it is not clearly indicated which saying belongs to which brother. In 1173, Zhu Xi edited Chengs’ Additional Sayings (Waishu) in 12 volumes, including those recorded sayings circulated among scholars and not included in Yishu (in most cases, it is not indicated which saying belongs to which Cheng). As Zhu Xi himself acknowledged that the authenticity of sayings in this second collection is mixed, it should be used with caution. Before Zhu Xi edited these two works, Yang Shi (1053-1135), one of the common students of the two Chengs, rewrote some of these sayings in a literary form in The Purified Words of the Two Chengs (Cuiyan). However, it mostly represents Cheng Yi’s views. Cheng Hao’s own writings, mostly official documents, letters, and poetry, are collected in the first four volumes of Chengs’ Collected Writings (Wenji). In addition, Cheng Hao wrote a correction of the Great Learning, which is included in Chengs’ Commentary on Classics (Jingshuo). All of these are now conveniently collected in the two volume edition of Works of the Two Chengs (Er Cheng Ji) by Zhonghua Shuju, Beijing (1981).

2. Principle

What is called neo-Confucianism in Western scholarship is most frequently called lixue, or the learning of li (commonly translated as “principle”), in Chinese scholarship. Lixue refers to neo-Confucianism in the Song and Ming (and sometimes Qing) dynasties. However, although “neo-Confucianism” was originally used to translate lixue, it is now sometimes understood more broadly than lixue to include Confucianism in the Tang Dynasty which preceded it. Cheng Hao and his younger brother Cheng Yi can be properly regarded as the founders of neo-Confucianism as the learning of principle. Although Shao Yong, Zhou Dunyi, and Zhang Zai are often also treated as neo-Confucians in this sense, it is in Cheng Hao and Cheng Yi that li first becomes the central concept in a philosophical system. Cheng Hao makes a famous claim that “although I have learned much from others, the two words tian li are what I grasped myself” (Waishu 12; 425). Tian is commonly translated as “heaven,” although it can also mean “sky” or “nature.” By combining these two words, however, Cheng Hao does not mean to emphasize that it is a principle of heaven or a heavenly principle but simply that heaven, the term traditionally used to refer to the ultimate reality, is nothing but principle (see Yishu 11; 132), and so tian li simply means “heaven-principle.” As a matter of fact, not only tian, but many other terms such as “change” (yi), dao, shen (literally “god,” but Cheng Hao focuses on its meaning of “being wonderful and unfathomable” ), “human nature” (xing), and “lord” (di) are all seen as identical to principle. For example, Cheng Hao claims that “what the heaven embodies does not have sound or smell. In terms of the reality, it is change; in terms of principle, it is dao; in terms of its function, it is god; in terms of its destiny in a human being, it is human nature” (Yishu 1; 4). “Tian is nothing but principle. We call it god to emphasize the wonderful mystery of principle in ten thousand things, just as we call it lord (di) to characterize its being the ruler of events ” (Yishu 11; 132). He even identifies it with heart-mind (xin) (Yishu 5; 76) and propriety (li). Because Cheng Hao thinks that all these terms have the same referent as principle, his philosophy is often regarded an ontological monism.

From this it becomes clear in what sense Cheng Hao claims that he grasps the meaning of tian li on his own. After all he must be aware that not only the two words separately, tian and li, but even the two words combined into one phrase, tian li, had appeared in Confucian texts before him. So what he means is that principle is understood here as the ultimate reality of the universe that has been referred to as heaven, god, lord, dao, nature, heart-mind, and change among others. In other words, with Cheng Hao “principle” acquires an ontological meaning for the first time in the Confucian tradition. Thus Cheng Hao claims that “there is only one principle under heaven, and so it is efficacious throughout the world. It has not changed since the time of three kings and remains the same between heaven and earth” (Yishu 2a; 39). In contrast, everything in the world exists because of principle. Thus Cheng Hao claims that “ten thousand things all have principle, and it is easy to follow it but difficult to go against it” (Yishu 11; 123). In other words, things prosper when principle is followed and disintegrate when it is violated. One of the most unique ideas of Cheng Hao is that ten thousand things form one body, and he tells us that “the reason that ten thousand things can be in one body is that they all have principle” (Yishu 2a; 33).

While principle is the ontological foundation of ten thousand things, Cheng Hao emphasizes that, unlike Plato’s form, it is not temporally prior to or spatially outside of ten thousand things. This can be seen from his discussion of two related pairs of ideas. The first pair is dao and concrete things (qi). After quoting from the Book of Change that “what is metaphysical (xing er shang) is called dao, while what is physical (xing er xia) is called concrete thing” (Yishu 11; 119), Cheng Hao immediately adds that “outside dao there are no things and outside things there is no dao” (Yishu 4; 73). In other words, what is metaphysical is not independent of the physical; the former is right within the latter. The second pair is principle (dao, human nature, god) and vital force (qi). In Cheng Hao’s view, “everything that is tangible is vital force, and only dao is intangible” (Yishu 6; 83). However, he emphasizes that “human nature is inseparable from vital force, and vital force is inseparable from human nature” (Yishu 1; 10), and that “there is no god (shen) outside vital force, and there is no vital force outside god” (Yishu 1; 10).

What does Cheng Hao precisely mean by principle, which is intangible and does not have sound or smell? Although translated here as “principle” according to convention, li for Cheng Hao is not a reified entity as the common essence shared by all things or universal law governing these things or inherent principle followed by these things or patterns exhibited by these things. Li as used by Cheng is a verb referring to activity, not a noun referring to thing. For example, he says that “the cold in the winter and the hot in the summer are [vital forces] yin and yang; yet the movement and change [of vital forces] is god” (Yihsu 11; 121). Since god for Cheng means the same as li, li is here understood as the movement and change of vital forces and things constituted by vital forces. Since things and li are inseparable, as li is understood as movement and change, all things are things that move and change, while movement and change are always movement and change of things. Things are tangible, have smell, and make sound, but their movement and change is intangible and does not have sound or smell. We can never perceive things’ activities, although we can perceive things that act. For example we can perceive a moving car, but we cannot perceive the car’s moving. In Cheng Hao’s view, principle as activity is present not only in natural things but also in human affairs. Thus, illustrating what he means by “nowhere between heaven and earth there is no dao” (Yishu 4; 73), Cheng points out that “in the relation of father and son, to be father and son lies in affection; in the relation of king and minister, to be king and minister lies in seriousness (reverence). From these to being husband and wife, being elder and younger brothers, being friends, there is no activity that is no dao. That is why we cannot be separated from dao even for a second” (Yishu 4; 73-74). Cheng makes it clear that the principle that governs these human relations is such activity as affection and reverence.

However, in what sense can li as activity be regarded as the ontological foundation of things, as activity is not self-existent and has to belong to something? For Cheng Hao, li is a special kind of activity. To explain this, Cheng Hao appeals to the idea of the unceasing life-giving activity (sheng sheng) from the Book of Change. Commenting on the statement that “The unceasing life-giving activity is called change” in the Book of Change, Cheng Hao argues that “it is right in this life-giving activity that li is complete” (Yishu 2a; 33). So li is the kind of activity that gives life. It is indeed in this sense of life-giving activity that Cheng Hao regards dao and tian as identical to li, as he claims that “because of this [the unceasing life-giving activity] tian can be dao. Tian is dao only because it is the life-giving activity” (Yishu 2a; 29). Thus, although life-giving activity is always the life-giving activity of ten thousand things, ten thousand things cannot come into being without the life-giving activity. It is in this sense that the life-giving activity of ten thousand things becomes ontologically prior to ten thousand things that have the life-giving activity. This is quite similar to Martin Heidegger’s ontology of Being: while Being is always the Being of beings, beings are being because of their Being.

3. Goodness of Human Nature

Since for Cheng Hao, human nature (xing) is nothing but principle destined in human beings, and since principle is nothing but life-giving activity (sheng), this life-giving activity is also human nature. It is in this sense that he speaks approvingly of Gaozi’s sheng zhi wei xing, a view criticized in the Mencius. By sheng zhi wei xing, Gaozi means that “what one is born with is nature.” Mencius criticizes this view and argues that human nature is what distinguishes human beings from non-human beings, which according to him is the beginning of four cardinal Confucian virtues: humanity (ren), rightness (yi), propriety (li), and wisdom (zhi). When Cheng Hao claims that what Gaozi says is indeed correct, however, he does not mean to disagree with Mencius. On the contrary, he endorses Mencius’ view in the same passage where he approves Gaozi’s view. This is because Cheng Hao has a very different understanding of sheng in sheng zhi wei xing than Gaozi does. For Gaozi, sheng means what one is born with, while for Cheng Hao it is the life-giving activity, which is the ultimate reality of the universe. So for Gaozi the phrase says that what humans are born with is human nature, but for Cheng Hao it means that the life-giving activity is human nature. This is most clear because Cheng Hao quotes this saying of Gaozi together with the statement from the Book of Change that “the greatest virtue of heaven and earth is the life-giving activity” and then explains this statement in his own words: “the most spectacular aspect of things is their atmosphere of life-giving activity” (Yishu 11; 120).

To understand human nature as the life-giving activity, it is important to see the actual content of human nature for Cheng Hao: “These five, humanity, rightness, propriety, wisdom, and faithfulness, are human nature. Humanity is like the complete body and the other four are like the four limbs” (Yishu 2a; 14). So his view of human nature is basically the same as Mencius, except he adds the fifth component, faithfulness. Since these five components of human nature are also five cardinal Confucian virtues, Cheng Hao talks about “virtuous human nature” (dexing) and “virtue of human nature” (xing zhi de): “ ‘virtuous nature’ indicates the worthiness of nature and so means the same thing as goodness of human nature. ‘Virtues of human nature’ refers to what human nature possesses” (Yishu 11; 125). To illustrate the goodness of human nature, Cheng Hao highlights the importance of humanity (ren), regarding it as the complete human nature that includes the other four components, because “rightness, propriety, wisdom, and faithfulness are all humanity” (2a; 16-17). For Cheng, humanity is precisely the life-giving activity. In the same passage in which he affirms Gaozi’s saying, after stating that “the atmosphere of life-giving activity is most spectacular,” Cheng Hao further makes it clear that it is humanity that continues the life-giving activity: “ ‘what is great and originating becomes (in humans) the first and chief (quality of goodness).’ This quality is known as humanity” (Yishu 11; 120). Thus, for Cheng Hao, humanity is not merely a human virtue. It is actually no different from the life-giving activity. Just like heaven, dao, god, and lord, it is indistinguishable from principle (li) as the ultimate reality.

Understood as life-giving activity, it becomes clear why human nature, which can be illustrated by humanity (as it includes other components of human nature) is good. In Cheng Hao’s view, this sense of life-giving activity that humanity (ren) has is best explained by doctors when they refer to a person who is numb as lacking ren: “doctors regard a person as not-ren when the person cannot feel pain and itch; we regard a person as lacking humanity when the person does not know, is not conscious of, and cannot recognize rightness and principle. This is the best analogy” (Yishu 2a; 33). A person whose hands and feet are numb cannot even feel the pain of oneself, to say nothing of that of others. In contrast, “a person of humanity will be in one body with ten thousand things” (2a; 15). This means that a person of humanity, a person who is not numb (lacking ren) is sensitive to the pain of other beings, not only human beings but also non-human beings, in the same way that one is sensitive to one’s own pain.

A difficulty in understanding Cheng Hao’s view of human nature is that he sometimes seems to think that not only good but also evil can be attributed to human nature and principle. About the former, he states that, “while goodness indeed belongs to human nature, it cannot be said that evil does not belong to human nature” (Yishu 1; 10). About the latter, he says that “it is tian li that there are both good and evil in the world” (Yishu 2a; 14) and “that some things are good and some things are evil” (2b; 17). In both cases, however, Cheng Hao does not mean that evil belongs to human nature or principle in the same way as good belongs to human nature, and so what he says in these passages is not inconsistent with his view of human nature as good. As for evil belonging to human nature, Cheng Hao uses the analogy of water. Just as we cannot say muddy water is not water, so we cannot say the distorted human nature is not human nature. Here Cheng Hao makes it clear that water is originally clear, and human nature is originally good. That is why in the same passage in which he says that evil cannot be said not to belong to human nature, he emphasizes that Mencius is right in insisting that human nature is good. So goodness inherently belongs to human nature, while evil is only externally attached to and therefore can be detached from human nature, just as clearness inherently belongs to water, while mud is only externally mixed in and therefore can be eliminated from water (Yishu 1; 10-11). In the two passages in which Cheng Hao states that it is li or tian li that there are both good and evil people, Cheng does not mean that heaven or principle as life-giving activity is both good and evil. In such contexts, Cheng Hao means something different by li and tian li. It does not mean heaven or principle but means something similar to what Descartes sometimes called “natural light.” What he says in these passages is then that it is natural or naturally understandable (tian li) that there are good people and there are bad people. The question then is why it is natural or naturally understandable to have both good people and evil people when human nature is purely good.

4. Origin of Evil

Cheng Hao holds the view that human nature is good and yet thinks it natural that there are both good people and evil people. To explain this, like many other neo-Confucians, Cheng Hao appeals to the distinction between principle and vital force (qi). While the ideas of both principle (li) (to which human nature is identical) and vital force (qi), appeared in earlier Confucian texts, it is in neo-Confucianism that these two become an important pair. In Cheng Hao’s view, “it is not complete to talk about human nature without talking about qi, while it is not illuminating to talk about qi without talking about human nature” (Yishu 6; 81). It is common among neo-Confucians to regard human nature as good and to attribute the origin of evil to the vital force. In this respect Cheng Hao is not an exception. Cheng Hao claims that it is natural that there are good people and evil people precisely because of vital force. Thus, in the same passage in which he uses the analogy of water, after claiming that human nature and vital force cannot be separated from each other, he states that “human life is endowed with vital force, and therefore it is naturally understandable (li) that there are good and evil (people)…. Some people have been good since childhood, and some people have been evil since childhood. This is all because of the vital force they are endowed with” (Yishu 1; 10). Then he uses the analogy of water. Water is the same everywhere, but some water becomes muddy after flowing a short distance, some becomes muddy after flowing a long distance, and some remains clear even when flowing into the sea. The original state of water is clear; whether it remains clear or becomes muddy depends upon the condition of the route it flows. The original state of human nature is good; whether a person remains good or becomes evil depends upon the quality of the vital force the person is endowed with.

There is an apparent problem, however, with this solution to the problem of the origin of evil. Cheng Hao argues that what constitutes human nature is not only present in human beings but also in all ten thousand things. Thus, after explaining the five constant components of human nature – humanity, rightness, propriety, wisdom, and faithfulness – Cheng Hao points out that “all ten thousand things have the same nature, and these five are constant natures” (Yishu 9; 105). Cheng Hao repeatedly claims that ten thousand things form one body. In his view, this is “because all ten thousand things have the same principle”; human beings are born with a complete nature, but “we cannot say other things do not have it” (Yishu 2a; 33). Thus Cheng Hao argues that horses and cows also love their children, because the four beginnings that Mencius talks about are also present in them (Yishu 2b; 54). In other words, in terms of nature, there is no difference between human beings and other beings. The difference between human beings and other beings lies in their ability to extend (tui) the principle destined in ten thousand things (to extend the natural love beyond one’s intimate circle), and the difference in this ability further lies in the kind of vital force they are respectively endowed with. Thus Cheng Hao argues that “Humans can extend the principle, while things cannot because their vital force is muddy” (Yishu 2a; 33). Here, he emphasizes that the vital force that animals are endowed with is not clear. In contrast, “the vital force that human beings are endowed with is most clear, and therefore human beings can become partner [with heaven and earth]” (Yishu 2b; 54). In addition to this distinction between clear and muddy vital forces, Cheng Hao also claims that the vital force that humans are endowed with is balanced (zheng), while the vital force that animals are endowed with is one-sided (pian). After reaffirming that human heart-mind is the same as the heart-mind of animals and plants, he says that “the difference between human beings and other beings is whether the vital force they are respectively endowed with is balanced or one-sided [between yin and yang]. Neither yin alone nor yang alone can give birth to anything. When one-sided, yin and yang give birth to birds, beast, and barbarians; when balanced, yin and yang give birth to humans” (Yishu 1; 4; see also Yishu 11; 122).

Cheng Hao thus makes precisely the same distinction between good people and evil people as he makes between human beings and animals. The apparent problem here would seem to be that evil people would then be indistinguishable from animals since they are both endowed with turbid, one-sided, and mixed vital force, as Cheng Hao does often regard evil people as beasts. However, the problem is rather: since Cheng Hao believes that animals cannot be transformed into human beings because their endowed vital force is turbid, one-sided, and mixed, how can he believe, as he does, that evil humans who are also endowed with such turbid, one-sided, and mixed vital force can be transformed into moral beings and even sages? In other words, what is the difference between evil humans and beasts that makes the difference?

Cheng Hao seems to be aware of this problem, and he attempts to solve it by making the distinction between host vital force (zhu qi) and alien or guest vital force (ke qi). For example, he states that “rightness (yi) and the principle (li) on the one side and the alien vital force on the other often fight against each other. The distinction between superior persons and inferior persons is made according to the degree of the one conquered by another. The more the principle and rightness gain the upper hand…the more the alien vital force is extinguished” (Yishu 1; 4-5). For human beings, the host vital force is the one that is constitutive of human beings, which makes human being a bodily existence, while the guest vital force is constitutive of the environment, in which a human being, as a bodily existence, is born and lives. This distinction between host and alien vital force is equivalent to the one between internal (nei qi) and external vital force (wai qi) that his brother Cheng Yi makes, and therefore the analogy the Cheng Yi uses to explain the latter distinction can assist us in understanding the former distinction. For Cheng Yi, the internal vital force is not mixed with but absorbs nourishment from the external vital force. Then he uses the analogy of fish in water to explain it: “The life of fish is not caused by water. However, only by absorbing nourishment from water can fish live. Human beings live between heaven and earth in the same way as fish live in water. The nourishment humans receive from drinking and food is from the external vital force” (Yishu 15; 165-166).

In this analogy, a fish has both its internal or host vital force, the vital force that it is internally endowed with, which accounts for its corporeal form, and its external or guest vital force, the vital force it is externally endowed with, which provides the environment in which fish can live. This analogy performs the same function as Cheng Hao’s own analogy of water (mentioned above). Water itself is a bodily being with a nature and internal vital force, both of which guarantee its clearness. However, water has to exist in external vital force (river, for example). If this external vital force is also favorable, the water will remain clear, but if it is not favorable, the water will become muddy. In this analogy, water is equivalent to human beings, and “the clearness of water is equivalent to the goodness of human nature” (Yishu 1; 11). Through such an analogy, Cheng Hao attempts to show that, in addition to human nature, humans are endowed both internally with the host vital force, which is constitutive of human body, and externally with the alien vital force, which makes up the natural and social environment in which humans live. Therefore, not only is human nature all good, but the host vital force constitutive of human beings is also pure, clear, and balanced. Neither of the two can account for human evil. However, since human beings are corporeal beings, they must be born to and live in the midst of external vital force, which can be pure or impure. It is the quality of this external or guest vital force, purity or impurity, and the way people deal with it, that distinguishes between good and evil people. If the external vital force is also pure, it will provide the necessary nourishment to the internal vital force and therefore the original good human nature will not be damaged, and people will be good. If the external vital force is turbid and human beings living in it have not developed immunity to it, their internal vital force will be malnourished or even polluted and the original good human nature will be damaged, and people will be evil.

Thus, in Cheng Hao’s view, although both evil people and animals are endowed with muddy, mixed, and one-sided vital force, evil people are endowed with it externally as the necessary environment in which they have to live, while animals are endowed with it internally as constitutive of their bodily existence. In other words, such muddy, mixed, and one-sided vital force is the external guest vital force for human beings but is the internal host vital force for animals. Since the host vital force constitutive of animals – the vital force that makes animals animals – is muddy, mixed, and one-sided, animals can never be transformed into moral beings. On the other hand, since the host vital force constitutive of evil people, just as that constitutive of good people, is originally pure, clear, and balanced, but is only later polluted by muddy, mixed, and one-sided alien vital force, they can be made to become good by clearing up the pollution. Here, just as muddy water, when purified, does not enter into a state it has never been in before but simply returns to its original state of clearness, so an evil person, when made good, does not become an entirely new being, but simply returns to its original state of goodness (Yishu 1; 10-11). A return to this original state requires moral cultivation.

5. Moral Cultivation

Cheng Hao’s distinction between the host vital force and guest vital force makes a great contribution to the solution of the problem of the origin of evil. At least this is a step further than simply appealing to the distinction between principle and vital force. Still it is hard to say that it is completely successful, as it seems to attribute the origin of evil entirely to the external environment, which is also suggested by Mencius in his analogies of the growing of wheat (Mencius 6a7) and the Niu Mountain (Mencius 6a8). Some scholars believe such a view is implausible, and even both Cheng Hao and Mencius think that an evil person is also responsible for becoming bad. However, neither of them provides a satisfactory explanation about the internal origin of evil. Perhaps their very idea of the original goodness of human nature prevents such an explanation, just as Xunzi’s idea of the original badness of human nature perhaps prevents him from a satisfactory explanation of the origin of goodness: Xunzi does appeal to the transformative influence of sages and their teaching as a solution to the problem, but then he faces the problem of the origin of sages as their nature, as he claims, is also evil.

Whether Cheng Hao’s solution to the problem of the origin of evil is satisfactory or not, it is undeniable that one can become evil even though his or her nature is good. So Cheng Hao emphasizes the importance of moral cultivation. Since evil occurs when the turbid external vital force pollutes one’s originally clean internal vital force, just as the dust and dirt in the river makes the originally clear water muddy, what is needed is to purify the contaminated internal vital force, just as the turbid water must settle to become clear. This process is called cultivation of the vital force (yang qi) in Mencius. When the internal vital force is cultivated to the utmost, it becomes as clear, bright, pure, and complete as it is in its original state. This is also what Mencius calls “flood-like” vital force (haoran zhi qi), and so Cheng Hao puts a great emphasis on the passage of the Mencius in which Mencius talks about the cultivation of this flood-like vital force (Yishu 11; 117). Cheng Hao claims that “the flood-like vital force is nothing but my own [internally endowed] vital force. When it is cultivated instead of being harmed, it can fill between heaven and earth. Once it is blocked by private desires, however, it will immediately become withered” (Yishu 2a; 20). In other words, Mencius’ flood-like vital force is what everyone is originally internally endowed with, and everyone should cultivate it in case it gets contaminated by the turbid external vital force.

How does one cultivate the flood-like vital force? Cheng Hao claims that it does not come from outside. Rather it results from “consistent moral actions (jiyi)” (Yishu 2a; 29 and Yishu 11; 124). So jiyi becomes the way to cultivate the flood-like vital force. Thus, commenting on the passage in which Mencius talks about the flood-like vital force, Cheng Hao points out that, “cultivated straightly from dao and along the line of principle, it fills up between heaven and earth. [Mencius says that] ‘it is to be accompanied with rightness and dao,’ which means that it takes rightness as its master and never diverts from dao. [Mencius says that] ‘This is generated by consistent moral actions,’ which means that everything one does is in accordance with rightness” (Yishu 1; 11).

To say that cultivation of vital force consists in consistent moral actions, however, for Cheng Hao, does not mean that one has to exert artificial effort to do what is right, even though one does not have the inclination to do it. For this reason, he repeatedly cites Mencius’ claim that “while you must never let it out of your mind, you must not forcibly help it grow either” (Mencius 2a2). In other words, one has to set one’s mind on moral actions and yet cannot force such actions upon oneself. What is important for Cheng Hao is that, when one engages oneself in moral practices, one is not to regulate one’s action with the principle of rightness, as otherwise one will not be able to feel joy in it. In Cheng Hao’s view, this is a distinction best exemplified by the sage king Shun, who “practices from rightness and humanity” instead of “practicing rightness and humanity” (Yishu 3; 61). In other words, one cannot regard morality as external rules that constrain one’s action but as internal source that inclines one to act naturally, without effort, and at ease.

A person becomes evil because of the turbid external force. However, the turbid force can also make one evil because a person’s will is not firm. Thus another way of moral cultivation is to firm up one’s will (chi zhi). While cultivation of the vital force can help firming up one’s original good will, firming up one’s original good will can also help cultivate the vital force. Thus, referring to Mencius’ view about the relationship between these two, Cheng Hao states that, “for a person whose vital force is yet to be cultivated, the activity of the vital force may move one’s will, and the decision of one’s will may cause the movement of the vital force. However, to a person whose virtue is fulfilled, since the will is already firmed up, the vital force will not be able to change one’s will” (Yishu 1; 11). So in Cheng Hao’s view, to avoid being polluted by turbid vital force, it is important to firm up one’s will: “as soon as one’s will is firmed up, the vital force cannot cause any trouble” (Yishu 2b; 53). On the one hand, if one’s will is not firm, it may be disturbed by violent vital force; on the other hand, if one’s will is firm, the vital force cannot disturb it.

In order to firm up one’s will, Cheng Hao claims that it is most important to live in reverence (ju jing). The primary function of being in reverence is to overcome one’s selfish desires: “As soon as one has selfish desires, [one’s heart-mind] will wither, and the flood-like vital force will be lacking” (Yishu 2a; 29). To be reverent inside is to overcome selfish desires. As soon as these selfish desires are overcome, one will be like a sage, who “is happy with things because they are things one ought to be happy with, and is angry at things because they are things one ought to be angry at. The sage’s being happy or angry is thus according to things and not according to his own likes or dislikes” (Wenji 2; 461). This is because, in Cheng Hao’s view, the inborn virtues of sages and worthies are also complete in everyone’s original nature. Thus when not harmed, one need only practice straightly from the inside. If there is some damage, one must be reverent so that it can be purified and return to its original state (Yishu 1; 1).

These two ways of moral cultivation – cultivation of the vital force (yang qi), which relies upon consistent moral actions (jiyi), and firming up one’s will (chi zhi), which relies upon one’s being reverent (ju jin) – are what the Book of Chang calls “being reverent (jing) so that one’s inner [heart-mind] will be upright and being right (yi) so that one’s external [actions] will be in accord [with principle].” The former is internal and the latter is external. In Cheng Hao’s view, they are also the only ways to become a sage. One of the common features of these two methods is that they both aim at one’s virtues so that a virtuous person takes delight in being virtuous without making forced efforts (Yishu 2a; 20). Thus, just as he emphasizes “being reverent so that the inner will be straightened” (jing yi zhi nei) instead of “using reverence to straighten the inner” (yi jing zhi nei), he emphasizes “being morally right so that one’s external action will be squared” (yi yi fang wai) instead of “using rightness to square one’s external action” (yi yi fang wai) (Yishu 11; 120). (Although these two Chinese phrases appear identical in romanization, they contain different characters, as can be seen from their different translations.) Moreover, while the two ways can be respectively called internal way and external way, Cheng Hao emphasizes that it is important “to combine the inner way and the external way” (Yishu 1; 9). In other words, these two ways are not separate, as if one could practice one without practicing the other.

6. Influence

Han Yu (768-824), an important Tang dynasty Confucian, established a lineage of the Confucian tradition (daotong) from Yao, Shun, Yu, Tang, King Wen, King Wu, Duke of Zhou, Confucius, and Mencius. He claimed that, after Mencius, this lineage was interrupted. Cheng Yi accepted this Confucian daotong and claimed that his brother Cheng Hao was the first one to continue this lineage after Mencius (Wenji 11; 640). While there may be some exaggeration in such a claim, particularly as it is in the tomb inscription he wrote for his own brother, there is also truth in it. According to one widely accepted chronology, there are three epochs of Confucianism: pre-Qin Classical Confucianism, neo-Confucianism in the Song and Ming dynasties, and contemporary Confucianism. In the second stage, as far as neo-Confucianism can be characterized as the learning of principle, Cheng Hao and Cheng Yi can indeed be regarded as its true founders, and their learning, through their numerous students, to a large extent determined the later development of neo-Confucianism. While the two brothers share fundamentally similar views and most of these students learned from both, different students noticed and exaggerated their different emphases and thus developed different schools. Among all their students, Xie Liangzuo (1050-1103) and Yang Shi (1053-1135) are the most distinguished. Yang Shi transmitted Cheng Yi’s teaching through his student Luo Congyan (1072-1135) and the latter’s student Li Tong (1093-1163), to Zhu Xi. The synthesizer of the lixue school of neo-Confucianism, Xie Liangzuo transmitted Cheng Hao’s learning through a few generations of students such as Wang Ping (1082-1153) and Zhang Jiucheng (1092-1159) to Lu Jiuyuan (1139-1193) and eventually to Wang Yangming, the culminating figure of the xinxue school of neo-Confucianism. Sometimes a third school of neo-Confucianism, xingxue (learning of human nature), is identified, whose most important representative is Hu Hong (?-1161). Hu Hong continued the learning of his father, Hu Anguo (1074-1138), who in turn was also influenced by Xie Liangzuo. In this sense, Cheng Hao leaves his mark on all three main schools of neo-Confucianism (all recognized, in Chinese scholarship, as lixue, learning of principle, understood in the broad sense).

7. References and Further Reading

  • Bol, Peter. Neo-Confucianism in History. Cambridge, MA: Harvard University Asia Center, 2008.
    • There are scattered discussions of Cheng Hao throughout the book.
  • Chan, Wing-tsit. A Source Book in Chinese Philosophy. Princeton: Princeton University Press, 1963.
    • Chapter 31 is the most extensive English translation of selected sayings and writings by Cheng Hao.
  • Chang, Carsun. The Development of Neo-Confucianism, vol. 1. New Haven, Conn.: College and University Press, 1957.
    • Chapter 9 is devoted to Cheng Hao.
  • Cheng, Hao & Cheng, Yi. Collected Works of the Two Chengs (Er Cheng Ji). Beijing: Zhonghua Shuju, 1988.
    • A collection of the works and sayings of Cheng Hao and Cheng Yi.
  • Fung, Yu-lan (Feng, Yulan). A History of Chinese Philosophy. Vol. II. Princeton: Princeton University Press, 1953.
    • Chapter XII, Section 2, is a combined study of Cheng Hao and Cheng Yi.
  • Graham, A.C. Two Chinese Philosophers. La Salle, Illinois: Open Court, 1992.
    • The only book length study of Cheng Hao and Cheng Yi in English.
  • Hon, Tze-ki. “Cheng Hao.” In A. S. Cua, ed., Encyclopedia of Chinese Philosophy. New York: Routledge, 2003.
    • A full length article on Cheng Hao’s philosophy.
  • Hsu, Fu-kuan. “Chu Hsi and Cheng Brothers.” In Wing-tsit Chan, ed., Chu Hsi and Neo-Confucianism. Honolulu: University of Hawaii, 1986.
    • A study of the similarity and difference between Zhu Xi and the Cheng brothers.
  • Huang, Siu-chi. Essentials of Neo-Confucianism: Eight Major Philosophers of the Song and Ming Periods. Westport, Conn.: Greenwood Press, 1999.
    • One chapter is devoted to a philosophical study of Cheng Hao.
  • Huang, Yong. “Confucian Love and Global Ethics: How the Cheng Brothers Would Help Respond to Christian Criticisms.” Asian Philosophy 15/1 (2005): 35-60.
    • A discussion of the contemporary significance of the Cheng brothers’ interpretation of love with distinction.
  • Huang, Yong. “The Cheng Brothers’ Onto-Theological Articulation of Confucian Values.” Asian Philosophy 17/3 (2007): 187-211.
    • An interpretation of the Cheng brothers’ li as life-giving activity.
  • Huang, Yong. “Neo-Confucian Political Philosophy: The Cheng Brothers on Li (Propriety) as Political, Psychological, and Metaphysical.” Journal of Chinese Philosophy 34/2 (2007): 217-239.
    • An exposition of the Cheng brothers’ li as rules of action, as one’s inner feeling, and as human nature.
  • Huang, Yong. “Why Be Moral? The Cheng Brothers’ Neo-Confucian Answer.” Journal of Religious Ethics 36/2 (2008): 321-353.
    • A discussion of the Cheng brothers’ conception of human nature as a response to the question of why be moral.
  • Wong, Wai-ying. “The Status of li in the Cheng Brothers’ Philosophy.” Dao: A Journal of Comparative Philosophy 3/1 (2003): 109-119.
    • An important study of the Cheng brothers’ conception of propriety.
  • Wong, Wai-ying. “Morally Bad in the Philosophy of the Cheng Brothers.” Journal of Chinese Philosophy 36/1 (2009): 157-176.
    • A good discussion of the Cheng brothers’ view of evil.

Author Information

Yong Huang
Email: yhuang@kutztown.edu
Kutztown University of Pennsylvania
U. S. A.

Epistemic Circularity

An epistemically circular argument defends the reliability of a source of belief by relying on premises that are themselves based on the source. It is a widely shared intuition that there is something wrong with epistemically circular arguments.

William Alston, who first used the term in this sense, argues plausibly that there is no way to know or to be justified in believing that our basic sources of belief–such as perception, introspection, intuitive reason, memory and reasoning–are reliable except by using such epistemically circular arguments. And many contemporary accounts of knowledge and justification allow our gaining knowledge and justified beliefs by relying on such arguments. Indeed, any account that accepts that a belief source can deliver knowledge (or justified beliefs) prior to one’s knowing (or believing justifiably) that the source is reliable allows this. It allows our knowing the premises of an epistemically circular argument without already knowing the conclusion, and using the argument for attaining knowledge of the conclusion. Still, we have the intuition that any such account makes knowledge too easy.

In order to avoid too easy knowledge via epistemic circularity, we need to assume that a source can yield knowledge only if we first know that it is reliable. However, this assumption leads to the ancient problem of the criterion and the danger of landing in radical skepticism. Skepticism could be avoided if our knowledge about reliability were basic or noninferential. It could also be avoided if we had some sort of “non-evidential” entitlement to taking our sources to be reliable. Both options are problematic.

One might think that we have to allow easy knowledge and some epistemic circularity because it is the only way to avoid skepticism. If we do so, however, we still need to explain what is then wrong with other epistemically circular arguments. One possible explanation is that they fail to be dialectically effective. You cannot rationally convince someone who doubts the conclusion of the epistemically circular argument, because such a person also doubts the premises. Another possible explanation is that such arguments fail to defeat a reliability defeater: if you have a reason to believe that one of your sources of belief is unreliable, you have a defeater for all beliefs based on the source. You cannot defeat this defeater and regain justification for these beliefs by means of epistemically circular arguments. Yet, there are still disturbing cases in which you do not doubt the reliability of a source; you are just ignorant of it. The present account allows your gaining knowledge about the reliability of the source too easily.

Thus there seems to be no completely satisfactory solution to the problem of epistemic circularity. This suggests that the ancient problem of the criterion is a genuine skeptical paradox.

Table of Contents

  1. Alston on Epistemic Circularity
  2. Epistemic Failure
  3. Easy Knowledge and the KR Principle
  4. Coherence and Reflective Knowledge
  5. The Problem of the Criterion
  6. Basic Reliability Knowledge
  7. Wittgenstein, Entitlement and Practical Rationality
  8. Sensitivity
  9. Dialectical Ineffectiveness and the Inability to Defeat Defeaters
  10. Epistemology and Dialectic
  11. References and Further Reading

1. Alston on Epistemic Circularity

When Descartes tried to show that clear and distinct perceptions are true by relying on premises that are themselves based on clear and distinct perceptions, he was quickly made aware that there was something viciously circular in his attempt. It seems that we cannot use reason to show that reason is reliable. Thomas Reid [1710-1796] (1983, 276) pointed out that such an attempt would be as ridiculous as trying to determine a man’s honesty by asking the man himself whether he was honest or not. Such a procedure is completely useless. Whether he were honest or not, he would of course say that he was. All attempts to show that any of our sources of belief is reliable by trusting its own verdict of its reliability would be similarly useless.

The most detailed characterization of this sort of circularity in recent literature is given by William Alston (1989; 1991; 1993), who calls it “epistemic circularity.” He argues that there is no way to show that any of our basic sources of belief–such as perception, intuitive reason, introspection, memory or reasoning–is reliable without falling into epistemic circularity: there is no way to show that such a source is reliable without relying at some point or another on premises that are themselves derived from that source. Thus we cannot have any noncircular reasons for supposing that the sources on which we base our beliefs are reliable. What kind of circularity is this?

Alston (1989; 1993, 12-15) takes sense perception as an example. If we wish to show that sense perception is reliable, the simplest and most fundamental way is to use a track-record argument. We collect a suitable sample of beliefs that are based on sense perception and take the proportion of truths in the sample as an estimation of the reliability of that source of belief. We rely on the following inductive argument:

At t1, S1 formed the perceptual belief that p1, and p1 is true.

At t2, S2 formed the perceptual belief that p2, and p2 is true.

.
.
.

At tn, Sn formed the perceptual belief that pn, and pn is true.

Therefore, sense perception is a reliable source of belief.

How are we to determine whether the particular perceptual beliefs mentioned in the premises are true? The only way seems to be to form further perceptual beliefs. Thus the premises of the track-record argument for the reliability of sense perception are themselves based on sense perception. The kind of circularity involved in this argument is not logical circularity because the conclusion that sense perception is reliable is not used as one of the premises. Nevertheless, we cannot consider ourselves justified in accepting the premises unless we assume that sense perception is reliable. Since this kind of circularity involves commitment to the conclusion as a presupposition of our supposing ourselves to be justified in accepting the premises, Alston calls it epistemic circularity.

Epistemic circularity is thus not a feature of the argument as such. It relates to our attempt to use the argument to justify the conclusion or to arrive at a justified belief by reasoning from the premises to the conclusion. In order to succeed, such attempts require that we be justified in accepting the premises. According to Alston, we cannot suppose ourselves to be justified in holding the premises unless we somehow assume the conclusion. He explains our commitment to the conclusion dialectically: “If one were to challenge our premises and continue the challenge long enough, we would eventually be driven to appeal to the reliability of sense perception in defending our right to those premises.¨ (1993, 15)

Surprisingly, Alston (1989; 1993, 16) argues that epistemic circularity does not prevent our using an epistemically circular argument to show that sense perception is reliable or to justify the claim that it is. Neither does it prevent our being justified in believing or even knowing that sense perception is reliable. This is so if there are no higher-level requirements for justification and knowledge, such as the requirement that we be justified in believing that sense perception is reliable. If we can have justified perceptual beliefs without already being justified in believing that sense perception is reliable, we can be justified in accepting the premises of the track-record argument and using it for attaining justification for the conclusion.

Alston does not suggest that there are higher-level requirements for knowledge and justification. His account of justification is a form of generic reliabilism that do not make such requirements. According to such reliabilism,

S’s belief that p is justified if and only if it has a sufficiently reliable causal source.

If reliabilism is true, we can very well be justified in believing the premises of the track-record argument without being justified in believing the conclusion. It merely requires that the conclusion be, in fact, true. If sense perception is reliable along with other relevant sources–such as introspection and inductive reasoning–we can be justified in accepting the premises and thus arrive at a justified belief in the conclusion by reasoning inductively from the premises. Moreover, nothing prevents our coming to know the conclusion by means of such reasoning.

What, then, is wrong with epistemically circular arguments? This is what Alston states:

Epistemic circularity does not in and of itself disqualify the argument. But even granting this point, the argument will not do its job unless we are justified in accepting its premises; and that is the case only if sense perception is in fact reliable. This is to offer a stone instead of bread. We can say the same of any belief-forming practice whatever, no matter how disreputable. We can just as well say of crystal ball gazing that if it is reliable, we can use a track-record argument to show that it is reliable. But when we ask whether one or another source of belief is reliable, we are interested in discriminating those that can be reasonably trusted from those that cannot. Hence merely showing that if a given source is reliable it can be shown by its record to be reliable, does nothing to indicate that the source belongs to the sheep rather that with the goats. (1993, 17)

This is puzzling. Earlier Alston grants that, assuming reliabilism, we can use an epistemically circular track-record argument to show that sense perception is reliable. Now he is suggesting that such an argument shows at most the conditional conclusion that if a given source is reliable it can be shown by its record to be reliable. This seems merely to contradict the point he already granted.

We can make sense of this if we distinguish between two kinds of showing. When Alston talks about showing he usually has in mind something we could call “epistemic showing.” Showing in this sense requires a good argument with justified premises. If we have such an epistemically circular argument for the reliability of sense perception, we can show the categorical conclusion that sense perception is reliable. Assuming that reliabilism is true and that sense perception, introspection and induction are reliable processes, the premises of the track-record argument are surely justified, and the justification of the premises is transmitted to the conclusion. If this is all that is required for showing, then epistemic circularity does not disqualify the argument.

There is another sense of showing, that of “dialectical showing.” Showing in this sense is relative to an audience, and it requires that we have an argument that our audience takes to be sound, otherwise we would be unable to rationally convince it. If we assume that our audience is skeptical about the reliability of sense perception, it is clear that we cannot convince such an audience with an epistemically circular argument. This is so because the audience would also be skeptical about the truth of the premises. Assuming that our audience is skeptical only about perception and not about introspection and induction, we can only show to such an audience Alston’s hypothetical conclusion: if sense perception is reliable, we can show–in the epistemic sense–that it is.

Whether this is what Alston has in mind or not, it is one possible diagnosis of the failure of epistemically circular arguments. Although they may provide justification for our reliability beliefs, they are unable to rationally remove doubts about reliability. They are not dialectically effective against the skeptic.

2. Epistemic Failure

The problem of epistemic circularity derives from our intuition that there is something wrong with it. Many philosophers have expressed doubts that this intuition is completely explained by dialectical considerations. The fault seems to be epistemic rather than just dialectical. Richard Fumerton (1995) and Jonathan Vogel (2000) argue that we cannot gain knowledge and justified beliefs by means of epistemically circular reasoning. They conclude that any account of knowledge or justification that allows this must be mistaken. Their target is reliabilism in particular. Fumerton writes:

You cannot use perception to justify the reliability of perception! You cannot use memory to justify the reliability of memory! You cannot use induction to justify the reliability of induction! Such attempts to respond to the skeptic’s concerns involve blatant, indeed pathetic, circularity. Frankly, this does seem right to me and I hope it seems right to you, but if it does, then I suggest you have a powerful reason to conclude that externalism is false. (1995, 177)

If the mere reliability of a process is sufficient for giving us justification, as reliabilism entails, then we can use it to obtain a justified belief even about its own reliability. According to Fumerton, this counterintuitive result shows that reliabilism is false.

Vogel (2000, 613-623) gives the example of Roxanne, who has a car with a highly reliable gas gauge and who believes implicitly what the gas gauge indicates, without knowing that it is reliable. In order to gain knowledge about the reliability of the gauge, she undertakes the following procedure. She looks at the gauge often and forms a belief not only about how much gas there is in the tank, but also about the reading of the gauge. For example, when the gauge reads ‘F’, she believes both that the gauge reads ‘F’ and that the tank is full. She combines these beliefs into the belief:

(1) On this occasion, the gauge reads ‘F’ and the tank is F.

Surely, the perceptual process by which Roxanne forms her belief about the reading of the gauge is reliable, but so is, by hypothesis, the process through which she reaches the belief that the tank is full. Roxanne’s belief in (1) is thus the result of a reliable process. She then repeats this process on several occasions and forms beliefs of the form:

(2) On this occasion, the gauge reads ‘X’ and the tank is X.

From a representative set of such beliefs, she concludes inductively that:

(3) The gauge is reliable.

Because induction is also a reliable process, the whole process by which Roxanne reaches her conclusion is reliable. Thus reliabilism allows that in this way she gains knowledge that the gauge is reliable.

Vogel assumes that this process, which he calls bootstrapping, is illegitimate and concludes that reliabilism goes wrong in improperly ratifying bootstrapping as a way of gaining knowledge.

We have an intuition that there is something wrong with this sort of epistemically circular reasoning. Here, it is difficult to explain the intuition in terms of some sort of dialectical failure because there is nobody who is questioning the reliability of the gauge and who needs to be convinced about the matter. It is merely assumed that Roxanne did not originally know that it was reliable. It follows from reliabilism that she can gain this knowledge by this sort of bootstrapping, which is contrary to our intuitions.

3. Easy Knowledge and the KR Principle

Epistemic circularity is not only a problem for reliabilism. As Alston pointed out, any epistemological theory that does not set higher-level requirements for knowledge or justified belief is bound to allow epistemic circularity. The problem is that such a theory makes knowledge and justified belief about reliability intuitively too easy.

Stewart Cohen (2002) argues that any theory that rejects the following principle allows knowledge about reliability too easily:

KR: A potential knowledge source K can yield knowledge for S, only if S knows K is reliable.

Theories that reject this KR principle allow that a belief source can deliver knowledge prior to one’s knowing that the source is reliable. Cohen calls such knowledge “basic” knowledge. (Note that he uses the phrase in a nonstandard way.) Theories that allow for basic knowledge can appeal to our basic knowledge in order to explain how we know that our belief sources are reliable:

According to such views, we first acquire a rich stock of basic knowledge about the world. Such knowledge, once obtained, enables us to learn how we are situated in the world, and so to learn, among other things, that our belief sources are reliable. (2002, 310)

In obtaining such knowledge of reliability we reason in a way that is epistemically circular. The problem is that we gain knowledge too easily.

It is not only reliabilism that rejects the KR principle: there are other currently popular theories that do so. For example, evidentialism makes knowledge a function of evidence. An evidentialist who denies the KR principle allows that one can know that p on the basis of evidence E without knowing that E is a reliable indication of the truth of p. Such evidentialism allows our gaining knowledge of reliability through epistemically circular reasoning.

However, the principle does not seem to be strong enough because even some theories that accept it do not avoid epistemic circularity, and thus make knowledge too easy. The KR principle, as Cohen formulates it, does not make any requirements about epistemic order. It does not require in particular that knowledge about the reliability of source K be prior to (or independent of) knowledge based on K. It allows that we gain both kinds of knowledge simultaneously.

4. Coherence and Reflective Knowledge

According to holistic coherentism, knowledge is generated simultaneously in the whole system of beliefs once a sufficient degree of coherence is achieved. It is clear that meta-level beliefs about the sources of belief and their reliability can increase the coherence of the whole system of beliefs. So coherentism that requires such a meta-level perspective into the reliability of the sources of belief satisfies the KR principle: I can know that p only if I also know that the source of my belief that p is reliable.

However, as James Van Cleve (2003, 55-57) points out, coherentism does not avoid the problem of easy knowledge. It allows that we gain knowledge through epistemically circular reasoning. The steps by which we gain such knowledge may be exactly the same as in the foundationalist version. The only difference is that when, according to foundationalism, knowledge is first generated in the premises and then transmitted to the conclusion, coherentism makes it appear simultaneously in the premises and in the conclusion. The fact that knowledge is not generated in the premises until the conclusion is reached does not make it less easy to attain knowledge.

Ernest Sosa (1997) suggests that we can resolve the problems of circularity by his distinction between animal knowledge and reflective knowledge, but as both Cohen (2002, 326) and Van Cleve (2003, 57) point out, Sosa’s account allows knowledge about reliability too easily. Animal knowledge is knowledge as it is understood in simple reliabilism: it requires just a true and reliably formed belief. So it does not satisfy the KR principle and allows easy knowledge. We can attain animal knowledge about the reliability of a source through epistemically circular reasoning.

Sosa’s point is that reflective knowledge satisfies the principle. In addition to animal knowledge, it requires a coherent system of beliefs that includes an epistemic perspective into the reliability of the sources of belief. So a source delivers reflective knowledge for me only if I know that the source is reliable, yet it is still true that the epistemically circular track-record argument provides all the ingredients needed for such reflective knowledge. I attain animal knowledge about the reliability of perception by reasoning from my animal knowledge about the truth of particular perceptual beliefs. Once I have attained this knowledge, my system of beliefs also achieves a sufficient degree of coherence that transfers my animal knowledge into reflective knowledge. All this happens still too easily. It happens in fact as easily as before. The only difference is the points at which different sorts of knowledge are attained. The reasoning itself is exactly the same.

It seems that we can avoid allowing easy knowledge only by strengthening the KR principle. It must require that knowledge of the reliability of source K be prior to knowledge based on K. We must know that the source is reliable independently of any knowledge based on the source. The problem with coherentism and Sosa’s account is that they reject this strengthened KR principle, and this is why they make knowledge too easy.

5. The Problem of the Criterion

By affirming the strengthened KR principle we avoid the easy-knowledge problem but are in danger of falling into skepticism. The strengthened principle leads to the ancient problem of the criterion.

Ancient Pyrrhonian skeptics were puzzled about the disagreements that prevailed about any object of inquiry. They insisted that, in order to resolve these disagreements and to attain any knowledge, we need criteria that distinguish beliefs that are true from those that are false. However, there are also disagreements about the right criteria of truth. In order to resolve these disagreements and to know what the right criteria are, we need to know already which beliefs are true–the ones the criteria are supposed to pick out. We are thus caught in a circle.

If we understand the right criteria of truth as reliable sources of belief–sources that mostly produce true beliefs–we arrive at the following formulation of the problem of the criterion:

(1) We can know that a belief based on source K is true only if we first know that K is reliable.

(2) We can know that K is reliable only if we first know that some beliefs based on source K are true.

Assumption (1) is a formulation of the strengthened KR principle. Together with assumption (2), it leads to skepticism: we cannot know which sources are reliable nor which beliefs are true. To be sure, (2) does not require us to know that beliefs based on K are true through K itself; we can rely on some other source. However, (1) posits that this other source can deliver knowledge only if we first know that it is reliable, and (2) that, in order to know this, we need to know that some beliefs based on it are true. In order to know this, in turn, we once again have to rely on some third source, and so on. Because we cannot have an infinite number of sources, sooner or later we have to rely on sources already relied on at some earlier point. We are thus reasoning in a circle, and circular reasoning is unable to provide knowledge.

The circle we are caught in is not epistemic. It is a straightforwardly logical circle. It is clear that a logical circle does not produce knowledge. Such a circle is nowhere connected to reality. Thus in trying to avoid epistemic circularity, we are caught in a more clearly vicious circle–a logical circle.

It is natural to think that epistemic circularity is the lesser evil. If we only have the alternatives of making knowledge too easy or impossible, most philosophers would surely choose the former. This may be the motivation behind currently popular reliabilist and evidentialist epistemologies that deny higher-level requirements for knowledge, but are these really our only options? Could we not reject assumption (2) instead of (1)?

6. Basic Reliability Knowledge

One might concede that a source can give us knowledge only if we first know that it is reliable, but still deny that this knowledge of reliability must in turn be inferred from some other knowledge. One might insist instead that our knowledge about our own reliability is basic or noninferential. This would break the skeptic’s circle.

Thomas Reid (1983, 275) seems to be the traditional advocate of this position. He takes it as a first principle that our cognitive faculties are reliable. He states that first principles are self-evident: we know them directly without deriving them from some other truths (257). How is it possible to know directly a generalization that is only contingently true? It may be easy to see how we can directly know a generalization, such as “All triangles have three angles,” which is a necessary truth: we can simply see its truth through a priori intuition. However, we cannot simply see that our faculties are reliable. The faculty of a priori reason does not give us knowledge of contingent generalizations.

Reid (259-260) posits that there is a special faculty for knowing the first principles, which he calls common sense. Thus, common sense tells us that our faculties are reliable. However, it cannot give us knowledge unless we first know that it is reliable. How can we know this? The only available answer seems to be that we also know this through common sense. (Bergmann 2004, 722-724) There is a serious problem if we assume the skeptic’s strengthened KR principle. This entails that we can know that common sense is reliable only if we first know that it is reliable. We must know it before we know it, which is impossible. We avoid this result if we go back to Cohen’s original KR principle (Van Cleve, 2003, 50-52), but then we face epistemic circularity once again.

According to the Reidian view, knowledge about the reliability of our faculties is basic, and the source of it is common sense. However, common sense delivers this knowledge only if it is itself known to be reliable. If we accept Cohen’s original KR principle and deny the skeptic’s requirement that this knowledge be prior to other knowledge delivered by common sense, we allow that common sense delivers simultaneously basic knowledge about the reliability of our faculties and about the reliability of common sense itself. This is a coherent position.

However, this Reidian view allows one kind of epistemic circularity. Although it is not quite the same kind as in the track-record argument, it allows that we can know that a faculty is reliable by using that very same faculty. The only difference is that this is basic knowledge and not knowledge based on reasoning. It seems that this view makes knowledge about reliability even easier than before.

If we wanted to determine whether to trust a guru, we could construct an inductive argument based on the premises about the truth of what he says and leading to the conclusion that he is reliable. If our belief in the premises is itself based on what he tells us, our argument is epistemically circular. It seems that this cannot be a way of gaining knowledge about his reliability in that it would be intuitively too easy. It would be even easier to base our belief in his reliability on his simply saying that he is reliable. If we cannot gain knowledge through epistemically circular reasoning, how could we gain it by taking this more direct route?

7. Wittgenstein, Entitlement and Practical Rationality

Let us grant that we somehow presuppose the reliability of our sources of belief when we form and evaluate beliefs. What kind of normative status do these presuppositions have if they cannot have the status of basic knowledge? Many philosophers have been inspired by Wittgenstein’s last notebooks published as On Certainty (1969, §§ 341-343):

K the questions that we raise and our doubts depend upon the fact that some propositions are exempt from doubt, are as it were like hinges on which they turn.

That is to say, it belongs to the logic of our scientific investigations that certain things are indeed not doubted.

But it isn’t that the situation is like this: We just can’t investigate everything, and for that reason we are forced to rest content with assumption. If I want the door to turn, the hinges must stay put.

The idea is that in every context of inquiry there are certain propositions that are not and cannot be doubted. They are the hinges that must stay put if we are to conduct inquiry at all. According to Wittgenstein, these hinge propositions cannot be justified, neither can we know them. They are the presuppositions that make justification and knowledge possible.

Wittgenstein (§§ 163, 337) suggests that such hinge propositions include propositions about the reliability of our sources of belief. This explains why we cannot gain knowledge about reliability through epistemically circular reasoning, because we cannot have such knowledge at all. Wittgenstein may have thought so because he took hinge “propositions¨ to have no factual content and thus to be neither true nor false. Thus our concepts of knowledge and justification would not apply to them. However, this view is not very intuitive. Surely the sentence “Sense perception is reliable” appears to express a genuine proposition that is either true or false. If it does express such a proposition, we can have doxastic attitudes to the proposition, and these attitudes can be evaluated epistemically.

Crispin Wright (2004) follows Wittgenstein but takes hinge propositions to be genuine propositions that are epistemically evaluable. He provides an account of the structure of justification that explains why the justification of the premises in certain valid arguments does not transmit to the conclusion. Although the epistemically circular track-record argument is an inductive argument, the same account explains the transmission failure here.

According to Wright’s account, we cannot be justified in accepting the premises of Alston’s track-record argument unless we are already justified in accepting the conclusion that sense perception is reliable. This is why the justification we may have for the premises does not transmit to the conclusion: it presupposes a prior justification for the conclusion. Thus Wright accepts a version of the skeptic’s strengthened KR principle, which effectively blocks epistemically circular reasoning.

He then tries to avoid skepticism by distinguishing between ordinary evidential justification and non-evidential justification he calls “entitlement.” In order to form justified perceptual beliefs, we must already be entitled to take it for granted that sense perception is reliable. However, because this entitlement is a kind of unearned justification that requires no evidential work, we can break the skeptic’s circle.

Wright’s entitlement is not based on sources of justification, such as perception, introspection, memory or reasoning. We get it by default, which is why the KR principle does not apply to it. Thus it avoids the problem of the Reidian account.

Unfortunately, it has its own problems. One of these concerns the nature of entitlement. According to Wright, it is a kind of rational entitlement, but what kind is it? This is how he comments on certain of Wittgenstein’s passages:

I take Wittgenstein’s point in these admittedly not unequivocal passages to be that this is essential: one cannot but take certain such things for granted. (2004, 189)

This line of reply concedes that the best sceptical arguments have something to teach us–that the limits of justification they bring out are genuine and essential–but then replies that, just for that reason, cognitive achievement must be reckoned to take place within such limits. The attempt to surpass them would result not in an increase in rigour or solidity but merely in cognitive paralysis. (2004, 191)

Wright argues here that we cannot but take certain things for granted. In order to engage in inquiry and to form justified beliefs, one must accept certain presuppositions. Refusing to do that would mean cognitive paralysis. As Duncan Pritchard (2005) comments, this seems to be a defense of the practical rationality of assuming that the sources of one’s beliefs are reliable. Nothing is said for the truth of those presuppositions or of the epistemic rationality of accepting them.

Alston defends more explicitly the practical rationality of taking our sources of belief to be reliable:

In the nature of the case, there is no appeal beyond the practices we find ourselves firmly committed to, psychologically and socially. We cannot look into any issue whatever without employing some way of forming and evaluating beliefs; that applies as much to issues concerning the reliability of doxastic practices as to any others. Hence there is no alternative to employing the practices we find to be firmly rooted in our lives, practices we could abandon or replace only with extreme difficulty if at all. (1993, 125)

Alston adds that the suspension of all belief is not an option, and that there is no reason to substitute our firmly established doxastic practices for some new ones because neither would there be any noncircular defense of these new practices. Alston makes it quite clear that this is a defense of the practical rationality of engaging in firmly established practices and taking them to be reliable.

However, this defense of the practical rationality of taking our sources of belief to be reliable does not contradict skepticism. In posing the problem of the criterion, the skeptic is not denying the practical rationality of our using the practices that we in fact use. What he or she is denying is the epistemic rationality or justification of the beliefs produced by them. That it would be practically rational for us to assume that the practices are reliable and that they therefore produce justified beliefs is not something the skeptic would deny.

Alston (2005, 240-242) has since rejected this practical validation argument for our sources of belief and settled for a simpler form of Wittgensteinian contextualism. Now he does not tell what kind of entitlement we have to the hinge propositions about the reliability of our sources. Perhaps there is no entitlement, and we just have to blindly trust in their reliability. How, then, does this differ from skepticism?

Curiously enough, neither Wright nor Alston really avoid the allowing of epistemic circularity. Alston even underlines the fact that epistemically circular arguments can produce justification for our beliefs about reliability. His point seems to be that whether this in fact happens is something that we can have only practical reasons for assuming, which does not really explain what is wrong with these arguments.

According to Wright, the justification of the premises does not transmit to the conclusion if it requires that we already be independently justified in accepting the conclusion. However, because this independent justification is a different sort of non-evidential justification–entitlement–it is unclear why the argument fails in transmitting evidential justification. Assuming that the entitlements are already in place–that we are entitled to take introspection, sense perception and inductive reasoning to be reliable–nothing prevents our also gaining evidential justification for the conclusion that sense perception is reliable. At least nothing in Wright’s account does so.

Thus the appeal to default entitlement or practical rationality does not solve our problem: it does not avoid epistemic circularity. At the same time, it may be too concessive to skepticism.

8. Sensitivity

It is possible to reject the KR principle without allowing epistemic circularity. One might simply deny–as Wittgenstein does–that we have any knowledge about our own reliability. One could defend this view–as Wittgenstein does not do–on the basis of the sensitivity condition of knowledge. Analyses of knowledge as defended by Fred Dretske (1971) and Robert Nozick (1981) set the following necessary condition for S‘s knowing that p:

Sensitivity: if it were not true that p, S would not believe that p.

According to Cohen (2002, 316), our beliefs about the reliability of our sources of belief do not satisfy this condition. Assume that we form a belief in the reliability of sense perception on the basis of epistemically circular reasoning. According to the sensitivity condition, we cannot know on this basis that sense perception is reliable if we believed on this basis that it is reliable even if it were not reliable. It seems that this is exactly what is wrong with such arguments: they would cause us to believe that a source is reliable even if it were not. A guru would tell us that he is reliable even if he were not.

The sensitivity condition concerns the possible worlds in which our belief is false but which are otherwise closest to the actual world. Alvin Goldman (1999, 86) suggests that the relevant alternative to the hypothesis that visual perception is reliable is that visual perception is randomly unreliable. If this is the case in the closest possible worlds in which our belief in the reliability of visual perception is false, it may be that we can, after all, know that visual perception is reliable, because in these worlds it would produce a massive amount of inconsistent beliefs, and therefore we would not believe that it is reliable. So, are the worlds in which visual perception is randomly unreliable the closest unreliability worlds? It may be rather that the closest worlds are those in which visual perception is systematically unreliable, and in these worlds we believe that it is reliable. If this is the case, the sensitivity accounts explain very well the intuition that we cannot gain knowledge through epistemically circular reasoning.

Sensitivity accounts of knowledge have not been popular in recent years because they deny the intuitively plausible principle that knowledge is closed under known logical implication. However, as Cohen (2002) has shown, this principle has counterintuitive consequences as does the denial of the KR principle. It allows cases in which we gain knowledge too easily, and perhaps we should therefore accept a sensitivity account that can handle both problems at once. However, a more serious problem is that there are cases of inductive knowledge that do not satisfy the sensitivity condition (Vogel, 1987).

9. Dialectical Ineffectiveness and the Inability to Defeat Defeaters

Arguments are dialectical creatures, so it is natural to evaluate them in terms of their dialectical effectiveness. We have seen already that epistemically circular arguments are poor in this respect. They are not able to rationally convince someone who doubts the conclusion because such a person also doubts the premises. Such arguments therefore fail to be dialectically effective. It could be suggested that this is enough to explain our intuition that there is something wrong with them, and that they need not involve any epistemic failure. (Markie 2005; Pryor 2004)

When it is a question of one’s own self-doubts, we could even allow a kind of epistemic failure. Let us assume that I have doubts about the reliability of my color vision: I believe that my color vision is not reliable, or I have considered the matter and have decided to suspend judgment about it. This doubt is a defeater for my color beliefs: it defeats or undermines my justification for them. Now it seems clear that I cannot defeat this defeater and regain my justification for these beliefs through epistemically circular reasoning. Such reasoning would rely on those very same beliefs for which I have lost the justification. It is unable to defeat reliability defeaters. (Bergmann 2004, 717-720)

We can thus readily explain the failure of epistemically circular arguments in cases in which there are serious doubts about reliability. They fail to remove these doubts. However, as the case of Roxanne shows, dialectical ineffectiveness and the failure to defeat defeaters cannot be the only things that are wrong with epistemic circularity. Neither Roxanne nor anybody else doubts her gas gauge; she is just ignorant about its reliability. She has no knowledge or justified beliefs about the matter. Our intuition is that she cannot gain knowledge or justified beliefs about the reliability of the gauge through the process of bootstrapping.

10. Epistemology and Dialectic

Although the term “epistemic circularity¨ is of recent origin, the phenomenon itself has been well known since the ancient skeptics. Ancient Pyrrhonian skeptics argued that we should suspend belief unless we can resolve the disagreements that there are about any object of inquiry. We could try to resolve these disagreements by relying on reliable sources of belief. Unfortunately, we cannot do this because there is also a disagreement about which sources are reliable, and this disagreement must be resolved first. However, we cannot resolve this disagreement because it would be dialectically ineffective to defend a set of such sources by appealing to premises that are themselves based on them. This is something that the skeptics most emphatically condemned. (Lammenranta 2008)

They also assumed that this sort of failure to resolve disagreements was not merely dialectical. It also prevented our having knowledge. If we should suspend belief about some question, we would certainly not know what the correct answer is. In connecting epistemology closely to dialectic, skeptics were just following the ancient tradition of Plato and Aristotle. This tradition continued in Descartes and early modern philosophy, and seems to be alive even today among the followers of John L. Austin, Ludwig Wittgenstein, and Wilfrid Sellars.

In spite of this influential tradition that connects epistemology closely with dialectic, the mainstream of contemporary analytic epistemology takes epistemology to be independent of dialectical issues. Accordingly, we may very well know even if we cannot rationally defend ourselves against those who disagree with us. After all, our sources of belief may, in fact, be reliable, and if this is the case they will provide us with reasons for believing that they are reliable and that those who disagree with us are wrong.

However, most of us have the intuition that it would be too easy to gain knowledge about our own reliability in this way. Perhaps the intuition shows that epistemology is more closely connected to dialectic than is currently acknowledged. This would explain our uneasiness with epistemic circularity and show that the ancient problem of the criterion is a genuine skeptical paradox for which we still lack a plausible solution.

11. References and Further Reading

  • Alston, William P. “Epistemic Circularity.¨ Philosophy and Phenomenological Research 47 (1986). Reprinted in Epistemic Justification: Essays in the Theory of Knowledge. Ithaca: Cornell University Press, 1989: 319-349.
    • The first and most influential account of the nature and significance of epistemic circularity.
  • Alston, William P. The Reliability of Sense Perception. Ithaca: Cornell University Press, 1993.
    • Defends the inevitability of epistemic circularity and the practical rationality of engaging in firmly established doxastic practices.
  • Alston, William P. Beyond “Justification”: Dimensions of Epistemic Evaluation. Ithaca: Cornell University Press, 2005: ch. 11.
    • Opts for Wittgensteinian contextualism concerning the status of reliability propositions.
  • Bergmann, Michael. “Epistemic Circularity: Malignant and Benign.” Philosophy and Phenomenological Research 69 (2004): 709-727.
    • Explains when epistemically circular arguments do and when they do not provide knowledge about reliability, and defends the Reidian common-sense approach.
  • Cohen, Stewart. “Basic Knowledge and the Problem of the Problem of Easy Knowledge.” Philosophy and Phenomenological Research 65 (2002): 309-329.
    • Poses the problem of easy knowledge and tries to avoid epistemic circularity.
  • Dretske, Fred, “Conclusive Reasons.¨ Australasian Journal of Philosophy 49 ( 1971): 1-22. Reprinted in Perception, Knowledge and Belief. Cambridge University Press: Cambridge, 2000.
    • Defends an early version of the sensitivity condition of knowledge.
  • Fumerton, Richard. Metaepistemology and Skepticism. Lanham: Rowman & Littlefield, 1995: ch. 6.
    • Accuses externalism of allowing epistemic circularity.
  • Goldman, Alvin I. Knowledge in a Social World, Oxford: Oxford University Press, 1999: section 3.3.
    • A Bayesian defense of the epistemic value of epistemic circularity.
  • Lammenranta, Markus. “Reliabilism and Circularity.¨ Philosophy and Phenomenological Research 56 (1996): 111-124.
    • Relates epistemic circularity to Chisholm’s version of the problem of the criterion.
  • Lammenranta, Markus. “Reliabilism, Circularity, and the Pyrrhonian Problematic.¨ Journal of Philosophical Research 28 (2003): 311-328.
    • Discusses reliabilist responses to epistemic circularity.
  • Lammenranta, Markus. “The Pyrrhonian Problematic.¨ The Oxford Handbook of Skepticism. Ed. John Greco. Oxford: Oxford University Press, 2008.
    • Defends the dialectical nature and philosophical importance of the ancient Pyrrhonian problematic.
  • Lemos, Noah. “Epistemic Circularity Again.¨ Philosophical Issues 14 (2004): 254ƒ{270.
    • Examines and rejects some objections to Sosa’s view that epistemic circularity does not prevent our knowing that our ways of forming beliefs are reliable.
  • Markie, Peter. “Easy Knowledge.¨ Philosophy and Phenomenological Research 70 (2005): 406-416.
    • Argues that the failure in epistemically circular argument is dialectical rather than epistemic.
  • Nozick, Robert. Philosophical Explanations. Harvard University Press: Cambridge, Mass., 1981: ch. 3.
    • Defends the sensitivity (tracking) condition of knowledge and formulates the closure-based skeptical argument.
  • Pritchard, Duncan. “Wittgenstein’s On Certainty and Contemporary Anti-Scepticism.¨ Readings of Wittgenstein’s On Certainty. Eds. D. Moyal-Sharrock & W. H. Brenner. London: Palgrave Macmillan, 2005: 189V224.
    • Discusses anti-skeptical views deriving from Wittgenstein’s On Certainty.
  • Pryor, James. “What’s Wrong with Moore’s Argument?¨ Philosophical Issues14 (2004): 349-378.
    • Defends the epistemic respectability of Moore’s proof of the external world.
  • Reid, Thomas. Inquiry and Essays. Eds. Ronald E. Beanblossom & Keith Lehrer. Indianapolis: Hackett, 1983.
    • An abbreviated edition of Reid’ major works on the philosophy of common sense.
  • Schmitt, Frederick F. “What Is Wrong with Epistemic Circularity?¨ Philosophical Issues 14 (2004): 379-402.
    • Argues that epistemically circular arguments do have the power of answering doubts about reliability.
  • Sosa, Ernest. “Philosophical Scepticism and Epistemic Circularity.¨ Aristotelian Society Supplementary Volume 68 (1994): 263-290. Reprinted in Skepticism: A Contemporary Reader. Eds. Keith DeRose & Ted A. Warfield. Oxford: Oxford University Press, 1999: 93-114.
    • Defends the inevitability and epistemic value of epistemically circular arguments.
  • Sosa, Ernest. “Reflective Knowledge in the Best Circles.¨ The Journal of Philosophy 94 (1997): 410-430.
    • Uses the distinction between animal knowledge and reflective knowledge to explain why epistemic circles are not vicious.
  • Van Cleve, James. “Is Knowledge Easy–or Impossible? Externalism as the Only Alternative to Skepticism.¨ The Skeptics: Contemporary Essays. Ed. Steven Luper. Hampshire: Ashgate, 2003.
    • Defends externalism and allowing epistemic circularity as the only alternatives to skepticism.
  • Vogel, Jonathan. “Tracking, Closure, and Inductive Knowledge.¨ The Possibility of Knowledge: Nozick and His Critics. Ed. Steven Luper-Foy. Lanham: Rowman & Littlefield, 1987: 197-215.
    • Criticizes the sensitivity condition of knowledge for not allowing inductive knowledge.
  • Vogel, Jonathan. “Reliabilism Leveled.¨ The Journal of Philosophy 97 (2000): 602-623.
    • Criticizes reliabilism for allowing epistemically circular reasoning.
  • Wittgenstein, Ludwig. On Certainty. Eds. G. E. M. Anscombe & G. H. von Wright. Tr. D. Paul & G. E. M. Anscombe. Oxford: Blackwell, 1969.
    • An influential defense of the view that the presuppositions of knowledge are not known.
  • Wright, Crispin. “Warrant for Nothing (and Foundations for Free).¨ Proceedings of the Aristotelian Society 104 (2004): 167-211.
    • Uses the concept of entitlement to resolve skeptical paradoxes.

Author Information

Markus Lammenranta
Email: markus.lammenranta@helsinki.fi
University of Helsinki
Finland

Inconsistent Mathematics

Inconsistent mathematics is the study of commonplace mathematical objects, like sets, numbers, and functions, where some contradictions are allowed. Tools from formal logic are used to make sure any contradictions are contained and that the overall theories remain coherent. Inconsistent mathematics began as a response to the set theoretic and semantic paradoxes such as Russell’s Paradox and the Liar Paradox—the response being that these are interesting facts to study rather than problems to solve—and has so far been of interest primarily to logicians and philosophers. More recently, though, the techniques of inconsistent mathematics have been extended into wider mathematical fields, such as vector spaces and topology, to study inconsistent structure for its own sake.

To be precise, a mathematical theory is a collection of sentences, the theorems, which are deduced through logical proofs. A contradiction is a sentence together with its negation, and a theory is inconsistent if it includes a contradiction. Inconsistent mathematics considers inconsistent theories. As a result, inconsistent mathematics requires careful attention to logic. In classical logic, a contradiction is always absurd: a contradiction implies everything. A theory containing every sentence is trivial. Classical logic therefore makes nonsense of inconsistency and is inappropriate for inconsistent mathematics. Classical logic predicts that the inconsistent has no structure. A paraconsistent logic guides proofs so that contradictions do not necessarily lead to triviality. With a paraconsistent logic, mathematical theories can be both inconsistent and interesting.

This article discusses inconsistent mathematics as an active research program, with some of its history, philosophy, results and open questions.

Table of Contents

  1. Introduction
    1. An Example
  2. Background
    1. Motivations
    2. Perspectives
    3. Methods
    4. Proofs
  3. Geometry
  4. Set Theory
  5. Arithmetic
  6. Analysis
  7. Computer Science
  8. References and Further Reading
    1. Further Reading
    2. References

1. Introduction

Inconsistent mathematics arose as an independent discipline in the twentieth century, as the result of advances in formal logic. In the nineteenth century, a great deal of extra emphasis was placed on formal rigor in proofs, because various confusions and contradictions had appeared in the analysis of real numbers. To remedy the situation required examining the inner workings of mathematical arguments in full detail. Mathematics had always been conducted through step-by-step proofs, but formal logic was intended to exert an extra degree of control over the proofs, to ensure that all and only the desired results would obtain. Various reconstructions of mathematical reasoning were advanced.

One proposal was classical logic, pioneered by Giuseppe Peano, Gottlob Frege, and Bertrand Russell. Another was paraconsistent logic, arising out of the ideas of Jan Łukasiewicz and N. A. Vasil’év around 1910, and first realized in full by Jaśkowski in 1948. The first to suggest paraconsistency as a ground for inconsistent mathematics was Newton da Costa in Brazil in 1958. Since then, his school has carried on a study of paraconsistent mathematics. Another school, centered in Australia and most associated with the name of Graham Priest, has been active since the 1970s. Priest and Richard Routley have forwarded the thesis that some inconsistent theories are not only interesting, but true; this is dialetheism.

Like any branch of mathematics, inconsistent mathematics is the study of abstract structures using proofs. Paraconsistent logic offers an unusually exacting proof guide that makes sure inconsistency does not get out of hand. Paraconsistency is not a magic wand or panacea. It is a methodology for hard work. Paraconsistency only helps us from getting lost, or falling into holes, when navigating through rough terrain.

a. An Example

Consider a collection of objects. The collection has some size, the number of objects in the collection. Now consider all the ways that these objects could be recombined. For instance, if we are considering the collection {a, b}, then we have four possible recombinations: just a, just b, both a and b, or neither a nor b. In general, if a collection has κ members, it has 2κ recombinations. It is a theorem from the nineteenth century that, even if the collections in question are infinitely large, still κ < 2κ, that is, the number of recombinations is always strictly larger than the number of objects in the original collection. This is Georg Cantor’s theorem.

Now consider the collection of all objects, the universe, V. This collection has some size,
|V|, and quite clearly, being by definition the collection of everything, this size is the absolutely largest size any collection can be. (Any collection is contained in the universe by definition, and so is no bigger than the universe.) By Cantor’s theorem, though, the number of recombinations of all the objects exceeds the original number of objects. So the size of the recombinations is both larger than, and cannot be larger than, the universe,

This is Cantor’s paradox. Inconsistent mathematics is unique in that, if rigorously argued, Cantor’s paradox is a theorem.

2. Background

a. Motivations

There are at least two reasons to take an interest in inconsistent mathematics, which roughly fall under the headings of pure and applied. The pure reason is to study structure for its own sake. Whether or not it has anything to do with physics, for example, Reimann geometry is beautiful. If the ideas displayed in inconsistent mathematics are rich and elegant and support unexpected developments that make deep connections, then people will study it. G. H. Hardy’s A Mathematician’s Apology (1940) makes a stirring case that pure mathematics is inherently worth doing, and inconsistent mathematics provides some panoramic views not available anywhere else.

The applied reasons derive from a longstanding project at the foundations of mathematics. Around 1900, David Hilbert proposed a program to ensure mathematical security. Hilbert wanted:

  • to formalize all mathematical reasoning into an exact notation with algorithmic rules;
  • to provide axioms for all mathematical theories, such that no contradictions are provable (consistency), and all true facts are provable (completeness).

Hilbert’s program was (in part) a response to a series of conceptual crises and responses from ancient Greece through Issac Newton and G. W. Leibniz (see section 6 below) to Cantor. Each crisis arose due to the imposition of some objects that did not behave well in the theories of the day—most dramatically in Russell’s paradox, which seems to be about logic itself.

The inconsistency would not have been such trouble, except the logic employed at that time was explosive: From a contradiction, anything at all can be proved, so Russell’s paradox was a disaster. In 1931, Kurt Gödel’s theorems showed that consistency is incompatible with completeness, that any complete foundation for mathematics will be inconsistent. Hilbert’s program as stated is dead, and with it even more ambitious projects like Frege-Russell logicism.

The failure of completeness was hard to understand. Hilbert and many others had felt that any mathematical question should be amenable to a mathematical answer. The motive to inconsistency, then, is that an inconsistent theory can be complete. In light of Gödel’s result, an inconsistent foundation for mathematics is the only remaining candidate for completeness.

b. Perspectives

There are different ways to view the place of inconsistent mathematics, ranging from the ideological to the pragmatic.

The most extreme view is that inconsistent mathematics is a rival to, or replacement for, classical consistent mathematics. This seems to have been Routley’s intent. Routley wanted to perfect an “ultramodal universal logic,” which would be a flexible and powerful reasoning tool applicable to all subjects and in all situations. Routley argued that some subjects and situations are intractably inconsistent, and so the universal logic would be paraconsistent. He wanted such a logic to underly not only set theory and arithmetic, but metaphysics, ecology and economics. (For example, Routley and Meyer [1976] suggest that our economic woes are caused by using classical logic in economic theory.) Rotuley (1980, p.927) writes:

There are whole mathematical cities that have been closed off and partially abandoned because of the outbreak of isolated contradictions. They have become like modern restorations of ancient cities, mostly just patched up ruins visited by tourists.

In order to sustain the ultramodal challenge to classical logic it will have to be shown that even though leading features of classical logic and theories have been rejected, … by going ultramodal one does not lose great chunks of the modern mathematical megalopolis. … The strong ultramodal claim—not so far vindicated—is the expectedly brash one: we can do everything you can do, only better, and we can do more.

A more restrained, but still unorthodox, view is of inconsistency as a non-revisionary extension of classical theory. There is nothing wrong with the classical picture of mathematics, says a proponent of this position, except if we think that the classical picture exhausts all there is to know. A useful analogy is the extension of the rational numbers by the irrational numbers, to get the real numbers. Rational numbers are not wrong; they are just not all the numbers. This moderate line is found in Priest’s work. As articulated by da Costa (1974, p.498):

It would be as interesting to study the inconsistent systems as, for instance, the non-euclidean geometries: we would obtain a better idea of the nature of certain paradoxes, could have a better insight on the connections amongst the various logical principles necessary to obtain determinate results, etc.

In a similar vein, Chris Mortensen argues that many important questions about mathematics are deeper than consistency or completeness.

A third view is even more open-minded. This is to see all theories (within some basic constraints) as genuine, interesting and useful for different purposes. Jc Beall and Greg Restall have articulated a version of this view at length, which they call logical pluralism.

c. Methods

There are at least two ways to go about mathematical research in this field. The first is axiomatic. The second is model theoretic. The axiomatic approach is very pure. We pick some axioms and inference rules, some starting assumptions and a logic, and try to prove some theorems, with the aim of producing something on the model of Euclid, or Russell and A. N. Whitehead’s Principia Mathematica. This would be a way of obtaining results in inconsistent mathematics independently, as if we were discovering mathematics for the first time. On the axiomatic approach there is no requirement that the same theorems as classical mathematics be proved. The hardest work goes into choosing a logic that is weak enough to be paraconsistent, but strong enough to get results, and formulating the definitions and starting assumptions in a way that is compatible with the logic. Little work has so far been done using axiomatics.

By far more attention has been given to the model theoretic approach, because it allows inconsistent theories to “ride on the backs” of already developed consistent theories. The idea here is to build up models—domains of discourse, along with some relations between the objects in the domain, and an interpretation—and to read off facts about the attached theory. A way to do this is to take a model from classical mathematics, and to tinker with the interpretation, as in collapsed models of arithmetic (section 5 below). The model theoretic approach shows how different logics interact with different mathematical structures. Mortensen has followed through on this in a wide array of subjects, from the differential calculus to vector spaces to topology to category theory, always asking: Under what conditions is identity well-behaved? Let Φ(a) be some sentence about an object a. Mortensen’s question is, if a = b holds in a theory, then is it the case that Φ(a) exactly when Φ(b)? It turns out that the answer to this question is extremely sensitive to small changes in logic and interpretations, and the answer can often be “no.”

Most of the results obtained to date have been through the model theoretic approach, which has the advantage of maintaining a connection with classical mathematics. The model theory approach has the same disadvantage, since it is unlikely that radically new or robustly inconsistent ideas will arise from always beginning at classical ideas.

d. Proofs

It is often thought that inconsistent mathematics faces a grave problem. A very common mathematical proof technique is reductio ad absurdum. The concern, then, is that if contradictions are not absurd—a fortiori, if a theory has contradictions in it—then reductio is not possible. How can mathematics be done without the most common sort of indirect proof?

The key to working inconsistent mathematics is its logic. Much hinges on which paraconsistent logic we are using. For instance, in da Costa’s systems, if a proposition is marked as “consistent,” then reductio is allowed. Similarly, in most relevance logics, contraposition holds. And so forth. The reader is recommended to the bibliography for information on paraconsistent logic. Independently of logic, the following may help.

In classical logic, all contradictions are absurd; in a paraconsistent logic this is not so. But some things are absurd nevertheless. Classically, contradiction and absurdity play the same role, of being a rejection device, a reason to rule out some possibility. In inconsistent mathematics, there are still rejection devices. Anything that leads to a trivial theory is to be rejected. More, suppose we are doing arithmetic and hypothesize that Φ. But we find that Φ has as a consequence that j=k for every number j, k. Now, we are looking for interesting inconsistent structure. This may not be full triviality, but 0 = 1 is nonsense. Reject Φ.

There are many consistent structures that mathematicians do not, and will never, investigate, not by force of pure logic but because they are not interesting. Inconsistent mathematicians, irrespective of formal proof procedures, do the same.

3. Geometry

Intuitively, M. C. Escher’s “Ascending, Descending” is a picture of an impossible structure—a staircase that, if you walked continuously along it, you would be going both up and down at the same time. Such a staircase may be called impossible. The structure as a whole seems to present us with an inconsistent situation; formally, defining down as not up, then a person walking the staircase would be going up and not up, at the same time, in the same way, a contradiction. Nevertheless, the picture is coherent and interesting. What sorts of mathematical properties does it have? The answers to this and more would be the start of an inconsistent geometry.

So far, the study has focused on the impossible pictures themselves. A systematic study of these pictures is being carried out by the Adelaide school. Two main results have been obtained. First, Bruno Ernst conjectured that one cannot rotate an impossible picture. This was refuted in 1999 by Mortensen; later, Quigley designed computer simulations of rotating impossible Necker cubes. Second, all impossible pictures have been given a preliminary classification of four basic forms: Necker cubes, Reutersvärd triangles, Schuster pipes or fork, and Ernst stairs. It is thought that these forms exhaust the universe of impossible pictures. If so, an important step towards a fuller geometry will have been taken, since, for example, a central theme in surface geometry is to classify surfaces as either convex, flat, or concave.

Most recently, Mortensen and Leishman (2009) have characterized Necker cubes, including chains of Neckers, using linear algebra. Otherwise, algebraic and analytic methods have not yet been applied in the same way they have been in classical geometry. Inconsistent equational expressions are not at the point where a robust answer can be given to questions of length, area, volume etc. On the other hand, as the Adelaide school is showing, the ancient Greeks do not have a monopoly on basic “circles drawn in sand” geometric discoveries.

4. Set Theory

Set theory is one of the most investigated areas in inconsistent mathematics, perhaps because there is the most consensus that the theories under study might be true. It is here we have perhaps the most important theorem for inconsistent mathematics, Ross Brady’s (2006) proof that inconsistent set theory is non-trivial.

Set theory begins with two basic assumptions, about the existence and uniqueness of sets:

  • A set is any collection of objects all sharing some property Φ;
  • Sets with exactly the same members are identical.

These are the principles of comprehension (a.k.a. abstraction) and extensionality, respectively. In symbols,

x ∈ {z : Φ(z)} ↔ Φ(x);
x = y ↔ ∀z (zxzy).

Again, these assumptions seem true. When the first assumption, the principle of comprehension, was proved to have inconsistent consequences, this was felt to be highly paradoxical. The inconsistent mathematician asserts that a theory implying an inconsistency is not automatically equivalent to a theory being wrong.

Newton da Costa was the first to develop an openly inconsistent set theory in the 1960s, based on Alonzo Church’s set theory with a universal set, or what is similar, W. V. O. Quine’s new foundations. In this system, axioms like those of standard set theory are assumed, along with the existence of a Russell set

R = {x : xx}

and a universal set

V = {x : x = x}.

Da Costa has defined “russell relations” and extended this foundation to model theory, arithmetic and analysis.

Note that V ∈ V, since V = V. This shows that some sets are self-membered. This also means that V ≠ R, by the axiom of extensionality. On the other hand, in perhaps the first truly combinatorial theorem of inconsistent mathematics, Arruda and Batens (1982) proved

where ∪R is the union of R, the set of all the members of members of R. This says that every set is a member of a non-self-membered set. The Arruda-Batens result was obtained with a very weak logic, and shows that there are real set theoretical theorems to be learned about inconsistent objects. Arruda further showed that

where P (X) denotes all the subsets of X and ⊆ is the subset relation.

Routley, meanwhile, in 1977 took up his own dialetheic logic and used it on a full comprehension principle. Routley went as far as to allow a comprehension principle where the set being defined could appear in its own definition. A more mundane example of a set appearing in its own defining condition could be the set of “critics who only criticize each other.” One of Routley’s examples is the ultimate inconsistent set,

xZx Z.

Routley indicated that the usual axioms of classical set theory can be proven as theorems—including a version of the axiom of choice—and began work towards a full reconstruction of Cantorian set theory.

The crucial step in the development of Routley’s set theory came in 1989 when Brady adapted an idea from 1971 to produce a model of dialetheic set theory, showing that it is not trivial. Brady proves that there is a model in which all the axioms and consequences of set theory are true, including some contradictions like Russell’s, but in which some sentences are not true. By the soundness of the semantics, then, some sentences are not provable, and the theory is decidedly paraconsistent. Since then Brady has considerably refined and expanded his result.

A stream of papers considering models for paraconsistent set theory has been coming out of Europe as well. Olivier Esser has determined under what conditions the axiom of choice is true, for example. See Hinnion and Libert (2008) for an opening into this work.

Classical set theory, it is well known, cannot answer some fundamental questions about infinity, Cantor’s continuum hypothesis being the most famous. The theory is incomplete, just as Gödel predicted it would be. Inconsistent set theory, on the other hand, appears to be able to answer some of these questions. For instance, consider a large cardinal hypothesis, that there are cardinals λ such that for any κ < λ, also 2κ < λ. The existence of large cardinals is undecidable by classical set theory. But recall the universe, as we did in the introduction (section 1), and its size |V|. Almost obviously, |V| is such large a cardinal, just because everything is smaller than it. Taking the full sweep of sets into account, the hypothesis is true.

Set theory is the lingua franca of mathematics and the home of mathematical study of infinity. Since Zeno’s paradoxes it has been obvious that there is something paradoxical about infinity. Since Russell’s paradox, it has been obvious that there is something paradoxical about set theory. So a rigorously developed paraconsistent set theory serves two purposes. First, it provides a reliable (inconsistent) foundation for mathematics, at least in the sense of providing the basic toolkit for expressing mathematical ideas. Second, the mathematics of infinity can be refined to cover the inconsistent cases like Cantor’s paradox, and cases that have yet to be considered. See the references for what has been done in inconsistent set theory so far; what can be still be done in remains one of the discipline’s most exciting open questions.

5. Arithmetic

An inconsistent arithmetic may be considered an alternative or variant on the standard theory, like a non-euclidean geometry. Like set theory, though, there are some who think that an inconsistent arithmetic may be true, for the following reason.

Gödel, in 1931, found a true sentence G about numbers such that, if G can be decided by arithmetic, then arithmetic is inconsistent. This means that any consistent theory of numbers will always be an incomplete fragment of the whole truth about numbers. Gödel’s second incompleteness theorem states that, if arithmetic is consistent, then that very fact is unprovable in arithmetic. Gödel’s incompleteness theorems state that all consistent theories are terminally unable to process everything that we know is true about the numbers. Priest has argued in a series of papers that this means that the whole truth about numbers is inconsistent.

The standard axioms of arithmetic are Peano’s, and their consequences—the standard theory of arithmetic—is called P A. The standard model of arithmetic is N = {0, 1, 2, …}, zero and its successors. N is a model of arithmetic because it makes all the right sentences true. In 1934 Skolem noticed that there are other (consistent) models that make all the same sentences true, but have a different shape—namely, the non-standard models include blocks of objects after all the standard members of N. The consistent non-standard models are all extensions of the standard model, models containing extra objects. Inconsistent models of arithmetic are the natural dual, where the standard model is itself an extension of a more basic structure, which also makes all the right sentences true.

Part of this idea goes back to C. F. Gauss, who first introduced the idea of a modular arithmetic, like that we use to tell the time on analog clocks: On a clock face, 11 + 2 = 1, since the hands of the clock revolve around 12. In this case we say that 11 + 2 is congruent to 1 modulo 12. An important discovery in the late 19th century was that arithmetic facts are reducible to facts about a successor relation starting from a base element. In modular arithmetic, a successor function is wrapped around itself. Gauss no doubt saw this as a useful technical device. Inconsistent number theorists have considered taking such congruences much more seriously.

Inconsistent arithmetic was first investigated by Robert Meyer in the 1970’s. There he took the paraconsistent logic R and added to it axioms governing successor, addition, multiplication, and induction, giving the system R#. In 1975 Meyer proved that his arithemtic is non-trivial, because R# has models. Most notably, R# has finite models with a two element domain {0, 1}, with the successor function moving in a very tight circle over the elements. Such models make all the theorems of R# true, but keep equations like 0 = 1 just false.

The importance of such finite models is just this: The models can be represented within the theory itself, showing that a paraconsistent arithmetic can prove its own non-triviality. In the case of Meyer’s arithemetic, R# has a finitary consistency proof, formalizable in R#. Thus, in non-classical contexts, Gödel’s second incompleteness theorem loses its bite. Since 1976 relevance logicians have studied the relationship between R# and PA. Their hope was that R# contains PA as a subtheory and could replace PA as a stronger, more genuine arithmetic. The outcome of that project for our purposes is the development of inconsistent models of arithmetic. Following Dunn, Meyer, Mortensen, and Friedman, these models have now been extensively studied by Priest, who bases his work not on the relevant logic R but on the more flexible logic LP.

Priest has found inconsistent arithmetic to have an elegant general structure. Rather than describe the details, here is an intuitive example. We imagine the standard model of arithmetic, up to an inconsistent element

n = n + 1.

This n is suspected to be a very, very large number, “without physical reality or psychological meaning.” Depending on your tastes, it is the greatest finite number or the least inconsistent number. We further imagine that for j, k > n, we have j=k. If in the classical model jk, then this is true too; hence we have an inconsistency, j=k and jk. Any fact true of numbers greater than n are true of n, too, because after n, all numbers are identical to n. No facts from the consistent model are lost. This technique gives a collapsed model of arithmetic.

Let T be all the sentences in the language of arithmetic that are true of N; then let T(n) similarly be all the sentences true of the numbers up to n, an inconsistent number theory. Since T(n) does not contradict T about any numbers below n, if n > 0 then T(n) is non-trivial. (It does not prove 0 = 1, for instance.) The sentences of T(n) are representable in T(n), and its language contains a truth predicate for T(n). The theory can prove itself sound. The Gödel sentence for T(n) is provable in T(n), as is its negation, so the theory is inconsistent. Yet as Meyer proved, the non-triviality of T(n) can be established in T(n) by a finite procedure.

Most striking with respect to Hilbert’s program, there is a way, in principle, to figure out for any arithmetic sentence Φ whether or not Φ holds, just by checking all the numbers up to n. This means that T(n) is decidable, and that there must be axioms guaranteed to deliver every truth about the collapsed model. This means that an inconsistent arithmetic is coherent and complete.

6. Analysis

Newton and Leibniz independently developed the calculus in the 17th century. They presented ingenious solutions to outstanding problems (rates of change, areas under curves) using infinitesimally small quantities. Consider a curve and a tangent to the curve. Where the tangent line and the curve intersect can be though of as a point. If the curve is the trajectory of some object in motion, this point is an instant of change. But a bit of thought shows that it must be a little more than a point—otherwise, as a measure a rate of change, there would be no change at all, any more than a photograph is in motion. There must be some smudge. On the other hand, the instant must be less than any finite quantity, because there are infinitely many such instants. An infinitesimal would respect both these concerns, and with these provided, a circle could be construed as infinitely many infinitesimal tangent segments.

Infinitesimals were essential, not only for building up the conceptual steps to inventing calculus, but in getting the right answers. Yet it was pointed out, most famously by Bishop George Berkeley, that infinitesimals were poorly understood and were being used inconsistently in equations. Calculus in its original form was outright inconsistent. Here is an example. Suppose we are differentiating the polynomial f(x) =ax2+bx+c. Using the original definition of a derivative,

In the example, ε is an infinitesimal. It marks a small but non-trivial neighborhood around x, and can be divided by, so it is not zero. Nevertheless, by the end ε has simply disappeared. This example suggests that paraconsistent logic is more than a useful technical device. The example shows that Leibniz was reasoning with contradictory information, and yet did not infer everything. On the contrary, he got the right answer. Nor is this an isolated incident. Mathematicians seem able to sort through “noise” and derive interesting truths, even out of contradictory data sets. To capture this, Brown and Priest (2004) have developed a method they call “chunk and permeate” to model reasoning in the early calculus. The idea is to take all the information, including say ε = 0 and ε ≠ 0, and break it into smaller chunks. Each chunk is consistent, without conflicting information, and one can reason using classical logic inside of a chunk. Then a permeation relation is defined which controls the information flow between chunks. As long as the permeation relation is carefully defined, conclusions reached in one chunk can flow to another chunk and enter into reasoning chains there. Brown and Priest propose this as a model, or rational reconstruction, of what Newton and Leibniz were doing.

Another, more direct tack for inconsistent mathematics is to work with infinitesimal numbers themselves. There are classical theories of infinitesimals due to Abraham Robinson (the hyperreals), and J. H. Conway (the surreals). Mortensen has worked with differential equations using hyperreals. Another approach is from category theory. Tiny line segments (“linelets”) of length ϵ are considered, such that ϵ2 = 0 but it is not the case that ϵ = 0. In this theory, it is also not the case that ϵ ≠ 0, so the logical law of excluded middle fails. The category theory approach is the most like inconsistent mathematics, then, since it involves a change in the logic. However, the most obvious way to use linelets with paraconsistent logics, to say that both ϵ = 0 and ϵ ≠ 0 are true, means we are dividing by 0 and so is probably too coarse to work.

In general the concept of continuity is rich for inconsistent developments. Moments of change, the flow of time, and the very boundaries that separate objects have all been considered from the standpoint of inconsistent mathematics.

7. Computer Science

The questions posed by David Hilbert can be stated in very modern language:

Is there a computer program to decide, for any arithmetic statement, whether or not the statement can be proven? Is there a program to decide, for any arithmetic statement, whether or not the statement is true? We have already seen that Gödel’s theorems devastated Hilbert’s program, answering these questions in the negative. However, we also saw that inconsistent arithmetic overcomes Gödel’s results and can give a positive answer to these questions. It is natural to extend these ideas into computer science.

Hilbert’s program demands certain algorithms—a step-by-step procedure that can be carried out without insight or creativity. A Turing machine runs programs, some of which halt after a finite number of steps, and some of which keep running forever. Is there a program E that can tell us in advance whether a given program will halt or not? If there is, then consider the program E*, which exists if E does by defining it as follows. When considering some program x, E* halts if and only if x keeps running when given input x. Then

E* halts for E*
if and only if
E* does not halt for E*,

which implies a contradiction. Turing concluded that there is no E*, and so there is no E—that there cannot be a general decision procedure.

Any program that can decide in advance the behavior of all other programs will be inconsistent.

A paraconsistent system can occasionally produce contradictions as an output, while its procedure remains completely deterministic. (It is not that the machine occasionally does and does not produce an output.) There is, in principle, no reason a decision program cannot exist. Richard Sylvan identifies as a central idea of paraconsistent computability theory the development of machines “to compute diagonal functions that are classically regarded as uncomputable.” He discusses a number of rich possibilities for a non-classical approach to algorithms, including a fixed-point result on the set of all algorithmic functions, and a prototype for dialetheic machines.

Important results have been obtained by the paraconsistent school in Brazil—da Costa and Doria in 1994, and Agudelo and Carnielli in 2006. Like quantum computation, though, at present the theory of paraconsistent machines outstrips the hardware. Machines that can compute more than Turing machines await advances in physics.

8. References and Further Reading

a. Further Reading

Priest’s In Contradiction (2006) is the best place to start. The second edition contains material on set theory, continuity, and inconsistent arithmetic (summarizing material previously published in papers). A critique of inconsistent arithmetic is in Shapiro (2002). Franz Berto’s book, How to Sell a Contradiction (2007), is harder to find, but also an excellent and perhaps more gentle introduction.

Some of da Costa’s paraconsistent mathematics is summarized in the interesting collection Frontiers of Paraconsistency (2000)—the proceedings of a world congress on paraconsistency edited by Batens et al. More details are in Jacquette’s Philosophy of Logic (2007) handbook; Beall’s paper in that volume covers issues about truth and inconsistency.

Those wanting more advanced mathematical topics should consult Mortensen’s Inconsistent Mathematics (1995). For impossible geometry, his recent pair of papers with Leishman are a promising advance. His school’s website is well worth a visit. Brady’s Universal Logic (2006) is the most worked-out paraconsistent set theory to date, but not for the faint of heart.

If you can find it, read Routley’s seminal paper, “Ultralogic as Universal?”, reprinted as an appendix to his magnum opus, Exploring Meinong’s Jungle (1980). Before too much confusion arises, note that Richard Routley and Richard Sylvan, whose posthumous work is collected by Hyde and Priest in Sociative Logics and their Applications (2000), in a selfless feat of inconsistency, are the same person.

For the how-to of paraconsistent logics, consult both the entry on relevance and paraconsistency in Gabbay & Günthner’s Handbook of Philosophical Logic volume 6 (2002), or Priest’s textbook An Introduction to Non-Classical Logic (2008). For paraconsistent logic and its philosophy more generally see Routley, Priest and Norman’s 1989 edited collection. The collection The Law of Non-Contradiction (Priest et al. 2004) discusses the philosophy of paraconsistency, as does Priest’s Doubt Truth be a Liar (2006).

For the broader philosophical issues associated with inconsistent mathematics, especially in applications (for example, consequences for realism and antirealism debates), see Mortensen (2009a) and Colyvan (2009).

b. References

  • Arruda, A. I. & Batens, D. (1982). “Russell’s set versus the universal set in paraconsistent set theory.” Logique et Analyse, 25, pp. 121-133.
  • Batens, D., Mortensen, C. , Priest, G., & van Bendegem, J-P., eds. (2000). Frontiers of Paraconsistent Logic. Kluwer Academic Publishers.
  • Berto, Francesco (2007). How to Sell a Contradiction. Studies in Logic v. 6. College Publications.
  • Brady, Ross (2006). Universal Logic. CSLI Publications.
  • Brown, Bryson & Priest, G. (2004). “Chunk and permeate i: the infinitesimal calculus.” Journal of Philosophical Logic, 33, pp. 379–88.
  • Colyvan, Mark (2008). “The ontological commitments of inconsistent theories.” Philosophical Studies, 141(1):115 – 23, October.
  • Colyvan, Mark (2009). “Applying Inconsistent Mathematics,” in O. Bueno and Ø. Linnebo (eds.), New Waves in Philosophy of Mathematics, Palgrave MacMillan, pp. 160-72
  • da Costa, Newton C. A. (1974). “On the theory of inconsistent formal systems.” Notre Dame Journal of Formal Logic, 15, pp. 497– 510.
  • da Costa, Newton C. A. (2000). Paraconsistent mathematics. In Batens et al. 2000, pp. 165–180.
  • da Costa, Newton C.A., Krause, D´ecio & Bueno, Ot´avio (2007). “Paraconsistent logics and paraconsistency.” In Jacquette 2007, pp. 791 – 912.
  • Gabbay, Dov M. & Günthner, F. eds. (2002). Handbook of Philosophical Logic, 2nd Edition, volume 6, Kluwer.
  • Hinnion,Roland & Libert, Thierry (2008). “Topological models for extensional partial set theory.” Notre Dame Journal of Formal Logic, 49(1).
  • Hyde, Dominic & Priest, G., eds. (2000). Sociative Logics and their Applications: Essays by the Late Richard Sylvan. Ashgate.
  • Jacquette, Dale, ed. (2007). Philosophy of Logic. Elsevier: North Holland.
  • Libert, Thierry (2004). “Models for paraconsistent set theory.” Journal of Applied Logic, 3.
  • Mortensen, Chris (1995). Inconsistent Mathematics. Kluwer Academic Publishers.
  • Mortensen, Chris (2009a). “Inconsistent mathematics: Some philosophical implications.” In A.D. Irvine, ed., Handbook of the Philosophy of Science Volume 9: Philosophy of Mathematics. North Holland/Elsevier.
  • Mortensen, Chris (2009b). “Linear algebra representation of necker cubes II: The routley functor and necker chains.” Australasian Journal of Logic, 7.
  • Mortensen, Chris & Leishman, Steve (2009). “Linear algebra representation of necker cubes I: The crazy crate.” Australasian Journal of Logic, 7.
  • Priest, Graham, Beall, J.C. & Armour-Garb, B., eds. (2004). The Law of Non-Contradiction. Oxford: Clarendon Press.
  • Priest, Graham (1994). “Is arithmetic consistent?” Mind, 103.
  • Priest, Graham (2000). “Inconsistent models of arithmetic, II: The general case.” Journal of Symbolic Logic, 65, pp. 1519–29.
  • Priest, Graham (2002). “Paraconsistent logic.” In Gabbay and Günthner, eds. 2002, pp. 287–394.
  • Priest, Graham (2006a). Doubt Truth Be A Liar. Oxford University Press.
  • Priest, Graham (2006b). In Contradiction: A Study of the Transconsistent. Oxford University Press. second edition.
  • Priest, Graham (2008). An Introduction to Non-Classical Logic. Cambridge University Press, second edition.
  • Priest, Graham, Routley, R. & Norman, J. eds. (1989). Paraconsistent Logic: Essays on the Inconsistent. Philosophia Verlag.
  • Routley, Richard (1977). “Ultralogic as universal?” Relevance Logic Newsletter, 2, pp. 51–89. Reprinted in Routley 1980.
  • Routley, Richard (1980). “Exploring Meinong’s Jungle and Beyond.” Philosophy Department, RSSS, Australian National University, 1980. Interim Edition, Departmental Monograph number 3.
  • Routley, Richard & Meyer, R. K. (1976). “Dialectical logic, classical logic and the consistency of the world.” Studies in Soviet Thought, 16, pp. 1–25.
  • Shapiro, Stewart (2002). “Incompleteness and inconsistency.” Mind, 111, pp. 817 – 832.

Author Information

Zach Weber
Email: zweber@unimelb.edu.au
University of Sydney, University of Melbourne
Australia

Philosophy of Language

Those who use the term “philosophy of language” typically use it to refer to work within the field of Anglo-American analytical philosophy and its roots in German and Austrian philosophy of the early twentieth century. Many philosophers outside this tradition have views on the nature and use of language, and the border between “analytical” and “continental” philosophy is becoming more porous with time, but most who speak of this field are appealing to a specific set of traditions, canonical authors and methods. The article takes this more narrow focus in order to describe a tradition’s history, but readers should bear in mind this restriction of scope.

The history of the philosophy of language in the analytical tradition begins with advances in logic and with tensions within traditional accounts of the mind and its contents at the end of the nineteenth century. A revolution of sorts resulted from these developments, often known as the “Linguistic Turn” in philosophy. However, its early programs ran into serious difficulties by mid-twentieth century, and significant changes in direction came about as a result. Section 1 below addresses the precursors and early stages of the “Linguistic Turn,” while Section 2 addresses its development by the Logical Positivists and others. Section 3 outlines the sudden shifts that resulted from the works of Quine and Wittgenstein, and Section 4 charts the major approaches and figures that have followed from mid-century to the present.

Table of Contents

  1. Frege, Russell and the Linguistic Turn
    1. Referential Theories of Meaning
    2. Frege on Sense and Reference
    3. Russell
  2. Early Analytical Philosophy of Language
    1. The Tractatus Logico-Philosophicus
    2. The Vienna Circle and the Logical Positivists
    3. Tarski’s Theory of Truth
  3. Mid-century Revolutions
    1. Quine and the Analytic/Synthetic Distinction
    2. The Later Wittgenstein
  4. Major Areas in the Contemporary Field
    1. Truth-Conditional Theories of Meaning
    2. Meaning and Use
    3. Speech Act Theory and Pragmatics
  5. Future Directions and Emerging Debates
  6. References and Further Reading

1. Frege, Russell and the Linguistic Turn

a. Referential Theories of Meaning

Much of the stage-setting for the so-called “Linguistic Turn” in Anglo-American philosophy took place in the mid nineteenth century. Attention turned to language as many came to see it as a focal point in understanding belief and representation of the world. Language came to be seen as the “medium of conceptualization,” as Wilfrid Sellars would later put it. Idealists working in Kant’s wake had developed more sophisticated “transcendental” accounts of the conditions for the possibility of experience, and this evoked strong reactions from more realist philosophers and those sympathetic to the natural sciences. Scientists also made advances in the 1860s and 70s in describing cognitive functions, like speech production and comprehension, as natural phenomena, including their discovery of Broca’s area and Wernicke’s area, which are two neural centers of linguistic activity.

John Stuart Mill‘s work around this time reinvigorated British empiricism and included an approach to language that traced the meanings of individual words to the objects to which they referred (see 1843, 1, 2, sec. 5). Mill’s empiricism led him to think that for meaning to have any significance for our thought and understanding, we must explain it in terms of our experience. Thus, meaning should ultimately be understood in terms of words standing for sets of sense impressions. Not all those concerned with language shared Mill’s empiricist leanings, though most shared his sense that denotation, rather than connotation, should be at the center of an account of meaning. A word denotes something by standing for it, as my name stands for me, or “Baltimore” stands for a particular city on America’s East Coast; a word connotes something when it “implies an attribute” in Mill’s terms, as “professor” generally implies an expert in an academic field and someone with certain sorts of institutional authority. For most expressions, philosophers thought that to grasp their meaning was to know what they stood for, as we often think of proper names serving simply as labels for the things they denote. (Mill also tended to use “meaning” in talking about connotation, and might have reservations with saying that proper names had “meanings,” though this is not to deny that they denote things.) Thus,

(1) The cat sat on the refrigerator.

should be understood as a complex arrangement of signs. “The cat” denotes or refers to a particular furry domesticated quadruped, “the refrigerator” denotes something, and so forth. Some further elaboration would be needed for verbs, logical vocabulary and other categories of terms, but most philosophers took the backbone of an account of meaning to be denotation, and language use to be a process of the management of signs. These signs might denote objects directly, or they might do so indirectly by standing for something within our minds, following Locke, who described words as “signs of ideas” (1690, III, 1).

Accounts that emphasized the reference of terms as constitutive of the meaning of most expressions faced two serious problems, however. First, they failed to explain the possibility of non-referring terms and negative existential sentences. On such a referential picture of meaning, the meaning of most expressions would simply be their bearers, so an existential sentence like

(2) John Coltrane plays saxophone.

was easy to analyze. Its subject term, “John Coltrane,” referred to a particular person and the sentence says of him that he does a particular sort of thing: he plays saxophone. But what of a sentence like

(3) Phlogiston was thought to be the cause of combustion.

Assuming that there is not and never was such a thing as phlogiston, how can we understand such a sentence? If the meaning of those expressions is their referent, then this sentence should strike us as meaningless. Meinong (1904) suggested that such expressions denote entities that “subsist,” but do not exist, by which he granted them a sort of reality, albeit one outside the actual universe. The majority of philosophers treated this with suspicion. Others suggested that the expression above denotes the concept or idea of “phlogiston.” The difficulty facing such responses comes into sharper relief with consideration of negative existentials.

(4) Atlantis does not exist.

If Atlantis does not exist, the expression “Atlantis” does not refer to anything and would have no meaning. One could say that “Atlantis” refers not to a sunken city, but to our concept of a sunken city. But this has the paradoxical result of making (4) false, since the concept is there for us to refer to, thus rendering it impossible to deny. This might even entail that we could not truthfully deny the existence of anything of which we could conceive, which seems implausible.

The second serious problem for referential theories of meaning, noted by Frege (1892), was the informativeness of some identity sentences. Sentences of self-identity are true purely in virtue of their logical form, and we may affirm them even when we do not know what the expression refers to. For instance, anyone could affirm

(5) Mt. Kilimanjaro is Mt. Kilimanjaro.

even if they do not know what Mt. Kilimanjaro is. Making this statement in such a case would not inform our understanding of the world in any significant way. However, a sentence like

(6) Mt. Kilimanjaro is the tallest mountain in Africa.

would certainly be informative to those who first heard it. But remember that according to referential theories of meaning, “Mt. Kilimanjaro” and “the tallest mountain in Africa” refer to the same thing and hence mean the same thing according to these theories; therefore, (5) and (6) say the same thing and one should be no more or less informative than the other. Where we grasp the meaning of an expression or a sentence, philosophers have traditionally taken it that this should make some sort of cognitive difference, for example, we should be able to perform an action, make an inference, recognize something, and so on. Thus differences in the meanings of expressions should be reflected by some difference in cognitive significance between the expressions. But if expressions refer to the same thing, and their meaning consists solely in their picking out a referent, then there should be no such cognitive difference even if there is apparently a difference in meaning. Simple referential theories do not offer us an obvious solution to this problem and therefore fail to capture important intuitions about meaning.

b. Frege on Sense and Reference

To address these problems, Frege proposed that we should think of expressions as having two semantic aspects: a sense and a reference. The sense of an expression would be its “mode of presentation,” as Frege put it, that conveyed information to us in its own distinct way. That information would in turn determine a referent for each expression. This led to a credo pervasive in analytical philosophy: sense determines reference. This solved problems of reference by shifting the emphasis to the sense of expressions first and to their reference later. Negative existential sentences were intelligible because the sense of an expression like “largest prime number” or “Atlantis” could be logically analyzed or made explicit in terms of other descriptions, even if the set of things specified by this information was, in fact, empty. Our belief that these sentences and expressions were meaningful was a consequence of grasping their senses, even when we realized this left them without a referent. As Frege put it:

It can perhaps be granted that an expression has a sense if it is formed in a grammatically correct manner and stands for a proper name. But as to whether there is a denotation corresponding to the connotation is hereby not decided… [T]he grasping of a sense does not with certainty warrant a corresponding nominatum. [that is, referent] (1892: p. 153 in Beaney (1997))

The informativeness of some identity claims also became clearer. In a sentence like (5), we are simply stating self-identity, but in a sentence like (6), we express something of real cognitive significance, containing extensions of our knowledge that cannot generally be shown a priori. This would not be a trivial matter of logical form like “A=A,” but a discovery that two very different senses determined the same referent, which would suggest important conceptual connections between different ideas, inform further inferences, and thus enlighten us in various ways. Even if “Mt. Kilimanjaro” and “the tallest mountain in Africa” refer to the same thing, it would be informative to learn that they do, and we would augment our understanding of the world by learning this.

Frege also noted that expressions which shared their referents could generally be substituted for one another without changing the truth value of a sentence. For instance, “Elvis Costello” and “Declan McManus” refer to the same object, and so if “Elvis Costello was born in Liverpool” is true, so is, “Declan McManus was born in Liverpool.” Anything that we might predicate of the one, we may predicate of the other, so long as the two expressions co-refer. However, Frege realized that there were certain contexts in which this substitutability failed, or at least could not be guaranteed. For instance,

(7) Liz knows that Elvis Costello was born in Liverpool.

may be true, even when

(8) Liz knows that Declan McManus was born in Liverpool.

is false, especially in cases where Liz does not know that Elvis Costello is Declan McManus, or never learns the latter name at all. What has happened here? Note that (7) and (8) both include strings of words that could be sentences in their own right (“Elvis Costello was born in Liverpool” and “Declan McManus was born in Liverpool”). “Liz knows that…” expresses something about those propositions (namely, Liz’s attitude towards them). Frege suggested that in these cases, the reference of those embedded sentences is not a truth value, as it would customarily be, but is rather the sense of the sentence itself. Someone might grasp the sense of one sentence but not another, and hence sentences like (7) and (8) could vary in their truth values. Frege called these “indirect” contexts, and Quine would later dub such cases “opaque” contexts.

Rudolf Carnap would later replace the term “sense” with “intension” and “reference” with “extension.” Carnap’s terminology became prevalent in formal analysis of semantics by the 1950s, though it was Frege’s original insights that drove the field. Significant worries remained for the Fregean notion of sense, however. Names and other expressions in natural languages rarely have fixed sets of descriptions that are universally acknowledged as Frege’s senses would have to be. Frege might reply that he had no intention of making sense a matter of public consensus or psychological regularity, but this makes the status of a sense all the more mysterious, as well as our capacity to grasp them. Analytical philosophers of language would struggle with this for decades to come.

Still, Frege had effectively redrawn the map for philosophy. By introducing senses as a focal point of analysis, he had carved out a distinct territory for philosophical inquiry. Senses were not simply psychological entities, since they were both commonly accessible by different speakers and had a normative dimension to them, prescribing correct usage rather than simply describing performance. (See Frege (1884) for a thorough attack on psychologistic accounts of meaning.) Nor were they the causal and mechanical objects of natural science, reducible to accounts of lawlike regularity. They were entities playing a logical and cognitive role, and would be both explanatory of conceptual content and universal across natural languages, unlike the empirical details of linguistics and anthropology. Thus, there was a project for philosophy to undertake, separate from the natural sciences, and it was the logical analysis of the underlying structure of meaning. Though naturalistic concerns would be reasserted in the development of analytical philosophy, Frege’s project would come to dominate Anglo-American philosophy for much of the next century.

c. Russell

An important bridge between Frege and the English-speaking world was Bertrand Russell’s “On Denoting” (1905). Both men were mathematicians by training and shared a concern with the foundations of arithmetic. However, Russell shared a sense with some earlier philosophers that at least some expressions were meaningful in virtue of direct reference, contra Frege. Still, Russell saw the potential in Frege’s work and undertook an analysis of singular definite descriptions. These are complex expressions that purport to single out a particular referent by providing a description, for example, “the President of the USA,” or “the tallest person in this room right now.” Russell wondered how

(9) The present King of France is bald.

could be meaningful, given the absence of a present King of France. Russell’s solution was to analyze the logical role of such descriptions. Although a select few expressions referred directly to objects, most were either descriptions that picked out a referent by offering a list of properties, or disguised abbreviations of such descriptions. Russell even suggested that most proper names were abbreviated descriptions. Strictly speaking, descriptions would not refer at all; they would be quantified phrases that had or lacked extensions. What was needed was an account that could explain the meaning of descriptions in terms of the propositions that they abbreviated. Russell (1905) analyzed sentence (9) as implying three things that jointly gave us a definition of propositions involving descriptions. (A more succinct presentation comes in Russell (1919).) A sentence like “The author of Waverley was Scott” involves three logical constituents:

(10) “x wrote Waverley” is not always false (i.e at least one person wrote Waverley)

(11) “if x and y wrote Waverley , x and y are identical” is always true (that is, at most one person wrote Waverley)

(12) “if x wrote Waverley, x was Scott” is always true (that is, whoever wrote Waverley was Scott)

The first two here effectively assert the existence and uniqueness of the referent of this expression, respectively. We may generalize them and express them as a single proposition of the form “There is a term c such that Fx is true when x is c, and Fx is false when x is not c.” (Thus, F is held uniquely by c.) This asserts that there is a unique satisfier of the description given or implied by an expression, and this may be true or false depending on the expression at hand. We can then tack on an additional condition expressing whatever property is attributed to the referent (being bald, Scott, and so on) in the form “c has the property Y.” If nothing has the property F thus analyzed, (such as “being the present King of France” in (9) above) then “c has the property Y” is false, and we have a means to analyze non-denoting expressions. Such expressions are actually to be understood as quantified phrases and we may understand them as having objects over which they quantify or lacking such objects; the grasp of the logical structure of those phrases is what constitutes our understanding of them. While we grasp each of the parts abbreviated by the expression, we also understand that one of them is false—there is no unique satisfier of “the present King of France”—and thus we can understand the sentence “The present king of France is bald” even though one of its terms does not refer. That expression can have a significant occurrence once we understand it as an “incomplete” or “complex” symbol whose meaning is derived from its constituents. Most proper names, and indeed almost all expressions in a natural language, would submit to such an analysis, and Russell’s work thus kick-started analytical philosophy in the English-speaking world. (Significant contributions were also made by G.E. Moore in the fields of epistemology and ethics and hence he is often mentioned along with Russell, but Moore’s achievements are largely outside the scope of our focus here.)

2. Early Analytical Philosophy of Language

The achievements of Russell and Frege, in setting an agenda for analytical philosophers that promised to both resolve longstanding philosophical difficulties and preserve a role for philosophy on an equal footing with the natural sciences, electrified European and American academic philosophers. The following section focuses on three points of interest in the early phases of this tradition: (1) the early work of Ludwig Wittgenstein; (2) the Logical Positivists; and (3) Tarski‘s theory of truth.

a. The Tractatus Logico-Philosophicus

Ludwig Wittgenstein came to read Frege and Russell out of an interest in the foundations of mathematics and went to Cambridge to study with Russell. He studied there, but left to serve in the Austro-Hungarian army in 1914. While being held as a prisoner of war, he wrote drafts of a text that many saw as the high-water mark of early analytical philosophy, the Tractatus Logico-Philosophicus. In it, he wrote seven propositions and made extensive comments on six of them, with extensive comments on the comments, and so forth. He laid out a parsimonious and ambitious plan to systematically realize Frege and Russell’s aspirations of analyzing the logical structure of language and thought.

Through logical analysis, Wittgenstein held that we could arrive at a conception of language as consisting of elementary propositions related by the now-familiar elements of first-order logic. Any sentence with a sense could have that sense perspicuously rendered in such a system, and any sentence that did not yield to such analysis would not have a sense at all. “Everything that can be thought at all can be thought clearly. Everything that can be said can be said clearly.” (1922, §4.116) Wittgenstein’s claim here is not that we cannot string together words in unclear ways; indeed, we do that all the time. Rather, in doing so, we do not express anything that has a sense. What we say may get nods of approval from fellow speakers, and we may even be grasping at something important, but what we say does not convey anything meaningful.

In part, this reflects Wittgenstein’s early view that propositions “pictured” the world. This is not to say that a written inscription or a verbal utterance of a sentence visually resembles that state of affairs it expresses. “Elvin Jones played drums for John Coltrane” looks like neither Elvin Jones, nor John Coltrane, nor a drum set. Rather, the form of a proposition resembled the form of some fact of the world. What was required to understand this as a picture of the world was just what was needed in the case of actual pictures—a coordination of the elements in the picture with objects outside itself. (Logical truths would be true in virtue of relations among their propositions.) Where we could do this, the language was stating something clearly; where we could not, despite our best efforts, the words were not saying anything at all. However, this was not to say that everything about meaning and our understanding of the world was a matter of explicit definition, that is, something we could say. Rather than being said with our language, many things can only be shown. For instance, think of a logical expression like “and.” Any attempt to explain its sense, like putting two things side by side, or using another term like “both,” only recapitulates the structure of “and,” thus adding nothing. The form of our propositions shows how it works and we cannot say anything more informative about it. Wittgenstein also espoused a number of views at the end of the Tractatus on solipsism, the will, and ethics, and what could be said about them; but these remain some of the most difficult and contested points of interpretation in his work. Wittgenstein took himself to have prescribed the limits of what philosophy could say, and he closed the Tractatus without further comment by saying, “Whereof we cannot speak, we must remain silent.” (1922, §7)

b. The Vienna Circle and the Logical Positivists

Beginning in 1907, a group of European professors originally known as the Ernst Mach Society began to meet regularly for discussions on matters of logic, philosophy and science under the guidance of Moritz Schlick. They later took to calling themselves the Vienna Circle and their ongoing conversations became the nascence of a movement known as Logical Positivism, which would include Carl Hempel, Rudolf Carnap, and Hans Reichenbach, among many others. They rejected the Hegelian idealism prevalent in European academic circles, espoused the austere precision of science, particularly physics, as a model for their methods, and took the phenomenalist strains of British empiricism as a more suitable epistemological foundation for such goals. Carnap adopted the insights of Frege’s work and brought tremendous sophistication to the analytical enterprise, particularly in his The Logical Structure of the World (1928). The Logical Positivists also took inspiration from Wittgenstein’s Tractatus, but their fidelity to his more abstruse aims is tenuous at best. They shared Wittgenstein’s view that logical proofs were true in virtue of internal relations among their propositions, not by virtue of any actual facts about the world, and parsed this as support for a renewed version of the analytic/synthetic distinction. Analytic sentences were those true solely in virtue of the meanings of their constituent expressions (“All bachelors are unmarried”) while synthetic sentences were true partly in virtue of empirical facts beyond the meanings of their constituent terms (“Flynn is a bachelor”). Analytic sentences would be confirmed by logical analysis, while synthetic sentences would be confirmed by appeal to observation sentences, or to sense-data in even more rigorous accounts.

This led the Positivists to the Verificationist Theory of Meaning. Analytic sentences would be true in virtue of the meanings of their terms, while all synthetic sentences would have to admit to some sort of empirical verification criteria. Any sentence that could not be verified by one or the other of these means was deemed meaningless. This excluded claims with mystical or occult import, but also large areas of ethics and metaphysics as practiced by many philosophers. Schlick (1933) put it boldly, saying:

[A] proposition has a statable meaning only if it makes a verifiable difference whether it is true or false. A proposition which is such that the world remains the same whether it is true or false simply says nothing about the world; it is empty and communicates nothing; I can give it no meaning. We have a verifiable difference, however, only when it is a difference in the given… (Ayer 1959, p. 88)

By “given” here, Schlick alluded to the stream of sense-data that come before us. Few if any sentences were understood in such ways by most speakers, so the work of philosophy was logical analysis and definition of the concepts of the natural sciences into verificationist terms. While one could imagine empirical verification of many things in the physical sciences (for example, laboratory results, predictions with observable consequences), it would be far more difficult in fields like psychology and ethics. In these cases, the Positivists favored a type of logical reductionism for the pertinent sentences in the discourse. All sentences and key concepts in psychology would be reduced to empirically verifiable sentences about the behavior of thinking subjects, for instance. A sentence about a mental state like anger would be reduced to sentences about observable behavior such as raising one’s voice, facial expressions, becoming violent, and so on. This would require “bridge laws” or sentences of theoretical identity to equate the entities of, say, psychology with the entities of the physical sciences and thus translate the terms of older theories into new ones. (Again, in some cases the preferred mode would be to equate them directly with sense-data.) Where this could not be done, the Positivists took it that the sentences in question were meaningless, and they advocated the elimination of many canonical concepts, sentences and theories, derisively lumped under the term “metaphysics.” A sentence like “God exists outside of space and time” was certainly not true in virtue of the meanings of its terms and did not admit to any sort of empirical test, so it would be dismissed as gibberish.

The Verificationist theory of meaning ran into great difficulty almost immediately, often due to objections among the Positivists. For one, any sentence stating the theory itself was neither analytical, nor subject to empirical verification, so it would seem to be either self-refuting or meaningless. Universal generalizations including scientific laws like “All electrons have a charge of 1.6×10-19 coulombs” were also problematic, since they were not deducible from finite sets of observation sentences. (See Hempel (1950), esp. §2.1) Counterfactual sentences, such as “If we dropped this sugar cube in water, it would dissolve,” present similar problems. Efforts at refinement continued, though dissatisfaction with the whole program was growing by mid-century.

c. Tarski’s Theory of Truth

In two seminal works (1933 and 1944), Alfred Tarski made a great leap forward for the rigorous analysis of meaning, showing that semantics could be treated just as systematically as syntax could. Syntax, the rules and structures governing the recombination of words and phrases into sentences, had been analyzed with some success by logicians, but semantic notions like “meaning” or “truth” defied such efforts for many years.

Tarski sought an analysis of the concept of truth that would contain no explicit or implicit appeals to inherently semantic notions, and offered a definition of it in terms of syntax and set theory. He began by distinguishing metalanguage and object language; an object language is the language (natural or formal) that is our target for analysis, while the metalanguage is the language in which we conduct our analysis. Metalanguage is the language that we use to study another language, and the object language is the language that we study. For instance, children learning a second language typically take classes conducted in their mother tongue that treat the second language as an object to be studied. Thus, copies of all the sentences of the object language should be included in the metalanguage and the metalanguage should include sufficient resources to describe the syntax of the object language, as well. In effect, an object language would not contain its own truth predicate—this could only occur in a metalanguage, since it requires speakers to talk about sentences themselves, rather than actually to use them. There is great controversy about the shape that a metalanguague would have to take to enable analysis of a natural language, and Tarski openly doubted that these methods would transfer easily from formal to natural languages, but we will not delve into these issues here.

Tarski argued that a definition of truth would have to be “formally correct” or as he put it:

(14) For all x, True(x) iff Fx.

or a sentence provably equivalent to this, where “true” was not part of F. This much was a largely formal condition, but Tarski added a more robust call for “material adequacy” or a sense that our definition had succeeded in capturing the sorts of correspondence between states of affairs and sentences classically associated with truth. So, for instance, our truth definition had to imply a sentence like:

(15) “Snow is white” is true iff snow is white.

Note that the quotes here make the first half of this metalanguage sentence about the object language sentence “Snow is white”; the second half of the metalanguage sentence is about snow itself. Tarski then offered a definition of truth

“A sentence is true if it is satisfied by all objects and false otherwise.” (1944, p. 353)

where satisfaction is a relation between arbitrary objects and sentential functions, and sentential functions are expressions with a formal structure much like ordinary sentences, but which contain free variables, for example, “x is blue” or “x is greater than y.” Tarski thought we might indicate which objects satisfied the simplest sentential functions and then offer a further set of conditions under which compound functions were satisfied in terms of those simple functions. (Further refinements were made to a 1956 edition of the paper to accommodate certain features of model theory that we will not discuss here.) Once Tarksi added an inductive definition of the other operators of first-order logic, a definition of truth had apparently been given without appeal to inherently semantic notions, though Field (1972) would argue that “designation” and “satisfaction” were semantic notions as well. Whether this should be read as a deflationary account of truth or an analysis of a robust correspondence theory was a point of great debate among analytical philosophers, but much like Frege’s earlier work, it played the far more momentous role of convincing further generations of logicians and philosophers that the analysis of traditionally intractable philosophical notions with the tools of modern logic was both within their grasp and immensely rewarding.

3. Mid-century Revolutions

By the middle of the 20th century, the approach spawned by Frege, Moore and Russell had taken root with the Logical Positivists. The Second World War did a great deal to scatter the most talented philosophers from the Continent, and many settled at universities in Great Britain and the United States, spreading their views and influencing generations of philosophers to come. However, the analytical tradition always had a robust streak of criticism from within, and some of the pillars of the early orthodoxy were already under some suspicion from members of the Vienna Circle like Otto Neurath (see his (1933)) and gadflies like Karl Popper. The next section addresses the work of two figures, Quine and the later Wittgenstein, who challenged received views in the philosophy of language and served as transitional figures for contemporary views.

a. Quine and the Analytic/Synthetic Distinction

W.V.O. Quine (1953) went after the very core of Logical Positivism, and in effect analytical philosophy, by attacking the analytic/synthetic distinction. The Positivists had been happy to admit a distinction between sentences that were true in virtue of the meanings of their terms and those that were true in virtue of the facts, but Quine brought a certain skepticism about the meanings of individual expressions to the table. Much like the Positivists, he was wary of anything that would not admit to empirical confirmation and saw meaning as one more such item.

Quine dismissed the idea of a meaning as a real item somehow present in our minds beyond the ways in which it manifests itself in our behavior. He later dubbed this “the myth of the museum”—a place “in which the exhibits are the meanings and the words are the labels.” (1969, p. 27) In a strongly empiricist spirit, he argued that we have no access to such things in our experience, thus they could not explain our linguistic behavior, and therefore they had no rightful place in our account. Quine wondered whether there was a principled distinction between analytic and synthetic statements at all. In reviewing the prevailing ideas of analyticity, he found each one inadequate or question-begging. Analyticity was a dogma, an article of faith among empiricists (especially Logical Positivists) and one that could not stand closer scrutiny. Moreover, the Positivists paired analyticity with a second dogma, empirical reductionism, the view that each sentence or expression could be assigned its own distinctive slice of empirical content from our experience. Quine’s claim was not that we should not be empiricists or worry about such empirical content, but rather that no individual sentence or expression could be allotted such content all on its own. The sentences of our language operate in conjunction with one another to “face the tribunal of experience” as a whole. This holism entailed a certain egalitarianism among the sentences to which we commit ourselves, as well. Any claim could be held true, come what may, if we were willing to revise other parts of our “web of belief” to accommodate it, and any claim—even one we took to be a claim about meaning before, like “all bachelors are unmarried”—could be revised if conditions demanded it. (1953, p.43) Some sentences would have a relatively strong immunity from revision, for example, the laws of logic, but they enjoy that status only because of their centrality in our present ways of thinking. Other, less central claims could be revised more easily, perhaps with only passing interest, for example, claims about the number of red brick houses on Elm St. This wide-open revisability came to set a tone for epistemology in analytical philosophy during the latter half of the 20th century.

Without tidy parcels of empirical content or analytic truths to anchor an account of meaning, Quine saw little use for meaning at all. Instead, his work focused on co-reference and assent among speakers. In Word and Object (1960), he suggested that our position as speakers is much like that of a field linguist attempting to translate a newly discovered language with no discernible connections to other local languages. He dubbed this approach “radical translation.” Faced with such a situation, we would search for recurring expressions and attempt to secure referents for them. In his classic example, we stand around with the locals, notice that rabbits occasionally run by and that the locals mutter “Gavagai” when the rabbits pass; we might be moved by this to translate their utterances as our own word “rabbit.” Thinking of the translatability of one utterance with another thus achieves the same sort of theory-building effect that talk of shared meaning did, but without appeal to abstract objects like meanings. However, this also led to Quine’s thesis of the “indeterminacy of translation.” When we form such hypotheses based on observations of speakers’ behavior, that evidence always underdetermines our hypothesis, and the evidence could be made to fit other translations, even if they start to sound a bit strange to us. Hence, “gavagai” might also be translated as “dinner” (if the locals eat rabbits) or “Lo, an undetached rabbit part!” We might narrow the plausible translations a bit with further observation, though not to the logical exclusion of all others. Direct queries of the local speakers might also winnow the set of plausible translations a bit, but this presumes a command of a great deal of abstract terminology that we share with those speakers, and this command would presumably rest upon a shared understanding of the simpler sorts of vocabulary with which we started. Hence, nothing that we can observe about those speakers will completely determine the correctness of one translation over all competitors and translation is always indeterminate. This is not to say that we should not prefer some translations over others, but our grounds for doing so are usually pragmatic concerns about simplicity and efficiency, We should also note that each speaker is in much the same position when it comes to understanding other speakers even in her mother tongue; we have only the observable behaviors of other speakers and familiarity with our own usage of such terms, and we must make ongoing assessments of other speakers in conversation in just these ways. Donald Davidson, Quine’s student, would continue to develop these ideas even further in Quine’s wake. Davidson emphasized that the interpretations we create of the expressions in our native language are no less radical than what Quine was suggesting of the field linguist’s attempted translations of radically new expressions (see his 1984).

Quine’s work inspired many, but also came under sharp attack. The behaviorism at the heart of his account has fallen out of favor with the majority of philosophers and cognitive scientists. Much of Noam Chomsky’s (1959) critique of B.F Skinner may be said to apply to Quine’s work. The emphasis on innateness and tacit knowledge in Chomsky’s work has been subject to intense criticism as well, but this criticism has not pointed philosophers and linguists back towards the sort of strongly behaviorist empiricism on which Quine’s account was founded. Still, most contemporary philosophers of language owe some debt to Quine for dismantling the dogmas of early analytical philosophy and opening new avenues of inquiry.

b. The Later Wittgenstein

Wittgenstein left Cambridge in the early 1920s and pursued projects outside academia for several years. He returned in 1929 and began doing very different sorts of work. It is a matter of great debate, even among Wittgenstein acolytes, how much affinity there is between these stages. Many philosophers of language will speak of “the later Wittgenstein” as though the earlier views were wholly different and incompatible, while others insist that there is strong continuity of themes and methods. Though his early work was widely misunderstood at the time, there can be little doubt that some important changes took place, and these are worth noting here.

In the posthumously published Philosophical Investigations (1953), Wittgenstein broke with some of the theoretical aspirations of analytical philosophy in the first half of the century. Where analytical philosophers of language had strived for elegant, parsimonious logical systems, the Investigations suggested that language was a diverse, mercurial collection of “language games”—goal-directed social activities for which words were just so many tools to get things done, rather than fixed and eternal components in a logical structure. Representation, denotation and picturing were some of the goals that we might have in playing a language game, but they were hardly the only ones. This turn in Wittgenstein’s philosophy ushered in a new concern for the “pragmatic” dimensions of language usage. To speak of the pragmatic significance of an expression in this sense is to consider how grasping it might be manifested in actions, or the guiding of actions, and thus to turn our attention to usage rather than abstract notions of logical form common to earlier forms of analytical philosophy. (Speech act theorists will also distinguish between pragmatics and semantics in a slightly more restrictive sense, as we shall see in §4.2.) The view that “meaning is use” (1953, p.43) was often attributed to him, though interpretations of this view have varied widely. Wright (1980 and 2001) read this as a call to social conventionalism about meaning, McDowell (1984) explicitly rejected such a conclusion and Brandom (1994) took it as an entry point into an account of meaning that is both normative and pragmatic (that is, articulated in terms of obligations and entitlements to do things in certain ways according to shared practices). But it can be safely said that Wittgenstein rejected a picture of language as a detached, logical sort of picturing of the facts and inserted a concern for its pragmatic dimensions. One cannot look at the representational dimension of language alone and expect to understand what meaning is.

A second major development in the later Wittgenstein’s work was his treatment of rules and rule-following. Meaning claims had a certain hold over our actions, but not the sort that something like a law of nature would. Claims about meaning reflect norms of usage and Wittgenstein argued that this made the very idea of a “private language” absurd. By this, he means it would not be possible to have a language whose meanings were accessible to only one person, the speaker of that language. Much of modern philosophy was built on Cartesian models that grounded public language on a foundation of private episodes, which implied that much (perhaps all) of our initial grasp of language would also be private. The problem here, said Wittgenstein, is that to follow a rule for the use of an expression, appeal to something private will not suffice. Thus, a language intelligible to only one person would be impossible because it would be impossible for that speaker to establish the meanings of its putative signs.

If a language were private, then the only way to establish meanings would be by some form of private ostension, for example, concentrating on one’s experiences and privately saying, “I shall call this sensation ‘pain’.” But to establish a sign’s meaning, something must impress upon the speaker a way of correctly using that sign in the future, or else the putative ostension is of no value. Assuming we began with such a private episode, what could be happening on subsequent uses of the term? We cannot simply say that it feels the same to us as it did before, or strikes us the same way, for those sorts of impressions are common even when we make errors and therefore cannot constitute correctness. One might say that one only has to remember how one used the sign in the past, but this still leaves us wondering. What is one remembering in that case? Until we say how a private episode could establish a pattern of correct usage, memory is beside the point. To alleviate this difficulty, Wittgenstein turned his attention to the realm of public phenomena, and suggested that those who make the same moves with the rules share a “lebensform” or “form of life,” which most have taken to be one’s culture or the sum total of the social practices in which one takes part. Kripke (1982) offered a notable interpretation of Wittgenstein’s private language argument, though opinions vary on its fidelity to Wittgenstein’s work. Subsequent generations of philosophers on both sides of the Atlantic would be profoundly influenced by this argument and struggle with its implications for decades to come.

4. Major Areas in the Contemporary Field

After the seminal works of Quine and Wittgenstein at mid-century, the majority of views expressed in the field may be broadly lumped into two groups: those emphasizing truth conditions for sentences in a theory of meaning and those emphasizing use. Truth-conditional theories continue the formal analysis of Frege, Carnap and Tarski, minus Positivism’s more radical assumptions, while use theories and speech act theory take Wittgenstein’s emphasis on the pragmatic to heart. A brief overview of major figures and issues in each of these follows.

a. Truth-Conditional Theories of Meaning

The majority of philosophers of language working in the analytical tradition share Frege’s intuition that we know the meaning of a word when we know the role it plays in a sentence and we know the meaning of a sentence when we know the conditions under which it would be true. Davidson (1967) and Lewis (1972) argued for such an approach and stand as watersheds in its development. Truth-conditional theories generally begin with the assumption that something is a language or a linguistic expression if and only if its significant parts can represent the facts of the world. Sentences represent facts or states of affairs in the world, names refer to objects, and so forth. The central focus of a theory of meaning remains sentences though, since it is sentences that apparently constitute the most basic units of information. For instance, an utterance of the name “John Coltrane” does not seem to say anything until we point to someone and say, “This is John Coltrane” or assert “John Coltrane was born in North Carolina” and so on. This view of the sentence as the most basic units of meaning is compatible with compositionality, the view that sentences are composed of a finite stock of simpler elements that may be reused and recombined in novel ways, so long as we understand the meanings of those subsentential expressions as contributions to the meanings of sentences. We might understand names and other referring expressions as “picking out” their referents, to which the rest of a sentence attributes something, very roughly speaking. Truth-conditional theories of meaning have also been attractive to those who would prefer a naturalistic and reductionist semantics, appealing to nothing outside the natural world as an explainer of meaning. Strongly naturalistic accounts are also given by Evans (1983), Devitt (1981), and Devitt and Sterelny (1999).

Much attention in this area in the last twenty-five years has been directed at theories of reference, given the importance of explicating their contribution to truth-theoretical accounts. The view, often attributed to Frege, that the sense of proper names was a function of a set of descriptions led many philosophers seeking a truth-conditional account to include such descriptions in the truth conditions for sentences in which they occurred as a means of explaining their reference. However, a new wave of interest in more direct forms of reference began in the 1970s. The enthusiasm for this approach grew out of Kripke’s Naming and Necessity (1980) and a series of articles by Hilary Putnam. (1973 and 1975) There, they attacked the notion that identity statements expressed synonymies, known a priori at the time of their introduction. If we (or whoever introduces the term) stipulate that Aristotle is the author of Nicomachean Ethics, tutor of Alexander, and so on, it would seem to be known a priori that this was true of the referent of that name. The referent is just that thing which satisfies all or most of the “cluster of descriptions” that express the sense of that name. But if we discovered that much or all of this was false of the person we had called “Aristotle,” would this imply that Aristotle did not exist, or that someone else was Aristotle? Much the same could be said of natural kind terms: we took whales to be fish, but those big cetaceans have lungs and mammary glands, so are there no whales after all?

Instead, Putnam and Kripke suggested that proper names and natural kind terms (and descriptions like “the square root of 289”) were rigid designators, or expressions that referred to the same objects or kinds in every possible world without that relation being mediated by some form of descriptive content. Other pieces of descriptive content are actually associated with those expressions—we do say that Aristotle wrote Nicomachean Ethics and that whales are mammals, and so on—but their reference is fixed at the time of their introduction and our use preserves that reference, not the descriptive content. The descriptions associated with a rigid designator (“the author of Nicomachean Ethics,” and so on) are thus always revisable. This has been seen as a form of externalism in semantics, whereby the meanings of words are not entirely determined by psychological states of the speakers who use them, or as Putnam famously quipped, “meanings just ain’t in the head” (1975, p. 227). Notable recent works in this field include Kitcher and Stanford (2000), Soames (2002) and Berger (2002). Several accounts have suggested that while rigid designation in itself has some plausibility, the reductionist elements of these theories leave us with an implausibly direct and unmediated account of reference that must be refined or replaced (Dummett (1974), MacBeth (1995) and Wolf (2006)).

b. Meaning and Use

Verificationist theories fell out of favor after Quine, but were reinvigorated by Michael Dummett’s work on meaning and logic as well as his extensive exegetical work on Frege. (See his 1963, 1974, 1975 and 1976.) Dummett shared the Positivists’ concern with the cognitive significance of a statement, which he interpreted as Frege’s real concern in talking about sense in the first place. Many read Frege as a Platonist about meaning, but Dummett challenged the need for such ontological extensions and their plausibility as explainers of semantic facts in general. Dummett’s position was less a product of a priori ontological stinginess than a continuation of Wittgensteinian themes. Dummett argued that a model of meaning is a model of our understanding when we know such meanings. We are sometimes able to express this understanding explicitly, but a model of meaning could not include such a criterion of explicitness on pain of an infinite regress. (Note Wittgenstein’s Private Language Argument on this point.) Thus, the knowledge that generally constitutes understanding must be implicit knowledge and we can only ascribe such implicit knowledge when we have some sort of observable criteria by which to do so. These observable criteria will be matters of the use of sentences and expressions. (See Dummett 1973, pp. 216ff.)

While such a mix of usage and verification may be straightforward for sentences and conditions that occasionally obtain, it is quite another matter in cases in which they do not. We can grasp the meaning of a sentence whose truth conditions never actually obtain or can never (practically speaking) be verified, for example, “every even number is the sum of two primes.” Knowing what it is for some condition to obtain and knowing that a particular case exemplifies this are separable conditions, so meaning cannot be the simple verification of placing someone in a certain condition and seeing what sentences they utter. Dummett expanded his account by the inclusion of conditions like providing correct inferential consequences of a sentence, correct novel use of a sentence and judgments about sufficient or probable evidence for the truth or falsity of a sentence. He maintains that some form of self-verifying presentations will support these demands and allow us to derive all the features of language use and meaning, though this remains a sticking point for many who are skeptical of such episodes and epistemic foundationalism in general.

Dummett’s reading of Wittgenstein’s emphasis on use has not been the only one, though. Following Sellars (1967), theorists like Harman (1982 and 1987), Block (1986 and 1987), and Brandom (1994) have all pursued an “inferential role” or “conceptual role” semantics that characterized a grasp of the meaning of sentences as a grasp of the inferences one would make to and from that sentence. Block and Harman have explicitly taken this as a basis of a functionalist account of mental content in psychology, as well. Brandom has not pursued such causal explanatory strategies, but instead has emphasized the rational dimension of linguistic competence and the importance of inference to such an account. We grasp the meaning of a sentence when we understand other sentences as relevant to it and infer to and from them in the course of giving and asking for reasons for the claims that we make. A substantial extension of this work, offering a robustly normative account of meaning in sharp contrast to the causal reductionism mentioned above, is offered in Lance and O’Leary-Hawthorne (1997).

c. Speech Act Theory and Pragmatics

Wittgenstein’s later work sparked interest in the pragmatic dimensions of language use among some British philosophers working not long after his death, but a number grew exasperated with the more deflationary and “ordinary language” approaches of Wittgenstein’s acolytes, who saw almost no role for theoretical accounts in describing language at all. Some opted instead to pursue what has come to be known as speech act theory, led initially by the work of John Austin. (See Grice (1975), Austin (1962) and Searle (1969).) These philosophers sought an account of language by which sentences were tools for doing things, including a taxonomy of uses to which pieces of the language could be put. While conventional meaning remained important, speech act theorists extended their focus to an examination of the different ways in which utterances and inscriptions of sentences might play a role in achieving various goals. For instance, the sentence

(16) It is sunny outside.

could be a report, an admonition not to take an umbrella, a lie (if it’s not sunny), practicing English, a taunt and many other things depending on the scenario in which it is put to use.

To see clearly how speech act theorists might address these issues, we should take note of one of its central doctrines, the pragmatics/semantics distinction. We may state this generally by saying that semantic information pertains to linguistic expressions (such as words and sentences), while pragmatic information pertains to utterances and the facts surrounding them.  The study of pragmatics thus includes no attention to features like truth or the reference of words and expressions, but it does include attention to information about the context in which a speaker made the utterance and how those conditions allow the speaker to express one proposition rather than another. This strongly contextual element of pragmatics often leads to special attention to the goals that a speaker might achieve by uttering a sentence in a particular way in that context and why she might have done so. Thus, what a speaker means in saying something is often explained by an emphasis on the speaker’s intentions: to reveal to the hearer that the speaker wants the hearer to respond in a certain way and thus to get the hearer to respond in this way. However, there may be cases in which these intentions have nothing to do with the meaning of the sentence. I might say, “It is raining outside,” with the intention of getting you to take your umbrella, but that’s not what the sentence means. Likewise, I might have said, “The Weather Channel is predicting rain this afternoon,” with those intentions, but this does not entail that those two sentences mean the same thing.

Those intentions whose success is entirely a matter of getting a hearer’s recognition of the actual intention itself are called illocutionary intentions; those intentions whose success is entirely a matter of getting the hearer to do something (above and beyond understanding the semantic content of what is said) are called perlocutionary intentions. Perlocutionary intentions must be achieved through illocutionary acts, for example, making you aware of my intentions to get you to realize something about the weather leads you to think of your umbrella and take it. Following Bach and Harnish (1979), speech act theorists typically characterize speech acts by four analytical subcomponents of speech acts: (1) utterance acts, that is, the very voicing or inscribing of words and sentences; (2) propositional acts, that is, referring to things and predicating properties and relations of them; (3) illocutionary acts, by which speakers interact with other speakers and the utterances constitute moves in that interaction, for example, promises and commands; and (4) perlocutionary acts, by which speakers bring about or achieve something in others by what they say, for example, convincing or persuading someone. Some theorists would also add “meaning intention” and “communicative intention” to this list to emphasize shared understanding of the conventional meanings attached with words and the intersubjectivity of speech acts. As these categories might imply, speech act theory has also incorporated far more consideration of conversational features of discourse and the social aspects of communications than other branches of the philosophy of language. For this reason, it offers promising points of connection between sophisticated semantic accounts and the empirical research of social scientists.

Grice (1975) also suggested that philosophy must consider the ways in which speakers go beyond what is strictly, overtly said by their utterances to consider what is contextually implicated by them. By “implicated,” here, we are considering the ways in which the things a speaker says may invite another speaker to some further set of conclusions, but not in the strict logical sense of entailment or a purely formal matter of conventional meanings. Grice divided these implicatures into two large categories: conventional implicatures and conversational implicatures. Conventional implicatures are those assigned to utterances based on the conventional meanings of the words used, though not in the ways familiar from ordinary logical entailments. For instance:

(17) Michael is an Orioles fan, but he doesn’t live in Baltimore.

(18) Michael is an Orioles fan, and he doesn’t live in Baltimore.

(19) Michael’s being an Orioles fan is unexpected, given that he doesn’t live in Baltimore.

Here, (19) is implied by (17), but not by (18). This failure is not a matter of differences in what makes (17) and (18) true, but in the way in which conventions and conversational principles allow speakers to convey such information. Roughly, the word “but” is used by English speakers to emphasize contrast and surprise, as a speaker would in saying (17).

Conversational implicatures are assigned based on a series of maxims and assumptions by which speakers in conversation cooperate with one another, according to Grice. He suggests maxims of quantity (make your contribution informative but not excessively so), quality (make your contribution true), relation (be relevant), and manner (be perspicuous). To get a sense of how to apply these, consider one of Grice’s (1975) examples:

(20) Smith doesn’t seem to have a girlfriend these days.

(21) He has been paying a lot of visits to New York lately.

Imagine two people having a conversation, with A saying (20) and B saying (21). B implicates that Smith might have a girlfriend in New York, assuming that B is following the maxims mentioned above. If not, say, because B is saying something false or irrelevant, then speakers cannot cooperate and communication collapses. Grice contends that these conversational implicatures are calculable given the right sorts of contextual and background information, along with the linguistic meaning of what is said and the speakers’ adherence to the cooperative maxims described earlier, and much of the literature on conversational implicature has attempted to make good on this notion. Many philosophers working on these aspects of pragmatics worry that these maxims will not suffice as an account of implicature however, and readers should consult Davis (1998) for the most current set of objections to classic Gricean accounts.

Attention to both forms of implicature has drawn philosophers’ attention to matters of presupposition, as well. As the name would suggest, the discussion of this subject focuses on the sorts of information required as background for various sorts of logical and conversational features to obtain. The well-worn example, “Have you stopped robbing liquor stores?” presupposes that you have been robbing liquor stores. Implicatures of both forms thus involve various sorts of presupposition, for example the conventional implicature of “but” in (17) presupposes a proposition about the demographics of Orioles fans, and much recent work in pragmatics has been devoted to developing typologies of presupposition at work in conversation. The two most serious questions for theorists are (1) how presuppositions are introduced into or “triggered” in the sentences in which they play a role and (2) how they are “projected” or carried from the clauses and parts of sentences in which they appear up into the higher-level sentences. The origin of much of the work on this is Langendoen and Savin (1971), and a vast literature has developed in light of it in linguistics and formal semantics.

5. Future Directions and Emerging Debates

While linguistic analysis does not dominate thinking in analytical philosophy as it did for much of the twentieth century, it remains a vibrant field that continues to develop. As in the early days of analytical philosophy, there is great interest in parallels between the content of utterances and the attribution of content to mental states, but many cognitive scientists have moved away from the classic analytical assumption that thoughts had a symbolic or sentence-like content. Following the directions mapped out in Rumelhart and McClelland (1986) some cognitive scientists have embraced connectionism, a view that emphasizes the dynamic interaction between large sets of interconnected nodules (much like neurons in the brain), as a model for cognition. Thought would thus not be symbol processing, akin to an internal monologue, and the scope of traditional accounts of language and meaning would be greatly diminished. Readers may consult Tomberlin (1995) for an overview of the field and Churchland (1995) for one of its most ardent proponents. A defense of more traditional symbol-processing approaches has also developed, notably in the work of Fodor and Lepore (1999), complemented by even more radical challenges to symbol processing in the form of dynamic systems theory (see van Gelder 1995 and Rockwell 2005).

Much recent work in the philosophy of language has also been concerned with the context sensitivity of expressions and sentences. This has been driven in no small part by an increasing emphasis on context sensitivity in epistemology (DeRose 1998; Lewis 1996) and meta-ethics (Dancy 1993). Of course, much more emphasis had been put on context over the last fifty years by use and speech act theories. Recently, some have come out in favor of context insensitivity as the predominant mode of natural languages. Cappelen and Lepore (2005) do not argue that there are no context sensitive words or sentences, but rather for semantic minimalism, the view that there are relatively few and they are familiar categories like pronouns and indexicals. They combine this with new work on speech act content to mount a substantial challenge to a great many contemporary philosophers. This debate between minimalists and contextualists promises to be a lively one in the philosophy of language over the next few years.

6. References and Further Reading

  • (Works are listed first by their original dates of publication, with more recent and widely available editions included in some entries.)
  • Austin, J. L. (1962) How To Do Things With Words. Oxford: Oxford University Press.
  • Bach, K. and Harnish, R. (1979) Linguistic Communication and Speech Acts. Cambridge, MA: The MIT Press.
  • Berger, Alan. (2002) Terms and Truth: Reference Direct and Anaphoric. Cambridge, MA: The MIT Press.
  • Block, N. (1986) “Advertisement For a Semantics for Psychology.” In P. French, T. Uehling and H. Wettstein (Eds.). Midwest Studies in Philosophy, vol. 10, pp. 615-678. Minneapolis: University of Minnesota Press.
  • Block, N. (1987) “Functional Role and Truth Conditions,” Proceedings of the Aristotelian Society 61, 157-181.
  • Brandom, R. (1994) Making It Explicit. Cambridge, MA: Harvard University Press.
  • Cappelen, H. and Lepore, E. (2005) Insensitive Semantics. Oxford: Basil Blackwell Pub.
  • Carnap, R. (1928) The Logical Structure of the World (Die Logische Aufbau der Welt). George, E. (trans.) New York: Open Court Classics, 1999.
  • Chomsky, N. (1959) “A Review of B. F. Skinner’s Verbal Behavior.” In Language, 35(1), 26-58.
  • Churchland, P. (1995) Engine of Reason, Seat of the Soul: A Philosophical Journey Into the Brain. Cambridge, MA: The MIT Press.
  • Dancy, J. (1993) Moral Reasons. Oxford: Basil Blackwell Pub.
  • Davidson, D. (1967) “Truth and Meaning.” In Davidson (1984), pp. 17-36.
  • Davidson, D. (1984) Inquiries Into Truth and Interpretation. Oxford: Oxford University Press.
  • Davis, W. (1998) Implicature: Intention, Convention and Principle in the Failure of Gricean Theory. Cambridge: Cambridge University Press.
  • DeRose K. (1995) “Solving the Skeptical Problem.” The Philosophical Review 104(1), 1-7, 17-52.
  • Devitt, Michael. (1981) Designation. New York: Columbia University Press.
  • Devitt, M. and Sterelny, K. (1999) Language and Reality. Cambridge, MA: The MIT Press.
  • Dummett, M. (1963) “Realism.” In Dummett (1978), pp. 145-165.
  • Dummett, M. (1973) “The Philosophical Basis of Intuitionistic Logic.” In Dummett (1978), pp. 215-247.
  • Dummett, M. (1974) “The Social Character of Meaning.” In Dummett (1978), pp. 420-430.
  • Dummett, M. (1975) “Frege’s Distinction Between Sense and Reference.” In Dummett (1978), pp. 116-144.
  • Dummett, M. (1976) “What Is a Theory of Meaning? (II)” In Truth and Meaning: Essays in Semantics. G. Evans and J. McDowell. (Eds.) Oxford: Clarendon Press.
  • Dummett, M. (1978) Truth and Other Enigmas. Cambridge, MA: Harvard University Press.
  • Evans, G. (1983) The Varieties of Reference. Oxford: Oxford University Press.
  • Field, H. (1972) “Tarski’s Theory of Truth.” Journal of Philosophy 69, 347-75.
  • Field, H. (1977) “Logic, Meaning and Conceptual Role” Journal of Philosophy 74, 379-408.
  • Fodor, J and E. Lepore. (1999) “All at Sea in Semantic Space: Churchland on Meaning Similarity.” Journal of Philosophy 96, 381-403.
  • Frege, G. (1892) “On Sense and Reference.” In The Frege Reader. Beaney, M. (Ed.) London: Penguin Press, 1997.
  • Frege, G. (1884) The Foundations of Arithmetic: A Logico-Mathematical Enquiry into the Concept of Number. J. Austin (Trans.) Evanston: Northwestern University Press, 1980.
  • Grice, P. (1975) “Logic and Conversation.” In Studies in the Way of Words, pp. 22-40. Cambridge, MA: Harvard University Press, 1989.
  • Harman, G. (1982) “Conceptual Role Semantics.” Notre Dame Journal of Formal Logic 23, 242-56.
  • Harman, G. (1987) “(Non-solipsistic) Conceptual Role Semantics.” In New Directions in Semantics. E. Lepore. (Ed.) London: Academic Press.
  • Hempel, C. (1950) “Problems and Changes in the Empiricist Criterion of Meaning.” Revenue Internationale de Philosophie 11, 41-63.
  • Kitcher, P. and M. Stanford. (2000) “Refining the Causal Theory of Reference for Natural Kind Terms.” Philosophical Studies 97, 99-129.
  • Kripke, S. (1972) Naming and Necessity, Cambridge, MA: Harvard University Press.
  • Kripke, S. (1982) Wittgenstein on Rules and Private Language. Cambridge, MA: Harvard University Press.
  • Lance, M. and O’Leary-Hawthorne, J. (1997) The Grammar of Meaning. Cambridge, UK: Cambridge University Press.
  • Langendoen, D.T. and Savin, H.B. (1971) “The Projection Problem for Presuppositions.” In C.J. Fillmore and D.T. Langendoen (Eds.) Studies in Linguistic Semantics. New York: Holt, Reinhart and Winston.
  • Lewis, D. (1972) “General Semantics.” In G. Harman and D. Davidson (Eds.) Semantics of Natural Language. Dordrecht: D. Reidel Pub.
  • Lewis, D. (1996) “Elusive Knowledge.” Australasian Journal of Philosophy 74(4), 549-67.
  • Locke, J. (1690) An Essay Concerning Human Understanding. P. Nidditch. (Ed.) Oxford: Oxford University Press, 1975.
  • MacBeth, D. (1995) “Names, Natural Kinds and Rigid Designation.” Philosophical Studies 79, 259-281.
  • McDowell, J. (1984) “Wittgenstein on Following a Rule.” Synthese 58(3), 325-364.
  • Meinong, A. (1904) “Über Gegenstandstheorie.” In A. Meinong (ed.), Untersuchungen zur Gegenstandstheorie und Psychologie, Leipzig: Barth.
  • Mill, J.S. (1843) System of Logic: Ratiocinative and Inductive. Stockton, CA: University Press of the Pacific, 2002.
  • Neurath, O. (1933) “Protocol Sentences.” G. Shick. (Trans.) In A. Ayer (Ed.) Logical Positivism, pp. 199-208. New York: The Free Press, 1959.
  • Putnam, H. (1973) “Meaning and Reference.” The Journal of Philosophy 70, 699-711.
  • Putnam, H. (1975) “The Meaning of Meaning.” In Mind, Language and Reality, pp. 215-271. Cambridge: Cambridge University Press.
  • Rockwell, T. (2005) “Attractor Spaces as Modules: A Semi-Eliminative Reduction of Symbolic AI to Dynamic Systems Theory.” Minds and Machines 15(1), 23-95.
  • Rumelhart, D. and McClelland, J. and the PDP Research Group. (2006) Parallel Distributed Processing: Explorations in the Microstructure of Cognition, Vol. 2: Psychological and Biological Models. Cambridge, MA: The MIT Press.
  • Russell, B. (1905) “On Denoting.” Mind 14, 479-493.
  • Russell, B. (1919) “Descriptions.” In Introduction to Mathematical Philosophy pp. 167-180. London: George Allen and Unqin Ltd.
  • Quine, W.V.O. (1953) “Two Dogmas of Empiricism.” In From a Logical Point of View, pp. 20-46. Cambridge, MA: Harvard University Press.
  • Quine, W.V.O. (1960) Word and Object. Cambridge, MA: The MIT Press.
  • Quine, W.V.O. (1969) “Ontological Relativity.” In Ontological Relativity and Other Essays, pp 26-68. New York: Columbia University Press.
  • Schlick, M. (1933) “Positivism and Realism.” D. Rynin. (Trans.). In A. Ayer (Ed.) Logical Positivism, pp. 82-107. New York: The Free Press, 1959.
  • Searle, J. (1969) Speech Acts: An Essay in the Philosophy of Language. Cambridge, UK: Cambridge University Press.
  • Sellars, W. (1967) Science and Metaphysics. Atascasdero, CA: Ridgeview Press.
  • Soames, S. (2002) Beyond Rigidity: The Unfinished Semantic Agenda of Naming and Necessity. Oxford: Oxford University Press.
  • Tarski, A. (1933) “The concept of truth in the languages of the deductive sciences.” In A. Tarski. Logic, Semantics, Metamathematics, papers from 1923 to 1938, pp. 152-278. Corcoran, J. (Ed.). Indianapolis : Hackett Publishing Company, 1983.
  • Tarski, A. (1944) “The Semantic Conception of Truth and the Foundations of Semantics.” Philosophy and Phenomenological Research 4, 341-375
  • Tomberlin, J. (Ed.) (1995) Philosophical Perspectives 9: AI, Connectionism and Philosophical Psychology. Atascadero, CA: Ridgeview Press.
  • Van Gelder, T. (1995) “What Might Cognition Be If Not Computation?” Journal of Philosophy 92, 345-381.
  • Wittgenstein, L. (1922) Tractatus Logico-Philosophicus. C. Ogden. (Trans.) New York: Dover Pub., 1999.
  • Wittgenstein, L. (1953) Philosophical Investigations: The German Text, With a Revised English Translation. Anscombe, G. and Anscombe, E. (Trans.). Oxford: Basil Blackwell Pub., 2002.
  • Wolf, M. (2006) “Rigid Designation and Anaphoric Theories of Reference.” Philosophical Studies 130(2), 351-375.
  • Wright, C. (1980). Wittgenstein on the Foundations of Mathematics. Cambridge, MA: Harvard University Press.
  • Wright, C. (2001). Rails to Infinity. Cambridge, MA: Harvard University Press.

Author Information

Michael P. Wolf
Email: mwolf@washjeff.edu
Washington and Jefferson College
U. S. A.

Philosophy of Sexuality

Among the many topics explored by the philosophy of sexuality are procreation, contraception, celibacy, marriage, adultery, casual sex, flirting, prostitution, homosexuality, masturbation, seduction, rape, sexual harassment, sadomasochism, pornography, bestiality, and pedophilia. What do all these things have in common? All are related in various ways to the vast domain of human sexuality. That is, they are related, on the one hand, to the human desires and activities that involve the search for and attainment of sexual pleasure or satisfaction and, on the other hand, to the human desires and activities that involve the creation of new human beings. For it is a natural feature of human beings that certain sorts of behaviors and certain bodily organs are and can be employed either for pleasure or for reproduction, or for both.

The philosophy of sexuality explores these topics both conceptually and normatively. Conceptual analysis is carried out in the philosophy of sexuality in order to clarify the fundamental notions of sexual desire and sexual activity. Conceptual analysis is also carried out in attempting to arrive at satisfactory definitions of adultery, prostitution, rape, pornography, and so forth. Conceptual analysis (for example: what are the distinctive features of a desire that make it sexual desire instead of something else? In what ways does seduction differ from nonviolent rape?) is often difficult and seemingly picky, but proves rewarding in unanticipated and surprising ways.

Normative philosophy of sexuality inquires about the value of sexual activity and sexual pleasure and of the various forms they take. Thus the philosophy of sexuality is concerned with the perennial questions of sexual morality and constitutes a large branch of applied ethics. Normative philosophy of sexuality investigates what contribution is made to the good or virtuous life by sexuality, and tries to determine what moral obligations we have to refrain from performing certain sexual acts and what moral permissions we have to engage in others.

Some philosophers of sexuality carry out conceptual analysis and the study of sexual ethics separately. They believe that it is one thing to define a sexual phenomenon (such as rape or adultery) and quite another thing to evaluate it. Other philosophers of sexuality believe that a robust distinction between defining a sexual phenomenon and arriving at moral evaluations of it cannot be made, that analyses of sexual concepts and moral evaluations of sexual acts influence each other. Whether there actually is a tidy distinction between values and morals, on the one hand, and natural, social, or conceptual facts, on the other hand, is one of those fascinating, endlessly debated issues in philosophy, and is not limited to the philosophy of sexuality.

Table of Contents

  1. Metaphysics of Sexuality
  2. Metaphysical Sexual Pessimism
  3. Metaphysical Sexual Optimism
  4. Moral Evaluations
  5. Nonmoral Evaluations
  6. The Dangers of Sex
  7. Sexual Perversion
  8. Sexual Perversion and Morality
  9. Aquinas’s Natural Law
  10. Nagel’s Secular Philosophy
  11. Fetishism
  12. Female Sexuality and Natural Law
  13. Debates in Sexual Ethics
  14. Natural Law vs. Liberal Ethics
  15. Consent Is Not Sufficient
  16. Consent Is Sufficient
  17. What Is “Voluntary”?
  18. Conceptual Analysis
  19. Sexual Activity vs. “Having Sex”
  20. Sexual Activity and Sexual Pleasure
    1. Sexual Activity Without Pleasure
  21. References and Further Reading

1. Metaphysics of Sexuality

Our moral evaluations of sexual activity are bound to be affected by what we view the nature of the sexual impulse, or of sexual desire, to be in human beings. In this regard there is a deep divide between those philosophers that we might call the metaphysical sexual optimists and those we might call the metaphysical sexual pessimists.

The pessimists in the philosophy of sexuality, such as St. Augustine, Immanuel Kant, and, sometimes, Sigmund Freud, perceive the sexual impulse and acting on it to be something nearly always, if not necessarily, unbefitting the dignity of the human person; they see the essence and the results of the drive to be incompatible with more significant and lofty goals and aspirations of human existence; they fear that the power and demands of the sexual impulse make it a danger to harmonious civilized life; and they find in sexuality a severe threat not only to our proper relations with, and our moral treatment of, other persons, but also equally a threat to our own humanity.

On the other side of the divide are the metaphysical sexual optimists (Plato, in some of his works, sometimes Sigmund Freud, Bertrand Russell, and many contemporary philosophers) who perceive nothing especially obnoxious in the sexual impulse. They view human sexuality as just another and mostly innocuous dimension of our existence as embodied or animal-like creatures; they judge that sexuality, which in some measure has been given to us by evolution, cannot but be conducive to our well-being without detracting from our intellectual propensities; and they praise rather than fear the power of an impulse that can lift us to various high forms of happiness.

The particular sort of metaphysics of sex one believes will influence one’s subsequent judgments about the value and role of sexuality in the good or virtuous life and about what sexual activities are morally wrong and which ones are morally permissible. Let’s explore some of these implications.

2. Metaphysical Sexual Pessimism

An extended version of metaphysical pessimism might make the following claims: In virtue of the nature of sexual desire, a person who sexually desires another person objectifies that other person, both before and during sexual activity. Sex, says Kant, “makes of the loved person an Object of appetite. . . . Taken by itself it is a degradation of human nature” (Lectures on Ethics, p. 163). Certain types of manipulation and deception seem required prior to engaging in sex with another person, or are so common as to appear part of the nature of the sexual experience. As Bernard Baumrim makes the point, “sexual interaction is essentially manipulative—physically, psychologically, emotionally, and even intellectually” (“Sexual Immorality Delineated,” p. 300). We go out of our way, for example, to make ourselves look more attractive and desirable to the other person than we really are, and we go to great lengths to conceal our defects. And when one person sexually desires another, the other person’s body, his or her lips, thighs, toes, and buttocks are desired as the arousing parts they are, distinct from the person. The other’s genitals, too, are the object of our attention: “sexuality is not an inclination which one human being has for another as such, but is an inclination for the sex of another. . . . [O]nly her sex is the object of his desires” (Kant, Lectures, p. 164).

Further, the sexual act itself is peculiar, with its uncontrollable arousal, involuntary jerkings, and its yearning to master and consume the other person’s body. During the act, a person both loses control of himself and loses regard for the humanity of the other. Our sexuality is a threat to the other’s personhood; but the one who is in the grip of desire is also on the verge of losing his or her personhood. The one who desires depends on the whims of another person to gain satisfaction, and becomes as a result a jellyfish, susceptible to the demands and manipulations of the other: “In desire you are compromised in the eyes of the object of desire, since you have displayed that you have designs which are vulnerable to his intentions” (Roger Scruton, Sexual Desire, p. 82). A person who proposes an irresistible sexual offer to another person may be exploiting someone made weak by sexual desire (see Virginia Held, “Coercion and Coercive Offers,” p. 58).

Moreover, a person who gives in to another’s sexual desire makes a tool of himself or herself. “For the natural use that one sex makes of the other’s sexual organs is enjoyment, for which one gives oneself up to the other. In this act a human being makes himself into a thing, which conflicts with the right of humanity in his own person” (Kant, Metaphysics of Morals, p. 62). Those engaged in sexual activity make themselves willingly into objects for each other merely for the sake of sexual pleasure. Hence both persons are reduced to the animal level. “If . . . a man wishes to satisfy his desire, and a woman hers, they stimulate each other’s desire; their inclinations meet, but their object is not human nature but sex, and each of them dishonours the human nature of the other. They make of humanity an instrument for the satisfaction of their lusts and inclinations, and dishonour it by placing it on a level with animal nature” (Kant, Lectures, p. 164).

Finally, due to the insistent nature of the sexual impulse, once things get going it is often hard to stop them in their tracks, and as a result we often end up doing things sexually that we had never planned or wanted to do. Sexual desire is also powerfully inelastic, one of the passions most likely to challenge reason, compelling us to seek satisfaction even when doing so involves dark-alley gropings, microbiologically filthy acts, slinking around the White House, or getting married impetuously.

Given such a pessimistic metaphysics of human sexuality, one might well conclude that acting on the sexual impulse is always morally wrong. That might, indeed, be precisely the right conclusion to draw, even if it implies the end of Homo sapiens. (This doomsday result is also implied by St. Paul’s praising, in 1 Corinthians 7, sexual celibacy as the ideal spiritual state.) More frequently, however, the pessimistic metaphysicians of sexuality conclude that sexual activity is morally permissible only within marriage (of the lifelong, monogamous, heterosexual sort) and only for the purpose of procreation. Regarding the bodily activities that both lead to procreation and produce sexual pleasure, it is their procreative potential that is singularly significant and bestows value on these activities; seeking pleasure is an impediment to morally virtuous sexuality, and is something that should not be undertaken deliberately or for its own sake. Sexual pleasure at most has instrumental value, in inducing us to engage in an act that has procreation as its primary purpose. Such views are common among Christian thinkers, for example, St. Augustine: “A man turns to good use the evil of concupiscence, and is not overcome by it, when he bridles and restrains its rage . . . and never relaxes his hold upon it except when intent on offspring, and then controls and applies it to the carnal generation of children . . . , not to the subjection of the spirit to the flesh in a sordid servitude” (On Marriage and Concupiscence, bk. 1, ch. 9).

3. Metaphysical Sexual Optimism

Metaphysical sexual optimists suppose that sexuality is a bonding mechanism that naturally and happily joins people together both sexually and nonsexually. Sexual activity involves pleasing the self and the other at the same time, and these exchanges of pleasure generate both gratitude and affection, which in turn are bound to deepen human relationships and make them more emotionally substantial. Further, and this is the most important point, sexual pleasure is, for a metaphysical optimist, a valuable thing in its own right, something to be cherished and promoted because it has intrinsic and not merely instrumental value. Hence the pursuit of sexual pleasure does not require much intricate justification; sexual activity surely need not be confined to marriage or directed at procreation. The good and virtuous life, while including much else, can also include a wide variety and extent of sexual relations. (See Russell Vannoy’s spirited defense of the value of sexual activity for its own sake, in Sex Without Love.)

Irving Singer is a contemporary philosopher of sexuality who expresses well one form of metaphysical optimism: “For though sexual interest resembles an appetite in some respects, it differs from hunger or thirst in being an interpersonal sensitivity, one that enables us to delight in the mind and character of other persons as well as in their flesh. Though at times people may be used as sexual objects and cast aside once their utility has been exhausted, this is no[t] . . . definitive of sexual desire. . . . By awakening us to the living presence of someone else, sexuality can enable us to treat this other being as just the person he or she happens to be. . . . There is nothing in the nature of sexuality as such that necessarily . . . reduces persons to things. On the contrary, sex may be seen as an instinctual agency by which persons respond to one another through their bodies” (The Nature of Love, vol. 2, p. 382. See also Jean Hampton, “Defining Wrong and Defining Rape”).

Pausanias, in Plato’s Symposium (181a-3, 183e, 184d), asserts that sexuality in itself is neither good nor bad. He recognizes, as a result, that there can be morally bad and morally good sexual activity, and proposes a corresponding distinction between what he calls “vulgar” eros and “heavenly” eros. A person who has vulgar eros is one who experiences promiscuous sexual desire, has a lust that can be satisfied by any partner, and selfishly seeks only for himself or herself the pleasures of sexual activity. By contrast, a person who has heavenly eros experiences a sexual desire that attaches to a particular person; he or she is as much interested in the other person’s personality and well-being as he or she is concerned to have physical contact with and sexual satisfaction by means of the other person. A similar distinction between sexuality per se and eros is described by C. S. Lewis in his The Four Loves (chapter 5), and it is perhaps what Allan Bloom has in mind when he writes, “Animals have sex and human beings have eros, and no accurate science [or philosophy] is possible without making this distinction” (Love and Friendship, p. 19).

The divide between metaphysical optimists and metaphysical pessimists might, then, be put this way: metaphysical pessimists think that sexuality, unless it is rigorously constrained by social norms that have become internalized, will tend to be governed by vulgar eros, while metaphysical optimists think that sexuality, by itself, does not lead to or become vulgar, that by its nature it can easily be and often is heavenly. (See the entry, Philosophy of Love.)

4. Moral Evaluations

Of course, we can and often do evaluate sexual activity morally: we inquire whether a sexual act—either a particular occurrence of a sexual act (the act we are doing or want to do right now) or a type of sexual act (say, all instances of homosexual fellatio)—is morally good or morally bad. More specifically, we evaluate, or judge, sexual acts to be morally obligatory, morally permissible, morally supererogatory, or morally wrong. For example: a spouse might have a moral obligation to engage in sex with the other spouse; it might be morally permissible for married couples to employ contraception while engaging in coitus; one person’s agreeing to have sexual relations with another person when the former has no sexual desire of his or her own but does want to please the latter might be an act of supererogation; and rape and incest are commonly thought to be morally wrong.

Note that if a specific type of sexual act is morally wrong (say, homosexual fellatio), then every instance of that type of act will be morally wrong. However, from the fact that the particular sexual act we are now doing or contemplate doing is morally wrong, it does not follow that any specific type of act is morally wrong; the sexual act that we are contemplating might be wrong for lots of different reasons having nothing to do with the type of sexual act that it is. For example, suppose we are engaging in heterosexual coitus (or anything else), and that this particular act is wrong because it is adulterous. The wrongfulness of our sexual activity does not imply that heterosexual coitus in general (or anything else), as a type of sexual act, is morally wrong. In some cases, of course, a particular sexual act will be wrong for several reasons: not only is it wrong because it is of a specific type (say, it is an instance of homosexual fellatio), but it is also wrong because at least one of the participants is married to someone else (it is wrong also because it is adulterous).

5. Nonmoral Evaluations

We can also evaluate sexual activity (again, either a particular occurrence of a sexual act or a specific type of sexual activity) nonmorally: nonmorally “good” sex is sexual activity that provides pleasure to the participants or is physically or emotionally satisfying, while nonmorally “bad” sex is unexciting, tedious, boring, unenjoyable, or even unpleasant. An analogy will clarify the difference between morally evaluating something as good or bad and nonmorally evaluating it as good or bad. This radio on my desk is a good radio, in the nonmoral sense, because it does for me what I expect from a radio: it consistently provides clear tones. If, instead, the radio hissed and cackled most of the time, it would be a bad radio, nonmorally-speaking, and it would be senseless for me to blame the radio for its faults and threaten it with a trip to hell if it did not improve its behavior. Similarly, sexual activity can be nonmorally good if it provides for us what we expect sexual activity to provide, which is usually sexual pleasure, and this fact has no necessary moral implications..

It is not difficult to see that the fact that a sexual activity is perfectly nonmorally good, by abundantly satisfying both persons, does not mean by itself that the act is morally good: some adulterous sexual activity might well be very pleasing to the participants, yet be morally wrong. Further, the fact that a sexual activity is nonmorally bad, that is, does not produce pleasure for the persons engaged in it, does not by itself mean that the act is morally bad. Unpleasant sexual activity might occur between persons who have little experience engaging in sexual activity (they do not yet know how to do sexual things, or have not yet learned what their likes and dislikes are), but their failure to provide pleasure for each other does not mean by itself that they perform morally wrongful acts.

Thus the moral evaluation of sexual activity is a distinct enterprise from the nonmoral evaluation of sexual activity, even if there do remain important connections between them. For example, the fact that a sexual act provides pleasure to both participants, and is thereby nonmorally good, might be taken as a strong, but only prima facie good, reason for thinking that the act is morally good or at least has some degree of moral value. Indeed, utilitarians such as Jeremy Bentham and even John Stuart Mill might claim that, in general, the nonmoral goodness of sexual activity goes a long way toward justifying it. Another example: if one person never attempts to provide sexual pleasure to his or her partner, but selfishly insists on experiencing only his or her own pleasure, then that person’s contribution to their sexual activity is morally suspicious or objectionable. But that judgment rests not simply on the fact that he or she did not provide pleasure for the other person, that is, on the fact that the sexual activity was for the other person nonmorally bad. The moral judgment rests, more precisely, on his or her motives for not providing any pleasure, for not making the experience nonmorally good for the other person.

It is one thing to point out that as evaluative categories, moral goodness/badness is quite distinct from nonmoral goodness/badness. It is another thing to wonder, nonetheless, about the emotional or psychological connections between the moral quality of sexual activity and its nonmoral quality. Perhaps morally good sexual activity tends also to be the most satisfying sexual activity, in the nonmoral sense. Whether that is true likely depends on what we mean by “morally good” sexuality and on certain features of human moral psychology. What would our lives be like, if there were always a neat correspondence between the moral quality of a sexual act and its nonmoral quality? I am not sure what such a human sexual world would be like. But examples that violate such a neat correspondence are at the present time, in this world, easy to come by. A sexual act might be both morally and nonmorally good: consider the exciting and joyful sexual activity of a newly-married couple. But a sexual act might be morally good and nonmorally bad: consider the routine sexual acts of this couple after they have been married for ten years. A sexual act might be morally bad yet nonmorally good: one spouse in that couple, married for ten years, commits adultery with another married person and finds their sexual activity to be extraordinarily satisfying. And, finally, a sexual act might be both morally and nonmorally bad: the adulterous couple get tired of each other, eventually no longer experiencing the excitement they once knew. A world in which there was little or no discrepancy between the moral and the nonmoral quality of sexual activity might be a better world than ours, or it might be worse. I would refrain from making such a judgment unless I were pretty sure what the moral goodness and badness of sexual activity amounted to in the first place, and until I knew a lot more about human psychology. Sometimes that a sexual activity is acknowledged to be morally wrong contributes all by itself to its being nonmorally good.

6. The Dangers of Sex

Whether a particular sexual act or a specific type of sexual act provides sexual pleasure is not the only factor in judging its nonmoral quality: pragmatic and prudential considerations also figure into whether a sexual act, all things considered, has a preponderance of nonmoral goodness. Many sexual activities can be physically or psychologically risky, dangerous, or harmful. Anal coitus, for example, whether carried out by a heterosexual couple or by two gay males, can damage delicate tissues and is a mechanism for the potential transmission of various HIV viruses (as is heterosexual genital intercourse). Thus in evaluating whether a sexual act will be overall nonmorally good or bad, not only its anticipated pleasure or satisfaction must be counted, but also all sorts of negative (undesired) side effects: whether the sexual act is likely to damage the body, as in some sadomasochistic acts, or transmit any one of a number of venereal diseases, or result in an unwanted pregnancy, or even whether one might feel regret, anger, or guilt afterwards as a result of having engaged in a sexual act with this person, or in this location, or under these conditions, or of a specific type. Indeed, all these pragmatic and prudential factors also figure into the moral evaluation of sexual activity: intentionally causing unwanted pain or discomfort to one’s partner, or not taking adequate precautions against the possibility of pregnancy, or not informing one’s partner of a suspected case of genital infection (but see David Mayo’s provocative dissent, in “An Obligation to Warn of HIV Infection?”), can be morally wrong. Thus, depending on what particular moral principles about sexuality one embraces, the various ingredients that constitute the nonmoral quality of sexual acts can influence one’s moral judgments.

7. Sexual Perversion

In addition to inquiring about the moral and nonmoral quality of a given sexual act or a type of sexual activity, we can also ask whether the act or type is natural or unnatural (that is, perverted). Natural sexual acts, to provide merely a broad definition, are those acts that either flow naturally from human sexual nature, or at least do not frustrate or counteract sexual tendencies that flow naturally from human sexual desire. An account of what is natural in human sexual desire and activity is part of a philosophical account of human nature in general, what we might call philosophical anthropology, which is a rather large undertaking.

Note that evaluating a particular sexual act or a specific type of sexual activity as being natural or unnatural can very well be distinct from evaluating the act or type either as being morally good or bad or as being nonmorally good or bad. Suppose we assume, for the sake of discussion only, that heterosexual coitus is a natural human sexual activity and that homosexual fellatio is unnatural, or a sexual perversion. Even so, it would not follow from these judgments alone that all heterosexual coitus is morally good (some of it might be adulterous, or rape) or that all homosexual fellatio is morally wrong (some of it, engaged in by consenting adults in the privacy of their homes, might be morally permissible). Further, from the fact that heterosexual coitus is natural, it does not follow that acts of heterosexual coitus will be nonmorally good, that is, pleasurable; nor does it follow from the fact that homosexual fellatio is perverted that it does not or cannot produce sexual pleasure for those people who engage in it. Of course, both natural and unnatural sexual acts can be medically or psychologically risky or dangerous. There is no reason to assume that natural sexual acts are in general more safe than unnatural sexual acts; for example, unprotected heterosexual intercourse is likely more dangerous, in several ways, than mutual homosexual masturbation.

Since there are no necessary connections between, on the one hand, evaluating a particular sexual act or a specific type of sexual activity as being natural or unnatural and, on the other hand, evaluating its moral and nonmoral quality, why would we wonder whether a sexual act or a type of sex was natural or perverted? One reason is simply that understanding what is natural and unnatural in human sexuality helps complete our picture of human nature in general, and allows us to understand our species more fully. With such deliberations, the self-reflection about humanity and the human condition that is the heart of philosophy becomes more complete. A second reason is that an account of the difference between the natural and the perverted in human sexuality might be useful for psychology, especially if we assume that a desire or tendency to engage in perverted sexual activities is a sign or symptom of an underlying mental or psychological pathology.

8. Sexual Perversion and Morality

Finally (a third reason), even though natural sexual activity is not on that score alone morally good and unnatural sexual activity is not necessarily morally wrong, it is still possible to argue that whether a particular sexual act or a specific type of sexuality is natural or unnatural does influence, to a greater or lesser extent, whether the act is morally good or morally bad. Just as whether a sexual act is nonmorally good, that is, produces pleasure for the participants, may be a factor, sometimes an important one, in our evaluating the act morally, whether a sexual act or type of sexual expression is natural or unnatural may also play a role, sometimes a large one, in deciding whether the act is morally good or bad.

A comparison between the sexual philosophy of the medieval Catholic theologian St. Thomas Aquinas and that of the contemporary secular philosophy Thomas Nagel is in this regard instructive. Both Aquinas and Nagel can be understood as assuming that what is unnatural in human sexuality is perverted, and that what is unnatural or perverted in human sexuality is simply that which does not conform with or is inconsistent with natural human sexuality. But beyond these general areas of agreement, there are deep differences between Aquinas and Nagel.

9. Aquinas’s Natural Law

Based upon a comparison of the sexuality of humans and the sexuality of lower animals (mammals, in particular), Aquinas concludes that what is natural in human sexuality is the impulse to engage in heterosexual coitus. Heterosexual coitus is the mechanism designed by the Christian God to insure the preservation of animal species, including humans, and hence engaging in this activity is the primary natural expression of human sexual nature. Further, this God designed each of the parts of the human body to carry out specific functions, and on Aquinas’s view God designed the male penis to implant sperm into the female’s vagina for the purpose of effecting procreation. It follows, for Aquinas, that depositing the sperm elsewhere than inside a human female’s vagina is unnatural: it is a violation of God’s design, contrary to the nature of things as established by God. For this reason alone, on Aquinas’s view, such activities are immoral, a grave offense to the sagacious plan of the Almighty.

Sexual intercourse with lower animals (bestiality), sexual activity with members of one’s own sex (homosexuality), and masturbation, for Aquinas, are unnatural sexual acts and are immoral exactly for that reason. If they are committed intentionally, according to one’s will, they deliberately disrupt the natural order of the world as created by God and which God commanded to be respected. (See Summa Theologiae, vol. 43, 2a2ae, qq. 153-154.) In none of these activities is there any possibility of procreation, and the sexual and other organs are used, or misused, for purposes other than that for which they were designed. Although Aquinas does not say so explicitly, but only hints in this direction, it follows from his philosophy of sexuality that fellatio, even when engaged in by heterosexuals, is also perverted and morally wrong. At least in those cases in which orgasm occurs by means of this act, the sperm is not being placed where it should be placed and procreation is therefore not possible. If the penis entering the vagina is the paradigmatic natural act, then any other combination of anatomical connections will be unnatural and hence immoral; for example, the penis, mouth, or fingers entering the anus. Note that Aquinas’s criterion of the natural, that the sexual act must be procreative in form, and hence must involve a penis inserted into a vagina, makes no mention of human psychology. Aquinas’s line of thought yields an anatomical criterion of natural and perverted sex that refers only to bodily organs and what they might accomplish physiologically and to where they are, or are not, put in relation to each other.

10. Nagel’s Secular Philosophy

Thomas Nagel denies Aquinas’s central presupposition, that in order to discover what is natural in human sexuality we should emphasize what humans and lower animals have in common. Applying this formula, Aquinas concluded that the purpose of sexual activity and the sexual organs in humans was procreation, as it is in the lower animals. Everything else in Aquinas’s sexual philosophy follows more-or-less logically from this. Nagel, by contrast, argues that to discover what is distinctive about the natural human sexuality, and hence derivatively what is unnatural or perverted, we should focus, instead, on what humans and lower animals do not have in common. We should emphasize the ways in which humans are different from animals, the ways in which humans and their sexuality are special. Thus Nagel argues that sexual perversion in humans should be understood as a psychological phenomenon rather than, as in Aquinas’s treatment, in anatomical and physiological terms. For it is human psychology that makes us quite different from other animals, and hence an account of natural human sexuality must acknowledge the uniqueness of human psychology.

Nagel proposes that sexual interactions in which each person responds with sexual arousal to noticing the sexual arousal of the other person exhibit the psychology that is natural to human sexuality. In such an encounter, each person becomes aware of himself or herself and the other person as both the subject and the object of their joint sexual experiences. Perverted sexual encounters or events would be those in which this mutual recognition of arousal is absent, and in which a person remains fully a subject of the sexual experience or fully an object. Perversion, then, is a departure from or a truncation of a psychologically “complete” pattern of arousal and consciousness. (See Nagel’s “Sexual Perversion,” pp. 15-17.) Nothing in Nagel’s psychological account of the natural and the perverted refers to bodily organs or physiological processes. That is, for a sexual encounter to be natural, it need not be procreative in form, as long as the requisite psychology of mutual recognition is present. Whether a sexual activity is natural or perverted does not depend, on Nagel’s view, on what organs are used or where they are put, but only on the character of the psychology of the sexual encounter. Thus Nagel disagrees with Aquinas that homosexual activities, as a specific type of sexual act, are unnatural or perverted, for homosexual fellatio and anal intercourse may very well be accompanied by the mutual recognition of and response to the other’s sexual arousal.

11. Fetishism

It is illuminating to compare what the views of Aquinas and Nagel imply about fetishism, that is, the usually male practice of masturbating while fondling women’s shoes or undergarments. Aquinas and Nagel agree that such activities are unnatural and perverted, but they disagree about the grounds of that evaluation. For Aquinas, masturbating while fondling shoes or undergarments is unnatural because the sperm is not deposited where it should be, and the act thereby has no procreative potential. For Nagel, masturbatory fetishism is perverted for a quite different reason: in this activity, there is no possibility of one persons’ noticing and being aroused by the arousal of another person. The arousal of the fetishist is, from the perspective of natural human psychology, defective. Note, in this example, one more difference between Aquinas and Nagel: Aquinas would judge the sexual activity of the fetishist to be immoral precisely because it is perverted (it violates a natural pattern established by God), while Nagel would not conclude that it must be morally wrong—after all, a fetishistic sexual act might be carried out quite harmlessly—even if it does indicate that something is suspicious about the fetishist’s psychology. The move historically and socially away from a Thomistic moralistic account of sexual perversion toward an amoral psychological account such as Nagel’s is representative of a more widespread trend: the gradual replacement of moral or religious judgments, about all sorts of deviant behavior, by medical or psychiatric judgments and interventions. (See Alan Soble, Sexual Investigations, chapter 4.)

12. Female Sexuality and Natural Law

A different kind of disagreement with Aquinas is registered by Christine Gudorf, a Christian theologian who otherwise has a lot in common with Aquinas. Gudorf agrees that the study of human anatomy and physiology yields insights into God’s plan and design, and that human sexual behavior should conform with God’s creative intentions. That is, Gudorf’s philosophy is squarely within the Thomistic Natural Law tradition. But Gudorf argues that if we take a careful look at the anatomy and physiology of the female sexual organs, and especially the clitoris, instead of focusing exclusively on the male’s penis (which is what Aquinas did), quite different conclusions about God’s plan and design emerge and hence Christian sexual ethics turns out to be less restrictive. In particular, Gudorf claims that the female’s clitoris is an organ whose only purpose is the production of sexual pleasure and, unlike the mixed or dual functionality of the penis, has no connection with procreation. Gudorf concludes that the existence of the clitoris in the female body suggests that God intended that the purpose of sexual activity was as much for sexual pleasure for its own sake as it was for procreation. Therefore, according to Gudorf, pleasurable sexual activity apart from procreation does not violate God’s design, is not unnatural, and hence is not necessarily morally wrong, as long as it occurs in the context of a monogamous marriage (Sex, Body, and Pleasure, p. 65). Today we are not as confident as Aquinas was that God’s plan can be discovered by a straightforward examination of human and animal bodies; but such healthy skepticism about our ability to discern the intentions of God from facts of the natural world would seem to apply to Gudorf’s proposal as well.

13. Debates in Sexual Ethics

The ethics of sexual behavior, as a branch of applied ethics, is no more and no less contentious than the ethics of anything else that is usually included within the area of applied ethics. Think, for example, of the notorious debates over euthanasia, capital punishment, abortion, and our treatment of lower animals for food, clothing, entertainment, and in medical research. So it should come as no surprise than even though a discussion of sexual ethics might well result in the removal of some confusions and a clarification of the issues, no final answers to questions about the morality of sexual activity are likely to be forthcoming from the philosophy of sexuality. As far as I can tell by surveying the literature on sexual ethics, there are at least three major topics that have received much discussion by philosophers of sexuality and which provide arenas for continual debate.

14. Natural Law vs. Liberal Ethics

We have already encountered one debate: the dispute between a Thomistic Natural Law approach to sexual morality and a more liberal, secular outlook that denies that there is a tight connection between what is unnatural in human sexuality and what is immoral. The secular liberal philosopher emphasizes the values of autonomous choice, self-determination, and pleasure in arriving at moral judgments about sexual behavior, in contrast to the Thomistic tradition that justifies a more restrictive sexual ethics by invoking a divinely imposed scheme to which human action must conform. For a secular liberal philosopher of sexuality, the paradigmatically morally wrong sexual act is rape, in which one person forces himself or herself upon another or uses threats to coerce the other to engage in sexual activity. By contrast, for the liberal, anything done voluntarily between two or more people is generally morally permissible. For the secular liberal, then, a sexual act would be morally wrong if it were dishonest, coercive, or manipulative, and Natural Law theory would agree, except to add that the act’s merely being unnatural is another, independent reason for condemning it morally. Kant, for example, held that “Onanism . . . is abuse of the sexual faculty. . . . By it man sets aside his person and degrades himself below the level of animals. . . . Intercourse between sexus homogenii . . . too is contrary to the ends of humanity”(Lectures, p. 170). The sexual liberal, however, usually finds nothing morally wrong or nonmorally bad about either masturbation or homosexual sexual activity. These activities might be unnatural, and perhaps in some ways prudentially unwise, but in many if not most cases they can be carried out without harm being done either to the participants or to anyone else.

Natural Law is alive and well today among philosophers of sex, even if the details do not match Aquinas’s original version. For example, the contemporary philosopher John Finnis argues that there are morally worthless sexual acts in which “one’s body is treated as instrumental for the securing of the experiential satisfaction of the conscious self” (see “Is Homosexual Conduct Wrong?”). For example, in masturbating or in being anally sodomized, the body is just a tool of sexual satisfaction and, as a result, the person undergoes “disintegration.” “One’s choosing self [becomes] the quasi-slave of the experiencing self which is demanding gratification.” The worthlessness and disintegration attaching to masturbation and sodomy actually attach, for Finnis, to “all extramarital sexual gratification.” This is because only in married, heterosexual coitus do the persons’ “reproductive organs . . . make them a biological . . . unit.” Finnis begins his argument with the metaphysically pessimistic intuition that sexual activity involves treating human bodies and persons instrumentally, and he concludes with the thought that sexual activity in marriage—in particular, genital intercourse—avoids disintegrity because only in this case, as intended by God’s plan, does the couple attain a state of genuine unity: “the orgasmic union of the reproductive organs of husband and wife really unites them biologically.” (See also Finnis’s essay “Law, Morality, and ‘Sexual Orientation’.”)

15. Consent Is Not Sufficient

Another debate is about whether, when there is no harm done to third parties to be concerned about, the fact that two people engage in a sexual act voluntarily, with their own free and informed consent, is sufficient for satisfying the demands of sexual morality. Of course, those in the Natural Law tradition deny that consent is sufficient, since on their view willingly engaging in unnatural sexual acts is morally wrong, but they are not alone in reducing the moral significance of consent. Sexual activity between two persons might be harmful to one or both participants, and a moral paternalist or perfectionist would claim that it is wrong for one person to harm another person, or for the latter to allow the former to engage in this harmful behavior, even when both persons provide free and informed consent to their joint activity. Consent in this case is not sufficient, and as a result some forms of sadomasochistic sexuality turn out to be morally wrong. The denial of the sufficiency of consent is also frequently presupposed by those philosophers who claim that only in a committed relationship is sexual activity between two people morally permissible. The free and informed consent of both parties may be a necessary condition for the morality of their sexual activity, but without the presence of some other ingredient (love, marriage, devotion, and the like) their sexual activity remains mere mutual use or objectification and hence morally objectionable.

In casual sex, for example, two persons are merely using each other for their own sexual pleasure; even when genuinely consensual, these mutual sexual uses do not yield a virtuous sexual act. Kant and Karol Wojtyla (Pope John Paul II) take this position: willingly allowing oneself to be used sexually by another makes an object of oneself. For Kant, sexual activity avoids treating a person merely as a means only in marriage, since here both persons have surrendered their bodies and souls to each other and have achieved a subtle metaphysical unity (Lectures, p. 167). For Wojtyla, “only love can preclude the use of one person by another” (Love and Responsibility, p. 30), since love is a unification of persons resulting from a mutual gift of their selves. Note, however, that the thought that a unifying love is the ingredient that justifies sexual activity (beyond consent) has an interesting and ironic implication: gay and lesbian sexual relations would seem to be permissible if they occur within loving, monogamous homosexual marriages (a position defended by the theologians Patricia Jung and Ralph Smith, in Heterosexism). At this point in the argument, defenders of the view that sexual activity is justifiable only in marriage commonly appeal to Natural Law to rule out homosexual marriage.

16. Consent Is Sufficient

On another view of these matters, the fact that sexual activity is carried out voluntarily by all persons involved means, assuming that no harm to third parties exists, that the sexual activity is morally permissible. In defending such a view of the sufficiency of consent, Thomas Mappes writes that “respect for persons entails that each of us recognize the rightful authority of other persons (as rational beings) to conduct their individual lives as they see fit” (“Sexual Morality and the Concept of Using Another Person,” p. 204). Allowing the other person’s consent to control when the other may engage in sexual activity with me is to respect that person by taking his or her autonomy, his or her ability to reason and make choices, seriously, while not to allow the other to make the decision about when to engage in sexual activity with me is disrespectfully paternalistic. If the other person’s consent is taken as sufficient, that shows that I respect his or her choice of ends, or that even if I do not approve of his or her particular choice of ends, at least I show respect for his or her ends-making capability. According to such a view of the power of consent, there can be no moral objection in principle to casual sexual activity, to sexual activity with strangers, or to promiscuity, as long as the persons involved in the activity genuinely agree to engage in their chosen sexual activities.

If Mappes’s free and informed consent criterion of the morality of sexual activity is correct, we would still have to address several difficult questions. How specific must consent be? When one person agrees vaguely, and in the heat of the moment, with another person, “yes, let’s have sex,” the speaker has not necessarily consented to every type of sexual caress or coital position the second person might have in mind. And how explicit must consent be? Can consent be reliably implied by involuntarily behavior (moans, for example), and do nonverbal cues (erection, lubrication) decisively show that another person has consented to sex? Some philosophers insist that consent must be exceedingly specific as to the sexual acts to be carried out, and some would permit only explicit verbal consent, denying that body language by itself can do an adequate job of expressing the participant’s desires and intentions. (See Alan Soble, “Antioch’s ‘Sexual Offense Policy’.”)

Note also that not all philosophers agree with Mappes and others that fully voluntary consent is always necessary for sexual activity to be morally permissible. Jeffrie Murphy, for example, has raised some doubts (“Some Ruminations on Women, Violence, and the Criminal Law,” p. 218):

“Have sex with me or I will find another girlfriend” strikes me (assuming normal circumstances) as a morally permissible threat, and “Have sex with me and I will marry you” strikes me (assuming the offer is genuine) as a morally permissible offer. . . . We negotiate our way through most of life with schemes of threats and offers . . . and I see no reason why the realm of sexuality should be utterly insulated from this very normal way of being human.

Murphy implies that some threats are coercive and thereby undermine the voluntary nature of the participation in sexual activity of one of the persons, but, he adds, these types of threats are not always morally wrong. Alternatively, we might say that in the cases Murphy describes, the threats and offers do not constitute coercion at all and that they present no obstacle to fully voluntary participation. (See Alan Wertheimer, “Consent and Sexual Relations.”) If so, Murphy’s cases do not establish that voluntary consent is not always required for sexual activity to be morally right.

17. What Is “Voluntary”?

As suggested by Murphy’s examples, another debate concerns the meaning and application of the concept “voluntary.” Whether consent is only necessary for the morality of sexual activity, or also sufficient, any moral principle that relies on consent to make moral distinctions among sexual events presupposes a clear understanding of the “voluntary” aspect of consent. It is safe to say that participation in sexual activity ought not to be physically forced upon one person by another. But this obvious truth leaves matters wide open. Onora O’Neill, for example, thinks that casual sex is morally wrong because the consent it purportedly involves is not likely to be sufficiently voluntary, in light of subtle pressures people commonly put on each other to engage in sexual activity (see “Between Consenting Adults”).

One moral ideal is that genuinely consensual participation in sexual activity requires not a hint of coercion or pressure of any sort. Because engaging in sexual activity can be risky or dangerous in many ways, physically, psychologically, and metaphysically, we would like to be sure, according to this moral ideal, that anyone who engages in sexual activity does so perfectly voluntarily. Some philosophers have argued that this ideal can be realized only when there is substantial economic and social equality between the persons involved in a given sexual encounter. For example, a society that exhibits disparities in the incomes or wealth of its various members is one in which some people will be exposed to economic coercion. If some groups of people (women and members of ethnic minorities, in particular) have less economic and social power than others, members of these groups will be therefore exposed to sexual coercion in particular, among other kinds. One immediate application of this thought is that prostitution, which to many sexual liberals is a business bargain made by a provider of sexual services and a client and is largely characterized by adequately free and informed consent, may be morally wrong, if the economic situation of the prostitute acts as a kind of pressure that negates the voluntary nature of his or her participation. Further, women with children who are economically dependent on their husbands may find themselves in the position of having to engage in sexual activity whether they want to or not, for fear of being abandoned; these women, too, may not be engaging in sexual activity fully voluntarily. The woman who allows herself to be nagged into sex by her husband worries that if she says “no” too often, she will suffer economically, if not also physically and psychologically.

The view that the presence of any kind of pressure at all is coercive, negates the voluntary nature of participation in sexual activity, and hence is morally objectionable has been expressed by Charlene Muehlenhard and Jennifer Schrag (see their “Nonviolent Sexual Coercion”). They list, among other things, “status coercion” (when women are coerced into sexual activity or marriage by a man’s occupation) and “discrimination against lesbians” (which discrimination compels women into having sexual relationships only with men) as forms of coercion that undermine the voluntary nature of participation by women in sexual activity with men. But depending on the kind of case we have in mind, it might be more accurate to say either that some pressures are not coercive and do not appreciably undermine voluntariness, or that some pressures are coercive but are nevertheless not morally objectionable. Is it always true that the presence of any kind of pressure put on one person by another amounts to coercion that negates the voluntary nature of consent, so that subsequent sexual activity is morally wrong?

18. Conceptual Analysis

Conceptual philosophy of sexuality is concerned to analyze and to clarify concepts that are central in this area of philosophy: sexual activity, sexual desire, sexual sensation, sexual perversion, and others. It also attempts to define less abstract concepts, such as prostitution, pornography, and rape. I would like to illustrate the conceptual philosophy of sexuality by focusing on one particular concept, that of “sexual activity,” and explore in what ways it is related to another central concept, that of “sexual pleasure.” One lesson to be learned here is that conceptual philosophy of sexuality can be just as difficult and contentious as normative philosophy of sexuality, and that as a result firm conceptual conclusions are hard to come by.

19. Sexual Activity vs. “Having Sex”

According to a notorious study published in 1999 in the Journal of the American Medical Association (“Would You Say You ‘Had Sex’ If . . . ?” by Stephanie Sanders and June Reinisch), a large percent of undergraduate college students, about 60%, do not think that engaging in oral sex (fellatio and cunnilingus) is “having sex.” This finding is at first glance very surprising, but it is not difficult to comprehend sympathetically. To be sure, as philosophers we easily conclude that oral sex is a specific type of sexual activity. But “sexual activity” is a technical concept, while “having sex” is an ordinary language concept, which refers primarily to heterosexual intercourse. Thus when Monica Lewinsky told her confidant Linda Tripp that she did not “have sex” with William Jefferson Clinton, she was not necessarily self-deceived, lying, or pulling a fast one. She was merely relying on the ordinary language definition or criterion of “having sex,” which is not identical to the philosopher’s concept of “sexual activity,” does not always include oral sex, and usually requires genital intercourse.

Another conclusion might be drawn from the JAMA survey. If we assume that heterosexual coitus by and large, or in many cases, produces more pleasure for the participants than does oral sex, or at least that in heterosexual intercourse there is greater mutuality of sexual pleasure than in one-directional oral sex, and this is why ordinary thought tends to discount the ontological significance of oral sex, then perhaps we can use this to fashion a philosophical account of “sexual activity” that is at once consistent with ordinary thought.

20. Sexual Activity and Sexual Pleasure

In common thought, whether a sexual act is nonmorally good or bad is often associated with whether it is judged to be a sexual act at all. Sometimes we derive little or no pleasure from a sexual act (say, we are primarily giving pleasure to another person, or we are even selling it to the other person), and we think that even though the other person had a sexual experience, we didn’t. Or the other person did try to provide us with sexual pleasure but failed miserably, whether from ignorance of technique or sheer sexual crudity. In such a case it would not be implausible to say that we did not undergo a sexual experience and so did not engage in a sexual act. If Ms. Lewinsky’s performing oral sex on President Clinton was done only for his sake, for his sexual pleasure, and she did it out of consideration for his needs and not hers, then perhaps she did not herself, after all, engage in a sexual act.

Robert Gray is one philosopher who has taken up this line of ordinary thought and has argued that “sexual activity” should be analyzed in terms of the production of sexual pleasure. He asserts that “any activity might become a sexual activity” if sexual pleasure is derived from it, and “no activity is a sexual activity unless sexual pleasure is derived from it” (“Sex and Sexual Perversion,” p. 61). Perhaps Gray is right, since we tend to think that holding hands is a sexual activity when sexual pleasure is produced by doing so, but otherwise holding hands is not very sexual. A handshake is normally not a sexual act, and usually does not yield sexual pleasure; but two lovers caressing each other’s fingers is both a sexual act and produces sexual pleasure for them.

There is another reason for taking seriously the idea that sexual activities are exactly those that produce sexual pleasure. What is it about a sexually perverted activity that makes it sexual? The act is unnatural, we might say, because it has no connection with one common purpose of sexual activity, that is, procreation. But the only thing that would seem to make the act a sexual perversion is that it does, on a fairly reliable basis, nonetheless produce sexual pleasure. Undergarment fetishism is a sexual perversion, and not merely, say, a “fabric” perversion, because it involves sexual pleasure. Similarly, what is it about homosexual sexual activities that makes them sexual? All such acts are nonprocreative, yet they share something very important in common with procreative heterosexual activities: they produce sexual pleasure, and the same sort of sexual pleasure.

a. Sexual Activity Without Pleasure

Suppose I were to ask you, “How many sexual partners have you had during the last five years”? If you were on your toes, you would ask me, before answering, “What counts as a sexual partner?” (Maybe you are suspicious of my question because you had read Greta Christina’s essay on this topic, “Are We Having Sex Now or What?”) At this point I should give you an adequate analysis of “sexual activity,” and tell you to count anyone with whom you engaged in sexual activity according to this definition. What I should definitely not do is to tell you to count only those people with whom you had a pleasing or satisfactory sexual experience, forgetting about, and hence not counting, those partners with whom you had nonmorally bad sex. But if we accept Gray’s analysis of sexual activity, that sexual acts are exactly those and only those that produce sexual pleasure, I should of course urge you not to count, over those five years, anyone with whom you had a nonmorally bad sexual experience. You will end up reporting to me fewer sexual partners than you in fact had. Maybe that will make you feel better.

The general point is this. If “sexual activity” is logically dependent on “sexual pleasure,” if sexual pleasure is thereby the criterion of sexual activity itself, then sexual pleasure cannot be the gauge of the nonmoral quality of sexual activities. That is, this analysis of “sexual activity” in terms of “sexual pleasure” conflates what it is for an act to be a sexual activity with what it is for an act to be a nonmorally good sexual activity. On such an analysis, procreative sexual activities, when the penis is placed into the vagina, would be sexual activities only when they produce sexual pleasure, and not when they are as sensually boring as a handshake. Further, the victim of a rape, who has not experienced nonmorally good sex, cannot claim that he or she was forced to engage in sexual activity, even if the act compelled on him or her was intercourse or fellatio.

I would prefer to say that the couple who have lost sexual interest in each other, and who engage in routine sexual activities from which they derive no pleasure, are still performing a sexual act. But we are forbidden, by Gray’s proposed analysis, from saying that they engage in nonmorally bad sexual activity, for on his view they have not engaged in any sexual activity at all. Rather, we could say at most that they tried to engage in sexual activity but failed to do so. It may be a sad fact about our sexual world that we can engage in sexual activity and not derive any or much pleasure from it, but that fact should not give us reason for refusing to call these unsatisfactory events “sexual.”

21. References and Further Reading

  • Aquinas, St. Thomas. Summa Theologiae. Cambridge, Eng.: Blackfriars, 1964-76.
  • Augustine, St. (Aurelius). On Marriage and Concupiscence, in The Works of Aurelius Augustine, Bishop of Hippo, vol. 12, ed. Marcus Dods. Edinburgh, Scot.: T. & T. Clark, 1874.
  • Baker, Robert, Kathleen Wininger, and Frederick Elliston, eds. Philosophy and Sex, 3rd edition. Amherst, N.Y.: Prometheus, 1998.
  • Baumrin, Bernard. “Sexual Immorality Delineated,” in Robert Baker and Frederick Elliston, eds., Philosophy and Sex, 2nd edition. Buffalo, N.Y.: Prometheus, 1984, pp. 300-11.
  • Bloom, Allan. Love and Friendship. New York: Simon and Schuster, 1993.
  • Christina, Greta. “Are We Having Sex Now or What?” in Alan Soble, ed., The Philosophy of Sex, 3rd edition. Lanham, Md.: Rowman and Littlefield, 1997, pp. 3-8.
  • Finnis, John. “Law, Morality, and ‘Sexual Orientation’,” Notre Dame Law Review 69:5 (1994), pp. 1049-76.
  • Finnis, John and Martha Nussbaum. “Is Homosexual Conduct Wrong? A Philosophical Exchange,” in Alan Soble, ed., The Philosophy of Sex, 3rd edition. Lanham, Md.: Rowman and Littlefield, 1997, pp. 89-94.
  • Gray, Robert. “Sex and Sexual Perversion,” in Alan Soble, ed., The Philosophy of Sex, 3rd edition. Lanham, Md.: Rowman and Littlefield, 1997, pp. 57-66.
  • Grisez, Germain. The Way of the Lord Jesus. Quincy, Ill.: Franciscan Press, 1993.
  • Gudorf, Christine. Sex, Body, and Pleasure: Reconstructing Christian Sexual Ethics. Cleveland, Ohio: Pilgrim Press, 1994.
  • Hampton, Jean. “Defining Wrong and Defining Rape,” in Keith Burgess-Jackson, ed., A Most Detestable Crime: New Philosophical Essays on Rape. New York: Oxford University Press, 1999, pp. 118-56.
  • Held, Virginia. “Coercion and Coercive Offers,” in J. Roland Pennock and John W. Chapman, eds., Coercion: Nomos VIX. Chicago, Ill.: Aldine, 1972, pp. 49-62.
  • Jung, Patricia, and Ralph Smith. Heterosexism: An Ethical Challenge. Albany, N.Y.: State University of New York Press, 1993.
  • Kant, Immanuel. Lectures on Ethics. Translated by Louis Infield. New York: Harper and Row, 1963.
  • Kant, Immanuel. The Metaphysics of Morals . Translated by Mary Gregor. Cambridge, Eng.: Cambridge University Press, 1996.
  • Lewis, C. S. The Four Loves. New York: Harcourt Brace Jovanovich, 1960.
  • Mappes, Thomas. “Sexual Morality and the Concept of Using Another Person,” in Thomas Mappes and Jane Zembaty, eds., Social Ethics, 4th edition. New York: McGraw-Hill, 1992, pp. 203-26.
  • Mayo, David. “An Obligation to Warn of HIV Infection?” in Alan Soble, ed., Sex, Love and Friendship. Amsterdam. Hol.: Editions Rodopi, 1997, pp. 447-53.
  • Muehlenhard, Charlene, and Jennifer Schrag. “Nonviolent Sexual Coercion,” in A. Parrot and L. Bechhofer, eds, Acquaintance Rape. The Hidden Crime. New York: John Wiley, 1991, pp. 115-28.
  • Murphy, Jeffrie. “Some Ruminations on Women, Violence, and the Criminal Law,” in Jules Coleman and Allen Buchanan, eds., In Harm’s Way: Essays in Honor of Joel Feinberg. Cambridge, Eng.: Cambridge University Press, 1994, pp. 209-30.
  • Nagel, Thomas. “Sexual Perversion,” in Alan Soble, ed., The Philosophy of Sex, 3st edition. Lanham, Md.: Rowman and Littlefield, 1997, pp. 9-20.
  • O’Neill, Onora. “Between Consenting Adults,” Philosophy and Public Affairs 14:3 (1985), pp. 252-77.
  • Plato. Symposium. Translated by Michael Joyce, in E. Hamilton and H. Cairns, eds., The Collected Dialogues of Plato. Princeton, N.J.: Princeton University Press, 1961, pp. 526-74.
  • Posner, Richard. Sex and Reason. Cambridge, Mass.: Harvard University Press, 1992.
  • Sanders, Stephanie, and June Reinisch. “Would You Say You ‘Had Sex’ If . . . ?” Journal of the American Medical Association 281:3 (January 20, 1999), pp. 275-77.
  • Scruton, Roger. Sexual Desire: A Moral Philosophy of the Erotic. New York: Free Press, 1986.
  • Singer, Irving. The Nature of Love, vol. 2: Courtly and Romantic. Chicago, Ill.: University of Chicago Press, 1984.
  • Soble, Alan. “Antioch’s ‘Sexual Offense Policy’: A Philosophical Exploration,” Journal of Social Philosophy 28:1 (1997), pp. 22-36.
  • Soble, Alan. The Philosophy of Sex and Love: An Introduction. St. Paul, Minn.: Paragon House, 1998.
  • Soble, Alan. Sexual Investigations. New York: New York University Press,1996.
  • Soble, Alan. ed. Eros, Agape and Philia. New York: Paragon House, 1989.
  • Soble, Alan. ed. The Philosophy of Sex, 3rd edition. Lanham, Md.: Rowman & Littlefield, 1997.
  • Soble, Alan. ed. Sex, Love and Friendship. Amsterdam, Hol.: Editions Rodopi, 1996.
  • Solomon, Robert, and Kathleen Higgins, eds. The Philosophy of (Erotic) Love. Lawrence. Kan.: University Press of Kansas, 1991.
  • Stewart, Robert M., ed. Philosophical Perspectives on Sex and Love. New York: Oxford University Press, 1995.
  • Vannoy, Russell. Sex Without Love: A Philosophical Exploration. Buffalo, N.Y.: Prometheus, 1980.
  • Verene, Donald, ed. Sexual Love and Western Morality, 2nd edition. Boston, Mass.: Jones and Bartlett, 1995.
  • Wertheimer, Alan. “Consent and Sexual Relations,” Legal Theory 2:2 (1996), pp. 89-112.
  • Wojtyla, Karol [Pope John Paul II]. Love and Responsibility. New York: Farrar, Straus and Giroux, 1981.

Author Information

Alan Soble
Email: ags38@drexel.edu
Drexel University
U. S. A.

Plato (427—347 B.C.E.)

platoPlato is one of the world’s best known and most widely read and studied philosophers. He was the student of Socrates and the teacher of Aristotle, and he wrote in the middle of the fourth century B.C.E. in ancient Greece. Though influenced primarily by Socrates, to the extent that Socrates is usually the main character in many of Plato’s writings, he was also influenced by Heraclitus, Parmenides, and the Pythagoreans.

There are varying degrees of controversy over which of Plato’s works are authentic, and in what order they were written, due to their antiquity and the manner of their preservation through time. Nonetheless, his earliest works are generally regarded as the most reliable of the ancient sources on Socrates, and the character Socrates that we know through these writings is considered to be one of the greatest of the ancient philosophers.

Plato’s middle to later works, including his most famous work, the Republic, are generally regarded as providing Plato’s own philosophy, where the main character in effect speaks for Plato himself. These works blend ethics, political philosophy, moral psychology, epistemology, and metaphysics into an interconnected and systematic philosophy. It is most of all from Plato that we get the theory of Forms, according to which the world we know through the senses is only an imitation of the pure, eternal, and unchanging world of the Forms. Plato’s works also contain the origins of the familiar complaint that the arts work by inflaming the passions, and are mere illusions. We also are introduced to the ideal of “Platonic love:” Plato saw love as motivated by a longing for the highest Form of beauty—The Beautiful Itself, and love as the motivational power through which the highest of achievements are possible. Because they tended to distract us into accepting less than our highest potentials, however, Plato mistrusted and generally advised against physical expressions of love.

Table of Contents

  1. Biography
    1. Birth
    2. Family
    3. Early Travels and the Founding of the Academy
    4. Later Trips to Sicily and Death
  2. Influences on Plato
    1. Heraclitus
    2. Parmenides and Zeno
    3. The Pythagoreans
    4. Socrates
  3. Plato’s Writings
    1. Plato’s Dialogues and the Historical Socrates
    2. Dating Plato’s Dialogues
    3. Transmission of Plato’s Works
  4. Other Works Attributed to Plato
    1. Spuria
    2. Epigrams
    3. Dubia
  5. The Early Dialogues
    1. Historical Accuracy
    2. Plato’s Characterization of Socrates
    3. Ethical Positions in the Early Dialogues
    4. Psychological Positions in the Early Dialogues
    5. Religious Positions in the Early Dialogues
    6. Methodological and Epistemological Positions in the Early Dialogues
  6. The Middle Dialogues
    1. Differences between the Early and Middle Dialogues
    2. The Theory of Forms
    3. Immortality and Reincarnation
    4. Moral Psychology
    5. Critique of the Arts
    6. Platonic Love
  7. Late Transitional and Late Dialogues
    1. Philosophical Methodology
    2. Critique of the Earlier Theory of Forms
    3. The Myth of Atlantis
    4. The Creation of the Universe
    5. The Laws
  8. References and Further Reading
    1. Greek Texts
    2. Translations Into English
    3. Plato’s Socrates and the Historical Socrates
    4. Socrates and Plato’s Early Period Dialogues
    5. General Books on Plato

1. Biography

a. Birth

It is widely accepted that Plato, the Athenian philosopher, was born in 428-7 B.C.E and died at the age of eighty or eighty-one at 348-7 B.C.E. These dates, however, are not entirely certain, for according to Diogenes Laertius (D.L.), following Apollodorus’ chronology, Plato was born the year Pericles died, was six years younger than Isocrates, and died at the age of eighty-four (D.L. 3.2-3.3). If Plato’s date of death is correct in Apollodorus’ version, Plato would have been born in 430 or 431. Diogenes’ claim that Plato was born the year Pericles died would put his birth in 429. Later (at 3.6), Diogenes says that Plato was twenty-eight when Socrates was put to death (in 399), which would, again, put his year of birth at 427. In spite of the confusion, the dates of Plato’s life we gave above, which are based upon Eratosthenes’ calculations, have traditionally been accepted as accurate.

b. Family

Little can be known about Plato’s early life. According to Diogenes, whose testimony is notoriously unreliable, Plato’s parents were Ariston and Perictione (or Potone—see D. L. 3.1). Both sides of the family claimed to trace their ancestry back to Poseidon (D.L. 3.1). Diogenes’ report that Plato’s birth was the result of Ariston’s rape of Perictione (D.L. 3.1) is a good example of the unconfirmed gossip in which Diogenes so often indulges. We can be confident that Plato also had two older brothers, Glaucon and Adeimantus, and a sister, Potone, by the same parents (see D.L. 3.4). (W. K. C. Guthrie, A History of Greek Philosophy, vol. 4, 10 n. 4 argues plausibly that Glaucon and Adeimantus were Plato’s older siblings.) After Ariston’s death, Plato’s mother married her uncle, Pyrilampes (in Plato’s Charmides, we are told that Pyrilampes was Charmides’ uncle, and Charmides was Plato’s mother’s brother), with whom she had another son, Antiphon, Plato’s half-brother (see Plato, Parmenides 126a-b).

Plato came from one of the wealthiest and most politically active families in Athens. Their political activities, however, are not seen as laudable ones by historians. One of Plato’s uncles (Charmides) was a member of the notorious “Thirty Tyrants,” who overthrew the Athenian democracy in 404 B.C.E. Charmides’ own uncle, Critias, was the leader of the Thirty. Plato’s relatives were not exclusively associated with the oligarchic faction in Athens, however. His stepfather Pyrilampes was said to have been a close associate of Pericles, when he was the leader of the democratic faction.

Plato’s actual given name was apparently Aristocles, after his grandfather. “Plato” seems to have started as a nickname (for platos, or “broad”), perhaps first given to him by his wrestling teacher for his physique, or for the breadth of his style, or even the breadth of his forehead (all given in D.L. 3.4). Although the name Aristocles was still given as Plato’s name on one of the two epitaphs on his tomb (see D.L. 3.43), history knows him as Plato.

c. Early Travels and the Founding of the Academy

When Socrates died, Plato left Athens, staying first in Megara, but then going on to several other places, including perhaps Cyrene, Italy, Sicily, and even Egypt. Strabo (17.29) claims that he was shown where Plato lived when he visited Heliopolis in Egypt. Plato occasionally mentions Egypt in his works, but not in ways that reveal much of any consequence (see, for examples, Phaedrus 274c-275b; Philebus 19b).

Better evidence may be found for his visits to Italy and Sicily, especially in the Seventh Letter. According to the account given there, Plato first went to Italy and Sicily when he was “about forty” (324a). While he stayed in Syracuse, he became the instructor to Dion, brother-in-law of the tyrant Dionysius I. According to doubtful stories from later antiquity, Dionysius became annoyed with Plato at some point during this visit, and arranged to have the philosopher sold into slavery (Diod. 15.7; Plut. Dion 5; D.L. 3.19-21).

In any event, Plato returned to Athens and founded a school, known as the Academy. (This is where we get our word, “academic.” The Academy got its name from its location, a grove of trees sacred to the hero Academus—or Hecademus [see D.L. 3.7]—a mile or so outside the Athenian walls; the site can still be visited in modern Athens, but visitors will find it depressingly void of interesting monuments or features.) Except for two more trips to Sicily, the Academy seems to have been Plato’s home base for the remainder of his life.

d. Later Trips to Sicily and Death

The first of Plato’s remaining two Sicilian adventures came after Dionysius I died and his young son, Dionysius II, ascended to the throne. His uncle/brother-in-law Dion persuaded the young tyrant to invite Plato to come to help him become a philosopher-ruler of the sort described in the Republic. Although the philosopher (now in his sixties) was not entirely persuaded of this possibility (Seventh Letter 328b-c), he agreed to go. This trip, like the last one, however, did not go well at all. Within months, the younger Dionysius had Dion sent into exile for sedition (Seventh Letter 329c, Third Letter 316c-d), and Plato became effectively under house arrest as the “personal guest” of the dictator (Seventh Letter 329c-330b).

Plato eventually managed to gain the tyrant’s permission to return to Athens (Seventh Letter 338a), and he and Dion were reunited at the Academy (Plut. Dion 17). Dionysius agreed that “after the war” (Seventh Letter 338a; perhaps the Lucanian War in 365 B.C.E.), he would invite Plato and Dion back to Syracuse (Third Letter 316e-317a, Seventh Letter 338a-b). Dion and Plato stayed in Athens for the next four years (c. 365-361 B.C.E.). Dionysius then summoned Plato, but wished for Dion to wait a while longer. Dion accepted the condition and encouraged Plato to go immediately anyway (Third Letter 317a-b, Seventh Letter 338b-c), but Plato refused the invitation, much to the consternation of both Syracusans (Third Letter 317a, Seventh Letter 338c). Hardly a year had passed, however, before Dionysius sent a ship, with one of Plato’s Pythagorean friends (Archedemus, an associate of Archytas—see Seventh Letter 339a-b and next section) on board begging Plato to return to Syracuse. Partly because of his friend Dion’s enthusiasm for the plan, Plato departed one more time to Syracuse. Once again, however, things in Syracuse were not at all to Plato’s liking. Dionysius once again effectively imprisoned Plato in Syracuse, and the latter was only able to escape again with help from his Tarentine friends ( Seventh Letter 350a-b).

Dion subsequently gathered an army of mercenaries and invaded his own homeland. But his success was short-lived: he was assassinated and Sicily was reduced to chaos. Plato, perhaps now completely disgusted with politics, returned to his beloved Academy, where he lived out the last thirteen years of his life. According to Diogenes, Plato was buried at the school he founded (D.L. 3.41). His grave, however, has not yet been discovered by archeological investigations.

2. Influences on Plato

a. Heraclitus

Aristotle and Diogenes agree that Plato had some early association with either the philosophy of Heraclitus of Ephesus, or with one or more of that philosopher’s followers (see Aristotle Metaph. 987a32, D.L. 3.4-3.5). The effects of this influence can perhaps be seen in the mature Plato’s conception of the sensible world as ceaselessly changing.

b. Parmenides and Zeno

There can be no doubt that Plato was also strongly influenced by Parmenides and Zeno (both of Elea), in Plato’s theory of the Forms, which are plainly intended to satisfy the Parmenidean requirement of metaphysical unity and stability in knowable reality. Parmenides and Zeno also appear as characters in his dialogue, the Parmenides. Diogenes Laertius also notes other important influences:

He mixed together in his works the arguments of Heracleitus, the Pythagoreans, and Socrates. Regarding the sensibles, he borrows from Heraclitus; regarding the intelligibles, from Pythagoras; and regarding politics, from Socrates. (D.L. 3.8)

A little later, Diogenes makes a series of comparisons intended to show how much Plato owed to the comic poet, Epicharmus (3.9-3.17).

c. The Pythagoreans

Diogenes Laertius (3.6) claims that Plato visited several Pythagoreans in Southern Italy (one of whom, Theodorus, is also mentioned as a friend to Socrates in Plato’s Theaetetus). In the Seventh Letter, we learn that Plato was a friend of Archytas of Tarentum, a well-known Pythagorean statesman and thinker (see 339d-e), and in the Phaedo, Plato has Echecrates, another Pythagorean, in the group around Socrates on his final day in prison. Plato’s Pythagorean influences seem especially evident in his fascination with mathematics, and in some of his political ideals (see Plato’s political philosophy), expressed in various ways in several dialogues.

d. Socrates

Nonetheless, it is plain that no influence on Plato was greater than that of Socrates. This is evident not only in many of the doctrines and arguments we find in Plato’s dialogues, but perhaps most obviously in Plato’s choice of Socrates as the main character in most of his works. According to the Seventh Letter, Plato counted Socrates “the justest man alive” (324e). According to Diogenes Laertius, the respect was mutual (3.5).

3. Plato’s Writings

a. Plato’s Dialogues and the Historical Socrates

Supposedly possessed of outstanding intellectual and artistic ability even from his youth, according to Diogenes, Plato began his career as a writer of tragedies, but hearing Socrates talk, he wholly abandoned that path, and even burned a tragedy he had hoped to enter in a dramatic competition (D.L. 3.5). Whether or not any of these stories is true, there can be no question of Plato’s mastery of dialogue, characterization, and dramatic context. He may, indeed, have written some epigrams; of the surviving epigrams attributed to him in antiquity, some may be genuine.

Plato was not the only writer of dialogues in which Socrates appears as a principal character and speaker. Others, including Alexamenos of Teos (Aristotle Poetics 1447b11; De Poetis fr. 3 Ross [=Rose2 72]), Aeschines (D.L. 2.60-63, 3.36, Plato Apology 33e), Antisthenes (D.L. 3.35, 6; Plato, Phaedo 59b; Xenophon, Memorabilia 2.4.5, 3.2.17), Aristippus (D.L. 2.65-104, 3.36, Plato Phaedo 59c), Eucleides (D.L. 2.106-112), Phaedo (D.L. 2.105; Plato, Phaedo passim), Simon (D.L. 122-124), and especially Xenophon (see D.L. 2.48-59, 3.34), were also well-known “Socratics” who composed such works. A recent study of these, by Charles H. Kahn (1996, 1-35), concludes that the very existence of the genre—and all of the conflicting images of Socrates we find given by the various authors—shows that we cannot trust as historically reliable any of the accounts of Socrates given in antiquity, including those given by Plato.

But it is one thing to claim that Plato was not the only one to write Socratic dialogues, and quite another to hold that Plato was only following the rules of some genre of writings in his own work. Such a claim, at any rate, is hardly established simply by the existence of these other writers and their writings. We may still wish to ask whether Plato’s own use of Socrates as his main character has anything at all to do with the historical Socrates. The question has led to a number of seemingly irresolvable scholarly disputes. At least one important ancient source, Aristotle, suggests that at least some of the doctrines Plato puts into the mouth of the “Socrates” of the “early” or “Socrates” dialogues are the very ones espoused by the historical Socrates. Because Aristotle has no reason not to be truthful about this issue, many scholars believe that his testimony provides a solid basis for distinguishing the “Socrates” of the “early” dialogues from the character by that name in Plato’s supposedly later works, whose views and arguments Aristotle suggests are Plato’s own.

b. Dating Plato’s Dialogues

One way to approach this issue has been to find some way to arrange the dialogues into at least relative dates. It has frequently been assumed that if we can establish a relative chronology for when Plato wrote each of the dialogues, we can provide some objective test for the claim that Plato represented Socrates more accurately in the earlier dialogues, and less accurately in the later dialogues.

In antiquity, the ordering of Plato’s dialogues was given entirely along thematic lines. The best reports of these orderings (see Diogenes Laertius’ discussion at 3.56-62) included many works whose authenticity is now either disputed or unanimously rejected. The uncontroversial internal and external historical evidence for a chronological ordering is relatively slight. Aristotle (Politics 2.6.1264b24-27), Diogenes Laertius (3.37), and Olympiodorus (Prol. 6.24) state that Plato wrote the Laws after the Republic. Internal references in the Sophist (217a) and the Statesman (also known as the Politicus; 257a, 258b) show the Statesman to come after the Sophist. The Timaeus (17b-19b) may refer to Republic as coming before it, and more clearly mentions the Critias as following it (27a). Similarly, internal references in the Sophist (216a, 217c) and the Theaetetus (183e) may be thought to show the intended order of three dialogues: Parmenides, Theaetetus, and Sophist. Even so, it does not follow that these dialogues were actually written in that order. At Theaetetus 143c, Plato announces through his characters that he will abandon the somewhat cumbersome dialogue form that is employed in his other writings. Since the form does not appear in a number of other writings, it is reasonable to infer that those in which it does not appear were written after the Theaetetus.

Scholars have sought to augment this fairly scant evidence by employing different methods of ordering the remaining dialogues. One such method is that of stylometry, by which various aspects of Plato’s diction in each dialogue are measured against their uses and frequencies in other dialogues. Originally done by laborious study by individuals, stylometry can now be done more efficiently with assistance by computers. Another, even more popular, way to sort and group the dialogues is what is called “content analysis,” which works by finding and enumerating apparent commonalities or differences in the philosophical style and content of the various dialogues. Neither of these general approaches has commanded unanimous assent among scholars, and it is unlikely that debates about this topic can ever be put entirely to rest. Nonetheless, most recent scholarship seems to assume that Plato’s dialogues can be sorted into different groups, and it is not unusual for books and articles on the philosophy of Socrates to state that by “Socrates” they mean to refer to the character in Plato’s “early” or Socratic dialogues, as if this Socrates was as close to the historical Socrates as we are likely to get. (We have more to say on this subject in the next section.) Perhaps the most thorough examination of this sort can be found in Gregory Vlastos’s, Socrates: Ironist and Moral Philosopher (Cambridge and Cornell, 1991, chapters 2-4), where ten significant differences between the “Socrates” of Plato’s “early” dialogues and the character by that name in the later dialogues are noted. Our own view of the probable dates and groups of dialogues, which to some extent combine the results of stylometry and content analysis, is as follows (all lists but the last in alphabetical order):

Early
(All after the death of Socrates, but before Plato’s first trip to Sicily in 387 B.C.E.):

Apology, Charmides, Crito, Euthydemus, Euthyphro, Gorgias, Hippias Major, Hippias Minor, Ion, Laches, Lysis, Protagoras, Republic Bk. I.

Early-Transitional
(Either at the end of the early group or at the beginning of the middle group, c. 387-380 B.C.E.):

Cratylus, Menexenus, Meno

Middle
(c. 380-360 B.C.E.)

Phaedo, Republic Bks. II-X, Symposium

Late-Transitional
(Either at the end of the middle group, or the beginning of the late group, c. 360-355 B.C.E.)

Parmenides, Theaetetus, Phaedrus

Late
(c. 355-347 B.C.E.; possibly in chronological order)

Sophist, Statesman, Philebus, Timaeus, Critias, Laws

c. Transmission of Plato’s Works

Except for the Timaeus, all of Plato’s works were lost to the Western world until medieval times, preserved only by Moslem scholars in the Middle East. In 1578 Henri Estienne (whose Latinized name was Stephanus) published an edition of the dialogues in which each page of the text is separated into five sections (labeled a, b, c, d, and e). The standard style of citation for Platonic texts includes the name of the text, followed by Stephanus page and section numbers (e.g. Republic 511d). Scholars sometimes also add numbers after the Stephanus section letters, which refer to line numbers within the Stephanus sections in the standard Greek edition of the dialogues, the Oxford Classical texts.

4. Other Works Attributed to Plato

a. Spuria

Several other works, including thirteen letters and eighteen epigrams, have been attributed to Plato. These other works are generally called the spuria and the dubia. The spuria were collected among the works of Plato but suspected as frauds even in antiquity. The dubia are those presumed authentic in later antiquity, but which have more recently been doubted.

Ten of the spuria are mentioned by Diogenes Laertius at 3.62. Five of these are no longer extant: the Midon or Horse-breeder, Phaeacians, Chelidon, Seventh Day, and Epimenides. Five others do exist: the Halcyon, Axiochus, Demodocus, Eryxias, and Sisyphus. To the ten Diogenes Laertius lists, we may uncontroversially add On Justice, On Virtue, and the Definitions, which was included in the medieval manuscripts of Plato’s work, but not mentioned in antiquity.

Works whose authenticity was also doubted in antiquity include the Second Alcibiades (or Alcibiades II), Epinomis, Hipparchus, and Rival Lovers (also known as either Rivals or Lovers), and these are sometimes defended as authentic today. If any are of these are authentic, the Epinomis would be in the late group, and the others would go with the early or early transitional groups.

b. Epigrams

Seventeen or eighteen epigrams (poems appropriate to funerary monuments or other dedications) are also attributed to Plato by various ancient authors. Most of these are almost certainly not by Plato, but some few may be authentic. Of the ones that could be authentic (Cooper 1997, 1742 names 1, 2, 7, and especially 3 as possibly authentic), one (1) is a love poem dedicated to a student of astronomy, perhaps at the Academy, another (2) appears to be a funerary inscription for that same student, another (3) is a funerary inscription for Plato’s Syracusan friend, Dion (in which the author confesses that Dion “maddened my heart with erôs“), and the last (7) is a love poem to a young woman or girl. None appear to provide anything of great philosophical interest.

c. Dubia

The dubia present special risks to scholars: On the one hand, any decision not to include them among the authentic dialogues creates the risk of losing valuable evidence for Plato’s (or perhaps Socrates’) philosophy; on the other hand, any decision to include them creates the risk of obfuscating the correct view of Plato’s (or Socrates’) philosophy, by including non-Platonic (or non-Socratic) elements within that philosophy. The dubia include the First Alcibiades (or Alcibiades I), Minos, and Theages, all of which, if authentic, would probably go with the early or early transitional groups, the Cleitophon, which might be early, early transitional, or middle, and the letters, of which the Seventh seems the best candidate for authenticity. Some scholars have also suggested the possibility that the Third may also be genuine. If any are authentic, the letters would appear to be works of the late period, with the possible exception of the Thirteenth Letter, which could be from the middle period.

Nearly all of the dialogues now accepted as genuine have been challenged as inauthentic by some scholar or another. In the 19th Century in particular, scholars often considered arguments for and against the authenticity of dialogues whose authenticity is now only rarely doubted. Of those we listed as authentic, above (in the early group), only the Hippias Major continues occasionally to be listed as inauthentic. The strongest evidence against the authenticity of the Hippias Major is the fact that it is never mentioned in any of the ancient sources. However, relative to how much was actually written in antiquity, so little now remains that our lack of ancient references to this dialogue does not seem to be an adequate reason to doubt its authenticity. In style and content, it seems to most contemporary scholars to fit well with the other Platonic dialogues.

5. The Early Dialogues

a. Historical Accuracy

Although no one thinks that Plato simply recorded the actual words or speeches of Socrates verbatim, the argument has been made that there is nothing in the speeches Socrates makes in the Apology that he could have not uttered at the historical trial. At any rate, it is fairly common for scholars to treat Plato’s Apology as the most reliable of the ancient sources on the historical Socrates. The other early dialogues are certainly Plato’s own creations. But as we have said, most scholars treat these as representing more or less accurately the philosophy and behavior of the historical Socrates—even if they do not provide literal historical records of actual Socratic conversations. Some of the early dialogues include anachronisms that prove their historical inaccuracy.

It is possible, of course, that the dialogues are all wholly Plato’s inventions and have nothing at all to do with the historical Socrates. Contemporary scholars generally endorse one of the following four views about the dialogues and their representation of Socrates:

  1. The Unitarian View:
    This view, more popular early in the 20th Century than it is now, holds that there is but a single philosophy to be found in all of Plato’s works (of any period, if such periods can even be identified reliably). There is no reason, according to the Unitarian scholar, ever to talk about “Socratic philosophy” (at least from anything to be found in Plato—everything in Plato’s dialogues is Platonic philosophy, according to the Unitarian). One recent version of this view has been argued by Charles H. Kahn (1996). Most later, but still ancient, interpretations of Plato were essentially Unitarian in their approach. Aristotle, however, was a notable exception.
  2. The Literary Atomist View:
    We call this approach the “literary atomist view,” because those who propose this view treat each dialogue as a complete literary whole, whose proper interpretation must be achieved without reference to any of Plato’s other works. Those who endorse this view reject completely any relevance or validity of sorting or grouping the dialogues into groups, on the ground that any such sorting is of no value to the proper interpretation of any given dialogue. In this view, too, there is no reason to make any distinction between “Socratic philosophy” and “Platonic philosophy.” According to the literary atomist, all philosophy to be found in the works of Plato should be attributed only to Plato.
  3. The Developmentalist View:
    According to this view, the most widely held of all of the interpretative approaches, the differences between the early and later dialogues represent developments in Plato’s own philosophical and literary career. These may or may not be related to his attempting in any of the dialogues to preserve the memory of the historical Socrates (see approach 4); such differences may only represent changes in Plato’s own philosophical views. Developmentalists may generally identify the earlier positions or works as “Socratic” and the later ones “Platonic,” but may be agnostic about the relationship of the “Socratic” views and works to the actual historical Socrates.
  4. The Historicist View:
    Perhaps the most common of the Developmentalist positions is the view that the “development” noticeable between the early and later dialogues may be attributed to Plato’s attempt, in the early dialogues, to represent the historical Socrates more or less accurately. Later on, however (perhaps because of the development of the genre of “Socratic writings,” within which other authors were making no attempt at historical fidelity), Plato began more freely to put his own views into the mouth of the character, “Socrates,” in his works. Plato’s own student, Aristotle, seems to have understood the dialogues in this way.

Now, some scholars who are skeptical about the entire program of dating the dialogues into chronological groups, and who are thus strictly speaking not historicists (see, for example, Cooper 1997, xii-xvii) nonetheless accept the view that the “early” works are “Socratic” in tone and content. With few exceptions, however, scholars agreed that if we are unable to distinguish any group of dialogues as early or “Socratic,” or even if we can distinguish a separate set of “Socratic” works but cannot identify a coherent philosophy within those works, it makes little sense to talk about “the philosophy of historical Socrates” at all. There is just too little (and too little that is at all interesting) to be found that could reliably be attributed to Socrates from any other ancient authors. Any serious philosophical interest in Socrates, then, must be pursued through study of Plato’s early or “Socratic” dialogues.

b. Plato’s Characterization of Socrates

In the dialogues generally accepted as early (or “Socratic”), the main character is always Socrates. Socrates is represented as extremely agile in question-and-answer, which has come to be known as “the Socratic method of teaching,” or “the elenchus” (or elenchos, from the Greek term for refutation), with Socrates nearly always playing the role as questioner, for he claimed to have no wisdom of his own to share with others. Plato’s Socrates, in this period, was adept at reducing even the most difficult and recalcitrant interlocutors to confusion and self-contradiction. In the Apology, Socrates explains that the embarrassment he has thus caused to so many of his contemporaries is the result of a Delphic oracle given to Socrates’ friend Chaerephon (Apology 21a-23b), according to which no one was wiser than Socrates. As a result of his attempt to discern the true meaning of this oracle, Socrates gained a divinely ordained mission in Athens to expose the false conceit of wisdom. The embarrassment his “investigations” have caused to so many of his contemporaries—which Socrates claims was the root cause of his being brought up on charges (Apology 23c-24b)—is thus no one’s fault but his “victims,” for having chosen to live “the unexamined life” (see 38a).

The way that Plato’s represents Socrates going about his “mission” in Athens provides a plausible explanation both of why the Athenians would have brought him to trial and convicted him in the troubled years after the end of the Peloponnesian War, and also of why Socrates was not really guilty of the charges he faced. Even more importantly, however, Plato’s early dialogues provide intriguing arguments and refutations of proposed philosophical positions that interest and challenge philosophical readers. Platonic dialogues continue to be included among the required readings in introductory and advanced philosophy classes, not only for their ready accessibility, but also because they raise many of the most basic problems of philosophy. Unlike most other philosophical works, moreover, Plato frames the discussions he represents in dramatic settings that make the content of these discussions especially compelling. So, for example, in the Crito, we find Socrates discussing the citizen’s duty to obey the laws of the state as he awaits his own legally mandated execution in jail, condemned by what he and Crito both agree was a terribly wrong verdict, the result of the most egregious misapplication of the very laws they are discussing. The dramatic features of Plato’s works have earned attention even from literary scholars relatively uninterested in philosophy as such. Whatever their value for specifically historical research, therefore, Plato’s dialogues will continue to be read and debated by students and scholars, and the Socrates we find in the early or “Socratic” dialogues will continue to be counted among the greatest Western philosophers.

c. Ethical Positions in the Early Dialogues

The philosophical positions most scholars agree can be found directly endorsed or at least suggested in the early or “Socratic” dialogues include the following moral or ethical views:

  • A rejection of retaliation, or the return of harm for harm or evil for evil (Crito 48b-c, 49c-d; Republic I.335a-e);
  • The claim that doing injustice harms one’s soul, the thing that is most precious to one, and, hence, that it is better to suffer injustice than to do it (Crito 47d-48a; Gorgias 478c-e, 511c-512b; Republic I.353d-354a);
  • Some form of what is called “eudaimonism,” that is, that goodness is to be understood in terms of conduciveness to human happiness, well-being, or flourishing, which may also be understood as “living well,” or “doing well” (Crito 48b; Euthydemus 278e, 282a; Republic I. 354a);
  • The view that only virtue is good just by itself; anything else that is good is good only insofar as it serves or is used for or by virtue (Apology 30b; Euthydemus 281d-e);
  • The view that there is some kind of unity among the virtues: In some sense, all of the virtues are the same (Protagoras 329b-333b, 361a-b);
  • The view that the citizen who has agreed to live in a state must always obey the laws of that state, or else persuade the state to change its laws, or leave the state (Crito 51b-c, 52a-d).

d. Psychological Positions in the Early Dialogues

Socrates also appears to argue for, or directly makes a number of related psychological views:

  • All wrongdoing is done in ignorance, for everyone desires only what is good (Protagoras 352a-c; Gorgias 468b; Meno 77e-78b);
  • In some sense, everyone actually believes certain moral principles, even though some may think they do not have such beliefs, and may disavow them in argument (Gorgias 472b, 475e-476a).

e. Religious Positions in the Early Dialogues

In these dialogues, we also find Socrates represented as holding certain religious beliefs, such as:

  • The gods are completely wise and good (Apology 28a; Euthyphro 6a, 15a; Meno 99b-100b);
  • Ever since his childhood (see Apology 31d) Socrates has experienced a certain “divine something” (Apology 31c-d; 40a; Euthyphro 3b; see also Phaedrus 242b), which consists in a “voice” (Apology 31d; see also Phaedrus 242c), or “sign” (Apology 40c, 41d; Euthydemus 272e; see also Republic VI.496c; Phaedrus 242b) that opposes him when he is about to do something wrong (Apology 40a, 40c);
  • Various forms of divination can allow human beings to come to recognize the will of the gods (Apology 21a-23b, 33c);
  • Poets and rhapsodes are able to write and do the wonderful things they write and do, not from knowledge or expertise, but from some kind of divine inspiration. The same canbe said of diviners and seers, although they do seem to have some kind of expertise—perhaps only some technique by which to put them in a state of appropriate receptivity to the divine (Apology 22b-c; Laches 198e-199a; Ion 533d-536a, 538d-e; Meno 99c);
  • No one really knows what happens after death, but it is reasonable to think that death is not an evil; there may be an afterlife, in which the souls of the good are rewarded, and the souls of the wicked are punished (Apology 40c-41c; Crito 54b-c; Gorgias 523a-527a).

f. Methodological and Epistemological Positions in the Early Dialogues

In addition, Plato’s Socrates in the early dialogues may plausibly be regarded as having certain methodological or epistemological convictions, including:

  • Definitional knowledge of ethical terms is at least a necessary condition of reliable judging of specific instances of the values they name (Euthyphro 4e-5d, 6e; Laches 189e-190b; Lysis 223b; Greater Hippias 304d-e; Meno 71a-b, 100b; Republic I.354b-c);
  • A mere list of examples of some ethical value—even if all are authentic cases of that value—would never provide an adequate analysis of what the value is, nor would it provide an adequate definition of the value term that refers to the value. Proper definitions must state what is common to all examples of the value (Euthyphro 6d-e; Meno 72c-d);
  • Those with expert knowledge or wisdom on a given subject do not err in their judgments on that subject (Euthyphro 4e-5a; Euthydemus 279d-280b), go about their business in their area of expertise in a rational and regular way (Gorgias 503e-504b), and can teach and explain their subject (Gorgias 465a, 500e-501b, 514a-b; Laches 185b, 185e, 1889e-190b); Protagoras 319b-c).

6. The Middle Dialogues

a. Differences between the Early and Middle Dialogues

Scholarly attempts to provide relative chronological orderings of the early transitional and middle dialogues are problematical because all agree that the main dialogue of the middle period, the Republic, has several features that make dating it precisely especially difficult. As we have already said, many scholars count the first book of the Republic as among the early group of dialogues. But those who read the entire Republic will also see that the first book also provides a natural and effective introduction to the remaining books of the work. A recent study by Debra Nails (“The Dramatic Date of Plato’s Republic,” The Classical Journal 93.4, 1998, 383-396) notes several anachronisms that suggest that the process of writing (and perhaps re-editing) the work may have continued over a very long period. If this central work of the period is difficult to place into a specific context, there can be no great assurance in positioning any other works relative to this one.

Nonetheless, it does not take especially careful study of the transitional and middle period dialogues to notice clear differences in style and philosophical content from the early dialogues. The most obvious change is the way in which Plato seems to characterize Socrates: In the early dialogues, we find Socrates simply asking questions, exposing his interlocutors’ confusions, all the while professing his own inability to shed any positive light on the subject, whereas in the middle period dialogues, Socrates suddenly emerges as a kind of positive expert, willing to affirm and defend his own theories about many important subjects. In the early dialogues, moreover, Socrates discusses mainly ethical subjects with his interlocutors—with some related religious, methodological, and epistemological views scattered within the primarily ethical discussions. In the middle period, Plato’s Socrates’ interests expand outward into nearly every area of inquiry known to humankind. The philosophical positions Socrates advances in these dialogues are vastly more systematical, including broad theoretical inquiries into the connections between language and reality (in the Cratylus), knowledge and explanation (in the Phaedo and Republic, Books V-VII). Unlike the Socrates of the early period, who was the “wisest of men” only because he recognized the full extent of his own ignorance, the Socrates of the middle period acknowledges the possibility of infallible human knowledge (especially in the famous similes of light, the simile of the sun and good and the simile of the divided line in Book VI and the parable of the cave in Book VII of the Republic), and this becomes possible in virtue of a special sort of cognitive contact with the Forms or Ideas (eidê ), which exist in a supra-sensible realm available only to thought. This theory of Forms, introduced and explained in various contexts in each of the middle period dialogues, is perhaps the single best-known and most definitive aspect of what has come to be known as Platonism.

b. The Theory of Forms

In many of his dialogues, Plato mentions supra-sensible entities he calls “Forms” (or “Ideas”). So, for example, in the Phaedo, we are told that particular sensible equal things—for example, equal sticks or stones (see Phaedo 74a-75d)—are equal because of their “participation” or “sharing” in the character of the Form of Equality, which is absolutely, changelessly, perfectly, and essentially equal. Plato sometimes characterizes this participation in the Form as a kind of imaging, or approximation of the Form. The same may be said of the many things that are greater or smaller and the Forms of Great and Small (Phaedo 75c-d), or the many tall things and the Form of Tall (Phaedo 100e), or the many beautiful things and the Form of Beauty (Phaedo 75c-d, Symposium 211e, Republic V.476c). When Plato writes about instances of Forms “approximating” Forms, it is easy to infer that, for Plato, Forms are exemplars. If so, Plato believes that The Form of Beauty is perfect beauty, the Form of Justice is perfect justice, and so forth. Conceiving of Forms in this way was important to Plato because it enabled the philosopher who grasps the entities to be best able to judge to what extent sensible instances of the Forms are good examples of the Forms they approximate.

Scholars disagree about the scope of what is often called “the theory of Forms,” and question whether Plato began holding that there are only Forms for a small range of properties, such as tallness, equality, justice, beauty, and so on, and then widened the scope to include Forms corresponding to every term that can be applied to a multiplicity of instances. In the Republic, he writes as if there may be a great multiplicity of Forms—for example, in Book X of that work, we find him writing about the Form of Bed (see Republic X.596b). He may have come to believe that for any set of things that shares some property, there is a Form that gives unity to the set of things (and univocity to the term by which we refer to members of that set of things). Knowledge involves the recognition of the Forms (Republic V.475e-480a), and any reliable application of this knowledge will involve the ability to compare the particular sensible instantiations of a property to the Form.

c. Immortality and Reincarnation

In the early transitional dialogue, the Meno, Plato has Socrates introduce the Orphic and Pythagorean idea that souls are immortal and existed before our births. All knowledge, he explains, is actually recollected from this prior existence. In perhaps the most famous passage in this dialogue, Socrates elicits recollection about geometry from one of Meno’s slaves (Meno 81a-86b). Socrates’ apparent interest in, and fairly sophisticated knowledge of, mathematics appears wholly new in this dialogue. It is an interest, however, that shows up plainly in the middle period dialogues, especially in the middle books of the Republic.

Several arguments for the immortality of the soul, and the idea that souls are reincarnated into different life forms, are also featured in Plato’s Phaedo (which also includes the famous scene in which Socrates drinks the hemlock and utters his last words). Stylometry has tended to count the Phaedo among the early dialogues, whereas analysis of philosophical content has tended to place it at the beginning of the middle period. Similar accounts of the transmigration of souls may be found, with somewhat different details, in Book X of the Republic and in the Phaedrus, as well as in several dialogues of the late period, including the Timaeus and the Laws. No traces of the doctrine of recollection, or the theory of reincarnation or transmigration of souls, are to be found in the dialogues we listed above as those of the early period.

d. Moral Psychology

The moral psychology of the middle period dialogues also seems to be quite different from what we find in the early period. In the early dialogues, Plato’s Socrates is an intellectualist—that is, he claims that people always act in the way they believe is best for them (at the time of action, at any rate). Hence, all wrongdoing reflects some cognitive error. But in the middle period, Plato conceives of the soul as having (at least) three parts:

  1. a rational part (the part that loves truth, which should rule over the other parts of the soul through the use of reason),
  2. a spirited part (which loves honor and victory), and
  3. an appetitive part (which desires food, drink, and sex),

and justice will be that condition of the soul in which each of these three parts “does its own work,” and does not interfere in the workings of the other parts (see esp. Republic IV.435b-445b). It seems clear from the way Plato describes what can go wrong in a soul, however, that in this new picture of moral psychology, the appetitive part of the soul can simply overrule reason’s judgments. One may suffer, in this account of psychology, from what is called akrasia or “moral weakness”—in which one finds oneself doing something that one actually believes is not the right thing to do (see especially Republic IV.439e-440b). In the early period, Socrates denied that akrasia was possible: One might change one’s mind at the last minute about what one ought to do—and could perhaps change one’s mind again later to regret doing what one has done—but one could never do what one actually believed was wrong, at the time of acting.

e. Critique of the Arts

The Republic also introduces Plato’s notorious critique of the visual and imitative arts. In the early period works, Socrates contends that the poets lack wisdom, but he also grants that they “say many fine things.” In the Republic, on the contrary, it seems that there is little that is fine in poetry or any of the other fine arts. Most of poetry and the other fine arts are to be censored out of existence in the “noble state” (kallipolis) Plato sketches in the Republic, as merely imitating appearances (rather than realities), and as arousing excessive and unnatural emotions and appetites (see esp. Republic X.595b-608b).

f. Platonic Love

In the Symposium, which is normally dated at the beginning of the middle period, and in the Phaedrus, which is dated at the end of the middle period or later yet, Plato introduces his theory of erôs (usually translated as “love”). Several passages and images from these dialogues continued to show up in Western culture—for example, the image of two lovers as being each other’s “other half,” which Plato assigns to Aristophanes in the Symposium. Also in that dialogue, we are told of the “ladder of love,” by which the lover can ascend to direct cognitive contact with (usually compared to a kind of vision of) Beauty Itself. In the Phaedrus, love is revealed to be the great “divine madness” through which the wings of the lover’s soul may sprout, allowing the lover to take flight to all of the highest aspirations and achievements possible for humankind. In both of these dialogues, Plato clearly regards actual physical or sexual contact between lovers as degraded and wasteful forms of erotic expression. Because the true goal of erôs is real beauty and real beauty is the Form of Beauty, what Plato calls Beauty Itself, erôs finds its fulfillment only in Platonic philosophy. Unless it channels its power of love into “higher pursuits,” which culminate in the knowledge of the Form of Beauty, erôs is doomed to frustration. For this reason, Plato thinks that most people sadly squander the real power of love by limiting themselves to the mere pleasures of physical beauty.

7. Late Transitional and Late Dialogues

a. Philosophical Methodology

One of the novelties of the dialogues after those of the middle period is the introduction of a new philosophical method. This method was introduced probably either late in the middle period or in the transition to the late period, but was increasingly important in the late period. In the early period dialogues, as we have said, the mode of philosophizing was refutative question-and-answer (called elenchos or the “Socratic method”). Although the middle period dialogues continue to show Socrates asking questions, the questioning in these dialogues becomes much more overtly leading and didactic. The highest method of philosophizing discussed in the middle period dialogues, called “dialectic,” is never very well explained (at best, it is just barely sketched in the divided line image at the end of Book VI of the Republic). The correct method for doing philosophy, we are now told in the later works, is what Plato identifies as “collection and division,” which is perhaps first referred to at Phaedrus 265e. In this method, the philosopher collects all of the instances of some generic category that seem to have common characteristics, and then divides them into specific kinds until they cannot be further subdivided. This method is explicitly and extensively on display in the Sophist, Statesman, and Philebus.

b. Critique of the Earlier Theory of Forms

One of the most puzzling features of the late dialogues is the strong suggestion in them that Plato has reconsidered his theory of Forms in some way. Although there seems still in the late dialogues to be a theory of Forms (although the theory is, quite strikingly, wholly unmentioned in the Theaetetus, a later dialogue on the nature of knowledge), where it does appear in the later dialogues, it seems in several ways to have been modified from its conception in the middle period works. Perhaps the most dramatic signal of such a change in the theory appears first in the Parmenides, which appears to subject the middle period version of the theory to a kind of “Socratic” refutation, only this time, the main refuter is the older Eleatic philosopher Parmenides, and the hapless victim of the refutation is a youthful Socrates. The most famous (and apparently fatal) of the arguments provided by Parmenides in this dialogue has come to be known as the “Third Man Argument,” which suggests that the conception of participation (by which individual objects take on the characters of the Forms) falls prey to an infinite regress: If individual male things are male in virtue of participation in the Form of Man, and the Form of Man is itself male, then what is common to both The Form of Man and the particular male things must be that they all participate in some (other) Form, say, Man 2. But then, if Man 2 is male, then what it has in common with the other male things is participation in some further Form, Man 3, and so on. That Plato’s theory is open to this problem gains support from the notion, mentioned above, that Forms are exemplars. If the Form of Man is itself a (perfect) male, then the Form shares a property in common with the males that participate in it. But since the Theory requires that for any group of entities with a common property, there is a Form to explain the commonality, it appears that the theory does indeed give rise to the vicious regress.

There has been considerable controversy for many years over whether Plato believed that the Theory of Forms was vulnerable to the “Third Man” argument, as Aristotle believed it was, and so uses the Parmenides to announce his rejection of the Theory of Forms, or instead believed that the Third Man argument can be avoided by making adjustments to the Theory of Forms. Of relevance to this discussion is the relative dating of the Timaeus and the Parmenides, since the Theory of Forms very much as it appears in the middle period works plays a prominent role in the Timaeus. Thus, the assignment of a later date to the Timaeus shows that Plato did not regard the objection to the Theory of Forms raised in the Parmenides as in any way decisive. In any event, it is agreed on all sides that Plato’s interest in the Theory shifted in the Sophist and Stateman to the exploration of the logical relations that hold between abstract entities. In the Laws, Plato’s last (and unfinished) work, the Theory of Forms appears to have dropped out altogether. Whatever value Plato believed that knowledge of abstract entities has for the proper conduct of philosophy, he no longer seems to have believed that such knowledge is necessary for the proper running of a political community.

c. The “Eclipse” of Socrates

In several of the late dialogues, Socrates is even further marginalized. He is either represented as a mostly mute bystander (in the Sophist and Statesman), or else absent altogether from the cast of characters (in the Laws and Critias). In the Theaetetus and Philebus, however, we find Socrates in the familiar leading role. The so-called “eclipse” of Socrates in several of the later dialogues has been a subject of much scholarly discussion.

d. The Myth of Atlantis

Plato’s famous myth of Atlantis is first given in the Timaeus, which scholars now generally agree is quite late, despite being dramatically placed on the day after the discussion recounted in the Republic. The myth of Atlantis is continued in the unfinished dialogue intended to be the sequel to the Timaeus, the Critias.

e. The Creation of the Universe

The Timaeus is also famous for its account of the creation of the universe by the Demiurge. Unlike the creation by the God of medieval theologians, Plato’s Demiurge does not create ex nihilo, but rather orders the cosmos out of chaotic elemental matter, imitating the eternal Forms. Plato takes the four elements, fire, air, water, and earth (which Plato proclaims to be composed of various aggregates of triangles), making various compounds of these into what he calls the Body of the Universe. Of all of Plato’s works, the Timaeus provides the most detailed conjectures in the areas we now regard as the natural sciences: physics, astronomy, chemistry, and biology.

f. The Laws

In the Laws, Plato’s last work, the philosopher returns once again to the question of how a society ought best to be organized. Unlike his earlier treatment in the Republic, however, the Laws appears to concern itself less with what a best possible state might be like, and much more squarely with the project of designing a genuinely practicable, if admittedly not ideal, form of government. The founders of the community sketched in the Laws concern themselves with the empirical details of statecraft, fashioning rules to meet the multitude of contingencies that are apt to arise in the “real world” of human affairs. A work of enormous length and complexity, running some 345 Stephanus pages, the Laws was unfinished at the time of Plato’s death. According to Diogenes Laertius (3.37), it was left written on wax tablets.

8. References and Further Reading

a. Greek Texts

  • Platonis Opera (in 5 volumes) – The Oxford Classical Texts (Oxford: Oxford University Press):
  • Volume I (E. A. Duke et al., eds., 1995): Euthyphro, Apologia Socratis, Crito, Phaedo, Cratylus, Theaetetus, Sophista, Politicus.
  • Volume II (John Burnet, ed., 1901): Parmenides, Philebus, Symposium, Phaedrus, Alcibiades I, Alcibiades II, Hipparchus, Amatores.
  • Volume III (John Burnet, ed., 1903): Theages, Charmides, Laches, Lysis, Euthydemus, Protagoras, Gorgias, Meno, Hippias Maior, Hippias Minor, Io, Menexenus.
  • Volume IV (John Burnet, ed., 1978): Clitopho, Respublica, Timaeus, Critias.
  • Volume V (John Burnet, ed. 1907): Minos, Leges, Epinomis, Epistulae, Definitiones, De Iusto, De Virtute, Demodocus, Sisyphus, Eryxias, Axiochus.
    • The Oxford Classical Texts are the standard Greek texts of Plato’s works, including all of the spuria and dubia except for the epigrams, the Greek texts of which may be found in Hermann Beckby (ed.), Anthologia Graeca (Munich: Heimeran, 1957).

b. Translations into English

  • Cooper, J. M. (ed.), Plato: Complete Works (Indianapolis: Hackett, 1997).
    • Contains very recent translations of all of the Platonic works, dubia, spuria, and epigrams. Now generally regarded as the standard for English translations.

c. Plato’s Socrates and the Historical Socrates

  • Kahn, Charles H., Plato and the Socratic Dialogue (Cambridge: Cambridge University Press, 1996).
    • Kahn’s own version of the “unitarian” reading of Plato’s dialogues. Although scholars have not widely accepted Kahn’s positions, Kahn offers several arguments for rejecting the more established held “developmentalist” position.
  • Vlastos, Gregory, Socrates, Ironist and Moral Philosopher (Cambridge: Cambridge University Press and Ithaca, N.Y.: Cornell University Press, 1991).
    • Chapters 2 and 3 of this book are invariably cited as providing the most influential recent arguments for the “historicist” version of the “developmentalist” position.

d. Socrates and Plato’s Early Period Dialogues

  • Benson, Hugh H. (ed.), Essays on the Philosophy of Socrates (New York: Oxford University Press, 1992).
    • A collection of previously published articles by various authors on Socrates and Plato’s early dialogues.
  • Brickhouse, Thomas C. and Nicholas D. Smith, Plato’s Socrates (New York: Oxford University Press, 1994).
    • Six chapters, each on different topics in the study of Plato’s early or Socratic dialogues.
  • Brickhouse, Thomas C. and Nicholas D. Smith, The Philosophy of Socrates (Boulder: Westview, 2000).
    • Seven chapters, each on different topics in the study of Plato’s early or Socratic dialogues. Some changes in views from those offered in their 1994 book.
  • Prior, William (ed.), Socrates: Critical Assessments (London and New York, 1996) in four volumes: I: The Socratic Problem and Socratic Ignorance; II: Issues Arising from the Trial of Socrates; III: Socratic Method; IV: Happiness and Virtue.
    • A collection of previously published articles by various authors on Socrates and Plato’s early dialogues.
  • Santas, Gerasimos Xenophon, Socrates: Philosophy in Plato’s Early Dialogues (Boston and London: Routledge, 1979).
    • Eight chapters, each on different topics in the study of Plato’s early or Socratic dialogues.
  • Taylor, C. C. W. Socrates: A Very Short Introduction (Oxford: Oxford University Press, 1998).
    • Very short, indeed, but nicely written and generally very reliable.
  • Vlastos, Gregory, Socrates, Ironist and Moral Philosopher (Cambridge: Cambridge University Press and Ithaca, N.Y.: Cornell University Press, 1991). (Also cited in VIII.3, above.)
    • Eight chapters, each on different topics in the study of Plato’s early or Socratic dialogues.
  • Vlastos, Gregory, Socratic Studies (ed. Myles Burnyeat; Cambridge: Cambridge University Press, 1994).
    • Edited and published after Vlastos’s death. A collection of Vlastos’s papers on Socrates not published in Vlastos’s 1991 book.
  • Vlastos, Gregory (ed.) The Philosophy of Socrates (South Bend: University of Notre Dame Press, 1980).
    • A collection of papers by various authors on Socrates and Plato’s early dialogues. Although now somewhat dated, several articles in this collection continue to be widely cited and studied.

e. General Books on Plato

  • Cherniss, Harold, The Riddle of the Early Academy (Berkeley: University of California Press, 1945).
    • A study of reports in the Early Academy, following Plato’s death, of the so-called “unwritten doctrines” of Plato.
  • Fine, Gail (ed.), Plato I: Metaphysics and Epistemology and Plato II: Ethics, Politics, Religion and the Soul (Oxford: Oxford University Press, 1999).
    • A collection of previously published papers by various authors, mostly on Plato’s middle and later periods.
  • Grote, George, Plato and the Other Companions of Sokrates 2nd ed. 3 vols. (London: J. Murray, 1867).
    • 3-volume collection with general discussion of “the Socratics” other than Plato, as well as specific discussions of each of Plato’s works.
  • Guthrie, W. K. C., A History of Greek Philosophy (Cambridge: Cambridge University Press) vols. 3 (1969), 4 (1975) and 5 (1978).
    • Volume 3 is on the Sophists and Socrates; volume 4 is on Plato’s early dialogues and continues with chapters on Phaedo, Symposium, and Phaedrus, and then a final chapter on the Republic.
  • Irwin, Terence, Plato’s Ethics (New York and Oxford: Oxford University Press, 1995).
    • Systematic discussion of the ethical thought in Plato’s works.
  • Kraut, Richard (ed.), The Cambridge Companion to Plato (Cambridge: Cambridge University Press, 1992).
    • A collection of original discussions of various general topics about Plato and the dialogues.
  • Smith, Nicholas D. (ed.), Plato: Critical Assessments (London and New York: Routledge, 1998) in four volumes: I: General Issues of Interpretation; II: Plato’s Middle Period: Metaphysics and Epistemology; III: Plato’s Middle Period: Psychology and Value Theory; IV: Plato’s Later Works.
    • A collection of previously published articles by various authors on interpretive problems and on Plato’s middle and later periods. Plato’s early period dialogues are covered in this series by Prior 1996 (see VIII.4).
  • Vlastos, Gregory, Platonic Studies 2nd ed. (Princeton: Princeton University Press, 1981).
    • A collection of Vlastos’s papers on Plato, including some important earlier work on the early dialogues.
  • Vlastos, Gregory, Plato I: Metaphysics and Epistemology and Plato II: Ethics, Politics, and Philosophy of Art and Religion (South Bend: University of Notre Dame Press, 1987).
    • A collection of papers by various authors on Plato’s middle period and later dialogues. Although now somewhat dated, several articles in this collection continue to be widely cited and studied.

Author Information

Thomas Brickhouse
Email: brickhouse@lynchburg.edu
Lynchburg College
U. S. A.

and

Nicholas D. Smith
Email: ndsmith@lclark.edu
Lewis & Clark College
U. S. A.

Christian Philosophy: The 1930s French Debates

Between 1931 and 1935, important debates regarding the nature, possibility and history of Christian philosophy took place between major authors in French-speaking philosophical and theological circles. These authors include Etienne Gilson, Jacques Maritain, Maurice Blondel, Gabriel Marcel, Fernand Van Steenberghen and Antonin Sertillanges. The debates provided occasion for participants to clarify their positions on the relationships between philosophy, Christianity, theology and history, and they involved issues such as the relationship between faith and reason, the nature of reason, reason’s grounding in the concrete human subject, the problem of the supernatural, and the nature and ends of philosophy itself. The debates led participants to self-consciously re-evaluate their own philosophical commitments and address the problem of philosophy’s nature in a novel and rigorous manner.

Although these debates originally took place between Roman Catholics and secular Rationalists, fundamental differences between different Roman Catholic positions rapidly became apparent and assumed central importance. The debates also drew attention from Reformed Protestant thinkers. Eventually the debates sparked smaller discussions among scholars in English, German, Spanish, Portuguese and Italian-speaking circles, and these continue to the present day. This article provides a brief overview of the most important contributors, the central issues and the main positions of these debates.

Table of Contents

  1. Introduction
  2. The Historical Background and Development of the Debates
  3. Positions Against Christian Philosophy
    1. Gilson’s Overview
    2. Theologist (Fideist) Positions
    3. Rationalist Positions
    4. Neo-Scholastic Positions
  4. Positions For Christian Philosophy
    1. Etienne Gilson’s Position
    2. Jacques Maritain’s Position
    3. Maurice Blondel’s Position
    4. Gabriel Marcel’s Position
    5. Other Positions Reconciling the Gilson-Maritain and Blondel Positions
  5. References and Further Reading
    1. Literature from the 1930s Christian Philosophy Debates
    2. Selected Literature from 1940s and 50s Reformed Protestant Discussions about Christian Philosophy
    3. Selected Literature about the 1930s Christian Philosophy Debates and Positions on the Issue of Christian Philosophy

1. Introduction

The use of the term “Christian philosophy” and other similar expressions dates back to the early Christian era. However, considerable ambiguity surrounding the term pervades philosophical reflection regarding Christian philosophy’s possibility, historical reality and nature, and therefore affects efforts to generate and evaluate particular Christian philosophies. The 1930s French Debates represent a period of the most sustained and systematic examination of the problems concerning Christian philosophy, and are thus of philosophical significance for various reasons.

First, they involve perennial issues raised in philosophy, including the relationships between faith and reason, philosophy and theology, the nature of human reason and its limits in the face of religion, the nature of religion, historical relationships between Christian thought, practice and the development of particular philosophical systems and the nature of philosophy itself. The debates led participants to self-consciously re-evaluate their own philosophical commitments and address the problem of philosophy’s nature in a novel and rigorous manner.

Second, the debates are momentous due to the renown of their participants, most of whom had earned significant places in Francophone philosophical establishments, both secular or Christian. Practically all of the major interlocutors approached the issues armed with years of previous study, reflection and in some cases polemical engagements. Each of them was thus able to develop further insights and to more systematically elaborate their positions during the ensuing debates on the basis of their previous philosophical work.

Third, the debates and their participants’ personal positions on Christian philosophy have generated an ever-growing philosophical literature. Given that issues germane to Christian philosophy had never before nor since been examined so thoroughly, contemporary discussions regarding Christian philosophy greatly benefit from the 1930s Debates.

2. The Historical Background and Development of the Debates

Without providing a comprehensive historic overview for the 1930s Debates, several historical developments allowing context are to be considered at this juncture.

The onset of modernity produced radically new schools of philosophical thought, increasingly secularized culture, institutions, disciplines and discourses, and in some cases suspicion or outright repudiation of previous philosophical and theological traditions, religious authority and of Christianity itself. While issues raised by the contact between Christianity and philosophy were addressed in late antiquity, the “problem of Christian philosophy” was not explicitly framed until these developments came about. Thus Christian philosophy became a central problem for 17th and 18th century thinkers such as Pascal, Malebranche, Descartes, Hegel, Kierkegaard, Catholic Traditionalists (such as de Maistre and Lammenais), neo-Scholastics and other Thomists, and Maurice Blondel.

Another major development stemmed from the impetus given to Catholic philosophical work by several papal encyclicals. Leo XIII’s Aeterni Patris dealt explicitly with the relationship between philosophy and Christianity, and exhorted the return to study of Thomas Aquinas. While it never made Thomism the official philosophy of the Roman Catholic Church, it gave pride of place to Aquinas’ work, and within a generation Thomist philosophy became established as the dominant and representative form of Catholic philosophical thought. Aeterni Patris also had the side-effect of encouraging renewed attention to other mediaeval Christian thinkers, including Augustine, Anselm, Bonaventure, Scotus and Ockham. During the Modernism crisis, Pius X’s Pascendi exerted a different effect. The document diagnosed philosophical bases of the heresy of “modernism” and reinforced the centrality to be accorded to Thomism. With respect to Christian philosophy, the two documents might be summarized thus: the first suggested where Christian philosophy should be found and further developed; the second indicated where Christian philosophy could not be found and further developed.

Furthermore, in France a revitalization had taken place in metaphysics, moral philosophy and philosophical anthropology (all areas, as Etienne Gilson pointed out, central to Christian philosophy), due in part to renewed interest in Thomist and Augustinian studies and also to the influence of Henri Bergson and Maurice Blondel. In addition, the term “Christian philosophy” began to enjoy greater currency in the early part of the 20th century, particularly by the 1920s. This engendered two main lines of thought. First, the Debates provoked counter-responses by both secular, rationalist philosophers and by Catholic, neo-Scholastic philosophers who agreed for different reasons that the notion of Christian philosophy was a false one. Second, they produced reflection and dialogue on the part of Catholic and Reformed Protestant philosophers who considered the term to designate a distinctively Christian manner of philosophizing. By the time the debates officially began at the March 1931 meeting of the Société Française de Philosophie, the issue was primed for sustained discussion by the Francophone philosophical and theological communities.

Several participants had articulated their views on Christian philosophy prior to the debates. Emile Bréher dismissed the idea of Christian philosophy in relevant portions of his History of Philosophy, and in 1928 presented his argument at a set of conferences in Belgium. Etienne Gilson published books on Augustine, Bonaventure and Aquinas, making use of the term “Christian philosophy.” Along with Blondel and Jacques Maritain, she contributed discussions of Christian philosophy to various works commemorating the 1,500 year anniversary of the death of Augustine.

The specific catalyst for the debates was Xavier Leon’s proposal to Gilson that he and Léon Brunscvicg should debate the status of Thomist philosophy as a philosophy. Gilson in return proposed the broader topic “Christian philosophy”, asking that Brehier be included. Maritain also participated, taking Gilson’s side. Blondel contributed a letter highly critical of Gilson’s position at the meeting, and published a response to Bréhier’s criticisms.

The Debates expanded in numerous forums over the next four years. Articles and conference contributions by around fifty different authors appeared in journals, at first mainly in French, then later in German, Italian, Spanish, English and even Latin. Gilson, Maritain, Blondel and Regis Jolivet each published books focused on Christian philosophy in 1931-33. The Société Thomiste devoted their 1933 conference to the topic of Christian philosophy, and the Société d’Etudes Philosophiques devoted theirs that same year to discussion of Blondel’s Le problème de la philosophie chrétienne. By around 1936, the Debates came to a close. Although they did not end in conclusive or universally acknowledged success for any of the participants, the positions of dominant schools of thought regarding Christian philosophy had been firmly established.

The issue of Christian philosophy has continued to spur philosophical reflection, taking literary form in conference presentations, articles, books and papal documents (e.g. John Paul II’s Fides et Ratio and Benedict XVI’s recent Regensburg address on Faith, Reason and the University) and motivating a number of conferences and special journal volumes devoted to the topic. One smaller and later set of debates worth noting took place in the late 1940s and early 50s among Francophone Reformed Protestant philosophers and theologians, inspired by Roger Mehl’s The Condition of the Christian Philosopher, and included several Reformed thinkers who had played minor roles in the 1930s debates – Jacques Bois, Pierre Guérin and Arnold Reymond.

3. Positions Against Christian Philosophy

a. Gilson’s Overview

Etienne Gilson provides a useful overview and typology of the positions opposed to the possibility of Christian philosophy, distinguishing three main stances: “theologism” (now more generally called “fideism”), “rationalism” and certain types of Neo-Scholasticism.

Gilson had originally singled out “certain doctors of the Middle Ages” as representatives of theologism, for whom

the Christian religion excludes philosophy, because Christianity is a doctrine of salvation, because one can be saved without philosophy, and even because it is more difficult to be saved with philosophy than without it. . . . Medieval philosophy was the negation of this obscurantism, but still it did exist. For men of that type, the very notion of Christian philosophy could only rest on an equivocation. It signifies that where Christianity is, it is useless or dangerous that philosophy be. (Bulletin de la Société française de Philosophie, p. 41)

Gilson’s later works (The Spirit of Medieval Philosophy and Christianity and Philosophy ) expand this position, engaging the thought of Luther, Calvin and their later interpreters.

Gilson also criticizes another position regarding “theologism” (The Unity of Philosophical Experience, p.31-60): this is one where the term “Christian philosophy” signifies Christian revelation or Christian theology, disregarding the distinct role, discipline and methods of philosophy. In certain respects the rationalist position mirrors the theologist one:

[W]here philosophy is, it is dangerous that Christianity should be. This is the position of pure rationalism, i.e., of those who do not accept a limited role for rationalism. Whatever the content may be of the diverse philosophies reason elaborates, it is insofar as rational that they are philosophies. To want to subordinate them to a dogma or to a faith is to destroy philosophy’s essence….[T]heology bases itself on faith, which is something irrational. To make philosophy the servant of theology is therefore to make the rational depend on the irrational, i.e, to suppress its very rationality. (Bul. Soc fr. Phil., p. 41)

At their root, rationalist positions on Christian philosophy, on one ground or another, eliminate or exclude from the field of philosophy any philosophical system, doctrine or author who brings reason, the instrument of philosophy, into contaminating contact with religious faith, practice, or thought, which would vitiate the philosophy’s rational and autonomous development. Numerous philosophical positions, schools, or even environments of basic cultural and philosophical presuppositions developed during or in the wake of the European Enlightenment fit rationalism’s profile. Arguably, even philosophies critical of the Enlightenment but devotedly committed to a necessarily secularist view of philosophy can, on the issue of Christian philosophy, be regarded as analogues of rationalism.

From rationalist perspectives, Patristic and Medieval thought, as well as those of their modern interpreters, would not legitimately deserve the title of philosophy. Gilson notes, however, holding that “everything that either directly or indirectly undergoes the influence of a religious faith ceases, ipso facto, to retain any philosophical value,” really stems from and represents “a mere ‘rationalist’ postulate, directly opposed to reason.” (The Spirit of Medieval Philosophy, p. 406)

Despite their differences, Neo-Thomist or neo-Scholastic opponents of Christian philosophy also shared several key similarities with rationalists. As Gilson points out, neo-Scholastics retain some role for Christian faith, but one extrinsic to their philosophical activity:

[A]ll of them agree with Saint Thomas that truth cannot contradict truth and that, consequently, what faith finds agrees substantially with what reason proves. They would even go further, for if faith agrees with reason, if not in its method, at least in its content, all factual disagreement between the two is an indication of an error in the philosophical order and a warning that one has to reexamine the problem. Still, all of the neo-Scholastic philosophers add that, insofar as philosophy, philosophy is the exclusive work of reason. (Bul. Soc fr. Phil., p. 42)

The philosophy of the Christian, in their view, ought not to incorporate anything deriving from Christianity into itself, for then it passes over into theology. The neo-Scholastic position in effect adopts wholesale rationalist assumptions about human reason, philosophy and Christian faith, with the consequence that

[a]ccording to these neo-Scholastic philosophers, there cannot be Christian philosophy any more than there can be for a pure rationalist, because within the philosophical order, grasped with precision and insofar as philosophical, their rationalism is a pure one. (Bul. Soc fr. Phil., p. 42)

b. Theologist (Fideist) Positions

No thinker ascribing to Gilson’s description of theologism participated in the debates, with the possible exception of Lev Shestov, whose 1937 Athens and Jerusalem (a portion of which was published in 1935) may be described as advancing theologism. Still, fideism exercised a role in the debates by providing a counter-position to argue against. Gilson himself cited a number of past examples, including Tertullian, Peter Damian, the Franciscan spirituals, the Imitation of Christ’s anonymous author, Martin Luther and briefly discussed Karl Barth (Christianity and Philosophy, p. 44-48), remarking: “All the Barthian Calvinist asks of philosophy is that it recognize itself as damned and remain in that condition” (Christianity and Philosophy, p. 47).

Barth exercised considerable influence in Francophone Reformed Christian circles, and his thought would figure heavily in later 1940s-50s Reformed Protestant discussions about Christian philosophy, but he was not particularly well-known or engaged in French Catholic circles at the time of the debates. His perspective on philosophy and Christianity is clearly and rigorously fideist, holding that Christian philosophy is an impossibility since philosophy and Christian Revelation have essentially nothing in common. Philosophy, like human reason, remains fundamentally incapable of addressing an absolutely transcendent Christian revelation of Christ, which alone provides knowledge of and relation to God:

There never actually has been a philosophia christiana, for if it was philosophia it was not christiana, and if it was christiana it was not philosophia. (Church Dogmatics, v. 1 , p. 6)

The existentialist Jewish philosopher Lev Shestov provides an example of the theologist position, in which his central metaphor is the opposition (stemming from the Genesis narrative) between the Tree of Life, representing faith and human thought working by the guidance of faith, and the Tree of Knowledge of Good and Evil, identified with the temptations of human reason and philosophy. According to Shestov, important and basic dimensions of human existence are left behind, reductively misconstrued, or overlooked by reason and philosophy. By aiming at and striving for knowledge, philosophy attempts to draw everything into a rationalist universal system of necessity and restraint. Even when making autonomy a goal, philosophy turns out to be unable to maintain itself and its drive to dominate all it encounters within limits, so that it corrupts and distorts human freedom and renders the human being unable to adequately understand itself, God and faith.

Shestov criticizes Gilson specifically, summarizing the latter’s position as proposing

the revealed truth is founded on nothing, proves nothing, is justified before nothing, and – despite this – is transformed in our mind into a justified, demonstrated, self-evident truth. Metaphysics wishes to possess the revealed truth and it succeeds in doing so. (Athens and Jerusalem, p.271)

Shestov regards Gilson’s position on Christian philosophy, and those of the Medieval thinkers from whom Gilson takes inspiration, as more sophisticated, and therefore more dangerous, versions of the same rationalist movement involved in ancient and modern philosophy. As an alternative, he proposes a “Biblical” or “Judeo-Christian philosophy,” departing from norms of Western philosophy, accepting “neither the fundamental problems nor the principles nor the technique of thought of rational philosophy,” open to and taking its direction from the dimension of faith.

c. Rationalist Positions

Two major representatives of the rationalist position, the historian of philosophy Emile Bréhier, and the idealist Léon Brunschvicg, became directly involved in the Debates. Interestingly, while both argued against the possibility of Christian philosophy, their positions differed on basic assumptions about rationality. After presenting his position prior to and early on in the debates, Bréhier never provided responses to the arguments of his critics. In his later Raison et Religion, Brunchscvicg revisited the issues, but made no new contribution. By the middle stages of the Debates, the rationalists dropped out of the discussion, which had turned to intra-Christian (primarily intra-Catholic) issues.

Bréhier’s concluded that “one can no more speak of a Christian philosophy than of a Christian mathematics or a Christian physics,” (“Y-a-t’il une philosophie chrétienne?”, p. 162) arriving at this via two main argumentative strategies. Before examining these, two points bearing on Bréhier’s contribution to the debate require mention. First, Bréhier suggests that “the difficulty here is more normative than factual,” and then writes decisively “[t]he question of the existence of Christian philosophy can not be a pure question of fact.” (“Y-a-t’il”, p. 133-4). Judgment and resolution requires the historian’s active work of interpreting and discerning the philosophical value and content of candidates for the legitimate title of Christian philosophy. Second, he identifies reason, and rationality as such, with an idealization of Greek philosophy:

For the Hellene, the true object of philosophy was to discover order, or the cosmos: each being (and principally the directive forces of nature, souls, and God) must be defined by the exact, and ne varietur, place that it occupies in this eternal order. (“Y-a-t’il”, p. 134)

[T]he goal of Greek philosophy was to investigate the rational, consequently immovable and fixed, order which is in things. The universal Logos or Intelligence is only the metaphysical realization, the projection of this need. It is, set up within the ideal, the very order that the sensible world realizes more or less imperfectly. (“Y-a-t’il”, p. 139-40)

Bréhier’s first argumentative strategy took the form of a dilemma: there are two possible ways of understanding Christian philosophy, and adopting either one of these will lead to a rejection of Christian philosophy as philosophy:

The word “Christian philosophy” seems to me to have two extremely distinct senses….In a first sense, it exists, but it is of no interest to philosophers; in a second sense, it would have interest for philosophers if it did exist, but it does not exist. (Bul. Soc fr. Phil., p. 49)

In the first sense, Christianity is determined by some dogmatic authority, termed by Bréhier a “magisterium.”

[T]he only way to know what is Christian and what is not Christian is to consult those who say – and who have the right to say – what Christian doctrine is….In this sense, I will call “Christian philosophy” that which is in agreement with dogma, what the magisterium accepts. I will call “non-Christian philosophy” that which it rejects, and I will say that this question has not a bit of importance or interest for the philosopher as philosopher. (Bul. Soc fr. Phil., p. 50)

He provides two main and related reasons why the philosopher may set this question aside. Besides the fact of the existence of numerous Christian communities disagreeing on fundamental issues, the history of the Catholic magisterium reveals

an absence of precise limit in the philosophical domain this magisterium oversees, and a lack of consistency in its censure, and these make Christian philosophy in the first sense seem to be something completely arbitrary. (Bul. Soc fr. Phil., p. 50)

In addition, the mere condition of reason and philosophy being forced in its exercise to submit to any authority sets

in place of the autonomy of reason that takes the initiative of philosophical thought, the heteronomy of a reason completely incapable of directing itself and knowing the scope of its own conclusions. (“Y-a-t’il”, p. 150)

This irredeemably vitiates any Christian philosophy understood in the first sense.

In the second sense, Christian philosophy would be a historically observable case where Christianity has provided to philosophy a new concept, method or direction. Arguing against this, Bréhier examined the thought of the Church Fathers, Augustine, Thomas Aquinas, 17th Century Rationalists, 19th Century Traditionalists, Hegel and his successors, and Maurice Blondel, to show that none of them are both Christian and philosophical. The Church Fathers do not create a new philosophy, but rather “annex everything they can from pagan philosophy to Christianity” (“Y-a-t’il”, p. 135). What is philosophical in Augustine really comes from Plato and Plotinus, and likewise Aquinas’ philosophy is simply Aristotelianism, though marred by an additional problem:

Saint Thomas’ goal is to show the convergence of the two great movements that dominate the spiritual history of our West, Greek rationalism represented by Aristotle and Christian faith. One can only speak of convergence if each of these two movements has its own initiative, its own internal development: but, reason no longer possesses its own initiative once the results of its own activity are judged by a criterion that is foreign to it, by faith (“Y-a-t’il”, p. 144).

The 17th Century Rationalists develop a natural theology, but in the process dispense with any distinctive dependence on Christianity, while the Traditionalists render reason so entirely dependent on Christianity that

If ‘reason’ still retains some value, it is under the condition of not wanting to be anything more than a form of tradition, and its oldest aspect. This Christian philosophy, the better to dominate reason, annexes it thus into revelation (“Y-a-t’il”, p. 156)

Hegelianism rationalizes religion by absorbing it into philosophy, and eventually culminates in Feuerbach’s philosophical but atheist humanism. Bréhier then brings his review to a close in criticizing Blondel on two counts. First, the problem of action central to Blondel’s work has no intrinsic connection with Christianity. Second, Blondel’s work is really just an example of Christian apologetics rather than philosophy.

In contrast to Bréhier’s wholesale and unconvincing dismissal of any historical influence of Christianity on philosophy, Brunschvicg provides a more nuanced, though still largely negative, perspective on Christian philosophy. While acknowledging from the start that “I would not recognize myself in what I think and what I feel if the entire movement of Christianity had not existed,” (Bul. Soc fr. Phil., p. 73) he would sharpen the debates’ question into that of “a specifically Christian philosophy” (Bul. Soc fr. Phil., p. 73). His answer takes form within the general assumptions of Brunschvicg’s evolutionary and idealist philosophy of rationality’s development.

In his view, rationality and philosophy emerge from originally religious backgrounds, but become progressively freed from religion and immature forms of rationality. True spirituality is to be discovered in philosophy, since religion and religious thought provide only its symbols.

[W]e come back to the position that I have called, granted very naively, that of the Western consciousness, which is prior by five centuries to the blossoming of Christianity. From that point of view, faith, insofar as faith, is only the prefiguration, the sensible symbol, the approximation of what properly human effort will be able to set in full light. We understand then how one can recognize that philosophy exists, and Christianity exists, without having the right to conclude that a Christian philosophy would exist (Bul. Soc fr. Phil., p. 74-5).

Brunschvicg’s rationalist perspective eliminates one key aspect of the problem Christian philosophy poses for his Christian interlocutors. He holds that revelation is not really revelation, since what philosophy’s gradually ascending progress has revealed is that there is in reality no supernatural: Christian or otherwise. He also eliminates from consideration all pre-17th century philosophies as candidates for Christian philosophy, arguing that from the vantage of the present, the types of rationality developed prior to the 17th century were immature, and thus not adequately philosophical. Significantly, while this would disqualify Augustine’s or Aquinas’ thought (though not Hegel’s or Blondel’s) from being Christian philosophies, it would likewise disqualify the ancient conception of reason upon which Bréhier’s critique entirely relies.

There are three possible relations between a thinker’s philosophy and Christianity in Brunschvicg’s view. If one is primarily a philosopher and secondarily a Christian, it is not really Christian philosophy, just philosophy. Likewise if one is primarily a Christian and secondarily a philosopher, it is not really Christian philosophy. Pascal provides an example of this, where “his Christianity has truly taken possession of the entire man… by uncovering for him a way of philosophizing that is not that of philosophers” (Bul. Soc fr. Phil., 76). There is a third possibility

where we would have to recognize that there is something it would be appropriate to call, without equivocation and without compromise, a Christian philosophy. This is the case where a metaphysician, reflecting in a manner deep and “naive” at the same time, would arrive at that conviction that philosophy ends up only posing problems, entangling itself in difficulties. The clearer a consciousness it will have of these problems, the deeper it will sound the abyss into which these difficulties throw philosophy, the more it will be persuaded that only Christianity’s own solutions will satisfy philosophical problems. (Bul. Soc fr. Phil., 76).

Brunschvicg identifies this possibility with Malebranche (arguably, Blondel would also fit this description), and concedes to him

the privilege and the honor of being the representative, naturally not the sole representative, but the typical and essential representative of a Christian philosophy (Bul. Soc fr. Phil., 76).

d. Neo-Scholastic Positions

Certain neo-Scholastic philosophers and theologians (in particular those representing the Louvain school), while regarding Thomism as the truest and most adequate philosophy available, argued against the possibility or desirability of an explicitly Christian philosophy. Several concerns marked their position, not least of which was maintaining strict distinction between the disciplines of philosophy and theology, whose formulation in their eyes was a central accomplishment of Thomas Aquinas’ thought. Philosophy was to be, indeed could only be, an activity deriving from and employing only purely natural reason, evidence and principles, distinct from theology in which Christian revelation and faith play a role. Neo-Scholastics worried over any implication that human reason might not be essentially the same in the non-believer as in the believer, especially since this would seem to render discussion and comparison with non-Christian philosophies problematic. Their rallying point was the view that Thomism was a genuine philosophy precisely because it was a purely rational philosophy, independently arriving at coincidence with the truths of Christian faith and doctrine.

Pierre Mandonnet adopted the most extreme position, arguing at the 1933 Société Thomiste meeting for a historical interpretation reminiscent of Bréhier’s:

Certainly Christianity has transformed the world, but it has not transformed philosophy….Certainly Christianity has been a considerable factor of progress in humanity, but not progress of a philosophical order. Progress in the philosophical order does not take place by Scripture but by reason….Progress in philosophy therefore does not take place by the paths of religion. Even if there had been neither Revelation nor Incarnation, there would have been development of science and of thought. (La philosophie chrétienne: Juvisy, 11 Septembre 1933, p. 67-8)

He granted that one might speak of Christian philosophy as “a Christian philosophical product,” i.e., the product of the philosophical activity of philosophers who happen to be Christian.

But, this will be a purely personal matter. They have their reasons when they philosophize; they have their reasons for being Christian. The unity is in the subject, who finds himself being a believer and a philosopher; it is not in the work that they produce. (p. 63)

At any rate, Mandonnet avers, the purported Christian philosopher will not be engaging in philosophy, but rather a theology, which can neither be unified with philosophy, nor be made comprehensible to non-believers.

Léon Noël’s position, articulated through recourse both to Aquinas’ thought and to Husserlian phenomenology, demonstrates more flexibility than Mandonnet’s, and distinguishes between two points of view: that of the systematic philosopher, and that of the genesis of a philosophical system. From the former, in its exposition, a philosophy must be entirely rational, free from faith, so that it “rest[s] only on evidence” and remains “purely philosophical, communicable to any other mind, even if it be an unbelieving one, and able to be discussed on the common ground of certainties which all grant.” (“La notion de philosophie chrétienne”, p. 340). From the latter, Christianity can orient or aid the process of study, the development of a philosophical position or doctrine, and does so in and for the individual philosopher:

Christian doctrines do not enter as such into the objective exposition of a philosophy, or then that philosophy would cease to be a philosophy. They cannot serve as such for the basis of a reasoning. But their presence in the mind of the believer can orient the research with a new meaning. (“La notion”, p. 339-40)

In this limited sense, regarding a philosophy whose historical development took place through the influence of Christianity, Noël grants, we can speak of a Christian philosophy, but this is a less rigorous way of speaking and thinking. He maintains that the Christian philosopher who has been aided by Christianity in his or her philosophical research must then strive to remove any dependence on Christian faith or doctrine in their philosophical system, so that it is purely rational, as accessible to the non-believer as it is to his religious counterpart. A “transcendent aspect” will remain in Christian faith, life, and experience, and adequate study of this will require “subordinating one’s judgment to faith,” but this will then cross over the boundary from philosophy into theology. All the philosopher can do, as a philosopher, is note this aspect’s “irreducibility to rational explanation” (“La notion de philosophie chrétienne”, p. 342).

Fernand Van Steenberghen makes points analogous to those made by Noël and Mandonnet (though mildly criticizing the latter), agreeing with them in regarding the term “Christian philosophy” as either the product of, or liable to produce, misunderstandings.

There are Christian philosophers, because some Christians can give themselves over to philosophical research, and because their Christianity disposes them to give themselves over with perspicuity, with prudence, with serenity; it helps them with working out a true philosophy. To the degree that it is true, a philosophy is necessarily compatible with Christianity, open to Christianity, utilizable by Christianity and by theology; its content will be able to partially coincide with that of revelation. But a philosophy will never be “Christian” in the formal and rigorous sense. One can, doubtless, speak of Christian philosophers in a purely material sense, to designate philosophies that have been worked out by Christian thinkers. But since the facts demonstrate the latent danger of this usage, it would be better to avoid using an expression that, far from illuminating anything, is a source of confusions and equivocations. (“La IIe journée d’études de la Société Thomiste et la notion de ‘philosophie chrétienne’”, p. 554)

Van Steenberghen made several additional points. Agreeing with Blondel and Sertillanges in that philosophy’s task is to extend itself as far as it can to all of reality, he proposed the Philosophy of Religion in place of Christian philosophy, which should include the sub-discipline ‘Philosophy of Christianity’. He criticized Thomist proponents of Christian philosophy, in particular Gilson, Maritain and Sertillanges, for having “mix[ed] up things important to carefully distinguish” philosophy and theology, and “the personal attitude of the Christian philosopher and the method of philosophy…the psychological coming-to-being of a science and its logical coming-to-being.” (“La IIe journée”, p. 550-1)

4. Positions For Christian Philosophy

a. Etienne Gilson’s Position

Etienne Gilson argued for Christian philosophy’s legitimacy and observable historical reality, and explored particular achievements of Medieval Christian philosophies in depth. Contrary to Henri Gouhier’s critique in his work that “the dossier of the notion of ‘Christian philosophy’ does not appear to present any change, any evolution” (p. 66), Gilson continued to revise his assessment of significant authors during the Debates. Early on in the Debates, bringing up “Saint Augustine’s credo ut intelligam and Saint Anselm’s fides quaerens intellectum,” he considered “these two formulas…the true definition of Christian philosophy” (Bul. Soc fr. Phil., p. 48). He would later revise his assessment, narrowing the scope of Christian philosophy primarily to Thomism, construing Augustinianism as reflecting a primacy of faith over reason (Reason and Revelation in the Middle Ages, p. 17-33) and explicitly rejecting the Anselmian fides quaerens intellectum, now seeing “in that formula, an exclusive ambition and limitation, which forbids us from seeing in the definition of the attitude of a Christian philosopher” (“Sens et nature de l’argument de Saint Anselme,” p. 49, note 2).

Gilson grabbed Bréhier’s dilemma by its horns: “I will say that in my view the Christian philosophy he thinks is not interesting at all but does exist, does not exist, whereas the one he deems that it would be interesting but does not exist, does exist” (Bul. Soc fr. Phil., p. 52). Historical examination indicates that the Catholic magisterium (in Christianity and Philosophy, Gilson extends his purview to Reformed and Lutheran positions) addresses philosophy in a more complex manner than Bréhier’s simplistic interpretation, so that there never has been a philosophy simply dictated by a religious magisterium. Whether Christianity has in fact made any positive contributions to philosophy remains an open question requiring thorough historical study, which directed Gilson to the existence of Christian philosophies, particularly in the Middle Ages. “What I seek in the notion of Christian philosophy is therefore a conceptual translation of what I believe to be a historically observable object: philosophy in its Christian state” (Bul. Soc fr. Phil., p. 73).

He also criticized Neo-Scholastic opponents of Christian philosophy for unnecessarily “adopt[ing] the position of their opponents,” but also for assuming that

[i]n Thomism alone we have a system in which philosophic conclusions are deduced from purely rational premises….Philosophy, doubtless, is subordinate to theology, but, as philosophy, it depends on nothing but its own proper method; based on human reason, owing all of its truth to the self-evidence of its principles and the accuracy of its deduction, it reaches an accord spontaneously and without having to deviate in any way from its own proper path. (The Spirit of Medieval Philosophy, p. 6)

Any relation between philosophy and Christianity, however, becomes merely fortuitous and extrinsic. “Once reason, as regards its exercise, has been divorced from faith, all intrinsic relation between Christianity and philosophy becomes a contradiction” (The Spirit of Medieval Philosophy, p. 7). What the Neo-Thomists had forgotten was that “faith and reason are rooted in the unity of the concrete subject.” (Bul. Soc fr. Phil., p. 45-6)

Gilson also criticized another position, “philosophy of the concrete,” rightly identifying this with Bergson and wrongly with Blondel. In his view (and Maritain’s, who would make similar criticisms) these philosophies bore strong affinities with Augustinian positions and were favorable to Christian philosophy, but as they were hostile to conceptual articulation, they were liable to stray into theology or apologetics. He also argues against a plausibly Blondelian position: “[a] philosophy open to the supernatural would certainly be compatible with Christianity, but it would not necessarily be a Christian philosophy.”

In order to defend the notion of Christian philosophy, simply noting the existence of philosophies in which Christianity had made some contribution was not sufficient, and Gilson was particularly concerned to clarify Christian philosophy’s nature, providing several definitions of Christian philosophy:

I call Christian every philosophy which, although keeping the two orders formally distinct, nevertheless considers the Christian revelation as an indispensable auxiliary to reason….[T]he concept does not correspond to any simple essence susceptible of abstract definition; but corresponds much rather to a concrete historical reality as something calling for description….[It] includes in its extension all those philosophical systems which were in fact what they were because a Christian religion existed and because they were ready to submit to its influence. (The Spirit of Medieval Philosophy, p. 37)

If philosophical systems exist, purely rational in their principles and in their methods, whose existence is not explained without the existence of the Christian religion, the philosophies that they define merit the name of Christian philosophies. This notion does not correspond to a concept of a pure essence, that of the philosopher or that of the Christian, but to the possibility of a complex historical reality: that of a revelation generative of reason. (Bul. Soc fr. Phil., p. 39)

If there have been philosophies, i.e., systems of rational truths, whose existence cannot be explained historically without taking account of Christianity’s existence, these philosophies should bear the name of Christian philosophies…. For the relation between both concepts to be intrinsic, it is not enough that a philosophy be compatible with Christianity; it is necessary that Christianity have played an active role in the very establishment of that philosophy. (Bul. Soc fr. Phil., p. 46)

He also characterized the range, objects, and condition of Christian philosophy:

[T]he content of Christian philosophy is that body of rational truths discovered, explored, or simply safeguarded, thanks to the help that reason receives from revelation (The Spirit of Medieval Philosophy, p. 35)

[T]he essential domain of Christian philosophy corresponds exactly to the limits of natural theology, but accidentally, it exerts an influence on almost the whole of philosophy (Christianity and Philosophy, p. 131)

[E]very Christian philosophy will be traversed, impregnated, nourished by Christianity as by a blood that circulates in it, or rather, like a life that animates it. One will never be able to say that here the philosophical ends and the Christian begins; it will be integrally Christian and integrally philosophical or it will not be. (Bul. Soc fr. Phil., p. 46)

Gilson’s position made three additional contributions to understanding the nature and the problem of Christian philosophy. First, he repeatedly stresses that an aspect central to the problem of Christian philosophy was the problem of the relations between faith and reason. Second, he specifies that in the use of their reason and in the course of their philosophical activity, past Christian philosophers drew upon resources offered them by the Christian faith and revelation. One way this took place was by ideas, e.g. those of creation ex nihilo, of God as being, of personality, derived originally from the non-rational religious source, then appropriated by Christian (as well as Jewish and Muslim) thinkers, who fruitfully brought them into their philosophical activity and systems. Christian philosophy represents the philosophical activity of reason working on, and bringing rationality to data derived originally from non-rational religious sources.

[O]nce this philosopher is also a Christian, his reason’s exercise will be that of a Christian’s reason, i.e., not a reason of a different type than that of non-Christian philosophers, but a reason that labors under different conditions….[I]t is true that his reason is that of a subject in which there is something non-rational, his religious faith….I ask especially whether the philosophical life is not precisely a constant effort to bring what is irrational in us to the state of rationality….What is peculiar to the Christian is being convinced of the rational fertility of his faith and being sure that this fertility is inexhaustible. (Bul. Soc fr. Phil., p. 47)

Third, he redirects focus from abstract ways of framing this problem towards concrete philosophizing human subjects, in whom faith and reason coexist, and who both engage in and are formed by philosophy and Christianity. Gilson guardedly accepts the Augustinian position:

He knows that faith is faith and reason is reason, but he adds that a man’s faith and a man’s reason are not two uncoordinated accidents of the same substance. In his view, the real is the man himself, a profound unity, not dissociable into juxtaposed elements as fragments of a mosaic would be, a unity in which nature and grace, reason and faith, cannot function each one on its own, like in a mechanism whose pieces would have been purchased at the store as separate parts. If therefore a Christian man philosophizes, and if he expresses himself truly in his philosophy, this cannot fail to be a Christian philosophy. (Bul. Soc fr. Phil., p. 45)

Gilson argues that this correctly reflects “the real unity of the elements of the concrete in the subject where they are realized….If there were a faith and a reason in us, whose being was radically distinct from that of a thinking substance to which they belong, we could not say of any of us that he was a man” (Bul. Soc fr. Phil., p. 45-6).

b. Jacques Maritain’s Position

Maritain regarded his own position as a “doctrinal’ (that is, strictly philosophical) complement to Gilson’s historically derived position. Like Gilson, he criticized rationalist and neo-Scholastic opponents of Christian philosophy, but also articulated fuller criticisms of Blondel (An Essay on Christian Philosophy, p. 7-11, 55-61, Science and Wisdom, p. 82-86). He agreed with Blondel on the mistake of Christian thinkers calling for and generating a “separated philosophy,” which he regarded as “completely contrary to the spirit of Thomism” (Essay, p. 8), but saw three main flaws in Blondel’s position. First, he rightly notes the errors in Blondel’s own critique based on reductive misinterpretations of Gilson’s position. Second, he charges Blondel with a lack of clarity, blurring lines between philosophy and theology, thus

transfer[ring] to the heart of a philosophy what holds true of an apologetics…apologetics, by its own nature and essence presupposes the solicitations of grace and the operations of the heart and will on the part of the one who hears, and the light of faith already possessed on the part of the one who speaks; philosophy by its nature and essence exacts…only reason in the one who searches. (Essay, p. 9)

Third, admitting the “insufficiency of philosophy,” Maritain rejects Blondel’s call for and project of “philosophy of insufficiency,” making charges similar to Gilson’s, that by critiquing conceptualism, Blondel rejects concepts and objective knowledge.

Maritain’s most important contribution was to frame the useful distinction between the nature and the state of philosophy:

[W]e must distinguish between the nature of philosophy, or what it is in itself, and the state in which it exists in real fact, historically, in the human subject, and which pertains to its concrete conditions of existence and exercise. (Essay, p. 11-2)

In its nature or essence, philosophy is “intrinsically a natural and rational form of knowledge” (Essay, p. 14), entirely independent from faith. As a form of knowledge, philosophy is specified by its object(s): “within the realm of the real, created and uncreated…a whole class of objects which are of their nature attainable through the natural faculties of the human mind” (Essay, p. 14). In its nature, however, philosophy is

a pure abstract essence. It is all too easy a matter to endow such an abstraction with reality, to clothe it as such with a concrete existence. An ideological monster results; such, in my opinion, occurred in the case both of the rationalists and the neo-Thomists whom Mr. Gilson has called to task (Essay, p. 14).

In its essence, philosophy is neither Christian nor non-Christian. Turning to concrete states in which philosophy actually exists, it becomes possible for a philosopher to be a Christian and for his or her philosophy to be a Christian philosophy. On this basis, Maritain supplies several characterizations of Christian philosophy. From the start, he frames it as not “a simple essence, but a complex: an essence grasped in a certain state” (Bul. Soc fr. Phil., p. 67), later adding: “under conditions of performance, of existence and of life, for or against which one is in fact obliged to make a choice” (Science and Wisdom, p. 81). He clarifies:

Christian philosophy is not a determinate body of truths, although, in my opinion, the doctrine of St. Thomas exemplifies its amplest and purest form. Christian philosophy is philosophy itself in so far as it is situated in those utterly distinctive conditions of existence and exercise into which Christianity has ushered the thinking subject, and as a result of which philosophy perceives certain objects and validly demonstrates certain propositions, which in any other circumstances would to a greater or lesser extent elude it. (Essay, p. 30)

Maritain distinguishes two main ways in which Christianity aids the activity of philosophy in concrete states: objective contributions and subjective reinforcements. Christianity makes objective contributions by supplying philosophy with data and ideas. Some of these “belong within the field of philosophy, but….philosophers failed to recognize [them] explicitly” (Essay, p. 18), e.g. the ideas of creation or of sin. Others are “objective data which philosophy knew well but which it approached with much hesitancy and which…was corroborated by revelation” (Essay, p. 21). Even in cases of mysteries of the Christian faith, philosophy develops further, as an instrument of theology it “learn[s] many things whole being thus led along paths which are not its own” (Essay, p. 22). It also has its field of inquiry, its possible objects of study, expanded, as happened with “speculation on the dogmas of the Trinity and the Incarnation,” productive of “an awareness of the metaphysical problem of the person” (Essay, p. 23).

Subjective reinforcements are the ways in which Christian faith and practice concretely aid the philosophical activity of the human person by putting them in a better condition to do philosophy. Though strictly speaking these are numberless, Maritain identifies several subjective reinforcements bearing on philosophy as a habitus, which attains a better use when set in “synergy and vital solidarity, this dynamic continuity of habitus” with theology (Essay, p. 27). Divine grace also removes or ameliorates impediments to philosophizing well, so that “the more the philosopher remains faithful to grace, the more easily will he free himself of manifold futilities and opacities.” (Essay, p. 28)

c. Maurice Blondel’s Position

Blondel, universally acknowledged by French commentators as the third main proponent of Christian philosophy, developed a complex position intimately connected with previous and later works, and resisting brief summarization. Accordingly, only four main components of his position are addressed here: his critique of rationalists and Neo-Scholastics, his critique of Gilson, the philosophy of insufficiency, history and the problem of the supernatural, and the stages of Christian philosophy.

Since his early works (cf. the Letter on Apologetics), Blondel had criticized the “separated philosophy” of certain Neo-Scholastics for ignoring the problematic imposed on philosophy by the “religious problem” (a meta-philosophical requirement for philosophy to fully take Christianity into account without thereby rationalizing it). By their care to exclude anything explicitly Christian from their philosophizing while still desiring to generate philosophy substantially in agreement with Christian theology, Neo-Scholastic philosophy lapsed into a philosophically sterile “concordism” in which philosophy and Christianity are only extrinsically related to each other, but philosophical doctrines are nevertheless judged correct or incorrect by their agreement with dogma. Blondel also took on Bréhier directly, charging him with relying on his own “dogmatism imposing itself by authority” (“Y-a-t’il”, p. 601), characterized by a reductive and rigid conception of reason and straw-man caricatures of Christian thinkers Bréhier claimed to rationally critique. In this way, “dogmatic rationalism becomes irrational and seems to mutilate history just as much as philosophical speculation itself” (“Y-a-t’il”, p. 600). In particular, Bréhier’s two criticisms of Blondel turn out not only to be untrue, but also mutually inconsistent.

At much greater length and with greater severity, Blondel consistently criticized Gilson’s (and by implication, Maritain’s) position. Though incorrect (and uncharitable) in ascribing these to Gilson, Blondel’s identification and criticism of several errors in handling the problem of Christian philosophy nevertheless retain their philosophical merit. He diagnosed two main (meta-)philosophical mistakes: conceptualism and historicism. Conceptualism maintains

philosophical doctrines, as different as they may be, ultimately aim at sealing themselves off in closed, sufficient, and exclusive systems; these systems organize themselves with and terminate in concepts, and all that does not succeed in being raised into concepts repulses philosophy. (Bul. Soc fr. Phil., p.87-8)

This reduces philosophy to an abstract, static construction of concepts, hampering philosophy from engaging its full range of objects, obscuring that

this is precisely what is in question: can it not be philosophical, is it not “conceivable”, is it not even normal, that philosophy opens ulterior perspectives…orients and stimulates spiritual life’s dynamism by posing inevitable problems whose complete solution it does not provide, even though it serves to not allow them to be misunderstood nor falsely resolved? (Bul. Soc fr. Phil., p. 88)

What Blondel terms “historicism” reflects attempts to resolve the problem of Christian philosophy through direct appeal to the discipline of history (or history of philosophy). This introduces a dilemma, however, “doubly compromising both to Philosophy and to the Christian Revelation”:

[I]f history as an intermediary, provides data taken from Christianity in a mixture of public facts or of private experiences to the laboratory of philosophical reflection, it is by forcibly stripping the data of their supernatural originality; it accepts them, puts them into its mill, experiments on them in its own natural and rational activity. (Bul. Soc fr. Phil., p. 89)

Inversely, by wanting to integrate dogmas, ideas, ascetic practices, mystical experiences coming to it from outside within itself, philosophy that would not have preliminarily opened in itself this empty space of which we spoke, by its very care not to alter the supernatural character of Christian data, introduces a foreign body into its flesh, a packet of incurably wounding spines. (Bul. Soc fr. Phil., p. 89)

His reference to the “empty space” leads into Blondel’s positive conception of Christian philosophy, which will be in part “an open philosophy…recogniz[ing] its limits by being ready to accept ulterior data” (Bul. Soc fr. Phil., p. 90). This will be a philosophy of insufficiency, i.e., philosophy that thematizes philosophy’s own insufficiency to fully comprehend, rationally articulate, and systematize its own objects, the ranges of realities to which it extends, and the human subject engaged in philosophizing. It will also acknowledge that philosophy’s own intrinsic requirement of autonomy culminates in philosophy freely allowing itself to be further determined, guided and shaped by something transcending philosophy. Against conceptualism, Blondel proposes another possibility:

must philosophy end up, whatever the level of its development may be, in recognizing how it is normally incomplete, how it opens in itself and before itself an empty space prepared not only for its own ulterior discoveries and on its own ground, but for illuminations and contributions whose real origin it is not and cannot become?…[I]t is this second thesis, philosophically definable and supportable, i.e. without proceeding from a revelation, that is alone in spontaneous and deep agreement with Christianity. Bul. Soc fr. Phil., p. 90)

He expands the metaphor, employing similar terminology, e.g.:

[a] gap coming from above (Bul. Soc fr. Phil., p. 91)

[the] interior open space or the silence of the soul (Bul. Soc fr. Phil., p. 91)

infinitesimal and real fissures, ‘holes’ that require being filled and which admit consequently the presence or even the need of another reality, of a heterogeneous and complementary datum. (“Le problème de la philosophie catholique,” p. 43)

These spaces occur throughout the fabric of philosophical thought. There are “relations of emptiness and fullness where two incommensurable orders unfold themselves,” (Le problème de la philosophie chrétienne, p. 147) within the same concrete human subject. These spaces are not simply philosophical voids:

[W]e do not remain in the presence of a black hole, of an ocean for which neither ship nor sail would seem possible. The empty space that we spoke of earlier is not a chimerical fiction, projection of restlessness, sickness of the soul. It has…contours to discern, a reason for being to meditate on and to render rationally admissible, an attractive and imperious character. (Bul. Soc fr. Phil., p. 90)

Blondel’s attitude towards history and Christian philosophy is considerably more complex than a simple rejection. From within the perspective generated and secured by a philosophy of insufficiency, appeal to history and reinterpretation of historical examples of Christian philosophy becomes legitimate. History in fact displays a “chronic condition” in which philosophy and Christianity generate “incessant antagonisms or the renewed efforts of compenetration…throughout the ages.” This condition “possesses an intelligible signification”, and it is “philosophy’s role to seek out its causes and to discern its enduring reasons.” (“Le problème,” p. 14) In modernity and through modern thought, the most fundamental aspect of the problem of Christian philosophy come to light. Previous, ultimately unsuccessful, attempts at Christian philosophies have made “the very conception of philosophy evolve….preparing discernment of what remains incommensurable between the rational order and the supernatural order.” (“Le problème,” p. 17) in the end

bringing the always looming crisis between rational autonomy and Christian demands to a vital point that historical, exegetical, and apologetic considerations do not reach, insofar as they appear in isolation without the preliminary question being raised, the question whose precise meaning, normal character, and essential scope we have just tried to exhibit. (“Le problème ,” p. 18-9)

This central question is the “problem of the supernatural” and Christian philosophy has to self-consciously grapple with, conceptualize, and bring about a condition involving:

[n]either dependence nor independence nor simple juxtaposition of the rational order and the Christian order; but a type of heterogeneity in compenetration and of symbiosis in the very incommensurability. (Le problème, p. 145)

In Le problème de la philosophie chrétienne (cf. also “Pour une philosophie intégrale”, p. 57-62), Blondel explicitly construed Christian philosophy as a three-stage set of projects correlated to several states or conditions of human being. Among these is a “a state of nature that actually could subsist, but which also actually has never existed for humanity in the historical and concrete order,” (Le problème, p. 25) i.e. actually an abstraction. The others include those of “original justice,” and of “decay,” the “transnatural state,” and the state in which “a person is introduced into the supernatural order.” (Le problème, p. 25-27)

Each state is a possible object of study for philosophy. Corresponding to the state of nature, “essential philosophy” (that is, philosophy of insufficiency) systematically examines necessary and possible conditions and structures of human thought and action. At this stage, philosophy becomes critically aware of its own insufficiencies, and human reason is brought to recognition, opening, and orientation towards the “empty space” but not yet to determinately entering it.

The second stage, in which philosophy enters the opened space seeking the supernatural, involves a second philosophical project: “a sort of mixed philosophy, a philosophy of the possible relations…between essential possibilities or necessities and realizable contingents.” (Le problème, p. 167). In the third philosophical project, philosophy engages what Christianity teaches to be humanity’s and all other created being’s real condition, becoming reoriented and expanded in the process. At this stage, it becomes possible “to study the repercussions in natural man of the different states – transnatural, supernatural or rebel – that awaken in consciousness and the will data or reactions other than those of a pure state of nature.” (Le problème, p. 171)

d. Gabriel Marcel’s Position

In his position on Christian philosophy, Marcel harmonized the positions, believed incompatible by their authors, of Gilson and Maritain on one side, and Blondel on the other. He also made enough original contributions of his own to justify interpreting his position as a fourth main position for Christian philosophy. One of these contributions was raising an additional problem for rationalist or neo-Scholastic opponents of Christian philosophy:

If it was admitted that Christianity has had no positive influence on philosophical development, this would entail saying that it has never actually been able to be thought – for there is no thought worthy of that name that does not contribute to transforming all the other thoughts….To say that Christianity has never been thought is to let it be understood that it is not thinkable. (“A propos de L’esprit de la Philosophie médiévale par M. E. Gilson,” p. 309)

While praising Gilson’s The Spirit of Medieval Philosophy, Marcel argued, in terms similar to Blondel’s, that

[t]he contribution here is a certain datum – a revealed datum – whose signification, whose value is absolutely transcendent to any experience susceptible of being constituted on purely human bases. There is the paradox, the scandal, if you like. I would be disposed for my part, to think that there is Christian philosophy only there where this paradox, this scandal is not only admitted or even accepted, but embraced with a passionate and unrestricted gratitude. From the moment on when, to the contrary, philosophy seeks by some procedure to attenuate this scandal, to mask the paradox, to reabsorb the revealed datum in a dialectic of pure reason or mind, to this precise degree it ceases to be a Christian philosophy (“A propos”, p. 311-2)

The paradox or scandal Marcel regards as most central to Christian philosophy is the Incarnation, which bears important implications for philosophy and reason itself.

Perhaps it would not be abusive to claim that the essence of such a philosophy is a meditation on that datum’s implications and consequences of every order, not only unpredictable but contrary to reason’s superficial demands from the very start wrongly posing themselves as inviolable. But, the essential function of metaphysical reflection will consist in critiquing these demands in the name of higher demands, and consequently in the name of a superior reason that faith in the Incarnation puts precisely in the condition of becoming fully conscious of itself. (“A propos”, p. 312)

He adds that “the central light residing in the Incarnation radiates in reality through all of the regions of metaphysics” (“A propos”, p. 312), generating the historical examples of Christian philosophy Gilson studied and identified in his works. Christian philosophy, as Marcel envisioned it, has the task not only of noting cases where Christianity has exerted a generative effect on philosophy, but also of investigating how this is possible. This, in turn, requires that “our reason – a created reason ordered to the intelligence of created nature – must, in deepening itself, recognize what in it exceeds the domain of adequacy to itself” (“A propos”, p. 1305).

e. Other Positions Reconciling the Gilson-Maritain and Blondel Positions

Although numerous philosophers have accepted the verdict of fundamental incompatibility between the Gilson-Maritain and Blondel positions, many participants in and commentators on the debates early on saw not only compatibility but even complementarity between their positions, among them Antonin Sertillanges, Bruno De Solages, Aimé Forest, and Henri De Lubac (all of whom were Thomists). Asserting this involved not only arguing compatibility between the positions on Christian philosophy, but also interpreting Thomism as being compatible with the requirements of Blondel’s non-Thomist philosophy.

De Solages likens Gilson’s, Maritain’s and Blondel’s positions on Christian philosophy to three different paths climbing the same mountain:

None of the three lead to the same peak, for our mountain has three peaks, but it seems to me that the view that one has from each of them marvelously completes the view that one has from the others, and that all three allow one to make for oneself a sufficiently complex and exact idea of this complex reality. (“Le problème de la philosophie chrétienne,” p. 232)

De Lubac, drawing from De Solages and Sertillanges, provides a classic account reconciling Blondel with Gilson and Maritain, as well as noting certain differences between the latter two.

If we believe Maritain and Gilson, their two positions come together, one in treating the problem from the historical point of view and the other. In practice, however, Gilson, who is the better historian, admits a greater influence than Maritain concedes…. [O]nly the third thesis, that of Blondel, establishes a truly intrinsic relationship between rational speculation and supernatural revelation, without, for all that, opening to philosophy the mysterious content of this revelation. (“Retrieving the Tradition: On Christian Philosophy”, p.482-3)

He distinguishes several different distinguishable types of Christian philosophy:

[T]here is another sense in which one can and must speak of a Christian philosophy…a sense no longer historical but metaphysical. It is, then, no longer a matter of a philosophy, or of philosophies, which, in fact, find themselves to be Christian because they have received a Christian contribution…Instead, it is a question of the philosophy, which, to be truly and integrally philosophy, must, in a certain way, be Christian. (“Retrieving the Tradition”, p 486)

The relationship between these types is not one of opposition or exclusion, but one going beyond even compatibility or complementarity to mutual requirement. The Gilson-Maritain position needs to be completed and self-critically secured by the Blondelian one: “[T]o the double recognition of the subjective comforts and the objective contributions which philosophy owes to Christianity, it is indispensable to add the elaboration of a philosophy of insufficiency.” Additionally, “posing the problem of the relationship between supernatural mystery and the reason it fertilizes, leads us to look for another more comprehensive meaning of Christian philosophy.” (“Retrieving the Tradition”, p. 494-5) Blondel’s thought is possible, however, only on the unacknowledged basis of the type of Christian philosophy Gilson and Maritain focused on:

[I]f we speak concretely, psychologically, and historically, we will say that this absolute Christian philosophy presupposes the first kind of Christian philosophy, which is completely contingent. We add that it presupposes this contingent Christian philosophy as already established and developed for enough time to have profoundly penetrated the understanding and to have laid bare the secret law. (“Retrieving the Tradition,” p. 488)

5. References and Further Reading

This selective bibliography provides reference to only a portion of the literature either from or about the debates about Christian philosophy, positions developed, and issues involved. For more extensive bibliographies, cf. Bernard Badoux, O.F.M., “Quaestio de philosophia christiana,” Antonianum, vol. 11, p. 487-552; and Luigi Bogliolo. La Filosophia Cristiana: Il problema, la storia, la struttura (Rome: Libreria Editrice Vaticana. 1986). All translations from the French, unless otherwise noted in the bibliography, are the author’s.

a. Literature from the 1930s Christian Philosophy Debates

This list includes two types of literature: 1) books, articles, and conference reports directly part of the debates; 2) books, articles, and conference reports subsequent to the debates in which the positions of these participants are further developed. Many other documents not listed here, of lesser importance or centrality, also form part of the debates.

  • “La notion de philosophie chrétienne”, Session of 21 March 1931, Bulletin de la Société française de Philosophie, v. 31. Includes:
    • Main Presentation by Etienne Gilson
      Presentations by Emile Bréhier, Jacques Maritain, Léon Brunschvicg, Edouard Le Roy, and Raymond Lenoir
      Discussion between Gilson, Bréhier, and Brunschvicg
      Letters from Maurice Blondel and Jacques Chevalier
  • La philosophie chétienne: Juvisy, 11 Septembre 1933 (Account of the 2nd Day of Studies of the Société Thomiste). (Paris: Cerf. 1933) Includes:
    • M.D. Chenu, O. P. “Allocation d’Ouverture”
      Aimé Forest, “Le problème historique de la philosophie chrétienne”
      A.R. Motte, “Vers une solutions doctrinale du problème de la philosophie chrétienne”
      Discussion by numerous members of the Société Thomiste, including substantive presentations made by Festugière, Etienne Gilson, Pierre Mandonnet, Antonin Sertillanges, Daniel Feuling, Masnovo, Cochet,
      Appendix: Correspondence from Jacques Maritain, M.E. Baudin, Roland-Gosselin, O.P. , M.G. Rabeau
  • Blondel, Maurice. “Autonomie normale et connexion réelle de la philosophie et de la religion,” in Library of the 10th international congress of philosophy (Amsterdam 1948). Amsterdam : North Holland, 1948, vol. 1, p. 207-208
  • Blondel, Maurice. “La philosophie ouverte” in Henri Bergson: Essais et témoignages inédits. Albert Béguin, Pierre Thévenaz, eds. (Neuchâtel: Baconnière. 1941), p. 73-90
  • Blondel, Maurice. “Le centre de perspective où il faut se placer pour que la philosophie catholique soit concevable.” Archivio di filosofia, vol. 2, no. 2, p. 3-15 (1932).
  • Blondel, Maurice. “Le devoir intégral de la philosophie” in Actas del primer congreso nacional de filosofia (1949). (Mendoza, Argentina: Univ. Nacional de Cuyo. 1950), vol. 2, p. 884-889.
  • Blondel, Maurice. Le problème de la philosophie catholique (Paris: Bloud & Gay. 1932)
  • Blondel, Maurice. “Le problème de la philosophie catholique: Seance of 26 Nov 1932”, Les Etudes Philosophiques vol. 7, no. 1.
    • Includes letters and discussion by: Enrico Castelli, Jean Delvolvé, Henri Gouhier, Joseph Maréchal, S.J, Jacques Palliard, Gaston Berger
  • Blondel, Maurice. “Office du philosophe”, Revue Thomiste, vol. 19, p. 587-592 (1936).
  • Blondel, Maurice. “Philosophie et Christianisme,” Vie Intellectuelle, 25 Jan 1940, p. 96-105.
  • Blondel, Maurice. “Pour la philosophie integrale”, Revue néoscholastique de Philosophie, vol. 37, p. 49-64. (1934).
  • Blondel, Maurice. “Réponse irénique à des méprises : Comment comprendre et justifier l’accès à la vie surnaturelle?”Giornale di metafisica vol. 3, p. 44-48 (1948).
  • Blondel, Maurice. (under the pseudonym “X”), “Une philosophie chrétienne est-elle rationallement concevable? Est-elle historiquement réalisé? Etat actuel de ce debat”, Revue des Questions Historiques, vol. 116, p. 389-393 (1932).
  • Blondel, Maurice. “Y-a-t’il une philosophie chrétienne?”, Revue de Métaphysique et de Morale, vol 38, no.4 (1931).
  • Borne, Etienne. “D’une ‘Philosophie Chrétienne’ qui serait philosophique,” Esprit, November 1932, p. 335-340.
  • Bréhier, Emile. “Comment je comprends l’histoire de la philosophie,” Etudes Philosophiques, p. 105-13 (1947). Reprinted in Etudes de philosophie antique (Paris: PUF. 1955), p. 1-9.
  • Bréhier, Emile. “Y-a-t’il une philosophie chrétienne?” Revue de Métaphysique et de la Morale, vol. 38 no. 2, p. 133-162 (1931).
  • Brunschvicg, Léon. “De la vraie et fausse conversion,” (parts 1-2) Revue de Métaphysique et de la Morale., vol. 38 no. 1, p. 29-60, n. 2, p. 187-235. All parts later published as De la vraie et de la fausse conversion: suivi de La querelle de l’athéisme (Paris: Presses Universitaires de France. 1951)
  • Brunschvicg, Léon. “Religion et Philosophie”, Revue de la Métaphysique et de la Morale, vol. 42, no. 1, p. 1-13. (1935).
  • Brunschvicg, Léon. La Raison et la Religion (Paris: Felix Alcan. 1939)
  • Chestov, Léon. “Athènes et Jérusalem (Concupiscentia irresistibilis)”, Revue Philosophique, vol. 120, p. 305-349. Later becomes part 3 of Athènes et Jérusalem (Paris. 1937)
  • Gilson, Etienne. “Autour de la philosophie chrétienne. La spécificité de l’ordre philosophique”, La Vie Intellectuelle, vol. 21, no. 3, p. 404-424. Translated as “Concerning Christian Philosophy: the Distinctiveness of the Philosophic Order” in Philosophy and history: Essays Presented to Ernst Cassirer (Oxford: Clarendon Press. 1936), p. 61-76.
  • Gilson, Etienne. Christianisme et Philosophie. (Paris: Vrin. 1936). Translated as Christianity and Philosophy by Ralph MacDonald, C.S.B. (New York: Sheet & Ward. 1939).
  • Gilson, Etienne. Elements of Christian Philosophy. (Garden City, N.Y.: Doubleday: 1960).
  • Gilson, Etienne. History of Christian philosophy in the Middle Ages (New York: Random House, 1955).
  • Gilson, Etienne. “La possibilité philosophique de la philosophie chrétienne”, Revue des sciences religieuses, vol. 32.
  • Gilson, Etienne. Introduction à la Philosophie Chrétienne. (Paris: Vrin, 1960) translated by Armand Maurer as Christian Philosophy: An Introduction (Toronto: Pontifical Institute of Mediaeval Studies. 1993).
  • Gilson, Etienne. L’esprit de la Philosophie médiévale. Translated by A.H.C. Downes as The Spirit of Medieval Philosophy (Gifford Lectures 1931-1932) (New York: Charles Scribner’s Sons. 1936).
  • Gilson, Etienne. “Le christianisme et la tradition philosophique,” Sciences Philosophiques et Théologiques, vol. 20, p. 249-266. (1941).
  • Gilson, Etienne. Le Philosophe et la Théologie (Paris: Fayard. 1960) Translated by Cecile Gilson as The Philosopher and Theology (New York: Random House. 1962).
  • Gilson, Etienne. Reason and Revelation in the Middle Ages. (New York: Scribner’s. 1938)
  • Gilson, Etienne. The Unity of Philosophical Experience. (New York: Charles Scribner’s Sons, 1937)
  • Gilson, Etienne. “What is Christian Philosophy?” in A Gilson Reader. Anton Pegis, ed. (Garden City, NY: Hanover House, 1957) p. 177-191
  • de Lubac, Henri. “Sur la philosophie chretienne, reflexions a la suite d’un debat”, Nouvelle Revue Théologique, vol. 63, no. 3, p. 125-53, English translation: “Retrieving the Tradition: On Christian Philosophy”, Communio, vol. 19, p. 478-506 (1992).
  • Marc, André, S.J. “La philosophie chrétienne et la théologie”, La Vie Intellectuelle, vol. 24, p. 21-27(1933).
  • Marcel, Gabriel. “A propos de L’esprit de la Philosophie médiévale par M. E. Gilson”, Nouvelle Revue des Jeunes, vol. 4, no. 3, p. 308-315 (1932).
  • Marcel, Gabriel. “A propos de L’esprit de la Philosophie médiévale par M. E. Gilson”, Nouvelle Revue des Jeunes, vol. 4, no. 12, p. 1302-1309 (1932).
  • Marcel, Gabriel. “Position du mystère ontologique et ses approches concrètes”, Les Etudes Philosophiques, vol. 7, no. 3, p. 95-102 (with responses by Blondel and Bréhier). Later translated in Being and Having: An Existentialist Diary. Trans. Katherine Farrer. (New York: Harper. 1965) p.116-121.
  • Maritain, Jacques. Approches sans entraves. (Paris: Fayard.1973). Translated as Untrammeled Approaches (Notre Dame: University of Notre Dame Press. 1997).
  • Maritain, Jacques. “A propos de la philosophie chrétienne,” translated as “About Christian Philosophy,” in The Human Person and the World of Values Balduin Schwarz, ed. (New York: Fordham University. Press. 1960), p. 1-11.
  • Maritain, Jacques. “De la notion de philosophie chrétienne”, Revue néo-scolastique de philosophie, vol. 36, p. 153-86. (1932).
  • Maritain, Jacques. Essai sur la philosophie chrétienne Translated as An Essay on Christian Philosophy, by Edward Flannery (New York: Philosophical Library. 1955)
  • Maritain, Jacques. Raison et raisons, essais détachés (Paris: Egloff. 1948) later expanded and translated as The Range of Reason (New York: Charles Scribner’s Sons. 1952).
  • Maritain, Jacques. Science et sagesse, suivi d’éclaircissements sur ses frontières et son objet (Paris: Téqui. 1935). translated by Bernard Wall as Science and Wisdom (New York: Charles Scribner’s Sons, 1940)
  • Noël, Léon. “La notion de philosophie chrétienne,” Revue néoscholastique de Philosophie, vol. 37 (1934).
  • Sertillanges, Antonin D., O.P.“De la philosophie chrétienne”, La Vie Intellectuelle, vol. 24. no. 1, p. 9-20 (1933).
  • Sertillanges, Antonin D., O.P. “L’apport philosophique du Christianisme d’après M. Etienne Gilson”, La Vie Intellectuelle, vol. 14, p. 386-402 (1932).
  • Sertillanges, Antonin D., O.P. Le Christianisme et les philosophies (Paris: Aubier. 1939)
  • de Solages, Bruno. “Le problème de la philosophie chrétienne,” La Vie Intellectuelle, vol. 25, no. 3, p. 215-228 (1933).
  • Van Steenberghen, Fernand. “Etienne Gilson: historian de la pensée médievale”, Revue Philosophique de Louvain, vol. 77, p. 487-508 (1979).
  • Van Steenberghen, Fernand. Etudes philosophiques (Longueuil, Canada: Le Préambule. 1980)
  • Van Steenberghen, Fernand. Histoire de la philosophie; période chrétienne. (Paris: Nauwelaerts, 1964)
  • Van Steenberghen, Fernand. Introduction à l’étude de la philosophie médiévale (Paris, Béatrice-Nauwelaerts. 1974)
  • Van Steenberghen, Fernand. “L’interpretation de la pensée médievale au cours du siècle écoulé,” Revue Philosophique de Louvain, vol. 49, p. 108-19 (1951).
  • Van Steenberghen, Fernand. “La IIe journée d’études de la Société Thomiste et la notion de ‘philosophie chrétienne’”, Revue néoscholastique de Philosophie, vol. 35, p. 539-554 (1933).
  • Van Steenberghen, Fernand. “La Philosophie de S. Augustin d’après les travaux du centenaire”, Revue Néoscholastique, vol. 35, pp. 106-127, 231-281 (1933).
  • Van Steenberghen, Fernand. “Philosophie et christianisme: Épilogue d’un débat ancien”, Revue Philosophique de Louvain, v. 86 (1988).

b. Selected Literature from 1940s and 50s Reformed Protestant Discussions about Christian Philosophy

  • Le problème de la philosophie chrétienne (Paris: P.U.F. 1949), includes :
    • Jean Boisset, “Introduction”
      Edmond Rochedieu, “Philosophie chrétienne et vérité théologique”
      Paul Ricouer, “Le renouvellement du problème de la philosophie chrétienne par les philosophies de l’existence”
      Paul Arbouse-Bastide, “Les voies de la raison et la voie de l’amour”
      Jacques Bois, “Unité du christianisme et de la philosophie”
      Maurice Neeser, “La théologie chrétienne peut-elle prétendre à une place dans l’organisme des sciences humaines?”
  • Bois, Jacques. “Philosophie et Religion” (1st part), Études Théologiques et religieuses, Nov. (1933).
  • Bois, Jacques. “Philosophie et Religion” (2nd part), Études Théologiques et religieuses, vol. 9, no. 1, p. 35-49 (1934).
  • Guérin, Pierre. “A propos de la philosophie chrétienne”, Revue d’Histoire et de Philosophie religeuses, p. 210-242. (1935)
  • Guérin, Pierre. “La condition du philosophe chrétien”, Revue de Théologie et de Philosophie, vol. 37, p. 65-78. (1949).
  • Mehl, Roger. “Die Philosophie vor der Théologie,” Theologische Literaturzeitung, no. 10, p. 586-90 (1950).
  • Mehl, Roger. Le condition du philosophe chrétien. (Paris: Niestlé. 1947) Translated as The Condition of the Christian philosopher by Eva Kushner (Philadelphia: Fortress Press. 1963).
  • Reymond, A. “Philosophie et théologie dialectique”, Revue de Théologie et de Philosophie, v. 33, p. 255-281. Later published in Philosophie spiritualiste.
  • Ricouer, Paul. “Le renouvellement du problème de la philosophie chrétienne par les philosophiques de l’existence,” in Les Problèmes de la Pensèe Chrétienne, vol. 4: Le Problème de la Philosophie Chrétienne (Paris: 1949), p. 43-67.
  • Ricouer, Paul. “l’Homme de Science at l’Homme de Foi”, in Récherches et Débats: Pensée Scientifique et foi chrétienne, vol. 4 (1953)
  • Souriau, Michel, “Qu’est-ce qu’une philosophie chrétienne?” Revue de Métaphysique et de Morale, vol 39, no. 3, p. 353-385 (1932)
  • Thévenaz, Pierre. “De la philosophie divine à la philosophie chrétienne,” Revue de Théologie et de Philosophie, vol. 1, p. 4-20 (1951).
  • Thévenaz, Pierre. “Dieu des philosophes et Dieu des chrétiens,” Revue de Théologie et de Philosophie, v. 6, p. 203-15 (1954).

c. Selected Literature about the 1930s Christian Philosophy Debates and Positions on the Issue of Christian Philosophy

  • d’Andrea, Thomas, “Rethinking the Christian Philosophy Debate: An Old Puzzle and Some New Points of Orientation,” Acta Philosophica, vol. 1, no. 2, p. 191-214.
  • Badoux, Bernard, O.F.M., “Quaestio de philosophia christiana,” Antonianum, vol. 11, p. 487-552 (1936).
  • de Blic, J., S.J., “Quonam sensu recta sit locutio ‘philosophia christiana’?”, Acta Secundi Congressus Thomistici Internationalis, p. 450-453 (1936).
  • Bremond, André, S.J. “Rationalisme et Religion,” Archives de philosophie, vol. 11, no. 4, p. 1-59 (1934)
  • Bogliolo, Luigi. Il problema della filosophia cristiana (Brescia: Morcelliana. 1959)
  • Bogliolo, Luigi. La Filosophia Cristiana: Il problema, la storia, la struttura (Rome: Libreria Editrice Vaticana. 1986)
  • Chenu, Marie-Domnique. “Les ‘Philosophes’ dans la philosophie chrétienne médievale,” Revue des Sciences philosophiques et théologiques, vol. 27, no. 1, p. 27-40 (1937).
  • Chenu, Marie-Domnique.  “Note pour l’histoire de la notion de philosophie chrétienne,” Revue des Sciences philosophiques et théologiques, vol. 21 no. 2, p. 230-5 (1932).
  • Chenu, Marie-Domnique.  “Ratio superior et inferior. Un cas de philosophie chrétienne,” Laval Théologique et Philosophique, vol. 1 , no. 1, p. 119-23 (1945).
  • Coreth Emmerich, W. M. Neidl and G. Pfligersdorffer, eds. Christliche Philosophie im katholischen Denken des 19. und 20. Jahrhunderts, v. Neue Ansätze im 19. Jahrhundert (Graz/Wien/Köln: 1987).
  • Coreth Emmerich, W. M. Neidl and G. Pfligersdorffer, eds. Christliche Philosophie im katholischen Denken des 19. und 20. Jahrhunderts, v. 2: Rückgriff auf scholastisches Erbe. (Graz/Wien/Köln: 1988).
  • Coreth Emmerich, W. M. Neidl and G. Pfligersdorffer, eds. Christliche Philosophie im katholischen Denken des 19. und 20. Jahrhundert,v. 3: Moderne Strömungen im 20. Jahrhundert (Graz/Wien/Köln: 1990).
  • Donneaud, Henry, O.P, “Etienne Gilson et Maurice Blondel dans le débat sur la philosophie chrétienne”, Revue Thomiste. vol. 99, p. 497-516
  • English, Adam C. The Possibility of Christian Philosophy : Maurice Blondel at the Intersection of Theology and Philosophy. (New York : Routledge. 2007)
  • Forest, Aimé. “Deux historiens de la philosophie”in Philosophe de la chrétienité. (Paris: Cerf. 1949)
  • Forest, Aimé. “‘La philosophie du Moyen Age’ d’après M. Emile Bréhier”, Revue de Métaphysique et de la Morale (1939).
  • Floucat, Yves. Métaphysique et religion. Vers une sagesse chrétienne intégrale (Paris: Téqui 1989).
  • Floucat, Yves. Pour une philosophie chrétienne: élements d’un débat fondamental (Paris: Téqui. 1983)
  • Gouhier, Henri. “Digression sur la philosophie à propos de la philosophie chrétienne”, Recherches Philosophiques, vol. 3, p. 211-236 (1933).
  • Gouhier, Henri. Etienne Gilson: Trois Essais: Bergson, La philosophie chrétienne, l’art. (Paris: Vrin. 1993)
  • Gouhier, Henri.  La philosophie et son histoire. (Paris: Vrin. 1947)
  • Gouhier, Henri.  “De l’histoire de la Philosophie à la Philosophie” in Etienne Gilson: Philosophe de la chrétienité. (Paris: Cerf. 1949)
  • Gouhier, Henri.  “Philosophie chrétienne et théologie”, Revue Philosophique de la France et de l’étranger, vol.125, p. 23-65 (1938).
  • Hayen, André. “Philosophie de conversion – philosophie du converti”, L’ami du Clergé, no. 46, p. 705-12. Translated as “Philosophy of the Converted – Philosophy of Conversion: Blondel and Maritain,” Philosophy Today, vol. 6, no. 2, p. 283-94.
  • Henrici, Peter. Aufbrüche christlichen Denkens (Einsiedeln: Johannes 1978)
  • Henrici, Peter. “Der Beitrag christlichen Philosophierens heute”, in Die Philosophie in der modernen Welt. Gedenkschrift Alwin Diemer, ed. U. Hinke-Dürnemann (Frankfurt: Peter Lang. 1988) p. 819-31.
  • Henrici, Peter. “Der Gott der Philosophen”, Internationale Katholische Zeitschrift Communio, v. 17
  • Henrici, Peter. “Philosophieren aus dem Glauben: Hundert Jahre nach Aeterni Patris,” Zeitschrift für katholische Theologie, vol. 103, p. 361-73.
  • Henrici, Peter. “The One Who Went Unnamed: Maurice Blondel in the Encyclical Fides et Ratio, Communio, vol. 26, p. 609-621.
  • Copleston, Frederick Charles, S.J. History of Philosophy, vol. 9: Maine De Biran to Sartre (Mahwah, N.J.: Paulist Press. 1975)
  • Copleston, Frederick Charles, S.J. “The One Who Went Unnamed: Maurice Blondel in the Encyclical Fides et Ratio, Communio, vol. 26, p. 609-621.
  • Jordan, Mark D., “The Terms of the Debate over ‘Christian Philosophy,’” Communio: International Catholic Review, vol. 12, p. 293-311.
  • Livi, Antonio. Blondel, Bréhier, Gilson, Maritain: il problema della filosofia cristiana. (Bolonia: Patron. 1974)
  • Long, Fiachra. “The Blondel-Gilson Correspondence through Foucault’s Mirror” Philosophy Today, vol. 35, no. 4, p. 351-361.
  • Maydieu, Jean-Joseph, “Le bilan d’un débat philosophique: réflexions sur la philosophie chrétienne,” Bulletin de Littérature Ecclésiastique, no. 9-10, p. 193-22 (1935).
  • McInerny, Ralph. Art and Prudence: Studies in the Thought of Jacques Maritain. (Notre Dame: University of Notre Dame Press. 1988)
  • McInerny, Ralph. “John Paul II and Christian Philosophy,” in John Paul II: Witness to Truth : Proceedings from the Twenty-Third Annual Convention of the Fellowship of Catholic Scholars. Kenneth Whitehead, ed., p. 113-25.
  • McInerny, Ralph. Praeambula Fidei: Thomism and the God of the Philosophers. (Washington D.C.: Catholic University of America Press. 2006)
  • McInerny, Ralph. “Reflections on Christian Philosophy,” in One Hundred Years of Thomism: Aeterni Patris and Afterwards. A Symposium Victor B Bresik, C.S.B., ed. (Houston: Center for Thomistic Studies. 1981).
  • Nédoncelle, Maurice, Existe-t-il une philosophie chrétienne? (Paris: Fayard. 1957), translated as Is There a Christian Philosophy? (Hawthorn Books. 1960)
  • Owens, Joseph. “Neo-Thomism and Christian Philosophy” in Thomistic Papers, v. 6.
  • Owens, Joseph. “The Need for Christian Philosophy,”Faith and Philosophy, vol 11, no 2.
  • Owens, Joseph. Towards a Christian Philosophy. (Washington D.C.: CUA Press. 1990).
  • Peperzak, Adriaan T. Philosophy Between Faith and Theology: Addresses To Catholic Intellectuals. (Notre Dame: University of Notre Dame Press. 2005)
  • Peperzak, Adriaan T. Reason In Faith: On the Relevance of Christian Spirituality for Philosophy (New York: Paulist Press. 1999)
  • Prouvost, Gery. Catholicité de l’intelligence métaphysique : La philosophie dans la foi selon Jacques Maritain (Paris: Tequi. 1991)
  • Renard, Alex, La Querelle sur la possibilité de la philosophie chrétienne: essai documentaire et critique (Paris: Editions Ecole et College. 1941).
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Author Information

Greg Sadler
Email: greg@reasonio.com
Marist College and ReasonIO
U. S. A.

Naturalism

Naturalism is an approach to philosophical problems that interprets them as tractable through the methods of the empirical sciences or at least, without a distinctively a priori project of theorizing. For much of the history of philosophy it has been widely held that philosophy involved a distinctive method, and could achieve knowledge distinct from that attained by the special sciences. Thus, metaphysics and epistemology have often jointly occupied a position of “first philosophy,” laying the necessary grounds for the understanding of reality and the justification of knowledge claims. Naturalism rejects philosophy’s claim to that special status. Whether in epistemology, ethics, philosophy of mind, philosophy of language, or other areas, naturalism seeks to show that philosophical problems as traditionally conceived are ill-formulated and can be solved or displaced by appropriately naturalistic methods. Naturalism often assigns a key role to the methods and results of the empirical sciences, and sometimes aspires to reductionism and physicalism. However, there are many versions of naturalism and some are explicitly non-scientistic. What they share is a repudiation of the view of philosophy as exclusively a priori theorizing concerned with a distinctively philosophical set of questions.

Naturalistic thinking has a long history, but it has been especially prominent since the last decades of the twentieth century, and its influence is felt all across philosophy. This article looks at why and in what ways it is prominent and describes some of the most influential versions of naturalism.

Table of Contents

  1. Introduction
  2. Basic Elements of Naturalism Concerning Reality and Knowledge
    1. What There Is
    2. How We Know
  3. Naturalism in Various Versions and Various Contexts
    1. Naturalism in Ethics
    2. Naturalism in the Philosophy of Mind
  4. Overview of the Debate About Naturalism
    1. Conclusion
  5. References and Further Reading

1. Introduction

“Naturalism” is a term that is applied to many doctrines and positions in philosophy, and in fact, just how it is to be defined is itself a matter of philosophical debate. Still, the overall landscape of naturalism can be surveyed, and that is what we will do here. This discussion will not present a defense or critique of one or another specific version of naturalism. Its aim is to characterize the broad range of views typically identified as naturalistic and to say something about what motivates them. It will also locate the debate about naturalism in the larger setting of philosophical inquiry and theorizing overall.

Different periods in the history of philosophy exhibit different emphases in what are the most prominent and pressing concerns, and there are reasons why different issues are at the forefront at different times. In antiquity, basic questions about the constitution of reality motivated various conceptions about the material substance of things, about whether that substance is material, and about the relation between matter and whatever else might be constitutive of reality. Views ranged from variants of (recognizably naturalistic) materialism to those that included decidedly non-materialist and non-naturalist elements, such as Platonism and Aristotelianism. During the Medieval Period, debates over the status of universals and the nature of the intellect, the will, and the soul were especially central. In large part, this had to do with their significance for issues in natural theology. Also, questions concerning the relation between soul and body and whether and how the soul survives the death of the body were prominent. This was because of their significance for the individuation of persons, the possibility and nature of immortality, and for the nature of providence. These families of issues were prominent in all three of the great Western religious traditions. They are though, enduring philosophical questions. Many of them have roots in the Classical tradition.

In the Early Modern Period debates about the respective roles of reason and the senses in knowledge were especially prominent. They had long been important, but there was a revived interest in skepticism and the possibility of knowledge. Also, debates concerning determinism and free will attained high visibility. In both cases, the explanation had to do, in part, with the impact of dramatic developments in scientific theorizing. Those developments led to large-scale revisions in the conceptions of many things, including human nature and human action. In the twentieth century a focus on questions of meaning and semantic issues played a role in many different philosophical movements (from logical positivism to ordinary language philosophy). It was widely thought that linguistic approaches might untie some age-old philosophical knots.

The main problems of philosophy have not really changed over time, but there are differences in what motivates certain formulations of them and ways of addressing them. Since the Early Modern Period, the methods and the results of the sciences are again playing an increasingly important role in motivating new philosophical conceptions, and indeed, overall conceptions of philosophy itself. Various versions and defenses of naturalism are currently at the center of many philosophical debates. Naturalism is a philosophical view, but one according to which philosophy is not a distinct mode of inquiry with its own problems and its own special body of (possible) knowledge. According to many naturalists, philosophy is a certain sort of reflective attention to the sciences and it is continuous with them. They maintain that this is so not only in the sense that philosophy’s problems are motivated by the sciences, but also in that its methods are not fundamentally distinct. It might be said that the sciences afford us a more systematic, rigorous, and explanatory conception of the world than is supplied by common sense. In turn, we might say that philosophy is motivated by, and remains connected to the scientific conception of the world. There may be ways in which the scientific conception dramatically departs from common sense, but it is rooted in experience and the questions that arise at the level of common sense. Similarly, according to many defenders of naturalism, philosophy is not discontinuous with science. While it attains a kind of generality of conceptions and explanations that is perhaps not attained by the special sciences, it is not an essentially different inquiry. There are no separate philosophical problems that need to be addressed in a distinctive manner. Moreover, philosophy does not yield results that are different in content and kind from what could be attained by the sciences. Thus, in being a view about the world, naturalism is also a view about the nature of philosophy.

It is worthy of remark that while the sources of naturalism go back a very long way in Western philosophy, it has been especially prominent in philosophy in America. The pragmatist tradition, in which philosophers such as C. S. Peirce, William James, John Dewey, W. V. O. Quine, and Richard Rorty are key figures, has been crucial to the development of recent and contemporary naturalism. (There are other key figures in the American pragmatist tradition less clearly associated with its naturalist dimension. In recent years Nelson Goodman [1978; 1979] and Hilary Putnam [1981] are examples.) There is a naturalistic cast to a great deal of pragmatist thought in a number of respects. It regards the general skeptical problem in epistemology as less than genuine. (We will see the significance of this below.) It closely ties meaning to experiential consequences, and it closely ties truth to methods of inquiry and the practical consequences of belief. Also, it often emphasizes the public or social and non-a priori character of inquiry (in contrast to the ego-situated method described by René Descartes, for example). It is anti-foundational, anti-skeptical, and fallibilist. It tends to put a great deal of weight on the accessibility to scientific resolution of genuine intellectual problems. In the American pragmatist tradition there is a wide spectrum of views, of course. But it is an outstanding example of a significant, modern, and still evolving tradition with significant naturalistic currents running in it. Peirce and other American pragmatists have influenced a great deal of recent philosophy of many types. As a result, they are beginning to be more thoroughly studied, after having been widely neglected for several decades.

At numerous places in this discussion we will see that the affirmation of science as the only genuine approach to acquiring knowledge is often a feature of naturalism. However, naturalism is not always narrowly scientistic. There are versions of naturalism that repudiate supernaturalism and various types of a priori theorizing without exclusively championing the natural sciences.

2. Basic Elements of Naturalism Concerning Reality and Knowledge

The debate about naturalism ranges across many areas of philosophy, including metaphysics, epistemology, ethics, and philosophy of mind, just to mention areas where it is especially prominent. There are two basic dimensions in which the debate takes place. One of them concerns (to put it simply) what there is, and the other concerns methods of acquiring belief and knowledge. There are several affiliated issues (supervenience, objectivity, various realism/antirealism debates, the character of norms of epistemic justification, the theory of meaning, and so forth) but they are all connected through those two main concerns.

a. What There Is

With respect to the first, the naturalist maintains that all of what there is belongs to the natural world. Obviously, a great deal turns on how nature is understood. But the key point is that an accurate, adequate conception of the world does not (according to the naturalist) include reference to supernatural entities or agencies. According to the naturalist, there are no Platonic forms, Cartesian mental substances, Kantian noumena, or any other agents, powers, or entities that do not (in some broad sense) belong to nature. As a very loose characterization, it may suffice to say that nature is the order of things accessible to us through observation and the methods of the empirical sciences. If some other method, such as a priori theorizing, is needed to have access to the alleged entity or to the truth in question, then it is not a real entity or a genuine truth. According to the naturalist, there is only the natural order. If something is postulated or claimed to exist, but is not described in the vocabulary that describes natural phenomena, and not studied by the inquiries that study natural phenomena, it is not something we should recognize as real.

Unsurprisingly, the success of the sciences has been one of the main motivations for thinkers to embrace naturalism. The sciences have proved to be powerful tools for making the world intelligible. They seem to have such a strong claim to yield genuine knowledge that it is widely thought that whatever there is, is a proper object of science. That does not require that in embracing naturalism one also embrace determinism, physicalism, and reductionism. (However, it is true that many advocates of some or all of those are also very often naturalists.) While those specific theses about the structure or character of the world are not essential features of naturalism, many who endorse naturalism believe that over time scientific progress will make the case for physicalism, in particular. Even if, for example, attempts to provide fully reductive accounts of mental phenomena, certain biological phenomena, and values do not succeed, that would not be an insurmountable impediment to physicalism; or, at least that is the view of some defenders of naturalism. There is only the physical natural order, even if there are various constituents and aspects of it that are to be described in their own non-reducible vocabularies.

Naturalism could be said to involve a denial that there is any distinctively metaphysical area of inquiry. Thus, even if one’s preferred interpretation of naturalism is not reductionist or even physicalist (in a non-reductionist form), naturalism is a conception of reality as homogeneous in the sense that there is one natural order that comprises all of reality. There are no objects or properties that can only be identified or comprehended by metaphysical theorizing or non-empirical understanding. What exactly is the true theory of that single natural order may remain open to dispute. The key points are that our conception of reality need include nothing that is exclusively accessible to a priori theorizing, or to “first philosophy,” and there is only one natural order.

b. How We Know

For naturalistic epistemology, the main claim is roughly the following: the acquisition of belief and knowledge is a (broadly) causal process within the natural order, and a priori norms, principles, and methods are not essential to the acquisition or justification of beliefs and knowledge. Compare David Hume and Descartes, for example. Hume explains our acceptance of beliefs on the basis of habits of association—causal tendencies that we can reflectively articulate into rules of epistemic practice. There are processes of belief acquisition and acceptance, but they are not underwritten by principles formulated a priori, nor are they structured by such principles. Epistemology is part of the overall science of human nature. It is not a project that is prior to or independent of the empirical sciences. There are norms of belief acceptance and of inquiry, but they are derived from consideration of experience and practice. (Here too, there is also an important point of contrast with Kant and also with the Platonic theory of knowledge as recollection of innate ideas, as well as with Descartes.)

Descartes held that the norms and method of belief acceptance must be independent of experience, and must have their grounds in reason alone. Otherwise, they would be vulnerable to exactly the sorts of skeptical objections that led to the search for epistemic principles in the first place. Even if one does not defend rationalism or a conception of the synthetic a priori, one might still think (as most philosophers have) that there are certain distinctively philosophical epistemological issues that can be dealt with only by distinctively philosophical (that is, a priori) methods. Hume and Descartes’ positions are rather like bookends, and there are many other, less “pure” or radical positions, in between theirs. But they are excellent examples of a causal-empirical approach on the one hand and a rationalist-a priori normative approach on the other.

There is a vast contemporary literature on the extent to which epistemology can be naturalized and what a naturalized epistemology would or should look like. At the core of the controversy is whether we need a philosophical theory in order to understand knowledge or epistemic justification, or is the so-called “problem of knowledge” really just another (broadly) empirical problem. If it is, then perhaps it can be addressed by the methods of the sciences (psychology, linguistics, neuroscience, cognitive science, etc.). This is not just the same as the debate between rationalists and empiricists, though it is related to it. It is open to an empiricist to argue that there are analytic truths that are known just by consideration of their meanings, and that this knowledge is not explicable in exclusively naturalistic terms. Similarly, if there are conceptual truths or logical truths that are not explicated in naturalistic terms, then that could be an important part of an empiricism that is not also a variant of naturalism. Still, there are some affinities between empiricism and naturalism that make them plausible candidates for having close relations.

Most epistemological theories are not as purely rationalistic as Descartes’. Also, though Kant’s influence has been enormous, there are few contemporary theorists who accept the conception of synthetic a priori knowledge on the basis of Kant’s transcendental idealism. Nonetheless, many epistemologists argue that fundamental issues concerning skepticism and the nature of epistemic justification cannot be successfully handled by the resources of naturalism. Or, they argue that they can only be handled in a question begging way by those resources. On the other hand, naturalists insist that there is nothing for a priori epistemology to be. Unless epistemology remains fully grounded in and tethered to the practices of scientific inquiry and the results they yield, it is cut off from the only sorts of evidence and strategies of explanation that can be conclusively vindicated or confirmed.

Recent decades have seen the development of not only different versions of naturalized epistemology, but also different overall approaches to it. One of the key distinctions is between what are sometimes called “replacement” theories and theories that develop naturalistic accounts of epistemic justification instead of repudiating the traditional epistemological project. The former are attempts to abandon the normative issue of epistemic justification. They substitute for it a more fully descriptive and causal account of our beliefs.

For example, at some points in his career, Quine openly rejected the traditional project of justification (at least as he construed it). He sought to fully assimilate epistemology to psychology (broadly construed), making it a part of empirical science, rather than a special inquiry that might underwrite scientific knowledge claims. He held that we should abandon (as hopeless) the project of identifying epistemically privileged foundational beliefs and inferring other beliefs from them, via a priori rules. Moreover, there is no clean break between supposed analytic truths on the one hand and synthetic truths on the other, and there is no realm of meanings distinct from linguistic behavior and the rest of behavior that it is embedded in. The philosophical distinction between truths of meaning and truths of fact does not reflect a genuine, explanatorily significant distinction. Like the entire project of a priori epistemology, it is a misrepresentation of what the actual problems of knowledge are. Also, while Hume had shown that there is no a priori justification of inductive inference, Quine maintained that that does not leave us with a profound skeptical difficulty. Rather, we are to examine and adjust our inductive practices in light of what we find to be empirically effective and supported without first (or ever) requiring that they be justified on non-empirical grounds. There is no “first philosophy” that underwrites science.

Other defenders of naturalistic epistemology, such as Alvin Goldman (1979; 1986), have developed causal accounts of justified beliefs or of knowledge, but still regard the philosophical project of epistemology as a genuine project, though it is to be carried out with naturalistic resources. We still are to speak in terms of beliefs being justified. In that respect there are versions of naturalism that continue to regard epistemology as involving normative considerations about belief and knowledge. Also, if we ascertain what is involved in beliefs being caused by reliable processes, we can deflect or defeat various general skeptical challenges. Those can be taken seriously, but naturalism can meet them. In meeting them, we will have attained substantive conditions of justification, but without requiring that they be accessible to a cognitive agent in order to be fulfilled. The causality of justified beliefs is one thing; whether an agent can articulate grounds for his beliefs is another. Justification can be explicated in non-epistemic terms, in terms of processes that are reliably truth-conducive. The problems of epistemology admit of naturalistic solutions, but need not repudiate the problems as unwelcome and less than genuine philosophical artifice.

Both the more and the less radical approaches share the central claim that the correct account of knowledge is in terms of reliable processes of belief-acquisition that are themselves explicated in empirical, and mainly causal, terms. The true beliefs of cognitive subjects, we might say, are one type of phenomenon that occurs in the natural world. We need not leave the latter in order to explain the former. There is no stand-alone problem of epistemic justification, requiring its own distinctive vocabulary and evidential considerations. Epistemic value, we might say, can be interpreted in terms of naturalistic facts and properties.

3. Naturalism in Various Versions and Various Contexts

On the basis of the discussion so far, it might appear that naturalism is more or less a type of scientism, the view that only the methods of the sciences are legitimate in seeking knowledge, and that only the things recognized by the sciences as real are real. There are indeed naturalists who hold that view, but it is not a necessary feature of naturalism. As noted at the outset, there is considerable debate over what sorts of views should be recognized as naturalistic. There are theorists who wish to identify their views and approaches as naturalistic without embracing reductionist physicalism. There are also some approaches that can plausibly be described as naturalistic that are quite self-consciously anti-scientistic. In particular, there are philosophers who have been influenced by the later work of Ludwig Wittgenstein (1953) who regard their general approach as naturalistic, though it is just as critical of scientism as it is of traditional metaphysics.

This is not to say that Wittgenstein was deliberately making a case for naturalism. Rather, because of his emphasis on the importance of looking at actual practice, the significance of the wider social context of practices, and the avoidance of a priori theorizing, his work can be seen as having features of naturalism. Like G. E. Moore before him, Wittgenstein argued that the refutation of skeptical hypotheses is not required in order to succeed in making knowledge claims, and that we have knowledge of the external world without first proving that such knowledge is possible. Moreover, Wittgenstein rejected the view that there is some single, global method (including the scientific method) for arriving at a true account of the world, and his approach is explicitly oriented to honoring the differences between contexts. This is evident in his discussion of language games, for example. His philosophical explorations are anti-reductionist. They disavow any attempt to capture and explain everything in the terms of some overall theory within one or another special science. He vigorously opposed the attempt to force phenomena to “fit” some preferred theory or vocabulary. Indeed, in some important ways, his work is anti-theoretical without being anti-philosophical. (The same might be said of Thomas Reid [1785] in the eighteenth century. It is also plausible to regard his views as naturalistic in important respects. One can see this especially in contrast to Kant, for example.)

If it is appropriate to describe this approach as naturalistic it is because of the ways in which Wittgenstein insisted that philosophical examination should look closely at the facts and should avoid theorizing about them in ways that lead to a large scale reconceiving of them or to postulation of entities, agencies, and processes. Very often the truth is disclosed by looking carefully, rather than by discovering something “behind” or distinct from what we encounter in experience. There is not some order of the “really real” or a transcendent order beyond what we meet with in the natural world. Yet, this does not mean that only a narrowly scientific understanding of it is a correct understanding. That sort of view itself would be an example of an overly restrictive approach that misrepresents the world and our understanding of it.

In addition, Wittgenstein was especially concerned to understand normative issues (such as the normativity involved in the use of concepts and in engaging in various practices) without explaining them away or reducing them to something non-normative. There are important normative issues even in contexts where we are not directly investigating questions concerning values. All sorts of practices, including various kinds of thinking and the use of language, have normative dimensions. Their normativity cannot be reduced to the occurrence of this or that event, or state, or causal process. For example, there may be no specific physical or psychological state or process that underlies or causally explains how a person is able to go on applying a concept to new cases, and to use a term in indefinitely many new situations, and to do so correctly in ways that are understood by others. That might mean that there is an irreducible normativity involved in the use of concepts and terms. There is nothing metaphysically exotic about that. It does not indicate that there are special normative entities or properties in addition to the practices and activities in question. There just is the normative, but natural activity of speaking, understanding, and making judgments. These are altogether familiar to all of us. If we want to understand what makes for the correct use of a term, for example, we should look at the way that it is used rather than look for some other fact or entity underlying its use. There is no special realm of meanings, or a thinking substance that grasps them, or a world of universals outside of space and time that is grasped by thought. (It is noteworthy that Plato understood the forms to be not only real, but normative realities.)

Many approaches to meaning, to the explication of inference and thought in general, and to the acquisition of concepts that have been influenced by Wittgenstein (see Wittgenstein on meaning), are naturalistic in an anti-metaphysical regard and in their close descriptive attention to the actual facts and natural and social contexts of the phenomena at issue. Traditional, central, philosophical debates, such as those between realism and nominalism in regard to universals, are purportedly deflated by Wittgensteinian approaches. That makes it plausible to regard them as naturalistic in at least a broad sense, though there is a very wide spectrum of Wittgenstein-influenced views and of Wittgenstein interpretation. Many different “-isms” can be interpretively connected to Wittgenstein’s work. Some Wittgensteinians and interpreters of Wittgenstein seem to support antirealism and nominalism. Others present views plausibly described as realist, but in a distinctively Wittgensteinian way. The range of Wittgenstein-influenced views is so wide, in large part, because he refused to be drawn into the use of many of the prevailing formulations of issues.

Wittgensteinian approaches have been very influential in the philosophy of social explanation, an area in which there has long been a debate about whether the methods of the natural sciences are appropriate to the kinds of phenomena it is claimed are uniquely encountered in social explanation. This is a place where we can see the breadth of the field of interpretation of naturalism. In one sense, Wittgensteinian approaches are naturalistic, in the ways described. At the same time, they are decidedly not naturalistic, if by “naturalism” we mean that the categories, concepts, and methods of the natural sciences are the only ones that are needed to explain whatever there is.

There are some affinities between Wittgenstein and some currents in American pragmatism with respect to the emphasis on the importance of the shared, public world for understanding language and the significance of practices. In particular, recent work by Richard Rorty (1979; 1982) has been important in drawing attention to that tradition and reinvigorating pragmatism in a post-Wittgensteinian context. His views and others like them have also attracted a great deal of criticism, reinvigorating debates about the interpretation and plausibility of naturalism. At the center of the debate is the issue of whether there are enduring philosophical problems about the nature of reality, and truth, and about value, for example, or just the more concrete, contingent, but still significant problems that individuals and societies encounter in the business of living.

As might be expected, many naturalistic thinkers feel discomfort at being grouped with Wittgenstein under the same heading. They regard his approach as unscientific and as much more permissive in regard to interpretation than more empirically fastidious approaches can accept. Still, it is plausible to regard at least some of Wittgenstein’s views as naturalistic even though they constitute a version of naturalism that differs from others in important respects.

a. Naturalism in Ethics

Ethics is a context in which there are important non-scientistic versions of naturalism. For example, there are respects in which neo-Aristotelian virtue ethics can be regarded as naturalistic. It does not involve a non-natural source or realm of moral value, as does Kant’s ethical theory, or Plato’s or Moore’s. For Aristotle, judgments of what are goods for a human being are based upon considerations about human capacities, propensities, and the conditions for successful human activity of various kinds. Thus, while it is not a scientistic conception of human agency or moral value, it also contrasts clearly with many clearly non-naturalistic conceptions of agency and moral value. Central to the view are the notions that there are goods proper to human nature and that the virtues are excellent states of character enabling an agent to act well and realize those goods. This can be construed as naturalism in that many defenders of the view, especially recent ones, have argued that familiar versions of the so-called “fact-value distinction” are seriously mistaken. Correlatively, they have argued that the distinction between descriptive meaning and evaluative meaning is mistaken. Their view is that various types of factual considerations have ethical significance—not as a non-natural supervening property, and not merely expressively or projectively. The agent with virtues is able to acknowledge and appreciate the ethical significance of factual considerations, and act upon them accordingly.

While it is apt to call this “naturalism,” it is quite different from some paradigmatic examples of moral naturalism, such as the hedonistic utilitarianism of John Stuart Mill. Mill attempted to explain moral value in non-moral (naturalistic) terms—in terms of what people desire for its own sake and what they find pleasing. He sought to do this without any non-empirical assumptions or commitments about what people should desire, or what are proper goods for human beings. (He tried to make distinctions between inferior and superior pleasures on an empirical basis independent of antecedent normative commitments.) This is an attempt to demystify moral value by showing that it can be explained (even if not outright defined) in terms of facts and properties that are themselves non-moral and accessible to observation and the methods of the sciences. Other theorists, whether or not they accept Mill’s conception of what in fact has moral value, have pursued the project of theorizing in the same general direction in so far as they wish to show that moral values can be understood in terms of natural (including social) facts and properties.

In some respects, this is analogous to showing how, say, biological phenomena are explicable in physico-chemical terms. There are theories of moral value according to which it is constituted by, supervenes upon, or is defined in terms of non-moral, natural facts and properties. (Each is a different account of the relation between the moral and the non-moral. They are not simply different ways of saying the same thing.) This does not turn moral thought into a department of natural science, but it does mean that the explanation of what moral thought is about may very well depend extensively upon scientific methods. There may be regular and even law-like relations between non-moral facts and properties on the one hand, and moral facts and properties on the other. It may be that moral concepts are not entailed by or reducible to non-moral ones, but moral values have no independent ontological standing and are not essentially different in kind from natural phenomena in the way that Moore, for example, understood them to be. At the same time, moral values are real, and there are moral facts. The evaluative meaning of moral judgments is not merely expressive (see non-cognitivism in ethics). Moral judgments report moral facts, and moral claims are literally true or false. There are numerous versions of naturalistic moral realism.

There are other versions of ethical naturalism that owe much more to Hume and make the case for antirealism rather than realism. It was central to Hume’s moral theory that there are no value-entities or special faculties for perceiving or knowing them. According to Hume, moral value and moral motivation are to be explained in terms of facts about human sensibility. In this type of view, moral judgments are to be interpreted projectively, but they are also to be regarded as having all the form and force of cognitive discourse. On the one hand, commitment to objective values (with all of their alleged metaphysical and epistemological difficulties) is avoided. On the other hand, there is ample scope for moral argument, for critical assessment of moral views, and for regarding moral language as having much richer meaning than just being emotive in a person-relative way. The learning of moral concepts, the practice of reason-giving, and the adjustment of moral beliefs that we take to be part of moral experience and practice really are parts of it, though their genuineness does not depend upon there being moral facts or objective values. All that is needed is a common human sensibility and our propensity to make action-guiding judgments. To defenders of this approach, naturalism is not a way of explaining away moral values, or translating moral language into non-moral language. Instead it is the project of explaining all that moral values can be, in terms of sensibility, and showing how that is sufficient for full-fledged morality. It may be instructive to interpret this account of moral thought and discourse as analogous to Hume’s treatment of causal thought and discourse. There too, he severely criticized realist interpretations, but he also sought to show that his account could preserve the significance and the form of causal claims and causal reasoning. In that regard, the Humean approach can be said to explain moral judgments and causal judgments, rather than explaining them away.

Some Humean-influenced views of morality put weight on the role of evolutionary explanations. They can be important to the story of how there came to be creatures with morally relevant sentiments and moral concern, and also why certain kinds of cooperative and coordinated behavior—certain types of moral behavior—well-serve us as a species, and are regarded by us as valuable. That does not mean that we are “naturally” moral, but that naturalistic explanations are central to the account of the possibility and character of morality. The Humean-influenced approach (of which there are many variants) to meta-ethics is not reductive naturalism, but it certainly seems to count as a type of naturalism. And, as we have noted, special argumentation is needed to show why naturalism would have to be reductive.

There are also versions of evolutionary ethics that are not much influenced by Hume. Ethical theories strongly influenced by evolutionary thinking but without ties to Hume’s philosophy were developed in the latter half of the nineteenth century and the first half of the twentieth. Some were crude variants of Social Darwinism, but others were sophisticated attempts to show the naturalistic origin and ground of ethical value and practice. (Thomas Henry Huxley [1893] is a good example of a subtle, sophisticated nineteenth century exponent of the role of evolution in ethics.) In recent decades there have been important developments in this tradition, incorporating knowledge of genetics and animal behavior and its physiological bases.

In general terms, evolutionary ethics attempts to show that the attitudes, motives, and practices that are part and parcel of ethical life are to be accounted for in terms of how they are adaptive. Virtues, vices, moral rules and principles, and so forth do not have an independent standing, or a basis in a priori reasoning. Moral values are not detected by a quasi-perceptual moral sense or by a faculty of intuition. This does not mean that morally significant behavior is robotic or uninfluenced by judgment and reasoning. Rather, the point is that needs are met by certain dispositions, susceptibilities, and behaviors, and the presence of those things themselves is explicable in terms of selective advantage in the struggle for existence. Altruism and various patterns of coordinated behaviors are explained in terms of the biological benefits they confer. They enhance fitness. That there is morality and concern for moral issues at all are facts that can be accounted for in terms of an account of how we came to be, and came to be the sorts of animals we are in a process of natural selection. Defenders of this view argue that only if one thinks morality must have its source in God or reason would one find this threatening to morality. It does not subvert virtue, or render moral motivation something base or no more than an animal function, like digestion or excretion. Morality is a no less real or significant part of our lives, but it is in our lives at all, in the ways that it is, because of our evolutionary history. We need not look elsewhere.

b. Naturalism in the Philosophy of Mind

The philosophy of mind is another area in which naturalistic views have been prominent and highly controversial in recent times. Many theorists hold that the categories, concepts, and vocabulary needed to explain consciousness, experience, thought, and language are those of the natural sciences (and perhaps some of the social sciences, understood naturalistically). The impetus for this view comes from a number of directions, including developments in biological sciences, linguistics, artificial intelligence, and cognitive science. To many theorists it seems increasingly clear, or at least plausible, that the mind is as fully a part of nature as anything else. They hold that while the properties and processes of mental life may have distinctive features, (which, admittedly, may be especially difficult to study and to understand) they are not ultimately inexplicable by the methods of the sciences. The study of them is especially complicated because of the ways in which biochemical, physiological, social, developmental, and many other processes and events interact. But according to the naturalist, the mind is not “outside of nature.” It operates in accordance with principles fundamentally like those that govern other natural phenomena. Here again, the naturalist need not be a reductionist physicalist. The theorist of mind may be a non-reductionist physicalist (taking the view that the mental supervenes on the physical) or not take an explicit stand on physicalism one way or the other. Rather, the naturalist with respect to philosophy of mind may emphasize the claim that the study of the mind does not involve any methods other than those recognized in the various natural sciences. It requires no commitments to the existence of entities and properties other than those recognized in the sciences.

As before, Plato, Descartes, and Kant are excellent examples of non-naturalism concerning the mind. Their theories differ in important ways, but they all share the principle that the mind and its activities are not physical and are not governed by the laws of nature. This is not because of pre-scientific ignorance or lack of sophistication. It is because they found it virtually or literally incoherent that awareness, comprehension, and the activity of thought should just be part of what goes on in the natural order. Many theorists still find that incoherent. They argue that either the object of cognition is something non-natural, such as a state of affairs, or a proposition, or a universal (or a complex of instances of universals), or that cognition itself is something non-natural—or that both are. Thinking, the objects of thought, and the relations between them (which are often necessary relations, but not causally necessary relations) seem to be matters that are not susceptible to being rendered in naturalistic terms. (It may be that the objects of cognition are not exactly the same things as the objects of perception, which are natural objects and also artifacts made by human beings.) Indeed, even apart from disputes focused on naturalism these are some of the persistent, fundamental problems of philosophy of mind, and its relations to epistemology, metaphysics, and philosophy of language.

Modern critics of naturalism often point to (at least) two especially significant problem areas for naturalism. One of them concerns how a naturalistic conception of mind is to handle intentional states—states such as belief, desire, hope, fear, and others that have objects. These are expressed in the form, “X believes that…” or “X hopes that…” and so forth. These are states that are about something. Many mental states are intentional in this way, and this feature of being about something seems to be distinctive of mental states. A state of temperature, or a quantity, or a positive or negative charge, or a valence, or combustion, or the suppression of an immunological response is not about something. These and other states, events, and processes have causes (and effects) but do not have objects. They are not directed at anything in the way that many mental states are. There are difficult questions concerning the nature of intentionality and also the nature and status of the objects of intentional states. Are the latter propositions, or states of affairs, or something else? Many mental states (such as belief) seem to be representational. How is representation to be understood?

A second issue is the following. Is understanding the meaning of a sentence, or the grasp of a mathematical truth, or the grasp of other sorts of necessary truths (as in logic) something that can be exhaustively explained in terms confined to the language of the natural sciences and its referents? In addition to questions about how thought has intentional objects and about the objects of thought, there are questions about the form and structure of thought and whether they are susceptible to naturalistic treatment. Is the necessity of logical validity something that can be completely accounted for in causal-empirical terms? Are relations between concepts supervenient upon, or explicable in terms of, relations between events? Are they resistant to assimilation into natural causal processes, even if they are dependent upon them? (There are analogies here to the issue of epistemic justification and the status of moral values, which too may be dependent upon naturalistic phenomena, though not simply “nothing but” naturalistic phenomena.)

The insistence that the mind is not a separate substance is not sufficient to make for naturalism about the mind. Similarly, insisting that we can only learn language and develop cognitive abilities because of the way we have evolved is not enough to underwrite naturalism. It is not a view only about what is relevant to explain or understand a certain range of phenomena. It is a view about what is sufficient to do so. Substance dualism is very much out of favor, but it is hardly the only alternative to naturalism with regard to the mind. In this context, as in the other contexts, there is a broad range of views, many of them naturalistic, many of them not. It is not as though there is a single, prevailing naturalistic theory of mind. The debate about what naturalism about the mind should look like remains very much open and ongoing.

4. Overview of the Debate About Naturalism

The debate about naturalism remains so very much alive and so complex. Much of it concerns just how narrowly or broadly to construe naturalism and how open it should be to the form and content of what is accepted as belonging to science. What if our best understanding of the sciences indicates that reductionism is at best “local,” confined to certain areas, and there is no single, fundamental level of description in which all scientific truths can be expressed? And what if the interpretation of the “physical” is expanded to include supervenient properties, including mental properties, and moral values? Would that be a defeat for naturalism, or only for certain versions of it? Or, suppose a theorist claimed that philosophy could dispense with a priori theorizing or with attempts to arrive at highly general theories altogether (the theory of knowledge, the theory of morality, the theory of meaning, etc.), say, in the manner of the later Wittgenstein? Would that rejection of “first philosophy” and the search for foundations or essences constitute a kind of naturalism? We can imagine a defender of that approach answering in the affirmative, and other self-avowed naturalists finding that inappropriate and misleading. In their view naturalism requires certain quite specific commitments about what there is and how it can be known or explained.

This does not mean that the debate about naturalism is merely or mainly verbal. There are significant, substantive issues involved. Some of them concern just how naturalism is to be interpreted, and some of them concern the truth of naturalism in one or another area. These are not matters of stipulation, but difficult, complex issues. In trying to resolve them there is considerable traffic back and forth between philosophical theorizing and empirical science. One could, for example, be a naturalist about moral value, but not a “global” naturalist, a naturalist about all things. Moral theorizing has some important relations with epistemology, metaphysics, and philosophy of mind, but one need not tackle all of those issues and relations at once in order to assess the claims of naturalism in one area. Or, at least that appears to be a workable approach. At the same time, part of the appeal of naturalism is its potentially global scope. It has the apparent merit of providing a single, or at least integrated overall account of what there is, and what it is like, and how it works—including the actions, experiences, and thoughts of rational animals.

a. Conclusion

Totalizing views have often had considerable appeal to philosophers. Such views promise to make the world intelligible with a single array of fundamental concepts. They purport to overcome the perplexities attending views in which the world is ultimately heterogeneous, with objects, properties, and processes of fundamentally different kinds, belonging to different categories. Objective idealism such as Hegel’s is one sort of totalizing view, and so is global naturalism, though the two are radically different from each other. Spinoza’s metaphysical theory according to which there is just one substance is another totalizing view, and so is phenomenalism, in its own way. Each is an attempt to produce the widest and most thorough intelligibility by identifying a small number of basic categories and principles through which things can be understood.

It is understandable that a great deal of philosophical theorizing should have a tendency to be reductionist or to seek a “privileged” vocabulary for describing the ultimate constituents of reality or the basic activities or processes that govern it. After all, many philosophers conceive the project of philosophy to include the task of articulating an account of the most general features of reality, knowledge, value, and so forth. In one respect, naturalism resists that tendency, in so far as it rejects the project of a priori theorizing as hopeless, irrelevant, or obsolete. Given the guiding intellectual disposition of naturalism, it seems that it would countenance as real whatever the progress of (empirical) enquiry indicates is required for complete explanations. It would be open to what is found. Rather than fashioning a completely general and abstract conception of reality, it focuses on the substantive explanations and theories that are developed in specific areas of inquiry. According to naturalism, if philosophy becomes detached from those, it is mere theory-building and does not afford us real understanding.

In another respect though, naturalism is a decidedly philosophical approach and an entrant in the grand debate about what is the true global view. As noted above, naturalism is itself a philosophical view, though it claims to be a rejection of a great deal that historically has been distinctive of philosophy. Even if naturalism is articulated in strictly empirical terms, and strives to be scientific, we are still faced with the issue of whether strictly empirical terms are adequate to capture and express all that there is and all we can know. It is not as though naturalism can avoid questions about whether it is itself a true view, and all the associated concerns about how to interpret truth, and what would make it a true view. The issue of whether naturalism is true may be the sort of issue that is not clearly resolvable in exclusively naturalistic terms. At least it seems that the view that it can be, is itself a distinctively philosophical view. Once we begin to explore such questions, we are of course doing philosophy, even if our aim is to make the case for naturalism.

For critiques of naturalism, see the Social Science article.

5. References and Further Reading

This list indicates titles of selected sources and is not an attempt to be exhaustive. It includes some of the most relevant works of thinkers referred to in the article and also some important works by thinkers who are not named in the article.

  • Aristotle. Nicomachean Ethics.
  • Blackburn, Simon (1988). “How To be an Ethical Anti-realist,” Midwest Studies in Philosophy 12, pp. 361-375.
  • Blackburn, Simon (1998). Ruling Passions, Oxford University Press.
  • Churchland, P. M. (1988). Matter and Consciousness, MIT Press.
  • Descartes, René (1641). Meditations on First Philosophy.
  • Dewey, John (1920). Reconstruction in Philosophy, N.Y.: Henry Holt and Company.
  • Dewey, John (1925). Experience and Nature, Chicago: Open Court.
  • Foot, Philippa (2003). Natural Goodness, Oxford University Press.
  • Gibbard, Alan (1990). Wise Choices, Apt Feelings: A Theory of Normative Judgment, Oxford University Press.
  • Goldman, Alvin (1979) “What is Justified Belief?” in George S. Pappas Justification and Knowledge Dordrecht, pp. 1-23.
  • Goldman, Alvin (1986). Epistemology and Cognition, Harvard University Press
  • Goodman, Nelson (1978). Ways of Worldmaking, Hackett Publishing Company.
  • Goodman, Nelson (1979). Fact, Fiction, and Forecast, Harvard University Press.
  • Hume, David (1748). An Enquiry Concerning Human Understanding.
  • Hume, David (1751). An Enquiry Concerning the Principles of Morals.
  • Huxley, Thomas Henry (1893). Evolution and Ethics, Pilot Press.
  • Jackson, Frank (1982). “Epiphenomenal Qualia” The Philosophical Quarterly, Vol. 32, No. 127 April, pp. 127-136.
  • James, William (1907/1979). Pragmatism: A New Name for Some Old Ways of Thinking, Cambridge, MA: Harvard University Press, 1979 (originally published in 1907).
  • Kant, Immanuel (1781/87). Critique of Pure Reason, Werner Pluhar (trans.), Indianapolis: Hackett, 1996. (First edition originally published in 1781, second edition in 1787.)
  • Kant, Immanuel (1783). Prolegomena to Any Future Metaphysics, Gary Hatfield (trans.), New York: Cambridge University Press, 1997 (originally published in1783).
  • Kim, Jaegwon: “What Is ‘Naturalized Epistemology’?” Philosophical Perspectives 2, James E. Tomberlin (ed.), Asascadero, CA: Ridgeview Publishing Co., pp. 381-406.
  • Kornblith, Hilary, ed. (1985). Naturalizing Epistemology, MIT Press.
  • McDowell, John (1995). “Two Sorts of Naturalism” in Virtues and Reasons: Philippa Foot and Moral Theory, Rosalind Hursthouse, Gavin Lawrence, and Warren Quinn (eds.), Oxford: Clarendon Press, pp. 149-79.
  • McDowell, John (1996). Mind and World, Harvard University Press.
  • Mill, John Stuart (1861/1998). Utilitarianism, Roger Crips (ed.), Oxford University Press. (Originally published in 1861).
  • Moore, G. E. (1925). “A Defense of Common Sense,” Contemporary British Philosophy (2nd series), ed. J. H. Muirhead. Reprinted in Moore (1959c).
  • Moore, G. E. (1959a). “Proof of the External World” Ch. 7 of Moore (1959b), pp. 126-148.
  • Moore, G. E. (1959b). Philosophical Papers. London: George, Allen and Unwin.
  • Peirce, Charles Sanders (1898/1992). Reasoning and the Logic of Things: The Cambridge Conference Lectures of 1898, Kenneth Laine Ketner (ed., intro.) and Hilary Putnam (intro., comm.), Harvard University Press, 1992.
  • Peirce, Charles Sanders (1903/1997). Pragmatism as a Principle and Method of Right Thinking: The 1903 Harvard Lectures on Pragmatism, Patricia Ann Turrisi (ed.), SUNY Press.
  • Plato. Republic.
  • Plato. Theaetetus.
  • Plato. Sophist.
  • Putnam, Hilary (1981). Reason, Truth and History, Cambridge University Press.
  • Quine, W. V. O. (1969a). “Epistemology Naturalized,” Ontological Relativity and Other Essays, New York: Columbia University Press.
  • Quine, W. V. O. (1969b). “Natural Kinds,”Ontological Relativity and Other Essays, New York: Columbia University Press.
  • Quine, W. V. O. (1990). Pursuit of Truth, Cambridge, Mass.: Harvard University Press.
  • Reid, Thomas (1785). Essays on the Intellectual Powers of Man.
  • Rorty, Richard (1979). Philosophy and the Mirror of Nature, Princeton University Press.
  • Rorty, Richard (1982). Consequences of Pragmatism, University of Minnesota Press.
  • Ruse, Michael (1986). Taking Darwin Seriously: A Naturalistic Approach to Philosophy, N.Y.: Blackwell.
  • Ruse, Michael & Wilson, E. O. (1985). “The Evolution of Ethics,” New Scientist 108, pp. 50-52.
  • Searle, John (1980). “Minds, Brains and Programs,” Behavioral and Brain Sciences 3, pp. 417-57.
  • Searle, John (1983). Intentionality: An Essay in the Philosophy of Mind. Cambridge University Press.
  • Trigg, Roger (1982). The Shaping of Man: Philosophical Aspects of Sociobiology, Oxford: Blackwell.
  • Wittgenstein, Ludwig (1953). Philosophical Investigations, New York: Macmillan.

Author Information

Jon Jacobs
Email: jojacobs@jjay.cuny.edu
Colgate University
U. S. A.

Philosophy of Law

law_scalesPhilosophy of law (or legal philosophy) is concerned with providing a general philosophical analysis of law and legal institutions. Issues in the field range from abstract conceptual questions about the nature of law and legal systems to normative questions about the relationship between law and morality and the justification for various legal institutions.

Topics in legal philosophy tend to be more abstract than related topics in political philosophy and applied ethics. For example, whereas the question of how properly to interpret the U.S. Constitution belongs to democratic theory (and hence falls under the heading of political philosophy), the analysis of legal interpretation falls under the heading of legal philosophy. Likewise, whereas the question of whether capital punishment is morally permissible falls under the heading of applied ethics, the question of whether the institution of punishment can be justified falls under the heading of legal philosophy.

There are roughly three categories into which the topics of legal philosophy fall: analytic jurisprudence, normative jurisprudence, and critical theories of law. Analytic jurisprudence involves providing an analysis of the essence of law so as to understand what differentiates it from other systems of norms, such as ethics. Normative jurisprudence involves the examination of normative, evaluative, and otherwise prescriptive issues about the law, such as restrictions on freedom, obligations to obey the law, and the grounds for punishment. Finally, critical theories of law, such as critical legal studies and feminist jurisprudence, challenge more traditional forms of legal philosophy.

Table of Contents

  1. Analytic Jurisprudence
    1. Natural Law Theory
    2. Legal Positivism
      1. The Conventionality Thesis
      2. The Social Fact Thesis
      3. The Separability Thesis
    3. Ronald Dworkin’s Third Theory
  2. Normative Jurisprudence
    1. Freedom and the Limits of Legitimate Law
      1. Legal Moralism
      2. Legal Paternalism
      3. The Offense Principle
    2. The Obligation to Obey Law
    3. The Justification of Punishment
  3. Critical Theories of Law
    1. Legal Realism
    2. Critical Legal Studies
    3. Law and Economics
    4. Outsider Jurisprudence
  4. References and Further Reading

1. Analytic Jurisprudence

The principal objective of analytic jurisprudence has traditionally been to provide an account of what distinguishes law as a system of norms from other systems of norms, such as ethical norms. As John Austin describes the project, analytic jurisprudence seeks “the essence or nature which is common to all laws that are properly so called” (Austin 1995, p. 11). Accordingly, analytic jurisprudence is concerned with providing necessary and sufficient conditions for the existence of law that distinguish law from non-law.

While this task is usually interpreted as an attempt to analyze the concepts of law and legal system, there is some confusion as to both the value and character of conceptual analysis in philosophy of law. As Brian Leiter (1998) points out, philosophy of law is one of the few philosophical disciplines that takes conceptual analysis as its principal concern; most other areas in philosophy have taken a naturalistic turn, incorporating the tools and methods of the sciences. To clarify the role of conceptual analysis in law, Brian Bix (1995) distinguishes a number of different purposes that can be served by conceptual claims:

  1. to track linguistic usage;
  2. to stipulate meanings;
  3. to explain what is important or essential about a class of objects; and
  4. to establish an evaluative test for the concept-word.

Bix takes conceptual analysis in law to be primarily concerned with (3) and (4).

In any event, conceptual analysis of law remains an important, if controversial, project in contemporary legal theory. Conceptual theories of law can be divided into two main headings: (a) those that affirm there is a conceptual relation between law and morality and (b) those that deny that there is such a relation. Nevertheless, Ronald Dworkin’s view is often characterized as a third theory partly because it is not clear where he stands on the question of whether there is a conceptual relation between law and morality.

a. Natural Law Theory

All forms of natural law theory subscribe to the Overlap Thesis, which is that there is a necessary relation between the concepts of law and morality. According to this view, then, the concept of law cannot be fully articulated without some reference to moral notions. Though the Overlap Thesis may seem unambiguous, there are a number of different ways in which it can be interpreted.

The strongest form of the Overlap Thesis underlies the classical naturalism of St. Thomas Aquinas and William Blackstone. As Blackstone describes the thesis:

This law of nature, being co-eval with mankind and dictated by God himself, is of course superior in obligation to any other. It is binding over all the globe, in all countries, and at all times: no human laws are of any validity, if contrary to this; and such of them as are valid derive all their force, and all their authority, mediately or immediately, from this original (1979, p. 41).

In this passage, Blackstone articulates the two claims that constitute the theoretical core of classical naturalism: 1) there can be no legally valid standards that conflict with the natural law; and 2) all valid laws derive what force and authority they have from the natural law. On this view, to paraphrase Augustine, an unjust law is no law at all.

Related to Blackstone’s classical naturalism is the neo-naturalism of John Finnis (1980). Finnis believes that the naturalism of Aquinas and Blackstone should not be construed as a conceptual account of the existence conditions for law. According to Finnis (see also Bix, 1996), the classical naturalists were not concerned with giving a conceptual account of legal validity; rather they were concerned with explaining the moral force of law: “the principles of natural law explain the obligatory force (in the fullest sense of “obligation”) of positive laws, even when those laws cannot be deduced from those principles” (Finnis 1980, pp. 23-24). On Finnis’s view of the Overlap Thesis, the essential function of law is to provide a justification for state coercion. Accordingly, an unjust law can be legally valid, but cannot provide an adequate justification for use of the state coercive power and is hence not obligatory in the fullest sense; thus, an unjust law fails to realize the moral ideals implicit in the concept of law. An unjust law, on this view, is legally binding, but is not fully law.

Lon Fuller (1964) rejects the idea that there are necessary moral constraints on the content of law. On Fuller’s view, law is necessarily subject to a procedural morality consisting of eight principles:

P1: the rules must be expressed in general terms;
P2: the rules must be publicly promulgated;
P3: the rules must be prospective in effect;
P4: the rules must be expressed in understandable terms;
P5: the rules must be consistent with one another;
P6: the rules must not require conduct beyond the powers of the affected parties;
P7: the rules must not be changed so frequently that the subject cannot rely on them; and
P8: the rules must be administered in a manner consistent with their wording.

On Fuller’s view, no system of rules that fails minimally to satisfy these principles of legality can achieve law’s essential purpose of achieving social order through the use of rules that guide behavior. A system of rules that fails to satisfy (P2) or (P4), for example, cannot guide behavior because people will not be able to determine what the rules require. Accordingly, Fuller concludes that his eight principles are “internal” to law in the sense that they are built into the existence conditions for law: “A total failure in any one of these eight directions does not simply result in a bad system of law; it results in something that is not properly called a legal system at all” (1964, p. 39).

b. Legal Positivism

Opposed to all forms of naturalism is legal positivism, which is roughly constituted by three theoretical commitments: (i) the Social Fact Thesis, (ii) the Conventionality Thesis, and (iii) the Separability Thesis. The Social Fact Thesis (which is also known as the Pedigree Thesis) asserts that it is a necessary truth that legal validity is ultimately a function of certain kinds of social facts. The Conventionality Thesis emphasizes law’s conventional nature, claiming that the social facts giving rise to legal validity are authoritative in virtue of some kind of social convention. The Separability Thesis, at the most general level, simply denies naturalism’s Overlap Thesis; according to the Separability Thesis, there is no conceptual overlap between the notions of law and morality.

i. The Conventionality Thesis

According to the Conventionality Thesis, it is a conceptual truth about law that legal validity can ultimately be explained in terms of criteria that are authoritative in virtue of some kind of social convention. Thus, for example, H.L.A. Hart (1996) believes the criteria of legal validity are contained in a rule of recognition that sets forth rules for creating, changing, and adjudicating law. On Hart’s view, the rule of recognition is authoritative in virtue of a convention among officials to regard its criteria as standards that govern their behavior as officials. While Joseph Raz does not appear to endorse Hart’s view about a master rule of recognition containing the criteria of validity, he also believes the validity criteria are authoritative only in virtue of a convention among officials.

ii. The Social Fact Thesis

The Social Fact Thesis asserts that legal validity is a function of certain social facts. Borrowing heavily from Jeremy Bentham, John Austin (1995) argues that the principal distinguishing feature of a legal system is the presence of a sovereign who is habitually obeyed by most people in the society, but not in the habit of obeying any determinate human superior. On Austin’s view, a rule R is legally valid (that is, is a law) in a society S if and only if R is commanded by the sovereign in S and is backed up with the threat of a sanction. The relevant social fact that confers validity, on Austin’s view, is promulgation by a sovereign willing to impose a sanction for noncompliance.

Hart takes a different view of the Social Fact Thesis. Hart believes that Austin’s theory accounts, at most, for one kind of rule: primary rules that require or prohibit certain kinds of behavior. On Hart’s view, Austin overlooked the presence of other primary rules that confer upon citizens the power to create, modify, and extinguish rights and obligations in other persons. As Hart points out, the rules governing the creation of contracts and wills cannot plausibly be characterized as restrictions on freedom that are backed by the threat of a sanction.

Most importantly, however, Hart argues Austin overlooks the existence of secondary meta-rules that have as their subject matter the primary rules themselves and distinguish full-blown legal systems from primitive systems of law:

[Secondary rules] may all be said to be on a different level from the primary rules, for they are all about such rules; in the sense that while primary rules are concerned with the actions that individuals must or must not do, these secondary rules are all concerned with the primary rules themselves. They specify the way in which the primary rules may be conclusively ascertained, introduced, eliminated, varied, and the fact of their violation conclusively determined (Hart 1994, p. 92).

Hart distinguishes three types of secondary rules that mark the transition from primitive forms of law to full-blown legal systems: (1) the rule of recognition, which “specif[ies] some feature or features possession of which by a suggested rule is taken as a conclusive affirmative indication that it is a rule of the group to be supported by the social pressure it exerts” (Hart 1994, p. 92); (2) the rule of change, which enables a society to add, remove, and modify valid rules; and (3) the rule of adjudication, which provides a mechanism for determining whether a valid rule has been violated. On Hart’s view, then, every society with a full-blown legal system necessarily has a rule of recognition that articulates criteria for legal validity that include provisions for making, changing and adjudicating law. Law is, to use Hart’s famous phrase, “the union of primary and secondary rules” (Hart 1994, p. 107).

According to Hart’s view of the Social Fact Thesis, then, a proposition P is legally valid in a society S if and only if it satisfies the criteria of validity contained in a rule of recognition that is binding in S. As we have seen, the Conventionality Thesis implies that a rule of recognition is binding in S only if there is a social convention among officials to treat it as defining standards of official behavior. Thus, on Hart’s view, “[the] rules of recognition specifying the criteria of legal validity and its rules of change and adjudication must be effectively accepted as common public standards of official behaviour by its officials” (Hart 1994, p. 113).

iii. The Separability Thesis

The final thesis comprising the foundation of legal positivism is the Separability Thesis. In its most general form, the Separability Thesis asserts that law and morality are conceptually distinct. This abstract formulation can be interpreted in a number of ways. For example, Klaus F¸þer (1996) interprets it as making a meta-level claim that the definition of law must be entirely free of moral notions. This interpretation implies that any reference to moral considerations in defining the related notions of law, legal validity, and legal system is inconsistent with the Separability Thesis.

More commonly, the Separability Thesis is interpreted as making only an object-level claim about the existence conditions for legal validity. As Hart describes it, the Separability Thesis is no more than the “simple contention that it is in no sense a necessary truth that laws reproduce or satisfy certain demands of morality, though in fact they have often done so” (Hart 1994, pp. 181-82). Insofar as the object-level interpretation of the Separability Thesis denies it is a necessary truth that there are moral constraints on legal validity, it implies the existence of a possible legal system in which there are no moral constraints on legal validity.

Though all positivists agree there are possible legal systems without moral constraints on legal validity, there are conflicting views on whether there are possible legal systems with such constraints. According to inclusive positivism (also known as incorporationism and soft positivism), it is possible for a society’s rule of recognition to incorporate moral constraints on the content of law. Prominent inclusive positivists include Jules Coleman and Hart, who maintains that “the rule of recognition may incorporate as criteria of legal validity conformity with moral principles or substantive values … such as the Sixteenth or Nineteenth Amendments to the United States Constitution respecting the establishment of religion or abridgements of the right to vote” (Hart 1994, p. 250).

In contrast, exclusive positivism (also called hard positivism) denies that a legal system can incorporate moral constraints on legal validity. Exclusive positivists like Raz (1979) subscribe to the Source Thesis, according to which the existence and content of law can always be determined by reference to its sources without recourse to moral argument. On this view, the sources of law include both the circumstances of its promulgation and relevant interpretative materials, such as court cases involving its application.

c. Ronald Dworkin’s Third Theory

Ronald Dworkin rejects positivism’s Social Fact Thesis on the ground that there are some legal standards the authority of which cannot be explained in terms of social facts. In deciding hard cases, for example, judges often invoke moral principles that Dworkin believes do not derive their legal authority from the social criteria of legality contained in a rule of recognition (Dworkin 1977, p. 40). Nevertheless, since judges are bound to consider such principles when relevant, they must be characterized as law. Thus, Dworkin concludes, “if we treat principles as law we must reject the positivists’ first tenet, that the law of a community is distinguished from other social standards by some test in the form of a master rule” (Dworkin 1977, p. 44).

Dworkin believes adjudication is and should be interpretive: “judges should decide hard cases by interpreting the political structure of their community in the following, perhaps special way: by trying to find the best justification they can find, in principles of political morality, for the structure as a whole, from the most profound constitutional rules and arrangements to the details of, for example, the private law of tort or contract” (Dworkin 1982, p. 165). There are, then, two elements of a successful interpretation. First, since an interpretation is successful insofar as it justifies the particular practices of a particular society, the interpretation must fit with those practices in the sense that it coheres with existing legal materials defining the practices. Second, since an interpretation provides a moral justification for those practices, it must present them in the best possible moral light. Thus, Dworkin argues, a judge should strive to interpret a case in roughly the following way:

A thoughtful judge might establish for himself, for example, a rough “threshold” of fit which any interpretation of data must meet in order to be “acceptable” on the dimension of fit, and then suppose that if more than one interpretation of some part of the law meets this threshold, the choice among these should be made, not through further and more precise comparisons between the two along that dimension, but by choosing the interpretation which is “substantively” better, that is, which better promotes the political ideals he thinks correct (Dworkin 1982, p. 171).

Accordingly, on Dworkin’s view, the legal authority of a binding principle derives from the contribution it makes to the best moral justification for a society’s legal practices considered as a whole. Thus, a legal principle maximally contributes to such a justification if and only if it satisfies two conditions:

  1. the principle coheres with existing legal materials; and
  2. the principle is the most morally attractive standard that satisfies (1).

The correct legal principle is the one that makes the law the moral best it can be.

In later writings, Dworkin expands the scope of his “constructivist” view beyond adjudication to encompass the realm of legal theory. Dworkin distinguishes conversational interpretation from artistic/creative interpretation and argues that the task of interpreting a social practice is more like artistic interpretation:

The most familiar occasion of interpretation is conversation. We interpret the sounds or marks another person makes in order to decide what he has said. Artistic interpretation is yet another: critics interpret poems and plays and paintings in order to defend some view of their meaning or theme or point. The form of interpretation we are studying-the interpretation of a social practice-is like artistic interpretation in this way: both aim to interpret something created by people as an entity distinct from them, rather than what people say, as in conversational interpretation” (Dworkin 1986, p. 50).

Artistic interpretation, like judicial interpretation, is constrained by the dimensions of fit and justification: “constructive interpretation is a matter of imposing purpose on an object or practice in order to make of it the best possible example of the form or genre to which it is taken to belong” (Dworkin 1986, p. 52).

On Dworkin’s view, the point of any general theory of law is to interpret a very complex set of related social practices that are “created by people as an entity distinct from them”; for this reason, Dworkin believes the project of putting together a general theory of law is inherently constructivist:

General theories of law must be abstract because they aim to interpret the main point and structure of legal practice, not some particular part or department of it. But for all their abstraction, they are constructive interpretations: they try to show legal practice as a whole in its best light, to achieve equilibrium between legal practice as they find it and the best justification of that practice. So no firm line divides jurisprudence from adjudication or any other aspect of legal practice (Dworkin 1986, p. 90).

Indeed, so tight is the relation between jurisprudence and adjudication, according to Dworkin, that jurisprudence is no more than the most general part of adjudication; thus, Dworkin concludes, “any judge’s opinion is itself a piece of legal philosophy” (Dworkin 1986, p. 90).

Accordingly, Dworkin rejects not only positivism’s Social Fact Thesis, but also what he takes to be its underlying presuppositions about legal theory. Hart distinguishes two perspectives from which a set of legal practices can be understood. A legal practice can be understood from the “internal” point of view of the person who accepts that practice as providing legitimate guides to conduct, as well as from the “external” point of view of the observer who wishes to understand the practice but does not accept it as being authoritative or legitimate.

Hart understands his theory of law to be both descriptive and general in the sense that it provides an account of fundamental features common to all legal systems-which presupposes a point of view that is external to all legal systems. For this reason, he regards his project as “a radically different enterprise from Dworkin’s conception of legal theory (or ‘jurisprudence’ as he often terms it) as in part evaluative and justificatory and as ‘addressed to a particular legal culture’, which is usually the theorist’s own and in Dworkin’s case is that of Anglo-American law” (Hart 1994, p. 240).

These remarks show Hart believes Dworkin’s theoretical objectives are fundamentally different from those of positivism, which, as a theory of analytic jurisprudence, is largely concerned with conceptual analysis. For his part, Dworkin conceives his work as conceptual but not in the same sense that Hart regards his work:

We all-at least all lawyers-share a concept of law and of legal right, and we contest different conceptions of that concept. Positivism defends a particular conception, and I have tried to defend a competing conception. We disagree about what legal rights are in much the same way as we philosophers who argue about justice disagree about what justice is. I concentrate on the details of a particular legal system with which I am especially familiar, not simply to show that positivism provides a poor account of that system, but to show that positivism provides a poor conception of the concept of a legal right (Dworkin 1977, 351-52).

These differences between Hart and Dworkin have led many legal philosophers, most recently Bix (1996), to suspect that they are not really taking inconsistent positions at all. Accordingly, there remains an issue as to whether Dworkin’s work should be construed as falling under the rubric of analytic jurisprudence.

2. Normative Jurisprudence

Normative jurisprudence involves normative, evaluative, and otherwise prescriptive questions about the law. Here we will examine three key issues: (a) when and to what extent laws can restrict the freedom of citizens, (b) the nature of one’s obligation to obey the law, and (c) the justification of punishment by law.

a. Freedom and the Limits of Legitimate Law

Laws limit human autonomy by restricting freedom. Criminal laws, for example, remove certain behaviors from the range of behavioral options by penalizing them with imprisonment and, in some cases, death. Likewise, civil laws require people to take certain precautions not to injure others and to honor their contracts. Given that human autonomy deserves prima facie moral respect, the question arises as to what are the limits of the state’s legitimate authority to restrict the freedom of its citizens.

John Stuart Mill provides the classic liberal answer in the form of the harm principle:

[T]he sole end for which mankind are warranted, individually or collectively, in interfering with the liberty of action of any of their number is self-protection. The only purpose for which power can rightfully be exercised over any member of a civilised community against his will is to prevent harm to others. His own good, either physical or moral, is not a sufficient warrant. Over himself, over his own body and mind, the individual is sovereign (Mill 1906, pp. 12-13).

While Mill left the notion of harm underdeveloped, he is most frequently taken to mean only physical harms and more extreme forms of psychological harm.

Though Mill’s view—or something like it—enjoys currency among the public, it has generated considerable controversy among philosophers of law and political philosophers. Many philosophers believe that Mill understates the limits of legitimate state authority over the individual, claiming that law may be used to enforce morality, to protect the individual from herself, and in some cases to protect individuals from offensive behavior.

i. Legal Moralism

Legal moralism is the view that the law can legitimately be used to prohibit behaviors that conflict with society’s collective moral judgments even when those behaviors do not result in physical or psychological harm to others. According to this view, a person’s freedom can legitimately be restricted simply because it conflicts with society’s collective morality; thus, legal moralism implies that it is permissible for the state to use its coercive power to enforce society’s collective morality.

The most famous legal moralist is Patrick Devlin, who argues that a shared morality is essential to the existence of a society:

[I]f men and women try to create a society in which there is no fundamental agreement about good and evil they will fail; if, having based it on common agreement, the agreement goes, the society will disintegrate. For society is not something that is kept together physically; it is held by the invisible bonds of common thought. If the bonds were too far relaxed the members would drift apart. A common morality is part of the bondage. The bondage is part of the price of society; and mankind, which needs society, must pay its price. (Devlin 1965, p. 10).

Insofar as human beings cannot lead a meaningful existence outside of society, it follows, on Devlin’s view, that the law can be used to preserve the shared morality as a means of preserving society itself.

H.L.A. Hart (1963) points out that Devlin overstates the extent to which preservation of a shared morality is necessary to the continuing existence of a society. Devlin attempts to conclude from the necessity of a shared social morality that it is permissible for the state to legislate sexual morality (in particular, to legislate against same-sex sexual relations), but Hart argues it is implausible to think that “deviation from accepted sexual morality, even by adults in private, is something which, like treason, threatens the existence of society” (Hart 1963, p. 50). While enforcement of certain social norms protecting life, safety, and property are likely essential to the existence of a society, a society can survive a diversity of behavior in many other areas of moral concern-as is evidenced by the controversies in the U.S. surrounding abortion and homosexuality.

ii. Legal Paternalism

Legal paternalism is the view that it is permissible for the state to legislate against what Mill calls “self-regarding actions” when necessary to prevent individuals from inflicting physical or severe emotional harm on themselves. As Gerald Dworkin describes it, a paternalist interference is an “interference with a person’s liberty of action justified by reasons referring exclusively to the welfare, good, happiness, needs, interests or values of the person being coerced” (G. Dworkin 1972, p. 65). Thus, for example, a law requiring use of a helmet when riding a motorcycle is a paternalistic interference insofar as it is justified by concerns for the safety of the rider.

Dworkin argues that Mill’s view that a person “cannot rightfully be compelled to do or forbear because it will be better for him” (Mill 1906, p. 13) precludes paternalistic legislation to which fully rational individuals would agree. According to Dworkin, there are goods, such as health and education, that any rational person needs to pursue her own good-no matter how that good is conceived. Thus, Dworkin concludes, the attainment of these basic goods can legitimately be promoted in certain circumstances by using the state’s coercive force.

Dworkin offers a hypothetical consent justification for his limited legal paternalism. On his view, there are a number of different situations in which fully rational adults would consent to paternalistic restrictions on freedom. For example, Dworkin believes a fully rational adult would consent to paternalistic restrictions to protect her from making decisions that are “far-reaching, potentially dangerous and irreversible” (G. Dworkin 1972, p. 80). Nevertheless, he argues that there are limits to legitimate paternalism: (1) the state must show that the behavior governed by the proposed restriction involves the sort of harm that a rational person would want to avoid; (2) on the calculations of a fully rational person, the potential harm outweighs the benefits of the relevant behavior; and (3) the proposed restriction is the least restrictive alternative for protecting against the harm.

iii. The Offense Principle

Joel Feinberg believes the harm principle does not provide sufficient protection against the wrongful behaviors of others, as it is inconsistent with many criminal prohibitions we take for granted as being justified. If the only legitimate use of the state coercive force is to protect people from harm caused by others, then statutes prohibiting public sex are impermissible because public sex might be offensive but it does not cause harm (in the Millian sense) to others.

Accordingly, Feinberg argues the harm principle must be augmented by the offense principle, which he defines as follows: “It is always a good reason in support of a proposed criminal prohibition that it would probably be an effective way of preventing serious offense (as opposed to injury or harm) to persons other than the actor, and that it is probably a necessary means to that end” (Feinberg 1985). By “offense,” Feinberg intends a subjective and objective element: the subjective element consists in the experience of an unpleasant mental state (for example, shame, disgust, anxiety, embarrassment); the objective element consists in the existence of a wrongful cause of such a mental state.

b. The Obligation to Obey Law

Natural law critics of positivism (for example, Fuller 1958) frequently complain that if positivism is correct, there cannot be a moral obligation to obey the law qua law (that is, to obey the law as such, no matter what the laws are, simply because it is the law). As Feinberg (1979) puts the point:

The positivist account of legal validity is hard to reconcile with the [claim] that valid law as such, no matter what its content, deserves our respect and general fidelity. Even if valid law is bad law, we have some obligation to obey it simply because it is law. But how can this be so if a law’s validity has nothing to do with its content?

The idea is this: if what is essential to law is just that there exist specified recipes for making law, then there cannot be a moral obligation to obey a rule simply because it is the law.

Contemporary positivists, for the most part, accept the idea that positivism is inconsistent with an obligation to obey law qua law (compare Himma 1998), but argue that the mere status of a norm as law cannot give rise to any moral obligation to obey that norm. While there might be a moral obligation to obey a particular law because of its moral content (for example, laws prohibiting murder) or because it solves a coordination problem (for example, laws requiring people to drive on the right side of the road), the mere fact that a rule is law does not provide a moral reason for doing what the law requires.

Indeed, arguments for the existence of even a prima facie obligation to obey law (that is, an obligation that can be outweighed by competing obligations) have largely been unsuccessful. Arguments in favor of an obligation to obey the law roughly fall into four categories: (1) arguments from gratitude; (2) arguments from fair play; (3) arguments from implied consent; and (4) arguments from general utility.

The argument from gratitude begins with the observation that all persons, even those who are worst off, derive some benefit from the state’s enforcement of the law. On this view, a person who accepts benefits from another person thereby incurs a duty of gratitude towards the benefactor. And the only plausible way to discharge this duty towards the government is to obey its laws. Nevertheless, as M.B.E. Smith points out (1973, p. 953), “if someone confers benefits on me without any consideration of whether I want them, and if he does this in order to advance some purpose other than promotion of my particular welfare, I have no obligation to be grateful towards him.” Since the state does not give citizens a choice with respect to such benefits, the mere enjoyment of them cannot give rise to a duty of gratitude.

John Rawls (1964) argues that there is a moral obligation to obey law qua law in societies in which there is a mutually beneficial and just scheme of social cooperation. What gives rise to a moral obligation to obey law qua law in such societies is a duty of fair play: fairness requires obedience of persons who intentionally accept the benefits made available in a society organized around a just scheme of mutually beneficial cooperation. There are a couple of problems here. First, Rawls’s argument does not establish the existence of a content-independent obligation to obey law; the obligation arises only in those societies that institutionalize a just scheme of social cooperation. Second, even in such societies, citizens are not presented with a genuine option to refuse those benefits. For example, I cannot avoid the benefits of laws ensuring clean air. But accepting benefits one is not in a position to refuse cannot give rise to an obligation of fair play.

The argument from consent grounds an obligation to obey law on some sort of implied promise. As is readily evident, we can voluntarily assume obligations by consenting to them or making a promise. Of course, most citizens never explicitly promise or consent to obey the laws; for this reason, proponents of this argument attempt to infer consent from such considerations as continued residence and acceptance of benefits from the state. Nevertheless, acceptance of benefits one cannot decline no more implies consent to obey law than it does duties of fair play or gratitude. Moreover, the prohibitive difficulties associated with emigration preclude an inference of consent from continued residence.

Finally, the argument from general utility grounds the duty to obey the law in the consequences of universal disobedience. Since, according to this argument, the consequences of general disobedience would be catastrophic, it is wrong for any individual to disobey the law; for no person may disobey the law unless everyone may do so. In response, Smith points out that this strategy of argument leads to absurdities: “We will have to maintain, for example, that there is a prima facie obligation not to eat dinner at five o’clock, for if everyone did so, certain essential services could not be maintained” (Smith 1973, p. 966).

c. The Justification of Punishment

Punishment is unique among putatively legitimate acts in that its point is to inflict discomfort on the recipient; an act that is incapable of causing a person minimal discomfort cannot be characterized as a punishment. In most contexts, the commission of an act for the purpose of inflicting discomfort is morally problematic because of its resemblance to torture. For this reason, institutional punishment requires a moral justification sufficient to distinguish it from other practices of purposely inflicting discomfort on other people.

Justifications for punishment typically take five forms: (1) retributive; (2) deterrence; (3) preventive; (4) rehabilitative; and (5) restitutionary. According to the retributive justification, what justifies punishing a person is that she committed an offense that deserves the punishment. On this view, it is morally appropriate that a person who has committed a wrongful act should suffer in proportion to the magnitude of her wrongdoing. The problem, however, is that the mere fact that someone is deserving of punishment does not imply it is morally permissible for the state to administer punishment; it would be wrong for me, for example, to punish someone else’s child even though her behavior might deserve it.

In contrast to the retributivist theories that look back to a person’s prior wrongful act as justification for punishment, utilitarian theories look forward to the beneficial consequences of punishing a person. There are three main lines of utilitarian reasoning. According to the deterrence justification, punishment of a wrongdoer is justified by the socially beneficial effects that it has on other persons. On this view, punishment deters wrongdoing by persons who would otherwise commit wrongful acts. The problem with the deterrence theory is that it justifies punishment of one person on the strength of the effects that it has on other persons. The idea that it is permissible to deliberately inflict discomfort on one person because doing so may have beneficial effects on the behavior of other persons appears inconsistent with the Kantian principle that it is wrong to use people as mere means.

The preventive justification argues that incarcerating a person for wrongful acts is justified insofar as it prevents that person from committing wrongful acts against society during the period of incarceration. The rehabilitative justification argues that punishment is justified in virtue of the effect that it has on the moral character of the offender. Each of these justifications suffers from the same flaw: prevention of crime and rehabilitation of the offender can be achieved without the deliberate infliction of discomfort that constitutes punishment. For example, prevention of crime might require detaining the offender, but it does not require detention in an environment that is as unpleasant as those typically found in prisons.

The restitutionary justification focuses on the effect of the offender’s wrongful act on the victim. Other theories of punishment conceptualize the wrongful act as an offense against society; the restitutionary theory sees wrongdoing as an offense against the victim. Thus, on this view, the principal purpose of punishment must be to make the victim whole to the extent that this can be done: “The point is not that the offender deserves to suffer; it is rather that the offended party desires compensation” (Barnett 1977, p. 289). Accordingly, a criminal convicted of wrongdoing should be sentenced to compensate her victim in proportion to the victim’s loss. The problem with the restitutionary theory is that it fails to distinguish between compensation and punishment. Compensatory objectives focus on the victim, while punitive objectives focus on the offender.

3. Critical Theories of Law

a. Legal Realism

The legal realist movement was inspired by John Chipman Gray and Oliver Wendall Holmes and reached its apex in the 1920s and 30s through the work of Karl Llewellyn, Jerome Frank, and Felix Cohen. The realists eschewed the conceptual approach of the positivists and naturalists in favor of an empirical analysis that sought to show how practicing judges really decide cases (see Leiter 1998). The realists were deeply skeptical of the ascendant notion that judicial legislation is a rarity. While not entirely rejecting the idea that judges can be constrained by rules, the realists maintained that judges create new law through the exercise of lawmaking discretion considerably more often than is commonly supposed. On their view, judicial decision is guided far more frequently by political and moral intuitions about the facts of the case (instead of by legal rules) than theories like positivism and naturalism acknowledge.

As an historical matter, legal realism arose in response to legal formalism, a particular model of legal reasoning that assimilates legal reasoning to syllogistic reasoning. According to the formalist model, the legal outcome (that is, the holding) logically follows from the legal rule (major premise) and a statement of the relevant facts (minor premise). Realists believe that formalism understates judicial lawmaking abilities insofar as it represents legal outcomes as entailed syllogistically by applicable rules and facts. For if legal outcomes are logically implied by propositions that bind judges, it follows that judges lack legal authority to reach conflicting outcomes.

Legal realism can roughly be characterized by the following claims:

  1. the class of available legal materials is insufficient to logically entail a unique legal outcome in most cases worth litigating at the appellate level (the Local Indeterminacy Thesis);
  2. in such cases, judges make new law in deciding legal disputes through the exercise of a lawmaking discretion (the Discretion Thesis); and
  3. judicial decisions in indeterminate cases are influenced by the judge’s political and moral convictions, not by legal considerations.

Though (3) is logically independent of (1) and (2), (1) seems to imply (2): insofar as judges decide legally indeterminate cases, they must be creating new law.

It is worth noting the relations between legal realism, formalism, and positivism. While formalism is often thought to be entailed by positivism, it turns out that legal realism is not only consistent with positivism, but also presupposes the truth of all three of positivism’s core theses. Indeed, the realist acknowledges that law is essentially the product of official activity, but believes that judicial lawmaking occurs more frequently than is commonly assumed. But the idea that law is essentially the product of official activity presupposes the truth of positivism’s Conventionality, Social Fact, and Separability theses. Though the preoccupations of the realists were empirical (that is, attempting to identify the psychological and sociological factors influencing judicial decision-making), their implicit conceptual commitments were decidedly positivistic in flavor.

b. Critical Legal Studies

The critical legal studies (CLS) movement attempts to expand the radical aspects of legal realism into a Marxist critique of mainstream liberal jurisprudence. CLS theorists believe the realists understate the extent of indeterminacy; whereas the realists believe that indeterminacy is local in the sense that it is confined to a certain class of cases, CLS theorists argue that law is radically (or globally) indeterminate in the sense that the class of available legal materials rarely, if ever, logically/causally entails a unique outcome.

CLS theorists emphasize the role of ideology in shaping the content of the law. On this view, the content of the law in liberal democracies necessarily reflects “ideological struggles among social factions in which competing conceptions of justice, goodness, and social and political life get compromised, truncated, vitiated, and adjusted” (Altman 1986, p. 221). The inevitable outcome of such struggles, on this view, is a profound inconsistency permeating the deepest layers of the law. It is this pervasive inconsistency that gives rise to radical indeterminacy in the law. For insofar as the law is inconsistent, a judge can justify any of a number of conflicting outcomes.

At the heart of the CLS critique of liberal jurisprudence is the idea that radical indeterminacy is inconsistent with liberal conceptions of legitimacy. According to these traditional liberal conceptions, the province of judges is to interpret, and not make, the law. For, on this view, democratic ideals imply that lawmaking must be left to legislators who, unlike appointed judges, are accountable to the electorate. But if law is radically indeterminate, then judges nearly always decide cases by making new law, which is inconsistent with liberal conceptions of the legitimate sources of lawmaking authority.

c. Law and Economics

The law and economics movement argues for the value of economic analysis in the law both as a description about how courts and legislators do behave and as a prescription for how such officials should behave. The legal economists, led by Richard Posner, argue that the content of many areas of the common law can be explained in terms of its tendency to maximize preferences:

[M]any areas of law, especially the great common law fields of property, torts, crimes, and contracts, bear the stamp of economic reasoning. It is not a refutation that few judicial opinions contain explicit references to economic concepts. Often the true grounds of decision are concealed rather than illuminated by the characteristic rhetoric of judicial opinions. Indeed, legal education consists primarily of learning to dig beneath the rhetorical surface to find those grounds, many of which may turn out to have an economic character (Posner 1992, p. 23).

Posner subscribes to the so-called efficiency theory of the common law, according to which “the common law is best (not perfectly) explained as a system for maximizing the wealth of society” (Posner 1992, p. 23).

More influential than Posner’s descriptive claims is his normative view that law should strive to maximize wealth. According to Posner, the proper goal of the statutory and common law is to promote wealth maximization, which can best be done by facilitating the mechanisms of the free market. Posner’s normative view combines elements of utilitarian analysis with a Kantian respect for autonomy. On the utilitarian side, markets tend to maximize wealth and the satisfaction of preferences. In a market transaction with no third-party effects, wealth is increased because all parties are made better off by the transaction-otherwise there would be no incentive to consummate the transaction-and no one is made worse off.

On the Kantian side, the law should facilitate market transactions because market transactions best reflect autonomous judgments about the value of individual preferences. At least ideally, individuals express and realize their preferences through mutually consensual market transactions consummated from positions of equal bargaining power. Thus, market transactions tend, ideally, to be both efficient (because they tend to maximize wealth without harmful third-party effects) and just (because all parties are consenting).

d. Outsider Jurisprudence

So-called “outsider jurisprudence” is concerned with providing an analysis of the ways in which law is structured to promote the interests of white males and to exclude females and persons of color. For example, one principal objective of feminist jurisprudence is to show how patriarchal assumptions have shaped the content of laws in a wide variety of areas: property, contract, criminal law, constitutional law, and the law of civil rights. Additionally, feminist scholars challenge traditional ideals of judicial decision-making according to which judges decide legal disputes by applying neutral rules in an impartial and objective fashion. Feminists have, of course, always questioned whether it is possible for judges to achieve an objective and impartial perspective, but now question whether the traditional model is even desirable.

Critical race theory is likewise concerned to point up the way in which assumptions of white supremacy have shaped the content of the law at the expense of persons of color. Additionally, critical race theorists show how the experience, concerns, values, and perspectives of persons of color are systematically excluded from mainstream discourse among practicing lawyers, judges, and legislators. Finally, such theorists attempt to show how assumptions about race are built into most liberal theories of law.

4. References and Further Reading

  • Andrew Altman (1986), “Legal Realism, Critical Legal Studies, and Dworkin,” Philosophy and Public Affairs, vol. 15, no. 2, pp. 205-236.
  • Thomas Aquinas (1988), On Law, Morality and Politics (Indianapolis: Hackett Publishing Co.).
  • John Austin (1977), Lectures on Jurisprudence and the Philosophy of Positive Law (St. Clair Shores, MI: Scholarly Press.
  • John Austin (1995), The Province of Jurisprudence Determined (Cambridge: Cambridge University Press).
  • Randy E. Barnett (1977), “Restitution: A New Paradigm of Criminal Justice,” Ethics, vol. 87, no. 4, pp. 279-301.
  • Jeremy Bentham (1988), A Fragment of Government (Cambridge: Cambridge University Press).
  • Jeremy Bentham (1970), Of Laws In General (London: Athlone Press).
  • Brian Bix (1995), “Conceptual Questions and Jurisprudence,” Legal Theory, vol. 1, no. 4 (December), pp. 465-479.
  • Brian Bix (1996a), Jurisprudence: Theory and Context (Boulder, CO: Westview Press).
  • Brian Bix (1996b), “Natural Law Theory,” in Dennis M. Patterson (ed.), A Companion to Philosophy of Law and Legal Theory (Cambridge: Blackwell Publishing Co.).
  • William Blackstone (1979), Commentaries on the Law of England (Chicago: The University of Chicago Press).
  • Jules L. Coleman (1989), “On the Relationship Between Law and Morality,” Ratio Juris, vol. 2, no. 1, pp. 66-78.
  • Jules L. Coleman (1982), “Negative and Positive Positivism,” 11 Journal of Legal Studies vol. 139, no. 1, pp. 139-164.
  • Jules L. Coleman (1996), “Authority and Reason,” in Robert P. George, The Autonomy of Law: Essays on Legal Positivism (Oxford: Clarendon Press), pp. 287-319.
  • Jules L. Coleman (1998), “Incorporationism, Conventionality and The Practical Difference Thesis,” Legal Theory, vol. 4, no. 4, pp. 381-426.
  • Jules L. Coleman and Jeffrie Murphy (1990), Philosophy of Law (Boulder, CO: Westview Press).
  • Kimberle Crenshaw, Neil Gotanda, Gary Peller, and Kendall Thomas, eds. (1995), Critical Race Theory: The Key Writings That Formed the Movement (New York: The New Press).
  • Patrick Devlin (1965), The Enforcement of Morals (Oxford: Oxford University Press).
  • Gerald Dworkin (1972), “Paternalism,” The Monist, vol. 56, pp. 64-84.
  • Ronald Dworkin (1978), Taking Rights Seriously (Cambridge: Harvard University Press).
  • Ronald Dworkin (1982), “‘Natural’ Law Revisited,” University of Florida Law Review vol. 34, no. 2, pp. 165-188.
  • Ronald Dworkin (1986), Law’s Empire (Cambridge: Harvard University Press).
  • Joel Feinberg (1985), Offense to Others (Oxford: Oxford University Press).
  • Joel Feinberg (1979), “Civil Disobedience in the Modern World,” Humanities in Review, vol. 2, pp. 37-60.
  • John Finnis (1980), Natural Law and Natural Rights (Oxford: Clarendon Press).
  • William Fisher, Morton Horovitz, and Thomas Reed, eds. (1993), American Legal Realism (New York: Oxford University Press).
  • Jerome Frank (1930), Law and the Modern Mind (New York: Brentano’s Publishing).
  • Lon L. Fuller (1964), The Morality of Law (New Haven, CT: Yale University Press).
  • Lon L. Fuller (1958), “Positivism and Fidelity to Law,” Harvard Law Review, vol. 71, no. 4, pp. 630-672 .
  • Klaus Füßer (1996), “Farewell to ‘Legal Positivism’: The Separation Thesis Unravelling,” in Robert P. George, The Autonomy of Law: Essays on Legal Positivism (Oxford: Clarendon Press), pp. 119-162.
  • John Chipman Gray (1921), The Nature and Source of Law (New York: Macmillan).
  • Kent Greenawalt (1987), Conflicts of Law and Morality (Oxford: Clarendon Press).
  • H.L.A. Hart (1994), The Concept of Law, 2nd Edition (Oxford: Oxford University Press).
  • H.L.A. Hart (1983), Essays in Jurisprudence and Philosophy (Oxford: Clarendon Press).
  • H.L.A. Hart (1963), Law, Liberty and Morality (Oxford: Oxford University Press).
  • Kenneth Einar Himma (1998), “Positivism, Naturalism, and the Obligation to Obey Law,” Southern Journal of Philosophy, vol. 36, no. 2, pp. 145-161.
  • Oliver Wendall Holmes (1898), “The Path of the Law,” Harvard Law Review, vol. 110, no. 5, pp. 991-1009 .
  • Brian Leiter (1998), “Naturalism and Naturalized Jurisprudence,” in Brian Bix (ed.), Analyzing Law: New Essays in Legal Theory (Oxford: Clarendon Press).
  • Brian Leiter, “Legal Realism,” in Dennis M. Patterson, ed. (1996), A Companion to Philosophy of Law and Legal Theory (Oxford: Blackwell Publishers).
  • John Stuart Mill (1906), On Liberty (New York: Alfred A. Knopf).
  • Michael Moore (1992), “Law as a Functional Kind,” in Robert P. George (ed.), Natural Law Theories: Contemporary Essays (Oxford: Clarendon Press).
  • Michael Moore, “The Moral Worth of Retribution,” in Ferdinand Schoeman, ed. (1987), Responsibility, Character, and the Emotions (Cambridge: Cambridge University Press).
  • Richard Posner (1992), Economic Analysis of Law, 4th Edition (Boston: Little, Brown, and Company).
  • John Rawls (1964), “Legal Obligation and the Duty of Fair Play,” in Sidney Hook (ed.), Law and Philosophy (New York: New York University Press), pp. 3-18.
  • Joseph Raz (1979), The Authority of Law: Essays on Law and Morality (Oxford: Clarendon Press).
  • Joseph Raz (1980), The Concept of a Legal System: An Introduction to the Theory of Legal Systems, Second Edition (Oxford: Clarendon Press).
  • Roger Shiner (1992), Norm and Nature (Oxford: Clarendon Press).
  • M.B.E. Smith (1973), “Do We have a Prima Facie Obligation to Obey the Law,” 82 Yale Law Journal 950-976.
  • Patricia Smith, ed. (1993), Feminist Jurisprudence (Oxford: Oxford University Press).
  • C.L. Ten (1987), Crime, Guilt, and Punishment (Oxford: Oxford University Press).
  • W.J. Waluchow (1994), Inclusive Legal Positivism (Oxford: Clarendon Press).

Author Information

Kenneth Einar Himma
Email: himma@spu.edu
Seattle Pacific University
U. S. A.

Feminist Jurisprudence

American feminist jurisprudence is the study of the construction and workings of the law from perspectives which foreground the implications of the law for women and women’s lives. This study includes law as a theoretical enterprise as well its practical and concrete effects in women’s lives. Further, it includes law as an academic discipline, and thus incorporates concerns regarding pedagogy and the influence of teachers. On all these levels, feminist scholars, lawyers, and activists raise questions about the meaning and the impact of law on women’s lives. Feminist jurisprudence seeks to analyze and redress more traditional legal theory and practice. It focuses on the ways in which law has been structured (sometimes unwittingly) that deny the experiences and needs of women. Feminist jurisprudence claims that patriarchy (the system of interconnected relations and institutions that oppress women) infuses the legal system and all its workings, and that this is an unacceptable state of affairs. Consequently, feminist jurisprudence is not politically neutral, but a normative approach, as expressed by philosopher Patricia Smith: “[F]eminist jurisprudence challenges basic legal categories and concepts rather than analyzing them as given. Feminist jurisprudence asks what is implied in traditional categories, distinctions, or concepts and rejects them if they imply the subordination of women. In this sense, feminist jurisprudence is normative and claims that traditional jurisprudence and law are implicitly normative as well” (Smith 1993, p. 10). Feminist jurisprudence sees the workings of law as thoroughly permeated by political and moral judgments about the worth of women and how women should be treated. These judgments are not commensurate with women’s understandings of themselves, nor even with traditional liberal conceptions of (moral and legal) equality and fairness.

Although feminist jurisprudence revolves around a number of questions and features a diversity of focus and approach, two characteristics are central to it. First, because the Anglo-American legal tradition is built on liberalism and its tenets, feminist jurisprudence tends to respond to liberalism in some way. The second characteristic is the goal of bringing the law and its practitioners to recognize that law as currently constructed does not acknowledge or respond to the needs of women, and must be changed. These two features can be seen in the major debates in current feminist jurisprudence, which range from questions of the proper perspective from which to understand the problems of the law, to questions of legal theory and practice.

Table of Contents

  1. Responding to Liberalism: Questions of Perspective
  2. Central Concerns: Questions of Theory and Practice
    1. Equality and Rights
    2. Understanding Harm
    3. The Processes of Adjudication
  3. Trajectories
  4. References and Further Reading

1. Responding to Liberalism: Questions of Perspective

As a critical theory, feminist jurisprudence responds to the current dominant understanding of legal thought, which is usually identified with the liberal Anglo-American tradition. (This tradition is represented by such authors as Hart 1961 and Dworkin 1977, 1986.) Two major branches of this tradition have been legal positivism, on the one hand, and natural law theory on the other. Feminist jurisprudence responds to both these branches of the American legal tradition by raising questions regarding their assumptions about the law, including:

  • that law is properly objective and thus must have recourse to objective rules or understandings at some level
  • that law is properly impartial, especially in that it is not to be tainted by the personal experience of any of its practitioners, particularly judges
  • that equality must function as a formal notion rather than a substantive one, such that in the eyes of the law, difference must be shown to be “relevant” in order to be admissible/visible
  • that law, when working properly, should be certain, and that the goal of lawmaking and legal decision-making is to gain certainty
  • that justice can be understood as a matter of procedures, such that a proper following of procedures can be understood as sufficient to rendering justice.

Each of these assumptions, although contested and debated, has remained a significant feature of the liberal tradition of legal understanding.

Feminist jurisprudence usually frames its responses to traditional legal thought in terms of whether or not the critic is maintaining some commitment to the tradition or some particular feature of it. This split in responses has been formulated in a number of different ways, according to the particular concerns they emphasize. The two formulations found most frequently in American feminist jurisprudence characterize the split either as the reformist/radical debate or as the sameness/difference debate. Within the reformist/radical debate, reformist feminists argue that the liberal tradition offers much that can be shaped to fit feminist hands and should be retained for all that it offers. These feminists approach jurisprudence with an eye to what needs to be changed within the system that already exists. Their work, then, is to gain entry into that system and use its own tools to construct a legal system which prevents the inequities of patriarchy from affecting justice.

Those who see the traditional system as either bankrupt or so problematic that it cannot be reshaped are often referred to as transformist or radical feminists. According to this approach, the corruption of the legal tradition by patriarchy is thought to be too deeply embedded to allow for any significant adjustments to the problems that women face. Feminists using this approach tend to argue that the legal system, either parts or as a whole, must be abandoned. They argue that liberal legal concepts, categories and processes must be rejected, and new ones put in place which can be free from the biases of the current system. Their work, then, is to craft the transformations that are necessary in legal theory and practice and to create a new legal system that can provide a more equitable justice.

Under the sameness/difference debate, the central concern for feminists is to understand the role of difference and how women’s needs must be figured before the law. Sameness feminists argue that to emphasize the differences between men and women is to weaken women’s abilities to gain access to the rights and protections that men have enjoyed. Their concern is that it is women’s difference that has been used to keep women from enjoying a legal status equal to men’s. Consequently, they see difference as a concept that must be de-emphasized. Sameness feminists work to highlight the ways in which women can be seen as the same as men, entitled to the same rights, protections, and privileges.

Difference feminists argue that (at least some of) the differences between men and women, as well as other types of difference such as race, age, and sexual orientation, are significant. These significant differences must be taken into account by the law in order for justice and equity to be achieved. What has been good law for men cannot simply be adopted by women, because women are not in fact the same as men. Women have different needs which require different legal remedies. The law must be made to recognize differences that are relevant to women’s lives, status and possibilities.

The two characterizations of the debate about what perspective is best for understanding the problems of the law do share some features. Those who argue a sameness position are often thought to fit, to some degree, with the reformist view. Difference feminists are seen as sharing much with radicals. The parallel between the two characterizations is that both argue over how much, if any, of the current legal system can and must be preserved and put to use in the service of feminist concerns. The two characterizations are not the same, but the important parallel between them allows for some generalization regarding the ways in which each is likely to respond to particular theoretical and substantive issues. However, while the two may reasonably be grouped for some purposes, they must not be conflated.

From these perspectives, feminist jurisprudence emphasizes two kinds of question: the theoretical and the substantive. These two kinds of question are, perhaps especially for feminists, deeply connected and overlapping. Discussions of central theoretical issues in feminist jurisprudence are punctuated by elaboration of the substantive issues with which they are intertwined.

2. Central Concerns: Questions of Theory and Practice

In asking theoretical questions, feminists are concerned with how to understand the law itself, its proper scope, legitimacy, and meaning. Many of these are the questions of traditional legal theory, but asked in the context of the feminist project: What is the proper moral foundation of the law, especially given that any answer depends on the moral principles of the dominant structure of the society? What is the meaning of rule of law, especially given that obedience to law has been an important part of the history of subjugation? What is the meaning of equality, especially in a world of diversity? What is the meaning of harm, especially in a world in which women, not men, are subjected by men to certain kinds of violence? How can adjudication of conflict be properly and fairly achieved, especially when not all persons are able to come to the adjudication process on a “level playing field”? What is the meaning of property, and how can women avoid being categorized as property? Is law the best and most appropriate channel for the resolution of conflict, especially given its traditional grounding in patriarchal goals and structures?

Although feminists have addressed all these questions and more, perhaps one issue stands out in many feminists’ eyes as a matter of special importance, encompassing as it does some aspect of many of the questions noted above. The issue that for many feminists is at the heart of concerns is that of equality and rights. Two others that may be considered nearly as central are problems of harm, and of the processes of adjudication.

a. Equality and Rights

Law works partly by drawing abstract guiding principles out of the specifics of the cases it adjudicates. On this abstract level, theoretical questions arise for feminist jurisprudence regarding equality and rights, including the following: what understanding of equality will make it possible for women to have control over their lives, in both the private and public spheres? What understanding of equality will provide an adequate grounding for the concept of rights, such that women’s rights can protect both their individual liberty and their identity as women?

In general, the feminist concern with equality involves the claim that equality must be understood not simply as a formal concept that functions rhetorically and legally. Equality must be a substantive concept which can actually make changes in the power structure and the relative power positions of men and women generally. Although equality is examined in a wide variety of specific applications, the major concern is the goal of making equality meaningful in the lives of women. But for many feminists, concerns with equality cannot be addressed without also attending to rights. Because the liberal tradition figures rights as the hallmark of equality, it is in terms of rights that we are expected to see ourselves as equals before the law. Further, rights discourse has structured both our understanding of equality, and our claims to it.

Examinations of equality are, therefore, often framed by particular substantive issues. For example, much feminist jurisprudence regarding equality is framed in terms of concerns about work. If women are equal, then how will this be expressed in workplace law and policy? One of the key issues in this field has been how to treat pregnancy in the workplace: Is it fair for women to have extended or paid leave for pregnancy and birthing? Under what circumstances, or limitations? Are women being given “special” rights if they have a right to such leave? The struggle over the proper understanding of pregnancy and work raises questions about whether women should be treated in such law as individuals or as a class. As individuals, it has seemed relatively easy for workplaces to claim that not all employees are given such leave, and thus that women who do not are being treated “equally”. One feminist strategy has been to attempt to revise such law to recognize the particular difference of women as a class. Herma Hill Kay, for example, argues that pregnancy can be seen as an episode which affects women’s ability to take advantage of opportunities in the workplace, and that pregnant workers must be protected against loss of equal opportunity during episodes of pregnancy. (Kay, 1985)

Concerns over pregnancy express the fundamental questions of the sameness/difference debate. The sameness position suggests difference should be erased to the greatest extent possible, because it has been used as a basis for discrimination. Difference proponents argue that pregnancy involves significant differences which should be seen as a linchpin of legal understanding. Does equality mean that women should wish to be treated exactly the same as men, or does it mean that women should wish to be treated differently, because their differences are such that same treatment cannot provide equity?

Feminists who argue that equality requires creating for women the same opportunities and rights which are currently available to men of the ruling class are bringing the reformist or sameness approach to bear. Approaches to rights and equality which focus on women’s individuality, emphasizing it in the way that law has done for men and requiring women to show that they are like men and thus may be treated like men, tend then to be reformist or sameness oriented. Because these approaches are seen as requiring that women become as much like men as possible, and that law treat women as it does men, they are often referred to as assimilationist.

Christine Littleton (Littleton, 1987) offers a further set of terms for approaches to understanding equality: symmetrical (paralleling reformist and sameness approaches) and asymmetrical (paralleling radical and difference approaches). This classification refers to how women and men are “located in society” with regard to issues, norms and rules. If a theorist sees men and women as sharing a location regarding an issue, then that theorist has a symmetrical approach; if not, then the approach is asymmetrical. Littleton classifies assimilationist approaches as symmetrical, along with what she calls the androgyny approach. The androgyny approach argues that men and women are very much alike, but that equality will require social institutions to pick a “mean” between the two, and apply that standard to all persons. This model is less frequently argued than the assimilation model.

There are also many radical and difference approaches to equality. What they share is the desire to avoid having to take on all that is questionable and/or undesirable about (society’s construction of) men in order to be considered equal before the law. Thus many radical approaches (although not all – MacKinnon, below, is an example of one which is not) emphasize similar questions and problems as difference approaches. How to recognize relevant difference, and what kind of difference law must be responsive to, is a crucial part of these feminist examinations of equality. Ann Scales, for example, argues that liberal/reformist approaches do not do enough to really make the changes that are necessary, because the problem in equality is a problem of understanding how domination works. We must learn to see how equality has formally been tied in to domination through the liberal framework. In her view, a certain kind of inequality needs to be recognized and worked with, rather than ignored or assimilated. (Scales, 1986)

Other difference/radical approaches include the special rights, accommodation, acceptance, and empowerment models. (Littleton, 1987) The special rights model suggests that justice requires our recognizing that equality is too easily understood as “sameness”, where men and women are not the same. Rights should be based on needs, and if women have needs that men do not, that should not limit their rights. The accommodation model asserts that differences which are not fundamental or biologically based should be treated under a symmetrical or assimilation model. But this leaves those differences which are fundamental (such as the ability to be pregnant) as differences which must be recognized in the law and accommodated by it.

Littleton’s own approach is expressed in the acceptance model. This argues that (gender) difference must be accepted, and that law should focus on the consequences of such differences, rather than the differences themselves. Although differences exist between men and women, equality should function to make these differences “costless” relative to each other. Equality should function to prevent women’s being penalized on the basis of their difference. Thus equality should require us to institute paid leave for pregnancy and birthing, and to guarantee women’s return to their jobs after birthing.

Empowerment models reject difference as irrelevant, and shift focus to levels of empowerment. Equality, then, is understood as what balances power for groups and individuals, and dismantles the ability of some to dominate others. This radical and asymmetrical view does not, however, fit well with the categorization of feminist positions in terms of sameness and difference. The empowerment model’s focus on domination and the ways in which power is distributed seems to represent a significant departure from the parallel suggested above. Thus some feminist jurists have suggested that it be understood as a separate approach. Judith Baer calls it simply the domination model of feminist jurisprudence. Catherine MacKinnon is one well-known scholar who holds this view. (MacKinnon, 1987) In her theorizing of pornography, for example, she focuses on the question of how power is used in pornography to maintain a structure of domination which belies the possibility of equality between men and women.

Feminist critiques of rights in general assert that rights have been apportioned based on notions of equality that deliberately exclude the needs of women. If rights are to be truly equal, they must be apportioned on a more equitable basis, informed by the experience of women and others previously excluded. Or, following MacKinnon or Patricia Williams (discussed below), rights must be apportioned based on how they empower those to whom they are granted. Feminist scholars debate the ground for understanding rights while working to create a foundation from which women can claim and exercise rights that will be meaningful in their lives.

b. Understanding Harm

Perhaps the most difficult question for feminist jurisprudence regarding the issue of harm is that of perspective: who defines and identifies harm in specific cases? Given that law has traditionally worked from a patriarchal perspective, it is perhaps not surprising that identifying harm to women has been problematic. A patriarchal system will benefit from a very stingy recognition of harms against women. Feminist jurisprudence, therefore, must examine the basic question, what is harm? It also must ask, what counts as harm in our legal system, and why? What has been excluded from definitions of harm that women need included, and how can such trends be overturned?

Three types of harm-causing actions that are typically and systematically directed against women have formed the background for discussion about what harm means, and what counts as harm: rape, sexual harassment, and battering. Until fairly recently (for example, before the legislative reform movements of the 1970s), some forms of these actions were not considered actionable offenses under the law. This was largely due to the history of understanding women not as independent and autonomous agents, but as property belonging to men (thus issues of the meaning of property are also crucial to understanding harm). Feminist jurisprudence has challenged this state of affairs. As a result, changes have been made in the laws regarding each of the three categories, although the effectiveness of these changes is widely disputed (see, e.g., Schulhofer 1998 for an excellent review of this law). At the very least, work by feminists has made it possible to speak of these harms by providing a vocabulary for them, by raising awareness about them, and by prosecuting them more frequently and with some success.

Discussions of rape attempt to answer many of the questions that apply to all three types of harm-causing actions. Cases of all three types give rise to similar problems that prevent women from being treated justly: blaming the victim; privileging the point of view of “the” agent, i.e., the male perpetrator; indicting the woman’s sexual history while ignoring the man’s history, whether sexual or violent. Underlying all these problems are assumptions about gender and agency which encourage the law to place responsibility for their own harm on women rather than on the men who cause it. Women have been believed to be mentally unstable or at least weak-minded, to be scheming and deceptive, and to have an improper motivation for making claims of harm against men. For these reasons, they tend to be seen as untrustworthy witnesses. Because they have been characterized as sexually insatiable and indiscriminate, they tend to be seen as deserving whatever harm they “provoke” from men. Corresponding assumptions about men’s rational superiority encourage their being seen as believable witnesses. At the same time, assumptions about men’s natural sexual needs are taken as justification for their violations of women. Feminist jurisprudence attempts to respond to these problems as double standards and matters of equality and rights.

Other issues of harm require different responses. Harm-causing actions tend to be defined in terms of external and observable characteristics (levels of force), of intention on the part of the agent (mens rea), and of the consent of the one harmed. Consequently, what is at issue is how law uses these criteria in determining both when harm has occurred and whether it is to be justified or excused. What feminist jurisprudence has found is that women and men frequently differ over the understanding of each of these criteria. But since it is a patriarchal understanding which grounds the law, women’s understandings tend not to be given a proper hearing.

In Susan Estrich’s discussion of rape (Estrich, 1987, 1987a), she claims that the mens rea criterion can be used to create either too much emphasis on the perpetrator’s intention, or too little. In either case, she believes the focus on this criterion makes evident the law’s lack of understanding of and concern for the harms women suffer. The law’s focus is to not wrongly punish men, which is achieved at the cost of not protecting women.

Further, Estrich argues that the force criterion is understood from a patriarchal perspective: force is seen as a matter of what “boys do in schoolyards.” This criterion figures force as a simple matter of the straightforward use of physical strength, or the use of implements of violence. But it ignores the kinds of force that are most frequently used in rape and other types of harm to women, such as psychological coercion. If the courts expect women to resist physical and psychological coercion in the same ways and at the same level that men do, then the courts impose an unreasonable expectation on the “reasonable” woman.

Regarding consent, Estrich explains that the courts have believed that if consent is given, then rape (or other harms) do not occur. This places responsibility on the one who has been harmed to show that she did not, in fact, consent. But patriarchal courts have held that only the strongest and most emphatic expression of non-consent functions as evidence. This means that in many cases, women have been said to have “consented” even though they were physically carried off by men and verbally expressed non-consent (Schulhofer 1998). Non-consent has not been easily proven unless the woman has been severely beaten, or unless a significant weapon (that is, gun or knife) was used, or death was threatened in a way that convinces the court. Thus what non-consent means for the court has been very different from what women themselves have said about (their) consent.

Robin West (West, 1988) argues along similar lines, claiming that women’s social training does not impart the same fundamental values that men’s training does. She theorizes that men value separation and autonomy to the point that they would physically fight, desperately, to maintain theirs. But because women value connection and relation most highly, they find it difficult to respond to physical violence with violence of their own. Violence destroys connection and relationship, which is what women are socialized to value most. This makes it difficult for women to respond to rape, and other harms, in a way which convinces masculine courts that they did not consent. Women’s definition and identification of these harms is very different from what the courts have so far constructed.

It is difficult to separate out some parts of the reformist or sameness and radical or difference approaches with regard to harm. In general, however, those who argue that current laws can be changed to adequately protect women have reformist or sameness views. Those arguing that the current definitions of harm simply cannot be revised sufficiently have radical or difference views. Thus Estrich, who concludes that we need to treat rape as we treat other kinds of crime which require nonconsent (theft, for example) could be considered a reformist view. Mary Lou Fellows and Bev Balos offer a similar analysis of how women’s perception of the harms of date rape can be accommodated in current law. This can be accomplished by the application of the heightened duty of care that exists already in the common law doctrine of confidential relationship. (Fellows and Balos, 1991) West’s argument, based on recognizing and responding to fundamental differences between men and women regarding harm, could be seen as a radical or difference view. MacKinnon’s analysis of sexual harassment, which focuses on the need for women to be empowered to define the harms against them, represents a dominance view on harms.

c. The Processes of Adjudication

Many feminist jurists challenge the processes of adjudication by raising questions about the neutrality or impartiality that such processes are assumed to embody. Neutrality is believed to function in the law in at least two ways. It is assumed to be built into the processes of the law, and it is assumed to be produced by those processes. Feminist jurisprudence challenges the first set of assumptions by raising questions about legal reasoning. It challenges the second by raising questions about how a law created and applied by partial and biased persons can itself be neutral. Thus feminist jurisprudence also raises the question of whether neutrality is a possible, or an appropriate, goal of the law.

As traditionally understood, neutrality in law is supposed to protect us from a number of ills. It protects from personal bias by insisting that judges, attorneys, law enforcement officers, etc., treat us not as people with specific characteristics, but as interchangeable subjects. We should be seen only in terms of certain specific actions and our intentions with regard to those specific actions. Officials are expected not to bring their personal biases to bear on those who come before them, and certain personal aspects of those brought before the law are not permitted to come under scrutiny. For example, if a judge personally believes that women are pathological liars, this is not supposed to influence his or her interpretation of any particular woman’s testimony. Similarly, no person’s race is supposed to influence any judge’s understanding of their case. Feminist jurisprudence challenges such claims to neutrality.

Neutrality in law is supposed to protect against ideological bias as well. It does this by taking a supposedly universal perspective on a case, rather than a particular perspective. This belief that law and its practitioners can see, and judge, from the “view from nowhere” has been criticized by feminist jurisprudence. Feminists claim that such complete objectivity seems not to be fully possible. They also argue that claiming such neutrality deflects attention away from the fact that a partial view – a masculinist view – is being presented as universal. Feminist jurisprudence, like most feminist theory, rejects the claim of law that it is a neutral practice, and instead points to the ways in which law is clearly not neutral.

One of the ways law is not neutral is through the individual people that work in law. Feminist jurisprudence argues that because there is no such thing as the “view from nowhere”, every understanding has a perspective. This perspective influences it, and provides an interpretive field for whatever matters of fact there may be. Since law is made, administered and enforced by people, and people must have a perspective, law must reflect those perspectives at least to some degree. Feminists tend to agree that to the extent that a practice or person is unaware of their own perspective, that perspective will more strongly influence their interpretations of the world. It is when we become aware of biases that we are able, through critical reflection, to reduce their influence and thus move toward a greater (although not a perfect) objectivity.

Another way that law is not neutral is in its content. Because it is made by people, many of whom have not critically examined their own standpoints, the content of law may be unfair or discriminatory. Such content would require officials to act in ways that are not impartial, or not fair. But even if law is written by those whose perspectives are relatively objective, our legislative system often imposes compromises on laws. Some compromises required to pass law may change or weaken its objectives in ways that prevent its functioning as intended. These criticisms show that the content of the law, affected by the contestations of our legislative system, may not be neutral. Further, it shows that the processes of the law do not guarantee the neutrality that they are assumed to do.

Neutrality is also assumed to be built into certain processes of the law, and in particular the processes of judicial reasoning. The traditional model of judicial decision-making relies on case law, which uses precedent and analogy to provide evidence and justification. Interpretation of statutes in prior cases provides precedent or rules. Courts then attempt to determine how the facts of current cases require one rule or another to be brought to bear. This way of making decisions has itself been thought to be neutral, and the formalities of due process that support it are thought to reinforce that neutrality. This feature of law, relying on past judgments to influence current and future ones, also makes it peculiarly resistant to change. For feminist jurisprudence, use of precedent allows the law to insulate itself against the critiques of outsiders, including women.

Use of precedent has been challenged by a feminist and non-feminist critiques, including the pragmatism of Margaret Radin (Radin, 1990) and Jerome Frank’s legal realism (Frank, 1963). Feminist jurisprudence responds to use of precedent by pointing out those areas which are most likely to be subject to sexist understandings. For example, case law that has derived from cases in which plaintiffs and defendants are men will assume that the circumstances for those men are simply the “normal” circumstances. Workplace law has frequently been challenged by feminist critics for this reason. The law assumes, based on cases in which the workplace was populated mainly by men, that everyone who works shares men’s circumstances. This assumption entails that workers are supported by a full-time homemaker, such that the burdens of home life and child rearing should not affect one’s ability to function efficiently in the workplace. But such assumptions work against women, who usually are supporting someone else in this way rather than being supported.

Reform and sameness feminists argue that case law is not a bad system but that reforms are needed to emphasize to the realities of women’s lives. Radical and difference feminists are more likely to argue that case law is itself a system that is too heavily entrenched in patriarchy to be maintained. Its reliance on precedent makes it too conservative a system of decision-making to be adequately brought to the service of feminism.

3. Trajectories

Although it seems that the sameness/difference and the reform/radical debates could create an impasse for feminists, some theorists believe that some combination of the two views can be more effective than either alone. Patricia Williams (Williams, 1991), for example, believes that rights can function as powerful liberatory tools for the traditionally disadvantaged. However, she also believes that in a racist society such as contemporary America, racial difference must be recognized because it creates disadvantage before the law. In this way, she claims that some features of the liberal tradition, like rights, need to be maintained for the liberatory work they can do. However, she argues that the liberal tradition of formal equality is damaging to historically marginalized groups. This aspect of law needs to be completely transformed.

As an example of the ways in which rights are still needed by the traditionally disadvantaged, she examines the relationship to rights that is enjoyed by a white male colleague. His sense of his rights is so entrenched that he sees them as creating distance between himself and others, and believes that rights should be played down. In contrast, Williams expresses her own relationship to rights, being a black woman, as much more tenuous. The history of American slavery, under which black Americans were literally owned by whites, makes it difficult for both blacks and whites to figure blacks as empowered by rights in the same ways that whites are.

This example shows how Williams weaves together important elements of both reform and radical positions, and at the same time includes the element of empowerment that is seen in dominance positions. She claims that for blacks, and for any traditionally disadvantaged group, rights are a significant part of a program of advancement. One’s relationship to rights depends on who one is, and how one is empowered by one’s society and law. For those whose rights are already guaranteed, what may be necessary for social change is to challenge the power of rights rhetoric for one’s group. But for those whose rights have never been secure, this will not look like the best course of action. Williams’ suggestion is that we recognize that rights and rights rhetoric function differently in different settings and for different people. But this, then, is a response which relies on the radical and difference premise that difference must in fact be attended to rather than elided. In order that rights be made effective for historically marginalized people, we must first see that they do not in fact function for all people in the way that they do for those they were created for.

Another approach to drawing the two sides of the debate in feminist jurisprudence together is offered by Judith Baer, whose claim is that feminist jurisprudence to date has failed to either reform or transform law because feminists in both camps have made crucial mistakes. (Baer, 1999) The primary error has been that feminist jurisprudence has tended to misunderstand the tradition it criticizes. Although feminist jurists recognize that the liberal tradition has secured rights for men but not women, they have failed to make explicit the corresponding asymmetry of responsibility. Women are accorded responsibility for themselves and others in ways that men are not. For example, women are expected to be responsible for the lives of children in ways that men are not; as noted above, this has implications in areas like workplace law.

The second major error Baer sees in feminist jurisprudence is that it, along with most feminism, has tended to focus almost exclusively on women. This has drawn feminist attention away from men and the institutions that feminism needs to study, criticize, challenge and change. It has also created a series of debates within feminism that are divisive and draining of feminist energy. Again, the solution is to recognize when reform (sameness) and radical (difference) approaches are effective, and to use each as appropriate. Baer argues that

[f]eminist jurists need not – indeed, we must not – choose between laws that treat men and women the same and laws that treat them differently. We already know that both kinds of law can be sexist. Our gender-neutral law of reproductive rights treats women worse than men, but so did “protective” labor legislation. Conversely, both gender-neutral and gender-specific laws can promote sexual equality. Comparable worth legislation would make women more nearly equal with men. So have affirmative action policies. Women can have it both ways. Law can treat men and women alike where they are alike and differently where they are different. (Baer 1999, 55)

Baer provides critiques of both reform and radical feminist jurisprudence. She concludes that neither alone is sufficient, but that both, applied where appropriate, could be. She argues that the feminist focus on women has encouraged an inability to think on a universal scale. This leaves feminists, and law under feminist jurisprudence, mired in the particularities of individual cases and individual traits. To move out of this mire, she suggests three tasks for feminist jurisprudence:

First, it must do the opposite of what conventional theory and feminist critiques have done: posit rights and question responsibility. Second, it must develop analyses that will separate situations from the people experiencing them, so we can talk about women’s victimization without labeling them as victims. Finally, it must move beyond women and begin scrutinizing men and institutions. (Baer 1999, 68)

Baer does not suggest that feminism, nor feminist jurisprudence, should give up the study of women and women’s situations. Rather, her suggestion is that this study as an exclusive focus is not sufficient for either reform or transformation. Because “women neither create nor sustain their position in society” feminists need to scrutinize those who do. Baer’s suggestion is that what is needed is an account of “what it means to be a human being, a man, or a woman, which makes equality possible.” (Baer 1999, 192) The mistakes that feminist jurisprudence has made have prevented its developing this account, which Baer thinks could be the foundation of what she calls a feminist postliberalism sufficient for feminist jurisprudence.

4. References and Further Reading

  • Baer, Judith A, Our Lives Before the Law: Constructing a Feminist Jurisprudence (Princeton, NJ: Princeton University Press, 1999)
  • Cornell, Drucilla, Beyond Accommodation: Ethical Feminism, Deconstruction and the Law (New York: Routledge, 1990)
  • Dworkin, Andrea, Intercourse, (New York: The Free Press, 1987)
  • Dworkin, Ronald, Law’s Empire (Cambridge: Harvaard University Press, 1986)
  • Dworkin, Ronald, Taking Rights Seriously (Cambridge, MA: Harvard University Press, 1977)
  • Estrich, Susan, “Rape,” 95 Yale Law Journal 1087-1184 (1987)
  • Estrich, Susan, Real Rape (Cambrdige: Harvard University Press, 1987a)
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Author Information

Melissa Burchard
Email: mburchard@unca.edu
University of North Carolina – Asheville
U. S. A.

Animal Minds

This article surveys philosophical issues related to the nature and scope of animal mentality, as well as to our commonsense understanding and scientific knowledge of animal minds. Two general sets of problems have played a prominent role in defining the field and will take center stage in the discussion below: (i) the problems of animal thought and reason, and (ii) the problems of animal consciousness.

The article begins by examining three historically influential views on animal thought and reason. The first is David Hume’s analogical argument for the existence of thought and reason in animals. The second is René Descartes‘ two arguments against animal thought and reason. And the third is Donald Davidson‘s three arguments against ascribing thought and reason to animals.

Next, the article examines contemporary philosophical views on the nature and limits of animal reason by Jonathan Bennett, José Bermúdez, and John Searle, as well as four prominent arguments for the existence of animal thought and reason: (i) the argument from the intentional systems theory by Daniel Dennett, (ii) the argument from common-sense functionalism by Jerry Fodor, Peter Carruthers, and Stephen Stich, (iii) the argument from biological naturalism by John Searle, and (iv) the argument from science by Colin Allen and Marc Bekoff, and José Bermúdez.

The article then turns to the important debate over animal consciousness. Three theories of consciousness—the inner-sense theory, the higher-order thought theory, and the first-order theory—are examined in relation to what they have to say about the possibility and existence of animal consciousness.

The article ends with a brief description of other important issues within the field, such as the nature and existence of animal emotions and propositional knowledge, the status of Lloyd Morgan’s canon and other methodological principles of simplicity used in the science of animal minds, the nature and status of anthropomorphism employed by scientists and lay folk, and the history of the philosophy of animal minds. The field has had a long and distinguished history and has of late seen a revival.

Table of Contents

  1. The Problems of Animal Thought and Reason
    1. Hume’s Argument for Animal Thought and Reason
    2. Descartes’ Two Arguments Against Animal Thought and Reason
      1. The Language-Test Argument
      2. The Action-Test Argument
    3. Davidson’s Arguments Against Animal Thought and Reason
      1. The Intensionality Test
      2. The Argument from Holism
      3. Davidson’s Main Argument
    4. Contemporary Philosophical Arguments on Animal Reason
    5. Contemporary Philosophical Arguments for Animal Thought and Reason
      1. The Intentional Systems Theory Argument
      2. The Argument from Common-Sense Functionalism
      3. The Argument from Biological Naturalism
      4. The Argument from Science
  2. The Problems of Animal Consciousness
    1. Higher-Order Theories of Consciousness
      1. Inner-Sense Theories
      2. Higher-Order Thought Theories
    2. First-Order Theories
  3. Other Issues
  4. References and Further Reading
    1. References
    2. Suggested Further Readings

1. The Problems of Animal Thought and Reason

Given what we know or can safely assume to be true of their behaviors and brains, can animals have thought and reason? The answer depend in large measure on what one takes thought and reason to be, as well as what animals one is considering. Philosophers have held various views about the nature and possession conditions of thought and reason and, as a result, have offered various arguments for and against thought and reason in animals. Below are the most influential of such arguments.

a. Hume’s Argument for Animal Thought and Reason

David Hume (1711-1776) famously proclaimed that “no truth appears to be more evident, than that beast are endow’d with thought and reason as well as men” (1739/1978, p. 176). The type of thought that Hume had in mind here was belief, which he defined as a “lively idea” or “image” caused by (or associated with) a prior sensory experience (1739/1978, p. 94). Reason Hume defined as a mere disposition or instinct to form associations among such ideas on the basis of past experience. In the section of A Treatise of Human Nature entitled, “Of the Reason of Animals,” Hume argued by analogy that since animals behave in ways that closely resemble the behaviors of human beings that we know to be caused by associations among ideas, animals also behave as a result of forming similar associations among ideas in their minds. Given Hume’s definitions of “thought” and “reason,” he took this analogical argument to give “incontestable” proof that animals have thought and reason.

A well-known problem with Hume’s argument is the fact that “belief” does not appear to be definable in terms of vivid ideas presented to consciousness. Beliefs have propositional content, whereas ideas, as Hume understood them, do not (or need not). To have a belief or thought about some object (for example, the color red) always involves representing some fact or proposition about it (for example, that red is the color of blood), but one can entertain an image of something (for example, the color red) without representing any fact or proposition about it. Also, beliefs aim at the truth, they represent states of affairs as being the case, whereas ideas, even vivid ideas, do not. Upon looking down a railway track, for instance, one could close one’s eyes and entertain a vivid idea of the tracks as they appeared a moment ago (that is, as converging in the distance) without thereby believing that the tracks actually converge. And it is further argued, insofar as “belief” fails to be definable in terms of vivid ideas presented to consciousness, “reason” fails to be definable in terms of a disposition to form associations among such ideas; for whatever else reason might be, so the argument goes, it is a surely a relation among beliefs. Finally, and independently of Hume’s definitions of “belief” and “reason,” there is a serious question about how incontestable his analogical proof is, since similar types of behaviors can often be caused by very different types of processes. Toy robotic dogs, computers, and even radios behave in ways that are similar to the ways that human beings behave when we have vivid ideas presented to our consciousness, but few would take this fact alone as incontestable proof that these objects act as a result of vivid ideas presented to their consciousness (Searle 1994).

b. Descartes’ Two Arguments Against Animal Thought and Reason

Equally as famous as Hume’s declaration that animals have thought and reason is René Descartes’ (1596-1650) declaration that they do not. “[A]fter the error of those who deny God, ” Descartes wrote, “there is none that leads weak minds further from the straight path of virtue than that of imagining that the souls of beasts are of the same nature as our own” (1637/1988, p. 46). Descartes gave two independent arguments for his denial of animal thought and reason, which have come to be called his language-test argument and his action-test argument, respectively (Radner & Radner 1989).

i. The Language-Test Argument

Not surprising, Descartes meant something different from Hume by “thought.” In the context of denying it of animals, Descartes appears to take the term to stand for occurrent thought—that is, thoughts that one entertains, brings to mind, or is suddenly struck by (Malcolm 1973). Normal adult human beings, of course, express their occurrent thoughts through their declarative speech; and declarative speech and occurrent thoughts share some important features. Both, for example, have propositional content, both are stimulus independent (that is, thoughts can occur to one, and declarative speech can be produced, quite independently of what is going on in one’s immediate perceptual environment), and both are action independent (that is, thoughts can occur to one, and declarative speech can be produced, that are quite irrelevant to one’s current actions or needs). In light of these commonalities, it is understandable why Descartes took declarative speech to be “the only certain sign of thought hidden in a body” (1649/1970, p. 244-245).

In addition to taking speech to be thought’s only certain sign, Descartes argued that the absence of speech in animals could only be explained in terms of animals lacking thought. Descartes was well aware that animals produce calls, cries, songs, and various gestures that function to express their “passions,” but, he argued, they never produce anything like declarative speech in which they “use words, or put together other signs, as we do in order to declare our thoughts to others” (1637/1988, p. 45). This fact, Descartes reasoned, could not be explained in terms of animals lacking the necessary speech organs, since, he argued, speech organs are not required, as evidenced by the fact that humans born “deaf” or “dumb” typically invent signs to engage in declarative speech, and some animals (for example, magpies and parrots) who have the requisite speech organs never produce declarative speech; nor could it be explained as a result of speech requiring a great deal of intelligence, since even the most “stupid” and “insane” humans beings are capable of it; and neither could it be explained, as it is in the case of human infants who are incapable of speech but nevertheless possess thought, in terms of animals failing to develop far enough ontogenetically, since “animals never grow up enough for any certain sign of thought to be detected in them” (1649/1970, p. 251). Rather, Descartes concluded, the best explanation for the absence of speech in animals is the absence of what speech expresses—thought. There are various places in his writings where Descartes appears to go on from this conclusion to maintain that since all modes of thinking and consciousness depend upon the existence of thought, animals are devoid of all forms of thinking and consciousness and are nothing but mindless machines or automata. It should be noted, however, that not every commentator has accepted this interpretation (see Cottingham 1978).

Various responses have been given to Descartes’ language-test argument. Malcolm (1973), for example, argued that dispositional thinking is not dependent upon occurrent thought, as Descartes seemed to suppose, and is clearly possessed by many animals. The fact that Fido cannot entertain the thought, the cat is in the tree, Malcolm argued, is not a reason to doubt that he thinks that the cat is in the tree. Others (Hauser et al. 2002), following Noam Chomsky, have argued that the best explanation for the absence of speech in animals is the not the absence of occurrent thought but the absence of the capacity for recursion (that is, the ability to produce and understand a potentially infinite number of expressions from a finite array of expressions). And others (Pepperberg 1999; Savage-Rumbaugh et al. 1998; Tetzlaff & Rey 2009) have argued that, contrary to Descartes and Chomsky, some animals, such as grey parrots, chimpanzee, and honeybees, possess the capacity to put together various signs in order to express their thoughts. Finally, it has been argued that there are behaviors other than declarative speech, such as insight learning, that can reasonably be taken as evidence of occurrent thought in animals (see Köhler 1925; Heinrich 2000).

ii. The Action-Test Argument

Whereas Descartes’ principal aim in his language-test argument was to prove that animals lack thought, his principal aim in his action-test argument is prove that animals lack reason. By “reason,” Descartes meant “a universal instrument which can be used in all kinds of situations” (1637/1988, p. 44). For Descartes, to act through reason is to act on general principles that can be applied to an open-ended number of different circumstances. Descartes acknowledged that animals sometime act in accordance with such general rules of reason (for example, as when the kingfisher is said to act in accordance with Snell’s Law when it dives into a pond to catch a fish (see Boden 1984)), but he argued that this does not show that they act for these reasons, since animals show no evidence of transferring this knowledge of the general principles under which their behaviors fall to an open-ended number of novel circumstances.

Some researchers and philosophers have accepted Descartes’ definition of “reason” but have argued that some animals do show the capacity to transfer their general knowledge to a wide (or wide enough) range of novel situations. For example, honey bees that were trained to fly down a corridor that had the same (or different) color as the entry room into which they had initially flown automatically transferred this knowledge to the novel stimulus dimension of smell: those that were trained to choose the corridor with the same color, flew down the corridor with the same smell as in the entry room; and those that were trained to choose the corridor with a different color, flew down the corridor with a different smell as in the entry room. It is difficult to resist interpreting the bees’ performance here, as the researchers do, in terms of their grasping and then transferring the general rule, “pick the same/different feature” (Giurfa et al. 2001). Other researchers and philosophers, however, have objected to Descartes’ definition of “reason.” They argue that reason is not, as Descartes conceived it, a universal instrument but is more like a Swiss army knife in which there is a collection of various specialized capacities dedicated to solving problems in particular domains (Hauser 2000; Carruthers 2006). On this view of intelligence, sometimes called the massive modularity thesis, subjects have various distinct mechanisms, or modules, in their brains for solving problems in different domains (for example, a module for solving navigation problems, a module for solving problems in the physical environment, a module for solving social problems within a group, and so on). It is not to be expected on this theory of intelligence that an animal capable of solving problems in one domain, such as exclusion problems for food, should be capable of solving similar problems in a variety of other domains, such as exclusion problems for predators, mates, and offspring. Therefore, on the massive modularity thesis, the fact that “many animals show more skill than we do in some of their actions, yet the same animals show none at all in many others” is not evidence, as Descartes saw it (1637/1988, p. 45), that animals lack intelligence and reason but that their intelligence and reason are domain specific.

c. Davidson’s Arguments Against Animal Thought and Reason

No 20th century philosopher is better known for his denial of animal thought and reason than Donald Davidson (1917-2003). In a series of articles (1984, 1985, 1997), Davidson put forward three distinct but related arguments against animal thought and reason: the intensionality test, the argument from holism, and his main argument. Although Davidson’s arguments are not much discussed these days (for exceptions, see Beisecker 2001; Glock 2000; Fellows 2000), they were quite influential in shaping the direction of the contemporary debate in philosophy on animal thought and reason and continue to pose a challenging skeptical position on this topic, which makes them deserved of close examination.

i. The Intensionality Test

The intensionality test rest on the assumption that the contents of beliefs (and thought in general) are finer grained than the states of affairs they are about. The belief that Benjamin Franklyn was the inventor of bifocals, for example, is not the same as the belief that the first postmaster general of the US was the inventor of bifocals, even though both beliefs are about the same state of affairs. This fine-grained nature of belief content is reflected in the sentences we use to ascribe them. Thus, the sentence, “Sam believes that Benjamin Franklyn was the inventor of bifocals,” may be true while the sentence, “Sam believes that the first postmaster general of the US was the inventor of bifocals,” may be false. Belief ascriptions that have this semantic feature—that is, their truth value may be affected by the substitution of co-referring expressions within their “that”-clauses—are called intensional (or semantically opaque). The reason that is typically given for why belief ascriptions are intensional is that their purpose is to describe the way the subject thinks or conceives of some object or state of affairs. Belief ascriptions with this purpose are called de dicto ascriptions, as opposed to de re ascriptions (see below).

Our de dicto belief ascriptions to animals are unjustified, Davidson argued, since for any plausible de dicto belief ascription that we make there are countless others and no principled way of deciding which is the correct way of describing how the animal thinks. Take, for instance, the claim that Fido believes that the cat is in the tree. It seems that one could just as well have said that Fido believes that the small furry object is in the tree, or that the small furry object is in the tallest object in the yard, and so on. And yet there does not appear to be any objective fact of the matter that would determine the correct translation into our language of the way Fido thinks about the cat and the tree. Davidson concludes that “unless there is behaviour that can be interpreted as speech, the evidence will not be adequate to justify the fine distinctions we are used to making in attribution of thought” (1984, p. 164).

Some philosophers (Searle 1994; McGinn 1982) have interpreted Davidson’s argument here as aiming to prove that animals cannot have thought on the basis of a verificationist principle which holds that if we cannot determinately verify what a creature thinks, then it cannot think. Such philosophers reject this principle on the grounds that absence of proof of what is thought is not thereby proof of the absence of thought. But Davidson himself states that he is not appealing to such a principle in his argument (1985, p. 476), and neither does he say that he takes the intensionality test to prove that animals cannot have thought. Rather, he takes the argument to undermine our intuitive confidence in our ascriptions of de dicto beliefs to animals.

However, even on this interpretation of the intensionality test, objections have been raised. Some philosophers (Armstrong 1973; Allen & Bekoff 1997; Bermúdez 2003a, 2003b) have argued that, contrary to Davidson’s claim, there is a principled way of deciding among the alternative de dicto belief ascriptions to animals—by scientifically studying their discriminatory behaviors under various conditions and by stipulating the meanings of the terms used in our de dicto ascriptions so the they do not attribute more than what is necessary to capture the way the animal thinks. Although at present we may not be completely entitled to any one of the many de dicto belief ascriptions to animals, according to this view, there is no reason to think that we could not come to be so entitled through future empirical research on animal behavior and by the stipulation of the meanings of the terms used in our belief ascriptions. Also, it is important to mention that Bermúdez (2003a; 2003b) has developed a fairly well worked out theory of how to make de dicto ascriptions to animals that takes the practice of making such attributions to be a form of success semantics—”the idea that true beliefs are functions from desires to action that cause thinkers to behave in the ways that will satisfy their desires” (2003a, p. 65). (See Fodor 2003 for a criticism of Bermúdez’s success semantic approach.)

In addition, David Armstrong (1973) has objected that the intensionality test merely undermines our justification of de dicto belief ascriptions to animals, not de re belief ascriptions, since the latter do not aim to describe how the animal thinks but simply to identify the state of affairs the animal’s thought is about. Furthermore, Armstrong argues that it is in fact de re belief ascriptions, not de dicto belief ascriptions, that we ordinarily use to describe animal beliefs. When we say that Fido believes that the cat is up the tree, for example, our intention is simply to pick out the state of affairs that Fido’s belief is about, while remaining neutral with respect to how Fido thinks about it. Roughly, what we are saying, according to Armstong, is that Fido believes a proposition of the form Rab, where “R” is Fido’s relational concept that picks out the same two-place relation as our term “up,” “a” is Fido’s concept that refers to the same class of animals as our word “cat,” and “b” is Fido’s concept that refers to the same class of objects as our word “tree.”

ii. The Argument from Holism

One thing that Armstrong’s objection assumes is that we are at present justified in saying what objects, properties, or states of affairs in the world an animal’s belief is about. Davidson’s second argument, the argument from holism, aims to challenge this assumption. Davidson endorses a holistic principle regarding how the referents or extension of beliefs are determined. According to this principle, “[b]efore some object in, or aspect of, the world can become part of the subject matter of a belief (true or false) there must be endless true beliefs about the subject matter” (1984, p. 168). Applying this principle to the case of animals, Davidson argues that in order for us to be entitled to fix the extension of an animal’s belief, we must suppose that the animal has an endless stock of other beliefs. So, according to Davidson, to be entitled to say that Fido has a belief about a cat, we must assume that Fido has a large stock of other beliefs about cats and related things, such as that cats are three-dimensional objects that persist through various changes, that they are animals, that animals are living organisms, that cats can move freely about their environment, and so on. There is no fixed list of beliefs about cats and related items that Fido needs to possess in order to have a belief about cats, Davidson maintains, but unless Fido has a very large stock of such general beliefs, we will not be entitled to say that he has a belief about a cat as opposed to something else, such as undetached cat parts, or the surface of a cat, or a cat appearance, or a stage in the history of a cat. But in the absence of speech, Davidson claims, “there could [not] be adequate grounds for attributing the general beliefs needed for making sense of any thought” (Davidson 1985, p. 475). The upshot is that we are not, and never will be, justified even in our de re ascriptions of beliefs to animals.

One chief weakness with Davidson’s argument here is that its rests upon a radical form of holism that would appear to deny that any two human beings could have beliefs about the same things, since no two human beings ever share all (or very nearly all) the same general background beliefs on some subject. This has been taken by some philosophers as a reductio of the theory (Fodor and Lepore 1992).

iii. Davidson’s Main Argument

Davidson’s main argument against animal thought consists of the following two steps:

First, I argue that in order to have a belief, it is necessary to have the concept of belief.

Second, I argue that in order to have the concept of belief one must have language.
(1985, p. 478)

Davidson concludes from these steps that since animals do not understand or speak a language, they cannot have beliefs. Davidson goes on to defend the centrality of belief, which holds that no creature can have thought or reason of any form without possessing beliefs, and concludes that animals are incapable of any form of thought or reason.

Davidson supports the first step of his main argument by pointing out what he sees as a logical connection between the possession of belief and the capacity for being surprised, and between the capacity for being surprised and possessing the concept belief. The idea, roughly, is that for any (empirical) proposition p, if one believes that p, then one should be surprised to discover that p is not the case, but to be surprised that p is not the case involves believing that one’s former belief that p was false, which, in turn, requires one to have the concept belief (as well as the concept falsity). (See Moser (1983) for a rendition of Davidson’s argument that avoids Davidson’s appeal to surprise.)

Davidson’s defense of the second step of his main argument is sketchier and more speculative. The general idea, however, appears to be as follows. If one has the concept belief and is thereby able to comprehend that one has beliefs, then one must also be able to comprehend that one’s beliefs are sometimes true and sometimes false, since beliefs are, by their nature, states capable of being true or false. However, to comprehend that one’s beliefs are true or false is to comprehend that they succeed or fail to depict the objective facts. But the only way for a creature to grasp the idea of a world of objective facts, Davidson speculates, is through its ability to triangulate—that is, through its ability to compare its own beliefs with those of others. Therefore, Davidson argues, since triangulation necessarily involves the capacity of ascribing beliefs to others and this capacity, according to the intensionality test and the argument from holism (see sections 1c.i and 1c.ii. above), requires language, possessing the concept belief requires the possession of language.

A number of commentators of Davidson’s main argument have raised objections to his defense of its first step—that having beliefs requires having the concept belief. Carruthers (2008), Tye (1997) and Searle (1996), for example, all argue that having beliefs does not require having the concept belief. These philosophers agree that beliefs, by their nature, are states that are revisable in light of supporting or countervailing evidence presented to the senses but maintain that this process of belief revision does not require the creature to be aware of the process or to have the concept belief. Carruthers (2008) offers the most specific defense of this claim by developing an account of surprise that does not involve higher-order beliefs, as Davidson maintains. According to Carruthers’ account, being surprised simply involves a mechanism that is sensitive to conflicts between the contents of one’s beliefs—that is, conflicts with what one believes, not conflicts with the fact that one believes such contents. On this model, being surprised that there is no coin in one’s pocket involves having a mechanism in one’s head that takes as its input the content that there is a coin in one’s pocket (not the fact that one believes this content) and the content that there is no coin in one’s pocket (again, not the fact that one believes this content) and produces as its output a suite of reactions, such as releasing chemicals into the bloodstream that heightens alertness, widening the eyes, and orienting towards and attending to the perceived state of affairs one took as evidence that there is no coin in one’s pocket. It is one’s awareness of these changes, Carruthers argues, not one’s awareness that one’s former belief was false, as Davidson maintains, that constitutes being surprised.

Compared with the commentary on the first step of his main argument, there is little critical commentary in print on Davidson’s defense of the second step of his main argument. However, Lurz (1998) has raised the following objection. He argues that the intensionality test and the argument from holism at most show that belief attributions to nonlinguistic animals are unjustified but not that they are impossible. The fact that we routinely attribute beliefs to nonlinguistic animals shows that such attributions are quite possible. But, Lurz argues, if we can attribute beliefs to nonlinguistic animals on the basis of their nonlinguistic behavior, then there is no reason to think (at least, none provided by the intensionality test and the argument from holism) that a nonlinguistic animal could not in principle attribute beliefs to other nonlinguistic animals on the same basis. Of course, if the intensionality test and argument from holism are sound, such belief attributions would be unjustified, but this alone is irrelevant to whether it is possible for nonlinguistic animals to attribute beliefs to others and thereby engage in triangulation; for triangulation requires the capacity for belief attribution, not the capacity for justified belief attribution. Therefore, Lurz argues, if triangulation is possible without language, then Davidson has failed to prove that having the concept belief requires language. Furthermore, if some animals actually are capable of attributing beliefs to others, as some researchers (Premack & Woodruff 1978; Menzel 1974; Tschudin 2001) have suggested that chimpanzees and dolphins may be (thought such claims are considered highly controversial at present), then even if triangulation is a requirement for having beliefs, as Davidson maintains, it may turn out that some animals (for example, chimpanzees and dolphins) actually have beliefs, contrary to what Davidson’s main argument concludes.

d. Contemporary Philosophical Arguments on Animal Reason

Although the vast majority of contemporary philosophers do not go as far as Descartes and Davidson in denying reason to animals completely, a number of them have argued for important limits on animal rationality. The arguments here are numerous and complex; so only an outline of the more influential ones is provided.

In Rationality (1964/1989), Jonathan Bennett argued that since it is impossible for animals without language to express universal beliefs (for example, All As are Bs) and past-tensed beliefs (for example, A was F) separately, they cannot posses either type of belief, on the grounds that what cannot be manifested separately in behavior cannot exist as distinct and separate states in the mind. A consequence of this argument is that animals cannot think or reason about matters beyond their own particular and immediate circumstances. In Linguistic Behaviour (1976), Bennett went further and argued that animals cannot draw logical inferences from their beliefs, on the grounds that if they did, they would do so for every belief that they possessed, which is absurd. According to this argument, Fido may believe that the cat is in tree, as well as believe that there is an animal in the tree, but he cannot come to have the latter belief as result of inferring it from the former.

More recently, José Bermúdez (2003a) has argued that the ability to think about thoughts (what Bermúdez calls “intentional ascent”) requires the ability to think about words in one’s natural language (what Bermúdez calls “semantic ascent”), and that since animals cannot do the latter, they cannot do the former. Bermudez’s argument that intentional ascent requires semantic ascent is, roughly, that thinking about thought involves the ability to “‘to hold a thought in mind’ in such a way that can only be done if the thought is linguistically vehicled” via a natural language sentence that one understand (p. ix). The idea is that the only way for a creature to grasp and think about a thought (that is, an abstract proposition) is by its saying, writing, or bringing to mind a concrete sentence that expresses the thought in question. Bermúdez goes on to argue that the ability to think about thoughts (propositions) is involved in a wide variety of types of reasoning, from thinking about and reasoning with truth-functional, temporal, modal, and quantified propositions, to thinking and reasoning about one’s own and others’ propositional attitudes (for example, beliefs and desires). Bermúdez concludes that since animals do no think about words or sentences in a natural language, their thinking and reasoning are restricted to observable states of affairs in their environment. However, see Lurz (2007) for critical comment on Bermúdez’s argument here.

Finally, John Searle (1994) has argued that since animals lack certain linguistic abilities, they cannot think or reasons about institutional facts (for example, facts about money or marriages), facts about the distant past (for example, facts about matters before their birth), logically complex facts (for example, subjunctive facts or facts that involve mixed quantifies), or facts that can only be represented via some symbolic system (for example, facts pertaining to the days of the week). In addition, and more interesting, Searle (2001) has argued that since animals cannot perform certain speech acts such as asserting, they cannot have desire-independent reasons for action. According to this argument, animals act only for the sake of satisfying some non-rationally assessable desire (for example, the satisfaction of hunger) and never out of a sense of commitment. Consequently, if acts of courage, fidelity, loyalty, and parental commitment involve desire-independent reasons for action, as they arguably do, then on Searle’s argument here, no animal is or can be courageous, faithful, loyal, or a committed parent.

e. Contemporary Philosophical Arguments for Animal Thought and Reason

There are four types of arguments in contemporary philosophy for animal thought and reason. The first is the argument from the intentional systems theory championed by Daniel Dennett (1987, 1995, 1997). The second is the argument from common-sense functionalism championed by (among others) Jerry Fodor (1987), Stephen Stich (1979) and Peter Carruthers (2004). The third is the argument from biological naturalism, championed by John Searle (1994). And the fourth is the argument from science championed by (among others) Allen and Bekoff (1997) and Bermúdez (2003a).

i. The Intentional Systems Theory Argument

The intentional systems theory consists of two general ideas. The first is that our concepts of intentional states, such as our concepts belief, desire, and perceiving, are theoretical concepts whose identity and existence are determined by a common-sense psychological theory or folk-psychology. Folk psychology is a set of general principles that state that subjects, on the assumption that they are rational, tend to believe what they perceive, tend to draw obvious logical inferences from their beliefs, and tend act so as to satisfy their desires given what they believe. In many cases, we apply our folk psychology to animals to predict and make sense of their behaviors. When we do, we view animals as intentional systems and take up, what Dennett (1987) calls, the intentional stance toward them. The second important idea of the intentional systems theory is its instrumentalist interpretation of folk psychology. On the instrumentalist interpretation, what it is for a creature to have intentional states is for its behaviors to be well predicted and explained by the principles of folk psychology. Nothing more is required. There need not be anything inside the creature’s brain or body, for instance, that corresponds to or has structural or functional features similar to the intentional state concepts employed in our folk psychology. Our intentional state concepts, on the instrumentalist reading, do not aim to refer to real, concrete internal states of subjects but to abstract entities that are merely useful constructs for predicting and explaining various behaviors (much like centers of gravity used in mechanics). Therefore, according to the intentional systems theory argument, the fact that much of animal behavior is usefully predicted and explained from the intentional stance makes animals genuine thinkers and reasoners.

There are two general types of objections raised against the intentional systems theory argument. First, some have argued (Searle 1983) that our intentional state concepts are not theoretical concepts, since intentional states are experienced and, hence, our concepts of them are independent of our having any theory about them. Second, some (Braddon-Mitchell & Jackson 2007) have objected to the intentional systems theory’s commitment to instrumentalism, arguing that on such an interpretation of folk psychology, even lowly thermostats, laptop computers, and Blockheaded robots have beliefs and desires, since it is useful to predict and explain behaviors of such objects from the intentional stance.

ii. The Argument from Common-Sense Functionalism

Similar to the intentional systems theory, common-sense functionalism holds that our intentional state concepts are theoretical concepts that belong to and are determined by our folk psychology. Unlike the intentional systems theory, however, common-sense functionalism takes a realist interpretation of folk psychology. (In addition, many common-sense functionalists reject the rationality assumption that the intentional systems theory places on folk psychology (Fodor 1987, 1991).) On the realist interpretation, for a subject to have intentional states is for the subject to have in his brain a variety of discrete internal states that play the causal roles and have the internal structures that our intentional state concepts describe. According to this view, if Fido believes that the cat is up the tree, then he has in his brain an individual state, s, that plays the causal role that beliefs play according to our folk psychology, and s has an internal structure similar to the “that”-clause used to specify its content—that is, s has the structure Rxy where “R” represents the two-place relation up, “x” represents the cat, and “y” represents the tree. Since the internal state s is seen as having an internal structure similar to the sentence “the cat is up the tree,” common-sense functionalism is often taken to support the view that thinking involves an internal language or language of thought (Fodor 1975). It is then argued that since animal behavior is successfully predicted and explained by our folk psychology, there is defeasible grounds for supposing that animals actually have such internal states in their heads (Fodor 1987; Stich 1979; Carruthers 2004).

Two problems are typically raised regarding the argument from common-sense functionalism. Some (Stalnaker 1999) have objected that if, as common-sense functionalism claims, our ascriptions of intentional states to animals commit us to thinking that the animals have in their heads states that have the same representational structure as the “that”-clauses we use to specify their contents, then intentional ascriptions to animals (and to ourselves) would be a far more speculative practice than it actually is. The objection here does not deny that animals actually have such representational structures in their heads, it simply denies that that is what we are saying or thinking when we ascribe intentional states to them. Others (Camp, 2009) accept the common-sense functionalist account of intentional state concepts but have argued, on the basis of Evan’s (1982) generality constraint principle, that few animals have the sorts of structured representational states in their heads that folk psychology describes them as having. If Fido’s thoughts are structured in the way that common-sense functionalism claims, the objection runs, then if Fido is able to think that he is chasing a cat, then he must also be capable of thinking that a cat is chasing him, but, it is argued, this may be a thought that is completely unthinkable by Fido. However, see Carruthers (2009) and Tetzlaff and Rey (2009) for important objections to this type of argument.

iii. The Argument from Biological Naturalism

Biological naturalism is the theory, championed by John Searle (1983, 1992), that holds that our concepts of intentional states are concepts of experienced subjective states. The concept belief, for example, is the concept of an experienced, conscious state that has truth conditions and world-to-mind direction of fit; whereas, our concept desires is the concept of an experienced, conscious state that has satisfaction conditions and mind-to-world direction of fit. Intentional states, according to this theory, are irreducibly subjective states that are caused by low-level biochemical states of the brain in virtue of their causal structures, not in virtue of their functional or causal roles, or, if they have such, their representational structures. According to biological naturalism, if Fido believes that the cat is in the tree, then he has in his brain a low-level biochemical state, s, that, in virtue of its unique causal structure, causes Fido to have a subjective experience that has a world-to-mind direction of fit and is true if and only if the cat is in the tree.

Searle argues that there are two main reasons why we find it irresistible to suppose that animals have intentional states, as biological naturalism conceives them. First, many animals have perceptual organs (for example, eyes, ears, mouths, and skin) that we see as similar to our own and which, we assume, operate according to similar physiological principles. Since we know in our own case that the stimulation of our perceptual organs leads to certain physiological processes which cause us to have certain perceptual experiences, we reason, from the principle of similar cause-similar effect, that the stimulation of perceptual organs in animals leads to similar physiological processes which cause them to have similar perceptual experiences. The behavior of animals, Searle repeatedly stresses, is by itself irrelevant to why we think animals have perceptual experiences; it is only relevant if we take the behavior to be caused by the stimulation of perceptual organs and underlying physiological processes relevantly similar to our own. This argument, of course, would only account for why we think that animals have perceptual experiences, not why we think that they have beliefs, desires, and other intentional states that are only distantly related to the stimulation of sensory organs. So Searle adds that the second reason we find it irresistible that animals have intentional states is that we cannot make sense of their behaviors otherwise. To make sense of why Fido is still barking up the tree when the cat is long out of sight, for example, we must suppose that Fido continues to want to catch the cat and continues to think that the cat is up the tree.

There are two main problems with Searle’s argument for animal thought and reason. First, according to biological naturalism, animals have intentional states solely in virtue of their having brain states that are relevantly similar in causal structure to those in human beings which cause us to have intentional states. But this raises the question: how are we to determine whether the brain states of animals are relevantly similar to our own? They will not be exactly similar, since animal brains and human brains are different. Suppose, for example, scientists discover that a certain type of electro-chemical process (XYZ) in human brains is necessary and sufficient for intentional states in us, and that an electro-chemical process (PDQ) similar to XYZ occurs in animal brains. Is PDQ similar enough to XYZ to produce intentional states in animals? Well, suppose PDQ produces behaviors in animals that are similar to those that XYZ produces in humans. Would that show that PDQ is enough like XYZ to produce intentional states in animals? No, says Searle, for unless those behaviors are produced by relevantly similar physiological processes they are simply irrelevant to whether the animal has intentional states. But that is precisely what we are trying to determine here, of course. It would appears that the only way to determine whether PDQ is similar enough to XYZ, on biological naturalism, is if we humans could temporarily exchange our brains for those of animals and see whether PDQ produces intentional states in us. This, of course, is impossible. And so it would appear that the question of whether animals have intentional states is, on biological naturalism, unknowable in principle.

Finally, Searle’s explanation for why we find it irresistible to ascribe perceptual experiences to animals seems questionable in some cases. If Searle’s explanation were correct, then most ordinary individuals should not find it at all compelling, for example, to ascribe auditory experiences (that is, hearing) to birds, or tactile experiences (that is, feelings of pressures, pain, or temperature) to fish or armadillos, since most ordinary individuals do not see anything on birds’ heads that looks like ears or on the outer surface of fish or armadillos that looks like skin.

iv. The Argument from Science

Why should we believe that colds are caused by viruses and not by drastic changes in weather, as many folk had (and still do) believe? A reasonable answer is that our best scientific theory of the causes of colds is in terms of viruses, commonsense notwithstanding. Sometimes, of course, science and commonsense agree, and when they do, commonsense can be said to be vindicated by science. In either case, it is science that ultimately determines what should (and should not) be believed. This type of argument, sometimes called the argument from science, has been used to justify the claim that animals have thought, reason, consciousness, and other folk-psychological states of mind (see Allen & Bekoff 1997; Bermúdez 2003a). In the past thirty years or so, due in large measure to the demise of radical behaviorism and the birth of cognitivism in psychology, as well as from the influential writings of ethologist Donald Griffin (1976, 1984, 2001), scientists from various fields have found it increasingly useful to propose, test, and ultimately accept hypotheses about the causes of animal behavior in explicitly folk-psychological terms. It is quite common these days to see scientific articles on whether, for example, animals have conscious experiences such as painseeing and (even) joy (Griffin & Speck 2004; Panksepp & Burgdorf 2003), on whether scrub jays have desires, and beliefs, and can recollect their pasts (Clayton et al. 2006), on whether primates understand that other animals knowsee, and hear(Hare et al. 2000; Hare et al. 2001; Santos et al. 2006), on whether primates make judgments about their own states of knowledge and ignorance (Hampton et al. 2004; Smith et al. 2003), and so on. According to the argument, since scientists are finding it useful to test and accept hypothesis about animal behavior in folk-psychological terms, we are justified in believing that animals have such states of mind.

Not everyone has found the argument from science here convincing, however. The chief concern is whether explanations of animal behavior in folk-psychological terms are, as the argument assumes, scientifically respectable (see Kennedy 1992). There are two features of scientific explanations of animal behavior that appear to count against their being so. First, scientific explanations of animal behavior are causal explanations in terms of concrete internal states of the animal, but on some models of folk-psychology, such as Dennett’s intentional systems theory (see 1.e.i. above), folk-psychological explanations are neither causal explanations nor imply anything about the internal states of the animal. Second, scientific explanations of animal behavior are objective in that there is typically a general agreement among researchers in the field on what would count in favor of or against the explanation; however, it has been argued that since the only generally agreed upon indicators of consciousness are verbal reports of the subject, explanations of animal behavior in terms of consciousness are unscientific (see Clayton et al. 2006, p. 206).

One standard type of reply to these objections has been to adopt a common-sense functionalist model of folk-psychology (see 1e.ii above) which interprets folk-psychological explanations as imputing causally efficacious internal states while denying that these explanations imply anything about the consciousness of the internal states. (This seems to be the approach that Clayton et al. (2006) take in their explanation of the behaviors of scrub jays in terms of “episodic-like” memories, which are episodic memories minus consciousness.) This, of course, raises the vexing issue of whether our folk-psychological concepts, such as beliefdesireintentionseeing, and so forth, imply consciousness (see Carruthers 2005; Lurz 2002a; Searle 1992; Stich 1979). Others have responded to the above objections by developing non-subjective measures for consciousness that could be applied to animals (and humans) incapable of verbal reports (Dretske 2006). And still others have proposed objective measures of consciousness in animals by appealing to the communicative signals of animals as non-verbal reports of the presence of conscious experiences (Griffin 1976, 1984, 2001).

2. The Problems of Animal Consciousness

It is generally accepted that most (if not all) types of mental states can be either conscious or unconscious, and that unconscious mental states can have effects on behavior that are not altogether dissimilar from those of their conscious counterparts. It is quite common, for example, for one to have a belief (for example, that one’s keys are in one’s jacket pocket) and a desire (for example, to locate one’s keys) that are responsible for some behavior (for example, reaching into one’s jacket pocket as one approaches one’s apartment) even though at the time of the behavior (and beforehand) one’s mind is preoccupied with matters completely unrelated to one’s belief or desire. Similarly, scientists have shown through various masking experiments and the like that our behaviors are often influenced by stimuli that are perceived below the level of consciousness (Marcel 1983). Also some philosophers have argued that even pains and other bodily sensations can be unconscious, such as when one continues to limp from a pain in one’s leg though at the time one is preoccupied with other matters and is not attending to the pain (Tye 1995).

Given this distinction between conscious and unconscious mental states, the question arises whether the mental states of animals are or can be conscious. It should be noted that this question not only has theoretical import but moral and practical import, as well. For arguably the fact that conscious pains and experiences feel a certain way to their subjects makes them morally relevant conditions, and it is, therefore, of moral and practical concern to determine whether the mental states of animals are conscious (Carruthers 1992). Of course, as with the question of animal thought and reason, the answer to this question depends in large part on what one takes consciousness to be. There are two general philosophical approaches to consciousness—typically referred to as first-order and higher-order theories—that have played a prominent role in the debate over the status of animal consciousness. These two approaches and their relevance to the question of conscious states in animals are described below.

a. Higher-Order Theories of Consciousness

Higher-order theories of consciousness start with the common assumption that conscious mental states are states of which one is higher-order aware, and unconscious mental states are states of which one is not higher-order aware. The theories diverge, however, over what is involved in being higher-order aware of one’s mental states.

i. Inner-Sense Theories

Inner-sense theories take a subject’s higher-order awareness to be a type of perceptual awareness, akin to seeing, that is directed inwardly toward the mind as opposed to outwardly toward the world (Lycan 1996; Armstrong 1997). Since higher-order awareness is a species of perceptual awareness, on this view, it is not usually taken to require the capacity for higher-order thought or the possession of mental-state concepts. A subject need not be able to think that he is in pain or have the concepts I or pain, for example, in order for him to be higher-order aware of his pain. On the inner-sense theory, then, the mental states of animals will be conscious just in case they are higher-order aware of them by means of an inner perception.

Some inner-sense theorists have argued that since higher-order awareness does not require higher-order thought or the possession of mental-state concepts, it is quite consistent with what we know about animal behavior and brains that many animals may have such an awareness of their own mental states. Furthermore, there are recent studies in comparative psychology (Smith et al. 2003; Hampton et al. 2004) that suggest that monkeys, apes and dolphins actually have the capacity to be higher-order aware of their own states of certainty, memory, and knowledge. However, the results of these studies have not gone unchallenged (see Carruthers 2008).

The chief problem with inner-sense theories, however, is not so much their account of animal consciousness but their account of higher-order awareness. Some (Rosenthal 1986; Shoemaker 1996) have argued against a perceptual account of higher-order awareness on the grounds that (i) there is no dedicated perceptual organ in the brain for such a perception as there is for external perception; (ii) there is no distinct phenomenology associated with higher-order awareness as there is for all other types of perceptual modalities; and (iii) it is impossible to reposition oneself in relation to one’s mental states so as to get a better perception of them as one can do in the case of perception of external objects. And still others (Lurz 2003) have objected that the inner-sense theory cannot explain how concept-involving mental states, such as beliefs and desires, can be conscious, since to be aware of such states would require being aware of their conceptual contents, which cannot be done by way of a perceptual awareness that is not itself concept-involving.

ii. Higher-Order Thought Theories

Problems such as these have led a number of higher-order theorists (Rosenthal 1986; Carruthers 2000) to embrace some version or other of the higher-order thought theory. According to this theory, a mental state is conscious just in case one has (or is disposed to have) the higher-order thought that one is in such a mental state. Animals will have conscious mental states, on this theory, if and only if that they are capable of higher-order thoughts about themselves as having mental states. The question of animal consciousness, then, becomes the question of whether animals are capable of such higher-order thought.

A number of philosophers have argued that animals are incapable of such thought. Some have argued that since higher-order thoughts require the possession of the first-person I-concept, it is unlikely that animals are capable of having them. The selves of animals, the argument runs, are selves that experience numerous mental states at any one moment in time and that persist through various changes to their mental states. Thus, if an animal possessed the I-concept, it must be capable of understanding itself as such an entity—that is, it must be capable of thinking not only, I am currently in pain, for example, but I am currently in pain, am seeing, am hearingam smelling, as well as be capable of thinking I was in such-and-such mental states but am not now. However, such thoughts appear to involve the mental equivalent of pronominal reference and past-tensed thoughts, both of which, it is argued, are impossible without language (see Quine 1995; Bermúdez 2003a; Bennett 1964, 1966, 1988).

Various objections have been raised against this argument on behalf of the higher-order theory and animal consciousness. Gennaro (2004, 2009) argues that that the I-concept involved in higher-order thoughts need be no more sophisticated than the concept this particular body or the concept experiencer of mental states, and that the results of various self-recognition studies with apes, dolphins and elephants, as well as the results of a number of episodic memory tests with scrub jays, suggest that many animals possess such minimal I-concepts (Parker et al. 1994; Clayton et al., 2003). Lurz (1999) goes further and argues that insofar as higher-order thoughts confer consciousness on mental states, they need not involve any I-concept at all. The idea here is that just as one can be aware that it is raining, where the “it” here is not used to express one’s concept of a thing or a subject—for there is no thing or subject that is raining—an animal can be aware that it hurts or thinks that p, where the “it” here does not express a concept of a thing or a subject that is thought to possess pain or to think that p. Animals, on this view, are thought to conceive of their mental states as we conceive of rain and snow—that is, as subject-less features placed at a time (see Strawson (1959) and Proust (2009) for similar arguments).

The most common argument against animals possessing higher-order thought, however, is that such thoughts requires linguistic capabilities and mental-state concepts that animals do not possess. Dennett (1991), for example, argues that the ability to say what mental state one is in is the very basis of one’s having the higher-order thought that one is in such mental state, and not the other way round. To think otherwise, Dennett argues, is to commit oneself to an objectionable Cartesian theater view of the mind. According to Dennett’s argument, since animals are incapable of saying what they are feeling or thinking, they are incapable of thinking that they are feeling or thinking. In reply, Carruthers (1996) has argued that there is a way of understand higher-order thoughts that is not tied to linguistic expression of any kind or committed to a Cartesian theater view of the mind.

In a somewhat similar vein of thought to Dennett’s, Davidson (1984, 1985) and Bermúdez (2003a) argue, although on different grounds, that since animals are incapable of speaking and interpreting a natural language, they cannot possess mental-state concepts for propositional attitudes and, therefore, cannot have higher-order thoughts about their own or others propositional attitudes (see sections 1c and 1d.iii above). This alone, of course, is not sufficient to prove that animals are incapable of higher-order thoughts about non-propositional mental states, such as bodily sensations and perceptual experiences. However, some have gone further and argued that animals are incapable of possessing any type of mental-state concept and, therefore, any type of higher-order thought. The argument for this view generally consist of the following two main premises: (1) if animals possess mental-state concepts, then they must have the capacity to apply these concepts to themselves as well as to other animals; and (2) animals have been shown to perform poorly in some important experiments designed to test whether they can apply mental-state concepts to other animals.

Premise (1) of this argument is sometimes supported (Seager 2004) by an appeal to Evan’s generality constraint (see section 1e.ii above); roughly, the argument runs, if an animal can think, for example, I am in pain, and can think of another animal that, for example, he walks, then the animal in question must be capable of thinking of another animal, he is pain, as well as be capable of thinking of himself, I walk. Others, however, have supported premise (1) on evolutionary grounds, arguing that animals would not have evolved the capacity to think with mental-state concepts unless their doing so was of some selective advantage, and the only selective advantage of thinking with mental-state concepts is its use in anticipating and manipulating other animals’ behaviors (Humphrey 1976). Premise (2) of this argument has been supported mainly by the results of a series of experiments conducted by Povinelli and colleagues (see Povinelli & Vonk 2004) which appear to show that chimpanzees are incapable of discriminating betweenseeing and not seeing in other subjects.

Various objections have been raised against such defenses of premises (1) and (2). Gennaro (2009), for example, has argued against the defense of premise (1) based on Evan’s generality constraint. Others have argued that, contrary to the evolutionary defense given for premise (1), the principal selective advantage of thinking with mental-state concepts is its use in recognizing and correcting errors in one’s own thinking, and that the results of various meta-cognition studies have shown that various animals are capable of reflecting upon and improving their pattern of thinking (Smith et al., 2003). (However, see Carruthers (2008) for a critique of such higher-order interpretations of these studies.) And with respect to premise (2), others have argued that, contrary to Povinelli’s interpretation, chimpanzees fail such discrimination tasks not because they are unable to attribute mental states to others but because the experimental tasks are unnatural and confusing for the animals, and that when the experimental tasks are more suitable and natural, such as those used in competitive paradigms (Hare et al. 2000; Hare et al. 2001; Santos et al. 2006), the animals show signs of mental-state attribution. However, see Penn and Povinelli (2007) for challenges to the supposed successes of mental-state attributions by animals in these new experimental protocols and for suggestions on how to improve experimental methods used in testing mental-state attributions in animals.

b. First-Order Theories

According to first-order theories, conscious mental states are those that make one conscious of things or facts in the external environment (Evans 1982; Tye 1995; Dretske 1995). Mental states are not conscious because one is higher-order aware of them but because the states themselves make one aware of the external world. Unconscious mental states, therefore, are mental states that fail to make one conscious of things or facts in the environment—although, they may have various effects on one’s behavior. Furthermore, mental states that make subjects conscious of things or facts in the environment do so, according to first-order theories, in virtue of their effecting, or being poised to effect, subjects’ belief-forming system. So, for example, one’s current perception of the computer screen is conscious, on such theories, because it causes, or is poised to cause, one to believe that there is a computer screen before one; whereas, those perceptual states that are involved in subliminal perception, for instance, are not conscious because they do not cause, nor are poised to cause, subjects to form beliefs about the environment.

First-order theorists argue (Tye 1997; Dretske 1995) that many varieties of animals, from fish to bees to chimpanzees, form beliefs about their environment based upon their perceptional states and bodily sensations and, therefore, enjoy conscious perceptual states and bodily sensations. Additional virtues of first-order theories, it is argued, are that they offer a more parsimonious account of consciousness than higher-order theories, since they do not require higher-order awareness for consciousness, and that they provide a more plausible account of animal consciousness than higher-order theories, since they ascribe consciousness to animals that we intuitively believe to possess conscious perceptual states (for example, bats and mice) but do not intuitively believe to possess higher-order awareness.

It has been argued (Lurz 2004, 2006), however, that first-order theories are at their best when explaining the consciousness of perceptual states and bodily sensations but have difficultly explaining the consciousness of beliefs and desires. Most first-order theorists have responded to this problem by endorsing a higher-order thought theory of consciousness for such mental states (Tye 1997; Dretske 2000, p. 188). On such a hybrid view, beliefs and desires are conscious in virtue of having higher-order thoughts about them, while perceptual states and bodily sensations are conscious in virtue of their being poised to make an impact on one’s belief-forming system. This hybrid view faces two important problems, however. First, on such a view, few, if any, animals would be capable of conscious beliefs and desires, since it seems implausible, for various reasons, to suppose that many animals are capable of higher-order thoughts about their own beliefs and desires. And yet it has been argued (Lurz 2002b) that there is intuitively compelling grounds for thinking that many animals are capable of conscious beliefs and desires, since their behaviors are quite often predictable and explainable in terms of the concepts beliefand desire of our folk psychology, which is a set of laws about the causal properties and interactions ofconscious beliefs and desires (or, at the very least, a set of laws about the causal properties and interactions of beliefs and desires that are apt to be conscious (Stich 1978)). However, see Carruthers (2005) for a reply to this argument.

The second problem for the hybrid view is that on its most plausible rendition it would ascribe consciousness to the same limited class of animals as higher-order thought theory and, thereby, provide no more of an intuitively plausible account of animal consciousness than its main competitor. For it seems intuitively plausible to suppose that a perceptual state or bodily sensation will be conscious only if it effects, or is poised to effect, a subject’s conscious belief-forming system. If it were discovered, for example, that the perceptual states involved in subliminal perception (or blindsight) caused subjects to form unconscious beliefs about the environment, no one but the most committed first-order theorist would conclude from this alone that these perceptual states were, after all, conscious. But if perceptual states and bodily sensations are conscious only insofar as they effect (or are poised to effect) a subject’sconscious belief-forming system, and conscious beliefs, on the hybrid view, require higher-order thought, then to possess conscious perceptions and bodily sensations, an animal would have to be, as higher-order thought theories maintain, capable of higher-order thought. What appears to be need here in order to save first-order theories from this problem is a first-order account of conscious beliefs and desires. See Lurz (2006) for a sketch of such an account.

3. Other Issues

There are many other important issues in the philosophy of animal minds in addition to those directly related to the nature and scope of animal thought, reason, and consciousness. Due to considerations of length, however, only a brief list of such issues with reference to a few relevant and important sources is provided.

The nature and extent of animal emotions has been, and continues to be, an important issue in the philosophy of animal minds (see Nussbaum 2001; Roberts 1996, 2009: Griffiths 1997), as well as the nature and extent of propositional knowledge in animals (see Korblith 2002). Philosophers have also been particularly interested in the philosophical foundations and the methodological principles, such as Lloyd Morgan’s canon, employed in the various sciences that study animal cognition and consciousness (see Bekoff et al. 2002; Allen and Bekoff 1997; Fitzpatrick 2007, 2009; Sober 1998, 2001a, 2001b, 2005). Philosophers have also been interested in the nature and justification of the practice of anthropomorphism by scientists and lay folk (Mitchell at al.1997; Bekoff & Jamieson 1996; Datson & Mitman 2005). And finally, there is a rich history of philosophical thought on animal minds dating back to the earliest stages of philosophy and, therefore, there has been, and continues to be, philosophical interest and issues related to the history of the philosophy of animal minds (see Sorabji, 1993; Wilson, 1995; DeGrazia, 1994).

4. References and Further Reading

a. References

  • Allen, C. & Bekoff, M. (1997). Species of Mind. Cambridge, MA: MIT Press.
  • Armstrong, D. (1973). Belief, Truth and Knowledge. Cambridge: Cambridge University Press.
  • Armstrong. D. (1997). What Is Consciousness? In N. Block, O. Flanagan & G. Güzledere (Eds.) The Nature of Consciousness: Philosophical Debates. Cambridge, Mass.: MIT Press.
  • Beisecker, D. (2002). Some More Thoughts About Thought and Talk: Davidson and Fellows on Animal Belief. Philosophy 77: 115-124.
  • Bekoff, M. & Jamieson, D. (1996). Readings in Animal Cognition. Cambridge, Mass.: MIT Press.
  • Bekoff, M., Allen, C. & Burghardt, G. (2002). The Cognitive Animal: Empirical and Theoretical Perspectives on Animal Cognition. Cambridge, Mass.: MIT Press.
  • Bennett, J. (1964/1989). Rationality: An Essay Towards and Analysis. Indianapolis: Hackett.
  • Bennett, J. (1966). Kant’s Analytic. Cambridge: Cambridge University Press.
  • Bennett, J. (1976). Linguistic Behaviour. Indianapolis: Hackett.
  • Bennett, J. (1988). Thoughtful Brutes. Proceedings and Addresses of the American Philosophical Association 62: 197-210.
  • Bermúdez, J. L. (2003a). Thinking Without Words. Oxford: Oxford University Press.
  • Bermúdez, J. L. (2003b). Ascribing Thoughts to Non-linguistic Creatures. Facta Philosophica 5: 313-334.
  • Boden, M. A. (1984). Animal Perception from an Artificial Intelligence Viewpoint. In C. Hookway (Ed.) Minds, Machines and Evolution. Cambridge: Cambridge University Press.
  • Braddon-Mitchell, D. & Jackson, F. (2007). Philosophy of Mind and Cognition: An Introduction (2nd edition). Oxford: Blackwell Publishing.
  • Camp, E. (2009). Putting Thoughts to Work: Concepts, Stimulus Independence, and the Generality Constraint. Philosophy and Phenomenological Research, 78 (2): 275-311.
  • Carruthers, P. (1992). The Animal Issue: Moral Theory in Practice. Cambridge: Cambridge University Press.
  • Carruthers, P. (1996). Language, Thought and Consciousness. Cambridge: Cambridge University Press.
  • Carruthers, P. (2000) Phenomenal Consciousness: A naturalistic Theory. Cambridge: Cambridge University Press.
  • Carruthers, P. (2004). On Being Simple Minded. American Philosophical Quarterly 41: 205-220.
  • Carruthers, P. (2005). Why the Question of Animal Consciousness Might Not Matter Very Much. Philosophical Psychology 17: 83-102.
  • Carruthers, P. (2006). The Architecture of the Mind. Oxford: Oxford University Press.
  • Carruthers, P. (2008). Meta-Cognition in Animals: A Skeptical Look. Mind and Language 23: 58-89.
  • Carruthers, P. (2009). Invertebrate concepts confront the Generality Constraint (and win). In R. Lurz (Ed.) Philosophy of Animal Minds. Cambridge: Cambridge University press.
  • Cottingham, J. (1978). A Brute to the Brutes?: Descartes Treatment of Animals. Philosophy 53: 551-561.
  • Clayton, N., Bussey, N. & Dickinson, A. (2003). Can Animals Recall the Past and Plan for the Future?Nature Reviews of Neuroscience 4: 685-691.
  • Clayton, N., Emery, N. & Dickinson, A. (2006). The Rationality of Animal Memory: Complex Caching Strategies of Western Scrub Jays. In S. Hurley and M. Nudds (Eds.) Rational Animals? Oxford: Oxford University Press.
  • Daston, L. & Mitman, G. (2005). Thinking With Animals: New Perspectives on Anthropomorphism. New York: Columbia University Press.
  • Davidson, D. (1984). Thought and Talk. In Inquiries into Truth and Interpretation (pp. 155-179). Oxford: Clarendon Press.
  • Davidson, D. (1985). Rational Animals. In E. Lepore & B. McLaughlin (Eds.) Actions and Events: Perspectives on the Philosophy of Donald Davidson. New York: Basil Blackwell.
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  • Fellows, R. (2000). Animal Belief. Philosophy 75: 587-598.
  • Fitzpatrick, S. (2007). Doing Away with Morgan’s Canon. Mind and Language.
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  • Fodor, J. (1987). Psychosemantics: The Problem of Meaning in Philosophy of Mind. Cambridge, Mass.: MIT Press.
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  • Fodor, J. & Lepore, E. (1992). Holism: A Shopper’s Guide. Oxford: Blackwell.
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  • Gennaro, R. (2004). Higher-order thoughts, animal consciousness, and misrepresentation: A reply to Carruthers and Levine. In R. Gennaro (Ed.) Higher-Order Theories of Consciousness. Amsterdam & Philadelphia: John Benjamins.
  • Gennaro, R. (2009). Animals, Consciousness, and I-thoughts. In R. Lurz (Ed.) The Philosophy of Animal Minds. Cambridge: Cambridge University Press.
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  • Griffin, D. (1976). The Question of Animal Awareness. New York: Rockefeller University Press.
  • Griffin, D. (1984). Animal Thinking. Cambridge, MA: Harvard University Press.
  • Griffin, D. (2001). Animal Minds: Beyond Cognition to Consciousness. Chicago: Chicago University Press.
  • Griffin, D. & Speck, G. (2007). New Evidence of Animal Consciousness. Animal Cognition 7:5-18.
  • Griffiths, P. (1997). What Emotions Really Are: The Problem of Psychological Categories.Chicago: University of Chicago Press.
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  • Hare, B. Call, J. & Tomasello, M. (2001). Do Chimpanzees Know What Conspecifics Do and Do Not See? Animal Behavior 59:771-785.
  • Hauser, M. (2000). Wild Minds. New York: Henry Holt and Co.
  • Hauser, M., Chomsky, N. & Fitch, W. T. (2002). The Faculty of Language: What Is It, Who Has It, and How Did It Evolve? Science 298: 1569-1579.
  • Hampton, R., Zivin, A., & Murray, E. (2004). Rhesus Monkeys (Macaca mulatta) Discriminate Between Knowing and not Knowing and Collect Information as Needed Before Acting. Animal Cognition, 7, 239-246.
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  • Hume, D. (1739/1978). A Treatise of Human Nature. Edited by P. H. Nidditch, 2nd Ed. Oxford: Oxford University Press.
  • Humphrey, N. (1976). The Social Function of Intellect. In P. P. G. Bateson & R. A. Hinde (Eds.)Growing Points in Ethology. Cambridge: Cambridge University Press.
  • Hurley, S. & Nudds, M. (2006). Rational Animals? Oxford: Oxford University Press.
  • Kennedy, J. (1992). The New Anthropomorphism. Cambridge: Cambridge University Press.
  • Köhler, W. (1925). The Mentality of Apes. London: Routledge and Kegan Paul.
  • Kornblith, H. (2002). Knowledge and its Place in Nature. Oxford: Oxford University Press.
  • Lurz, R. (1998). Animal Minds: The Possibility of Second-Order Beliefs in Non- Linguistic Animals. (Doctoral dissertation Temple University, 1998). Dissertation Abstracts International,59, no. 03A.
  • Lurz, R. (1999). Animal Consciousness. Journal of Philosophical Research 24: 149-168.
  • Lurz, R. (2002a). Reducing Consciousness by Making it HOT: A Commentary on Carruthers’Phenomenal ConsciousnessPsyche 8.
  • Lurz, R. (2002b). Neither HOT nor COLD: An Alternative Account of Consciousness. Psyche 9.
  • Lurz, R. (2003). Advancing the Debate Between HOT and FO Theories of Consciousness. Journal of Philosophical Research 28: 23-44.
  • Lurz, R. (2004). Either FOR or HOR: A False Dichotomy, in R. Gennaro (Ed.) Higher- Order Theories of Consciousness, John Benjamins, Amsterdam, 2004, pp. 226- 54.
  • Lurz, R. (2007). In Defense of Wordless Thoughts about Thoughts. Mind and Language 22 : 270-296.
  • Lurz. R. (2006). Conscious Beliefs and Desires: A Same-Order Approach, in U. Kriegel and K. Williford (Eds.) Self-Representational Approaches to Consciousness, MIT Press.
  • Lurz, R. (2009). Philosophy of Animal Minds : New Essays on Animal Thought and Consciousness. Cambridge : Cambridge University Press.
  • Lurz, R. (2011). Mindreading Animals: The Debate over What Animals Know about Other Minds. Cambridge, MA: MIT Press.
  • Lycan, W. (1996). Consciousness and Experience. Cambridge, Mass.: MIT Press.
  • Malcolm, N. (1977). Thoughtless Brutes. In Thought and Knowledge. Ithaca: Cornell University Press.
  • Marcel , A. (1983). Conscious and unconscious perception. Cognitive Psychology, 15: 197-237
  • Menzel, E. (1974). A Group of Chimpanzees in a 1-Acre Field: Leadership and Communication. In A. M. Shrier & F. Stollnitz (Eds.) Behaviour of Nonhuman Primates. New York: Academic Press.
  • McGinn, C. (1982). The Character of Mind. Oxford: Oxford University Press.
  • Mitchell, R., Thompson, N. & Miles, H. (1997). Anthropomorphism, Anecdotes, and Animals. New York: SUNY Press.
  • Moser, P. (1983). Rationality without Surprise: Davidson on Rational Belief. Dialectica 37: 221-226.
  • Nussbaum, M. (2001). Upheavals of Thought: The Intelligence of Emotions. Cambridge: Cambridge University Press.
  • Panksepp, J. & Burgdorf, J. (2003). “Laughing Rats and the Evolutionary Antecedents of Human Joy?Physiology and Behavior 79:533-547.
  • Parker, S. T., Mitchell, R. & Boccia, M. (1994). Self-Awareness in Animals and Humans: Developmental Perspectives. Cambridge: Cambridge University Press.
  • Penn, D. & Povinelli, D. (2007). On the Lack of Evidence that Non-Human Animals Possess Anything Remotely Resembling a “Theory of Mind.” Philosophical Transactions of the Royal Society B362: 731-744.
  • Pepperberg, E. (1999). The Alex Studies: Cognitive and Communicative Abilities of Grey Parrots.Cambridge, MA: Harvard University Press.
  • Povinelli, D & Vonk, J. (2004). We don’t need a microscope to explore the chimpanzee’s mind.Mind and language 19: 1-28. Reprinted in Hurley and Nudds (Eds.) Rational Animals? 2006. Oxford: Oxford University Press.
  • Premack, D. & Woodruff, G. (1978). Does the Chimpanzee have a Theory of Mind? Behaviorial and Brain Sciences 1: 515-526.
  • Proust, J. (2009). Metacognitive states in non-human animals: a defense. In R. Lurz (Ed.) The Philosophy of Animal Minds. Cambridge: Cambridge University Press.
  • Quine, W. V. O. (1995). From Stimulus to Science. Cambridge, Mass.: Harvard University Press.
  • Radner, D. and Radner, M. (1989). Animal Consciousness. Buffalo, NY: Prometheus Books.
  • Rey, G. & Tetzlaff, M. (forthcoming). Systematicity in Honeybee Navigation. In Lurz Ed.) Philosophy of Animal Minds. Cambridge: Cambridge University Press.
  • Roberts, R. (1996). Propositions and Animal Emotion. Philosophy 71:147-156.
  • Roberts, R. (2009). The Sophistication of Non-Human Emotion. In R. Lurz (Ed.) The Philosophy of Animal Minds. Cambridge: Cambridge University Press.
  • Rosenthal, D. (1986). Two Concepts of Consciousness. Philosophical Studies 49: 329-359.
  • Santos, L., Nissen, A., & Ferrugia, J. (2006). Rhesus Monkeys, Macca mulatta, Know What Others Can and Cannot Hear. Animal Behavior 71:1175-1181.
  • Savage-Rumbaugh, S., Shanker, S. and Taylor, T. (1998). Apes, Language, and the Human Mind. Oxford: Oxford University Press.
  • Seager, W. (2004). A Cold Look at HOT Theory. In R. Gennaro (Ed.) Higher-Order Theories of Consciousness. Amsterdam: John Benjamins.
  • Searle, J. (1983). Intentionality. Cambridge: Cambridge University Press.
  • Searle, J. (1992). The Rediscovery of Mind. Cambridge, Mass.: MIT Press.
  • Searle, J. (1994). Animal Minds. Midwest Studies in Philosophy 19: 206-219.
  • Searle. J. (2001). Rationality in Action. Cambridge, Mass.: MIT Press. Shoemaker, S. (1996). Self-Knowledge and “Inner Sense.” Lecture I: The Object Perception Model. In The First-Person Perspective and Other Essays. Cambridge: Cambridge University Press.
  • Stich, S. (1978). Belief and Subdoxastic States. Philosophy of Science 45: 499-518.
  • Stich, S. (1979). Do Animals Have Beliefs? Australasian Journal of Philosophy 57: 15- 28.
  • Stalnaker, R. (1999). Mental Content and Linguistic Form. In Context and Content. Oxford: Oxford University Press.
  • Smith, J., Shields, W., & Washburn, D. (2003). The Comparative Psychology of Uncertainty Monitoring and Meta-Cognition. Behavioral and Brain Sciences 26, 317-373.
  • Sober, E. (1998). Morgan’s Canon. In C. Allen and D. Cummins (Eds.) The Evolution of Mind. Oxford: Oxford University Press.
  • Sober, E. (2001a). Simplicity. In W.H. Newton-Smith (Ed.), Companion to the Philosophy of Science. Oxford: Blackwell Publishing.
  • Sober, E. (2001b). The Principle of Conservatism in Cognitive Ethology. In D. Walsh (Ed.)Naturalism, Evolution, and Mind. Cambridge: Cambridge University Press.
  • Sober, E. (2005). Comparative Psychology Meets Evolutionary Biology: Morgan’s Canon and Cladistic Parsimony. In L. Daston & G. Mitman (Eds.) Thinking With Animals: New Perspectives on Anthropomorphism. New York. Columbia University Press.
  • Sorabji, R. (1993). Animal Minds and Human Morals: The Origins of the Western Debate. Ithaca: Cornell University Press.
  • Tetzlaff, M. & Rey, G. (2009). Systematicity in Honeybee Navigation. In R. Lurz (Ed.) Philosophy of Animal Minds. Cambridge: Cambridge University Press.
  • Tschudin , A.J-P.C. (2001). “Mindreading” mammals? Attribution of belief tasks with dolphins . Animal Welfare , 10 , 119-127 .
  • Tye, M. (1995). Ten Problems of Consciousness. Cambridge, Mass.: MIT Press.
  • Tye, M. (1997). The Problem of Simple Minds: Is There Anything it is Like to be a Honey Bee?Philosophical Studies 88: 289-317.
  • Wilson, M. D. (1995). Animal Ideas. Proceedings and Addresses of the American Philosophical Association 69:7-25.

b. Suggested Further Readings

Recent Volumes of New Essays in the Philosophy of Animal Mind

  • Lurz, R. (2009). The Philosophy of Animal Minds: New Essays on Animal Thought and Consciousness. Cambridge : Cambridge University Press.
  • Hurley, S. & Nudds, M. (2006). Rational Animals? Oxford: Oxford University Press.

Articles and Books on Contemporary Issues in Philosophy of Mind

  • Akins, K. A. (1993) A Bat Without Qualities. In M. Davies and G. Humphreys (Eds.) Consciousness. Oxford: Blackwell.
  • Allen, C. and Hauser, M. (1991). Concept Attribution in Non-Human Animals:Theoretical and Methodological Problems of Ascribing Complex Mental Processes. Philosophy of Science 58: 221-240.
  • Allen, C. (1995) Intentionality: Natural and Artificial. In H. Roitblat and J.-A.Meyer (Eds.)Comparative Approaches to Cognitive Science. Cambridge, MA: MIT Press.
  • Allen, C. (1999). Animal Concepts Revisted: The Use of Self-Monitoring as An Empirical Approach. Erkenntnis 51: 33-40.
  • Allen, C. (2004). Animal Pain. Noûs 38: 617-643.
  • Allen, C. (2004). Animal Consciousness. Stanford Encyclopedia of Philosophy.
  • Bennett, J. (1990). How to Read Minds in Behaviour: A Suggestion from a Philosopher. In A. Whiten’s (Ed.) The Emergence of Mindreading. Oxford: Blackwell.
  • Bennett, J. (1996). How is Cognitive Ethology Possible? In C. Ristau (Ed.) Cognitive Ethology: The Minds of Other Animals. New Jersey: Lawrence Erlbaum Associates.
  • Bermúdez, J. (2009). Mindreading in the Animal Kingdom? In R. Lurz (Ed.) The Philosophy of Animal Minds. Cambridge: Cambridge University Press.
  • Bishop, J. (1980). More Thought on Thought and Talk. Mind 89:1-16. Browne, D. (2004) “Do Dolphins Know Their Own Minds?” Biology & Philosophy 19: 633-653.
  • Carruthers, P. (1989). Brute Experience. The Journal of Philosophy 86: 258-269.
  • Carruthers, P. (1998). Animal Subjectivity. Psyche 4, .
  • Cherniak, C. (1986). Minimal Rationality. Cambridge, MA: MIT Press.
  • Dennett, D. (1983). Intentional Systems in Cognitive Ethology: The “Panglossian Paradigm” Defended.Behavioral and Brain Sciences 6:343-390.
  • Dennett, D. (1995). Animal Consciousness: What Matters and Why. Social Research 62: 691-711.
  • DeGrazia, D. (2009). Self-Awareness in Animals. In R. Lurz (Ed.) The Philosophy of Animal Minds. Cambridge: Cambridge University Press.
  • Dixon, B. (2001). Animal Emotions. Ethics and the Environment 6.2: 22-30.
  • Dreckmann, F. (1999). Animal Beliefs and Their Contents. Erkenntnis 51:93-111.
  • Dretske, F. (1999). Machines, Plants and Animals: The Origins of Agency. Erkenntnis 51: 19-31.
  • Dummett, M. (1993). Language and Communication. In The Seas of Language. Oxford: Clarendon Press.
  • Dummett, M. (1993). The Origins of Analytic Philosophy. London: Duckworth.
  • Fodor, J. (1986). Why Paramecia Don’t Have Mental Representations. Midwest Studies in Philosophy 10: 3-23.
  • Graham, G. (1993). Belief in Animals. In Philosophy of Mind: An Introduction. Oxford: Blackwell.
  • Griffiths, P. E. (2003). Basic Emotions, Complex Emotions, Machiavellian Emotions. In Philosophy and the Emotions A. Hatzimoysis (Ed.), Cambridge, CUP: 39-67.
  • Griffiths, P and Scarantino, A. (in press). Emotions in the Wild: The situated perspective on emotion. in P. Robbins and M. Aydede (eds.) Cambridge Handbook of Situated Cognition, Cambridge: Cambridge University Press.
  • Heil, J. (1982). Speechless Brutes. Philosophy and Phenomenological Research 42: 400-406.
  • Heil, J. (1992). Talk and Thought. In The Nature of True Minds. Cambridge: Cambridge University Press.
  • Jamieson, D. and Bekoff, M. (1992) Carruthers on Nonconscious Experience. Analysis 52: 23-28.
  • Jamieson, D. (1998). Science, Knowledge, and Animals Minds. Proceedings of the Aristotelian Society 98: 79-102.
  • Jamieson, D. (2009). What Do Animals Think? In R. Lurz (Ed.) The Philosophy of Animal Minds. Cambridge: Cambridge University Press.
  • Kornblith, H. (1999). Knowledge in Humans and Other Animals. Philosophical Perspectives 13: 327-346.
  • Marcus, R. B. (1995). The Anti-Naturalism of Some Language Centered Accounts of Belief.Dialectica 49: 113-129.
  • McAninch, A., Goodrich, G. & Allen, C. (2009). Animal Communication and Neo- Expressivism. In R. Lurz (Ed.) The Philosophy of Animal Minds. Cambridge: Cambridge University Press.
  • McGinn, C. (1995). Animal Minds, Animal Morality. Journal of Social Research 62: 731-747.
  • Millikan, R. G. (1997). Varieties of Purposive Behavior. In R. Mitchell, N. Thompson, and H. L. Miles (Eds.) Anthropomorphism, Anecdotes, and Animals. New York: State University of New York Press.
  • Nagel, T. (1974). What is it Like to be a Bat? Philosophical Review 83: 435-450.
  • Papineau, D. (2001). The Evolution of Means-End Reasoning. Philosophy 49: 145-178.
  • Proust, J. (1999). Mind, Space and Objectivity in Non-Human Animals. Erkenntnis 51: 41-58.
  • Proust, J. (2000). L’animal intentionnel. Terrain 34:23-36.
  • Proust, J. (2000). Can Non-Human Primates Read Minds? Philosophical Topics 27:203-232.
  • Putnam, H. (1992). Intentionality and Lower Animals. In Renewing Philosophy. Cambridge, MA: Harvard University Press.
  • Radner, D. (1993) Direct Action and Animal Communication. Ratio 6: 135-154.
  • Radner, D. (1994) Heterophenomenology: Learning About the Birds and the Bees. Journal of Phiosophy 91: 389-403.
  • Radner, D. (1999). Mind and function in animal communication. Erkenntnis 51: 129-144.
  • Rescorla, M. (2009). Chrysippus’s Dog as a Case Study in Non-Linguistic Cognition. In R. Lurz (Ed.)The Philosophy of Animal Minds. Cambridge: Cambridge University Press.
  • Ridge, M. (2001). Taking Solipsism Seriously: Nonhuman Animals and Meta-Cognitive Theories of Consciousness. Philosophical Studies 103: 315-340.
  • Rollin, B. E. (1989) The Unheeded Cry: Animal Consciousness, Animal Pain and Science. Oxford: Oxford University Press.
  • Rowlands, M. (2002). Do Animals Have Minds? In Animals Like Us. New York: Verso.
  • Routley, R. (1981). Alleged Problems in Attributing Beliefs and Intentionality to Animals. Inquiry, 24, 385-417.
  • Saidel, E. (2002). Animal Minds, Human Minds. In M. Bekoff, C. Allen, and G. M. Burghardt The Cognitive Animal. Cambridge, MA: MIT Press.
  • Saidel, E. (2009). Attributing Mental Representations to Animals. In R. Lurz (Ed.) The Philosophy of Animal Minds. Cambridge: Cambridge University Press.
  • Smith, P. (1982). On Animal Beliefs. Southern Journal of Philosophy 20, 503-512.
  • Sober, E. (2001). The Principle of Conservatism in Cognitive Ethology. In Denis M. Walsh (ed.)Naturalism, Evolution, and Mind. Cambridge University Press.
  • Sober, E. (2001). Comparative Psychology Meets Evolutionary Biology: Morgan’s Canon and Cladistic Parsimony. In L. Daston and G. Mitman (Eds.) Thinking With Animals: New Perspective on Anthropomorphism. Columbia University Press.
  • Stephan, A. (1999). Are Animals Capable of Concepts? Erkenntnis 51:79-92.
  • Sterelny, K. (1995). Basic Minds. Philosophical Perspectives 9: 251-270.
  • Sterelny, K. (2000). Primate Worlds. In C. Heyes and L. Huber (Eds.) Evolution and Cognition. Cambridge, MA: MIT Press.
  • Stich, S. (1983). Animal Beliefs. In From Folk Psychology to Cognitive Science. Cambridge, MA: MIT Press.
  • Ward, A. (1988). Davidson on Attributions of Beliefs to Animals. Philosophia 18: 97-106.

Historical Works on Animal Minds

  • Arnold, D. G. (1995). Hume on the Moral Difference Between Humans and Other Animals. History of Philosophy Quarterly 12: 303-316.
  • Beauchamp, T. L. (1999). Hume on the Nonhuman Animal. Journal of Medicine and Philosophy 24:322-335.
  • Boyle, D. (2003). Hume on Animal Reason. Hume Studies 29: 3-28.
  • Churchill, J. (1989). If a Lion Could Talk. Philosophical Investigations 12: 308-324.
  • Fuller, B. A. G. (1949). The Messes Animals Make in Metaphysics. The Journal of Philosophy 46: 829—838.
  • Frongia, G. (1995). Wittgenstein and the Diversity of Animals. Monist 78: 534-552.
  • Glock, H. J. (2000). Animals, Thoughts and Concepts. Synthese 123:35-64.
  • Gordon, D. M. (1992). Wittgenstein and Ant-Watching. Biology and Philosophy 7: 13- 25.
  • Harrison, P. (1992). Descartes on Animals. Philosophical Quarterly 42: 219-227.
  • Seidler, M. J. (1977). Hume and the Animals. Southern Journal of Philosophy 15:361- 372.
  • Squadrito, K. (1980). Descartes, Locke and the Soul of Animals. Philosophy Research Archives 6.
  • Squadrito, K. (1991). Thoughtful Brutes: The Ascription of Mental Predicates to Animals in Locke’s EssayDialogos 91: 63-73.
  • Sorabji, R. (1992). Animal Minds. Southern Journal of Philosophy 31: 1-18.
  • Tranoy, K. (1959). Hume on Morals, Animals, and Men. Journal of Philosophy 56: 94- 192.

Author Information

Robert Lurz
Email: Rlurz@brooklyn.cuny.edu
Brooklyn College
U. S. A.

Buddha (c. 500s B.C.E.)

buddhaThe historical Buddha, also known as Gotama Buddha, Siddhārtha Gautama, and Buddha Śākyamuni, was born in Lumbini, in the Nepalese region of Terai, near the Indian border. He is one of the most important Asian thinkers and spiritual masters of all time, and he contributed to many areas of philosophy, including epistemology, metaphysics and ethics. The Buddha’s teaching formed the foundation for Buddhist philosophy, initially developed in South Asia, then later in the rest of Asia. Buddhism and Buddhist philosophy now have a global following.

In epistemology, the Buddha seeks a middle way between the extremes of dogmatism and skepticism, emphasizing personal experience, a pragmatic attitude, and the use of critical thinking toward all types of knowledge. In ethics, the Buddha proposes a threefold understanding of action: mental, verbal, and bodily. In metaphysics, the Buddha argues that there are no self-caused entities, and that everything dependently arises from or upon something else. This allows the Buddha to provide a criticism of souls and personal identity; that criticism forms the foundation for his views about the reality of rebirth and an ultimate liberated state called “Nirvana.” Nirvana is not primarily an absolute reality beyond or behind the universe but rather a special state of mind in which all the causes and conditions responsible for rebirth and suffering have been eliminated. In philosophical anthropology, the Buddha explains human identity without a permanent and substantial self. The doctrine of non-self, however, does not imply the absolute inexistence of any type of self whatsoever, but is compatible with a conventional self composed of five psycho-physical aggregates, although all of them are unsubstantial and impermanent. Selves are thus conceived as evolving processes causally constrained by their past.

Table of Contents

  1. Interpreting the Historical Buddha
    1. Dates
    2. Sources
    3. Life
    4. Significance
  2. The Buddha’s Epistemology
    1. The Extremes of Dogmatism and Skepticism
    2. The Role of Personal Experience and the Buddha’s Wager
    3. Interpretations of the Buddha’s Advice to the Kālāma People
    4. Higher Knowledge and the Question of Empiricism
  3. The Buddha’s Cosmology and Metaphysics
    1. The Universe and the Role of Gods
    2. The Four Noble Truths or Realities
    3. Ontology of Suffering: the Five Aggregates
    4. Arguments for the Doctrine of Non-self
    5. Human Identity and the Meaning of Non-self
    6. Causality and the Principle of Dependent Arising
  4. Nirvana and the Silence of the Buddha
    1. Two Kinds of Nirvana and the Undetermined Questions
    2. Eternalism, Nihilism, and the Middle Way
  5. Buddhist Ethics
  6. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Interpreting the Historical Buddha

a. Dates

There is no complete agreement among scholars and Buddhist traditions regarding the dates of the historical Buddha. The most common dates among Buddhists are those of the Theravāda school, 623-543 B.C.E. From the middle of the 19th century until the late 20th century, Western scholars had believed the dates of the Buddha to be ca. 560-480 B.C.E. However, after the publication in 1991-2 of the proceedings of the international symposium on the date of the historical Buddha held in Göttingen in 1988, the original consensus on these dates no longer exists.

Although there is no conclusive evidence for any specific date, most current scholars locate the Buddha’s life one hundred years earlier, around the fifth century B.C.E. Some of the new dates for the Buddha’s “death” or more accurately, for his parinirvāṇa are: ca. 404 B.C.E. (R. Gombrich), between 410-390 B.C.E. (K.R. Norman), ca. 400 B.C.E. (R. Hikata), ca. 397 B.C.E. (K.T.S. Sarao), between ca.400-350 B.C.E. (H. Bechert), 383 B.C.E. (H. Nakamura), 368 B.C.E. (A. Hirakawa), between 420-380 B.C.E. (A. Bareau).

b. Sources

The historical Buddha did not write down any of his teachings, they were passed down orally from generation to generation for at least three centuries. Some scholars have attempted to distinguish the Buddha’s original teachings from those developed by his early disciples. Unfortunately, the contradictory conclusions have led most scholars to be skeptical about the possibility of knowing what the Buddha really taught. This however, does not mean that all Buddhist texts that attribute teachings to the Buddha are equally valuable to reconstruct his thought. The early sūtras in Pāli and other Middle Indo-Aryan languages are historically and linguistically closer to the cultural context of the Buddha than Mahāyāna sūtras in Sanskrit, Tibetan, and Chinese. This does not imply that later translations of the early sūtras in Chinese (there are no Tibetan translations of the early sūtras) are less authentic or useless in reconstructing the philosophy of the Buddha. On the contrary, the comparative study of Pāli and Chinese versions of the early sūtras can help to infer what might have been the Buddha’s position on a number of issues.

Following what seems to be a growing scholarly tendency, I will reconstruct the philosophy of the historical Buddha by drawing on the Sutta Piṭaka of the Pāli canon. More specifically, our main sources are the first four Pāli Nikāyas (Dīgha, Majjhima, Saṃyutta, Aṅguttara) and some texts of the fifth Pāli Nikāya (Dhammapada, Udāna, Itivuttaka, and Sutta Nipāta). I do not identify these sources with the Buddha’s “ipsissima verba,” that is, with “the very words” of the Buddha, even less with his “actual” thought. Whether these sources are faithful to the actual thought and teachings of the historical Buddha is an unanswerable question; I can only say that to my knowledge there are not better sources to reconstruct the philosophy of the Buddha.

According to the traditional Buddhist account, shortly after the Buddha’s death five hundred disciples gathered to compile his teachings. The Buddha’s personal assistant, Ānanda, recited the first part of the Buddhist canon, the Sūtra Piṭaka, which contains discourses in dialogue form between the Buddha, his disciples, and his contemporaries on a variety of doctrinal and spiritual questions. Ānanda is reported to have recited the sutras just as he had heard them from the Buddha; that is why Buddhist sutras begin with the words “Thus have I heard.” Another disciple, Upāli, recited the second part of the Buddhist canon, the Vinaya Piṭaka, which also contains sutras, but primarily addresses the rules that govern a monastic community. After the recitation of Ānanda and Upāli, the other disciples approved what they had heard and communally recited the teachings as a sign of agreement. The third part of the Buddhist canon or Abhidharma Piṭaka, was not recited at that moment. The Theravāda tradition claims that the Buddha taught the Abhidharma while visiting the heaven where his mother was residing.

From a scholarly perspective, the former account is questionable. It might be the case that a large collection of Buddhist texts was written down for the first time in Sri Lanka during the first century B.C.E. However, the extant Pāli canon shows clear signs of historical development in terms of both content and language. The three parts of the Pāli canon are not as contemporary as the traditional Buddhist account seems to suggest: the Sūtra Piṭaka is older than the Vinaya Piṭaka, and the Abhidharma Piṭaka represents scholastic developments originated at least two centuries after the other two parts of the canon. The Vinaya Piṭaka appears to have grown gradually as a commentary and justification of the monastic code (Prātimokṣa), which presupposes a transition from a community of wandering mendicants (the Sūtra Piṭaka period ) to a more sedentary monastic community (the Vinaya Piṭaka period). Even within the Sūtra Piṭaka it is possible to detect older and later texts.

Neither the Sūtra Piṭaka nor the Vinaya Piṭaka of the Pāli canon could have been recited at once by one person and repeated by the entire Buddhist community. Nevertheless, the Sūtra Piṭaka of the Pāli canon is of particular importance in reconstructing the philosophy of Buddha for four main reasons. First, it contains the oldest texts of the only complete canon of early Indian Buddhism, which belong to the only surviving school of that period, namely, the Theravāda school, prevalent in Sri Lanka and Southeast Asia. Second, it has been preserved in a Middle Indo-Aryan language closely related to various Prakrit dialects spoken in North of India during the third century B.C.E., including the area where the Buddha spent most of his teaching years (Magadha). Third, it expresses a fairly consistent set of doctrines and practices. Fourth, it is strikingly similar to another version of the early Sūtra Piṭaka extant in Chinese (Āgamas). This similarity seems to indicate that a great part of the Sūtra Piṭaka in Pāli does not contain exclusively Theravāda texts, and belongs to a common textual tradition probably prior to the existence of Buddhist schools.

c. Life

Since the Pāli Nikāyas contain much more information about the teachings of the Buddha than about his life, it seems safe to postulate that the early disciples of the Buddha were more interested in preserving his teachings than in transmitting all the details of his life. The first complete biographies of the Buddha as well as the Jātaka stories about his former lives appeared centuries later, even after, and arguably as a reaction against, the dry lists and categorizations of early Abhidharma literature. The first complete biography of the Buddha in Pāli is the Nidānakathā, which serves as an introduction to the Jātaka verses found in the fifth Pāli Nikāya. In Sanskrit, the most popular biographies of the Buddha are the Buddhacarita attributed to the Indian poet Aśvaghoṣa (second century C.E), the Mahāvastu, and the Lalitavistara, both composed in the first century C.E.

The first four Pāli Nikāyas contain only fragmented information about the Buddha’s life. Especially important are the Mahāpadāna-suttanta, the Ariyapariyesanā-suttanta, the Mahāsaccaka-suttanta, and the Mahāparinibbāna-suttanta. According to the Mahāpadāna-suttanta, the lives of all Buddhas or perfectly enlightened beings follow a similar pattern. Like all Buddhas of the past, the Buddha of this cosmic era, also known as Gautama (Gotama in Pāli), was born into a noble family. The Buddha’s parents were King Śuddhodana and Queen Māyā. He was a member of the Śakya clan and his name was Siddhartha Gautama. Even though he was born in Lumbinī while his mother was traveling to her parents’ home, he spent the first twenty-nine years of his life in the royal capital, Kapilavastu, in the Nepalese region of Terai, close to the Indian border.

Like all past Buddhas, the conception and birth of Gautama Buddha are considered miraculous events. For instance, when all Buddhas descend into their mothers’ wombs from a heaven named Tuṣita, a splendid light shines forth and the entire universe quakes; their mothers are immaculate, healthy, and without pain of any sort during their ten months of pregnancy, but they die a week after giving birth. Buddha babies are born clean, though they are ritually bathed with two streams of water that fall from the sky; they all take seven steps toward the north and solemnly announce that this is their last rebirth.

Like former Buddhas, prince Siddhartha enjoyed all types of luxuries and sensual pleasures during his youth. Unsatisfied with this type of life, he had a crisis when he realized that everything was ephemeral and that his existence was subject to old age, sickness, and death. After seeing the serene joy of a monk and out of compassion for all living beings, he renounced his promising future as prince in order to start a long quest for a higher purpose, nirvāṇa (Pali nibbāna), which entails the cessation of old age, sickness and death. Later traditions speak of the Buddha as abandoning his wife Yaśodharā immediately after she gave birth to Rāhula, the Buddha’s only son. The Pāli Nikāyas, however, do not mention this story, and refer to Rāhula only as a young monk.

According to the Ariyapariyesanā-suttanta and the Mahāsaccaka-suttanta, the Buddha tried different spiritual paths for six years. First, he practiced yogic meditation under the guidance of Ālāra Kālāma and Uddaka Rāmaputta. After experiencing the states of concentration called base of nothingness and base of neither-perception-nor-non-perception, he realized that these lofty states did not lead to nirvana. Then the Buddha began to practice breathing exercises and fasting. The deterioration of his health led the Buddha to conclude that extreme asceticism was equally ineffective in attaining nirvana. He thus resumed eating solid food; after recovering his health, he began to practice a more moderate spiritual path, the middle path, which avoids the extremes of sensual self-indulgence and self-mortification. Soon after, the Buddha experienced enlightenment, or awakening, under a bodhi-tree. First he was inclined to inaction rather than to teaching what he had discovered. However, he changed his mind after the god Brahmā Sahampati asked him to teach. Out of compassion for all living beings, he decided to start a successful teaching career that lasted forty-five years.

d. Significance

It would be simplistic to dismiss all supernatural aspects of the Buddha’s life as false and consider historically true only those elements that are consistent with our contemporary scientific worldview. However, this approach towards the Buddha’s life was prevalent in the nineteenth century and a great part of the twentieth century. Today it is seen as problematic because it imposes modern western ideals of rationality onto non-western texts. Here I set aside the question of historical truth and speak exclusively of significance. The significance of all the biographies of Buddha does not lie in their historical accuracy, but rather in their effectiveness to convey basic Buddhist ideas and values throughout history. Even today, narratives about the many deeds of Buddha are successfully used to introduce Buddhists of all latitudes into the main values and teachings of Buddhism.

The supernatural elements of the Buddha’s life are as historically significant as the natural ones because they help to understand the way Buddhists conceived – and in many places continue to conceive – the Buddha. Like followers of other religious leaders, Buddhist scribes tended to glorify the sanctity of their foundational figure with extraordinary events and spectacular accomplishments. In this sense, the narratives of the Buddha are perhaps better understood as hagiographies rather than as biographies. The historical truth behind hagiographies is impossible to determine: how can we tell whether or not the Buddha was conceived without sexual intercourse; whether or not he was able to talk and walk right after his birth; whether or not he could walk over water, levitate, fly, and ascend into heaven at will? How do we know whether the Buddha was really tempted by Māra the evil one; whether there was an earthquake at the moment of his birth and death? The answers to these questions are a matter of faith. If the interpreter does not believe in the supernatural, then many narratives will be dismissed as historically false. However, for some Buddhists the supernatural events that appear in the life of Buddha did take place and are historically true.

The significance of the hagiographies of the Buddha is primarily ethical and spiritual. In fact, even if the life of Buddha did not take place as the hagiographies claim, the ethical values and the spiritual path they illustrate remain significant. Unlike other religions, the truth of Buddhism does not depend on the historicity of certain events in the life of the Buddha. Rather, the truth of Buddhism depends on the efficacy of the Buddhist path exemplified by the life of the Buddha and his disciples. In other words, if the different Buddhist paths inspired by the Buddha are useful to overcome existential dissatisfaction and suffering, then Buddhism is true regardless of the existence of the historical Buddha.

The fundamental ethical and spiritual point behind the Buddha’s life is that impermanent, conditioned, and contingent things such as wealth, social position, power, sensual pleasures, and even lofty meditative states, cannot generate a state of ultimate happiness. In order to overcome the profound existential dissatisfaction that all ephemeral and contingent things eventually generate, one needs to follow a comprehensive path of ethical and mental training conducive to the state of ultimate happiness called nirvana.

2. The Buddha’s Epistemology

a. The Extremes of Dogmatism and Skepticism

While the Buddha’s view of the spiritual path is traditionally described as a middle way between the extremes of self-indulgence and self-mortification, the Buddha’s epistemology can be interpreted as a middle way between the extremes of dogmatism and skepticism.

The extreme of dogmatism is primarily represented in the Pāli Nikāyas by Brahmanism. Brahmanism was a ritualistic religion that believed in the divine revelation of the Vedas, thought that belonging to a caste was determined by birth, and focused on the performance of sacrifice. Sacrifices involved the recitation of hymns taken from the Vedas and in many cases the ritual killing of animals.

Ritual sacrifices were offered to the Gods (gods for Buddhism) in exchange for prosperity, health, protection, sons, long life, and immortality. Only the male members of the highest caste, the priestly caste of Brahmins, could afford the professional space to seriously study the three Vedas (the Atharva Veda did not exist, or if it existed, it was not part yet of the Brahmanic tradition). Since only Brahmins knew the three Vedas, only they could recite the hymns necessary to properly perform the ritual sacrifice. Both ritual sacrifice and the social ethics of the caste system were seen as an expression of the cosmic order (Dharma) and as necessary to preserve that order.

Epistemologically speaking, Brahmanism emphasized the triple knowledge of the Vedas, and dogmatic faith in their content: “in regard to the ancient Brahmanic hymns that have come down through oral transmission and in the scriptural collections, the Brahmins come to the definite conclusion: ‘Only this is true, anything else is wrong’ ” (M.II.169).

The extreme of skepticism is represented in the Pāli Nikāyas by some members of the Śramanic movement, which consisted of numerous groups of spiritual seekers and wandering philosophers. The Sanskrit word “śramana” means “those who make an effort,” and probably refers to those who practice a spiritual discipline requiring individual effort, not just rituals performed by others. In order to become a śramana it was necessary to renounce one’s life as householder and enter into an itinerant life, which entailed the observance of celibacy and a simple life devoted to spiritual cultivation. Most śramanas lived in forests or in secluded places wandering from village to village where they preached and received alms in exchange.

The Śramanic movement was extremely diverse in terms of doctrines and practices. Most śramanas believed in free will as well as the efficacy of moral conduct and spiritual practices in order to attain liberation from the cycle of reincarnations. However, there was a minority of śramanas who denied the existence of the after life, free will, and the usefulness of ethical conduct and other spiritual practices. Probably as a reaction to these two opposite standpoints, some śramanas adopted a skeptic attitude denying the possibility of knowledge about such matters. Skeptics are described by the Buddha as replying questions by evasion (D.I.58-9), and as engaging in verbal wriggling, in eel-wriggling (amarāvikkhepa): “I don’t say it is like this. And I don’t say it is like that. And I don’t say it is otherwise. And I don’t say it is not so. And I don’t say it is not not so” (M.I. 521).

b. The Role of Personal Experience and the Buddha’s Wager

In contrast to Brahmanic dogmatism, the Buddha of the Pāli Nikāyas did not claim to be omniscient (M.I.482); in fact, he proposed a critical attitude toward all sources of knowledge. In the Majjhima Nikāya (II.170-1), the Buddha challenges Brahmins who accept Vedic scriptures out of faith (saddhā) and oral tradition (anussava); he compares those who blindly follow scripture and tradition without having direct knowledge of what they believe with “a file of blind men each in touch with the next: the first one does not see, the middle one does not see, and the last one does not see.” The Buddha also warns Brahmins against knowledge based on likeability or emotional inclination (ruci), reflection on reasons (ākāraparivitakka), and consideration of theories (diṭṭhinijjhānakkhanti). These five sources of knowledge may be either true or false; that is, they do not provide conclusive grounds to claim dogmatically that “only this is true, anything else is wrong.”

Dogmatic claims of truth were not the monopoly of Brahmins. In the Majjhima Nikāya (I.178), the Buddha uses the simile of the elephant footprint to question dogmatic statements about him, his teachings, and his disciples: he invites his followers to critically investigate all the available evidence (different types of elephant footprints and marks) until they know and see for themselves (direct perception of the elephant in the open). The Pāli Nikāyas also refer to many śramanas who hold dogmatic views and as a consequence are involved in heated doctrinal disputes. The conflict of dogmatic views is often described as “a thicket of views, a wilderness of views, a contortion of views, a vacillation of views, a fetter of views. It is beset by suffering, by vexation, by despair, and by fever, and it does not lead to disenchantment, to dispassion, to cessation, to peace, to higher knowledge, to enlightentment, to Nibbāna” (M.I.485).

Public debates were common and probably a good way to gain prestige and converts. Any reputed Brahmin or śramana had to have not only the ability to speak persuasively but also the capacity to argue well. Rational argument played an important role in justifying doctrines and avoiding defeat in debate, which implied conversion to the other’s teaching. At the time of the Buddha many of these debates seem to have degenerated into dialectical battles that diverted from spiritual practice and led to disorientation, anger, and frustration. Although the Buddha of the Pāli Nikāyas utilizes reasoning to justify his positions in debates and conversations with others, he discourages dogmatic attachment to doctrines including his own (see the simile of the raft, M.I.135), and the use of his teachings for the sake of criticizing others and for winning debates (M.I.132).

Unlike the skepticism of some śramanas, the Buddha of the Pāli Nikāyas takes clear stances on ethical and spiritual issues, and rejects neither the existence of right views (M.I.46-63) nor the possibility of knowing certain things as they are (yathābhūtaṃ). In order to counteract skepticism, the Buddha advises to the Kālāma people “not go by oral tradition, by succession of disciples, by hearsay, by the content of sacred scripture, by logical consistency, by inference, by reflection on reasons, by consideration of theories, by appearance, by respect to a teacher.” Instead, the Buddha recommends knowing things for oneself as the ultimate criterion to adjudicate between conflicting claims of truth (A.I.189).

When personal experience is not available to someone, the Buddha of the Pāli Nikāyas proposes taking into account what is praised or censored by the wise, as well as a method to calculate the benefits of following certain opinions called the incontrovertible teaching (apaṇṇakadhamma), which, in some ways, resembles Pascal’s wager. According to the incontrovertible teaching, it would be better to believe in certain doctrines because they produce more benefits than others. For instance, even if there is no life after death and if good actions do not produce good consequences, still a moral person is praised in this life by the wise, whereas the immoral person is censured by society. However, if there is life after death and good action produce happy consequences, a moral person is praised in this life, and after death he or she goes to heaven. On the contrary, the immoral person is censured in this life, and after death he or she goes to hell (M.I.403). Therefore, it is better to believe that moral actions produce good consequences even if we do not have personal experience of karma and rebirth.

c. Interpretations of the Buddha’s Advice to the Kālāma People

Some have interpreted the Buddha’s advice to the Kālāma people as an iconoclast rejection of tradition and faith. This, however, does little justice to the Pāli Nikāyas, where the Buddha is said to be part of a long and respectable tradition of past Buddhas, and where the first Brahmins are sometimes commended by their holiness. The Buddha shows respect for many traditional beliefs and practices of his time, and rejects only those that are unjustified, useless, or conducive to suffering for oneself and others.

Faith in the Buddha, his teachings, and his disciples, is highly regarded in the Pāli Nikāyas: it is the first of the five factors of striving (M.II.95-6), and a necessary condition to practice the spiritual path (M.III.33). Buddhist faith, however, is not unconditional or an end in and of itself but rather a means towards direct knowledge that must be based on critical examination, supported by reasons, and eventually verified or rooted in vision (dassanamūlikā) (M.I.320).

Another common interpretation of the advice to the Kālāmas is that for the Buddha of the Pāli Nikāyas only personal experience provides reliable knowledge. However, this is misleading because analogical and inferential reasoning are widely used by the Buddha and his disciples to teach others as well as in debates with non-Buddhists. Similarly, analytical or philosophical meditation is a common practice for the attainment of liberation through wisdom. Personal experience, like any other means of knowledge is to be critically examined. Except in the case of Buddhas and liberated beings, personal experience is always tainted by affective and cognitive prejudices.

The Pāli Nikāyas might give the first impression of endorsing a form of naïve or direct realism: that is, the Buddha and his disciples seem to think that the world is exactly as we perceive it to be. While it is true that the Pāli Nikāyas do not question the common sense connection between objects of knowledge and the external world, there are some texts that might support a phenomenalist reading. For instance, the Buddha defines the world as the six senses (five ordinary senses plus the mind) and their respective objects (S.IV.95), or as the six senses, the six objects, and the six types of consciousness that arise in dependence on them (S.IV.39-40).

Here, the epistemology of the Buddha is a special form of realism that allows both for the direct perception of reality and the constructions of those less realized. Only Buddhas and liberated beings perceive the world directly; that is, they see the Dharma, whose regularity and stability remains independent of the existence of Buddhas (S.II.25). Unenlightened beings, on the other hand, see the world indirectly through a veil of negative emotions and erroneous views. Some texts go so far as to suggest that the world is not simply seen indirectly, but rather that it is literally constructed by our emotional dispositions. For instance, in the Majjhima Nikāya (I.111), the Buddha explicitly states that “what one feels, one perceives” (Yaṃ vedeti, taṃ sañjānāti). That is, our knowledge is formed by our feelings. The influence of feelings in our ways of knowing can also be inferred from the twelve-link chain of dependent arising, which explains the arising and cessation of suffering. The second link, saṅkhāra, or formations, conditions the arising of the third link, consciousness. The term saṅkhāra literally means “put together,” connoting the constructive role of the mental factors that fall into this category, many of them affective in nature.

Similarly, the Buddha of the Pāli Nikāyas says that “with what one has mentally constructed as the root cause (Yaṃ papañceti tato nidānaṃ), perceptions, concepts, and [further] mental constructions (papañcasaññāsaṅkhā) beset a man with respect to past, future, and present forms…sounds…odours…flavors…tangibles…mind-objects cognizable by the eye…ear… nose…tongue…body…mind” (M.I.111-112). That is, the knowledge of unenlightened beings has papañca, or mental constructions, as its root cause. The word papañca is a technical term that literally means diversification or proliferation; it refers to the tendency of unenlightened minds to construct or fabricate concepts conducive to suffering, especially essentialist and ego-related concepts such as “I” and “mine,” concepts which lead to a variety of negative mental states such as craving, conceit, and dogmatic views about the self (Ñāṇananda 1971).

It is precisely because our experiences are affectively and cognitively conditioned that the Buddha of the Pāli Nikāyas advocates a critical approach toward all sources of knowledge, including personal experience. Even the lofty experiences derived from meditation are to be analyzed carefully because they might lead to false opinions about the nature of the self, the world, and the after life. The epistemological ideal is to know things directly beyond mental constructions (papañca), which presupposes the “tranquilization of all mental formations” (sabbasaṅkhārasamatha).

d. Higher Knowledge and the Question of Empiricism

Contemplative experiences are of two main types: meditative absorptions or abstractions (jhāna), and higher or direct knowledge (abhiññā). There are six classes of higher or direct knowledge: the first one refers to a variety of supernatural powers including levitation and walking on water; in this sense, it is better understood as a know-how type of knowledge. The second higher knowledge is literally called “divine ear element” or clairaudience. The third higher knowledge is usually translated as telepathy, though it means simply the ability to know the underlying mental state of others, not the reading of their minds and thoughts.

The next three types of higher knowledge are especially important because they were experienced by the Buddha the night of his enlightenment, and because they are the Buddhist counterparts to the triple knowledge of the Vedas. The fourth higher knowledge is retrocognition or knowledge of past lives, which entails a direct experience of the process of rebirth. The fifth is the divine eye or clairvoyance; that is, direct experience of the process of karma, or as the texts put it, the passing away and reappearing of beings in accordance with their past actions. The sixth is knowledge of the destruction of taints, which implies experiential knowledge of the four noble truths and the process of liberation.

Some scholars have interpreted the Buddha’s emphasis on direct experience and the verifiable nature of Buddhist faith as a form of radical empiricism (Kalupahana 1992), and logical empiricism (Jayatilleke 1963). According to the empiricist interpretation, Buddhist faith is always subsequent to critically verifying the available empirical evidence. All doctrines taught by the Buddha are empirically verifiable if one takes the time and effort to attain higher or direct knowledge, interpreted as extraordinary sense experience. For instance, the triple knowledge of enlightenment implies a direct experience of the processes of karma, rebirth, and the four noble truths. Critiques of the empiricist interpretation point out that, at least at the beginning of the path, Buddhist faith is not always based on empirical evidence, and that the purpose of extraordinary knowledge is not to verify the doctrines of karma, rebirth, and the four noble truths (Hoffman 1982, 1987).

Whether or not the Buddha’s epistemology can be considered empiricist depends on what we mean by empiricism and experience. The opposition between rationalism and empiricism and the sharp distinction between senses and reason is foreign to Buddhism. Nowhere in the Pāli Nikāyas does the Buddha say that all knowledge begins in or is acquired from sense experience. In this sense, the Buddha is not an empiricist.

3. The Buddha’s Cosmology and Metaphysics

a. The Universe and the Role of Gods

The Buddha of the Pāli Nikāyas accepts the cosmology characteristic of his cultural context: a universe with several realms of existence, where people are reborn and die again and again (saṃsāra) depending on their past actions (karma) until they attain salvation (mokṣa). However, the Buddha substantially modifies the cosmology of his time. Against the Brahmanic tendency to understand karma as ritual action, and the Jain claim that all activities including involuntary actions constitute karma, the Buddha defines karma in terms of volition, or free will, which is expressed through thoughts, words, and behavior. That is, for the Buddha, only voluntary actions produce karma.

Another important modification is that for the Buddha of the Pāli Nikāyas, saṃsāra refers primarily to a psychophysical process that takes place within the physical universe. For instance, when the Buddha speaks about the end of the world, he says that it cannot be reached by traveling through the physical universe, but only by putting an end to suffering (saṃsāra), where “one is not born, does not age, does not die, does not pass away, and is not reborn” Accordingly, salvation is not understood in world-denying terms or as an escape from the physical universe, but rather as an inner transformation that takes place within one’s own psychophysical organism: “It is, friend, in just this fathom-high carcass endowed with perception and mind that I make known the world, the origin of the world, the cessation of the world, and the way leading to the cessation of the world.” (S.I.62; A.II.47-9).

There are five kinds of destinations within saṃsāra: hell, animal kingdom, realm of ghosts, humankind, and realm of devas or radiant beings, commonly translated as gods (M.I.73). There are many hells and heavens and life there is transitory, just as in other destinations. In some traditions there is another destination, the realm of asuras or demigods, who are jealous of the gods and who are always in conflict with them.

The Pāli Nikāyas further divide the universe of saṃsāra into three main planes of existence, each one subdivided into several realms. The three planes of existence are sensorial, fine-material, and immaterial (M.I.50). Most destinations belong to the sensorial realm. Only a minority of heavens belong to the fine-material and immaterial realms. Rebirth in a particular realm depends on past actions: good actions lead to good destinations and bad actions to bad rebirths. Rebirth as a human or in heaven is considered a good destination; rebirth in the realm of ghosts, hell, and the animal realm are bad. Human rebirth is extremely difficult to attain (S.V.455-6; M.III.169), and it is highly regarded because of its unique combination of pain and pleasure, as well as its unique conductivity for attaining enlightenment. In this last sense human rebirth is said to be even better than rebirth as a god.

Rebirth also depends on the prevalent mental states of a person during life, and especially at the moment of death. That is, there is a correlation between mental states and realms of rebirth, between cosmology and psychology. For instance, a mind where hatred and anger prevails is likely to be reborn in hell; deluded and uncultivated minds are headed toward the animal kingdom; someone obsessed with sex and food will probably become bound to earth as a ghost; loving and caring persons will be reborn in heaven; someone who frequently dwells in meditative absorptions will be reborn in the fine-material and immaterial realms. Human rebirth might be the consequence of any of the aforementioned mental states.

Perhaps the most important modification the Buddha introduces into the traditional cosmology of his time was a new view of Gods (gods within Buddhism). In the Pāli Nikāyas, gods do not play any significant cosmological role. For the Buddha, the universe has not been created by an all-knowing, all-powerful god that is the lord of the universe and father of all beings (M.I.326-7). Rather, the universe evolves following certain cyclic patterns of contraction and expansion (D.III.84-5).

Similarly, the cosmic order, or Dharma, does not depend on the will of gods, and there are many good deeds far more effective than ritual sacrifices offered to the gods (D.I144ff). Gods for the Buddha are unenlightened beings subject to birth and death that require further learning and spiritual practice in order to attain liberation; they are more powerful and spiritually more developed than humans and other living beings, but Buddhas excel them in all regards: spiritual development, wisdom, and power. Even the supreme type of god, Brahmā, offers his respects to the Buddha, praises him, and asks him to preach the Dharma for those with little dust in their eyes (M.I.168-9).

Since the Buddha of the Pāli Nikāyas does not deny the existence of gods, only their cosmological and soteriological functions, it is inaccurate to define early Buddhism as atheistic or as non-theistic. The word atheistic is usually associated with anti-religious attitudes absent in the Buddha, and the term non-theistic seems to imply that rejecting the theistic concept of God is one of the main concerns of the Buddha, when in fact it is a marginal question in the Pāli Nikāyas.

b. The Four Noble Truths or Realities

One the most common frameworks to explain the basic teachings of early Buddhism is the four noble truths (ariyasacca, Sanskrit āryasatya). The word sacca means both truth and reality. The word ariya refers primarily to the ideal type of person the Buddhist path is supposed to generate, a noble person in the ethical and spiritual sense. Translating ariyasacca by ‘noble truths’ is somehow misleading because it gives the wrong impression of being a set of beliefs, a creed that Buddhists accept as noble and true. The four noble truths are primarily four realities whose contemplation leads to sainthood or the state of the noble ones (ariya). Other possible translations of ariyasacca are “ennobling truths” or “truths of the noble ones.”

Each noble truth requires a particular practice from the disciple; in this sense the four noble truths can be understood as four types of practice. The first noble truth, or the reality of suffering, assigns to the disciple the practice of cultivating understanding. Such understanding takes place gradually through reflection, analytical meditation, and eventually direct experience. What needs to be understood is the nature of suffering, and the different types of suffering and happiness within saṃsāra.

A common misconception about the first noble truth is to think that it presupposes a pessimistic outlook on life. This interpretation would be correct only if the Buddha of the Pāli Nikāyas had not taught the existence of different types of happiness and the third noble truth, or cessation of suffering; that is, the good news about the reality of nirvana, defined as the highest happiness (Dhp.203; M.I.505). Since the Buddha of the Pāli Nikāyas teaches the reality of both suffering and the highest happiness, perhaps it is more accurate to speak of his attitude as realist: there is a problem but there is also a solution to that problem.

The second noble truth, or reality of the origin of suffering, calls for the practice of renunciation to all mental states that generate suffering for oneself and others. The mental state that appears in the second noble truth is taṇhā, literally “thirst.” It was customary in the first Western translations of Buddhist texts (Burnouf, Fausboll, Muller, Oldenberg, Warren) to translate taṇhā by desire. This translation has misled many to think that the ultimate goal of Buddhists is the cessation of all desires. However, as Damien Keown puts it, “it is an oversimplification of the Buddhist position to assume that it seeks an end to all desire.” (1992: 222).

In fact, there are many terms in the Pāli Nikāyas that can be translated as desire, not all of them related to mental states conducive to suffering. On the contrary, there are many texts in the Pāli Nikāyas that demonstrate the positive role of certain types of desire in the Buddha’s path (Webster, 2005: 90-142). Nonetheless, the term taṇhā in the Pāli Nikāyas designates always a harmful type of desire that leads to “repeated existence” (ponobhavikā), is “associated with delight and lust” (nandirāgasahagatā), and “delights here and there” (tatra tatrābhinandinī) (M.I.48; D.II.308; etc). There is only one text (Nettipakaraṇa 87) that speaks about a wholesome type of taṇhā that leads to its own relinquishment, but this text is extra-canonical except in Myanmar.

The most common translation of taṇhā nowadays is craving. Unlike the loaded, vast, and ambivalent term desire, the term craving refers more specifically to a particular type of desire, and cannot be misinterpreted as conveying any want and aspiration whatsoever. Rather, like taṇhā in the Pāli Nikāyas, craving refers to intense (rāga can be translated by both lust and passion), obsessive, and addictive desires (the idiom tatra tatra can also be interpreted as connoting the idea of repetition or tendency to repeat itself).

Since craving, or taṇhā, does not include all possible types of desires, there is no “paradox of desire” in the Pāli Nikāyas. In other words, the Buddha of the the Pāli Nikāyas does not teach that in order to attain liberation from suffering one has to paradoxically desire to stop all desires. There is no contradiction in willing the cessation of craving. That is, for the Buddha of the Pāli Nikāyas it is possible to want, like, or strive for something without simultaneously craving for it.

The Pāli Nikāyas distinguish between three kinds of taṇhā: craving for sensual pleasures (kāmataṇhā), craving for existence (bhavataṇhā), and craving for non-existence (vibhavataṇhā). Following Webster, I understand the last two types of craving as “predicated on two extreme (wrong) views, those of eternalism and annihilationism” (2005:130-1). In other words, craving for existence longs for continued existence of one’s self within saṃsāra, and craving for non-existence is a reversed type of desire or aversion to one’s own destruction at the moment of death.

The underlying root of all suffering, however, is not craving but spiritual ignorance (avijjā). In the Pāli Nikāyas spiritual ignorance does not connote a mere lack of information but rather a misconception, a distorted perception of things under the influence of conceptual fabrications and affective prejudices. More specifically, ignorance refers to not knowing things as they are, the Dharma, and the four noble truths. The relinquishing of spiritual ignorance, craving, and the three roots of the unwholesome (greed or lobha, aversion or dosa, delusion or moha) entails the cultivation of many positive mental states, some of the most prominent in the Pāli Nikāyas being: wisdom or understanding (paññā), letting go (anupādāna), selflessness (alobha), love (avera, adosa, avyāpāda), friendliness (mettā), compassion (karuṇā), altruistic joy (muditā), equanimity (upekkhā), calm (samatha, passaddhi), mindfulness (sati), diligence (appamāda).

The third noble truth, or reality of the cessation of suffering, asks us to directly realize the destruction of suffering, usually expressed with a variety of cognitive and affective terms: peace, higher knowledge, the tranquilization of mental formations, the abandonment of all grasping, cessation, the destruction of craving, absence of lust, nirvana (Pali nibbāna). The most popular of all the terms that express the cessation of suffering and rebirth is nirvana, which literally means blowing out or extinguishing.

Metaphorically, the extinction of nirvana designates a mental event, namely, the extinguishing of the fires of craving, aversion, and delusion (S.IV.251). That nirvana primarily denotes a mental event, a psychological process, is also confirmed by many texts that describe the person who experiences nirvana with intransitive verbs such as to nirvanize (nibbāyati) or to parinirvanize (parinibbāyati). However, there are a few texts that seem to indicate that nirvana might also be a domain of perception (āyatana), element (dhātu), or reality (dhamma) known at the moment of enlightenment, and in special meditative absorptions after enlightenment. This domain is usually defined as having the opposite qualities of saṃsāra (Ud 8.1), or with metaphoric expressions (S.IV.369ff).

What is important to point out is that the concern of the Pāli Nikāyas is not to describe nirvana, which, strictly speaking, is beyond logic and language (It 37), but rather to provide a systematic explanation of the arising and cessation of suffering. The goal of Buddhism as it appears in the Pāli Nikāyas does not consist in believing that suffering arises and ceases like the Buddha says, but in realizing that what he teaches about suffering and its cessation is the case; that is, the Buddha’s teaching, or Dharma, is intended to be experienced by the wise for themselves (M.I.265).

The fourth noble truth, or reality of the path leading to the cessation of suffering, imposes on us the practice of developing the eightfold ennobling path. This path can be understood either as eight mental factors that are cultivated by ennobled disciples at the moment of liberation, or as different parts of the entire Buddhist path whose practice ennoble the disciple gradually. The eight parts of the Buddhist path are usually divided into three kinds of training: training in wisdom (right view and right intention), ethical training (right speech, right bodily conduct, and right livelihood), and training in concentration (right effort, right mindfulness and right concentration).

c. Ontology of Suffering: the Five Aggregates

A prominent concern of the Buddha in the Pāli Nikāyas is to provide a solution to the problem of suffering. When asked about his teachings, the Buddha answers that he only teaches suffering and its cessation (M.I.140). The first noble truth describes what the Buddha means by suffering: birth, aging, illness, death, union with what is displeasing, separation from what is pleasing, not getting what one wants, the five aggregates of grasping (S.V.421).

The original Pali term for suffering is dukkha, a word that ordinarily means physical and mental pain, but that in the first noble truth designates diverse kinds of frustration, and the existential angst generated by the impermanence of life and the unavoidability of old age, disease, and death. However, when the Buddha of the Pāli Nikāyas mentions birth and the five aggregates of grasping, he seems to be referring to the fact that our psychophysical components are conditioned by grasping, and consequently, within saṃsāra, the cycle of births and deaths. This interpretation is consistent with later Buddhist tradition, which speaks about three types of dukkha: ordinary suffering (mental and physical pain), suffering due to change (derived from the impermanence of things), and suffering due to conditions (derived from being part of saṃsāra).

When the Buddha of the Pāli Nikāyas speaks about personal identity and the human predicament, he uses the technical expression “five aggregates of grasping” (pañcupādānakkhandhā). That is, the Buddha describes human existence in terms of five groups of constituents. The five aggregates are: material form (rūpa), sensations (vedanā), perceptions (saññā), mental formations (saṃkhāra), consciousness (viññāṇa). While the first aggregate refers to material components, the other four designate a variety of mental functions.

The aggregate material form is explained as the four great elements and the shape or figure of our physical body. The four great elements are earth, water, fire, and air. The earth element is further defined as whatever is solid in our body, and water as whatever is liquid. The fire element refers to “that by which one is warmed, ages, and is consumed,” and the process of digestion. The air element denotes the breathing process and movements of gas throughout the body (M.I.185ff).

The aggregate sensations denote pleasant, unpleasant and neutral feelings experienced after there is contact between the six sense organs (eye, ear, nose, tongue, body, and mind) and their six objects (forms, sounds, odors, tastes, tangible objects, and mental phenomena). The aggregate perceptions express the mental function by which someone is able to identify objects. There are six types of perceptions corresponding to the six objects of the senses. The aggregate formations express emotional and intellectual dispositions, literally volitions (sañcetanâ), towards the six objects of the senses. These dispositions are the result of past cognitive and affective conditioning, that is, past karma or past voluntary actions. The aggregate consciousness connotes the ability to know and to be aware of the six objects of the senses (S.III.59ff).

d. Arguments for the Doctrine of Non-self

The Buddha reiterates again and again throughout the Pāli Nikāyas that any of the five aggregates “whether past, future or present, internal or external, gross or subtle, inferior or superior, far or near, ought to be seen as it actually is with right wisdom thus: ‘this is not mine, this I am not, this is not my self.’ ” When the disciple contemplates the five aggregates in this way, he or she becomes disenchanted (nibbindati), lust fades away (virajjati), and he or she attains liberation due to the absence of lust (virāgā vimuccati) (M.I.138-9).

The Buddha of the Pāli Nikāyas justifies this view of the five aggregates as non-self with three main arguments, which are used as a method of analytical meditation, and in polemics with members of other schools. The assumption underlying the Buddha’s arguments is that something might be considered a self only if it were permanent, not leading to suffering, not dependently arisen, and subject to one’s own will. Since none of the five aggregates fulfill any of these conditions, it is wrong to see them as belonging to us or as our self.

In the first and most common argument for non-self the Buddha asks someone the following questions: “What do you think, monks, is material form permanent or impermanent?” – “Impermanent, venerable sir.” – “Is what is impermanent suffering or happiness?” – “Suffering, venerable sir.” –Is what is impermanent, suffering, and subject to change, fit to be regarded as: “this is mine, this I am, this is my self?” – “No, venerable sir” (M.I.138, etc). The same reasoning is applied to the other aggregates.

The first argument is also applied to the six sensual organs, the six objects, the six types of consciousness, perceptions, sensations, and formations that arise dependent on the contact between the senses and their objects (M.III.278ff). Sometimes the first argument for non-self is applied to the six senses and their objects without questions and answers: “Monks, the visual organ is impermanent. What is impermanent is suffering. What is suffering is non-self. What is non-self ought to be seen as it really is with right wisdom thus: ‘this is not mine, this I am not, this is not my self’ ” (S.IV.1ff).

The second argument for non-self is much less frequent: “Monks, material form is non-self. If it were self, it would not lead to affliction. It would be possible [to say] with regard to material form: ‘Let my material form be thus. Let my material form not be thus.’ But precisely because it is non-self, it leads to affliction. And it is not possible [to say] with regard to material form: ‘Let my material form be thus. Let my material form not be thus’ ”(S.III.66-7). The same reasoning is applied to the other four aggregates.

The third argument deduces non-self from that fact that physical and mental phenomena depend on certain causes to exist. For instance, in (M.III.280ff), the Buddha first analyzes the dependent arising of physical and mental phenomena. Then he argues: “If anyone says: ‘the visual organ is self,’ that is unacceptable. The rising and falling of the visual organ are fully known (paññāyati). Since the rising and falling of the visual organ are fully known, it would follow that: ‘my self arises and falls.’ Therefore, it is unacceptable to say: ‘the visual organ is self.’ Thus the visual organ is non-self.” The same reasoning is applied to the other senses, their objects, and the six types of consciousness, contacts (meeting of sense, object and consciousness), sensations, and cravings derived from them.

The third argument also appears combined with the first one without questions and answers. For instance, in (A.V.188), it is said that “whatever becomes, that is conditioned, volitionally formed, dependently arisen, that is impermanent. What is impermanent, that is suffering. What is suffering, that is [to be regarded thus]: ‘this is not mine, this I am not, this is not my self.’ ”

If something can be inferred from these three arguments, it is that the target of the doctrine of non-self is not all concepts of self but specifically views of the self as permanent and not dependently arisen. That is, the doctrine of non-self opposes what is technically called “views of personal identity” or more commonly translated “personality views” (sakkāyadiṭṭhi). Views of personal identity relate the five aggregates to a permanent and independent self in four ways: as being identical, as being possession of the self, as being in the self, or as the self being in them (M.I.300ff). All these views of personal identity are said to be the product of spiritual ignorance, that is, of not seeing with right wisdom the true nature of the five aggregates, their origin, their cessation, and the way leading to their cessation.

e. Human Identity and the Meaning of Non-self

Since the Pāli Nikāyas accept the common sense usages of the word “self” (attan, Skt. ātman), primarily in idiomatic expressions and as a reflexive pronoun meaning “oneself,” the doctrine of non-self does not imply a literal negation of the self. Similarly, since the Buddha explicitly criticizes views that reject karma and moral responsibility (M.I.404ff), the doctrine of non-self should not be understood as the absolute rejection of moral agency and any concept of personal identity. In fact, the Buddha explicitly defines “personal identity” (sakkāya) as the five aggregates (M.I.299).

Since the sixth sense, or mind, includes the four mental aggregates, and since the ordinary five senses and their objects fall under the aggregate of material form, it can be said that for the Buddha of the Pāli Nikāyas personal identity is defined not only in terms of the five aggregates, but also in terms of the six senses and their six objects.

If the meaning of non-self were that there is literally no self whatsoever, no personal identity and no moral agency whatsoever, then the only logical conclusion would be to state that the Buddha taught nonsense and that the Pāli Nikāyas are contradictory, sometimes accepting the existence of a self and other times rejecting it. Even though no current scholar of Buddhism would endorse such an interpretation of non-self, it is still popular in some missionary circles and apologetic literature.

A more sympathetic interpretation of non-self distinguishes between two main levels of discourse (Collins 1982). The first level of discourse does not question the concept of self and freely uses personal terms and expressions in accordance with ordinary language and social conventions. The second level of discourse is philosophically more sophisticated and rejects views of self and personal identity as permanent and not dependently arisen. Behind the second level of discourse there is a technical understanding of the self and personal identity as the five aggregates, that is, as a combination of psychophysical processes, all of them impermanent and dependently originated.

This concept of the self as permanent and not dependently arisen is problematic because it is based on a misperception of the aggregates. This misperception of the five aggregates is associated with what is technically called “the conceit I am” (asmimāna) and “the underlying tendency to the conceits ‘I’ and ‘mine’ ” (ahaṃkāra-mamaṅkāra-mānānusaya). This combination of conceit and ignorance fosters different types of cravings, especially craving for immortal existence, and subsequently, speculations about the past, present, and future nature of the self and personal identity. For instance, in (D.I.30ff), the Buddha speaks of different ascetics and Brahmins who claim that the self after death is “material, immaterial, both material and immaterial, neither material nor immaterial, finite, infinite, both, neither, of uniform perception, of varied perception, of limited perception, of unlimited perception, wholly happy, wholly miserable, both, neither.” The doctrine of non-self is primarily intended to counteract views of the self and personal identity rooted in ignorance regarding the nature of the five aggregates, the conceit “I am,” and craving for immortal existence.

A minority of scholars reject the notion that the Buddha’s doctrine of non-self implies the negation of the true self, which for them is permanent and independent of causes and conditions. Accordingly, the purpose of the doctrine of non-self is simply to deny that the five aggregates are the true self. The main reason for this interpretation is that the Buddha does not say anywhere in the Pāli Nikāyas that the self does not exist; he only states that a self and what belongs to a self are not apprehended (M.I.138). Therefore, for these interpreters the Buddha of the Pāli Nikāyas only claims that impermanent and conditioned things like the five aggregates are not the true self. For these scholars, the Buddha does talk about the true self when he speaks about the consciousness of liberated beings (M.I.140), and the unconditioned, unborn and deathless nirvana (Bhattacarya 1973; Pérez Remón 1981).

However, the majority of Buddhist scholars agree with the traditional Buddhist self-understanding: they think that the doctrine of non-self is incompatible with any doctrine about a permanent and independent self, not just with views that mistakenly identify an alleged true self with the five aggregates. The main reason for this interpretation relates to the doctrine of dependent arising.

f. Causality and the Principle of Dependent Arising

The importance of dependent arising (paṭiccasamuppāda) cannot be underestimated: the Buddha realized its workings during the night of his enlightenment (M.I.167). Preaching the doctrine of dependent arising amounts to preaching the Dharma (M.II.32), and whoever sees it sees the Dharma (M.I.191). The Dharma of dependent arising remains valid whether or not there are Buddhas in the world (S.II.25), and it is through not understanding it that people are trapped into the cycle of birth and death (D.II.55).

The doctrine of dependent arising can be formulated in two ways that usually appear together: as a general principle or as a chain of causal links to explain the arising and ceasing of suffering and the process of rebirth. The general principle of dependent arising states that “when this exists, that comes to be; with the arising of this, that arises. When this does not exist, that does not come to be; with the cessation of this, that ceases” (M.II.32; S.II.28).

Unlike the logical principle of conditionality, the principle of dependent arising does not designate a connection between two ideas but rather an ontological relationship between two things or events within a particular timeframe. Dependent arising expresses not only the Buddha’s understanding of causality but also his view of things as interrelated. The point behind dependent arising is that things are dependent on specific conditions (paṭicca), and that they arise together with other things (samuppāda). In other words, the principle of dependent arising conveys both ontological conditionality and the constitutive relativity of things. This relativity, however, does not mean that for the Buddha of the Pāli Nikāyas everything is interdependent or that something is related to everything else. This is a later development of Buddhist thought, not a characteristic of early Indian Buddhism.

The most comprehensive chain of dependent arising contains twelve causal links: (1) ignorance, (2) formations, (3) consciousness, (4) mentality-materiality, (5) the six senses, (6) contact, (7) sensations, (8) craving (9) grasping, (10) becoming, (11) birth, (12) old age and death. The most common formulation is as follows: with 1 as a condition 2 [comes to be]; with 2 as a condition 3 [comes to be], and so forth. Conversely, with the cessation of 1 comes the cessation of 2; with the cessation of 2 comes the cessation of 3, and so forth.

It is important to keep in mind that this chain does not imply a linear understanding of causality where the antecedent link disappears once the subsequent link has come to be. Similarly, each of the causal links is not to be understood as the one and only cause that produces the next link but rather as the most necessary condition for its arising. For instance, ignorance, the first link, is not the only cause of the process of suffering but rather the cause most necessary for the continuation of such a process. For the Buddha of the Pāli Nikāyas, as well as for later Buddhist tradition, there is always a multiplicity of causes and conditions at play.

The traditional interpretation divides the twelve link chain of dependent arising into three lives. The first two links (ignorance and formations) belong to the past life: due to a misperception of the nature of the five aggregates, a person (the five aggregates) performs voluntary actions: mental, verbal, and bodily actions, with wholesome, unwholesome, and neutral karmic effects. The next ten factors correspond to the present life: the karmic effects of past voluntary formations are stored in consciousness and transferred to the next life. Consciousness together with the other mental aggregates combines with a new physical body to constitute a new psychophysical organism (mentality-materiality). This new stage of the five aggregates develops the six senses and the ability to establish contact with their six objects. Contacts with objects of the senses produce pleasant, unpleasant and neutral sensations. If the sensations are pleasant, the person usually responds with cravings for more pleasant experiences, and if the sensations are unpleasant, with aversion. Craving and aversion, as well as the underlying ignorance of the nature of the five aggregates are fundamental causes of suffering and rebirth: the three roots of the unwholesome according to the Pāli Nikāyas, or the three mental poisons according to later Buddhist traditions.

By repeating the affective responses of craving and aversion, the person becomes more and more dependent on whatever leads to more pleasant sensations and less unpleasant ones. This creates a variety of emotional dependencies and a tendency to grasp or hold onto what causes pleasure and avoids pain. The Buddha of the Pāli Nikāyas speaks about four types of grasping: towards sensual pleasures, views, rites-and-observances, and especially towards doctrines of a [permanent and independent] self (D.II.57-8).

The original term for grasping is upādāna, which also designates the fuel or supply necessary to maintain a fire. In this sense, grasping is the psychological fuel that maintains the fires of craving, aversion, and delusion, the fires whose extinction is called nirvana. The Buddha’s ideal of letting go and detachment should not be misunderstood as the absence of any emotions whatsoever including love and compassion, but specifically as the absence of emotions associated with craving, aversion, and delusion. Motivated by grasping and the three mental fires, the five aggregates perform further voluntary actions, whose karmic effects perpetuate existence within the cycle of rebirth and subsequent suffering. The last two links (birth, aging and death) refer to the future life. At the end of this present existence, a new birth of the five aggregates will take place followed by old age, death, and other kinds of suffering.

The twelve-link chain of dependent arising explains the processes of rebirth and suffering without presupposing a permanent and independent self. The Buddha of the Pāli Nikāyas makes this point explicit in his passionate rebuttal of the monk Sāti, who claimed that it is the same consciousness that wanders through the cycle of rebirth. For the Buddha, consciousness, like the other eleven causal links, is dependent on specific conditions (M.I.258ff), which entails that consciousness is impermanent, suffering, and non-self.

Instead of a permanent and independent self behind suffering and the cycle of rebirth, the Buddha of the Pāli Nikāyas presupposes five psychophysical sets of processes, namely, the five aggregates, which imply an impermanent and dependently-arisen concept of ‘self’ and ‘personal identity.’ In other words, the Buddha rejects substance-selves but accepts process-selves (Gowans 2003). Yet, the Buddha of the Pāli Nikāyas explicitly refuses to use personal terms such as ‘self’ in technical explanations of rebirth and suffering, and he prefers to speak in terms of causes and conditions that produce other causes and conditions (S.II.13-4; S.II.62; M.III.19). But what happens to consciousness and the other aggregates when grasping no longer exists and the three mental fires have been extinguished? What happens when suffering ceases and the cycle of rebirth stops?

4. Nirvana and the Silence of the Buddha

a. Two Kinds of Nirvana and the Undetermined Questions

When the fires of craving, aversion, and ignorance are extinguished at the moment of enlightenment, the aggregates are liberated due to the lack of grasping. This is technically called nirvana with remainder of grasping (saupādisesa-nibbāna), or as later tradition puts it, nirvana of mental defilements (kilesa-parinibbāna). The expression ‘remainder of grasping’ refers to the five aggregates of liberated beings, which continue to live after enlightenment but without negative mental states.

The aggregates of the liberated beings perform their respective functions and, like the aggregates of anybody else, they grow old, get sick, and are subject to pleasant and unpleasant sensations until death. The difference between unenlightened and enlightened beings is that enlightened beings respond to sensations without craving or aversion, and with higher knowledge of the true nature of the five aggregates.

The definition of nirvana without remainder (anupādisesa-nibbāna) that appears in (It 38) only says that for the liberated being “all that is experienced here and now, without enchantment [another term for grasping], will be cooled (sīta).” Since “all” is defined in the Pāli Nikāyas as the six senses and their six objects (S.IV.15), which is another way of describing the individual psychophysical experience or the five aggregates, the expression “all that is experienced” refers to what happens to the aggregates of liberated beings. Since (It 38) explicitly uses the expression “here and now” (idheva), it seems impossible to conclude that the definition of nirvana without remainder is intended to say anything about nirvana or the aggregates beyond death. Rather (It 38) describes nirvana and the aggregates at the moment of death: they will be no longer subject to rebirth and they will become cooled, tranquil, at peace. The question is: what does this peace or coolness entail? What happens after the nirvana of the aggregates? Does the mind of enlightened beings survive happily ever after? Does the liberated being exist beyond death or not?

These questions are left undetermined (avyākata) by the Buddha of the the Pāli Nikāyas. The ten questions in the the Pāli Nikāyas ask whether (1) The world is eternal; (2) The world is not eternal; (3) The world is infinite; (4) The world is finite; (5) Body and soul are one thing; (6) Body and soul are two different things; (7) A liberated being (tathāgata) exists after death; (8) A liberated being (tathāgata) does not exist after death; (9) A liberated being (tathāgata) both exists and does not exist after death; (10) A liberated being (tathāgata) neither exists nor does not exist after death. In Sanskrit Buddhist texts the ten views become fourteen by adding the last two possibilities of the tetralema (both A and B, neither A nor B) to the questions about the world.

Unfortunately for those looking for quick answers, the Buddha of the Pāli Nikāyas does not provide a straightforward yes or no response to any of these questions. When the Buddha is asked whether the liberated being exists, does not exist, both, or neither, he sets aside these questions by saying that (1) he does not hold such views, (2) he has left the questions undetermined, and (3) the questions do not apply (na upeti). The first two answers are also used to respond to questions about the temporal and spatial finitude or infinitude of the world, and the identity or difference between the soul and the body. Only the third type of answer is given to the questions about liberated beings after death.

Most presentations of early Buddhism interpret these three answers of the Buddha as an eloquent silence about metaphysical questions due primarily to pragmatic reasons, namely, the questions divert from spiritual practice and are not conducive to liberation from suffering. While the pragmatic reasons for the answers of the Buddha are undeniable, it is inaccurate to understand them as silence about metaphysical questions. In fact, the Buddha of the Pāli Nikāyas does address many metaphysical issues with his teachings of non-self and dependent arising.

The answers of the Buddha to the undetermined questions are due not only to pragmatic reasons but also to metaphysical reasons: the questions are inconsistent with the doctrines of non-self and dependent arising because they assume the existence of a permanent and independent self, a self that is either finite or infinite, identical or different from the body, existing or not existing after death. Besides pragmatic and metaphysical reasons, there are cognitive and affective reasons for the answers of the Buddha: the undetermined questions are based on ignorance about the nature of the five aggregates and craving for either immortal existence or inexistence. The questions are expressions of ‘identity views,’ that is, they are part of the problem of suffering. Answering the questions directly would have not done any good: a yes answer would have fostered more craving for immortal existence and led to eternalist views, and a no answer would have fostered further confusion and led to nihilist views (S.IV.400-1).

In the case of the undetermined questions about the liberated being, there are also apophatic reasons for answering “it does not apply.” The Buddha of the Pāli Nikāyas illustrates the inapplicability of the questions with the simile of the fire extinct: just as it does not make sense to ask about the direction in which an extinct fire has gone, it is inappropriate to ask about the status of the liberated being beyond death: “The fire burned in dependence on its fuel of grass and sticks. When that is used up, if it does not get any more fuel, being without fuel, it is reckoned as extinguished. Similarly, the enlightened being has abandoned the five aggregates by which one might describe him…he is liberated from reckoning in terms of the five aggregates, he is profound, immeasurable, unfathomable like the ocean” (M.I.487-8).

b. Eternalism, Nihilism, and the Middle Way

There are three possible interpretations of the simile of the extinct fire: (1) liberated beings no longer exist beyond death (2) liberated beings exist in a mysterious unfathomable way beyond death (3) the Buddha is silent about both the liberated being and nirvana after death. The first interpretation seems the most logical conclusion given the Buddha’s ontology of suffering and the doctrine of non-self. However, the nihilist interpretation makes Buddhist practice meaningless and contradicts texts where the Buddha criticizes teachings not conducive to spiritual practice such as materialism and determinism (M.I.401ff). But more importantly, the nihilist interpretation is vehemently rejected in the Pāli Nikāyas: “As I am not, as I do not proclaim, so have I been baselessly, vainly, falsely, and wrongly misrepresented by some ascetics and brahmins thus: ‘the ascetic Gotama [Buddha] is one who leads astray; he teaches the annihilation, the destruction, the extermination of an existing being’ ”(M.I.140).

The second interpretation appears to some as following from the Buddha’s incontrovertible response to the nihilist reading of his teachings: since the Buddha rejects nihilism, he must somehow accept the eternal existence of liberated beings, or at least the eternal existence of nirvana. For eternalist interpreters, the texts in the Pāli Nikāyas that speak about the transcendence and ineffability of liberated beings and nirvana can be understood as implying their existence after or beyond death.

There are several eternalist readings of the Buddha’s thought. We have already mentioned the most common: the doctrine of non-self merely states that the five aggregates are not the true self, which is the transcendent and ineffable domain of nirvana. However, there are eternalist interpretations within Buddhism too. That is, interpretations that are nominally consistent with the doctrine of non-self but that nevertheless speak of something as eternally existing: either the mind of liberated beings or nirvana. For instance, Theravāda Buddhists usually see nirvana as non-self, but at the same time as an unconditioned (asaṃkhata) and deathless (amata) reality. The assumption, though rarely stated, is that liberated beings dwell eternally in nirvana without a sense of “I” and “mine,” which is a transcendent state beyond the comprehension of unenlightened beings. Another eternalist interpretation is that of the Dalai Lama who, following the standard interpretation of Tibetan Buddhists, claims that the Buddha did not teach the cessation of all aggregates but only of contaminated aggregates. That is, the uncontaminated aggregates of liberated beings continue to exist individually beyond death, though they are seen as impermanent, dependently arisen, non-self, and empty of inherent existence (Dalai Lama 1975:27). Similarly, Peter Harvey understands nirvana as a selfless and objectless state of consciousness different from the five aggregates that exists temporarily during life and eternally beyond death (1995: 186-7).

The problem with eternalist interpretations is that they contradict what the Pāli Nikāyas say explicitly about the way to consider liberated beings, the limits of language, the content of the Buddha’s teachings, and dependent arising as a middle way between the extremes of eternalism and annihilationism. In (S.III.110ff), Sāriputta, the Buddha’s leading disciple in doctrinal matters, explains that liberated beings should be considered neither as annihilated after death nor as existing without the five aggregates.

In (D.II.63-4) the Buddha makes clear that consciousness and mentality-materiality, that is, the five aggregates, are the limits of designation (adhivacana), language (nirutti), cognitions (viññatti), and understanding (paññā). Accordingly, in (D.II.68) the Buddha says it is inadequate to state that the liberated being exists after death, does not exist, both, or neither. This reading is confirmed by (Sn 1076): “There is not measure (pamāṇa) of one who has gone out, that by which [others] might speak (vajju) of him does not exist. When all things have been removed, then all ways of speech (vādapathā) are also removed.”

Given the Buddha’s understanding of the limits of language and understanding in the Pāli Nikāyas, it is not surprising that he responded to the accusation of teaching the annihilation of beings, by saying that “formerly and now I only teach suffering and the cessation of suffering.” Since the Buddha does not teach anything beyond the cessation of suffering at the moment of death, that is, beyond the limits of language and understanding, it is inaccurate to accuse him of teaching the annihilation of beings. Similarly, stating that liberated beings exist after death in a mysterious way beyond the four logical possibilities of existence, non-existence, both or neither, is explicitly rejected in (S.III.118-9) and (S.IV.384), where once again the Buddha concludes that he only makes known suffering and the cessation of suffering.

If the eternalist interpretation were correct, it would have been unnecessary for the Buddha of the Pāli Nikāyas to put so much emphasis on the teaching of dependent arising. Why would dependent arising be defined in (S.II.17) as right view and as the middle way between the extremes of eternalism and annihilationism if the truth were that the consciousness of liberated beings or the unconditioned nirvana exist eternally? If knowing and seeing dependent arising precludes someone from speculating about a permanent self in the past and the future (M.I.265), why would the Buddha teach anything about the eternal existence of liberated beings and nirvana?

In order to avoid the aforementioned contradictions entailed by eternalist readings of the Pāli Nikāyas, all texts about nirvana and the consciousness of liberated beings are to be understood as referring to this life or the moment of death, never to some mysterious consciousness or domain that exists beyond death. Since none of the texts about nirvana and liberated beings found in the Pāli Nikāyas refer unambiguously to their eternal existence beyond death, I interpret the Buddha as being absolutely silent about nirvana and liberated beings beyond death (Vélez de Cea 2004a). In other words, nothing of what the Pāli Nikāyas say goes beyond the limits of language and understanding, beyond the content of the Buddha’s teachings, and beyond dependent arising as the middle way between eternalism and annihilationism.

Instead of focusing on nirvana and liberated beings beyond death, the Buddha of the Pāli Nikāyas emphasizes dependent arising and the practice of the four foundations of mindfulness. Dependent arising is intended to avoid views about a permanent and independent self in the past and the future (M.I.265; M.III.196ff), and the four foundations of mindfulness are said to be taught precisely to destroy such views (D.III.141). That is, the Buddha’s fundamental concern is to address the problem of suffering in the present without being distracted by views about the past or the future: “Let not a person revive the past, or on the future build his hopes; for the past has been left behind and the future has not been reached. Instead with insight let him see each presently arising state (paccuppannañca yo dhammaṃ tattha tattha vipassati); let him know that and be sure of it, invincibly, unshakeably. Today the effort must be made, tomorrow death may come, who knows?” (Bhikkhu Bodhi’s translation. M.III.193).

5. Buddhist Ethics

Early Buddhist ethics includes more than lists of precepts and more than the section on ethical training of the eightfold noble path; that is, Buddhist ethics cannot be reduced to right action (abstaining from killing, stealing, lying), right speech (abstaining from false, divisive, harsh, and useless speech), and right livelihood (abstaining from professions that harm living beings). Besides bodily and verbal actions, the Pāli Nikāyas discuss a variety of mental actions including thoughts, motivations, emotions, and perspectives. In fact, it is the ethics of mental actions that constitutes the main concern of the Buddha’s teaching.

Early Buddhist ethics encompasses the entire spiritual path, that is, bodily, verbal, and mental actions. The factors of the eightfold noble path dealing with wisdom and concentration (right view, right intentions, rights effort, right concentration, right mindfulness) relate to different types of mental actions. The term “right” (sammā) in this context does not mean the opposite of “wrong,” but rather “perfect” or “complete;” that is, it denotes the best or the most effective actions to attain liberation. This, however, does not imply that the Buddha advocates the most perfect form of ethical conduct for all his disciples.

Early Buddhist ethics is gradualist in the sense that there are diverse ways of practicing the path with several degrees of commitment; not all disciples are expected to practice Buddhist ethics with the same intensity. Monks and nuns take more precepts and are supposed to devote more time to spiritual practices than householders. However, a complete monastic code (prātimoka) like those found in later Vinaya literature does not appear in the Pāli Nikāyas. The most comprehensive formulation of early Buddhist ethics, probably common to monastic disciples and lay people, is the list of ten dark or unwholesome actions and their opposite, the ten bright or wholesome actions: three bodily actions (abstaining from killing, stealing, sexual misconduct), four verbal actions (abstaining from false, divisive, harsh, and useless speech), and tree mental actions (abstaining from covetousness, ill-will, and dogmatic views).

The Buddha of the Pāli Nikāyas defines action in terms of intention or choice (cetanā): “It is intention, monks, what I call action. Having intended, someone acts through body, speech, and mind” (A.III.415). The Pāli Nikāyas define the roots of unwholesome (akusala) actions as greed (lobha), aversion (dosa), and delusion (moha). Conversely, the roots of wholesome actions are defined as the opposite mental states (M.I.47). Some scholars infer from these two definitions that Buddhist ethics is an ethics of intention or an agent-based form of virtue ethics. That is, according to these scholars, for the Buddha of the the Pāli Nikāyas, only the agent’s intention or motivation determine the goodness of actions. This interpretation, however, is disproved by many texts of the Pāli Nikāyas where good and evil actions are discussed without any reference to the underlying intention or motivation of the agent. Consequently, the more comprehensive account understands intention not as the only factor that determines the goodness of actions, but rather as the condition of possibility, the necessary condition for speaking about action in the moral sense. Without intention or choice, there is no ethical action. Similarly, motivation, while a central moral factor in Buddhist ethics, is neither the only factor nor always the most important factor to determine the goodness of actions. Understanding Buddhist ethics as concerned exclusively with the three roots of the wholesome does not fully capture the breath of moral concern of the Pāli Nikāyas (Vélez de Cea 2004b).

The fundamental moral law of the universe according to early Buddhism is what is popularly called the “law of karma”: good actions produce good consequences, and bad actions lead to bad consequences. The consequences of volitional actions can be experienced in this life or in subsequent lives. Although not everything we experience is due to past actions, physical appearance, character, lifespan, prosperity, and rebirth destination are believed to be influenced by past actions. This influence however, is not to be confused with fatalism, a position rejected in the Pāli Nikāyas. There is always room for mitigating and even eradicating the negative consequences of past actions with new volitions in the present. That is, past karma does not dictate our situation: the existence of freewill and the possibility of changing our predicament is always assumed. There is conditioning of the will and other mental factors, but no hard determinism.

A common objection to early Buddhist ethics is how there can be freewill and responsibility without a permanent self that transmigrates through lives. If there is no self, who is the agent of actions? Who experiences the consequences of actions? Is the person who performs an action in this life the same person that experiences the consequences of that action in a future life? Is it a different person? The Buddha considers these questions improper of his disciples, who are trained to explain things in terms of causes and condition (S.II.61ff; S.II.13ff)). In other words, since the Buddha’s disciples explain processes with the doctrine of dependent arising, they should avoid explanations that use personal terms and presuppose the extremes of eternalism and nihilism. The moral agent is not a substance-self but rather the five aggregates, a dynamic and dependently-arisen process-self who, like a flame or the water of a river, changes all the time and yet has some degree of continuity.

The most common interpretations of early Buddhist ethics view its nature as either a form of agent-based virtue ethics or as a sophisticated kind of consequentialism. The concern for virtue cultivation is certainly prevalent in early Buddhism, and evidently the internal mental state or motivation underlying actions is extremely important to determine the overall goodness of actions, which is the most important factor for advanced practitioners. Similarly, the concern for the consequences of actions, whether or not they lead to the happiness or the suffering of oneself and others, also pervades the Pāli Nikāyas. However, the goodness of actions in the Pāli Nikāyas does not depend exclusively on either the goodness of motivations or the goodness of consequences. Respect to status and duty, observance of rules and precepts, as well as the intrinsic goodness of certain external bodily and verbal actions are equally necessary to assess the goodness of at least certain actions. Since the foundations of right action in the Pāli Nikāyas are irreducible to one overarching principle, value or criterion of goodness, early Buddhist ethics is pluralistic in a metaethical sense. Given the unique combination of deontological, consequentialist, and virtue ethical trends found in the Pāli Nikāyas, early Buddhist ethics should be understood in its own terms as a sui generis normative theory inassimilable to Western ethical traditions.

6. References and Further Reading

a. Primary Sources

All references to the Pāli Nikāyas are to the edition of The Pāli Text Society, Oxford. References to the Aṅguttara, Dīgha, Majjhima, and Saṃyutta Nikāyas are to the volume and page number. References to Udāna and Itivuttaka are to the page number and to Dhammapada and Sutta Nipāta to the verse number.

A. Aṅguttara Nikāya

D. Dīgha Nikāya

M. Majjhima Nikāya

S. Saṃyutta Nikāya

Ud. Udāna

It. Itivuttaka

Dhp. Dhammapada

Sn. Sutta Nipāta

b. Secondary Sources

  • Bechert, H. (Ed) 1995. When Did the Buddha Live? The Controversy on the Dating of the Historical Buddha. Selected Papers Based on a Symposium Held under the Auspices of the Academy of Sciences in Göttingen. Delhi: Sri Satguru Publications. 1995.
  • Bhattacharya, K. 1973. L´Ātman-Brahman dans le Bouddhisme Ancien. París: EFEO.
  • Bhikkhu Ñānamoli and Bhikkhu Bodhi. 1995. The Middle Length Discourses of the Buddha. A New Translation of the Majjhima Nikāya. Kandy: Buddhist Publication Society.
  • Bhikkhu Ñāṇananda. 1971. Concept and Reality in Early Buddhist Thought. Kandy: Buddhist Publication Society.
  • Cousins, L.S. 1996. “Good or Skillful? Kusala in Canon and Commentary.” Journal of Buddhist Ethics.Vol. 3: 133-164.
  • Collins, S. 1982. Selfless Persons. Cambridge: Cambridge University Press.
  • Collins, S. 1994. “What are Buddhists Doing When They Deny the Self?” In Religion and Practical Reason, edited by Frank E. Reynolds and David Tracy. Albany: SUNY.
  • Collins, S. 1998. Nirvana and other Buddhist Felicities. Cambridge: Cambridge University Press
  • Dalai Lama. 1994. The Way to Freedom. San Francisco: Harper.
  • Dharmasiri, G. 1996. Fundamentals of Buddhist Ethics. Singapore: Buddhist Research Society.
  • Fuller, P. 2005. The Notion of Diṭṭhi in Theravāda Buddhism. London: RoutledgeCurzon.
  • Gombrich, R. 1988. Theravāda Buddhism: A Social History from Ancient Benares to Modern Colombo. London: Routledge.
  • Gombrich, R. 1996. How Buddhism Began. London: Athlone.
  • Gethin, R. 2001. The Buddhist Path to Awakening. Richmon Surrey: Curzon Press.
  • Gowans, C. W. 2003. Philosophy of the Buddha. London: Routledge.
  • Hallisey, C. 1996. “Ethical Particularism in Theravāda Buddhism.” Journal of Buddhist Ethics. Vol. 3: 32-34.
  • Hamilton, S. 2000. Early Buddhism: A New Approach. Richmon Surrey: Curzon Press.
  • Harvey, P. 1995. The Selfless Mind: Personality, Consciousness, and Nirvana in Early Buddhism. Richmon Surrey: Curzon Press.
  • Harvey, P. 1995. “Criteria for Judging the Unwholesomeness of Actions in the Texts of Theravāda Buddhism.” Journal of Buddhist Ethics. Vol. 2: 140-151.
  • Harvey, P. 2000. An Introduction to Buddhist Ethics. Cambridge: Cambridge University Press.
  • Hoffman, F. J. 1987. Rationality and Mind in Early Buddhism. New Delhi: Motilal Banarsidass.
  • Hwang, S. 2006. Metaphor and Literalism in Buddhism: The Doctrinal History of Nirvana. London: RoutledgeCurzon.
  • Jayatilleke, K. N. 1963. Early Buddhist Theory of Knowledge. London: Allen & Unwin.
  • Johansson, R. 1969. The Psychology of Nirvana. London: Allen and Unwin Ltd.
  • Kalupahana, D. 1976. Buddhist Philosophy: A Historical Analysis. Honolulu: University Press of Hawai’i.
  • Kalupahana, D. 1992. A History of Buddhist Philosophy: Continuities and Discontinuities. Honolulu: University Press of Hawai’i.
  • Keown, D. 1992. The Nature of Buddhist Ethics. New York: Palgrave.
  • Norman, K. R. 1983. Pāli Literature: Including the Canonical Literature in Prakrit and Sanskrit of all the Hīnayāna schools of Buddhism. Wiesbaden: Otto Harrassowitz.
  • Norman, K. R. 1990-6. Collected Papers. Oxford: The Pāli Text Society.
  • Pande, G.C. 1995. Studies in the Origins of Buddhism. New Delhi: Motilal Banarsidass.
  • Pérez-Remón, J. 1980. Self and Non-Self in Early Buddhism. New York: Mouton.
  • Perret, R. 1986. “Egoism, Altruism, and Intentionalism in Buddhist Ethics.” Journal of IndianPhilosophy. Vol. 15: 71-85.
  • Premasiri, P. D. 1987. “Early Buddhist Concept of Ethical Knowledge: A Philosophical Analysis.” Kalupahana, D.J. and Weeraratne, W.G. eds. Buddhist Philosophy and Culture: Essays in Honor of N.A. Jayawickrema. Colombo: N.A. Jayawickrema Felicitation Volume Committee. Pp. 37-70.
  • Ronkin, N. 2005. Early Buddhist Metaphysics: The Making of a Philosophical Tradition. London: RoutledgeCurzon.
  • Tilakaratne, A. 1993. Nirvana and Ineffability: A Study of the Buddhist Theory of Reality and Languague. Colombo: Karunaratne and Sons.
  • Vélez de Cea , A. 2004 a. “The Silence of the Buddha and the Questions about the Tathāgata after Death.” The Indian International Journal of Buddhist Studies, no 5.
  • Vélez de Cea , A. 2004 b. “The Early Buddhist Criteria of Goodness and the Nature of Buddhist Ethics.”Journal of Buddhist Ethics 11, pp.123-142.
  • Vélez de Cea , A. 2005. “Emptiness in the Pāli Suttas and the Question of Nāgārjuna’s Orthodoxy.”Philosophy East and West. Vol. 55: 4.
  • Webster, D. 2005. The Philosophy of Desire in the Pali Canon. London: RoutledgeCurzon.

See also the Encylopedia articles on Madhyamaka Buddhism and Pudgalavada Buddhism.

Author Information

Abraham Velez
Email: abraham.velez@eku.edu
Eastern Kentucky University
U. S. A.

Evolutionary Psychology

In its broad sense, the term “evolutionary psychology” stands for any attempt to adopt an evolutionary perspective on human behavior by supplementing psychology with the central tenets of evolutionary biology. The underlying idea is that since our mind is the way it is at least in part because of our evolutionary past, evolutionary theory can aid our understanding not only of the human body, but also of the human mind. In this broad sense, evolutionary psychology is a general field of inquiry that includes such diverse approaches as human behavioral ecology, memetics, dual-inheritance theory, and Evolutionary Psychology in the narrow sense.

The latter is a narrowly circumscribed adaptationist research program which regards the human mind as an integrated collection of cognitive mechanisms that guide our behavior and form our universal human nature. These cognitive mechanisms are supposed to be adaptations—the result of evolution by natural selection, that is, heritable variation in fitness. Adaptations are traits present today because in the past they helped our ancestors to solve recurrent adaptive problems. In particular, Evolutionary Psychology is interested in those adaptations that have evolved in response to characteristically human adaptive problems that have shaped our ancestors’ lifestyle as hunter-gatherers during our evolutionary past in the Pleistocence, like choosing and securing a mate, recognizing emotional expressions, acquiring a language, distinguishing kin from non-kin, detecting cheaters or remembering the location of edible plants. The purpose of Evolutionary Psychology is to discover and explain these cognitive mechanisms that guide current human behavior because they have been selected for as solutions to the recurrent adaptive problems prevalent in the evolutionary environment of our ancestors.

Evolutionary Psychology thus rests on a couple of key arguments and ideas: (1) The claim that the cognitive mechanisms that are underlying our behavior are adaptations. (2) The idea that they cannot be studied directly, for example, through observation of the brain or our overt behavior, but have to be discovered by means of a method known as “functional analysis,” where one starts with hypotheses about the adaptive problems faced by our ancestors, and then tries to infer the cognitive adaptations that must have evolved to solve them. (3) The claim that these cognitive mechanisms are adaptations not for solving problems prevalent in our modern environment, but for solving recurrent adaptive problems in the evolutionary environment of our ancestors. (4) The idea that our mind is a complex set of such cognitive mechanisms, or domain-specific modules. (5) The claim that these modules define who we are, in the sense that they define our universal human nature and ultimately trump any individual, cultural or societal differences.

Table of Contents

  1. Historic and Systematic Roots
    1. The Computational Model of the Mind
    2. The Modularity of Mind
    3. Adaptationism
  2. Key Concepts and Arguments
    1. Adaptation and Adaptivity
    2. Functional Analysis
    3. The Environment of Evolutionary Adaptedness
    4. Domain-specificity and Modularity
    5. Human Nature
  3. Examples of Empirical Research
  4. Problems and Objections
    1. Genetic Determinism
    2. Moral and Societal Issues
    3. Untestability and Story Telling
    4. Psychological Inadequacy
  5. Evolutionary Approaches to Mind, Culture, and Behavior: Alternatives to Evolutionary Psychology
    1. Human Behavioral Ecology
    2. Memetics
    3. Gene-Culture Coevolution
  6. References and Further Reading
    1. Suggested Further Reading
    2. Other Referenced Works

1. Historic and Systematic Roots

Modern Evolutionary Psychology has its roots in the late 1980s and early 1990s, when psychologist Leda Cosmides and anthropologist John Tooby from Harvard joined the anthropologist Donald Symons at The University of California, Santa Barbara (UCSB) where they currently co-direct the Center for Evolutionary Psychology. It gained wide attention in 1992 with the publication of the landmark volume The Adapted Mind by Jerome Barkow, Leda Cosmides and John Tooby, and since then numerous textbooks (for example, Buss 1999) and popular presentations (for example, Pinker 1997, 2002; Wright 1994) have appeared. These days, Evolutionary Psychology is a powerful research program that has generated some interesting research, but it has also sparked a heated debate about its aspirations and limitations (see, for example, Rose and Rose 2000).

Evolutionary Psychology is effectively a theory about How the Mind Works (Pinker 1997). The human mind is not an all-purpose problem solver relying on a limited number of general principles that are universally applied to all problems—a view that dominated early artificial intelligence (AI) and behaviorism (for example, Skinner 1938, 1957). (For the idea of an all-purpose problem solver see, for example, Newell and Simon 1972; for some of the earliest AI work related to this idea see, for example, Newell and Simon 1961, Newell et al. 1958.) Rather, the human mind is a collection of independent, task-specific cognitive mechanisms, a collection of instincts adapted for solving evolutionary significant problems. The human mind is sort of a Swiss Army knife (Pinker 1994). This conception of the mind is based on three important ideas adopted from other disciplines (Cosmides and Tooby 2003, 54; Samuels 1998, 577): the computational model of the mind, the assumption of modularity, and the thesis of adaptationism.

a. The Computational Model of the Mind

Following the development of modern logic (Boole 1847; Frege 1879) and the formalization of the notion of computation (Turing 1936), early AI construed logical operations as mechanically executable information processing routines. Eventually, this led to the idea that mental processes (for example, reasoning) and mental states (for example, beliefs and desires) may themselves also be analyzable in purely syntactic terms. The “Computational Theory of Mind,” developed by philosophers like Hilary Putnam (1963) and Jerry Fodor (1975, 1981), for instance, conceives of mental states as relations between a thinker and symbolic representations of the content of the states, and of mental processes as formal operations on the syntactic features of those representations.

Evolutionary Psychology endorses the computational model of the mind as an information processing system or a formal symbol manipulator and thus treats the mind as a collection of “computational machines” (Cosmides and Tooby 2003, 54) or “information-processing mechanisms” (Tooby and Cosmides 1990a, 21) that receive input from the environment and produce behavior or physiological changes as output. To this, it adds an evolutionary perspective: “The evolutionary function of the human brain is to process information in ways that lead to adaptive behavior; the mind is a description of the operation of a brain that maps informational input onto behavioral output” (Cosmides and Tooby 1987, 282). The brain is thus not just like a computer. “It is a computer—that is, a physical system that was designed to process information” (Tooby and Cosmides 2005, 16; italics added).

The Computational Model of the Mind: The human mind is an information processing system, physically realized in the brain, and can be described at a computational level as a device whose evolutionary function is to process information by mapping informational input onto behavioral output.

b. The Modularity of Mind

Early attempts at simulating human intelligence revealed that artificial cognitive systems that are not already equipped with a fair amount of “innate knowledge” about a particular problem domain are unable to solve even the easiest problems (see, for example, the idea of “scripts” in Schank and Abelson 1977). In the 1970s and 1980s, the work of scientists like Noam Chomsky, Jerry Fodor, or David Marr further undermined the idea of the mind as a “blank slate” which acquires knowledge about the world by means of only a couple of general learning mechanisms. Their findings suggested instead that the mind incorporates a number of cognitive subsystems that are triggered only by a certain kind of input. While Marr (1982) was working on the neuroscience of vision, Chomsky famously criticized the behaviorist idea that language acquisition is just an ordinary kind of learning that follows the stimulus-response model by proving the intractability of some learning algorithms (see, for example, his 1959 review of Skinner’s Verbal Behavior or Chomsky 1957; for a later statement of similar ideas see Chomsky 1975). According to his “Poverty of the Stimulus” argument, a child cannot learn her first language through observation because the available stimuli (that is, the utterances of adult speakers) neither enable her to produce grammatically correct nor prevent her from producing grammatically incorrect sentences. Instead, Chomsky argued, we possess a “language acquisition device” which, rather than extracting all information from the world through some general mechanism, comes already equipped with a certain amount of “innate knowledge.” Just as our body contains a number of innate, genetically predisposed organs that serve a specific function, our mind also contains a number of information processing systems (like the language acquisition device), so called mental organs or modules in Fodor’s (1983) terminology, that are designed to perform a particular cognitive function.

The model of the mind as a general learning mechanism that is indiscriminately applied to any problem domain was also disconfirmed in other areas of cognitive science. Garcia and Koelling (1966) showed that while rats can learn some associations by means of stimulus-response mechanisms, others, albeit structurally similar, cannot be learned at all, or only much slower: rats that are given food that makes them nauseous subsequently avoid that kind of food, but they are unable to learn an association between a sound or a light and feeling nauseous. Galef (1990) demonstrated that rats readily eat a new kind of food if they smell it at another rat’s mouth, but not if they smell it at another part of the body. Mineka and Cook (1988) showed that a laboratory raised monkey that initially did not show fear of snakes started to do so once he observed another monkey exhibiting fear of snakes; yet, he didn’t start to show fear of flowers when observing the other doing so. Comparable “learning biases” have been found for humans in various areas (for example, Cook et al. 1986; Marks and Nesse 1994; Seligman and Hagar 1972).

Evolutionary Psychologists conclude that the assumption that the human mind is composed mainly of a few content-free cognitive processes that are “thought to govern how one acquires a language and a gender identity, an aversion to incest and an appreciation for vistas, a desire for friends and a fear of spiders—indeed, nearly every thought and feeling of which humans are capable” (Ermer et al. 2007, 155) is inadequate. Such mechanisms would be “limited to knowing what can be validly derived by general processes from perceptual information” (Cosmides and Tooby 1994, 92) and thus incapable of efficiently solving adaptive problems (see section 2d). Instead, Evolutionary Psychologists claim, “our cognitive architecture resembles a confederation of hundreds or thousands of functionally dedicated computers” (Tooby and Cosmides 1995, xiii), the so-called “modules”:

Modularity: The mind consists of a (possibly large) number of domain-specific, innately specified cognitive subsystems, called “modules.”

c. Adaptationism

Since cognitive mechanisms are not directly observable, studying them requires some indirect way of discovering them (see section 2b). Evolutionary Psychologists adopt the kind of adaptationist reasoning well known from evolutionary biology that also characterizes many works in sociobiology (Wilson 1975). Ever since Charles Darwin (1859/1964) proposed his theory of evolution by natural selection, evolutionary biologists quite successfully offer adaptationist explanations of physiological features of living things that explain the presence of a trait by claiming that it is an adaptation, that is, a trait current organisms possess because it enhanced their ancestors’ fitness. During the 1970s, sociobiologists argued that “social behaviors [too] are shaped by natural selection” (Lumsden and Wilson 1981, 99; for the original manifesto of sociobiology see Wilson 1975) and started to seek adaptationist explanations for cognitive, cultural, and social traits, like the ability to behave altruistically, different mating preferences in males and females, or the frequently observed parent-offspring conflicts.

Evolutionary Psychologists have inherited sociobiology’s adaptationist program: “The core idea … is that many psychological characteristics are adaptations—just as many physical characteristics are—and that the principles of evolutionary biology that are used to explain our bodies are equally applicable to our minds” (Durrant and Ellis 2003, 5). Our mind, they argue, is a complex, functionally integrated collection of cognitive mechanisms, and since the only known natural process that can bring about such functional complexity is evolution by natural selection (Cosmides and Tooby 1991, 493; Symons 1987, 126; Tooby and Cosmides 1990b, 382), these cognitive mechanisms are likely to be adaptations to the adaptive problems of our ancestors. This, Evolutionary Psychologists hold, intimately links psychology with evolutionary theory: “Because the architecture of the human mind acquired its functional organization through the evolutionary process, theories of adaptive function are the logical foundation on which to build theories of the design of cognitive mechanisms” (Ermer et al. 2007, 153–4). While evolutionary theory is used to describe the relevant ancestral problems and to make educated guesses about the information processing cognitive mechanisms that have been shaped by natural selection in response, the task of psychology is to establish that current humans actually possess these mechanisms (see section 2b).

Adaptationism: The human mind, like any other complex feature, was shaped by a process of evolution through natural selection. Its subsystems, the modules, are adaptations for solving recurrent information processing problems that arose in our ancestors’ evolutionary environment.

2. Key Concepts and Arguments

According to Evolutionary Psychology, the human mind is a set of cognitive adaptations designed by natural selection. Since such design takes time, the adaptive problems that shaped our mind are not the ones we know from our life as industrialists during the past 200 years, or from our life as agriculturalists during the past 10,000 years, but those characteristic of our past life as hunter-gatherers. Since these problems varied considerably, the human mind contains many problem-specific adaptations. The task of Evolutionary Psychology is to discover these modules by means of what is called a “functional analysis,” where one starts with hypotheses about the adaptive problems faced by our ancestors, and then tries to infer the cognitive adaptations that must have evolved to solve them.

This theoretical framework of Evolutionary Psychology centers on a couple of key ideas which will be explained in this section: (1) The cognitive mechanisms that underlie our behavior are adaptations. (2) They have to be discovered by means of functional analysis. (3) They are adaptations for solving recurrent adaptive problems in the evolutionary environment of our ancestors. (4) Our mind is a complex set of such mechanisms, or domain-specific modules. (5) These modules define our universal human nature.

a. Adaptation and Adaptivity

That our evolutionary history influenced not only our bodies, but also our brains, and thus our minds, is not very controversial. But how exactly has evolution affected the way we are, mind-wise? How exactly can evolutionary theory elucidate the structure and function of the human mind?

It may seem that “behavioral traits are like any other class of characters” (Futuyama 1998, 579), so that they can be subject to natural selection in the same way as physiological traits. In that case, an evolutionary study of human behavior could then proceed by studying behavioral variants and see which of them are adaptive and which selectively neutral or detrimental. However, since natural selection is heritable variation in fitness, it can act only on entities that are transmitted between generations, and behavior as such is not directly transmitted between generations, but only via the genes that code for the proximal cognitive mechanisms that trigger it. Hence, “[t]o speak of natural selection as selecting for ‘behaviors’ is a convenient shorthand, but it is misleading usage. … Natural selection cannot select for behavior per se; it can only select for mechanisms that produce behavior” (Cosmides and Tooby 1987, 281).

Hence, an evolutionary approach to human psychology must proceed by studying the cognitive mechanisms that underlie our behavior: “In the rush to apply evolutionary insights to a science of human behavior, many researchers have made a conceptual ‘wrong turn,’ … [which] has consisted of attempting to apply evolutionary theory directly to the level of manifest behavior, rather than using it as a heuristic guide for the discovery of innate psychological mechanisms” (Cosmides and Tooby 1987, 278–9). By sharply distinguishing between adaptive behavior and the cognitive mechanisms that are adaptations for producing adaptive behavior, Evolutionary Psychologists provide “the missing link between evolutionary theory and manifest behavior” (Tooby and Cosmides 1989, 37). [The drawback is that things become more complicated since “it is less easy to sustain claims that a trait is a product of natural selection than claims that it confers reproductive benefits on individuals in contemporary populations” (Caro and Borgerhoff Mulder 1987, 66). Section 2b shows how Evolutionary Psychologists try to cope with this difficulty, and section 5a discusses a version of evolutionary psychology that focuses on adaptive behavior.]

We quite often do things detrimental to survival and reproduction (we use contraceptives, consume unhealthy doses of fatty food, and blow ourselves up in the middle of crowded market places). We also willfully refrain from doing things that would be conducive to survival (buy some healthy food, exercise) or boost our potential for reproduction (donate our sperm or eggs to cryobanks). If Evolutionary Psychology is right that our mind contains cognitive mechanisms that are adaptations for producing adaptive behavior, then why are we behaving maladaptively so often?

The claim that the brain is an adaptation for producing adaptive behavior does not entail that it is currently producing adaptive behavior. Adaptations are traits that are present today because of the selective advantage they offered in the past, and the past environment arguably differed notably from the current one. The modern metropolis in which we live in unprecedented large groups, consume fast food and use contraceptives is not even 100 years old, and even agriculture arose only some 10,000 years ago. Compared to this, our ancestors spent an unimaginably long time in Pleistocene conditions (roughly, the period spanning 1.8 million years ago to 10,000 years ago) living in small nomadic hunter-gatherer bands. The cognitive mechanisms produced by natural selection are adaptations for producing adaptive behavior in these circumstances, not for playing chess, passing logic exams, navigating through lower Manhattan, or keeping ideal weight in an environment full of fast food restaurants. [Which is why we are so bad at these things: “it is highly unlikely that the cognitive architecture of the human mind includes procedures that are dedicated to solving any of these problems: The ability to solve them would not have enhanced the survival or reproduction of the average Pleistocene hunter-gatherer” and hence “the performance of modern humans on such tasks is generally poor and uneven” (Cosmides and Tooby 1994, 95).]

Among the day-to-day problems of our ancestors that shaped the human mind are: “giving birth, winning social support from band members, remembering the locations of edible plants, hitting game animals with projectiles, …, recognizing emotional expressions, protecting family members, maintaining mating relationships, …, assessing the character of self and others, causing impregnation, acquiring language, maintaining friendships, thwarting antagonists, and so on” (Cosmides and Tooby 2003, 59). In these areas, we still behave the way we do because our behavior is guided by cognitive mechanisms that have been selected for because they produced behavior that was adaptive in our ancestors’ evolutionary environment. As Evolutionary Psychologists colorfully put it: “Our modern skulls house a Stone Age mind” (Cosmides and Tooby 1997, 85).

It is thus crucial to distinguish between a trait’s being an adaptation and its being adaptive. A trait is an adaptation if it was “designed” by natural selection to solve the specific problems posed by the regularities of the physical, chemical, ecological, informational, and social environments encountered by the ancestors of a species during the course of its evolution” (Tooby and Cosmides 1990b, 383), while a trait is adaptive if it currently enhances its bearer’s fitness. Since the environment in which a trait was selected for may differ from the current one, “[t]he hypothesis that a trait is an adaptation does not imply that the trait is currently adaptive” (Symons 1990, 430). But if cognitive adaptations can neither be discovered in the brain, nor by observing current human behavior, how can they be studied?

b. Functional Analysis

Verifying the claim that a trait is an adaptation is difficult because this is essentially a historical claim. A trait is an adaptation because it was adaptive in the past, and it is unclear what the past was like, let alone what would have been adaptive under past conditions. According to Evolutionary Psychology, however, it is possible to verify adaptationist claims:

Researchers can identify an aspect of an organism’s physical, developmental, or psychological structure … as an adaptation by showing that (1) it has many design features that are improbably well suited to solving an ancestral adaptive problem, (2) these phenotypic properties are unlikely to have arisen by chance alone, and (3) they are not better explained as the by-product of mechanisms designed to solve some alternative adaptive problem or some more inclusive class of adaptive problem. Finding that a reliably developing feature of the species’ architecture solves an adaptive problem with reliability, precision, efficiency, and economy is prima facie evidence that an adaptation has been located. (Tooby and Cosmides 2005, 28)

What Tooby and Cosmides suggest is a procedure known as functional analysis. One uses evolutionary reasoning to identify the adaptive problems our ancestors presumably awaited in their evolutionary environment, infers from this the cognitive mechanisms that one thinks must have evolved to solve these problems, conducts psychological experiments to show that they are actually found in current human beings, and rules out alternative explanations.

A bit more precisely, identifying adaptations by means of functional analysis proceeds in six steps (Tooby and Cosmides 1989, 40–1):

Step 1 uses evolutionary considerations to formulate a model of the past adaptive problems the human mind had to solve.

Step 2 generates hypotheses about exactly how these problems would have manifested themselves under the selection pressures present in the evolutionary environment of our ancestors.

Step 3 formulates a “computational theory” that specifies “a catalog of the specific information processing problems” (Cosmides and Tooby 1987, 289) that had to be solved to overcome the adaptive problems identified in step 2.

Step 4 uses the computational theory “as a heuristic for generating testable hypotheses about the structure of the cognitive programs that solve the adaptive problems in question” (Cosmides and Tooby 1987, 302).

Step 5 rules out alternative accounts of the cognitive mechanisms in question that do not treat them as the result of evolution by natural selection.

Step 6 tests the adaptationist hypotheses by checking whether modern Homo sapiens indeed possess the cognitive mechanisms postulated in step 4. If this test is successful, Evolutionary Psychologists contend, it is quite likely that the cognitive mechanisms are indeed adaptations for solving the problems identified in step 1. (For examples of empirical research that, by and large, follow this theoretical framework, see section 3.)

(One may add a seventh step which tries to discover the neural basis of the cognitive mechanisms, so that eventually theories of adaptive problems guide the search for the cognitive mechanisms that solve them, while knowing what cognitive mechanisms exist in turn guides the search for their neural basis.)

The procedure of functional analysis shows what sort of evidence would support the claim that a cognitive mechanism is an adaptation for solving a given adaptive problem. However, since functional analysis itself relies on hypotheses about the adaptive problems prevalent in our ancestors’ past, the obvious question is: How can we today know with any certainty which adaptive problems our ancestors faced?

c. The Environment of Evolutionary Adaptedness

Since the “description of ancestral conditions is one indispensable aspect of characterizing an adaptation” (Tooby and Cosmides 1990b, 387), discovering the mind’s modules requires knowing what exactly the environment that Bowlby (1969) calls the environment of evolutionary adaptedness (EEA) looked like. The human EEA consists in the set of environmental conditions encountered by human populations during the Pleistocene (from 1.8 million years ago to 10,000 years ago), when early hominids lived on the savannahs of eastern Africa as hunter-gatherers. Yet, the EEA “is not a place or a habitat, or even a time period. Rather, it is a statistical composite of the adaptation-relevant properties of the ancestral environments encountered by members of ancestral populations, weighted by their frequency and fitness consequences” (Tooby and Cosmides 1990b, 386–7). More specifically, it is a “composite of environmental properties of the most recent segment of a species’ evolution that encompasses the period during which its modern collection of adaptations assumed their present form” (Tooby and Cosmides 1990b, 388). Importantly, “different adaptations will have different EEAs. Some, like language, are firmly anchored in approximately the last two million years; others, such as infant attachment, reflect a much lengthier evolutionary history” (Durrant and Ellis 2003, 10). Speaking about the EEA is thus at least misleading, since strictly speaking one has to distinguish between the EEA of a species and the EEA of particular cognitive adaptations.

There are two crucial questions with regard to the EEA: First, why suppose that our cognitive mechanisms, even if they are adaptations, are adaptations to exactly the problems faced by our ancestors in the EEA? Second, how can we today determine the EEA of a particular adaptation in enough detail?

Evolutionary Psychologists offer two related arguments in response to the first question. The first draws attention to the large amount of time our ancestors spent in Pleistocene conditions compared to the brief stretch of time that has passed since the advent of agriculture or industrialization: “Our species spent over 99% of its evolutionary history as hunter-gatherers in Pleistocene environments. Human psychological mechanisms should be adapted to those environments, not necessarily to the twentieth-century industrialized world” (Cosmides and Tooby 1987, 280). The second argument maintains that since natural selection is a slow process, there just have not been enough generations for it to design new cognitive mechanisms that are well-adapted to our post-agricultural industrial life: “It is no more plausible to believe that whole new mental organs could evolve since the Pleistocene … than it is to believe that whole new physical organs such as eyes would evolve over brief spans. … [and] major and intricate changes in innately specified information-processing procedures present in human psychological mechanisms do not seem likely to have taken place over brief spans of historical time” (Tooby and Cosmides 1989, 34).

Both arguments seem to suffer from the same difficulty. The 10,000 years that have passed since the Pleistocene correspond to roughly 400 generations, and if the selection pressure and the heritability (roughly, a measure of the response to selection) are high enough, quite a lot can happen in 400 generations. In particular, no one needs to hold that “whole new mental organs could evolve since the Pleistocene.” In order to undermine the claim that we are walking fossils with Stone Age minds in our heads, it is sufficient to show that significant changes can occur within 400 generations. The same observation threatens the first argument: How much time our ancestors spent in one environment as compared to another is completely irrelevant, if the selection pressures in one differ radically from those in the other.

In response to the second question, Evolutionary Psychologists point out that, first, we can be relatively sure that the physical conditions were comparable to the ones today—”an enormous number of factors, from the properties of light to chemical laws to the existence of parasites, have stably endured” (Tooby and Cosmides 1990b, 390)—and, second, we can be relatively certain on paleontological grounds that a great deal of our ancestors spend a great deal of their time on African savannahs as hunter-gatherers. Yet, since it is in response to the social problems faced by our ancestors that our cognitive adaptations are said to have evolved, what matters is not so much the physical environment (which may have stayed constant, by and large) but the social environment, and the question is what we can know with any certainty about the social life of our ancestors, given that social traits do not fossilize.

Evolutionary Psychologists contend that with regard to the social environment little has changed, too: our ancestors arguably had to attract and retain mates, provide care for their children, understand the intentions and emotions of those with whom they engaged in social exchange, and so forth, just as we do. However, such general knowledge about the EEA seems to be of little use, for discovering cognitive adaptations requires formulating a computational theory that provides “a catalog of the specific information processing problems” (Cosmides and Tooby 1987, 289; italics added), and that goes significantly beyond being told that our ancestors had to find mates, care for children, find food and so forth (for more on this see section 4c).

d. Domain-specificity and Modularity

Empiricism in philosophy, behaviorism in psychology and the rules and representation approach to artificial cognitive systems characteristic of GOFAI (“good old fashioned artificial intelligence”), roughly speaking, shared the belief that our mind contains only a few domain-general cognitive mechanisms that account for everything we can learn, be it speaking and understanding a language, solving algebra equations, playing chess or driving a bike. In contrast, Evolutionary Psychologists insist that “[f]rom an evolutionary perspective, the human cognitive architecture is far more likely to resemble a confederation of hundreds or thousands of functionally dedicated computers … than it is to resemble a single general purpose computer equipped with a small number of domain-general procedures” (Tooby and Cosmides 2000, 1171).

Evolutionary Psychologists have advanced three arguments for this modularity, or massive modularity, hypothesis. In short, a domain-general psychological architecture cannot guide behavior in ways that promote fitness for at least three related reasons:

  1. What counts as fit behavior differs from domain to domain, so there is no domain-general criterion of success or failure that correlates with fitness.
  2. Adaptive courses of action can be neither deduced nor learned by general criteria, because they depend on statistical relationships between features of the environment, behavior, and fitness that emerge over many generations and are, therefore, not observable during a single lifetime.
  3. Combinatorial explosion paralyzes any truly domain-general system when encountering real-world complexity. (Cosmides and Tooby 1994, 91)

Simply put, the idea behind the first argument is that “[t]here is no such thing as a ‘general problem solver’ because there is no such thing as a general problem” (Symons 1992, 142). Our ancestors faced a host of different adaptive problems, and “different adaptive problems frequently have different optimal solutions” (Cosmides and Tooby 1991, 500): what counts as a successful solution to one, say choosing a mate, arguably differs from what counts as a successful solution to another, say choosing nutritious food. Hence, there is no domain-general criterion of success or failure: “A woman who used the same taste preference mechanisms in choosing a mate that she used to choose nutritious foods would choose a very strange mate indeed, and such a design would rapidly select itself out” (Cosmides and Tooby 1994, 90). Hence, because different solutions can be implemented only by different, functionally distinct mechanisms, there must be as many domain-specific subsystems as there are domains in which the definitions of successful behavior differ. “The human mind … is composed of many different programs for the same reason that a carpenter’s toolbox contains many different tools: Different problems require different solutions” (Tooby and Cosmides 2000, 1168). In response to this argument, the critics have pointed out that there is no reason why a cognitive system that relies on a few domain-general mechanisms that are fed with innate domain-specific information should not be as good as a modular cognitive architecture (see, for example, Samuels 1998, 587).

According to the second argument, a domain general decision rule such as “Do that which maximizes your inclusive fitness” cannot efficiently guide behavior because whether or not a behavior is fitness enhancing is something an individual often cannot find out within its own lifetime, given that the fitness impact of a design feature relative to alternative designs “is inherently unobservable at the time the design alternative actually impacts the world, and therefore cannot function as a cue for a decision rule” (Tooby and Cosmides 1990b, 417). As Buss has put it: “the relevant fitness information only becomes known generations later and hence is not accessible to individual actors” (Buss 1995, 10). For instance, whether one should prefer fatty food over vegetables, or whether one should decide to have children with potential partner A or with rival B are behavioral decisions whose impact on one’s fitness clearly cannot be learned empirically at the time these decisions have to be made. While in the former case, it may help to have a look at what others are doing, that strategy is of no avail in the latter case. And even in the former case the appeal to the possibility of learning from others only pushes the problem one step further because “[i]mitation is useless unless those imitated have themselves solved the problem of the adaptive regulation of behavior” (Cosmides and Tooby 1987, 295).

As Ermer et al. (2007) have put the point, the problem for domain-general cognitive architectures is that we are living in “clueless environments”:

Content-free architectures are limited to knowing what can be validly derived by general processes from perceptual information available during an individual’s lifetime. This sharply limits the range of problems they can solve: When the environment is clueless, the mechanism will be, too. Domain-specific mechanisms are not limited in this way. They can be constructed to embody clues that fill in the blanks when perceptual evidence is lacking or difficult to obtain (Ermer et al. 2007, 157).

At this point, a natural question to ask for the critic would be how natural selection is supposed to operate if “relevant fitness information” is indeed not available. As Buss puts it: would the result of a really “clueless environment” not be extinction, rather than adaptation?

Cosmides and Tooby’s third argument for the claim that domain-general systems could not live up to the tasks our mind regularly solves concerns the general computational problems faced by such systems. As they put it, a domain-general architecture “is defined by what it lacks: It lacks any content, either in the form of domain-specific knowledge or domain-specific procedures, that can guide it toward the solution of an adaptive problem” (Cosmides and Tooby 1994, 94). Therefore, they argue, a domain-general system must evaluate all alternatives it can define, and this raises an obvious problem: “Permutations being what they are, alternatives increase exponentially as the problem complexity increases. By the time you analyze any biological problem of routine complexity, a mechanism that contains no domain-specific rules of relevance, procedural knowledge, or privileged hypotheses could not solve the problem in the amount of time the organism has to solve it” (Cosmides and Tooby 1994, 94). Given that a specialization-free architecture contains no rules of relevance, or domain-specialized procedural knowledge, to restrict its search of a problem space, it could not solve any biological problem of routine complexity in time.

These theoretical considerations (see Samuels 1998 and Buller 2005, ch. 4 for criticism), together with the empirical support for the modularity hypothesis that comes from cognitive science (see section 1b), have led Evolutionary Psychologists to the conclusion that “the mind is organized into modules or mental organs, each with a specialized design that makes it an expert in one area of interaction with the world” (Pinker 1997, 21). The mind is a Swiss Army knife containing evolved, functionally specialized computational devices like, for example, “face recognition systems, a language acquisition device, mindreading systems, navigation specializations, animate motion recognition, cheater detection mechanisms, and mechanisms that govern sexual attraction” (Cosmides and Tooby 2003, 63).

Although there can be little doubt that the mind is modular to some extent, it is currently a hotly debated question exactly how modular it is. Is it really massively modular in the sense that it is a collection of hundreds or thousands of modules, or is it modular in a weaker sense (see, for example, the debate between Carruthers 2006, Prinz 2006, and Samuels 2006)? Interestingly, even the most ardent advocates of Evolutionary Psychology have recently acknowledged that “[t]he mind presumably does contain a number of functionally specialized programs that are relatively content-free and domain-general,” but they have insisted that “these can regulate behavior adaptively only if they work in tandem with a bevy of content-rich, domain-specialized ones …” (Ermer et al. 2007, 156; see also Tooby and Cosmides 1998, 200).

e. Human Nature

According to Evolutionary Psychologists, since the modules of which the human mind is made up have been constantly selected for during a vast stretch of time there is ample reason to think that “human universals … exist at the level of the functionally described psychological mechanism” (Tooby and Cosmides 1989, 36; italics added). That is, the modules discovered by functional analysis constitute “an array of psychological mechanisms that is universal among Homo sapiens” (Symons 1992, 139), they are “the psychological universals that constitute human nature” (Tooby and Cosmides 1990a, 19). As a consequence, Evolutionary Psychology has the potential to discover a “human nature [that] is everywhere the same” (Tooby and Cosmides 1992, 38).

Apart from the observation that enough time has passed with constant selection pressures for our cognitive modules virtually being driven to fixation, Cosmides and Tooby have offered two arguments for the universality of our psychological adaptations (see also Buller 2005, 73–4). The first argument is more or less a plausibility argument, according to which since our bodies and our minds are both the result of evolution by natural selection, and our bodies are universal, so should be our minds:

[T]he fact that any given page out of Gray’s Anatomy describes in precise anatomical detail individual humans from around the world demonstrates the pronounced monomorphism present in complex human physiological adaptations. Although we cannot directly ‘see’ psychological adaptations …, no less could be true of them. (Tooby and Cosmides 1992, 38)

The second argument first appeared in Tooby and Cosmides (1990a), has been repeated in Tooby and Cosmides (1992) and is treated by Evolutionary Psychologists as a definite proof of universal panhuman design. In a nutshell, the argument is that since in sexual reproduction a child’s genome is a mixture of its father’s and its mother’s genes, and since cognitive adaptations are complex and thus not coded for by a single gene but require hundreds or thousands of genes to work in concert for their development, “it is improbable that all of the genes necessary for a complex adaptation would be together in the same individual if the genes coding for the components of complex adaptations varied substantially between individuals” (Tooby and Cosmides 1992, 78–9).

If there is a complex series of interdependent adaptations required to produce a sex, a behavioral strategy, or a personality type, there is only one way to ensure the necessary coordination. All of the parts of the genetic programs necessary to build the integrated design must be present when needed in every individual of a given type. The only way that the 50 genes, or 100 genes, or 1,000 genes that may be required to assemble all of the features defining a given type can rely on each other’s mutual presence is that they are all present in every individual. (Tooby and Cosmides 1990a, 45)

Evolutionary Psychologists are thus not claiming that human behavior or culture is the same everywhere. Quite obviously, there is significant behavioral and cultural diversity throughout the world. What they claim is that the genes that are required for our cognitive adaptations to develop, and thus the cognitive adaptations themselves, must be the same all over the world, although, of course, the behavior that results from them may differ (for more on this, see section 4a).

3. Examples of Empirical Research

Evolutionary Psychology has sparked an enormous amount of empirical research covering nearly any imaginable topic, including issues as diverse as language, morality, emotions, parental investment, homicide, social coercion, rape, psychopathologies, landscape preferences, spatial abilities, or pregnancy sickness (see, for example, Buss 1999, 2005; Barkow et al. 1992 for an overview).

For instance, Margie Profet (1992) has argued that pregnancy sickness—a set of symptoms like food aversion, nausea, and vomiting that some women experience during the first three months of pregnancy—is an adaptation for protecting the embryo against maternal ingestion of toxins abundant in natural foods by lowering the typical human threshold of tolerance to toxins during the period of the embryo’s maximum susceptibility to toxins. Irwin Silverman and Marion Eals (1992) have argued that from an evolutionary point of view the male advantage in spatial abilities usually found in psychological experiments does not make sense. Although hunting, the primary task of our male ancestors, clearly required spatial abilities, no less is true of gathering plants, the primary task of our female ancestors. In order to be efficient foragers, our female ancestors must have been able to encode and remember the locations of thousands of different plants. When Silverman and Eals designed spatial tests that measured subjects’ ability to recall the location of items in a complex array or objects in a room, they found that women indeed consistently recalled more objects than men did, and recalled their location more accurately.

David Buss has argued that there are major differences between males and females regarding mate choice and jealousy that are evolved responses to different selection pressures (see, for example, Buss 1992, 1994, 2000; Buss and Schmitt 1993). For instance, he reasoned that because men need to guard against cuckoldry, while women need to guard against losing their mate’s economic resources, men should be concerned more by signs of sexual infidelity than about the loss of their partner’s emotional attachment, while women should be troubled more by cues that signal emotional infidelity than by signs of sexual infidelity. Buss et al. (1992) asked males and females from the USA, Europe and Asia whether they would be more distressed by sexual or emotional infidelity:

Please think of a serious committed romantic relationship that you have had in the past, that you currently have, or that you would like to have. Imagine that you discover that the person with whom you’ve been seriously involved became interested in someone else. What would distress or upset you more (please circle only one):

(A) Imagining your partner forming a deep emotional attachment to that person.

(B) Imagining your partner enjoying passionate sexual intercourse with that other person.

(Buss et al. 1992, 252)

Nowhere did women report sexual infidelity to be more upsetting than men, and on average, 51% of the men, but only 22% of the women chose option B above (for data and critical discussion, see Buller 2005, 316–45). These results have been taken to confirm Buss’ evolutionary hypothesis about sex differences with regard to jealousy (for a dissenting view see, for example, DeSteno and Salovey 1996; Harris and Christenfeld 1996).

The flagship example of Evolutionary Psychology is still Cosmides and Tooby’s work on cheater detection. In the 1960s, the Swedish psychologist Peter Wason devised the so-called “Wason Selection Task” in order to investigate how good subjects are at checking conditional rules (Wason 1966). He gave subjects a rule of the form “If P, then Q” (for example, “If a person goes to Boston, then that person takes the subway”), and showed them four cards. Two of the cards exemplified the P– and not-P-option, respectively (for example, “Boston” and “New York”), and two of them exemplified the Q and not-Q-option, respectively (for example, “subway” and “cab”). The subjects were told that the unseen sides of the P and not-P-cards could contain an instance of either Q or not-Q, and vice versa, and that they should indicate all and only the cards that would definitely have to be turned over in order to determine whether they violated the rule. Since a material conditional is false if and only if its antecedent is true and its consequent is false, the logically correct response would be to pick the P– and the not-Q-card. However, Wason discovered that most subjects choose either only the P-card or the P– and the Q-card, while few choose the P– and the not-Q-card. More importantly, subjects’ performance was apparently influenced by the content of the rules. While 48% correctly solved the Boston/transportation problem, successful performance dropped to less then 25% for the rule “If a person has a ‘D’ rating, then his documents must be marked code ‘3’” (with the options ‘D’, ‘F’, ‘3’, ‘7’), and increased to nearly 75% for the rule “If a person is drinking beer, then he must be over 21 years old” (with the options “drinking beer,” “drinking coke,” “25 years old,” “16 years old”) (Cosmides and Tooby 1992, 182–3). By the 1980s, the psychological literature was full with reports of such “content effects,” but there was no satisfying theory to explain them.

Evolutionary biologists had long been puzzled by our ability to engage in altruistic behavior—behavior an individual A performs for the benefit of another individual B, associated with some significant cost for A (like warning calls, help in raising offspring, saving a drowning child, and so forth). How could a tendency to behave in a way that increases another individual’s fitness at some non-negligible cost to oneself be produced and retained by natural selection? Robert Trivers (1971) argued that altruistic behavior can evolve if it is reciprocal, that is, if A‘s act a has benefit bB for B and cost cA for A, B reciprocates with some act a* with benefit bA for A and cost cB for B, where bA outweighs cA and bB outweighs cB. Interactions that satisfy this cost-benefit structure constitute what is called a “social exchange.” Since in social exchanges both A and B incur a net-benefit, Trivers reasoned, altruistic behavior can evolve. Yet, the problem is that once a propensity for altruistic behavior has evolved, it is obviously better for an individual to cheat by accepting the benefit of an altruistic act without paying the cost of reciprocation. In the long run, this would lead to an increase in the number of cheaters until altruism was driven to extinction. In order for altruism to evolve, Trivers (1971, 48) concluded, natural selection must “favor more acute abilities to detect cheating.”

Cosmides and Tooby saw a connection between the need to detect cheaters in acts of social exchange and the content effect discovered by Wason (Cosmides 1989; Cosmides and Tooby 1989, 1992). Since the ability to test abstract logical rules would not have had any adaptive value in the EEA, we should not expect natural selection to have endowed the human mind with some general conditional reasoning capacity. Rather, natural selection should have designed a module that allows us to detect those who accept the benefit without reciprocating accordingly in situations of social exchange. Consequently, we should be better at testing social contract rules that say “If person A provides the requested benefit to or meets the requirement of person or group B, then B will provide the rationed benefit to A” (Cosmides and Tooby 2000, 1260) than at testing conditional rules that do not describe such conditions.

When Cosmides and Tooby categorized “content effects according to whether they conformed to social contracts, a striking pattern emerged. Robust and replicable content effects were found only for rules that related terms that are recognizable as benefits and cost/requirements in the format of a standard social contract” (Cosmides and Tooby 1992, 183). They argued that the content effect found in Wason Selection Tasks is due to the fact that some tasks involve a social contract rule.

In order to substantiate this hypothesis, they conducted a series of experiments designed to rule out alternative explanations of the content effects. One plausible explanation, for instance, would be that our cognitive system is able to deal better and more effectively with familiar problems (like the drinking/age problem) than with unfamiliar problems (like the letter/number problem). They therefore compared performance on unfamiliar social rules with performance on unfamiliar non-social rules. If familiarity is the issue, then subjects should perform equally bad on both unfamiliar rules. If, however, the increased performance in the drinking/age problem is due to the fact that here the subjects are dealing with a social contract rule, then performance should be better on the unfamiliar social than on the unfamiliar non-social rule.

Cosmides designed two unfamiliar Wason Selection Tasks. One rule read “If a man eats cassava root, then he must have a tattoo on his face” (with the options “eats cassava root,” “eats molo nuts,” “tattoo,” “no tattoo”). The other read “If you eat duiker meat, then you have found an ostrich eggshell” (with the options “duiker,” “weasel,” “ostrich eggshell,” “quail eggshell”). The first was accompanied by a story according to which the inhabitants of a Polynesian island have strict sexual mores that prohibit sex between unmarried people and thus mark married men with a facial tattoo and do not permit unmarried men to eat cassava root, which is a very powerful aphrodisiac. The second story said that anthropologists who notice that the natives frequently say that if someone eats duiker meat, then he has found an ostrich shell hypothesize that this is because duikers often feed on ostrich shells. Thus, the first rule clearly represents a social contract—having a tattoo is the requirement one has to meet if one is being permitted the benefit of eating cassava root—while the second is a non-social rule which simply expresses the hypothesis that duikers and ostrich eggs are frequently found in close proximity.

The results confirmed the cheater detection prediction (Cosmides and Tooby 1992, 186–7): 75% correctly answered the unfamiliar social problem, but only 21% the unfamiliar non-social problem.

Cosmides also hypothesized that if there is a cheater detection module, then subjects should pick the cards that represent cheating even if they correspond to the logically incorrect answer. She thus switched the logical role of the P/not-P– and the Q/not-Q-cards in both the cassava root/tattoo and the duiker meat/ostrich shell problem. The switched rules read “If a man has a tattoo on his face, then he eats cassava root” and “If you have found an ostrich eggshell, then you eat duiker meat.” Since the not-P– and the Q-card (“no tattoo” and “eats cassava root”) still represent accepting a benefit without meeting the requirement, the cheater detection hypothesis predicts that subjects should pick the logically incorrect cards in the first case, whereas performance in the ostrich shell/duiker meat case should be unaffected. Again, the prediction was confirmed (Cosmides and Tooby 1992, 188–9): 67% of the subjects chose the logically incorrect not-P– and Q-cards in response to the switched social problem, but only 4% did so for the switched non-social problem. (For a criticism of Cosmides and Tooby’s work on cheater detection and for further references see Buller 2005, 163–90.)

4. Problems and Objections

Evolutionary Psychology is a successful research program, but it has its problems. Some difficulties have already been mentioned in section 2 in connection with the theoretical underpinnings of Evolutionary Psychology (for a recent critique of Evolutionary Psychology at a methodological and conceptual level see Panksepp and Panksepp 2000). These and a couple of others will be briefly reviewed in this section.

a. Genetic Determinism

One of the most often heard criticisms is also one of the least convincing. The charge is that Evolutionary Psychology is committed to, or at least willfully embraces, a genetic determinism according to which our behavior is determined by our genetic make-up, which, since it is a human universal, cannot be influenced by means of social learning, education, and so forth, Dorothy Nelkin (2000, 27), for instance, claims that Evolutionary Psychology implies “genetic destiny,” and Robin Dunbar maintains that it seems “to be looking for genetically determined characters that are universally valid for all humans,” observing that this makes little sense because the “number of genuinely universal traits are … likely to run to single figures at most” (Dunbar 1988, 168).

It is true that Evolutionary Psychologists are looking for human universals, and it is also true that they think that if humans were not genetically very similar, there could be no cognitive adaptations (see section 2e). Yet, they are not committed to “a form of ‘genetic determinism,’ if by that one means the idea that genes determine everything, immune from an environmental influence” (Tooby and Cosmides 1990a, 19). Their claim is that the cognitive mechanisms underlying behavior are human universals, and that does not entail that our behavior is genetically determined, or the same all over the world. Quite the contrary: It is universally agreed among Evolutionary Psychologists that behavior, like any other human trait, is the result of the complex interplay between genetic and environmental factors. Genetic determinism is false because “every feature of every phenotype is fully and equally codetermined by the interaction of the organism’s genes … and its ontogenetic environments” (Tooby and Cosmides 1992, 83; italics added), as is nicely illustrated by the fact that not even genetic clones, monozygotic twins, are phenotypically identical. In fact, work in Evolutionary Psychology has emphasized the highly flexible and contingent nature of cognitive adaptations. For instance, Martin Daly and Margo Wilson’s often cited work on violence toward children by stepparents (for example, Daly and Wilson 1988a, 1988b) is in fact entirely concerned with contextual factors—the presence of a stepparent in a household, they argue, is one of the primary predictors of fatal violence toward children.

b. Moral and Societal Issues

A related charge is that Evolutionary Psychology is defending the status quo regarding sex, race, intelligence differences, and so forth, by arguing that, first, there is nothing we can do, given that these differences are the result of our hard-wired cognitive mechanisms, and, second, there is no need to do something, because these differences, being the result of natural selection, are optimal solutions to longstanding adaptive problems.

The first claim is just wrong. As seen in section 4a, it is not “all in our genes” because the environment heavily influences what behavior issues forth from cognitive mechanisms, even if the latter are evolutionarily hard-wired.

The second claim is an instance of what many scholars would regard as the fallacious inference from “is” to “ought” (see Naturalistic Fallacy). As Robert Kurzban (2002) has pointed out, Evolutionary Psychologists are well aware that it is illegitimate to move from the first to the second, that there is a difference “between science, which can help us to understand what is, and morality, which concerns questions about what ought to be.” Regarding cognitive adaptations, one cannot infer “ought” from “is” because (1) there is no guarantee that natural selection always finds an optimal solution, (2) since the environment has changed, something that was good for our ancestors may no longer be good for us, and (3) the sense in which it was “good” for our ancestors that, say, they possessed a cognitive mechanism that pre-disposed them to kill children of their mating partners that were not their own (“good” in the sense of “fitness increasing”) is definitely not the sense of “good” that is relevant to ethical discourse (“good” in the sense of “morally praiseworthy/obligatory”).

c. Untestability and Story Telling

One of the key problems for Evolutionary Psychologists is to show that the adaptationist explanations they offer are indeed explanations properly so called and not mere “just-so-stories” that feature plausible scenarios without its being certain that they are historical fact. Stephen Jay Gould, for instance, who famously criticized evolutionary biology for its unreflected and widespread adaptationism that tends to ignore other plausible evolutionary explanations (Gould and Lewontin 1979), has argued that the sole task of Evolutionary Psychology has become “a speculative search for reasons why a behavior that harms us now must once have originated for adaptive purposes” (Gould 2000, 119).

There is something to this charge, but things are more difficult. Evolutionary Psychologists stress that “[i]t is difficult to reconcile such claims with the actual practice of EP, since in evolutionary psychology the evolutionary model or prediction typically precedes and causes the discovery of new facts, rather than being constructed post hoc to fit some known fact” (Sell et al. 2003, 52). The discussion of functional analysis in section 2b has shown that there is a clear sense in which adaptationist hypotheses can be tested: functional analysis predicts the existence of yet unknown cognitive mechanisms on the grounds of evolutionary reasoning about potential adaptive problems in the EEA, and these predictions are then empirically tested. The hypotheses Evolutionary Psychologists derive from their computational theory thus allow them “to devise experiments that make possible the detection and mapping of mechanisms that no one would otherwise have thought to test for in the absence of such theories” (Sell et al. 2003, 48). It is therefore not true that “claims about an EEA usually cannot be tested in principle but only subjected to speculation” (Gould 1997, 51) because if the purported cognitive mechanisms fail to show up in psychological experiments, the adapationist explanation is falsified.

First, however, this holds only for research that conforms to Cosmides and Tooby’s theoretical model (arguably, Cosmides and Tooby’s work on cheater detection, Buss’ work on sex differences with regard to jealousy, and Silverman and Eals’ work on differences in spatial abilities belong to this category). It does not apply to research that does not generate a prediction based on a putative problem, but tries to infer the historical function of an organism’s traits from its current structure. Profet’s work on pregnancy sickness would be a case in point: here, one already knows the trait (pregnancy sickness) and merely speculates about its historic function, in contrast to the other cases, where the existence of the trait (an ability to detect cheaters, sex specific responses to jealousy, or sex specific spatial abilities) is inferred from evolutionary considerations about the problems prevalent in the EEA.

Second, the controversial claim is not that our psychological faculties have evolved. It is that they are adaptations, and, more specifically, adaptations for solving particular adaptive problems. Successful psychological tests that show that current Homo sapiens indeed possesses the hypothesized cognitive mechanisms establish that these traits have evolved, but they fail to establish that they are adaptations, let alone adaptations for, say, detecting cheaters or remembering the location of edible plants. For all these tests tell us, the traits in question could still be exaptations, or even spandrels. In order to show that they are indeed adaptations, a point that is forcefully made by Richardson (2008), additional information would be needed, and it is not clear that this additional information can be had (for a sketch of Richardson’s argument see Walter 2009).

Third, there seems to be a sense in which adaptationist explanations are still “just-so-stories.” Functional analysis relies on claims about the nature of the EEA which cannot be directly verified because there is very little we can know with any confidence about the conditions that obtained in the EEA. As Evolutionary Psychologists like to point out, there are some things which have arguably stayed constant since the EEA:

[R]esearchers know with certainty of high confidence thousands of important things about our ancestors, many of which can be used to derive falsifiable predictions about our psychological architecture: our ancestors had two sexes; contracted infections by contact, collected plant foods; inhabited a world where the motions of objects conformed to the principles of kinematic geometry; had color vision; were predated upon; had faces; lived in a biotic environment with a hierarchical taxonomic structure, and so forth (Sell et al. 2003, 52–3).

The problem is that knowing that our ancestors inhabited a world with two sexes where the motions of objects conformed to the principles of kinematic geometry does not enable us to formulate the adaptive problems our ancestors putatively faced in enough detail. Both our male and female ancestors lived in such a world (as, by the way, did the ancestors of apes, spiders and flies), and yet they evolved different mating strategies, different responses to emotional versus sexual infidelity, different spatial abilities, and so forth. The descriptions of the past adaptive problems that Evolutionary Psychologists rely on in order to explain these differences are much more specific than the platitudes of which we can be relatively certain, and it is unclear how we could ever be confident that we got the specific details right. As Stephen Jay Gould puts it vividly:

But how can we possibly know in detail what small bands of hunter-gatherers did in Africa two million years ago? These ancestors left some tools and bones, and paleoanthropologists can make some ingenious inferences from such evidence. But how can we possibly obtain the key information that would be required to show the validity of adaptive tales about an EEA: relations of kinship, social structures and sizes of groups, different activities of males and females, the roles of religion, symbolizing, storytelling, and a hundred other central aspects of human life that cannot be traced in fossils? (Gould 1997, §31; see also Gould 2000, 120)

In the case of Buss’ research on the evolution of sex differences with regard to jealousy, for instance, we can only hypothesize about such things as group structure and size, mating structures, similarities between ancestral and current group structures, or the alleged differences in mating behavior in ancestral groups that are appealed to or presupposed in the formulation of the adaptive problem (again, a point made convincingly by Richardson 2008).

Of course, as Sell et al. (2003) point out, if our assumptions about our ancestors’ problems are wrong, our computational theory is wrong, too, and should thus predict the existence of cognitive mechanisms that will not be found when checked for empirically. Yet, even if this is so, the two qualifications above apply to this move mutatis mutandis. (For more on the role of historical evidence in the search for adaptations and the kinds of problems that may arise, see Kaplan 2002.)

d. Psychological Inadequacy

In Adapting Minds: Evolutionary Psychology and the Persistent Quest for Human Nature, David Buller argues “not only that the theoretical and methodological doctrines of Evolutionary Psychology are problematic, but that Evolutionary Psychology has not, in fact, produced any solid empirical results” (Buller 2005, 15). What is wrong with Evolutionary Psychology is that the psychological experiments used to establish the existence of the hypothesized cognitive mechanisms in current Homo sapiens are flawed because the data are exiguous, inconclusive and do not support the claims made by Evolutionary Psychologists, as Buller tries to show in detail for the classical studies of Cosmides and Tooby, Buss, and Daly and Wilson on cheater detection, mating strategies, jealousy, and discriminative parenthood. Whereas Richardson (2008) claims that Evolutionary Psychology is problematic as Evolutionary Psychology, Buller challenges the psychological credentials of evolutionary psychology, arguing that Evolutionary Psychology fails as Evolutionary Psychology.

5. Evolutionary Approaches to Mind, Culture, and Behavior: Alternatives to Evolutionary Psychology

In its broad sense, evolutionary psychology attempts to adopt “an evolutionary perspective on human behavior and psychology” (Barrett et al. 2002, 1) by applying Darwinian reasoning to behavioral, cognitive, social, or cultural characteristics of humans. Evolutionary Psychology is one strand of evolutionary psychology, but there are others, and the literature is full of different labels: “sociobiology,” “evolutionary anthropology,” “human behavioral ecology,” “Darwinian psychology,” “gene-culture coevolution,” to name just a few. These approaches share the idea that evolutionary reasoning can enhance our understanding of mind, culture, and society, but they disagree about exactly how Darwinian thinking ought to enter the picture. This is not the place to go into the details, but a brief survey of the theoretical landscape (see Laland and Brown 2002 for a book-length overview) may help to understand the difference between evolutionary psychology as a general field of inquiry and Evolutionary Psychology as a narrowly circumscribed research paradigm.

a. Human Behavioral Ecology

Evolutionary Psychologists insist that an evolutionary approach to human psychology must ask whether a trait is an adaptation, not whether it is currently adaptive. They thereby separate themselves sharply from an approach Symons (1989) dubbed “Darwinian anthropology” that instead focuses on the current adaptiveness of our behavior (for a more reconciliatory approach see, for example, Downes 2001). Human behavioral ecology, as it is nowadays called (Borgerhoff Mulder 1991), originated in the late 1970s when, after the upheaval caused by Wilson’s Sociobiology, some anthropologists decided to go out and test the controversial hypotheses of Wilson and others by means of real data from hunter-gatherer populations (Chagnon and Irons 1979; Hinde 1974). Using quantitative ethnographic information and optimality models, human behavioral ecologists investigate whether and how the current adaptiveness of an individual’s behavior is influenced by its ecological and cultural environment and in which way the different behaviors individuals develop to cope with environmental challenges lead to and account for cultural differences between them.

Natural selection, human behavioral ecologists argue, has created an extraordinary flexibility—known as phenotypic plasticity—that allows our “behavior to assume the form that maximizes inclusive fitness” (Irons 1979, 33) across a wide variety of widely diverse habitats. Since there has been selection for a general phenotypic plasticity, we are not so much “adaptation executers” as rather “fitness maximizers”: “Modern Darwinian theory predicts that human behavior will be … designed to promote maximum reproductive success” (Turke and Betzig 1985, 79; italics added). As a consequence, human behavioral ecologists are less interested in discovering proximal cognitive mechanisms than in checking whether the behavior they trigger is actually adaptive (a strategy known as phenotypic gambit).

b. Memetics

A rather different approach is adopted by memetics (Blackmore 1999; Distin 2005). Memetics tries to explain cultural characteristics and processes and the way they influence our behavior by postulating a process of cultural evolution that is analogous to the process of biological evolution, but largely independent of it. Dawkins (1976) introduced the idea that evolution by natural selection is a substrate neutral process that can act on what he called a “replicator,” that is, any heritable entity for which there is variation in a population and that is associated with different degrees of fitness. The gene, Dawkins said, is the replicator in biological evolution, but the cultural realm also has a replicator, which he famously dubbed a meme: a meme is “a unit of cultural inheritance, hypothesized as analogous to the particulate gene, and as naturally selected in virtue of its phenotypic consequences on its own survival and replication in the cultural environment” (Dawkins 1982, 290). Memes form the substrate of cultural evolution, a process in which different memes are differentially transmitted from individual to individual. One of the key challenges for memetics is to spell out exactly what memes are, and although suggestions abound, there is no agreed consensus [for instance, according to Dawkins “examples of memes are tunes, ideas, catch-phrases, clothes fashions, ways of making pots or of building arches” (Dawkins 1976, 206), while Dennett (1995, 347–8) cites the ideas of the wheel, of wearing clothes, the vendetta, the right triangle, the alphabet, chess, perspective drawing, Impressionism, Greensleeves, and deconstructionism as examples]. Importantly, whatever memes are, they must be sufficiently similar to genes to warrant the claim that cultural evolution is more or less analogous to biological evolution, and critics of memetics argue that this constraint is unlikely to be met (for example, Boyd and Richerson 2000; for a more optimistic view, see Blackmore 1999, ch. 5).

c. Gene-Culture Coevolution

Defenders of what is known as “gene-culture coevolution” or “dual inheritance theory” (Boyd and Richerson 1985, 2005a, 2005b; Cavalli-Sforza and Feldmann 1981; Durham 1991) agree with memetics that transmitted cultural information is too important a factor to be ignored by an evolutionary approach to human culture and behavior. After all, one of the most striking facts about humans is that there are important and persistent differences between human groups that are due to culturally transmitted ideas, and not to genetic, biological, or ecological factors. Yet, although culture is a Darwinian force in its own right, they argue, there is no substantial analogy between cultural and biological evolution. In both processes information is transmitted between individuals and both create patterns of heritable variation, but the differences are much more salient: culture is not based on direct replication but upon teaching, imitation, and other forms of social learning, the transmission of culture is temporally extended and not restricted to parents and their offspring, cultural evolution is not necessarily particulate, and not necessarily random (Boyd and Richerson 2000).

Culture is part of human biology, gene-culture coevolutionists argue, but accounts concerned solely with genetic factors are inadequate because they ignore the fact that culture itself shapes the adaptive environment in which biological evolution takes place by creating a culturally constructed environment in which human genes must evolve. Conversely, accounts aimed solely at explaining cultural replication are also inadequate because they ignore the fact that genes affect cultural evolution, for instance by forming psychological predispositions that bias what people imitate, teach, or are able to learn. Hence, a truly evolutionary approach to culture must acknowledge that genesand culture coevolve, and try to investigate the circumstances under which the cultural habits adopted by individuals are influenced by their genes, and how the natural selection pressures that guide biological evolution may be generated by culture.

6. References and Further Reading

a. Suggested Further Reading

  • Barkow, Jerome, Leda Cosmides, and John Tooby, eds. (1992). The Adapted Mind: Evolutionary Psychology and the Generation of Culture. Oxford: Oxford University Press.
    • The manifesto of Evolutionary Psychology.
  • Barrett, Louise, Robin Dunbar, and John Lycett, eds. (2002). Human Evolutionary Psychology. Princeton, NJ: Princeton University Press.
    • A very useful textbook of evolutionary psychology in the broad sense, covering both Evolutionary Psychology and Human Behavioral Ecology.
  • Buller, David (2005). Adapting Minds: Evolutionary Psychology and the Persistent Quest for Human Nature. Cambridge, MA: MIT Press.
    • A philosophical critique of Evolutionary Psychology, arguing that the empirical tests Evolutionary Psychologists rely on to establish that current Homo sapiens possesses the postulated cognitive adaptations in the areas of cheater detection, mating, marriage, and parenthood are flawed.
  • Buss, David (1999). Evolutionary Psychology: The New Science of the Mind. Boston: Allyn and Bacon.
    • The textbook of Evolutionary Psychology, written by one of its most ardent advocates.
  • Cosmides, Leda, and John Tooby (1992). “Cognitive Adaptations for Social Exchange.” In: The Adapted Mind: Evolutionary Psychology and the Generation of Culture. Eds. Jerome Barkow, Leda Cosmides, and John Tooby. Oxford: Oxford University Press, 163–228.
    • The classic paper on cheater detection.
  • Dawkins, Richard (1976). The Selfish Gene. Oxford: Oxford University Press.
    • A must-read for anyone interested in evolutionary biology in general, in which Dawkins introduces the concept of the meme and defends his theory of evolution from the gene’s eye point of view (also known as the “selfish gene theory”) according to which the ultimate beneficiary of the evolutionary process is neither the species, nor the individual, nor a particular trait, but the gene.
  • Laland, Kevin, and Gillian Brown (2002). Sense or Nonsense: Evolutionary Perspectives on Human Behavior. Oxford: Oxford University Press.
    • A highly laudable introduction to sociobiology, Evolutionary Psychology, human behavioral ecology, memetics, and gene-culture coevolution.
  • Pinker, Steven (1997). How the Mind Works. New York: Norton.
    • A very accessible introduction to Evolutionary Psychology and to the kinds of issues discussed in cognitive science in general.
  • Pinker, Steven (2002). The Blank Slate: The Modern Denial of Human Nature. New York: Penguin.
    • Another very accessible introduction to the ideas of Evolutionary Psychology, written by one of the most gifted writers in academia.
  • Richardson, Robert (2008). Evolutionary Psychology as Maladapted Psychology. Cambridge, MA: MIT Press.
    • A philosophical critique of Evolutionary Psychology from the perspective of evolutionary biology.
  • Samuels, Richard (1998). “Evolutionary Psychology and the Massive Modularity Hypothesis.” British Journal for the Philosophy of Science, 49, 575–602.
    • Criticizes Evolutionary Psychology’s insistence on the domain-specificity of cognitive mechanisms, arguing that a domain-general architecture that uses domain-specific information would be equally good.
  • Tooby, John, and Leda Cosmides (1990a). “On the Universality of Human Nature and the Uniqueness of the Individual: The Role of Genetics and Adaptation.” Journal of Personality, 58, 17–67.
    • Contains Cosmides and Tooby’s genetic argument (discussed in section 2e) for the claim that our cognitive adaptations are human universals.
  • Tooby, John, and Leda Cosmides (2005). “Conceptual Foundations of Evolutionary Psychology.” In: The Handbook of Evolutionary Psychology. Ed. David Buss. Hoboken, NJ: Wiley, 5–67.
    • A brief, but very valuable overview over the theoretical background of Evolutionary Psychology.
  • Wright, Robert (1994). The Moral Animal. The New Science of Evolutionary Psychology. New York: Pantheon Books.
    • A simplifying introduction to Evolutionary Psychology, written for a general audience, included here under “Suggested Readings” only to stress that it is not to be recommended at all for anyone with a serious interest in Evolutionary Psychology.

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Author Information

Author Information

Sven Walter
Email: s.walter@philosophy-online.de
University of Osnabrueck
Germany

Humor

The philosophical study of humor has been focused on the development of a satisfactory definition of humor, which until recently has been treated as roughly co-extensive with laughter. The main task is to develop an adequate theory of just what humor is.

According to the standard analysis, humor theories can be classified into three neatly identifiable groups:incongruity, superiority, and relief theories. Incongruity theory is the leading approach and includes historical figures such as Immanuel Kant, Søren Kierkegaard, and perhaps has its origins in comments made by Aristotle in the Rhetoric. Primarily focusing on the object of humor, this school sees humor as a response to an incongruity, a term broadly used to include ambiguity, logical impossibility, irrelevance, and inappropriateness. The paradigmatic Superiority theorist is Thomas Hobbes, who said that humor arises from a “sudden glory” felt when we recognize our supremacy over others. Plato and Aristotle are generally considered superiority theorists, who emphasize the aggressive feelings that fuel humor. The third group, Relief theory, is typically associated with Sigmund Freud and Herbert Spencer, who saw humor as fundamentally a way to release or save energy generated by repression. In addition, this article will explore a fourth group of theories of humor: play theory. Play theorists are not so much listing necessary conditions for something’s counting as humor, as they are asking us to look at humor as an extension of animal play.

While the task of defining humor is a seemingly simple one, it has proven quite difficult. Each theory attempts to provide a characterization of what is at least at the core of humor. However, these theories are not necessarily competing; they may be seen as simply focusing on different aspects of humor, treating certain aspects as more fundamental than others.

Table of Contents

  1. What Is Humor?
    1. Humor, Laughter, and the Holy Grail
    2. Problems Classifying Theorists
  2. Theories of Humor
    1. Superiority Theory
    2. Relief Theory
    3. Incongruity Theory
    4. Play Theory
    5. Summary of Humor Theories
  3. Reference and Further Reading

1. What is Humor?

Almost every major figure in the history of philosophy has proposed a theory, but after 2500 years of discussion there has been little consensus about what constitutes humor. Despite the number of thinkers who have participated in the debate, the topic of humor is currently understudied in the discipline of philosophy. There are only a few philosophers currently focused on humor-related research, which is most likely due to two factors: the problems in the field have proved incredibly difficult, inviting repeated failures, and the subject is erroneously dismissed as an insignificant concern. Nevertheless, scope and significance of the study of humor is reflected in the interdisciplinary nature of the filed, which draws insights from philosophy, psychology, sociology, anthropology, film, and literature. It is rare to find a philosophical topic that bares such direct relevance to our daily lives, our social interactions, and our nature as humans.

a. Humor, Laughter, Comedy, and the Holy Grail

The majority of the work on humor has been occupied with the following foundational question: What is humor? The word “humor” itself is of relatively recent origin. According to the Oxford English Dictionary, it arose during the 17th century out of psycho-physiological scientific speculation on the effects of various humors that might affect a person’s temperament. Much of the earlier humor research is riddled with equivocations between humor and laughter, and the problem continues into recent discussions. John Dewey states one reason to make the distinction: “The laugh is by no means to be viewed from the standpoint of humor; its connection with humor is only secondary. It marks the ending [. . .] of a period of suspense, or expectation, all ending which is sharp and secondary” (John Dewey, 558). We laugh for a variety of reasons—hearing a funny joke, inhaling laughing gas, being tickled—not all of which result from what we think of as humor. Attempting to offer a general theory of laughter and humor, John Morreall (manuscript) makes a finer distinction: laughter results from a pleasant psychological shift, whereas, humor arises from a pleasant cognitive shift. Noting the predominance of non-humorous laughter, researcher Robert Provine (2000) argues that laughter is most often found in non-humorous social interactions, deployed as some sort of tension relief mechanism. If humor is not a necessary condition of laughter, then we might ask if it is sufficient. Often humor will produce laughter, but sometimes it results in only a smile. Obviously, these relatively distinct phenomena are intimately connected in some manner, but to understand the relationship we need clearer notions of both laugher and humor.

Laughter is a fairly well described physiological process that results in a limited range of characteristic vocal patterns that are only physiologically possible, as Provine suggests, for bi-pedal creatures with breath control. If we describe humorous laughter as laughter in response to humor, then we must answer the question, What is humor? This topic will be explored in the next few sections, but for starters, we can say that humor or amusement is widely regarded as a response to a certain kind of stimulus. The comic, on the other hand, is best described as a professionally produced source of humor, a generic element of various artforms. In distinguishing between humorous and non-humorous laughter we presuppose a working definition of humor, based partly on the character of our response and partly on the properties of humorous objects. This is not necessarily to beg the question about what is humor, but to enter into the real world process of correctively developing a definition. The first goal of a humor theory is to look for the basis of our practical ability to identify humor.

Most definitions of humor are essentialist in that they try to list the necessary and sufficient conditions something must meet in order to be counted as humor. Some theories isolate a common element supposedly found in all humor, but hold back from making claims about the sufficient conditions. Many theorists seem to confuse offering the necessary conditions for a response to count as humor with explaining why we find one thing funny rather than another. This second question, what would be sufficient for an object to be found funny, is the Holy Grail of humor studies, and must be kept distinct from the goals of a definition of the humor response. The Holy Grail is often confused with a question regarding the sufficient conditions for our response to count as humorous amusement, but a crucial distinction needs to be made: identifying the conditions of a response is different from the isolating the features something must possess in order to provoke such a response. The first task is much different from suggesting what features are sufficient to provoke a response of humorous amusement. What amounts to a humor response is different from what makes something humorous. The noun (humor) and adjectival (humorous) senses of the term are difficult to keep distinct due to the imprecision of our language in this area. Much of the dissatisfaction with traditional humor theories can be traced back to an equivocation between these two senses of the term.

b. Problems Classifying Theorists

The standard analysis, developed by D. H. Monro, that classifies humor theories into superiority, incongruity, and relief theories sets up a false expectation of genuine competition between the views. Rarely do any of the historical theorists in any of these schools state their theories as listing necessary of sufficient conditions for something to count as humor, much less put their views in competition with others. A further problem concerns just what the something is that might be called humor. Some theories address the object of humor, whereas others are concerned primarily with the characteristics of the response, and other theories discuss both.

The popular reduction of humor theories into three groups—Incongruity, Relief, and Superiority theories—is an over simplification. Several scholars have identified over 100 types of humor theories, and Patricia Keith-Spiegel’s classification of humor theories into 8 major types (biological, superiority, incongruity, surprise, ambivalence, release, configuration, and psychoanalytic theories) has been fairly influential. Jim Lyttle suggests that, based on the question they are primarily addressing humor, theories can be classified into 3 different groups. He argues that, depending on their focus, humor theories can be grouped under these categories: functional, stimuli, and response theories. (1) Functional theories of humor ask what purpose humor has in human life. (2) Stimuli theories ask what makes a particular thing funny. (3)Response theorists ask why we find things funny. A better way to phrase this concern is to say that response theorists ask what is particular about feelings of humor.

A little probing shows that Lyttle’s grouping is strained, since many of the humor theories address more than one of these questions, and an answer to one often involves an answer to the other questions. For instance, though focused on the function of humor, relief theories often have something to say about all three questions: humor serves as a tension release mechanism, the content often concerns the subject of repressed desires, and finding these funny involves a feeling of relief.

Regardless of the classificatory scheme, when analyzing the tradition of humor theories we need to consider how each of the traditionally defined schools answers the major questions that occupy the bulk of the discussion. The primary questions of humor theory include:

1. Humor question: What is humor?

(An answer to this question often entails answers to questions regarding the object and the response. This is the central question of any humor theory.)

2. Object Feature Questions:

  1. Are there any features frequently found in what is found funny?
  2. Are there any features necessary for something to have in order to be found funny?
  3. Are there any features that by themselves or considered jointly are sufficient for something to be found funny? (Answering this question affirmatively would amount to discovering the holy grail of humor theory.)

3. Response Question: Is there anything psychologically or cognitively distinctive or characteristic about finding something funny?

4. Laughter Question: How is humor related to laughter?

Given this list, we may ask what would a theory of humor amount to? To count as a humor theory and not just an approach to humor, a theory must attempt an answer to Question 1—What is humor? Like the relief theories, most humor theorists do not attempt to answer this question head on, but discuss some important or necessary characteristics of humor. Since the various theories of humor are addressing different sets of questions within this cluster as well as related question in the general study of humor, it is often difficult to put them in competition with each other. Accepting this limitation, we can proceed to explore a few of the major humor theories listed in the widely influential standard analysis.

2. Theories of Humor

a. Superiority Theory

We can give two forms to the claims of the superiority theory of humor: (1) the strong claim holds that all humor involves a feeling of superiority, and (2) the weak claim suggests that feelings of superiority are frequently found in many cases of humor. It is not clear that many superiority theorists would hold to the strong claim if pressed, but we will evaluate as a necessary condition nonetheless.

Neither Plato nor Aristotle makes clear pronouncements about the essence of humor, though their comments are preoccupied with the role of feelings of superiority in our finding something funny. In the “Philebus,” Plato tries to expose the “mixture of pleasure and pain that lies in the malice of amusement.” He argues that ignorance is a misfortune that when found in the weak is considered ridiculous. In comedy, we take malicious pleasure from the ridiculous, mixing pleasure with a pain of the soul. Some of Aristotle’s brief comments in the Poetics corroborate Plato’s view of the pleasure had from comedy. Tragedy deals with subjects who are average or better than average; however, in comedy we look down upon the characters, since it presents subjects of lesser virtue than, or “who are inferior to,” the audience. The “ludicrous,” according to Aristotle, is “that is a failing or a piece of ugliness which causes no pain of destruction” (Poetics, sections 3 and 7). Going beyond the subject of comedy, in the Rhetoric (II, 12) Aristotle defines wit as “educated insolence,” and in the Nicomachean Ethics (IV, 8) he describes jokes as “a kind of abuse” which should ideally be told without producing pain. Rather than clearly offering a superiority theory of humor, Plato and Aristotle focus on this common comic feature, bringing it to our attention for ethical considerations.

Thomas Hobbes developed the most well known version of the Superiority theory. Giving emphatic expression to the idea, Hobbes says “that the passion of laughter is nothing else but sudden glory arising from some sudden conception of some eminency in ourselves, by comparison with the infirmity of others, or with our own formerly” (Human Nature, ch. 8). Motivated by the literary conceit of the laugh of triumph, Hobbes’s expression the superiority theory looks like more of a theory of laughter than a theory of humor. Charles Baudelaire (1956) offers an interesting variation on Hobbes’ superiority theory, mixing it with mortal inferiority. He argues that that “laughter is satanic”—an expression of dominance over animals and a frustrated complaint against our being merely mortal.

Critically reversing the superiority theory, Robert Solomon (2002) offers an inferiority theory of humor. He thinks that self-recognition in the silly antics and self-deprecating behavior of the Three Stooges is characteristic of a source of humor based in inferiority or modesty. Rather than comparing our current with our former inferior selves, Solomon sees the ability to not take yourself seriously, or to see yourself as less than ideal, as a source of virtuous modesty and compassion. Solomon’s analysis of the Three Stooges is not a full-blown theory of humor, in that it does not make any pronouncements about the necessary or sufficient conditions of humor; however, it is a theory of humor in the sense that it suggests a possible source of humor or what humor can be and how it might function.

Solomon’s inferiority theory of humor raises a central objection against the Superiority theory, namely, that a feeling of superiority is not a necessary condition of humor. Morreall offers several examples, such as finding a bowling ball in his refrigerator, that could be found funny, but do not clearly involve superiority. If feelings of superiority are not necessary for humor, are they sufficient? Undoubtedly, this is not the case. As an 18th century critic of Hobbes, Francis Hutcheson, points out, we can feel superior to lots of things, dogs, cats, trees, etc, without being amused: “some ingenuity in dogs and monkeys, which comes near to some of our own arts, very often makes us merry; whereas their duller actions, in which the are much below us, are no matter of jest at all” (p. 29). However, if we evaluate the weaker version of the superiority theory—that humor is often fueled by feelings of superiority—then we have a fairly well supported empirical claim, easily confirmable by first hand observation.

b. Relief Theory

Relief theories attempt to describe humor along the lines of a tension-release model. Rather than defining humor, they discuss the essential structures and psychological processes that produce laughter. The two most prominent relief theorists are Herbert Spencer and Sigmund Freud. We can consider two version of the relief theory: (1) the strong version holds that all laughter results from a release of excessive energy; (2) the weak version claims that it is often the case that humorous laughter involves a release of tension or energy. Freud develops a more specific description of the energy transfer mechanism, but the process he describes is not essential to the basic claims of the relief theory of humor.

In “The Physiology of Laughter” (1860), Spencer develops a theory of laughter that is intimately related to his “hydraulic” theory of nervous energy, whereby excitement and mental agitation produces energy that “must expend itself in some way or another.” He argues that “nervous excitation always tends to beget muscular motion.” As a form of physical movement, laughter can serve as the expressive route of various forms of nervous energy. Spencer did not see his theory as a competitor to the incongruity theory of humor; rather, he tried to explain why it is that a certain mental agitation arising from a “descending incongruity” results in this characteristically purposeless physical movement. Spencer never satisfactorily answers this specific question, but he presents the basic idea that laughter serves to release pent up energy.

One criticism of Spencer’s theory of energy relief is that it does not seem to describe most cases of humor that occur quickly. Many instances of jokes, witticisms, and cartoons do not seem to involve a build up of energy that is then released. Perhaps Spencer thinks that the best explanation for laughter, an otherwise purposeless expenditure of energy, must be that it relieves energy produced from humor. However, since most of our experiences of humor do not seem to involve an energy build up, and humor does not seem forthcoming when we are generally agitated, a better explanation might be that laughter is not as purposeless as it seems or that all expenditures of energy, purposeful or not, need involve a build up.

Spencer might reply that everyone is continuously building up energy simply through the process of managing everyday stress. As such, most people have excess energy, a form of energy potential, waiting to be released by humor. For example, one often hears it said that humor allows one to “blow off steam” after a stressful day at work. The problem with this line of argument is that those who are most “stressed out” seem the least receptive to humor. Not only do attempts at humor frequently fall flat on the hurried, the amusement that results is typically minimal. Perhaps Spencer could argue that at a certain threshold the pent up energy jams the gates such that humor is unable to provide a release. This line of defense might be plausible, but the tension release theory starts to look a bit ad hoc when you have to posit things such as jammed energy release gates and the like.

In Jokes and Their Relation to the Unconscious (1905), Freud develops a more fine grained version of the relief theory of laughter, that amounts to a restatement of Spencer’s theory with the addition of a new process. He describes three different sources of laughter—joking, the comic, and humor—which all involve the saving of some psychic energy that is then discharged through laughter. In joking, the energy that would have been used to repress sexual and hostile feelings is saved and can be released in laughter. In the comic, cognitive energy to be used to solve an intellectual challenge is left over and can be released. The humorous involves a saving of emotional energy, since what might have been an emotion provoking situation turns out to be something we should treat non-seriously. The energy building up for the serious emotional reaction can then be released.

The details of Freud’s discussions of the process of energy saving, are widely regarded as problematic. His notion of energy saving is unclear, since it is not clear what sense it makes to say that energy which is never called upon is saved, rather than saying that no energy was expended. Take his theory of jokes, where the energy that otherwise would have been used to repress a desire is saved by joking which allows for aggression to be released. John Morreall and Noel Carroll make a similar criticism of this theory of energy management. We may have an idea of what it is like to express pent up energy, but we have no notion of what it would be to release energy that is used to repress a desire. Beyond the claim of queerness, this theory of joking does not result in the expected empirical observations. On Freud’s explanation, the most inhibited and repressed people would seem to enjoy joking the most, though the opposite is the case.

Relief theories of laughter do not furnish us a way to distinguish humorous from non-humorous laughter. Freud’s saved energy is perceptually indistinguishable with other forms of energy. As we saw with Spencer, Relief theories must be saddled to another theory of humor. Freud’s attempt to explain why we laugh is also an effort to explain why we find certain tendentious jokes especially funny, though it is not clear what he is getting at in his account of the saving of energy. He commits the fundamental mistake of relief theorists—they erroneously assume that since mental energy often finds release in physical movement, any physical movement must be explainable by an excess of nervous energy.

c. Incongruity Theory

The incongruity theory is the reigning theory of humor, since it seems to account for most cases of perceived funniness, which is partly because “incongruity” is something of an umbrella term. Most developments of the incongruity theory only try to list a necessary condition for humor—the perception of an incongruity—and they stop short of offering the sufficient conditions.

In the Rhetoric (III, 2), Aristotle presents the earliest glimmer of an incongruity theory of humor, finding that the best way to get an audience to laugh is to setup an expectation and deliver something “that gives a twist.” After discussing the power of metaphors to produce a surprise in the hearer, Aristotle says that “[t]he effect is produced even by jokes depending upon changes of the letters of a word; this too is a surprise. You find this in verse as well as in prose. The word which comes is not what the hearer imagined.” These remarks sound like a surprise theory of humor, similar to that later offered by René Descartes, but Aristotle continues to explain how the surprise must somehow “fit the facts,” or as we might put it today, the incongruity must be capable of a resolution.

In the Critique of Judgment, Immanuel Kant gives a clearer statement of the role of incongruity in humor: “In everything that is to excite a lively laugh there must be something absurd (in which the understanding, therefore, can find no satisfaction). Laughter is an affection arising from the sudden transformation of a strained expectation into nothing” (I, I, 54).

Arthur Schopenhauer offers a more specific version of the incongruity theory, arguing that humor arising from a failure of a concept to account for an object of thought. When the particular outstrips the general, we are faced with an incongruity. Schopenhauer also emphasizes the element of surprise, saying that “the greater and more unexpected [. . .] this incongruity is, the more violent will be his laughter” (1818, I, Sec. 13).

As stated by Kant and Schopenhauer, the incongruity theory of humor specifies a necessary condition of the object of humor. Focusing on the humorous object, leaves something out of the analysis of humor, since there are many kinds of things that are incongruous which do not produce amusement. A more robust statement of the incongruity theory would need to include the pleasurable response one has to humorous objects. John Morreall attempts to find sufficient conditions for identifying humor by focusing on our response. He defines humorous amusement as taking pleasure in a cognitive shift. The incongruity theory can be stated as a response focused theory, claiming that humor is a certain kind of reaction had to perceived incongruity.

Henri Bergson’s essay “Laughter” (1980) is perhaps the one of the most influential and sophisticated theories of humor. Bergson’s theory of humor is not easily classifiable, since it has elements of superiority and incongruity theories. In a famous phrase, Bergson argues that the source of humor is the “mechanical encrusted upon the living” (p. 84) According to Bergson “the comic does not exist outside of what is strictly human.” He thinks that humor involve an incongruous relationship between human intelligence and habitual or mechanical behaviors. As such, humor serves as a social corrective, helping people recognize behaviors that are inhospitable to human flourishing. A large source of the comic is in recognizing our superiority over the subhuman. Anything that threatens to reduce a person to an object—either animal or mechanical—is prime material for humor. No doubt, Bergson’s theory accounts for much of physical comedy and bodily humor, but he seems to over-estimate the necessity of mechanical encrustation. It is difficult to see how his theory can accommodate most jokes and sources of humor coming from wit.

Three major criticisms of the incongruity theory are that it is too broad to be very meaningful, it is insufficiently explanatory in that it does not distinguish between non-humorous incongruity and basic incongruity, and that revised versions still fail to explain why some things, rather than others, are funny. We have already addressed the third criticism: it confuses the object of humor with the response. What is at issue is the definition of humor, or how to identify humor, not how to create a humor-generating algorithm. The incongruity theorist has a response to this criticism as well, since they can claim that humor is pleasure in incongruity.

d. Play Theories

Describing play theories of humor as an independent school or approach might overstate their relative importance, although they do serve as a good representative of theories focused on the functional question. By looking at the contextual characteristic, play theories try to classify humor as a species of play. In this general categorization effort, the play theorists are not so much listing necessary conditions, as they are asking us to look at humor as an extension of animal play. They try to call our attention to the structural similarities between play contexts and humorous context, to suggest that what might be true of play, might be true of humor as well.

Play theorists often take an ethological approach to studying humor, tracing it back through evolutionary development. They look at laughter triggers like tickling, that are found in other species, to suggest that in humor ontogeny recapitulates phylogeny. In The Enjoyment of Laughter (1936), Max Eastman develops a play theory of humor with an adaptive story. He thinks we can find analogies of humor in the behavior of animals, especially in the proto-laughter of chimps to tickling. He goes so far as to argue that the wagging tail of a happy dog is a form of humorous laughter, since Eastman wants to broaden the definition of laughter to encompass other rhythmic responses to pleasure. Speaking more specifically of humor, he argues that “we come into the world endowed with an instinctive tendency to laugh and have this feeling in response to pains presented playfully” (p. 45). On Eastman’s account, what is central to humor and play is that both require taking a disinterested attitude towards what might otherwise be seen as serious.

Eastman considers humor to be a form of play, because humor involves a disinterested stance, certain kinds of humor involve mock aggression and insults, and because some forms of play activities result in humorous amusement. Since Eastman defines play as the adoption of this disinterested attitude, humor would count as a form of play on his definition, but this seems both too restrictive and too vague to serve as an adequate definition of play. In Homo Ludens (1938), Johan Huizinga criticizes identifying play with laughter or the comic. Though both seem to involve “the opposite of seriousness,” there are crucial asymmetries. Laughter, he argues, is particular to humans, whereas, play is found in other mammals and birds. Also, if we allow for certain types of competitive play, then a non-serious attitude is not essential to play, as it seems to be for humor. Identifying the comic, or humor, with play is problematic, since “in itself play is not comical for either for the player or public” (1938, p. 6). Huizinga questions whether humor and play share any necessary conditions, a requirement of the relationship if humor is a subtype of play. This will, of course, depend on how we describe humor and play, two equally elusive notions.

Play theorists are primarily concerned with the problem of determining the function of humor in order to explain how it might have adaptive value, a task taken up by other biological theories of humor. They argue that similarities between play and humor suggest that the adaptive value of play might be similar to that of humor. Other researchers focused on the functional questions have described humor as having value in cognitive development, social skill learning, tension relief, empathy management, immune system benefits, stress relief, and social bonding. Though these questions are primarily addressed by psychologists, sociologist, anthropologists, and medical researchers, their studies rely on and contribute to an evolving notion of just what counts as humor. Though the functional question is foremost in these theories, play theory tries to give humor a genus by offering some differentiating characteristics, essential to humor.

e. Summary of Humor Theories

We discussed four different schools of humor theories and noted how each reveals aspects common, if not necessary, to humor. Presenting these theories as rivals is misleading since, as we have seen, theorists in each classification focus on different problems and may draw upon the answers to different questions from another school. For instance, while focusing on why we find something funny, Spencer offers a functional explanation and relies on the answer incongruity theorists give to the question of what we find funny. Relief theories and Play theories tend to focus on the function humor serves in human life, though the functional question cannot be separated from characterizing amusement, or the humor response. Superiority theorists tend to focus on what feelings are necessary for there to be humor, or why we find some things funny. Incongruity theories have the most to say about the object of humor, though variants identify humor with the way we respond to a perceived incongruity. Though the functional, stimuli, and response questions are not neatly separated, the differing schools tend to assume that one question is more basic than the others.

3. References and Further Reading

  • Audi, Robert (1994). “Dispositional Beliefs and Dispositions to Believe.” Nous 28 (4), pp. 419-434.
  • Bateson, Gregory (2000). Steps to an Ecology of Mind. Chicago: University of Chicago Press.
  • Baudelaire, Charles (1956). “The Essence of Laughter and More Especially of the Comic in Plastic Arts.” Trans. Gerald Hopkins. In The Essence of Laughter and other Essays, Journals, and Letters, ed. Peter Qeennell. New York: Meridian Books.
  • Bergson, Henri (1980). “Laughter.” Trans. Wylie Sypher, in Comedy, eds. Wylie Sypher. Baltimore: Johns Hopkins University Press.
  • Berman, Merrie (1986). “How Many Feminists Does It Take To Make A Joke? Sexist Humor and What’s Wrong With It.” Hypatia, vol. 1, no. 1, Spring, pp. 63-82.
  • Caplow, Theodore (1968). Two Against One: Coalitions in Triads. Englewood Cliffs: Prentice Hall.
  • Carroll, Noel, ed. (2001a). Beyond Aesthetics: Philosophical Essays. New York: Cambridge University Press.
  • Carroll, Noel (2001b). “Horror and Humor” in Carroll (2001a), pp. 235-253.
  • Carroll, Noel (2001c). “Moderate Moralism” in Carroll (2001a), pp. 293- 306.
  • Carroll, Noel (2001d). “On Jokes” in Carroll (2001), pp. 317-334.
  • Carroll, Noel (1996). “Notes on the Sight Gag” in Noel Carroll Theorizing the Moving Image. New York, Cambridge Univesrity Press.
  • Carroll, Noel (1997). “Words, Images, and Laughter.” Persistence of Vision, no. 14, pp. 42-52.
  • Chapman, A. J., & Foot, H. C., eds. (1976). Humour and laughter: Theory, research, and applications. London: John Wiley & Sons.
  • Cohen, Ted (1999). Jokes: Philosophical Perspectives on Laughing Matters. Chicago: Chicago Univesrity Press.
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Author Information

Aaron Smuts
Email: asmuts@gmail.com
University of Wisconsin-Madison
U. s. A.

Design Arguments for the Existence of God

Design arguments are empirical arguments for the existence of God. These arguments typically, though not always, proceed by attempting to identify various empirical features of the world that constitute evidence of intelligent design and inferring God’s existence as the best explanation for these features. Since the concepts of design and purpose are closely related, design arguments are also known as teleological arguments, which incorporates “telos,” the Greek word for “goal” or “purpose.”

Design arguments typically consist of (1) a premise that asserts that the material universe exhibits some empirical property F; (2) a premise (or sub-argument) that asserts (or concludes) that F is persuasive evidence of intelligent design or purpose; and (3) a premise (or sub-argument) that asserts (or concludes) that the best or most probable explanation for the fact that the material universe exhibits F is that there exists an intelligent designer who intentionally brought it about that the material universe exists and exhibits F.

There are a number of classic and contemporary versions of the argument from design. This article will cover seven different ones. Among the classical versions are: (1) the “Fifth Way” of St. Thomas Aquinas; (2) the argument from simple analogy; (3) Paley’s watchmaker argument; and (4) the argument from guided evolution. The more contemporary versions include: (5) the argument from irreducible biochemical complexity; (6) the argument from biological information; and (7) the fine-tuning argument.

Table of Contents

  1. The Classical Versions of the Design Argument
    1. Scriptural Roots and Aquinas’s Fifth Way
    2. The Argument from Simple Analogy
    3. Paley’s Watchmaker Argument
    4. Guided Evolution
  2. Contemporary Versions of the Design Argument
    1. The Argument from Irreducible Biochemical Complexity
    2. The Argument from Biological Information
    3. The Fine-Tuning Arguments
      1. The Argument from Suspicious Improbability
      2. The Confirmatory Argument
  3. The Scientifically Legitimate Uses of Design Inferences
  4. References and Further Reading

1. The Classical Versions of the Design Argument

a. Scriptural Roots and Aquinas’s Fifth Way

The scriptures of each of the major classically theistic religions contain language that suggests that there is evidence of divine design in the world. Psalms 19:1 of the Old Testament, scripture to both Judaism and Christianity, states that “The heavens declare the glory of God; and the firmament sheweth his handywork.” Similarly, Romans 1:19-21 of the New Testament states:

For what can be known about God is plain to them, because God has shown it to them. Ever since the creation of the world his eternal power and divine nature, invisible though they are, have been understood and seen through the things he has made. So they are without excuse.

Further, Koran 31:20 asks “Do you not see that Allah has made what is in the heavens and what is in the earth subservient to you, and made complete to you His favors outwardly and inwardly?” While these verses do not specifically indicate which properties or features of the world are evidence of God’s intelligent nature, each presupposes that the world exhibits such features and that they are readily discernable to a reasonably conscientious agent.

Perhaps the earliest philosophically rigorous version of the design argument owes to St. Thomas Aquinas. According to Aquinas’s Fifth Way:

We see that things which lack knowledge, such as natural bodies, act for an end, and this is evident from their acting always, or nearly always, in the same way, so as to obtain the best result. Hence it is plain that they achieve their end, not fortuitously, but designedly. Now whatever lacks knowledge cannot move towards an end, unless it be directed by some being endowed with knowledge and intelligence; as the arrow is directed by the archer. Therefore some intelligent being exists by whom all natural things are directed to their end; and this being we call God (Aquinas, Summa Theologica, Article 3, Question 2).

It is worth noting that Aquinas’s version of the argument relies on a very strong claim about the explanation for ends and processes: the existence of any end-directed system or process can be explained, as a logical matter, only by the existence of an intelligent being who directs that system or process towards its end. Since the operations of all natural bodies, on Aquinas’s view, are directed towards some specific end that conduces to, at the very least, the preservation of the object, these operations can be explained only by the existence of an intelligent being. Accordingly, the empirical fact that the operations of natural objects are directed towards ends shows that an intelligent Deity exists.

This crucial claim, however, seems to be refuted by the mere possibility of an evolutionary explanation. If a Darwinian explanation is even coherent (that is, non-contradictory, as opposed to true), then it provides a logically possible explanation for how the end-directedness of the operations of living beings in this world might have come about. According to this explanation, such operations evolve through a process by which random genetic mutations are naturally selected for their adaptive value; organisms that have evolved some system that performs a fitness-enhancing operation are more likely to survive and leave offspring, other things being equal, than organisms that have not evolved such systems. If this explanation is possibly true, it shows that Aquinas is wrong in thinking that “whatever lacks knowledge cannot move towards an end, unless it be directed by some being endowed with knowledge and intelligence.”

b. The Argument from Simple Analogy

The next important version of the design argument came in the 17th and 18th Centuries. Pursuing a strategy that has been adopted by the contemporary intelligent design movement, John Ray, Richard Bentley, and William Derham drew on scientific discoveries of the 16th and 17th Century to argue for the existence of an intelligent Deity. William Derham, for example, saw evidence of intelligent design in the vision of birds, the drum of the ear, the eye-socket, and the digestive system. Richard Bentley saw evidence of intelligent design in Newton’s discovery of the law of gravitation. It is noteworthy that each of these thinkers attempted to give scientifically-based arguments for the existence of God.

David Hume is the most famous critic of these arguments. In Part II of his famous Dialogues Concerning Natural Religion, Hume formulates the argument as follows:

Look round the world: contemplate the whole and every part of it: you will find it to be nothing but one great machine, subdivided into an infinite number of lesser machines, which again admit of subdivisions to a degree beyond what human senses and faculties can trace and explain. All these various machines, and even their most minute parts, are adjusted to each other with an accuracy which ravishes into admiration all men who have ever contemplated them. The curious adapting of means to ends, throughout all nature, resembles exactly, though it much exceeds, the productions of human contrivance; of human designs, thought, wisdom, and intelligence. Since, therefore, the effects resemble each other, we are led to infer, by all the rules of analogy, that the causes also resemble; and that the Author of Nature is somewhat similar to the mind of man, though possessed of much larger faculties, proportioned to the grandeur of the work which he has executed. By this argument a posteriori, and by this argument alone, do we prove at once the existence of a Deity, and his similarity to human mind and intelligence.

Since the world, on this analysis, is closely analogous to the most intricate artifacts produced by human beings, we can infer “by all the rules of analogy” the existence of an intelligent designer who created the world. Just as the watch has a watchmaker, then, the universe has a universe-maker.

As expressed in this passage, then, the argument is a straightforward argument from analogy with the following structure:

  1. The material universe resembles the intelligent productions of human beings in that it exhibits design.
  2. The design in any human artifact is the effect of having been made by an intelligent being.
  3. Like effects have like causes.
  4. Therefore, the design in the material universe is the effect of having been made by an intelligent creator.

Hume criticizes the argument on two main grounds. First, Hume rejects the analogy between the material universe and any particular human artifact. As Hume states the relevant rule of analogy, “wherever you depart in the least, from the similarity of the cases, you diminish proportionably the evidence; and may at last bring it to a very weak analogy, which is confessedly liable to error and uncertainty” (Hume, Dialogues, Part II). Hume then goes on to argue that the cases are simply too dissimilar to support an inference that they are like effects having like causes:

If we see a house,… we conclude, with the greatest certainty, that it had an architect or builder because this is precisely that species of effect which we have experienced to proceed from that species of cause. But surely you will not affirm that the universe bears such a resemblance to a house that we can with the same certainty infer a similar cause, or that the analogy is here entire and perfect (Hume, Dialogues, Part II).

Since the analogy fails, Hume argues that we would need to have experience with the creation of material worlds in order to justify any a posteriori claims about the causes of any particular material world; since we obviously lack such experience, we lack adequate justification for the claim that the material universe has an intelligent cause.

Second, Hume argues that, even if the resemblance between the material universe and human artifacts justified thinking they have similar causes, it would not justify thinking that an all-perfect God exists and created the world. For example, there is nothing in the argument that would warrant the inference that the creator of the universe is perfectly intelligent or perfectly good. Indeed, Hume argues that there is nothing there that would justify thinking even that there is just one deity: “what shadow of an argument… can you produce from your hypothesis to prove the unity of the Deity? A great number of men join in building a house or ship, in rearing a city, in framing a commonwealth; why may not several deities combine in contriving and framing a world” (Hume Dialogues, Part V)?

c. Paley’s Watchmaker Argument

Though often confused with the argument from simple analogy, the watchmaker argument from William Paley is a more sophisticated design argument that attempts to avoid Hume’s objection to the analogy between worlds and artifacts. Instead of simply asserting a similarity between the material world and some human artifact, Paley’s argument proceeds by identifying what he takes to be a reliable indicator of intelligent design:

[S]uppose I found a watch upon the ground, and it should be inquired how the watch happened to be in that place, I should hardly think … that, for anything I knew, the watch might have always been there. Yet why should not this answer serve for the watch as well as for [a] stone [that happened to be lying on the ground]?… For this reason, and for no other; namely, that, if the different parts had been differently shaped from what they are, if a different size from what they are, or placed after any other manner, or in any order than that in which they are placed, either no motion at all would have been carried on in the machine, or none which would have answered the use that is now served by it (Paley 1867, 1).

There are thus two features of a watch that reliably indicate that it is the result of an intelligent design. First, it performs some function that an intelligent agent would regard as valuable; the fact that the watch performs the function of keeping time is something that has value to an intelligent agent. Second, the watch could not perform this function if its parts and mechanisms were differently sized or arranged; the fact that the ability of a watch to keep time depends on the precise shape, size, and arrangement of its parts suggests that the watch has these characteristics because some intelligent agency designed it to these specifications. Taken together, these two characteristics endow the watch with a functional complexity that reliably distinguishes objects that have intelligent designers from objects that do not.

Paley then goes on to argue that the material universe exhibits the same kind of functional complexity as a watch:

Every indicator of contrivance, every manifestation of design, which existed in the watch, exists in the works of nature; with the difference, on the side of nature, of being greater and more, and that in a degree which exceeds all computation. I mean that the contrivances of nature surpass the contrivances of art, in the complexity, subtilty, and curiosity of the mechanism; and still more, if possible, do they go beyond them in number and variety; yet in a multitude of cases, are not less evidently mechanical, not less evidently contrivances, not less evidently accommodated to their end, or suited to their office, than are the most perfect productions of human ingenuity (Paley 1867, 13).

Since the works of nature possess functional complexity, a reliable indicator of intelligent design, we can justifiably conclude that these works were created by an intelligent agent who designed them to instantiate this property.

Paley’s watchmaker argument is clearly not vulnerable to Hume’s criticism that the works of nature and human artifacts are too dissimilar to infer that they are like effects having like causes. Paley’s argument, unlike arguments from analogy, does not depend on a premise asserting a general resemblance between the objects of comparison. What matters for Paley’s argument is that works of nature and human artifacts have a particular property that reliably indicates design. Regardless of how dissimilar any particular natural object might otherwise be from a watch, both objects exhibit the sort of functional complexity that warrants an inference that it was made by an intelligent designer.

Paley’s version of the argument, however, is generally thought to have been refuted by Charles Darwin’s competing explanation for complex organisms. In The Origin of the Species, Darwin argued that more complex biological organisms evolved gradually over millions of years from simpler organisms through a process of natural selection. As Julian Huxley describes the logic of this process:

The evolutionary process results immediately and automatically from the basic property of living matter—that of self-copying, but with occasional errors. Self-copying leads to multiplication and competition; the errors in self-copying are what we call mutations, and mutations will inevitably confer different degrees of biological advantage or disadvantage on their possessors. The consequence will be differential reproduction down the generations—in other words, natural selection (Huxley 1953, 4).

Over time, the replication of genetic material in an organism results in mutations that give rise to new traits in the organism’s offspring. Sometimes these new traits are so unfavorable to a being’s survival prospects that beings with the traits die off; but sometimes these new traits enable the possessors to survive conditions that kill off beings without them. If the trait is sufficiently favorable, only members of the species with the trait will survive. By this natural process, functionally complex organisms gradually evolve over millions of years from primordially simple organisms.

Contemporary biologist, Richard Dawkins (1986), uses a programming problem to show that the logic of the process renders the Darwinian explanation significantly more probable than the design explanation. Dawkins considers two ways in which one might program a computer to generate the following sequence of characters: METHINKS IT IS LIKE A WEASEL. The first program randomly producing a new 28-character sequence each time it is run; since the program starts over each time, it incorporates a “single-step selection process.” The probability of randomly generating the target sequence on any given try is 2728 (that is, 27 characters selected for each of the 28 positions in the sequence), which amounts to about 1 in (10,000 x 1,000,0006). While a computer running eternally would eventually produce the sequence, Dawkins estimates that it would take 1,000,0005 years—which is 1,000,0003 years longer than the universe has existed. As is readily evident, a program that selects numbers by means of such a “single-step selection mechanism” has a very low probability of reaching the target.

The second program incorporates a “cumulative-step selection mechanism.” It begins by randomly generating a 28-character sequence of letters and spaces and then “breeds” from this sequence in the following way. For a specified period of time, it generates copies of itself; most of the copies perfectly replicate the sequence, but some copies have errors (or mutations). At the end of this period, it compares all of the sequences with the target sequence METHINKS IT IS LIKE A WEASEL and keeps the sequence that most closely resembles it. For example, a sequence that has an E in the second place more closely resembles a sequence that is exactly like the first except that it has a Q in the second place. It then begins breeding from this new sequence in exactly the same way. Unlike the first program which starts afresh with each try, the second program builds on previous steps, getting successively closer to the program as it breeds from the sequence closest to the target. This feature of the program increases the probability of reaching the sequence to such an extent that a computer running this program hit the target sequence after 43 generations, which took about half-an-hour.

The problem with Paley’s watchmaker argument, as Dawkins explains it, is that it falsely assumes that all of the other possible competing explanations are sufficiently improbable to warrant an inference of design. While this might be true of explanations that rely entirely on random single-step selection mechanisms, this is not true of Darwinian explanations. As is readily evident from Huxley’s description of the process, Darwinian evolution is a cumulative-step selection method that closely resembles in general structure the second computer program. The result is that the probability of evolving functionally complex organisms capable of surviving a wide variety of conditions is increased to such an extent that it exceeds the probability of the design explanation.

d. Guided Evolution

While many theists are creationists who accept the occurrence of “microevolution” (that is, evolution that occurs within a species, such as the evolution of penicillin-resistant bacteria) but deny the occurrence of “macroevolution” (that is, one species evolving from a distinct species), some theists accept the theory of evolution as consistent with theism and with their own denominational religious commitments. Such thinkers, however, frequently maintain that the existence of God is needed to explain the purposive quality of the evolutionary process. Just as the purposive quality of the cumulative-step computer program above is best explained by intelligent design, so too the purposive quality of natural selection is best explained by intelligent design.

The first theist widely known to have made such an argument is Frederick Robert Tennant. As he puts the matter, in Volume 2 of Philosophical Theology, “the multitude of interwoven adaptations by which the world is constituted a theatre of life, intelligence, and morality, cannot reasonably be regarded as an outcome of mechanism, or of blind formative power, or aught but purposive intelligence” (Tennant 1928-30, 121). In effect, this influential move infers design, not from the existence of functionally complex organisms, but from the purposive quality of the evolutionary process itself. Evolution is, on this line of response, guided by an intelligent Deity.

2. Contemporary Versions of the Design Argument

Contemporary versions of the design argument typically attempt to articulate a more sophisticated strategy for detecting evidence of design in the world. These versions typically contain three main elements—though they are not always explicitly articulated. First, they identify some property P that is thought to be a probabilistically reliable index of design in the following sense: a design explanation for P is significantly more probable than any explanation that relies on chance or random processes. Second they argue that some feature or features of the world exhibits P. Third, they conclude that the design explanation is significantly more likely to be true.

As we will see, however, all of the contemporary versions of the design inference seem to be vulnerable to roughly the same objection. While each of the design inferences in these arguments has legitimate empirical uses, those uses occur only in contexts where we have strong antecedent reason for believing there exist intelligent agents with the ability to bring about the relevant event, entity, or property. But since it is the very existence of such a being that is at issue in the debates about the existence of God, design arguments appear unable to stand by themselves as arguments for God’s existence.

a. The Argument from Irreducible Biochemical Complexity

Design theorists distinguish two types of complexity that can be instantiated by any given structure. As William Dembski describes the distinction: a system or structure is cumulatively complex “if the components of the system can be arranged sequentially so that the successive removal of components never leads to the complete loss of function”; a system or structure is irreducibly complex “if it consists of several interrelated parts so that removing even one part completely destroys the system’s function” (Dembski 1999, 147). A city is cumulatively complex since one can successively remove people, services, and buildings without rendering it unable to perform its function. A mousetrap, in contrast, is irreducibly complex because the removal of even one part results in complete loss of function.

Design proponents, like Michael J. Behe, have identified a number of biochemical systems that they take to be irreducibly complex. Like the functions of a watch or a mousetrap, a cilium cannot perform its function unless its microtubules, nexin linkers, and motor proteins are all arranged and structured in precisely the manner in which they are structured; remove any component from the system and it cannot perform its function. Similarly, the blood-clotting function cannot perform its function if either of its key ingredients, vitamin K and antihemophilic factor, are missing. Both systems are, on this view, irreducibly complex—rather than cumulatively complex.

According to Behe, the probability of evolving irreducibly complex systems along Darwinian lines is sufficiently small that it can be ruled out as an explanation of irreducible biochemical complexity:

An irreducibly complex system cannot be produced … by slight, successive modifications of a precursor system, because any precursor to an irreducibly complex system that is missing a part is by definition nonfunctional…. Since natural selection can only choose systems that are already working, if a biological system cannot be produced gradually it would have to arise as an integrated unit, in one fell swoop, for natural selection to have anything to act on (Behe 1996, 39; emphasis added).

Since, for example, a cilium-precursor (that is, one that lacks at least one of a cilium’s parts) cannot perform the function that endows a cilium with adaptive value, organisms that have the cilium-precursor are no “fitter for survival” than they would have been without it. Since chance-driven evolutionary processes would not select organisms with the precursor, intelligent design is a better explanation for the existence of organisms with fully functional cilia.

Though Behe states his conclusion in categorical terms (that is, irreducibly complex systems “cannot be produced gradually”), he is more charitably construed as claiming only that the probability of gradually producing irreducibly complex systems is very small. The stronger construction of the conclusion (and argument) incorrectly presupposes that Darwinian theory implies that every precursor to a fully functional system must itself perform some function that makes the organism more fit to survive. Organisms that have, say, a precursor to a fully functional cilium are no fitter than they would have been without it, but there is nothing in Darwinian theory that implies they are necessarily any less fit. Thus, there is no reason to think that it is logically or nomologically impossible, according to Darwinian theory, for a set of organisms with a precursor to a fully functional cilium to evolve into a set of organisms that has fully functional cilia. Accordingly, the argument from irreducible biochemical complexity is more plausibly construed as showing that the design explanation for such complexity is more probable than the evolutionary explanation.

Nevertheless, this more modest interpretation is problematic. First, there is little reason to think that the probability of evolving irreducibly complex systems is, as a general matter, small enough to warrant assuming that the probability of the design explanation must be higher. If having a precursor to an irreducibly complex system does not render the organism less fit for survival, the probability a subspecies of organisms with the precursor survives and propagates is the same, other things being equal, as the probability that a subspecies of organisms without the precursor survives and propagates. In such cases, then, the prospect that the subspecies with the precursor will continue to thrive, leave offspring, and evolve is not unusually small.

Second, the claim that intelligent agents of a certain kind would (or should) see functional value in a complex system, by itself, says very little about the probability of any particular causal explanation. While this claim surely implies that intelligent agents with the right causal abilities have a reason for bringing about such systems, it does not tell us anything determinate about whether it is likely that intelligent agents with the right causal powers did bring such systems about—because it does not tell us anything determinate about whether it is probable that such agents exist. As a logical matter, the mere fact that some existing thing has a feature, irreducibly complex or otherwise, that would be valuable to an intelligent being with certain properties, by itself, does not say anything about the probability that such a being exists.

Accordingly, even if we knew that the prospect that the precursor-subspecies would survive was “vanishingly small,” as Behe believes, we would not be justified in inferring a design explanation on probabilistic grounds. To infer that the design explanation is more probable than an explanation of vanishingly small probability, we need some reason to think that the probability of the design explanation is not vanishingly small. The problem, however, is that the claim that a complex system has some property that would be valued by an intelligent agent with the right abilities, by itself, simply does not justify inferring that the probability that such an agent exists and brought about the existence of that system is not vanishingly small. In the absence of some further information about the probability that such an agent exists, we cannot legitimately infer design as the explanation of irreducible biochemical complexity.

b. The Argument from Biological Information

While the argument from irreducible biochemical complexity focuses on the probability of evolving irreducibly complex living systems or organisms from simpler living systems or organisms, the argument from biological information focuses on the problem of generating living organisms in the first place. Darwinian theories are intended only to explain how it is that more complex living organisms developed from primordially simple living organisms, and hence do not even purport to explain the origin of the latter. The argument from biological information is concerned with an explanation of how it is that the world went from a state in which it contained no living organisms to a state in which it contained living organisms; that is to say, it is concerned with the explanation of the very first forms of life.

There are two distinct problems involved in explaining the origin of life from a naturalistic standpoint. The first is to explain how it is that a set of non-organic substances could combine to produce the amino acids that are the building blocks of every living substance. The second is to explain the origin of the information expressed by the sequences of nucleotides that form DNA molecules. The precise ordering of the four nucleotides, adenine, thymine, guanine, and cytosine (A, T, G, and C, for short), determine the specific operations that occur within a living cell and is hence fairly characterized as representing (or embodying) information. As Stephen C. Meyer puts the point: “just as the letters in the alphabet of a written language may convey a particular message depending on their sequence, so too do the sequences of nucleotides or bases in the DNA molecule convey precise biochemical instructions that direct protein synthesis within the cell” (Meyer 1998, 526).

The argument from biological information is concerned with only the second of these problems. In particular, it attempts to evaluate four potential explanations for the origin of biological information: (1) chance; (2) a pre-biotic form of natural selection; (3) chemical necessity; and (4) intelligent design. The argument concludes that intelligent design is the most probable explanation for the information present in large biomacromolecules like DNA, RNA, and proteins.

The argument proceeds as follows. Pre-biotic natural selection and chemical necessity cannot, as a logical matter, explain the origin of biological information. Theories of pre-biotic natural selection are problematic because they illicitly assume the very feature they are trying to explain. These explanations proceed by asserting that the most complex nonliving molecules will reproduce more efficiently than less complex nonliving molecules. But, in doing so, they assume that nonliving chemicals instantiate precisely the kind of replication mechanism that biological information is needed to explain in the case of living organisms. In the absence of some sort of explanation as to how non-organic reproduction could occur, theories of pre-biotic natural selection fail.

Theories of chemical necessity are problematic because chemical necessity can explain, at most, the development of highly repetitive ordered sequences incapable of representing information. Because processes involving chemical necessity are highly regular and predictable in character, they are capable of producing only highly repetitive sequences of “letters.” For example, while chemical necessity could presumably explain a sequence like “ababababababab,” it cannot explain specified but highly irregular sequences like “the house is on fire.” The problem is that highly repetitive sequences like the former are not sufficiently complex and varied to express information. Thus, while chemical necessity can explain periodic order among nucleotide letters, it lacks the resources logically needed to explain the aperiodic, highly specified, complexity of a sequence capable of expressing information.

Ultimately, this leaves only chance and design as logically viable explanations of biological information. Although it is logically possible to obtain functioning sequences of amino acids through purely random processes, some researchers have estimated the probability of doing so under the most favorable of assumptions at approximately 1 in 1065. Factoring in more realistic assumptions about pre-biotic conditions, Meyer argues the probability of generating short functional protein is 1 in 10125—a number that is vanishingly small. Meyer concludes: “given the complexity of proteins, it is extremely unlikely that a random search through all the possible amino acid sequences could generate even a single relatively short functional protein in the time available since the beginning of the universe (let alone the time available on the early earth)” (Meyer 2002, 75).

Next, Meyer argues that the probability of the design explanation for the origin of biological information is considerably higher:

[O]ne can detect the past action of an intelligent cause from the presence of an information-rich effect, even if the cause itself cannot be directly observed. For instances, visitors to the gardens of Victoria harbor in Canada correctly infer the activity of intelligent agents when they see a pattern of red and yellow flowers spelling “Welcome to Victoria”, even if they did not see the flowers planted and arranged. Similarly, the specifically arranged nucleotide sequences—the complex but functionally specified sequences—in DNA imply the past action of an intelligent mind, even if such mental agency cannot be directly observed (Meyer 2002, 93).

Further, scientists in many fields typically infer the causal activity of intelligent agents from the occurrence of information content. As Meyer rightly observes by way of example, “[a]rcheologists assume a mind produced the inscriptions on the Rosetta Stone” (Meyer 2002, 94).

Meyer’s reasoning appears vulnerable to the same objection to which the argument from biochemical complexity is vulnerable. In all of the contexts in which we legitimately make the design inference in response to an observation of information, we already know that there exist intelligent agents with the right sorts of motivations and abilities to produce information content; after all, we know that human beings exist and are frequently engaged in the production and transmission of information. It is precisely because we have this background knowledge that we can justifiably be confident that intelligent design is a far more probable explanation than chance for any occurrence of information that a human being is capable of producing. In the absence of antecedent reason for thinking there exist intelligent agents capable of creating information content, the occurrence of a pattern of flowers in the shape of “Welcome to Victoria” would not obviously warrant an inference of intelligent design.

The problem, however, is that it is the very existence of an intelligent Deity that is at issue. In the absence of some antecedent reason for thinking there exists an intelligent Deity capable of creating biological information, the occurrence of sequences of nucleotides that can be described as “representing information” does not obviously warrant an inference of intelligent design—no matter how improbable the chance explanation might be. To justify preferring one explanation as more probable than another, we must have information about the probability of each explanation. The mere fact that certain sequences take a certain shape that we can see meaning or value in, by itself, tells us nothing obvious about the probability that it is the result of intelligent design.

It is true, of course, that “experience affirms that information content not only routinely arises but always arises from the activity of intelligent minds” (Meyer 2002, 92), but our experience is limited to the activity of human beings—beings that are frequently engaged in activities that are intended to produce information content. While that experience will inductively justify inferring that some human agency is the cause of any information that could be explained by human beings, it will not inductively justify inferring the existence of an intelligent agency with causal powers that depart as radically from our experience as the powers that are traditionally attributed to God. The argument from biological information, like the argument from biochemical complexity, seems incapable of standing alone as an argument for God’s existence.

c. The Fine-Tuning Arguments

Scientists have determined that life in the universe would not be possible if more than about two dozen properties of the universe were even slightly different from what they are; as the matter is commonly put, the universe appears “fine-tuned” for life. For example, life would not be possible if the force of the big bang explosion had differed by one part in 1060; the universe would have either collapsed on itself or expanded too rapidly for stars to form. Similarly, life would not be possible if the force binding protons to neutrons differed by even five percent.

It is immediately tempting to think that the probability of a fine-tuned universe is so small that intelligent design simply must be the more probable explanation. The supposition that it is a matter of chance that so many things could be exactly what they need to be for life to exist in the universe just seems implausibly improbable. Since, on this intuition, the only two explanations for the highly improbable appearance of fine-tuning are chance and an intelligent agent who deliberately designed the universe to be hospitable to life, the latter simply has to be the better explanation.

This natural line of argument is vulnerable to a cogent objection. The mere fact that it is enormously improbable that an event occurred by chance, by itself, gives us no reason to think that it occurred by design. Suppose we flip a fair coin 1000 times and record the results in succession. The probability of getting the particular outcome is vanishingly small: 1 in 21000 to be precise. But it is clear that the mere fact that such a sequence is so improbable, by itself, does not give us any reason to think that it was the result of intelligent design. As intuitively tempting as it may be to conclude from just the apparent improbability of a fine-tuned universe that it is the result of divine agency, the inference is unsound.

i. The Argument from Suspicious Improbabilitys

George N. Schlesinger, however, attempts to formalize the fine-tuning intuition in a way that avoids this objection. To understand Schlesinger’s argument, consider your reaction to two different events. If John wins a 1-in-1,000,000,000 lottery game, you would not immediately be tempted to think that John (or someone acting on his behalf) cheated. If, however, John won three consecutive 1-in-1,000 lotteries, you would immediately be tempted to think that John (or someone acting on his behalf) cheated. Schlesinger believes that the intuitive reaction to these two scenarios is epistemically justified. The structure of the latter event is such that it is justifies a belief that intelligent design is the cause: the fact that John got lucky in three consecutive lotteries is a reliable indicator that his winning was the intended result of someone’s intelligent agency. Despite the fact that the probability of winning three consecutive 1-in-1,000 games is exactly the same as the probability of winning one 1-in-1,000,000,000 game, the former event is of a kind that is surprising in a way that warrants an inference of intelligent design.

Schlesinger argues that the fact that the universe is fine-tuned for life is improbable in exactly the same way that John’s winning three consecutive lotteries is improbable. After all, it is not just that we got lucky with respect to one property-lottery game; we got lucky with respect to two dozen property-lottery games—lotteries that we had to win in order for there to be life in the universe. Given that we are justified in inferring intelligent design in the case of John’s winning three consecutive lotteries, we are even more justified in inferring intelligent design in the case of our winning two dozen much more improbable property lotteries. Thus, Schlesinger concludes, the most probable explanation for the remarkable fact that the universe has exactly the right properties to sustain life is that an intelligent Deity intentionally created the universe such as to sustain life.

This argument is vulnerable to a number of criticisms. First, while it might be clear that carbon-based life would not be possible if the universe were slightly different with respect to these two-dozen fine-tuned properties, it is not clear that no form of life would be possible. Second, some physicists speculate that this physical universe is but one material universe in a “multiverse” in which all possible material universes are ultimately realized. If this highly speculative hypothesis is correct, then there is nothing particularly suspicious about the fact that there is a fine-tuned universe, since the existence of such a universe is inevitable (that is, has probability 1) if all every material universe is eventually realized in the multiverse. Since some universe, so to speak, had to win, the fact that ours won does not demand any special explanation.

Schlesinger’s fine-tuning argument also appears vulnerable to the same criticism as the other versions of the design argument (see Himma 2002). While Schlesinger is undoubtedly correct in thinking that we are justified in suspecting design in the case where John wins three consecutive lotteries, it is because—and only because—we know two related empirical facts about such events. First, we already know that there exist intelligent agents who have the right motivations and causal abilities to deliberately bring about such events. Second, we know from past experience with such events that they are usually explained by the deliberate agency of one or more of these agents. Without at least one of these two pieces of information, we are not obviously justified in seeing design in such cases.

As before, the problem for the fine-tuning argument is that we lack both of the pieces that are needed to justify an inference of design. First, the very point of the argument is to establish the fact that there exists an intelligent agency that has the right causal abilities and motivations to bring the existence of a universe capable of sustaining life. Second, and more obviously, we do not have any past experience with the genesis of worlds and are hence not in a position to know whether the existence of fine-tuned universes are usually explained by the deliberate agency of some intelligent agency. Because we lack this essential background information, we are not justified in inferring that there exists an intelligent Deity who deliberately created a universe capable of sustaining life.

ii. The Confirmatory Argument

Robin Collins defends a more modest version of the fine-tuning argument that relies on a general principle of confirmation theory, rather than a principle that is contrived to distinguish events or entities that are explained by intelligent design from events or entities explained by other factors. Collins’s version of the argument relies on what he calls the Prime Principle of Confirmation: If observation O is more probable under hypothesis H1 than under hypothesis H2, then O provides a reason for preferring H1 over H2. The idea is that the fact that an observation is more likely under the assumption that H1 is true than under the assumption H2 is true counts as evidence in favor of H1.

This version of the fine-tuning argument proceeds by comparing the relative likelihood of a fine-tuned universe under two hypotheses:

  1. The Design Hypothesis: there exists a God who created the universe such as to sustain life;
  2. The Atheistic Single-Universe Hypothesis: there exists one material universe, and it is a matter of chance that the universe has the fine-tuned properties needed to sustain life.

Assuming the Design Hypothesis is true, the probability that the universe has the fine-tuned properties approaches (if it does not equal) 1. Assuming the Atheistic Single-Universe Hypothesis is true, the probability that the universe has the fine-tuned properties is very small—though it is not clear exactly how small. Applying the Prime Principle of Confirmation, Collins concludes that the observation of fine-tuned properties provides reason for preferring the Design Hypothesis over the Atheistic Single-Universe Hypothesis.

At the outset, it is crucial to note that Collins does not intend the fine-tuned argument as a proof of God’s existence. As he explains, the Prime Principle of Confirmation “is a general principle of reasoning which tells us when some observation counts as evidence in favor of one hypothesis over another” (Collins 1999, 51). Indeed, he explicitly acknowledges that “the argument does not say that the fine-tuning evidence proves that the universe was designed, or even that it is likely that the universe was designed” (Collins 1999, 53). It tells us only that the observation of fine-tuning provides one reason for accepting the Theistic Hypothesis over the Atheistic Single-Universe Hypothesis—and one that can be rebutted by other evidence.

The confirmatory version of the fine-tuning argument is not vulnerable to the objection that it relies on an inference strategy that presupposes that we have independent evidence for thinking the right kind of intelligent agency exists. As a general scientific principle, the Prime Principle of Confirmation can be applied in a wide variety of circumstances and is not limited to circumstances in which we have other reasons to believe the relevant conclusion is true. If the observation of a fine-tuned universe is more probable under the Theistic Hypothesis than under the Atheistic Single-Universe Hypothesis, then this fact is a reason for preferring the Design Hypothesis to Atheistic Single-Universe Hypothesis.

Nevertheless, the confirmatory version of the argument is vulnerable on other fronts. As a first step towards seeing one worry, consider two possible explanations for the observation that John Doe wins a 1-in-7,000,000 lottery (see Himma 2002). According to the Theistic Lottery Hypothesis, God wanted John Doe to win and deliberately brought it about that his numbers were drawn. According to the Chance Lottery Hypothesis, John Doe’s numbers were drawn by chance. It is clear that John’s winning the lottery is vastly more probable under the Theistic Lottery Hypothesis than under the Chance Lottery Hypothesis. By the Prime Principle of Confirmation, then, John’s winning the lottery provides a reason to prefer the Theistic Lottery Hypothesis over the Chance Lottery Hypothesis.

As is readily evident, the above reasoning, by itself, provides very weak support for the Theistic Lottery Hypothesis. If all we know about the world is that John Doe won a lottery and the only possible explanations for this observation are the Theistic Lottery Hypothesis and the Chance Lottery Hypothesis, then this observation provides some reason to prefer the former. But it does not take much counterevidence to rebut the Theistic Lottery Hypothesis: a single observation of a lottery that relies on a random selection process will suffice. A single application of the Prime Principle of Confirmation, by itself, is simply not designed to provide the sort of reason that would warrant much confidence in preferring one hypothesis to another.

For this reason, the confirmatory version of the fine-tuning argument, by itself, provides a weak reason for preferring the Design Hypothesis over the Atheistic Single Universe Hypothesis. Although Collins is certainly correct in thinking the observation of fine-tuning provides a reason for accepting the Design Hypothesis and hence rational ground for belief that God exists, that reason is simply not strong enough to do much in the way of changing the minds of either agnostics or atheists.

3. The Scientifically Legitimate Uses of Design Inferences

It is worth noting that proponents are correct in thinking that design inferences have a variety of legitimate scientific uses. Such inferences are used to detect intelligent agency in a large variety of contexts, including criminal and insurance investigations. Consider, for example, the notorious case of Nicholas Caputo. Caputo, a member of the Democratic Party, was a public official responsible for conducting drawings to determine the relative ballot positions of Democrats and Republicans. During Caputo’s tenure, the Democrats drew the top ballot position 40 of 41 times, making it far more likely that an undecided voter would vote for the Democratic candidate than for the Republican candidate. The Republican Party filed suit against Caputo, arguing he deliberately rigged the ballot to favor his own party. After noting that the probability of picking the Democrats 40 out of 41 times was less than 1 in 50 billion, the court legitimately made a design inference, concluding that “few persons of reason will accept the explanation of blind chance.”

What proponents of design arguments for God’s existence, however, have not noticed is that each one of these indubitably legitimate uses occurs in a context in which we are already justified in thinking that intelligent beings with the right motivations and abilities exist. In every context in which design inferences are routinely made by scientists, they already have conclusive independent reason for believing there exist intelligent agents with the right abilities and motivations to bring about the apparent instance of design.

Consider, for example, how much more information was available to the court in the Caputo case than is available to the proponent of the design argument for God’s existence. Like the proponent of the design argument, the court knew that (1) the relevant event or feature is something that might be valued by an intelligent agent; and (2) the odds of it coming about by chance are astronomically small. Unlike the proponent of the design argument, however, the court had an additional piece of information available to it: the court already knew that there existed an intelligent agent with the right causal abilities and motives to bring about the event; after all, there was no dispute whatsoever about the existence of Caputo. It was that piece of information, together with (1), that enabled the court to justifiably conclude that the probability that an intelligent agent deliberately brought it about that the Democrats received the top ballot position 40 of 41 times was significantly higher than the probability that this happened by chance. Without this crucial piece of information, however, the court would not have been so obviously justified in making the design inference. Accordingly, while the court was right to infer a design explanation in the Caputo case, this is, in part, because the judges already knew that the right kind of intelligent beings exist—and one of them happened to have occupied a position that afforded him with the opportunity to rig the drawings in favor of the Democrats.

In response, one might be tempted to argue that there is one context in which scientists employ the design inference without already having sufficient reason to think the right sort of intelligent agency exists. As is well-known, researchers monitor radio transmissions for patterns that would support a design inference that such transmissions are sent by intelligent beings. For example, it would be reasonable to infer that some intelligent extraterrestrial beings were responsible for a transmission of discrete signals and pauses that effectively enumerated the prime numbers from 2 to 101. In this case, the intelligibility of the pattern, together with the improbability of its occurring randomly, seems to justify the inference that the transmission sequence is the result of intelligent design.

As it turns out, we are already justified in thinking that the right sort of intelligent beings exist even in this case. We already know, after all, that we exist and have the right sort of motivations and abilities to bring about such transmissions because we send them into space hoping that some other life form will detect our existence. While our existence in the universe—and this is crucial—does not, by itself, justify thinking that there are other intelligent life forms in the universe, it does justify thinking that the probability that there are such life forms is higher than the astronomically small probability (1 in 21136 to be precise) that a sequence of discrete radio signals and pauses that enumerates the prime numbers from 2 to 101 is the result of chance. Thus, we would be justified in inferring design as the explanation of such a sequence on the strength of three facts: (1) the probability of such a chance occurrence is 1 in 21136; (2) there exist intelligent beings in the universe capable of bringing about such an occurrence; and (3) the sequence of discrete signals and pauses has a special significance to intelligent beings. In particular, (2) and (3) tell us that the probability that design explains such an occurrence is significantly higher than 1 in 21136—though it is not clear exactly what the probability is.

Insofar as the legitimate application of design inferences presupposes that we have antecedent reason to believe the right kind of intelligent being exists, they can enable us to distinguish what such beings do from what merely happens. If we already know, for example, that there exist beings capable of rigging a lottery, then design inferences can enable us to distinguish lottery results that merely happen from lottery results that are deliberately brought about by such agents. Similarly, if we already have adequate reason to believe that God exists, then design inferences can enable us to distinguish features of the world that merely happen from features of the world that are deliberately brought about by the agency of God. Indeed, to the extent that we are antecedently justified in believing that God exists, it is obviously more reasonable to believe that God deliberately structured the universe to have the fine-tuned properties than it is to believe that somehow this occurred by chance.

If this is correct, then design inferences simply cannot do the job they are asked to do in design arguments for God’s existence. Insofar as they presuppose that we already know the right kind of intelligent being exists, they cannot stand alone as a justification for believing that God exists. It is the very existence of the right kind of intelligent being that is at issue in the dispute over whether God exists. While design inferences have a variety of scientifically legitimate uses, they cannot stand alone as arguments for God’s existence.

4. References and Further Reading

  • Michael J. Behe, Darwin’s Black Box: The Biochemical Challenge to Evolution (New York: Touchstone Books, 1996)
  • Richard Bentley, A Confutation of Atheism from the Origin and Frame of the World (London: H. Mortlock, 1692-1693)
  • Robin Collins, “A Scientific Argument for the Existence of God,” in Michael J. Murray (ed.), Reason for the Hope Within (Grand Rapids, MI: William B. Eerdmans Publishing Co., 1999)
  • Charles Darwin, The Origin of Species, Everyman’s Library (London: J.M. Dent, 1947)
  • Richard Dawkins, The Blind Watchmaker: Why the Evidence of Evolution Reveals a Universe without Design (New York: Norton Publishing, 1996; originally published in 1986)
  • William Dembski, The Design Inference (Cambridge: Cambridge University Press, 1998)
  • William Dembski, No Free Lunch: Why Specified Complexity Cannot Be Purchased without Intelligence (Rowman & Littlefield, 2002)
  • William Derham, Physico-theology, or, A Demonstration of the Being and Attributes of God from his Works of Creation Being the Substance of XVI Sermons Preached in St. Mary le Bow-Church, London, at the Hon’ble Mr. Boyle’s Lectures in the Years 1711 and 1712 (London: W. Innys, 1713)
  • William Derham, Astro-theology, or, A Demonstration of the Being and Attributes of God: From a Survey of the Heavens (London: W. Innys, 1715)
  • Kenneth Einar Himma, “Prior Probabilities and Confirmation Theory: A Problem with the Fine-Tuning Argument,” International Journal for Philosophy of Religion, vol. 51, no. 4 (June 2002)
  • Kenneth Einar Himma, “The Application-Conditions for Design Inferences: Why the Design Arguments Need the Help of Other Arguments for God’s Existence,”International Journal for Philosophy of Religion., vol. 57, no. 1 (February 2005).
  • David Hume, Dialogues Concerning Natural Religion, edited with an introduction by Norman Kemp Smith, (New York: Social Sciences Publishers, 1948)
  • Julian Huxley, Evolution as Process (New York: Harper and Row, 1953).
  • Stephen C. Meyer, “DNA by Design: An Inference to the Best Explanation,” Rhetoric and Public Affairs, vol. 1, no. 4 (Winter 1998)
  • Stephen C. Meyer, “Evidence for Design in Physics and Biology: From the Origin of the Universe to the Origin of Life,” in Behe, Dembski, and Meyer (eds.), Science and Evidence for Design in the Universe (San Francisco: Ignatius Press, 2002)
  • William Paley, Natural Theology: Or Evidences of the Existence and Attributes of the Deity Collected from the Appearances of Nature (Boston: Gould and Lincoln, 1867)
  • Del Ratzsch, Nature, Design, and Science: The Status of Design in Natural Science (Albany, NY: SUNY Press, 2001)
  • John Ray, The Wisdom of God Manifested in the Works of the Creation Being the Substance of Some Common Places Delivered in the Chappel of Trinity-College, in Cambridge (London: Printed for Samuel Smith, 1691)
  • Hugh Ross, Beyond the Cosmos: What Recent Discoveries in Astronomy and Physics Reveal about the Nature of God (Colorado Springs: Nav Press, 1996)
  • George N. Schlesinger, New Perspectives on Old-time Religion (Oxford: Clarendon Press, 1988)
  • Frederick Robert Tennant, Philosophical Theology, Volume 2 (1928-30)

Author Information

Kenneth Einar Himma
Email: himma@spu.edu
Seattle Pacific University
U. S. A.

Joseph Butler (1692—1752)

butlerBishop Joseph Butler is a well-known religious philosopher of the eighteenth century. He is still read and discussed among contemporary philosophers, especially for arguments against some major figures in the history of philosophy, such as Thomas Hobbes and John Locke. In his Fifteen Sermons Preached at the Rolls Chapel (1729), Butler argues against Hobbes’s egoism, and in the Analogy of Religion (1736), he argues against Locke’s memory-based theory of personal identity.

Overall, Butler’s philosophy is largely defensive. His general strategy is to accept the received systems of morality and religion and, then, defend them against those who think that such systems can be refuted or disregarded. Butler ultimately attempts to naturalize morality and religion, though not in an overly reductive way, by showing that they are essential components of nature and common life. He argues that nature is a moral system to which humans are adapted via conscience. Thus, in denying morality, Butler takes his opponents to be denying our very nature, which is untenable. Given this conception of nature as a moral system and certain proofs of God’s existence, Butler is then in a position to defend religion by addressing objections to it, such as the problem of evil.

This article provides an overview of Butler’s life, works, and influence with special attention paid to his writings on religion and ethics. The totality of his work addresses the questions: Why be moral? Why be religious? Which morality? Which religion? In attempting to answer such questions, Butler develops a philosophy that possesses a unity often neglected by those who read him selectively. The philosophy that develops is one according to which religion and morality are grounded in the natural world order.

Table of Contents

  1. Life
  2. Human Nature as Made for Virtue
  3. Human Life as in the Presence of God
  4. This Life as a Prelude to a Future Life
  5. The World as a Moral Order
  6. The Christian Scriptures as a Revelation
  7. Public Institutions as Moral Agents
  8. Butler’s Influence
  9. References and Further Reading
    1. Works by Butler
    2. Secondary Literature

1. Life

Joseph Butler was born into a Presbyterian family at Wantage. He attended a dissenting academy, but then converted to the Church of England intent on an ecclesiastical career. Butler expressed distaste for Oxford’s intellectual conventions while a student at Oriel College; he preferred the newer styles of thought, especially those of John Locke, the 3rd Earl of Shaftesbury and Francis Hutcheson, leading David Hume to characterize Butler as one of those “who have begun to put the science of man on a new footing, and have engaged the attention, and excited the curiosity of the public.” Butler benefited from the support of Samuel Clarke and the Talbot family.

In 1719, Butler was appointed to his first job, preacher to the Rolls Chapel in Chancery Lane, London. Butler’s anonymous letters to Clarke had been published in 1716, but a selection of his Fifteen Sermons Preached at the Rolls Chapel (1729) was the first work published under his name. The Rolls sermons are still widely read and have held the attention of secular philosophers more than any other sermons in history. Butler moved north and became rector of Stanhope in 1725. Only at this point is his life documented in any detail, and his tenure is remembered mainly for the Analogy of Religion (1736). Soon after publication of that work, Butler became Bishop of Bristol. Queen Caroline had died urging his preferment, but Bristol was one of the poorest sees, and Butler expressed some displeasure in accepting it. Once Butler became dean of St. Paul’s in 1740, he was able to use that income to support his work in Bristol. In 1750, not long before his death, Butler was elevated to Durham, one of the richest bishoprics. The tradition that Butler declined the See of Canterbury was conclusively discredited by Norman Sykes (1936), but continues to be repeated uncritically in many reference works. Butler’s famous encounter with John Wesley has only recently been reconstructed in as full detail as seems possible given the state of the surviving evidence, and we are now left with little hope of ever knowing what their actual relationship was. They disagreed, certainly, on Wesley’s right to preach without a license, and on this point Butler seems entirely in the right; but Butler may have supported Wesley more than he opposed him, and Wesley seems entirely sincere in his praise of the Analogy.

Butler has become an icon of a highly intellectualized, even rarefied, theology, “wafted in a cloud of metaphysics,” as Horace Walpole said. Ironically, Butler refused as a matter of principle to write speculative works or to pursue curiosity. All his writings were directly related to the performance of his duties at the time or to career advancement. From the Rolls sermons on, all his works are devoted to pastoral philosophy.

A pastoral philosopher gives philosophically persuasive arguments for seeing life in a particular way when such a seeing-as may have a decisive effect on practice. Butler had little interest in, and only occasionally practiced, natural theology in the scholastic sense; his intent is rather defensive: to answer those who claim that morals and religion, as conventionally understood, may be safely disregarded. Butler tried to show, as a refutation of the practice of his day (as he perceived it), that morals and religion are natural extensions of the common way of life usually taken for granted, and thus that those who would dispense with them bear a burden of proof they are unable to discharge. In arguing that morals and religion are favored by a presumption already acknowledged in ordinary life, Butler employs many types of appeal, at least some of which would be fallacious if used in an attempted demonstrative argument.

2. Human Nature as Made for Virtue

Butler’s argument for morality, found primarily in his sermons, is an attempt to show that morality is a matter of following human nature. To develop this argument, he introduces the notions of nature and of a system. There are, he says, various parts to human nature, and they are arranged hierarchically. The fact that human nature is hierarchically ordered is not what makes us manifestly adapted to virtue, rather, it is what Butler calls “conscience” that is at the top of this hierarchy. Butler does sometimes refer to the conscience as the voice of God; but, contrary to what is sometimes alleged, he never relies on divine authority in asserting the supremacy, the universality or the reliability of conscience. Butler clearly believes in the autonomy of the conscience as a secular organ of knowledge.

Whether the conscience judges principles, actions or persons is not clear, perhaps deliberately since such distinctions are of no practical significance. What Butler is concerned to show is that to dismiss morality is in effect to dismiss our own nature, and therefore absurd. As to which morality we are to follow, Butler seems to have in mind the common core of civilized standards. He stresses the degree of agreement and reliability of conscience without denying some differences remain. All that is required for his argument to go through is that the opponent accept in practice that conscience is the supreme authority in human nature and that we ought not to disregard our own nature.

The most significant recent challenge to Butler’s moral theory is by Nicholas Sturgeon (1976), a reply to which appears in Stephen Darwall (1995).

Besides the appeal to the rank of conscience, Butler offered many other observations in his attempt to show that we are made for (that is, especially suited to) virtue. In a famous attack on the egoistic philosophy of Thomas Hobbes, he argues that benevolence is as much a part of human nature as self-love. Butler also argues that various other aspects of human nature are adapted to virtue, sometimes in surprising ways. For example, he argues that resentment is needed to balance benevolence. He also deals forthrightly with self-deception.

Only three of the fifteen sermons deal with explicitly religious themes: the sermons on the love of God and the sermon on ignorance.

3. Human Life as in the Presence of God

Butler’s views on our knowledge of God are among the most frequently misstated aspects of his philosophy. Lewis White Beck’s exposition (1937) of this neglected aspect of Butler’s philosophy has itself been generally neglected, and both friends and foes frequently assert that Butler “assumed” that God exists. Butler never assumes the existence of God; rather, at least after his exchange with Clarke, he takes it as granted that God’s existence can be and has been proved to the satisfaction of those who were party to the discussion in his time. The charge, frequently repeated since the mid-nineteenth century, that Butler’s position is reversible once an opponent refuses to grant God’s existence, is therefore groundless. It is true that Butler does not expound any proof of God’s existence. (Notice that this fact makes it problematic to identify him with the character Cleanthes in Hume’s Dialogues Concerning Natural Religion.) However, he does endorse many such proofs, using common names rather than citing specific texts.

The sermons on the love of God are rarely read today, but they provide abundant evidence that Butler’s God is not some remote deity who created the world and then lost interest in it. On the contrary, the difference that God makes to us is the difference that a lively sense of God’s presence makes.

4. This Life as a Prelude to a Future Life

Butler considered the expectation of a future life to be the foundation of all our hopes and fears. He does not state exactly why this is so, and most commentators have concluded that he is referring to hopes and fears regarding what will happen to us as individuals when we die. Such an intention would be contrary to Butler’s general line of thought. More consonant with what Butler does say is the Platonic point that one cannot truly benefit by acting viciously and then escaping punishment. Since that is what appears to happen in this world, appearances must be denied. Secondly, and here Butler would agree with Hume, in this world there is an appearance that the superintendence of the universe is not entirely just. Thus, there are three logical options: (1) the universe is ultimately unjust, (2) contrary to appearances, this world is somehow just, or (3) the universe is just, but only when viewed more broadly than we are able to see now. Given these options, Butler thinks there are good practical reasons for accepting the third in practice.

The first chapter of the Analogy is devoted to the argument that what little we know of the nature of death is insufficient to warrant an assurance that death is the end of us. And when we lack sufficient warrant for acting on the presumption of a change, we must act on the presumption of continuance. The recurrent objection, offered by such otherwise sympathetic readers as Richard Swinburne, is that in the physical destruction of the body, we do have sufficient warrant. Roderick Chisholm (1986) has proposed a counter to this criticism.

Butler appends to his discussion of a future life a brief essay on personal identity, and this is the only part of the Analogy widely read today. That it is read independently is perhaps just as well since it is difficult to see how it is related to the general argument. Butler says he needs to answer objections to personal identity continuing after death, which he certainly must do. But the view he proposes to refute is Locke’s, and Locke seemed not to see that his theory of personal identity presented a problem for expectation of a future life. Locke’s theory was that memory is constitutive of personal identity. Even if Butler is right in his objection to Locke’s theory, he certainly needs personal memories to be retained since they are presupposed by his theory of rewards and punishments after death.

5. The World as a Moral Order

Butler’s work is directed mainly against skeptics (and those inclined toward skepticism) and as an aid for those who propose to argue with skeptics. The general motivation for his work is to overcome intellectual embarrassment at accepting the received systems of morals and religion. To succeed, Butler must present a case that is plausible if not fully probative, and he must do so without resorting to an overly reductive account of morals and religion. Butler’s strategy is to naturalize morals and religion. Although generally scorning scholastic methods, Butler does accept the ontological argument for God’s existence, the appeal to the unity and simplicity of the soul and the distinction of natural and revealed religion. The fundamental doctrine of natural religion is the efficacy of morals—that the categories of virtue and vice, already discussed in terms of human nature, have application to the larger world of nature. To some, fortune and misfortune in this world seem not to be correlated with any moral scheme. But, with numerous examples, Butler argues that the world as we ordinarily experience it does have the appearance of a moral order.

Butler takes up two objections: the possibility that the doctrine of necessity is true and the familiar problem of evil. With regard to necessity, he argues that, even if such is the case, we are in no position to live in accord with necessity since we cannot see our own or others’ actions as entirely necessitated. Butler’s approach to the problem of evil is to appeal to human ignorance, a principal theme in various aspects of his work. What Butler must show is that we do not know of the actual occurrence of any event such that it could not be part of a just world. Since he does appeal to our ignorance, Butler cannot be said to have produced a theodicy, a justification of the ways of God to us, but his strategy may show a greater intellectual integrity, and may be sufficient for his purposes.

6. The Christian Scriptures as a Revelation

Butler’s treatment of revealed religion is less satisfactory, since he had only a partial understanding of modern biblical criticism. Butler does insist on treating the Bible like any other book for critical purposes. He maintains that if any biblical teaching appears immoral or contrary to what we know by our natural faculties, then that alone is sufficient reason for seeking another interpretation of the scripture. The point of a revelation is to supplement natural knowledge, not to overrule it. Far from compromising the role of religion, this view is entailed by the fact that nature, natural knowledge and revelation all have a common source in God.

It is only in the second part of his Analogy that Butler argues against the deists. The characterization of his work as on the whole a reply to the deists is entirely a modern invention and is not found anywhere in the first century of reactions.

Only one chapter of the Analogy is devoted to the “Christian evidences” of miracles and prophecy, and even there Butler confines himself to some judicious remarks on the logical character of the arguments, especially with regard to miracles. In general, Butler presents revelation as wholly consistent with, but also genuinely supplemental of, natural knowledge. Hume says he castrated his Treatise of Human Nature (1739/1740) out of regards for Butler. But based on the texts that survive, there is no reason to think Hume would have gotten the better of the argument. Charles Babbage (1837) eventually showed why Hume had no valid objection to Butler.

Unfortunately, Butler’s account of scripture is entirely two-dimensional. He does not doubt the point that scripture was written in terms properly applicable to a previous state of society, but he has little sense of the canonical books themselves being redactions of a multitude of oral and literary traditions and sources.

7. Public Institutions as Moral Agents

In the six sermons preserved from the years he served as the Bishop of Bristol, Butler defends the moral nature of various philanthropic and political institutions of his day. And in his Charge to the Clergy at Durham, he presents a concise rationale for the Church.

8. Butler’s Influence

Ernest Mossner (1936) is still the most useful survey of Butler’s influence. Mossner claims that Butler was widely read in his own time, but his evidence may be insufficient to convince some. However that may be, there is no doubt that by the late eighteenth century Butler was widely read in Scottish universities, and from the early nineteenth century at Oxford, Cambridge and many American colleges, perhaps especially because the Scottish influence was so strong in America. Butler’s work impressed David Hume and John Wesley, and Thomas Reid, Adam Smith and David Hartley considered themselves Butlerians. Butler was a great favorite of the Tractarians, but the association with them may have worked against his ultimate influence in England, especially since Newman attributed his own conversion to the Roman Church to his study of Butler. S. T. Coleridge was among the first to urge study of the sermons and to disparage the Analogy. The decline of interest in the Analogy in the late nineteenth century has never been satisfactorily explained, but Leslie Stephen’s critical work was especially influential.

The editions most frequently cited today appeared only after wide interest in Butler’s Analogy had evaporated. The total editions are sometimes said to be countless, but this is true only in the sense that there are no agreed criteria for individuating editions. The numerous ancillary essays and study guides are still useful as evidence of how Butler was studied and understood. At its height, Butler’s influence cut across protestant denominational lines and party differences in the Church of England, but serious interest in the Analogy is now concentrated among certain Anglican writers.

9. References and Further Reading

Butler’s first biography appeared in the supplement to the Biographia Britannica (London, 1766). The most frequently reprinted biography is by Andrew Kippis and appeared in his second edition of the Biographia Britannica (London, 1778-93). This second edition is often confused with the supplement to the first edition. The only full biography is Bartlett (1839).

The best modern edition of Butler’s works is J.H. Bernard’s, but it is a modernized text, as of 1900, and contains errors. Serious readers may consult the original editions, now available on microfilm.

a. Works by Butler

  • Several Letters to the Reverend Dr. Clarke. London: Knapton, 1716.
  • Fifteen Sermons Preached at the Rolls Chapel. London: second edition, 1729; six sermons added in the 1749 edition.
  • Analogy of Religion, Natural and Revealed, to the Constitution and Nature. London: Knapton, 1736.
  • Charge Delivered to the Clergy. Durham: Lane, 1751.

b. Secondary Literature

  • Babbage, Charles. Ninth Bridgewater Treatise. London: J. Murray, 1837.
  • Babolin, Albino. Joseph Butler. Padova: LaGarangola, 1973. 2 vols.
  • Baker, Frank. “John Wesley and Bishop Joseph Butler: A Fragment of Wesley’s Manuscript Journal 16th to 24th August 1739.” Proceedings of the Wesley Historical Society. 42 (May 1980) 93-100.
  • Bartlett, Thomas. Memoirs of the Life, Character and Writings of Joseph Butler. London: John W. Parker, 1839.
  • Beck, Lewis White. “A Neglected Aspect of Butler’s Ethics.” Sophia 5 (1937) 11-15.
  • Butler, J.F. “John Wesley’s Defense Before Bishop Butler.” Proceedings of the Wesley Historical Society. 20 (1935) 63-67.
  • Butler, J.F. “John Wesley’s Defense Before Bishop Butler: A Further Note.” Proceedings of the Wesley Historical Society. 20 (1936) 193-194.
  • Chisholm, Roderick. “Self-Profile” in Roderick M. Chisholm, ed. Radu J. Bogdan. Dordrecht:Reidel, 1986.
  • Cunliffe, Christopher, ed. Joseph Butler’s Moral and Religious Thought: Tercentenary Essays. Oxford: Clarendon Press, 1992.
  • Darwall, Stephen. The British Moralists and the Internal ‘Ought’ 1640-1740. Cambridge: Cambridge University Press, 1995.
  • Mossner, E.C. Bishop Butler and the Age of Reason. New York: Macmillan, 1936.
  • Penelhum, Terence. Butler. London: Routledge & Kegan Paul, 1985.
  • Stephen, Leslie. “Butler, Joseph.” Dictionary of National Biography, 1886.
  • Sturgeon, Nicholas L. “Nature and Conscience in Butler’s Ethics.” Philosophical Review 85 (1976) 316-356.
  • Sykes, Norman. “Bishop Butler and the Primacy” Theology (1936) 132- 137.
  • Sykes, Norman. “Bishop Butler and the Primacy” (letter) Theology (1958) 23.

Author Information

David E. White
Email: dr.david.e.white@gmail.com
St. John Fisher College
U. S. A.

Phenomenology

In its central use, the term “phenomenology” names a movement in twentieth century philosophy. A second use of “phenomenology” common in contemporary philosophy names a property of some mental states, the property they have if and only if there is something it is like to be in them. Thus, it is sometimes said that emotional states have a phenomenology while belief states do not.  For example, while there is something it is like to be angry, there is nothing it is like to believe that Paris is in France. Although the two uses of “phenomenology” are related, it is the first which is the current topic.  Accordingly, “phenomenological” refers to a way of doing philosophy that is more or less closely related to the corresponding movement. Phenomenology utilizes a distinctive method to study the structural features of experience and of things as experienced. It is primarily a descriptive discipline and is undertaken in a way that is largely independent of scientific, including causal, explanations and accounts of the nature of experience. Topics discussed within the phenomenological tradition include the nature of intentionality, perception, time-consciousness, self-consciousness, awareness of the body and consciousness of others. Phenomenology is to be distinguished from phenomenalism, a position in epistemology which implies that all statements about physical objects are synonymous with statements about persons having certain sensations or sense-data. George Berkeley was a phenomenalist but not a phenomenologist.

Although elements of the twentieth century phenomenological movement can be found in earlier philosophers—such as David Hume, Immanuel Kant and Franz Brentano—phenomenology as a philosophical movement really began with the work of Edmund Husserl. Following Husserl, phenomenology was adapted, broadened and extended by, amongst others, Martin Heidegger, Jean-Paul Sartre, Maurice Merleau-Ponty, Emmanuel Levinas and Jacques Derrida. Phenomenology has, at one time or another, been aligned with Kantian and post-Kantian transcendental philosophy, existentialism and the philosophy of mind and psychology.

This article introduces some of the central aspects of the phenomenological method and also concrete phenomenological analyses of some of the topics that have greatly exercised phenomenologists.

Table of Contents

  1. Introduction
  2. Phenomenological Method
    1. Phenomena
    2. Phenomenological Reduction
    3. Eidetic Reduction
    4. Heidegger on Method
  3. Intentionality
    1. Brentano and Intentional Inexistence
    2. Husserl’s Account in Logical Investigations
    3. Husserl’s Account in Ideas I
    4. Heidegger and Merleau-Ponty on Intentionality
  4. Phenomenology of Perception
    1. Naïve Realism, Indirect Realism and Phenomenalism
    2. Husserl’s Account: Intentionality and Hyle
    3. Husserl’s Account: Internal and External Horizons
    4. Husserl and Phenomenalism
    5. Sartre Against Sensation
  5. Phenomenology and the Self
    1. Hume and the Unity of Consciousness
    2. Kant and the Transcendental I
    3. Husserl and the Transcendental Ego
    4. Sartre and the Transcendent Ego
  6. Phenomenology of Time-Consciousness
    1. The Specious Present
    2. Primal Impression, Retention and Protention
    3. Absolute Consciousness
  7. Conclusion
  8. References and Further Reading

1. Introduction

The work often considered to constitute the birth of phenomenology is Husserl’s Logical Investigations (Husserl 2001). It contains Husserl’s celebrated attack on psychologism, the view that logic can be reduced to psychology; an account of phenomenology as the descriptive study of the structural features of the varieties of experience; and a number of concrete phenomenological analyses, including those of meaning, part-whole relations and intentionality.

Logical Investigations seemed to pursue its agenda against a backdrop of metaphysical realism. In Ideas I (Husserl 1982), however, Husserl presented phenomenology as a form of transcendental idealism. This apparent move was greeted with hostility from some early admirers of Logical Investigations, such as Adolph Reinach. However, Husserl later claimed that he had always intended to be a transcendental idealist. In Ideas I Husserl offered a more nuanced account of the intentionality of consciousness, of the distinction between fact and essence and of the phenomenological as opposed to the natural attitude.

Heidegger was an assistant to Husserl who took phenomenology in a rather new direction. He  married Husserl’s concern for legitimating concepts through phenomenological description with an overriding interest in the question of the meaning of being, referring to his own phenomenological investigations as “fundamental ontology.” His Being and Time (Heidegger 1962) is one of the most influential texts on the development of European philosophy in the Twentieth Century. Relations between Husserl and Heidegger became strained, partly due to the divisive issue of National Socialism, but also due to significant philosophical differences. Thus, unlike his early works, Heidegger’s later philosophy bears little relation to classical Husserlian phenomenology.

Although he published relatively little in his lifetime, Husserl was a prolific writer leaving a large number of manuscripts. Alongside Heidegger’s interpretation of phenomenology, this unpublished work had a decisive influence on the development of French existentialist phenomenology. Taking its lead from Heidegger’s account of authentic existence, Sartre’s Being and Nothingness (Sartre 1969) developed a phenomenological account of consciousness, freedom and concrete human relations that perhaps defines the term “existentialism.” Merleau-Ponty’s Phenomenology of Perception (Merleau-Ponty 1962) is distinctive both in the central role it accords to the body and in the attention paid to the relations between phenomenology and empirical psychology.

Although none of the philosophers mentioned above can be thought of straightforwardly as classical Husserlian phenomenologists, in each case Husserl sets the phenomenological agenda. This remains the case, with a great deal of the contemporary interest in both phenomenological methodology and phenomenological topics drawing inspiration from Husserl’s work. Accordingly, Husserl’s views are the touchstone in the following discussion of the topics, methods and significance of phenomenology.

2. Phenomenological Method

Husserlian phenomenology is a discipline to be undertaken according to a strict method. This method incorporates both the phenomenological and eidetic reductions.

a. Phenomena

Phenomenology is, as the word suggests, the science of phenomena. But this just raises the questions: “What are phenomena?” and “In what sense is phenomenology a science?”.

In answering the first question, it is useful to briefly turn to Kant. Kant endorsed “transcendental idealism,” distinguishing between phenomena (things as they appear) and noumena (things as they are in themselves), claiming that we can only know about the former (Kant 1929, A30/B45). On one reading of Kant, appearances are in the mind, mental states of subjects. On another reading, appearances are things as they appear, worldly objects considered in a certain way.

Both of these understandings of the nature of phenomena can be found in the phenomenological literature. However, the most common view is that all of the major phenomenologists construe phenomena in the latter way: phenomena are things as they appear. They are not mental states but worldly things considered in a certain way. The Phenomenologists tend, however, to reject Kantian noumena. Also, importantly, it is not to be assumed that the relevant notion of appearing is limited to sensory experience. Experience (or intuition) can indeed be sensory but can, at least by Husserl’s lights, be understood to encompass a much broader range of phenomena (Husserl 2001, sec. 52). Thus, for example, although not objects of sensory experience, phenomenology can offer an account of how the number series is given to intuition.

Phenomenology, then, is the study of things as they appear (phenomena). It is also often said to be descriptive rather than explanatory: a central task of phenomenology is to provide a clear, undistorted description of the ways things appear (Husserl 1982, sec. 75). This can be distinguished from the project of giving, for example, causal or evolutionary explanations, which would be the job of the natural sciences.

b. Phenomenological Reduction

In ordinary waking experience we take it for granted that the world around us exists independently of both us and our consciousness of it. This might be put by saying that we share an implicit belief in the independent existence of the world, and that this belief permeates and informs our everyday experience. Husserl refers to this positing of the world and entities within it as things which transcend our experience of them as “the natural attitude” (Husserl 1982, sec. 30). In The Idea of Phenomenology, Husserl introduces what he there refers to as “the epistemological reduction,” according to which we are asked to supply this positing of a transcendent world with “an index of indifference” (Husserl 1999, 30). In Ideas I, this becomes the “phenomenological epoché,” according to which, “We put out of action the general positing which belongs to the essence of the natural attitude; we parenthesize everything which that positing encompasses with respect to being” (Husserl 1982, sec. 32). This means that all judgements that posit the independent existence of the world or worldly entities, and all judgements that presuppose such judgements, are to be bracketed and no use is to be made of them in the course of engaging in phenomenological analysis. Importantly, Husserl claims that all of the empirical sciences posit the independent existence of the world, and so the claims of the sciences must be “put out of play” with no use being made of them by the phenomenologist.

This epoché is the most important part of the phenomenological reduction, the purpose of which is to open us up to the world of phenomena, how it is that the world and the entities within it are given. The reduction, then, is that which reveals to us the primary subject matter of phenomenology—the world as given and the givenness of the world; both objects and acts of consciousness.

There are a number of motivations for the view that phenomenology must operate within the confines of the phenomenological reduction. One is epistemological modesty. The subject matter of phenomenology is not held hostage to skepticism about the reality of the “external” world. Another is that the reduction allows the phenomenologist to offer a phenomenological analysis of the natural attitude itself. This is especially important if, as Husserl claims, the natural attitude is one of the presuppositions of scientific enquiry. Finally, there is the question of the purity of phenomenological description. It is possible that the implicit belief in the independent existence of the world will affect what we are likely to accept as an accurate description of the ways in which worldly things are given in experience. We may find ourselves describing things as “we know they must be” rather than how they are actually given.

The reduction, in part, enables the phenomenologist to go “back to the ‘things themselves'”(Husserl 2001, 168), meaning back to the ways that things are actually given in experience. Indeed, it is precisely here, in the realm of phenomena, that Husserl believes we will find that indubitable evidence that will ultimately serve as the foundation for every scientific discipline. As such, it is vital that we are able to look beyond the prejudices of common sense realism, and accept things as actually given. It is in this context that Husserl presents his Principle of All Principles which states that, “every originary presentive intuition is a legitimizing source of cognition, that everything originally (so to speak, in its ‘personal’ actuality) offered to us in ‘intuition’ is to be accepted simply as what it is presented as being, but also only within the limits in which it is presented there” (Husserl 1982, sec. 24).

c. Eidetic Reduction

The results of phenomenology are not intended to be a collection of particular facts about consciousness, but are rather supposed to be facts about the essential natures of phenomena and their modes of givenness. Phenomenologists do not merely aspire to offer accounts of what their own experiences of, say, material objects are like, but rather accounts of the essential features of material object perception as such. But how is this aspiration to be realized given that the method of phenomenology is descriptive, consisting in the careful description of experience? Doesn’t this, necessarily, limit phenomenological results to facts about particular individuals’ experience, excluding the possibility of phenomenologically grounded general facts about experience as such?

The Husserlian answer to this difficulty is that the phenomenologist must perform a second reduction called “eidetic” reduction (because it involves a kind of vivid, imagistic intuition). The purpose of the eidetic reduction in Husserl’s writings is to bracket any considerations concerning the contingent and accidental, and concentrate on (intuit) the essential natures or essences of the objects and acts of consciousness (Husserl 1982, sec. 2). This intuition of essences proceeds via what Husserl calls “free variation in imagination.” We imagine variations on an object and ask, “What holds up amid such free variations of an original […] as the invariant, the necessary, universal form, the essential form, without which something of that kind […] would be altogether inconceivable?” (Husserl 1977, sec. 9a). We will eventually come up against something that cannot be varied without destroying that object as an instance of its kind. The implicit claim here is that if it is inconceivable that an object of kind K might lack feature F, then F is a part of the essence of K.

Eidetic intuition is, in short, an a priori method of gaining knowledge of necessities. However, the result of the eidetic reduction is not just that we come to knowledge of essences, but that we come to intuitive knowledge of essences. Essences show themselves to us (Wesensschau), although not to sensory intuition, but to categorial or eidetic intuition (Husserl 2001, 292-4). It might be argued that Husserl’s methods here are not so different from the standard methods of conceptual analysis: imaginative thought experiments (Zahavi 2003, 38-39).

d. Heidegger on Method

It is widely accepted that few of the most significant post-Husserlian phenomenologists accepted Husserl’s prescribed methodology in full. Although there are numerous important differences between the later phenomenologists, the influence of Heidegger runs deep.

On the nature of phenomena, Heidegger remarks that “the term ‘phenomenon’…signifies ‘to show itself'” (Heidegger 1962, sec. 7). Phenomena are things that show themselves and the phenomenologist describes them as they show themselves. So, at least on this score there would appear to be some affinity between Husserl and Heidegger. However, this is somewhat controversial, with some interpreters understanding Husserlian phenomena not as things as given, but as states of the experiencing subject (Carman 2006).

It is commonly held that Heidegger reject’s the epoché: “Heidegger came to the conclusion that any bracketing of the factual world in phenomenology must be a crucial mistake” (Frede 2006, 56). What Heidegger says in his early work, however, is that, for him, the phenomenological reduction has a different sense than it does for Husserl:

For Husserl, phenomenological reduction… is the method of leading phenomenological vision from the natural attitude of the human being whose life is involved in the world of things and persons back to the transcendental life of consciousness…. For us phenomenological reduction means leading phenomenological vision back from the apprehension of a being…to the understanding of the being of this being.
(Heidegger 1982, 21)

Certainly, Heidegger thinks of the reduction as revealing something different—the Being of beings. But this is not yet to say that his philosophy does not engage in bracketing,for we can distinguish between the reduction itself and its claimed consequences. There is, however, some reason to think that Heidegger’s position is incompatible with Husserl’s account of the phenomenological reduction. For, on Husserl’s account, the reduction is to be applied to the “general positing” of the natural attitude, that is to a belief. But, according to Heidegger and those phenomenologists influenced by him (including both Sartre and Merleau-Ponty), our most fundamental relation to the world is not cognitive but practical (Heidegger 1962, sec. 15).

Heidegger’s positive account of the methods of phenomenology is explicit in its ontological agenda. A single question dominates the whole of Heidegger’s philosophy: What is the meaning of being? To understand this, we can distinguish between beings (entities) and Being. Heidegger calls this “the ontological difference.”  According to Heidegger, “ontology is the science of Being. But Being is always the being of a being. Being is essentially different from a being, from beings…We call it the ontological difference—the differentiation between Being and beings” (Heidegger 1982, 17). Tables, chairs, people, theories, numbers and universals are all beings. But they all have being, they all are. An understanding at the level of beings is “ontical,” an understanding at the level of being is “ontological”. Every being has being, but what does it mean to say of some being that it is? Might it be that what it means to say that something is differs depending on what sort of thing we are talking about? Do tables, people, numbers have being in the same way? Is there such a thing as the meaning of being in general? The task is, for each sort of being, to give an account of the structural features of its way of Being, “Philosophy is the theoretical conceptual interpretation of being, of being’s structure and its possibilities” (Heidegger 1982, 11).

According to Heidegger, we have a “pre-ontological” understanding of being: “We are able to grasp beings as such, as beings, only if we understand something like being. If we did not understand, even though at first roughly and without conceptual comprehension, what actuality signifies, then the actual would remain hidden from us…We must understand being so that we may be able to be given over to a world that is” (Heidegger 1982, 10-11). Our understanding of being is manifested in our “comportment towards beings” (Heidegger 1982, 16). Comportment is activity, action or behaviour. Thus, the understanding that we have of the Being of beings can be manifested in our acting with them. One’s understanding of the being of toothbrushes, for example, is manifested in one’s capacity for utilizing toothbrushes. Understanding need not be explicit, nor able to be articulated conceptually. It is often embodied in “know-how.” This is the sense, on Heidegger’s account, that our most fundamental relation to the world is practical rather than cognitive. It is this that poses a challenge to the phenomenological reduction.

Heidegger’s relation to the eidetic reduction is complex. The purpose of the eidetic reduction in Husserl’s writings is to bracket any considerations concerning the contingent and accidental, and concentrate on (intuit) the essential natures of the objects and acts of consciousness. Heidegger’s concentration on the meaning of the Being of entities appears similar in aim. However, insofar as the Being of entities relies on the notion of essence, Heidegger’s project calls it into question. The idea that there are different “ways of being” looks as though it does not abide by the traditional distinction between existence and essence. So, on Heidegger’s account, what it takes for something to have being is different for different sorts of thing.

3. Intentionality

How is it that subjective mental processes (perceptions, thoughts, etc.) are able to reach beyond the subject and open us up to an objective world of both worldly entities and meanings? This question is one that occupied Husserl perhaps more than any other, and his account of the intentionality of consciousness is central to his attempted answer.

Intentionality is one of the central concepts of Phenomenology from Husserl onwards. As a first approximation, intentionality is aboutness or directedness as exemplified by mental states. For example, the belief that The Smiths were from Manchester is about both Manchester and The Smiths. One can also hope, desire, fear, remember, etc. that the Smiths were from Manchester.

Intentionality is, say many, the way that subjects are “in touch with” the world. Two points of terminology are worth noting. First, in contemporary non-phenomenological debates, “intentional” and its cognates is often used interchangeably with “representational” and its cognates. Second, although they are related, “intentionality” (with a “t”)  is not to be confused with “intensionality” (with an “s”). The former refers to aboutness (which is the current topic), the latter refers to failure of truth-preservation after substitution of co-referring terms.

a. Brentano and Intentional Inexistence

Franz Brentano, Husserl’s one time teacher, is the origin of the contemporary debate about intentionality. He famously, and influentially claimed:

Every mental phenomenon is characterised by what the Scholastics of the Middle Ages called the intentional (or mental) inexistence of an object, and what we might call, though not wholly unambiguously, reference to a content, direction towards an object (which is not to be understood here as meaning a thing) or immanent objectivity. Every mental phenomenon includes something as object within itself, although they do not all do so in the same way. In presentation, something is presented, in judgement something is affirmed or denied, in love loved, in hate hated, in desire desired and so on.
(Brentano 1995, 88)

Brentano thought that all and only psychological states exhibit intentionality, and that in this way the subject matter of psychology could be demarcated. His, early and notorious, doctrine of intentional inexistence maintains that the object of an intentional state is literally a part of the state itself, and is, therefore, an “immanent” psychological entity. This position is based on Brentano’s adherence to (something like) the first interpretation of the Kantian notion of phenomena mentioned above (Crane 2006).

b. Husserl’s Account in Logical Investigations

Since phenomenology is descriptive, Husserl’s aim is to describe (rather than explain or reduce) intentionality. Husserl differs from Brentano in that he thinks that, apart from some special cases, the object of an intentional act is a transcendent object. That is, the object of an intentional act is external to the act itself (Husserl 2001, 126-7) (Husserl’s “acts” are not to be thought of as actions, or even as active. For example, on Husserl’s view, a visual experience is a conscious act (Husserl 2001, 102)). The object of the belief that Paris is the capital of France is Paris (and France). This is in keeping with the suggestion above that when phenomenologists describe phenomena, they describe worldly things as they are presented in conscious acts, not mental entities.

Intentionality is not a relation, but rather an intrinsic feature of intentional acts. Relations require the existence of their relata (the things related to one another), but this is not true of intentionality (conceived as directedness towards a transcendent object). The object of my belief can fail to exist (if my belief is, for example, about Father Christmas). On Husserl’s picture, every intentional act has an intentional object, an object that the act is about, but they certainly needn’t all have a real object (Husserl 2001, 127).

Husserl distinguishes between the intentional matter (meaning) of a conscious act and its intentional quality, which is something akin to its type (Husserl 2001, 119-22). Something’s being a belief, desire, perception, memory, etc. is its intentional quality. A conscious act’s being about a particular object, taken in a particular way, is its intentional matter. An individual act has a meaning that specifies an object. It is important to keep these three distinct. To see that the latter two are different, note that two intentional matters (meanings) can say the same thing of the same object, if they do it in a different way. Compare: Morrissey wrote “I know it’s Over,” and The lead singer of the Smiths wrote the second track on The Queen is Dead. To see that the first two (act and meaning) are distinct, on Husserl’s view, meanings are ideal (that is, not spatio-temporal), and therefore transcend the acts that have them (Husserl 2001, 120). However, intentional acts concretely instantiate them. In this way, psychological subjects come into contact with both ideal meaning and the worldly entities meant.

c. Husserl’s Account in Ideas I

In his Ideas I, Husserl introduced a new terminology to describe the structure of intentionality. He distinguished between the noesis and the noema, and he claimed that phenomenology involved both noetic and noematic analysis (Husserl 1982, pt. 3, ch.6). The noesis is the act of consciousness; this notion roughly corresponds to what Husserl previously referred to as the “intentional quality.” Thus, noetic analysis looks at the structure of conscious acts and the ways in which things are consciously intended. The noema is variously interpreted as either the intentional object as it is intended or the ideal content of the intentional act. Thus, noematic analysis looks at the structure of meaning or objects as they are given to consciousness. Exactly how to interpret Husserl’s notions of the noema and noematic analysis are much debated (Smith 2007, 304-11), and this debate goes right to the heart of Husserlian phenomenology.

d. Heidegger and Merleau-Ponty on Intentionality

On Husserl’s view, intentionality is aboutness or directedness as exemplified by conscious mental acts. Heidegger and, following him, Merleau-Ponty broaden the notion of intentionality, arguing that it fails to describe what is in fact the most fundamental form of intentionality. Heidegger argues:

The usual conception of intentionality…misconstrues the structure of the self-directedness-toward….  An ego or subject is supposed, to whose so-called sphere intentional experiences are then supposed to belong…. [T]he mode of being of our own self, the Dasein, is essentially such that this being, so far as it is, is always already dwelling with the extant. The idea of a subject which has intentional experiences merely inside its own sphere and is not yet outside it but encapsulated within itself is an absurdity.
(Heidegger 1982, 63-4)

Heidegger introduces the notion of comportment as a meaningful directedness towards the world that is, nevertheless, more primitive than the conceptually structured intentionality of conscious acts, described by Husserl (Heidegger 1982, 64). Comportment is an implicit openness to the world that continually operates in our habitual dealings with the world. As Heidegger puts it, we are “always already dwelling with the extant”.

Heidegger’s account of comportment is related to his distinction, in Being and Time, between the present-at-hand and the ready-to-hand. These describe two ways of being of worldly entities. We are aware of things as present-at-hand, or occurrent, through what we can call the “theoretical attitude.” Presence-at-hand is the way of being of things—entities with determinate properties.
Thus, a hammer, seen through the detached contemplation of the theoretical attitude, is a material thing with the property of hardness, woodenness etc. This is to be contrasted with the ready-to-hand. In our average day-to-day comportments, Dasein encounters equipment as ready-to-hand,
“The kind of Being which equipment possesses – in which it manifests itself in its own right – we call ‘readiness-to-hand‘” (Heidegger 1962, sec. 15). Equipment shows itself as that which is in-order-to, that is, as that which is for something. A pen is equipment for writing, a fork is equipment for eating, the wind is equipment for sailing, etc. Equipment is ready-to-hand, and this means that it is ready to use, handy, or available. The readiness-to-hand of equipment is its manipulability in our dealings with it.

A ready-to-hand hammer has various properties, including Being-the-perfect-size-for-the-job-at-hand. Heidegger claims that these “dealings” with “equipment” have their own particular kind of “sight”: “[W]hen we deal with them [equipment] by using them and manipulating them, this activity is not a blind one; it has its own kind of sight, by which our manipulation is guided… the sight with which they thus accommodate themselves is circumspection” (Heidegger 1962, sec. 15). Circumspection is the way in which we are aware of the ready-to-hand. It is the kind of awareness that we have of “equipment” when we are using it but are not explicitly concentrating on it or contemplating it, when it recedes. For example, in driving, one is not explicitly aware of the wheel. Rather, one knowledgeably use it; one has “know how.” Thus, circumspection is the name of our mode of awareness of the ready-to-hand entities with which Dasein comports in what, on Heidegger’s view, is the most fundamental mode of intentionality.

Merleau-Ponty’s account of intentionality introduces, more explicitly than does Heidegger’s, the role of the body in intentionality. His account of “motor intentionality” treats bodily activities, and not just conscious acts in the Husserlian sense, as themselves intentional. Much like Heidegger, Merleau-Ponty describes habitual, bodily activity as a directedness towards worldly entities that are for something, what he calls “a set of manipulanda” (Merleau-Ponty 1962, 105). Again, like Heidegger, he argues that motor intentionality is a basic phenomenon, not to be understood in terms of the conceptually articulated intentionality of conscious acts, as described by Husserl. As Merleau-Ponty says, “it is the body which ‘catches’ and ‘comprehends movement’. The acquisition of a habit is indeed the grasping of a significance, but it is the motor grasping or a motor significance” (Merleau-Ponty 1962, 142-3). And again, “it is the body which ‘understands'” (Merleau-Ponty 1962, 144).

4. Phenomenology of Perception

Perceptual experience is one of the perennial topics of phenomenological research. Husserl devotes a great deal of attention to perception, and his views have been very influential. We will concentrate, as does Husserl, on the visual perception of three dimensional spatial objects. To understand Husserl’s view, some background will be helpful.

a. Naïve Realism, Indirect Realism and Phenomenalism

We ordinarily think of perception as a relation between ourselves and things in the world. We think of perceptual experience as involving the presentation of three dimensional spatio-temporal objects and their properties. But this view, sometimes known as naïve realism, has not been the dominant view within the history of modern philosophy. Various arguments have been put forward in an attempt to show that it cannot be correct. The following is just one such:

  1. If one hallucinates a red tomato, then one is aware of something red.
  2. What one is aware of cannot be a red tomato (because there isn’t one); it must be a private, subjective entity (call this a sense datum).
  3. It is possible to hallucinate a red tomato while being in exactly the same bodily states as one would be in if one were seeing a red tomato.
  4. What mental/experiential states people are in are determined by what bodily states they are in.
  5. So: When one sees a red tomato, what one is (directly) aware of cannot be a red tomato but must be a private, subjective entity (a sense datum).

The conclusion of this argument is incompatible with naïve realism. Once naïve realism is rejected, and it is accepted that perception is a relation, not to an ordinary worldly object, but to a private mental object, something must be said about the relation between these two types of object. An indirect realist view holds that there really are both kinds of object. Worldly objects both cause and are represented by sense data. However, this has often been thought to lead to a troubling skepticism regarding ordinary physical objects: one could be experiencing exactly the same sense data, even if there were no ordinary physical objects causing one to experience them. That is, as far as one’s perceptual experience goes, one could be undergoing one prolonged hallucination. So, for all one knows, there are no ordinary physical objects.

Some versions of a view known as phenomenalism answer this skeptical worry by maintaining that ordinary physical objects are nothing more than logical constructions out of (collections of) actual and possible sense data. The standard phenomenalist claim is that statements about ordinary physical objects can be translated into statements that refer only to experiences (Ayer 1946). A phenomenalist might claim that the physical object statement “there is a white sheep in the kitchen” could be analysed as “if one were to currently be experiencing sense-data as of the inside of the kitchen, then one would experience a white, sheep-shaped sense-datum.” Of course, the above example is certainly not adequate. First, it includes the unanalysed physical object term “kitchen.” Second, one might see the kitchen but not the sheep. Nevertheless, the phenomenalist is committed to the claim that there is some adequate translation into statements that refer only to experiences.

b. Husserl’s Account: Intentionality and Hyle

However, another route out of the argument from hallucination is possible. This involves the denial that when one suffers a hallucination there is some object of which one is aware. That is, one denies premise 1 of the argument. Intentional theories of perception deny that perceptual experience is a relation to an object. Rather, perception is characterised by intentionality. The possibility of hallucinations is accounted for by the fact that my perceptual intentions can be inaccurate or “non-veridical.” When one hallucinates a red tomato, one “perceptually intends” a red tomato, but there is none. One’s conscious experience has an intentional object, but not a real one.

This, of course, is the fundamental orientation of Husserl‘s view. In sensory perception we are intentionally directed toward a transcendent object. We enjoy, “concrete intentive mental processes called perceivings of physical things” (Husserl 1982, sec. 41). Further, Husserl takes this view to be consistent with the intuition that in part drives naïve realism, that in perception we are aware of three-dimensional physical things, not subjective mental representations of them. As Husserl writes, “The spatial physical thing which we see is, with all its transcendence, still something perceived, given ‘in person’ in the manner peculiar to consciousness” (Husserl 1982, sec. 43). If the intentional account of perceptual experience is correct, we can agree that naïve realism is false while avoiding the postulation of private sense data.

But if perceiving is characterised by intentionality, what distinguishes it from other intentional phenomena, such as believing? What is the difference between seeing that there is a cat on the mat and believing that there is a cat on the mat? Part of Husserl’s answer to this is that perception has a sensory character. As one commentary puts it, “The authentic appearance of an object of perception is the intentional act inasmuch and to the extent that this act is interwoven with corresponding sensational data” (Bernet, Kern, and Marbach 1993, 118). The “sensational data” (also called hyle) are non-intentional, purely sensory aspects of experience. Sensory data are, on Husserl’s account, “animated” by intentions, which “interpret” them (Husserl 1982, 85). Thus, although perception is an intentional phenomenon, it is not purely intentional; it also has non-intentional, sensory qualities. In contemporary debates over intentionality and consciousness, those who believe that experiences have such non-intentional qualities are sometimes said to believe in qualia.

c. Husserl’s Account: Internal and External Horizons

When we visually perceive a three-dimensional, spatial object, we see it from one particular perspective. This means that we see one of its sides at the expense of the others (and its insides). We see a profile, aspect or, as Husserl puts it, “adumbration.” Should we conclude from this that the other sides of the object are not visually present? Husserl thinks not, claiming that a more phenomenologically adequate description of the experience would maintain that, “Of necessity a physical thing can be given only ‘one-sidedly;’… A physical thing is necessarily given in mere ‘modes of appearance’ in which necessarily a core of what is actually presented‘ is apprehended as being surrounded by a horizon of ‘co-givenness‘” (Husserl 1982, sec. 44).

Husserl refers to that which is co-given as a “horizon,” distinguishing between the internal and external horizons of a perceived object (Husserl 1973, sec. 8). The internal horizon of an experience includes those aspects of the object (rear aspect and insides) that are co-given. The external horizon includes those objects other than those presented that are co-given as part of the surrounding environment. In visual experience we are intentionally directed towards the object as a whole, but its different aspects are given in different ways.

Husserl often uses the term “anticipation” to describe the way in which the merely co-presented is present in perceptual experience. As he says, “there belongs to every external perception its reference from the ‘genuinely perceived’ sides of the object of perception to the sides ‘also meant’—not  yet perceived, but only anticipated and, at first, with a non-intuitional emptiness… the perception has horizons made up of other possibilities of perception, as perceptions that we could have, if we actively directed the course of perception otherwise” (Husserl 1960, sec. 19). In these terms, only the front aspect of an object is “genuinely perceived.” Its other features (rear aspect and insides) are also visually present, but by way of being anticipated. This anticipation consists, in part, in expectations of how the object will appear in subsequent experiences. These anticipations count as genuinely perceptual, but they lack the “intuitional fullness” of the fully presented. The non-intuitional emptiness of the merely co-given can be brought into intuitional fullness precisely by making the previously co-given rear aspect fully present, say, by moving around the object. Perceptual anticipations have an “if…then…” structure, that is, a perceptual experience of an object is partly constituted by expectations of how it would look were one to see it from another vantage point.

d. Husserl and Phenomenalism

Above, phenomenalism was characterised in two ways. On one, the view is that ordinary physical objects are nothing more than logical constructions out of (collections of) actual and possible sense data. One the other, the view is that statements about ordinary physical objects can be translated into statements that refer only to experiences. But, in fact, these views are not equivalent. The first, but not the second, is committed to the existence of sense data.

Husserl’s intentional account of perception does not postulate sense data, so he is not a phenomenalist of the first sort. However, there is some reason to believe that he may be a phenomenalist of the second sort. Concerning unperceived objects, Husserl writes:

That the unperceived physical thing “is there” means rather that, from my actually present perceptions, with the actually appearing background field, possible and, moreover, continuously-harmoniously motivated perception-sequences, with ever new fields of physical things (as unheeded backgrounds) lead to those concatenations of perceptions in which the physical thing in question would make its appearance and become seized upon.
(Husserl 1982, sec. 46)

Here Husserl seems to be claiming that what it is for there to be a currently unperceived object  is for one to have various things given, various things co-given and various possibilities of givenness. That is, he appears to endorse something that looks rather like the second form of phenomenalism—the view that statements about physical objects can be translated into statements that only make reference to actual and possible appearances. Thus, there is some reason to think that Husserl may be a phenomenalist, even though he rejects the view that perceptual experience is a relation to a private, subjective sense datum.

e. Sartre Against Sensation

Sartre accepts, at least in broad outline, Husserl’s view of intentionality (although he steers clear of Husserl’s intricate detail). Intentionality, which Sartre agrees is characteristic of consciousness, is directedness toward worldly objects and, importantly for Sartre, it is nothing more than this. He writes, “All at once consciousness is purified, it is clear as a strong wind. There is nothing in it but a movement of fleeing itself, a sliding beyond itself” (Sartre 1970, 4). Consciousness is nothing but a directedness elsewhere, towards the world. Sartre’s claim that consciousness is empty means that there are no objects or qualities in consciousness. So, worldly objects are not in consciousness; sense data are not in consciousness; qualia are not in consciousness; the ego is not in consciousness. In so far as these things exist, they are presented to consciousness. Consciousness is nothing more than directedness toward the world. Thus, Sartre rejects Husserl’s non-intentional, purely sensory qualities.

A test case for Sartre’s view concerning the emptiness of consciousness is that of bodily sensation (for example, pain). A long tradition has held that bodily sensations, such as pain, are non-intentional, purely subjective qualities (Jackson 1977, chap. 3). Sartre is committed to rejecting this view. However, the most obvious thing with which to replace it is the view according to which bodily sensations are perceptions of the body as painful, or ticklish, etc. On such a perceptual view, pains are experienced as located properties of an object—one’s body. However, Sartre also rejects the idea that when one is aware of one’s body as subject (and being aware of something as having pains is a good candidate for this), one is not aware of it as an object (Sartre 1969, 327). Thus, Sartre is committed to rejecting the perceptual view of bodily sensations.

In place of either of these views, Sartre proposes an account of pains according to which they are perceptions of the world. He offers the following example:

My eyes are hurting but I should finish reading a philosophical work this evening…how is the pain given as pain in the eyes? Is there not here an intentional reference to a transcendent object, to my body precisely in so far as it exists outside in the world? […] [P]ain is totally void of intentionality…. Pain is precisely the eyes in so far as consciousness “exists them”…. It is the-eyes-as-pain or vision-as-pain; it is not distinguished from my way of apprehending transcendent words.
(Sartre 1969, 356)

Bodily sensations are not given to unreflective consciousness as located in the body. They are indicated by the way objects appear. Having a pain in the eyes amounts to the fact that, when reading, “It is with more difficulty that the words are detached from the undifferentiated ground” (Sartre 1969, 356). What we might intuitively think of as an awareness of a pain in a particular part of the body is nothing more than an awareness of the world as presenting some characteristic difficulty. A pain in the eyes becomes an experience of the words one is reading becoming indistinct, a pain in the foot might become an experience of one’s shoes as uncomfortable.

5. Phenomenology and the Self

There are a number of philosophical views concerning both the nature of the self and any distinctive awareness we may have of it. Husserl’s views on the self, or ego, are best understood in relation to well known discussions by Hume and Kant. Phenomenological discussions of the self and self-awareness cannot be divorced from issues concerning the unity of consciousness.

a. Hume and the Unity of Consciousness

Hume’s account of the self and self-awareness includes one of the most famous quotations in the history of philosophy. He wrote:

There are some philosophers, who imagine we are every moment intimately conscious of what we call our SELF; that we feel its existence and its continuance in existence…. For my part, when I enter most intimately into what I call myself, I always stumble on some particular perception or other, or heat or cold, light or shade, love or hatred, pain or pleasure. I never can catch myself at any time without a perception, and never can observe anything but the perception.
(Hume 1978, 251-2)

Hume claims that reflection does not reveal a continuously existing self. Rather, all that reflection reveals is a constantly changing stream of mental states. In Humean terms, there is no impression of self and, as a consequence of his empiricism, the idea that we have of ourselves is rendered problematic. The concept self is not one which can be uncritically appealed to.

However, as Hume recognized, this appears to leave him with a problem, a problem to which he could not see the answer: “…all my hopes vanish when I come to explain the principles, that unite our successive perceptions in our thought or consciousness” (Hume 1978, 635-6). This problem concerns the unity of consciousness. In fact there are at least two problems of conscious unity.

The first problem concerns the synchronic unity of consciousness and the distinction between subjects of experience. Consider four simultaneous experiences: e1, e2, e3 and e4. What makes it the case that, say, e1 and e2 are experiences had by one subject, A, while e3 and e4 are experiences had by another subject, B? One simple answer is that there is a relation that we could call ownership such that A bears ownership to both e1 and e2, and B bears ownership to both e3 and e4. However if, with Hume, we find the idea of the self problematic, we are bound to find the idea of ownership problematic. For what but the self could it be that owns the various experiences?

The second problem concerns diachronic unity. Consider four successive conscious experiences, e1, e2, e3 and e4, putatively had by one subject, A. What makes it the case that there is just one subject successively enjoying these experiences? That is, what makes the difference between a temporally extended stream of conscious experience and merely a succession of experiences lacking any experienced unity? An answer to this must provide a relation that somehow accounts for the experienced unity of conscious experience through time.

So, what is it for two experiences, e1 and e2, to belong to the same continuous stream of consciousness? One thought is that e1 and e2 must be united, or synthesised, by the self. On this view, the self must be aware of both e1 and e2 and must bring them together in one broader experience that encompasses them. If this is right then, without the self to unify my various experiences, there would be no continuous stream of conscious experience, just one experience after another lacking experiential unity. But our experience is evidently not like this. If the unity of consciousness requires the unifying power of the self, then Hume’s denial of self-awareness, and any consequent doubts concerning the legitimacy of the idea of the self, are deeply problematic.

b. Kant and the Transcendental I

Kant’s view of these matters is complex. However, at one level, he can be seen to agree with Hume on the question of self-awareness while disagreeing with him concerning the legitimacy of the concept of the self. His solution to the two problems of the unity of concious is, as above, that diverse experiences are unified by me. He writes:

The thought that these representations given in intuition all together belong to me means, accordingly, the same as that I unite them in a self-consciousness, or at least can unite them therein…for otherwise I would have as multicoloured, diverse a self as I have representations of which I am conscious.
(Kant 1929, sec. B143)

Thus, Kant requires that the notion of the self as unifier of experience be legitimate. Nevertheless, he denies that reflection reveals this self to direct intuition:

…this identity of the subject, of which I can be conscious in all my representations, does not concern any intuition of the subject, whereby it is given as an object, and cannot therefore signify the identity of the person, if by that is understood the consciousness of the identity of one’s own substance, as a thinking being, in all change of its states.
(Kant 1929, sec. B408)

The reason that Kant can allow the self as a legitimate concept despite the lack of an intuitive awareness of the self is that he does not accept the empiricism that drove Hume’s account. On the Kantian view, it is legitimate to appeal to an I that unifies experience since such a thing is precisely a condition of the possibility of experience. Without such a unifying self, experience would not be possible, therefore the concept is legitimate. The I, on this account, is transcendental—it is brought into the account as a condition of the possibility of experience (this move is one of the distinctive features of Kantian transcendental philosophy).

c. Husserl and the Transcendental Ego

Husserl‘s views on the self evolved over his philosophical career. In Logical Investigations, he accepted something like the Humean view (Husserl 2001, 91-3), and did not appear to find overly problematic the resulting questions concerning the unity of consciousness. However, by the time of Ideas I, he had altered his view. There he wrote that, “all mental processes…as belonging to the one stream of mental processes which is mine, must admit of becoming converted into actional cogitationes…In Kant’s words, ‘The ‘I think’ must be capable to accompanying all my presentations.'” (Husserl 1982, sec. 57). Thus, Husserl offers an account of unity that appeals to the self functioning transcendentally, as a condition of the possibility of experience.

However, Husserl departs from Kant, and before him Hume, in claiming that this self is experienced in direct intuition. He claims that, “I exist for myself and am constantly given to myself, by experiential evidence, as ‘I myself.’ This is true of the transcendental ego and, correspondingly, of the psychologically pure ego; it is true, moreover, with respect to any sense of the word ego.” (Husserl 1960, sec. 33).

On Kant’s view, the I is purely formal, playing a role in structuring experience but not itself given in experience. On Husserl’s view, the I plays this structuring role, but is also given in inner experience. The ego appears but not as (part of) a mental process. It’s presence is continual and unchanging. Husserl says that it is, “a transcendency within immanency” (Husserl 1982, sec. 57). It is immanent in that it is on the subject side of experience; It is transcendent in that it is not an experience (or part of one). What Husserl has in mind here is somewhat unclear, but one might liken it to the way that the object as a whole is given through an aspect—except that the ego is at “the other end” of intentional experience.

d. Sartre and the Transcendent Ego

Sartre’s view that consciousness is empty involves the denial not only of sensory qualities but also of the view that we are experientially aware of an ego within consciousness. Sartre denies that the ego is given in pre-reflective experience, either in the content of experience (as an object) or as a structural feature of the experience itself (as a subject). As he puts it, “while I was reading, there was consciousness of the book, of the heroes of the novel, but the I was not inhabiting this consciousness. It was only consciousness of the object and non-positional consciousness of itself” (Sartre 1960, 46-7). Again, “When I run after a streetcar, when I look at the time, when I am absorbed in contemplating a portrait, there is no I.” (Sartre 1960, 48-9).

Here Sartre appears to be siding with Hume and Kant on the question of the givenness of the self with respect to everyday, pre-reflective consciousness. However, Sartre departs from the Humean view, in that he allows that the ego is given in reflective consciousness:

…the I never appears except on the occasion of a reflexive act. In this case, the complex structure of consciousness is as follows: there is an unreflected act of reflection, without an I, which is directed on a reflected consciousness. The latter becomes the object of the reflecting consciousness without ceasing to affirm its own object (a chair, a mathematical truth, etc.). At the same time, a new object appears which is the occasion of an affirmation by reflective consciousness…This transcendent object of the reflective act is the I.
(Sartre 1960, 53)

On this view, the self can appear to consciousness, but it is paradoxically experienced as something outside of, transcendent to, consciousness. Hence the transcendence of the ego, Sartre’s title.

With respect to unreflective consciousness, however, Sartre denies self-awareness. Sartre also denies that the ego is required to synthesise, or unite, one’s various experiences. Rather, as he sees it, the unity of consciousness is achieved via the objects of experience, and via the temporal structure of experience. Although his explanation is somewhat sketchy, his intent is clear:

…it is certain that phenomenology does not need to appeal to any such unifying and individualizing I…The object is transcendent to the consciousness which grasps it, and it is in the object that the unity of the consciousness is found…It is consciousness which unifies itself, concretely, by a play of “transversal” intentionalities which are concrete and real retentions of past consciousnesses. Thus consciousness refers perpetually to itself.
(Sartre 1960, 38-9)

6. Phenomenology of Time-Consciousness

Various questions have occupied phenomenologists concerning time-consciousness—how our conscious lives take place over time. What exactly does this amount to? This question can be seen as asking for more detail concerning the synthesising activity of the self with respect to the diachronic unity of consciousness. Related to this, temporal objects (such as melodies or events) have temporal parts or phases. How is it that the temporal parts of a melody are experienced as parts of one and the same thing? How is it that we have an experience of succession, rather than simply a succession of experiences? This seems an especially hard question to answer if we endorse the claim that we can only be experientially aware of the present instant. For if, at time t1 we enjoy experience e1 of object (or event) o1, and at t2 we enjoy experience e2 of object (or event) o2, then it seems that we are always experientially confined to the present. An account is needed of how is it that our experience appears to stream through time.

a. The Specious Present

When faced with this problem, a popular view has been that we are simultaneously aware of more than an instant. According to William James, “the practically cognized present is no knife-edge, but a saddle-back, with a certain breadth of its own on which we sit perched, and from which we look in two directions into time. The unit of composition of our perception of time is a duration” (James 1981, 609).The doctrine of the specious present holds that we are experientially aware of a span of time that includes the present and past (and perhaps even the future). So, at t2 we are aware of the events that occur at both t2 and t1 (and perhaps also t3).

The specious present is present in the sense that the phases of the temporal object are experienced as present. The specious present is specious in that those phases of the temporal object that occur at times other than the present instant are not really present. But this would seem to have the bizarre consequence that we experience the successive phases of a temporal object as simultaneous. That is, a moving object is simultaneously experienced as being at more than one place. It goes without saying that this is not phenomenologically accurate.

Also, given that our experience at each instant would span a duration longer than that instant, it seems that we would experience everything more than once. In a sequence of notes c, d, e we would experience c at the time at which c occurs, and then again at the time at which d occurs. But, of course, we only experience each note once.

b. Primal Impression, Retention and Protention

Husserl’s position is not entirely unlike the specious present view. He maintains that, at any one instant, one has experience of the phase occurring at that instant, the phase(s) that has just occurred, and that phase that is just about to occur. His labels for these three aspects of experience are “primal impression,” “retention” and “protention.”  All three must be in place for the proper experience of a temporal object, or of the duration of a non-temporal object.

The primal impression is an intentional awareness of the present event as present. Retention is an intentional awareness of the past event as past. Protention is an intentional awareness of the future event as about to happen. Each is an intentional directedness towards a present, past and future event respectively. As Husserl puts matters, “In each primal phase that originally constitutes the immanent content we have retentions of the preceding phases and protentions of the coming phases of precisely this content” (Husserl 1991, sec. 40). The movement from something’s being protended, to its being experienced as a primal impression, to its being retained, is what accounts for the continuous stream of experience. Retention and protention form the temporal horizon against which the present phase is perceived. That is, the present is perceived as that which follows a past present and anticipates a future present.

c. Absolute Consciousness

Not only does the present experience include a retention of past worldly events, it also includes a retention of the past experiences of those past events. The same can be said with regard to protention. The fact that past and future experiences are retained and protended respectively, points towards this question: What accounts for the fact that mental acts themselves are experienced as enduring, or as having temporal parts? Do we need to postulate a second level of conscious acts (call it “consciousness*”) that explains the experienced temporality of immanent objects? But this suggestion looks as though it would involve us in an infinite regress, since the temporality of the stream of experiences constituting consciousness* would need to be accounted for.

Husserl’s proposed solution to this puzzle involves his late notion of “absolute constituting consciousness.” The temporality of experiences is constituted by a consciousness that is not itself temporal. He writes: “Subjective time becomes constituted in the absolute timeless consciousness, which is not an object” (Husserl 1991, 117). Further, “The flow of modes of consciousness is not a process; the consciousness of the now is not itself now…therefore sensation…and likewise retention, recollection, perception, etc. are nontemporal; that is to say, nothing in immanent time.” (Husserl 1991, 345-6).

The interpretation of Husserl’s notion of absolute constituting consciousness is not helped by the fact that, despite the non-temporal nature of absolute consciousness, Husserl describes it in temporal terms, such as “flow.” Indeed, Husserl seems to have thought that here we have come up against a phenomenon intrinsically problematic to describe:

Now if we consider the constituting appearances of the consciousness of internal time we find the following: they form a flow…. But is not the flow a succession? Does it not have a now, an actually present phase, and a continuity of pasts which I am now conscious in retentions? We have no alternative here but to say: the flow is something we speak of in conformity with what is constituted, but it is not “something in objective time.” It…has the absolute properties of something to be designated metaphorically as “flow”…. For all of this we have no names. (Husserl 1991, 381-2)

7. Conclusion

Husserlian and post-Husserlian phenomenology stands in complex relations to a number of different philosophical traditions, most notably British empiricism, Kantian and post-Kantian transcendental philosophy, and French existentialism. One of the most important philosophical movements of the Twentieth Century, phenomenology has been influential, not only on so-called “Continental” philosophy (Embree 2003), but also on so-called “analytic” philosophy (Smith and Thomasson 2005). There continues to be a great deal of interest in the history of phenomenology and in the topics discussed by Twentieth Century phenomenologists, topics such as intentionality, perception, the self and time-consciousness.

8. References and Further Reading

  • Ayer, A. J. 1946. Phenomenalism. Proceedings of the Aristotelian Society 47: 163-96
  • Bernet, Rudolf, Iso Kern, and Eduard Marbach. 1993. An Introduction to Husserlian Phenomenology. Evanston, Ill: Northwestern University Press.
  • Brentano, Franz. 1995. Psychology from an Empirical Standpoint. Ed. Oskar Kraus. Trans. Antos C. Rancurello, D. B. Terrell, and Linda L. McAlister. 2nd ed. London: Routledge.
  • Carman, Taylor. 2006. The Principle of Phenomenology. In The Cambridge Companion to Heidegger, ed. Charles, B. Guignon. 2nd ed. Cambridge: Cambridge University Press.
  • Carman, Taylor. 2008. Merleau-Ponty. London: Routledge.
  • Cerbone, David R. 2006. Understanding Phenomenology. Chesham: Acumen.
  • Crane, T. 2006. Brentano’s Concept of Intentional Inexistence. In The Austrian Contribution to Analytic Philosophy, ed. Mark Textor. London: Routledge.
  • Dreyfus, Hubert L. 1991. Being-in-the-World: A Commentary on Heidegger’s Being and Time, Division I. Cambridge, Mass: MIT Press.
  • Embree, L. 2003. Husserl as Trunk of the American Continental Tree. International Journal of Philosophical Studies 11, no. 2: 177-190.
  • Frede, Dorothea. 2006. The Question of Being:Heidegger’s Project. In The Cambridge Companion to Heidegger, trans. Charles, B. Guignon. 2nd ed. Cambridge: Cambridge University Press.
  • Gallagher, Shaun, and Dan Zahavi. 2008. The Phenomenological Mind: An Introduction to Philosophyof Mind and Cognitive Science. London: Routledge.
  • Gennaro, Rocco. 2002. Jean-Paul Sartre and the HOT Theory of Consciousness. Canadian Journal of Philosophy 32, no.3: 293-330.
  • Hammond, Michael, Jane Howarth, and Russell Keat. 1991. Understanding Phenomenology. Oxford: Basil Blackwell.
  • Heidegger, Martin. 1962 [1927]. Being and Time. Trans. John Macquarrie and Edward Robinson. Oxford: Blackwell.
  • Heidegger, Martin. 1982 [1927]. The Basic Problems of Phenomenology. Trans. Albert Hofstadter. Bloomington: Indiana University Press.
  • Hume, David. 1978 [1739-40]. A Treatise of Human Nature. Ed. L. A Selby-Bigge, rev. P. H. Nidditch. 2nd ed. Oxford: Clarendon Press.
  • Husserl, Edmund. 1960 [1931]. Cartesian Meditations: An Introduction to Phenomenology. Trans. Dorion Cairns. The Hague: Nijhoff.
  • Husserl, Edmund. 1973 [1939]. Experience and Judgement: Investigations in a Genealogy of Logic. Evanston: Northwestern University Press.
  • Husserl, Edmund. 1977 [1925]. Phenomenological Psychology: Lectures, Summer Semester, 1925. Trans. John Scanlon. The Hague: Martinus Nijhoff.
  • Husserl, Edmund. 1982 [1913]. Ideas Pertaining to a Pure Phenomenology and to a Phenomenological Philosophy. Trans. F. Kersten. The Hague: Nijhoff.
  • Husserl, Edmund. 1991 [1893-1917]. On the Phenomenology of the Consciousness of Internal Time (1893-1917). Trans. John B Brough. Dordrecht: Kluwer.
  • Husserl, Edmund. 1999 [1907]. The Idea of Phenomenology. Trans. Lee Hardy. Dordrecht: Kluwer.
  • Husserl, Edmund. 2001 [1900/1901]. Logical Investigations. Ed. Dermot Moran. 2nd ed. 2 vols. London: Routledge.
  • Jackson, Frank. 1977. Perception: A Representative Theory. Cambridge: Cambridge University Press.
  • James, William. 1981 [1890]. The Principles of Psychology. Cambridge, Mass: Harvard University Press.
  • Kant, Immanuel. 1929 [1781/1787]. Critique of Pure Reason. Trans. Norman Kemp Smith. London: Macmillan.
  • Merleau-Ponty, Maurice. 1989 [1945]. Phenomenology of Perception. Trans. Colin Smith. London: Routledge.
  • Moran, Dermot. 2000. Introduction to Phenomenology. London: Routledge.
  • Polt, Richard F. H. 1999. Heidegger: An Introduction. London: UCL Press.
  • Sartre, Jean-Paul. 1972 [1936-7]. The Transcendence of the Ego: An Existentialist Theory of Consciousness. New York: Noonday.
  • Sartre, Jean-Paul. 1989 [1943]. Being and Nothingness: An Essay on Phenomenological Ontology. Trans. Hazel E. Barnes. London: Routledge.
  • Sartre, Jean-Paul. 1970 [1939]. Intentionality: A fundamental idea of Husserl’s Phenomenology. Trans. J. P. Fell. Journal of the British Society for Phenomenology 1, no. 2.
  • Smith, David Woodruff. 2007. Husserl. London: Routledge.
  • Smith, David Woodruff, and Amie L Thomasson, eds. 2005. Phenomenology and Philosophy of Mind. Oxford: Clarendon Press.
  • Sokolowski, Robert. 2000. Introduction to Phenomenology. Cambridge: Cambridge University Press.
  • Wider, Kathleen. 1997. The Bodily Nature of Consciousness. Ithaca: Cornell University Press.
  • Zahavi, Dan. 2003. Husserl’s Phenomenology. Stanford: Stanford University Press

Author Information

Joel Smith
Email: joel.smith@manchester.ac.uk
University of Manchester
United Kingdom

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