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

Anaximenes (d. 528 B.C.E.)

AnaximenesAccording to the surviving sources on his life, Anaximenes flourished in the mid 6th century B.C.E. and died about 528. He is the third philosopher of the Milesian School of philosophy, so named because like Thales and Anaximander, Anaximenes was an inhabitant of Miletus, in Ionia (ancient Greece). Theophrastus notes that Anaximenes was an associate, and possibly a student, of Anaximander’s.

Anaximenes is best known for his doctrine that air is the source of all things. In this way, he differed with his predecessors like Thales, who held that water is the source of all things, and Anaximander, who thought that all things came from an unspecified boundless stuff.

Anaximenes’ theory of successive change of matter by rarefaction and condensation was influential in later theories. It is developed by Heraclitus and criticized by Parmenides. Anaximenes’ general theory of how the materials of the world arise is adopted by Anaxagoras, even though the latter has a very different theory of matter. Both Melissus and Plato see Anaximenes’ theory as providing a common-sense explanation of change. Diogenes of Apollonia makes air the basis of his explicitly monistic theory. The Hippocratic treatise On Breaths uses air as the central concept in a theory of diseases. By providing cosmological accounts with a theory of change, Anaximenes separated them from the realm of mere speculation and made them, at least in conception, scientific theories capable of testing.

Table of Contents

  1. Doctrine of Air
  2. Doctrine of Change
  3. Origin of the Cosmos
  4. Influence on Later Philosophy
  5. References and Further Reading

1. Doctrine of Air

Anaximenes seems to have held that at one time everything was air. Air can be thought of as a kind of neutral stuff that is found everywhere, and is available to participate in physical processes. Natural forces constantly act on the air and transform it into other materials, which came together to form the organized world. In early Greek literature, air is associated with the soul (the breath of life) and Anaximenes may have thought of air as capable of directing its own development, as the soul controls the body (DK13B2 in the Diels-Kranz collection of Presocratic sources). Accordingly, he ascribed to air divine attributes.

2. Doctrine of Change

Given his doctrine that all things are composed of air, Anaximenes suggested an interesting qualitative account of natural change:

[Air] differs in essence in accordance with its rarity or density. When it is thinned it becomes fire, while when it is condensed it becomes wind, then cloud, when still more condensed it becomes water, then earth, then stones. Everything else comes from these. (DK13A5)

Using two contrary processes of rarefaction and condensation, Anaximenes explains how air is part of a series of changes. Fire turns to air, air to wind, wind to cloud, cloud to water, water to earth and earth to stone. Matter can travel this path by being condensed, or the reverse path from stones to fire by being successively more rarefied. Anaximenes provides a crude kind of empirical support by appealing to a simple experiment: if one blows on one’s hand with the mouth relaxed, the air is hot; if one blows with pursed lips, the air is cold (DK13B1). Hence, according to Anaximenes we see that rarity is correlated with heat (as in fire), and density with coldness, (as in the denser stuffs).

Anaximenes was the first recorded thinker who provided a theory of change and supported it with observation. Anaximander had described a sequence of changes that a portion of the boundless underwent to form the different stuffs of the world, but he gave no scientific reason for changes, nor did he describe any mechanism by which they might come about. By contrast, Anaximenes uses a process familiar from everyday experience to account for material change. He also seems to have referred to the process of felting, by which wool is compressed to make felt. This industrial process provides a model of how one stuff can take on new properties when it is compacted.

3. Origin of the Cosmos

Anaximenes, like Anaximander, gives an account of how our world came to be out of previously existing matter. According to Anaximenes, earth was formed from air by a felting process. It began as a flat disk. From evaporations from the earth, fiery bodies arose which came to be the heavenly bodies. The earth floats on a cushion of air. The heavenly bodies, or at least the sun and the moon, seem also to be flat bodies that float on streams of air. On one account, the heavens are like a felt cap that turns around the head. The stars may be fixed to this surface like nails. In another account, the stars are like fiery leaves floating on air (DK13A14). The sun does not travel under the earth but circles around it, and is hidden by the higher parts of the earth at night.

Like Anaximander, Anaximenes uses his principles to account for various natural phenomena. Lightning and thunder result from wind breaking out of clouds; rainbows are the result of the rays of the sun falling on clouds; earthquakes are caused by the cracking of the earth when it dries out after being moistened by rains. He gives an essentially correct account of hail as frozen rainwater.

Most commentators, following Aristotle, understand Anaximenes’ theory of change as presupposing material monism. According to this theory, there is only one substance, (in this case air) from which all existing things are composed. The several stuffs: wind, cloud, water, etc., are only modifications of the real substance that is always and everywhere present. There is no independent evidence to support this interpretation, which seems to require Aristotle’s metaphysical concepts of form and matter, substratum and accident that are too advanced for this period. Anaximenes may have supposed that the ‘stuffs’ simply change into one another in order.

4. Influence on Later Philosophy

Anaximenes’ theory of successive change of matter by rarefaction and condensation was influential in later theories. It is developed by Heraclitus (DK22B31), and criticized by Parmenides (DK28B8.23-24, 47-48). Anaximenes’ general theory of how the materials of the world arise is adopted by Anaxagoras (DK59B16), even though the latter has a very different theory of matter. Both Melissus (DK30B8.3) and Plato (Timaeus 49b-c) see Anaximenes’ theory as providing a common-sense explanation of change. Diogenes of Apollonia makes air the basis of his explicitly monistic theory. The Hippocratic treatise On Breaths uses air as the central concept in a theory of diseases. By providing cosmological accounts with a theory of change, Anaximenes separated them from the realm of mere speculation and made them, at least in conception, scientific theories capable of testing.

5. References and Further Reading

There are no monographs on Anaximenes in English. Articles on him are sometimes rather specialized in nature. A number of chapters in books on the Presocratics are helpful.

  • Barnes, Jonathan. The Presocratic Philosophers. London: Routledge & Kegan Paul (1 vol. edn.), 1982. Ch. 3.
    • Gives a philosophically rich defense of the standard interpretation of Anaximenes.
  • Bicknell, P. J. “Anaximenes’ Astronomy.” Acta Classica 12: 53-85.
    • An interesting reconstruction of the conflicting reports on Anaximenes’ astronomy.
  • Classen, C. Joachim. “Anaximander and Anaximenes: The Earliest Greek Theories of Change?” Phronesis 22: 89-102.
    • This article provides a good assessment of one of Anaximenes’ major contributions.
  • Guthrie, W. K. C. A History of Greek Philosophy. Vol. 1. Cambridge: Cambridge U. Pr., 1962. 115-40.
    • A good introduction to Anaximenes’ thought.
  • Kirk, G. S., J. E. Raven and M. Schofield. The Presocratic Philosophers. 2nd edn. Cambridge: Cambridge UP, 1983. Ch. 4.
    • A careful analysis of the texts of Anaximenes.
  • Wöhrle, Georg. Anaximenes aus Milet. Stuttgart: Franz Steiner Verlag, 1993.
    • This brief edition adds four new testimonies to the evidence about Anaximenes and challenges the standard interpretation. It is useful as a counterbalance to the received view, though I think particular criticisms it makes of that view are wrong.

Author Information

Daniel W. Graham
Email: daniel_graham@byu.edu
Brigham Young University
U. S. A.

Conceptual Role Semantics

In the philosophy of language, conceptual role semantics (hereafter CRS) is a theory of what constitutes the meanings possessed by expressions of natural languages, or the propositions expressed by their utterance. In the philosophy of mind, it is a theory of what constitutes the contents of psychological attitudes, such as beliefs or desires.

CRS comes in a variety of forms, not always clearly distinguished by commentators. Such versions are known variously as functional/causal/computational role semantics, and more broadly as use-theories of meaning. Nevertheless, all are united in seeking the meaning or content of an item, not in what it is made of, nor in what accompanies or is associated with it, but in what is done with it, the use it is put to. Roughly, according to CRS, the meaning or propositional content of an expression or attitude is determined by the role it plays in a person’s language or in her cognition.

Currently, many view CRS as the main rival to theories that take notions such as truth or reference as central (for example, Davidson 2001), although the relationship between the two is not straightforward. The following outlines the main varieties of CRS, provides a cursory survey of its history, introduces the central arguments offered in its favor, and provisionally assesses how the variants fair against a number of prominent criticisms.

Table of Contents

  1. Preparing the Ground
    1. A Theory of Linguistic Meaning
    2. A Theory of Content
    3. Normativism and Naturalism
    4. Perception and Action
    5. Language and Mind
    6. Provisional Summary
  2. A Very Brief History
  3. Arguments for CRS
    1. Attributions of Meaning and Understanding
    2. The No Intrinsic Meaning Thesis
    3. The Insufficiency of Causation
    4. The Frege-problem
    5. Methodological Solipsism
  4. Problems for CRS
    1. Holism, Compositionality and Analyticity
    2. Proper Names
    3. Externalism
    4. Truth, Reference and Intentionality
    5. Indeterminacy
    6. Defective Expressions and Conservatism
    7. Circularity
  5. Prospects and Applications
  6. References and Further Reading

1. Preparing the Ground

a. A Theory of Linguistic Meaning

CRS may be first introduced as a theory of meaning. The theory of meaning must be distinguished from a meaning-theory. The former is a philosophical project that seeks to explain what meaning is, or what the meaning possessed by expressions in a natural language consists in. The latter, in contrast, is an empirical project. More specifically, it is a specification of the meaning of each expression in a language. Since a natural language such as English contains a potential infinity of expressions, these specifications must be derived from a finite body of axioms concerning sentence constituents and their modes of combination. CRS is a theory of meaning rather than a meaning-theory, although as such it can and should inform the construction of meaning-theories.

One must also distinguish the meaning of an expression from what is said (the proposition expressed) by its utterance. For example, what is said by the use of ‘I am tired now’ varies according to who employs the expression and when, whereas the meaning remains constant. Arguably, this overt context-dependency in the case of sentences containing indexicals is quite general (see Travis 2000). Hence, the invariant meaning possessed by a sentence is distinct from the truth-evaluable propositional content expressed by its use on a particular occasion, although the former (in combination with contextual factors) determines the latter.

CRS can be profitably viewed as a refinement of the claim that the meaning of an expression is its use (Wittgenstein 1967: §43; cf. Alston 2000; see Wittgenstein, Ludwig). While many philosophers might accept as platitudinous that, in some sense, an expression means what it does because of how it is employed, what is here distinctive is the claim that its having a meaning is its having a use. So stated, however, the view suffers from a number of objections. Many things have a ‘use’ (for example, hammers) but no meaning. More seriously, there are linguistic expressions with a use but no meaning, such as ‘um’ or ‘abracadabra’. Likewise, there can be differences in use without differences in meaning. For example, where and by whom a word is used can vary while meaning remains constant (see Glock 1996; Lycan 2000: 94ff; Rundle 2001: 100-1; Whiting 2007b).

One response to such criticisms is to identify more narrowly the specific kind of use that is supposed to be constitutive of meaning. According to CRS, it is use in inference. Roughly, it claims that to understand an expression is to be prepared to make certain inferential transitions. Accordingly, the meaning of the expression is its inferential role. If one were to enumerate all the transitions an expression is involved in, one would thereby give its meaning. So, to take a simplified example, to grasp the meaning of ‘brother’ is to be prepared to make linguistic moves of the following kind:

x is a male sibling” → “x is a brother”

x is a brother” → “x has parents”

Note that it is somewhat misleading to call the above ‘inferential’ transitions, since properly-speaking inferential relations hold between propositions not sentences. Nevertheless, the basic idea remains the same once qualified. One might say that the invariant meaning an expression possesses is its inferential potential, that is, its usability by speakers to make certain inferential transitions.

Note also that it is sentences that in the first instance can properly be said to have inferential significance, since ordinarily it is only by uttering a sentence that one make a claim from which other claims might be said to follow. Hence, for CRS, it is sentences that are the primary bearers of meaning. Nonetheless, a proponent of CRS can still speak of the meaning of a word as its stable contribution to the inferential potential of sentences or, more abstractly, as the set of inferential roles of sentences in which it occurs.

b. A Theory of Content

CRS extends straightforwardly to a theory of the propositional content expressed by the use of an expression. According to it, to know what is said by an utterance is to know, given the context, what the grounds for making the utterance are, and which further utterances are thereby in order. For an utterance to express such content just is for speakers to perform, and respond to performances, in a characteristic way. The proposition expressed is determined by the inferential network the utterance is caught up in, the linguistic moves that lead to and from it.

CRS simultaneously provides a theory of what constitutes mental content. So-called psychological attitudes, such as beliefs, desires and fears, appear to have two components: an attitude—believing, desiring, fearing and so on—and a content—that which is believed, desired, feared and so on. One can hold the same attitude toward different contents, and different attitudes toward the same content. According to CRS, for an attitude to have as its content a particular proposition just is for it to play a particular role in cognition, and to grasp that conceptual content is to be prepared to make certain inferential transitions. So, to take another simplified example, to possess the concept vixen, or to have thoughts involving it, is to be prepared to make moves conforming to the following pattern:

x is a female fox → x is a vixen

x is a vixen → x is a mammal

c. Normativism and Naturalism

So far, this survey has talked neutrally of subjects being ‘prepared’ to make inferences. But how exactly should this be understood? On this issue, there is a broad division among theorists between what one might label naturalists (for example, Block 1986; Field 1977; Harman 1999; Horwich 1998; 2005; Loar 1981; Peacocke 1992) and normativists (for example, Brandom 1994; von Savigny 1988; Skorupski 1997; Travis 2000). Exploring this distinction will simultaneously address another matter. One might have qualms about CRS as outlined above, since the notion of inference is itself semantic. Surely, one might complain, philosophy requires that a theory of meaning provide a more illuminating explanation of what constitutes meaning or content. Through outlining the naturalist and normativist positions, one can see in each case how their proponents seek to capture the notion of an inferential role in more fundamental terms.

According to normativists, content or meaning is constituted by those transitions one ought to or may (not) make, and to grasp that content or meaning is to grasp the propriety of those moves. While many philosophers recognise that what an expression means, for example, has normative implications, what is distinctive of the normativist view is that such norms do not merely follow from but are rather determinative of its meaning. Hence, such a theory typically takes as basic a primitive normative notion, with which to explain semantic notions. That said, one need not take the existence of such norms to be inexplicable; one might instead view them as instituted in some way, perhaps behaviorally or socially.

An issue on which normativists are divided is whether the existence of such proprieties requires the existence of rules. If the issue is not to be purely terminological, it presumably turns on whether the relevant standards of usage stem from generalisations or from particular considerations, and on whether to qualify as such, rules must always be explicitly formulated. (For a defence of the appeal to rules, see Glock 2005. For resistance, see Boghossian 1989; Brandom 1994: ch. 1; Dancy 2004: ch. 13.)

Naturalists in turn divide into two camps (although, it is fair to say, they are typically not distinguished). According to regularists, meaning or content is determined by those behavioral or psychological transitions a person regularly or generally makes. According to dispositionalists, in contrast, meaning or content is determined by those transitions a person is disposed in certain actual and counterfactual circumstances to make. On such accounts, the notion of inferential role gives way to that of causal or computational role.

d. Perception and Action

In addition, one can distinguish the more liberal CRS from the more restricted inferential role semantics (IRS) (sometimes referred to as ‘long-’ and ‘short-armed’ respectively). According to the latter, meaning or content is determined by intra-linguistic transitions only. According to the former, meaning or content is partially constituted by the tokenings of a concept or expression that result from perceptual experience, and the action such tokenings elicit. That is to say, extra-linguistic transitions—which Sellars (2007: 36) dubs ‘language-entry’ and ‘language-departure’ moves—contribute to the determination of meaning or content (cf. Harman 1999; McCulloch 1995).

e. Language and Mind

A final preliminary matter concerns the relative priority of (public) language and mind. Some philosophers hold that CRS provides, in the first instance, a theory of mental content, viewed as independent of its public expression, and only derivatively extended to linguistic content and meaning. On this view, the semantics of language is parasitic upon the semantics of mental states (for example, Loar 1981; Peacocke 1992). Typically, the connection between the two is thought to be effected by various Gricean mechanisms (1989). Crudely, on this picture, speakers intend to communicate their thoughts to one another, and over time such thoughts are conventionally correlated with particular linguistic expressions.

Alternatively, one might take mastery of a public language to be prior to possession of psychological attitudes and view mental content as derivative (for example, Sellars 1997), or hold that the two develop in unison (for example, Brandom 1994; Harman 1999; Horwich 2005). One reason for rejecting the priority of mind over language is that there is arguably no substance in attributing beliefs to a creature incapable in principle of manifesting them, and only linguistic behavior is sufficiently fine-grained for this task.

f. Provisional Summary

By now it should be clear that, when investigating or propounding CRS, one must keep in view a number of issues:

1. Is it a theory of meaning or propositional content?

2. Is it normativist or naturalist?

i. If normativist, are the norms in the forms of rules?

ii. If naturalist, is it regularist or a dispositionalist?

3. Does it incorporate language-entry and language-exit moves?

4. Is the mind prior to language or vice versa?

In many cases, which objections to CRS are relevant or effective will depend on how these questions are answered.

2. A Very Brief History

Although this is not an exegetical essay, it is worth noting that CRS has a distinguished history. Arguably, it goes back at least as far as Kant, if not further (Brandom 2002). Uncontroversially, however, it can be traced to Wittgenstein’s dictum that

the meaning of a word is its use in the language. (1967: §43)

Likewise:

The use of the word in practice is its meaning. (1969: 69)

This putative insight was endorsed by, and in turn influenced the methods of, Oxford philosophers such as Ryle (1968) and Strawson (2004: 7).

Perhaps unsurprisingly, given the influence of Wittgenstein, there are clear affinities between CRS and verificationism, according to which for an expression to have a meaning is for it to possess evidential conditions that warrant its application (Ayer 1959; Dummett 1991; 1996; Waismann 1968: 36). The shared idea is that the meaning of an expression, or the content it expresses, is given in part by what justifies and what are the implications of its employment.

One can also note similarities between CRS and the structuralist and phenomenological traditions. Saussure, for example, held that the meaning of a sign is determined by its role within a system of signs, its structural relations to other signs (1983). And according to Heidegger, for an expression to have a certain significance is for it to occupy a role within a network of linguistic and non-linguistic practices and, more specifically, for it to be subject to proprieties of usage (1962: 203ff).

Arguably, however, it was Sellars (2007: pt. 1) who first explicitly placed the notion of inference at the centre of the theory of meaning, and advocated the first systematic and unmistakable version of CRS.

Having precedent, no matter how distinguished, is of course no guarantee of correctness. So as to place us in a position to evaluate CRS, the next section outlines a number of prominent arguments in its favor, and the following introduces a number of prominent objections.

3. Arguments for CRS

a. Attributions of Meaning and Understanding

Reflection on our ordinary practices of attributing both meaning and understanding lend support to CRS (Horwich 1998: 48-9; Wittgenstein 1969: 102-3). One would typically say of a word in a foreign language that it has the same meaning as one in English if it has the same role. And if a word has no discernible use, one would be reluctant to attribute it meaning. Correlatively, if a person is able to use a word correctly, and respond to its employment appropriately, one would usually claim that she understands it. All of these observations suggest that the meaning of an expression is its role within a language.

Similar results are obtained by reflecting on everyday explanations of the meaning of an expression. This can take a number of forms, including exhibiting a familiar expression that plays a similar role, indicating the circumstances or grounds for introducing the expression, or noting what follows from its introduction. This likewise indicates that the expression’s meaning is given by its linguistic role.

b. The No Intrinsic Meaning Thesis

A different route to CRS is via the ‘no intrinsic meaning’ thesis (Skorupski 1997). It begins with the observation that a sign, considered in itself, is a mere noise or ink-mark, and as such, surely lacks any intrinsic meaning. That same noise or mark could have had a different meaning altogether, or none at all. One might be tempted to think that what ‘animates’ it is some entity to which it is (somehow) related, perhaps an image in the mind or abstract object.

However, this appears only to push the explanation back a stage, since one now needs to know in virtue of what these entities have the significance that they do. What an expression means has consequences for how it is to be employed on an indefinite number of occasions. Hence, one requires an account of how the mental or abstract entity could have such consequences when the mere noise or mark could not. As Wittgenstein remarks,

whatever accompanied [the sign] would for us just be another sign. (1969: 5)

Once one feels the force of the no intrinsic meaning thesis, one might be tempted by CRS. This view has the advantage of not positing any further entity that accompanies or is associated with an expression to act as an unexplained explainer, but instead looks to how the word is employed to account for its significance, specifically its role in inference.

c. The Insufficiency of Causation

Another motivation for endorsing CRS is through contrasting it with a competitor, one which also accepts the no intrinsic meaning thesis. According to it, the meaning or content of an item is determined by that which typically causes its tokenings (Dretske 1981; Fodor 1990). (This is no doubt crude but sufficient for present purposes.) Even if such a differential response to environing stimuli were necessary to grasp certain meanings or possess certain concepts, it cannot be sufficient (Brandom 1994; Harman 1999: 211; Sellars 1997). To put it vividly, it would not distinguish one who genuinely possesses understanding from a thermostat! Surely, in order properly to grasp the concept red, say, one must not only be able to respond differentially to red things, but in addition know that if something is red then it is not blue, or that if it is red it is colored, and so on. Hence, these entailments and incompatibilities, that is, these inferential connections, seem to be determinative of the relevant concept. And to accept that is to accept CRS.

d. The Frege-problem

Diagnosis of what is often labelled the ‘Frege-problem’ likewise speaks in favor of CRS (Frege 1997; see Frege and Language and Frege, Gottlob). A prominent and intuitive view is that for an expression to have a meaning is for it to refer to something. However, two expressions can refer to the same thing, for example, ‘table salt’ and ‘sodium chloride’, and yet one acquainted with both expressions could rationally adopt conflicting attitudes towards sentences containing them. One might accept:

(1) Table salt dissolves.

but not:

(2) Sodium chloride dissolves.

It seems, therefore, that a term’s ‘cognitive significance’ cannot reside solely in its having a reference.

CRS is consonant with this observation. According to it, what distinguishes co-referring (or co-extensive) terms is precisely their cognitive role, or the inferential networks they are involved in.

e. Methodological Solipsism

A final, and more controversial, reason to endorse IRS (rather than CRS) is to respect ‘methodological solipsism’ (see Lepore 1994). Methodological solipsism requires that mental content properly so-called supervene upon a person’s internal physical and functional make-up considered in isolation from her physical and social environment, by ‘what is in her head’. This is in part intended to respect the conviction that mental states are causes of behavior, and that such causes must be proximal rather than distal, and is presumed indispensable for the ability to make generalisations about subjects’ behavior.

If, as IRS holds, the content of a mental state is determined by its cognitive role, where this cognitive role is specified without reference to the person’s physical or social environment, then the requirements imposed by methodological solipsism are satisfied.

4. Problems for CRS

Despite the number of factors that seem to point to CRS, it faces a number of potential problems. The remainder outlines those difficulties and suggests various possible responses one might offer on its behalf. These issues not only pose a challenge for CRS, but also serve to bring into view the respective strengths and weaknesses of the various forms it might take.

a. Holism, Compositionality and Analyticity

CRS is evidently a holistic view of meaning or content. Since an expression’s meaning is possessed in virtue of the inferential relations it stands in to other expressions, it follows that an expression cannot have meaning on its own. This might seem innocuous, but it leads swiftly to seemingly grave problems.

What one takes the inferential significance of an expression to be depends on what beliefs one has. Therefore, since no two speakers share the same beliefs, they will inevitably be disposed to make, or treat as correct, different inferential transitions involving an expression. Hence, according to CRS, the same word in different mouths will possess a different meaning and be understood in different ways. It seems to follow that communication is impossible. Relatedly, since a particular speaker’s beliefs are constantly changing, at different times she will inevitably be disposed to make, or treat as correct, different inferential transitions involving an expression. Hence, according to CRS, the same word in the same mouth will possess a different meaning and be understood differently at different times. It seems to follow that constancy of meaning is impossible.

One possible response to this is to reject the need for CRS to incorporate shareable, constant meaning, and hold instead that what is required is only sufficiently similar understanding of an expression (Block 1995; Harman 1993). But this is hard to stomach. It seems a mere platitude, and is arguably definitive of the relevant notions, that two speakers can understand one another or say the same thing, that terms in different vocabularies might be synonymous, and so on. One requires a better reason for rejecting such trivialities than the fact that they are hard to accommodate in one’s preferred theory of meaning.

In any event, rather than offering an alternative, the above suggestion simply takes for granted the possibility of shared concepts or mutual understanding of the corresponding expressions (see Fodor and Lepore 1992: 17-22; for further discussion, see Pagin 2006). Consider how one might ascertain similar understandings. Presumably one would need to enumerate the various inferences that any two subjects are prepared to make. Their understanding is alike in so far as they are prepared to make a sufficient number of the same inferences. But what is to count as the same inference? Surely those that contain identical concepts.

Related to the communication and constancy problems are difficulties concerning the phenomena of productivity—the fact that competent speakers of a language are able to produce and understand a potential infinity of novel sentences—and systematicity—the fact that if a speaker understands an expression that expresses a proposition of the form aRb, then typically she will also understand one that expresses a proposition of the form bRa. The best explanation of both is that meanings are compositional. The meanings of the potentially infinite complex expression in a language are a function of the meanings of their parts, which constitute a finite vocabulary.

Therein lies the apparent difficulty for CRS, since inferential roles are not usually compositional (Fodor and Lepore 1992; Lepore 1994). The inferential role of ‘Cars pollute’, for example, is not determined by the meanings of ‘cars’ and ‘pollute’ alone, but in part by auxiliary information.

Proponents and critics alike typically accept that for CRS to avoid all of the above problems it requires some kind of analytic/synthetic distinction (Boghossian 1994; 1997; Fodor and Lepore 1992; Horwich 1998; Lepore 1994; Loewer 1997: 120-1). That is, a distinction in kind between those transitions that are determinative of meaning or content and those that are not. This would provide something constant—an invariant significance—that could be grasped despite differences in belief. And, moreover, it respects compositionality, since the meaning of a complex expression is fixed only by its role in analytic inferences, and that is determined by the meanings of its parts.

Where proponents and critics differ is over whether any such distinction can and should be drawn. Some suggest that it would be circular to appeal to the notion of analyticity in an analysis of meaning, since ‘analytic’ just means true/valid in virtue of meaning (Fodor and Lepore 1992; Lepore 1994; cf. Quine 1980: ch. 2). But clearly the advocate of CRS need not specify the analytic inferences using that very description, but might rather seek to do so in more basic terms (Boghossian 1994; Horwich 1998; 2005; cf. Block 1993: 64). Alternatively, one might challenge the requirement of reductionism. CRS might serve to illuminate the nature and role of semantic notions without appealing only to independently intelligible notions.

Nonetheless, since Quine’s ‘Two Dogmas of Empiricism’ (1980: ch. 2), many consider the notion of analyticity to be spurious (see The Classical Theory of Concepts). Therefore, if CRS requires an analytic/synthetic distinction, however specified, so much the worse for it.

Crucially, however, Quine’s target is a conception of analyticity according to which analytic statements possess no experiential implications or factual content whatsoever. In virtue of this, they owe their truth-value to meaning alone, and thereby provide a priori knowledge. With this target in view, Quine argues that no statement is immune from revision in the light of empirical data, and so no statement is such that it possesses no factual content whatsoever, is true in virtue of meaning alone, or knowable a priori. Therefore, there is no such thing as analyticity.

Note, however, that to grant Quine undermines one conception of the analytic/synthetic distinction is not to concede that he shows it to be bogus as such. A notion of analyticity might be available that respects the obviously fluctuating status of those statements considered determinative of meaning, and does not involve such notions as truth/validity in virtue of meaning, or a priori knowledge, or, if it does, admits only watered-down versions. There is something of a resurgence of work in this area and scepticism at this stage would be precipitate (see Boghossian 1997; 2003; Glock 2003: ch. 3; Horwich 2005: 38-9; Lance and Hawthorne 1997).

Additionally, a quick argument is available to show that any account of meaning must recognise some version of the analytic/synthetic distinction (Boghossian 1997; cf. Glock 2003: 93-5; Grice and Strawson 1989). Certain putatively analytic statements—that is, statements that might license analytically valid inferences—are such that they can be turned into logical truths by replacing synonyms with synonyms. For example:

(3) All bachelors are unmarried men.

is equivalent to:

(3’) All unmarried men are unmarried men.

So, to say that there are no facts as to whether such statements are analytic is just to say that there are no facts about synonymy. From this it surely follows that there are no facts about meaning, which is a conclusion few would accept whether they wish to defend CRS or an alternative. Thus, the mere fact that CRS requires certain inferential transitions to be privileged as analytic cannot be thought a devastating problem peculiar only to it. All (realist) theories of meaning are in the same boat.

b. Proper Names

Certain specific kinds of expression pose a potential problem for CRS. One in particular is proper names, such as ‘Kelly’ or ‘O Brother! Where Art Thou?’ According to one very influential view, proper names have no meaning. Nevertheless, they certainly have a use and play a role in cognition and language. Therefore, CRS must be rejected (Lycan 2000: 94; Rundle 2001: 101).

One response is to insist that proper names do indeed have meaning (Baker and Hacker 2004; Horwich 1998: 88-9, 124ff). But this seems strange. One does not find them in the dictionary, and the question ‘What does “David” mean?’ sounds confused. A more promising strategy is to offer an explanation—consonant with CRS—as to why proper names do not possess meaning, despite having a usage. That is, to show that although they have a role it is not of the right kind. To do so, I shall examine Kripke’s arguments for the view that proper names ‘directly refer’.

Kripke (1980) convincingly shows that there are no descriptions that warrant (a priori) the introduction of a proper name, and the latter’s use alone does not license the transition to any such description. Consider, for example, ‘Aristotle’ and the following:

the greatest pupil of Plato

the author of De Anima

the most famous teacher of Alexander the Great

As a matter of fact, one is warranted in replacing any of the above descriptions with ‘Aristotle’. Thus, the transition from ‘This was written by the greatest pupil of Plato’ to ‘This was written by Aristotle’ is correct. But in principle one could be unprepared to make such a transition without failing to understand ‘Aristotle’. One could revise which transitions one takes to be correct, and the term would still designate the same individual. Hence, there is no essential relation between ‘Aristotle’ and the above descriptions. This is supposed to generalise to cover any possible set of descriptions and associated proper names.

These observations point toward a distinguishing feature of proper names. They simply lack the kind of intra-linguistic role that bestows meaning on other expressions; they really just function as labels or proxies for their bearers. There are no transitions involving a proper name that one who masters it must be prepared to make. So, rather than count against CRS, one can precisely explain why proper names lack meaning by pointing out that they lack the relevant established usage, or inferential role, that is distinctive of meaningful expressions.

c. Externalism

This section temporarily focuses on IRS and the difficulty externalism seems to pose for it. According to externalism, meaning and content are determined by environmental, that is, extra-linguistic, factors. This is in manifest tension with IRS, according to which meaning and content are determined by intra-linguistic relations alone.

Different versions of externalism emphasise different environmental factors. According to ‘social’ externalism (Burge 1979), the content of a person’s claim or thought is determined in part by the linguistic community to which she belongs (so long as she is suitably deferent to the ‘experts’). What a person says, for example, in uttering ‘I have arthritis’ (and so whether what she says is true or false) is fixed by how her medical community employ ‘arthritis’. While this form of externalism is evidently in tension with methodological solipsism, it is not in tension with IRS per se. On this account, the meaning of a term is still its inferential significance, but that significance is fixed communally not individually.

It is ‘physical’ externalism that is typically thought to pose problems for IRS (Lepore 1994: 197-8; Lycan 2000: 93; McGinn 1982; Putnam 1991: 46ff). Imagine that Sally on Earth has a twin on Twin Earth. The term ‘water’ plays just the same role in the language of Sally and Twin Sally. Both, for example, would make the transition from ‘That is the colorless, odorless liquid in lakes and rivers’ to ‘That is water’, and vice versa. Nevertheless, the colorless odorless liquid on Earth consists of H2O, whereas on Twin Earth it consists of XYZ. Hence, the referent of ‘water’ is different on each planet, and insofar as meaning determines reference, the meaning likewise differs (Putnam 1975). Therefore, linguistic role alone does not determine meaning. This point is supposed to generalise to hold for propositional content too. Since intuitions about thought-experiments of this kind appear strongly to support externalism, it would seem IRS must be false.

One response to such cases regarding mental content is to postulate ‘narrow content’, to be explained by IRS. Narrow content has a cognitive role but it does not have truth-conditions and its constituents do not refer (Block 1986; Fodor 1990; McGinn 1982). ‘Wide content’ involving truth-conditions and reference-relations is then viewed as a mere device for attributing (narrow) thoughts to subjects, or some additional (perhaps causal) theory is wheeled in to explain how it attaches to the relevant item or state. Crucially, on such ‘two-factor’ accounts, only narrow content is genuinely, cognitively ‘real’ (since only it respects methodological solipsism).

Alternatively, one might reject Putnam’s assumption that meaning determines reference. On this account, ‘water’ would be treated as equivalent to ‘the colorless, odorless liquid in our lakes and rivers’. Since this involves an indexical, it combines the externalist intuition that the reference varies across worlds, with the view compatible with IRS that its meaning is not determined by the physical environment. The expression’s role is constant across on Earth and Twin Earth (Horwich 2005: ch. 1; Putnam 1975: 229ff).

While this might work for linguistic meaning, it is less clear that the same account can be given for mental content. The worry with this strategy is that it looks like what it offers is content in name only (McCulloch 1995). Surely thoughts (unlike meanings) are essentially truth-evaluable, and typically concern extra-mental reality. Such features play a crucial part in their role in psychological explanation. To divorce in this way the contents of beliefs, desires and thoughts from their objects is deeply unpalatable. This objection applies equally to the two-factor strategy mentioned above of postulating narrow content.

A different tact is to adopt CRS rather than IRS (Harman 1999; McCulloch 1995). On this view, since perception of distal objects and action on those objects contributes to individuating cognitive roles, one can indeed distinguish the roles of ‘water’ on Earth and Twin Earth (even if subjectively things appear just the same to Sally and her twin).

A concern with this suggestion is that it threatens to divorce the notions of meaning and content from those of understanding and grasp of content. According to it, the meaning of ‘water’, for example, is partially determined by the micro-physical constitution of water, even if a subject is utterly unaware of it. Hence, it apparently follows that she is ignorant of what she says and thinks in employing that expression or the corresponding concept. Insofar as this leaves a subject unable to distinguish the contents of her thoughts, one would expect this to have devastating consequences for her ability to reason.

That externalism in general makes problematic knowledge of one’s own mind is widely-recognised (see Brown 2004), but it seems especially acute in the case of CRS. There will inevitably be a disparity between a concept’s role as individuated by the physical environment and its role in a subject’s cognition, and insofar as they cannot be reconciled, it is hard to imagine how a particular role (hence content) could be assigned to the concept. Perhaps this problem facing CRS can be resolved, but prima facie an alternative response to externalism is preferable.

The above are conciliatory strategies, which accept the externalist’s claim and seek a theory of meaning to accommodate it. An altogether different approach is to reject the externalist intuitions and insist that Sally and Twin Sally mean the same thing by ‘water’, say colorless, odorless liquid, and so both think thoughts that are true of colorless, odorless liquid (whether H2O or XYZ). This is supported by the observation that both subjects would behave, explain their terms and react to their use in identical ways. Perhaps if deferential relations are taken into consideration, one might be able to point to relevant differences that would indicate semantic differences, but this only pushes us toward social rather than physical externalism, and the former has already been shown to be compatible with IRS.

Different strategies for responding to externalism have been considered, and the issue remains unresolved. Nevertheless, there is reason to be confident that intuitions about Twin-Earth style cases do not present insuperable problems for CRS, and especially IRS.

d. Truth, Reference and Intentionality

This discussion points towards a further potential difficulty for CRS (Loewer 1997; Putnam 1978), one which is sometimes treated simultaneously. Thoughts and statements are ‘about’ the world; they possess intentionality. And what they are about is determined by their content. However, according to CRS, content consists primarily in word-word relations (exclusively in some instances), whereas intentionality is on the face of it a word-world relation.

This issue can be reformulated in terms of truth and reference. Statements and thoughts are true or false, depending on how matters stand in the world, and those statements refer to objects and events in that world. How, one might ask, can CRS explain the evident conceptual links between meaning, truth and reference? What is required, surely, is a theory according to which for something to have meaning is for it to stand in some relation to extra-linguistic reality, from which one derives its truth-conditions and reference. (For the remainder, I shall focus on truth. The relevant points can easily be extended to reference, or being true of.)

This assumption, however, takes for granted a conception of truth according to which it consists in some substantial, non-semantic relation between an item and the world. According to deflationism, in contrast, the notion of truth does not pick out any such relation (see Horwich 1990; 1998). Rather, its content is exhausted by the schema:

(T) The proposition that p is true if and only if p

To grasp the notion of truth is to be disposed to accept, or grasp the propriety of, statements of that form. No deeper account of truth is needed or available. On this view, the reason for having an expression such as ‘is true’ in a language is solely to enable us to make generalisations such as ‘Everything the Pope says is true’.

If the deflationary theory is correct then, since truth does not consist in a non-semantic word-world relation, there is no reason to expect or demand a theory that shows possessing meaning or content to consist in such a relation either. A statement of the truth-conditions of a sentence can be derived trivially from a statement of the content it expresses.

More generally, if correct, the outcome of deflationism is that the notion of truth cannot play a fundamental explanatory role in the theory of meaning, as is commonly assumed, since it is to be explained via an antecedently intelligible notion of proposition (or meaning). Crucially, CRS need not deny the platitude that to grasp the content of an attitude or utterance is to grasp its truth-conditions, but instead can be seen as giving a theoretical account of what it is to possess such truth-conditions (Field 1994; Harman 1999: 195).

There is obviously much more to be said for and against deflationism (see Truth). But what should be clear is that it complements CRS and (if successful) shows it to be compatible with the obvious conceptual links between the notions of meaning and content on the one hand and truth and reference on the other.

e. Indeterminacy

This section explores again the views of Kripke, who, on supposed behalf of Wittgenstein, presents several notorious arguments against regularist and dispositionalist theories of meaning (1982). If his arguments succeed, those versions of CRS must be abandoned. (Quine reaches similar conclusions (see 1993).)

The problem with regularism, according to Kripke’s Wittgenstein (1982: 7), is that the actual use of an expression is consistent with an indefinite number of semantic interpretations. A stretch of behavior is only finite, whereas what a word means has consequences for its use on an indefinite number of occasions. For example, that a person to date has uttered ‘blue’ in response to all and only blue things does not determine that by ‘blue’ she means blue, since that behavior is consistent with its meaning ‘blue until 2146AD and green thereafter.’ Thus, regularities of employment leave meaning indeterminate.

Such observations might lead one to dispositionalism. The apparent advantage here is that it includes facts about what speakers would say in an indefinite number of counterfactual circumstances, and thereby promises to rule out gerrymandered interpretations. For example, if a person would assent to an utterance of ‘blue’ in the presence of blue after 2146AD, then by ‘blue’ she means what we mean and not ‘blue until 2146AD and green thereafter.’

Nevertheless, Kripke’s Wittgenstein points out, focus on dispositions fails to exclude deviant interpretations. The fact that a person utters ‘blue’ in the presence of blue after 2146AD does not determine that the expression means blue, since she might be making a mistake and using the expression incorrectly, that is, in a way that conflicts with its meaning. This in turn points to Kripke’s fundamental claim—dispositionalism fails because it does not accommodate the intrinsically normative nature of meaning. What an expression means is a matter of how it ought to or may (not) be used. If one understands an expression, one knows not simply how it is as a matter of fact employed but how it should be. Hence, for an expression to have a meaning cannot be merely for a subject to be disposed to employ it in certain circumstances, since a speaker’s disposition only fixes for what she would do, not what she should.

Several philosophers take this to show that the relevant use constitutive of meaning must be specified using wholly semantic, intentional or normative concepts (Boghossian 1989; Brandom 1994: ch. 1; McDowell 1998: chs. 11-2; Stroud 2002), that is, to favor normativism. If the relevant behavior is described in the first instance in normative terms, that is, as according or failing to accord with a certain standard, then it would seem that the gap between it and the relevant pattern picked out by the semantic interpretation is closed. Alternatively, a dispositionalist or regularist might challenge the claim that dispositions and regularities of use leave meaning indeterminate, perhaps by rejecting the suggestion that meaning is an essentially normative dimension (for discussion, see Hattiangadi 2007; Horwich 1998; 2005; Miller 2007: ch. 5). It is fair to say that the issue of how exactly to respond to Kripke’s Wittgenstein’s challenge is very much a live one.

f. Defective Expressions and Conservatism

Prior (1960) objects to CRS on the following grounds. Given IRS, one could presumably provide a meaning for a connective ‘tonk’ by stipulating that it is to be employed according to the following rules:

Tonk-introduction: p


p tonk q

Tonk-elimination: p tonk q


q

Evidently, by following these rules for the use of ‘tonk’, one could infer any claim from any other claim. Prior took this to be a reductio ad absurdum of IRS. One cannot give an expression a genuine meaning simply be stipulating that it is to be employed in inference in a certain way. As Belnap diagnoses the complaint, a ‘possible moral to draw from this’ is that one ‘must first […] have a notion of what [an expression] means, independently of the role it plays as premise or conclusion’ (1962: 130). That is, the example seems to show that it is in virtue of having an antecedent grasp of an expression’s meaning that one can make judgments as to its inferential significance. Hence, the latter cannot be constitutive of the former.

The traditional response on behalf of CRS is to maintain that the relevant expression does not have a genuine meaning, since the introduction of ‘tonk’ does not constitute a conservative extension of the language (Belnap 1962; see also Dummett 1973: 397; 1991). An extension of the language is conservative if and only if one cannot use the new vocabulary to derive any statements in the original vocabulary that could not already be derived using the original vocabulary. More informally, the problem is that non-conservative rules for the use of an expression clash with the meanings of existing expressions or, rather, the rules governing their employment. The novel rules ‘clash’ in the sense that, when added to the established rules, they lead to contradiction. As a result, the extended language is inconsistent.

This is evident in the case of ‘tonk’. Were one to employ the connective according to the above rules, one could derive any statement in our tonk-free vocabulary from any other statement in that vocabulary. Suppose, for example, that one accepts ‘Grass is green’. According to tonk-introduction, from that sentence, ‘Grass is green tonk it is not the case that grass is green’ follows. From this, in turn, according to tonk-elimination, ‘Grass is not green’ follows, which manifestly contradicts the original sentence from which it was derived. In such a way, assuming the meanings or rules for the use of the other expressions remain constant, the tonk-rules lead immediately and without auxiliary premises to contradiction; their introduction to the language renders it inconsistent.

The constraints imposed by conservatism proscribe the fraudulent connective ‘tonk’ by ruling out the introduction of non-conservative rules of the kind that would generate inconsistency in the manner outlined above. In doing so, they guarantee that there is no defective meaning possessed by ‘tonk’ and so no counter-example to CRS.

According to Prior, CRS allows one to introduce into a language obviously defective expressions. According to a recent twist on this objection, our language obviously contains certain defective expressions and CRS is unable to explain how (see Williamson 2003; cf. Hornsby 2001; cp. Whiting 2007a; 2008). Pejorative terms like ‘Boche’ provide vivid examples. A proponent of CRS might, following Dummett (1973), hold that to grasp the meaning possessed by ‘Boche’ is to infer according to rules such as:

Boche-introduction: x is German


x is Boche

Boche-elimination: x is Boche


x is cruel

As Williamson says (although he does not accept this evaluation), one might regard the above account as providing CRS ‘with a positive success by elegantly explaining in inferentialist terms what is wrong with pejorative expressions’. Unfortunately, however, it instead leads immediately to the following problem.

Since most speakers (including you and I) are simply not disposed to infer according to rules such as Boche-introduction and Boche-elimination and do not consider it proper to do so, it appears to follow (given CRS) that those speakers do not understand the term ‘Boche’ or grasp its meaning. This is, of course, implausible. As Williamson glibly says, ‘We find racist and xenophobic abuse offensive because we understand it, not because we fail to do so’ (2003: 257). Pejorative terms, then, appear to provide a counter-example to CRS. An expression can possess a certain meaning without speakers being prepared to make the relevant inferences involving it; its inferential role is therefore not constitutive of its meaning. It is in virtue of having an antecedent grasp of meaning that one can make judgments as to the inferential significance of an expression.

A possible solution to this problem runs parallel to Belnap’s reply to Prior. One might reject the Boche-introduction and Boche-elimination rules on the grounds that they are non-conservative. They allow one to make without the aid of collateral information the transition from, for example, ‘Merkel is German’ to ‘Merkel is cruel’, when one could not do so in the ‘Boche’-free language. More informally, Boche-introduction and Boche-elimination clash with the rules governing the employment of existing terms, in the sense that supplementing them with the Boche-rules leads to contradiction, rendering the extended language inconsistent. Suppose, for example, that Merkel was born in Germany and does not cause suffering with disregard. On this basis—given what one may assume to be among the established inferential rules for the employment of ‘German’ and ‘cruel’—one infers ‘Merkel is German and is not cruel’. However, by following Boche-introduction one may make the transition to ‘Merkel is Boche and is not cruel’, and in turn Boche-elimination allows one to infer ‘Merkel is cruel and is not cruel’. Hence, in such a way, the introduction of the Boche-rules to a ‘Boche’-free language leads to contradiction.

Since it is non-conservative, the above account of the meaning of ‘Boche’ is bogus and so does not constitute a counter-example to IRS. This point does not depend on the exact details of Dummett’s proposal; the same will be true of any model of pejoratives according to which we accept the grounds for introducing them but not the consequences of doing so.

This proposal might generate the following worry:

It is hard to believe that racists who employ boche-like concepts fail to express complete thoughts. (Boghossian 2003: 243)

Accepting the above, however, does not lead to the conclusion that bigots are not saying anything whatsoever, or express no thoughts, when they use the term ‘Boche’; it is to deny one account of its meaning, not to deny that it has meaning. Indeed, a proponent of CRS might view the term ‘Boche’ as having the same meaning as ‘German’. Thus, the meaning of ‘Boche’ is given by whatever (conservative) rules govern ‘German’. One can in turn explain the pejorative nature of ‘Boche’ by appeal not to its literal, semantic content, but to its offensive associations, its conventional implications (see Grice 1989 ch. 2). According to this account, CRS deals with that aspect of a word that is shared by its neutral counterpart (for example, ‘German’) and an additional apparatus is wheeled in to explain the respect in which it causes offence. (The former is the remit of semantics, the latter of pragmatics.)

Williamson claims that such an account is not available to one who recommends CRS (2003: 267-8). Even if the ‘Boche’ is governed by the same rules as ‘German’, it is still the case that most speakers are not prepared—given its offensive implications—to employ ‘Boche’ in accordance with those rules. According to CRS, then, they do not understand the term ‘Boche’ or grasp the concept it expresses, which is implausible.

Note, however, that this criticism is effective against regularism and dispositionalism, but not normativism. The normativist can insist that the propriety of employment that is constitutive of the concept is distinctively semantic, as opposed to (say) moral. Once this is recognised, one can appreciate that speakers can indeed acknowledge that inferring from ‘x originates in Germany’ to ‘x is Boche’ is correct as far as the language is concerned, or according to the semantic norms determinative of the relevant expressions’ meanings, and still refuse actually to use the term ‘Boche’, since the propriety of doing so is trumped by other considerations (in this instance, moral). So, if CRS distinguishes the relevant normative notion according to which inferences are correct or incorrect, it has the resources to meet Williamson’s objection.

g. Circularity

The above discussion leads almost directly to a concern about CRS that Davidson voices in the following passage:

It is empty to say that meaning is use unless we specify what use we have in mind, and when we do specify, in a way that helps with meaning, we find ourselves going in a circle. (2005: 13)

This is perhaps especially relevant to normativism. According to it, for an expression to possess meaning, or express content, is for it be correctly used in a certain way. But intuitively the ‘correct’ use is just that which accords with meaning, or mastery of which is required for understanding. Further, it was suggested above that norms of meaning must be distinguished from other kinds of norm and hence viewed as distinctively semantic. Clearly, for a theory of meaning to appeal to such notions would be circular.

Two alternatives present themselves. One strategy would be to show how the relevant norms can be picked out in independently intelligible or more basic terms, say epistemological (Brandom 2000: ch. 6; Skorupski 1997; cf. Dummett 1991; 1996). Alternatively, one might reject the requirement of reductionism (Alston 2000; Stroud 2002; Whiting 2006). The assumption that an account of semantic notions must be given in independently intelligible or more basic terms is one that should not go unchallenged.

Note that dispositionalism arguably suffers from its own, distinctive problem of circularity (see Boghossian 1989; Kripke 1982: 28). According to it, to grasp the meaning of an expression is to be disposed to use it in a certain way. So, for example, to grasp the meaning of ‘bachelor’ is to be disposed to make the transition from ‘He is an unmarried man’ to ‘He is a bachelor’. But, of course, a person might fully understand the expression and yet not be disposed to make that transition. Perhaps she desires to confuse her interlocutor, or does not have long to live and wishes not to waste words, or believes that within the elapsed time the person has married, and so on. Evidently, the dispositionalist must say that to grasp the meaning one must be disposed to perform in a certain way in optimal circumstances. However, it appears unlikely that those circumstances could possibly be specified without employing semantic notions of the same kind as that of meaning or content.

5. Prospects and Applications

This entry has surveyed some of the arguments in favor of CRS and sketched briefly a number of the prominent problems it faces. Its critics’ claims notwithstanding, there is no reason to think that CRS faces proportionally more difficulties than its competitors. And in each case there are lines of response that, if not immediately decisive, are worthy of investigation.

For those sympathetic to CRS, examining such matters provide a means of adjudicating between the different versions. Specifically, it seems that the threats of indeterminacy and defective concepts point strongly toward normativism. Of course, once one accepts that semantic concepts are intrinsically normative, one must further distinguish such norms from other kinds of propriety, and it is doubtful that this can be done without making use of semantic concepts on a par with meaning or content. Nevertheless, the assumption that the only satisfactory philosophical explanations are those that provide analyses in independently intelligible and more basic terms is arguably unfounded and certainly not to be assumed.

In closing, it is worth noting that some consider CRS to provide insights into the possibility of a priori knowledge (see A Priori and A Posteriori), and as explaining our entitlement to follow certain fundamental epistemic and ethical principles (Boghossian 1997; 2000; 2003; Hale and Wright 2000; Peacocke 1992; Wedgwood 2006; cp. Horwich 2005 ch. 6; Williamson 2003). This is a burgeoning field of research and deserves investigation. In order to evaluate such claims, however, the details of CRS need first to be spelled out. It is on that task that this entry has focussed.

6. References and Further Reading

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Author Information

Daniel Whiting
Email: d.whiting@soton.ac.uk
University of Southampton
United Kingdom

Disjunctivism

Disjunctivism, as a theory of visual experience, claims that the mental states involved in a “good case” experience of veridical perception and a “bad case” experience of hallucination differ. They differ even in those cases in which the two experiences are indistinguishable for their subject. Consider the veridical perception of a bar stool and an indistinguishable hallucination; both of these experiences might be classed together as experiences of a bar stool or experiences of seeming to see a bar stool. This might lead us to think that the experiences we undergo in the two cases must be of the same kind, the difference being that the former, but not the latter, is connected to the world in the right kind of way. Such a conjecture has been called a “highest common factor” or “common kind” assumption. At heart, disjunctivism consists in the rejection of this assumption. According to the disjunctivist, veridical experiences and hallucinations do not share a common component.

There are a host of interesting questions surrounding disjunctivism including: What is involved in the claims that good case and bad case experiences differ? Why might one want to be a disjunctivist? What kinds of claims can the disjunctivist make about hallucination and illusion? These questions, and problems for the thesis, will be discussed as we proceed.

Table of Contents

  1. Introduction
  2. Disjunctivism and Naïve Realism
  3. Types of Disjunctivism
  4. Arguments for Disjunctivism
    1. Epistemological Motivations
    2. Modesty
    3. Naïve Realism: Phenomenology
    4. Naïve Realism: Demonstrative Reference
  5. Objections to Disjunctivism
    1. The Causal Argument
    2. The “Screening Off” Objection
    3. Matching Hallucinations to Perceptions
  6. Theories of Hallucination
    1. Positive Disjunctivism
    2. Negative Disjunctivism
    3. Negative Disjunctivism and Indiscriminability: Objections
  7. Theories of Illusion
    1. Illusion as Hallucination
    2. Illusion as Veridical Perception
  8. Conclusion
  9. References and Further Reading

1. Introduction

If disjunctivism consists in the rejection of the claim that veridical perceptions and hallucinations share a common factor, why “disjunctivism”? The thesis acquires its name from the particular way in which it reinterprets statements that, at face value, might appear to commit us to the existence of experiences, understood as good case/bad case common factors. Consider the sentence, ‘I seem to see a flash of light’. Such a sentence could be true regardless of whether we are perceiving or hallucinating. As such, the truthmaker of such a sentence might seem to be something common to the two cases, and a commitment to the truth of such sentences in turn to commit us to a common factor. However, J.M. Hinton contends that ‘I seem to see a flash of light’ is simply “a more compact way of saying” something like this: “Either I see a flash of light, or I have an illusion of a flash of light” (1967: 217).

It is this reinterpretation of seems-sentences as disjunctive in form that gives disjunctivism its name. Moreover, not only do disjunctivists insist that a seems-statement is shorthand for a disjunctive statement, they insist that such statements have a disjunctive truthmaker. The statement, Either I see an F or it merely seems to me as if that were so, can be made true in two different ways: either by its being true that I actually do see an F, or by its being true that I don’t see an F but that it is for me as if I did. To see how this is supposed to work, consider the following example from Don Locke:

“This is a woman, or a man dressed as a woman” does not assert the presence of a woman/transvestite-neutral entity … its truth depends simply on the presence of either a woman or a transvestite, as the case may be. (1975: 467)

In this way, Hinton shows how we can be committed to the existence of true seems-statements without being committed to a common factor that makes them true.

In reinterpreting seems-statements in this way, Hinton opens the door for philosophers to claim that veridical perception and hallucination might be psychologically different kinds of experience, which nonetheless both make it the case that it seems to the subject to be a certain way. The core disjunctive claim is therefore that “we should understand statements about how things appear to a perceiver to be equivalent to a disjunction that either one is perceiving such and such or one is suffering a … hallucination; and that such statements are not to be viewed as introducing a report of a distinctive mental event or state common to these various disjoint situations. (Martin 2004: 37).

2. Disjunctivism and Naïve Realism

In insisting that veridical perceptions and hallucinations are mental states of different kinds, the disjunctivist takes on the explanatory burden of giving an account of how two experiences could be indistinguishable without being experiences of the same kind. Given this, what might lead someone to endorse disjunctivism? We shall consider specific arguments for disjunctivism in section 4, but for present purposes it will suffice to note that the typical motivation has been to make room for a “naïve realist” theory of veridical experience. The naïve realist claims that, in the good cases, external objects and their properties “partly constitute one’s conscious experience” (Martin 1997: 83) and thereby “shape the contours of the subject’s conscious experience” (Martin 2004: 64). So naïve realism entails disjunctivism: if naïve realism is true, then the kind of mental state that is involved in a veridical perception – a mental state that relates the subject to elements of the mind-independent environment – could not be involved in a hallucinatory situation. The hallucinatory state must therefore be of a different kind. A defence of naïve realism therefore requires a defence of disjunctivism.

As there is such an intimate connection between disjunctivism and naïve realism, some theorists have actually incorporated naïve realism about the good cases into the very definition of disjunctivism. Paul Snowdon, one of the names most closely associated with the theory, takes disjunctivism to involve the claim that: “the experience in a genuinely perceptual case has a different nature to the experience involved in a non-perceptual case. It is not exhausted, however, by the simple denial of a common nature, but involves also the characterisation of the difference between the perceptual and non-perceptual in terms of the different constituents of the experiences involved. The experience in the perceptual case in its nature reaches out to and involves the perceived external object, not so the experience in other cases.” (2005: 136-7; for a similar formulation, see Sturgeon 2006: 187). However, despite the fact that naïve realism entails the denial of the common kind thesis, the denial of the common kind thesis does not entail naïve realism. For this reason, I think it makes taxonomic sense to restrict the label “disjunctivist” to theories that deny that there is a common factor to indistinguishable cases of veridical perception and hallucination. Yet of course, as naïve realism entails disjunctivism, an argument for naïve realism is thereby also an argument for disjunctivism. We will come back to this when considering motivations for disjunctivism in section 4. Before we do this, however, we need to take a moment to look closely at the claim that veridical perception and hallucination share a common component.

3. Types of Disjunctivism

The reason for caution is that, if we read this claim as holding that veridical perception and hallucination have nothing in common whatsoever, then it is surely false. As we have already seen, a veridical perception of an F and a hallucination of an F have at least this in common: they are both visual experiences of an F / cases of seeming to see an F. So the “no common factor” claim must be read as allowing that they have something in common. This, however, raises an important question. In what respects can the mental states involved in veridical perception and hallucination be the same and the theory remain a version of disjunctivism? This opens up the possibility of different types of disjunctivism.

For example, Byrne and Logue formulate a version of disjunctivism they call epistemological disjunctivism, which is disjunctivist about perceptual evidence (2008: 66). That is, the epistemological disjunctivist denies that one’s perceptual evidence is the same across indistinguishable cases of veridical perception and hallucination. As Snowdon puts it, “we can divide cases where it is true that it appears to the subject as if P into two sorts; one is where the subject is in a position to know that P, in that the fact that P is manifested to him, and others where the subject is in a position to know merely that it appears to be P” (2005: 140). On both Byrne and Logue’s presentation and Snowdon’s, epistemological disjunctivism is consistent with the two experiences having substantial commonalities. As Snowdon asks, “why cannot a single basic sort of (inner) experience have quite different epistemological significance in different cases, depending, say, on the context and on facts about causation?” (ibid.)

Epistemological disjunctivism, then, leaves room for veridical perception and hallucination to be of the same metaphysical kind, so long as they do not have the same epistemological status. More robust versions of disjunctivism will go on to reject the claim that veridical perception and hallucination are of the same metaphysical kind. For example, we might define “metaphysical disjunctivism” as the claim that veridical perceptions and hallucinations are different kinds of mental states in as much as they have different constituents, or different supervenience bases. Yet as Byrne and Logue point out, even this seems to be compatible with the two mental states having something in common. Thus they introduce the “moderate view” (2008: 71), which accepts that the good cases and bad cases “are different in significant mental respects, despite having a common mental element,” where this common mental element is in the picture to ground the phenomenal similarity of the two states. A yet more robust version of disjunctivism, then, holds that, despite cases of veridical perception and hallucination both being cases in which it seems to the subject as if P, they nonetheless do not have even phenomenal character in common.

In an attempt to impose some order, Martin characterizes disjunctivism as committed to the claim that the “most fundamental kind that the perceptual event is of, the kind in virtue of which the event has the nature that it does, is one which couldn’t be instanced in the case of hallucination.” (2004: 60). They key notion here is that of a “fundamental kind” – the kind in virtue of which the event has the nature it does. How do we determine the fundamental kind a particular mental state or event belongs to? By determining the “most specific answer to the question, ‘What is it?’” (2006: 361). So, for example, take our veridical experience of a bar stool. If the common kind theory were correct, then the “best candidate for the fundamental or essential kind” of both a veridical perception of a bar stool and a hallucination of a bar stool would be that they are both instances of the kind: experience (as) of a bar stool. Disjunctivism, however, allows that the “best candidate for the fundamental or essential kind” of a veridical perception of a bar stool is that it is an instance of the kind: veridical perception of a bar stool. Hallucinations, of course, do not belong to this kind (2004: 72). We will discuss the kinds that hallucinations do belong to in section 6.2.

So we have a number of different varieties of disjunctivism available; varieties that differ in the degree of similarities that the mental states involved in veridical perception and hallucination are allowed to share. However, as we shall see in the next section, not every type of disjunctivism just discussed will successfully legitimate the various motivations that have been cited as reasons for endorsing disjunctivism.

4. Arguments for Disjunctivism

Before we move onto reasons to think that disjunctivism is true, it is worth noting that its first outing post-Hinton was in fact as a component of an argument, due to Paul Snowdon, against the Causal Theory of Perception. But this argument does not require the truth of disjunctivism, merely its conceptual coherence, for which reason I mention it only briefly. The causal theory claims that “it is a conceptual requirement that, necessarily, if P (a subject) sees O (an object) then O is causally responsible for an experience (call it E) undergone by (or had by) P” where “experiences are amongst the events, the intrinsic natures of which are independent of anything outside the subject” (Snowdon 1990: 123). So the causal theory is committed, not only to a common factor conception of experiences, but also to the claim that this is a conceptual truth – something “immediately acknowledgeable by any person, whatever their education, who can count as having the concept in question” (1980: 176). Essentially, Snowdon’s argument consists in arguing that, even if disjunctivism turns out to be false, it will only be “scientifically established facts about perceptual and hallucinatory processes” that disprove it (1990: 130). But these are results that the man on the street could not be expected to know merely in virtue of having the concept of perception. So even if it is false, disjunctivism is not a conceptual falsehood and therefore the second claim of the causal theory – that the intrinsic nature of the experience a subject has when perceiving an object is independent of anything outside the subject – is not a conceptual truth as the causal theorist requires.

a. Epistemological Motivations

As Snowdon’s argument does not require the truth of disjunctivism, we still have been given no arguments for the thesis. One salient motivation has to do with epistemology. Consider a sceptical argument that runs as follows. When we hallucinate, the kind of experience we have clearly fails to put us in a position to know anything about the external world. The experience we have in the case of a veridical perception indistinguishable from this hallucination is an experience of the same kind. As the bad case experience fails to put us in a position to acquire knowledge, having the same kind of experience in the good case cannot place us in a better epistemic position. So even when we have veridical experiences, we are not in a position to know anything about the external world.

Disjunctivism offers to block this argument by denying the premise that the experience we have when we veridically perceive is the same as the experience we have when we hallucinate. This would not, of course, prove that we do know anything about the external world, merely that such knowledge is not impossible. Yet this would block the sceptic from using the impossibility of knowledge as a premise in an argument for this conclusion. In response, the disjunctivist’s opponent may point out that, given the acknowledged indistinguishability of veridical perception and hallucination, we cannot know, on any given occasion, whether we are hallucinating or perceiving veridically. So it is not after all clear that disjunctivism does provide any epistemic advantages. The disjunctivist might then reply that this misses the point. It is not that disjunctivism offers an argument to prove that we do have knowledge, rather it offers a rebuttal to an argument that we cannot. To illustrate this, consider the familiar sceptical claim that all of our experiences might have been just as they are even if we were in the clutches of Descartes’ demon. If the disjunctivist is correct, this is no longer possible – if any of my experiences are in fact veridical, then they could not have been as they are misleading. Suppose, then, that the sceptic were to reformulate the sceptical hypothesis as follows: all of your experiences might have been of the misleading kind. Now we can ask, so what? As long as they are not misleading, then many of our empirical beliefs will be justified. As McDowell puts it, this leaves the door open for us to hold that “our knowledge that [the sceptical] possibilities do not obtain is sustained by the fact that we know a great deal about our environment” (2008: 379).

An interesting question about the epistemological motivation for disjunctivism is that of which variety of disjunctivism it requires. In one sense, it clearly requires epistemological disjunctivism, according to which good cases and bad cases differ in epistemological significance. Yet having said this, we might also wonder to what extent two experiences that are the same in significant respects might be plausibly held to provide different levels of perceptual evidence. Could two experiences with the same constituents and phenomenal character be claimed to be significantly epistemologically different? If not, what about experiences that are metaphysically different but phenomenally similar? Or does the claim of significant epistemological difference require the most robust version of disjunctivism: phenomenal disjunctivism? The answers given to these questions will in turn depend on one’s position on other questions in epistemology, such as the nature of justification. For example, an externalist about justification can easily allow that two experiences that are metaphysically similar can differ in epistemological significance, yet one inclined to internalism about justification may need to go all the way to a phenomenal disjunctivism. How compelling we find the epistemological motivation will therefore depend on a range of other issues.

b. Modesty

Another argument that has been used to support disjunctivism is that, unlike common factor theories, it is not required to “attribute to responsible subjects potential infallibility about the course of their experiences” (2004: 51). This argument turns on what is required for a particular experiential occurrence to count as a “visual experience”, where this category includes veridical perceptions and hallucinations.

Martin begins by asking us to consider a veridical perception of a bar stool and a perfectly indiscriminable hallucination of such. Now ask, in virtue of what do these both count as experiences of a bar stool? According to the common factor theorist, veridical perceptions are experiences with certain positive characteristics that are both necessary and sufficient for that perception to qualify as an experience of a bar stool. Then, “when I come to recognize the possibility of perfect hallucination just like my current perception, what I do is both recognize the presence of these characteristics … in virtue of which this event is such an experience, and also recognize that an event’s possessing these characteristics is independent of whether the event is a perception or not.” (2004: 47). According to Martin’s kind of disjunctivist, however, nothing more needs to be said; something is an experience of a bar stool just in case it is indiscriminable from a veridical perception of a bar stool.

With these two explanations in hand, Martin then points out that as of yet, “nothing rules out as possible a situation in which [these positive characteristics] are absent but in which a subject would be unable to discriminate through reflection this situation from one in which a [bar stool] was really being seen.” (2004: 49). Now the disjunctivist’s conception of what is required for an event to qualify as visual experience would allow us to count such an event as an experience (as) of a bar stool simply in virtue of the fact that it is indiscriminable from a veridical perception of a bar stool. The alternative conception, however, could not count this as a visual experience. In order to rule out the possibility of such cases, Martin therefore suggests that the disjunctivist’s opponent will have to assume that a careful subject simply cannot fail to recognize the presence of positive characteristics when they are present, or the absence of such characteristics when they are absent. Thus unlike the disjunctivist, the common factor theorist has to immodestly attribute to subjects substantive epistemic powers. Disjunctivism is therefore a more modest and hence preferable theory.

c. Naïve Realism: Phenomenology

Another set of motivations for disjunctivism turn on the fact, noted in section 2 above, that naïve realism requires disjunctivism, and that naïve realism is the view of the ‘common man’ or, as Martin puts it, that it “best articulates how sensory experience seems to us to be just through reflection” (2006: 354). Yet as Hawthorne and Kovakovich point out, if it is true that the common man does indeed have a view of visual experience, which in itself is not obvious, it is unlikely to be specific enough to decide between philosophical theories of perception. For example, whatever force this motivation carries turns on the idea that the common man would endorse the naïve realist’s theory of the good cases. But it is entirely possible that the common man would also have views about, say, the nature of hallucination or the relationship between consciousness and the brain that are inconsistent with this view. If this were to be the case, then the appeal to the common man may well be indecisive. Finally, Hawthorne and Kovakovich argue that there would not be “much point in pursuing the philosophy of perception in a setting where it is assumed that [common sense] commitments will survive philosophical and scientific reflection. After all, we shouldn’t think that vulgar common sense has seen in advance how to handle various challenges to its commitments” (2006: 180)

Despite these difficulties, Benj Hellie has recently offered a phenomenological argument in favour of naïve realism. This argument turns on the premise that, “a judgment about an experience to the fact that it is F based on phenomenological study [by experts, under ideal circumstances] will be accurate” (2007a: 267). He then lists a number of judgments from such experts on phenomenological study, which he claims embody judgments that veridical visual experience is naïve realist in character. To give a flavour of these quotes, consider Levine’s claim that the “ripe tomato seems immediately present to me in experience […] The world is just there” (2006: 179) and Campbell’s claim that “the phenomenal character of your experience … is constituted by the layout of the room itself” (2002: 116).

An alternative phenomenological motivation is also developed by Martin. This motivation is distinctive, however, in that it turns on the phenomenology of sensory visual imagination rather than that of visual perception per se (2002: 402-19). In brief, Martin argues first for the Dependency Thesis – that imagining X = imagining experiencing X – and then for the claim that to imagine experiencing is to imagine how things would be immediately presented to us in such an experience. He then argues that the naïve realist can give a much better account of this imagined immediacy than can a representationalist because, according to naïve realism, the immediacy of a visual experience of X is explained by X’s being presented to the subject. So in imagining an experience of X, one thereby imagines X being presented to the subject and immediacy follows. The representationalist’s account of visual immediacy, on the other hand, turns on the fact that the attitude the subject bears to the relevant content is stative – i.e. committal to the truth of the content – whereas, in imagination, one does not bear a stative attitude to the imagined content. One “is not thereby in a state whose attitudinative aspect would give rise to the phenomenon of immediacy” (2002: 415). According to Martin, naïve realism therefore gives the correct account of the phenomenology of sensory visual imagination.

d. Naïve Realism: Demonstrative Reference

John Campbell (2002) has argued that a naïve realist conception of experience is a requirement for the very possibility of having thoughts about mind-independent objects at all. Campbell’s contention is that, if you are to know what my use of a demonstrative expression refers to, you have to be able to consciously single out the relevant object, an ability that requires a naïve realist conception of conscious visual experience. To illustrate this, Campbell uses an example of a party where you ask me questions about ‘that woman’. Even if it turns out that I can make reliable guesses about what the woman is wearing, drinking, and so on, Campbell suggests that if I cannot consciously pick out the woman you are talking about, then I do not know to whom you are referring (2002: 8-9). He concludes that conscious (visual) attention is therefore ordinarily required for us to have knowledge of the reference of demonstratives. This therefore places a condition on an adequate account of visual experience – it must explain how it can be the source of this kind of knowledge. Campbell then asks: what would experience have to be like for it to play the role of grounding our knowledge of the reference of a demonstrative? He then argues that, to know the reference of a demonstrative, we must interpret the demonstrative as “referring to a categorical object, not merely a collection of potentialities” (2002: 145). To see why, suppose I do have the ability to reliably guess what the woman you are talking about is eating, drinking and wearing. If all there was to knowing the reference of a demonstrative was to be aware of the various potentialities that the object has, I would therefore know the reference of your use of ‘that woman’. Yet as we saw, I do not know the reference of your demonstrative. What is missing, Campbell suggests, is experience of why these potentialities exist – experience of the categorical object that grounds these potentialities. So if experience is to explain our knowledge of demonstrative reference, then an adequate analysis of experience must account for the fact that experience is experience of the categorical. This is just the kind of account that is offered by naïve realism.

5. Objections to Disjunctivism

As we have seen, as the truth of naïve realism entails the truth of disjunctivism, then arguments for naïve realism are thereby arguments for disjunctivism. And indeed, the majority of arguments for disjunctivism appear therefore to require the most robust phenomenal version of the thesis. Yet as the entailment does not go in the other direction, an objection to naïve realism is not, thereby, an objection to disjunctivism. This section focuses only on objections to disjunctivism itself. For objections to naïve realism – objections, the success of which may remove some or all of the motivations for being a disjunctivist — see Objects of Perception.

a. The Causal Argument

As an argument against disjunctivism, the causal argument starts from the obvious truth that, in order for perceiving to take place, there must be chains of causation from the perceived object to the subject’s sense organs, and then to the subject’s brain. A simple version of the causal argument proceeds as follows. At the end of this causal chain is an experience. Suppose then that the intermediate stages of the causal chain were activated in a nonstandard manner – say, by direct stimulation of the brain. So long as the later stages of the causal chain were as they would have been in the good case, the same kind of experience will result. But this is just to say that the same kind of experience can be caused in both good cases and bad cases, contra disjunctivism.

As expressed here, this argument turns on a principle we might call the “same immediate cause – same effect” principle. It asserts that, so long as the neural stage in the causal chain prior to the experience is the same then, no matter whether that prior stage was produced by external objects or internal misfirings, the effect – the experience – will be the same in both cases. The issue then becomes one of whether or not we should accept this principle. And there are reasons to think that we should not. To adapt an example from Dretske, if forgers managed to reproduce the machine that prints legitimate banknotes, the banknotes the forgers print on it will still be counterfeit, even though the immediate “cause” of these banknotes is the same as the immediate “cause” of genuine currency. Or, to take a more philosophical example, considerations familiar from the work of Putnam (1975) suggests that what makes my thoughts about water is not a feature of their immediate causes, but their distal causes. So there are reasons why we might dispute the “same immediate cause – same effect” principle when the effects in question are taken to be experiences.

For this reason, some opponents of disjunctivism have resorted to a weaker version of the principle. A.D. Smith, for example, insists that “it is surely not open to serious question that [the same immediate cause – same effect principle] does apply with respect to the merely sensory character of conscious states” (2002: 203). Here is a nice passage in which this contention is laid out in detail.

Distal environmental causes generate experiential effects only by generating more immediate links in the causal chains between themselves and experience, namely, physical stimulations in the body’s sensory receptors … These states and processes causally generate experiential effects only by generating still more immediate links in the causal chains between themselves and experience – namely, afferent neural impulses, resulting from transduction at the sites of the sensory receptors on the body. Your mental intercourse with the world is mediated by sensory and motor transducers at the periphery of your central nervous system. Your conscious experience would be phenomenally just the same even if the transducer-external causes and effects of your brain’s afferent and efferent neural activity were radically different from what they are” (Horgan and Tienson 2002: 526-7).

The contention here is that, even if there are reasons to think that changes in a subject’s environment would affect the overall nature of the mental state that results from the same type of neural stimulation (perhaps because it could make a “seeing of water” experience into a “seeing of twater” experience), the “conscious [aspects of the] experience would be phenomenally just the same”. This result, of course, would suffice to refute the phenomenal version of disjunctivism, if not the thesis in its metaphysical and epistemological forms. Again, though, for this argument to succeed, the weaker principle – that “same immediate cause – same effect” is true for the phenomenal aspects of mental states – must be found to be acceptable. One consideration that has been cited in its favour is that it provides an explanation of how indiscriminable hallucinations are possible at all: “if it were not the case that perceptual processes, however stimulated, were sufficient to generate experience, it would be a mystery why [veridical-seeming] hallucinations should occur” (Robinson 1994: 152). However the legitimacy of this motivation can be challenged.

b. The “Screening Off” Objection

Even if the causal argument in this form is rejected, the disjunctivist is still not out of the woods. Suppose the kind of neural replication appealed to by the causal argument is at least possible in principle. And suppose, too, that the mental upshot of such neural replication would be an indistinguishable hallucination. Most theorists, I think, would accept these two plausible claims. Yet if they are accepted, the disjunctivist is still in difficulty, even though we haven’t yet mentioned the phenomenal character of the experiences. The problem is this. If an indiscriminable hallucination is produced by neural replication, then we might think that there must be an explanation of this indiscriminability: that the hallucinatory experience must have a property – call it property I – that explains why the hallucination is mistaken for a veridical experience. But in these neural replication situations – Martin calls them “causally matching” hallucinations (2004: 60) – it must be that the neural activity alone suffices for the experience to have property I. Now, if the same neural activity takes place in a case of veridical perception, then it would also suffice for the veridical experience to have property I. But then the disjunctivist’s opponent can argue as follows.

We have already accepted that property I – whatever this property may be – accounts for the fact that the hallucinatory experience seems, to its subject, just like a veridical perception. Now for the reasons just given, veridical experiences also have property I, together with whatever special phenomenal character they have by virtue of being veridical. But so long as I suffices to explain why the hallucination is taken to be a veridical experience, then I also ought to suffice to explain why the veridical perception is taken to be a veridical experience. Property I would therefore seem to “screen off” whatever additional characteristics the veridical experience may have from having any explanatory import. The disjunctivist needs to be aware of this threat in developing theories of hallucination as we shall see.

c. Matching Hallucinations to Perceptions

This objection takes, as a starting point, the idea that for any possible veridical perception, there is a hallucination that ‘matches’ or ‘corresponds’ to that veridical perception – the hallucination that would, from the subject’s point of view, seem just like that veridical perception. The challenge for the disjunctivist is to give an account of what this correspondence amounts to. Farkas puts the challenge this way:

take a particular veridical perception (VP) of a teacup in front of me, and the corresponding hallucination (H). H is not a perception of the teacup – but this is true of many other events as well. What else do we have to say about H to make sure that it is the hallucination corresponding to the VP in question? (2006: 205-6).

One plausible answer to this question, suggests Farkas, is that both good cases and bad cases have to “involve the same phenomenal properties” (2006: 207). Yet as she points out, this answer has “a metaphysical character,” indeed one that commits us to the existence of something that the two cases have in common. This is, therefore, an answer that the phenomenal disjunctivist, at least, cannot endorse. Farkas then goes on to canvas a number of non-metaphysical answers to this question and argues that they all fail to provide a plausible response. The conclusion drawn is that the only way we can provide an adequate account of what it is for a hallucination to correspond to a veridical perception of a particular kind is to accept, contra phenomenal disjunctivism at least, that the two states have something metaphysical in common.

6. Theories of Hallucination

Thus far we have seen that the disjunctivist has a negative claim to make about hallucination: that it is not an experience of the same kind as a veridical perception. But what else can the disjunctivist say about hallucination?

a. Positive Disjunctivism

The positive disjunctivist insists that there is a positive story to tell about the nature of the hallucinatory state. For example, one might insist that hallucination involves the awareness of something other than external objects – some object proxy, if you will. Michael Thau (2004: 195) suggests that this is the form of disjunctivism advocated by John McDowell. In presenting his disjunctive position, McDowell suggests that “an appearance that such-and-such is the case can be either a mere appearance or the fact that such-and-such is the case making itself perceptually manifest to someone” (1982: 472). Immediately following this presentation, McDowell goes on to say that “mere appearances” are the objects of deceptive experiences. So McDowell’s complete picture looks to be one on which we have one kind of experiential relation to two different kinds of objects: “facts made manifest” in the perceptual case, and “mere appearances” in the hallucinatory ones.

A related view is presented by Mark Johnston (2004), although it is unclear whether or not it really qualifies as a variant of disjunctivism. Johnston contends that, when we have a veridical visual experience, we are aware of an instantiated sensible profile: “a complex, partly qualitative and partly relational property, which exhausts the way the particular scene before your eyes is” (2004: 134). Importantly, the sensible profile that we are aware of, says Johnston, is a type not a token; had we stood before an array of different particulars instantiating the same sensible profile, what we are aware of – the sensible profile – would have been the same. Then, when you have a hallucination that is indiscriminable from this experience, “you are simply aware of the partly qualitative, partly relational profile. … When the visual system misfires, as in hallucination, it presents uninstantiated complexes of sensible qualities and relations” (2004: 135).

On Johnston’s view, there are, then, clear similarities between good cases and bad cases – in particular, in both cases the subject is aware of the same sensible profile. Yet there are important differences too. “When we see,” says Johnston, “we are aware of instantiations of sensible profiles. When we hallucinate we are aware merely of the structured qualitative parts of such sensible profiles. Any case of hallucination is thus a case of “direct” visual awareness of less than one would be “directly” aware of in the case of seeing” (2004: 137 emphasis added). The objects of hallucination are therefore “proper parts” of the objects of seeing (140). So Johnston’s view seems best described as a variant of the moderate view outlined in section 3 above. The difficulty faced by positive views is that they flirt with the screening off problem just noted. Focusing on the McDowellian view first, suppose that a certain pattern of neural activity suffices for one to be aware of “mere appearances” in the bad cases. But then, what about the same neural activity that occurs in the good case? If it is claimed that this does not suffice for awareness of mere appearances, then we might wonder why, “if the mechanism or brain state is a sufficient causal condition for the production of an image, or otherwise characterised subjective sense-content, when the [objects] are not there, why is it not so sufficient when they are present? Does the brain state mysteriously know how it is being produced … or does the [object], when present, inhibit the production of an image by some sort of action at a distance?” (Robinson 1994: 153-4). Yet if we do accept that the pattern of neural activity also suffices for the subject to be aware of “mere appearances” in the good cases, then as these suffice to explain how things are from the subject’s perspective in the bad cases, they should likewise suffice in the good cases. But if this is so, then an appeal to the subject’s being aware of “facts made manifest” in the good cases seems superfluous, at least for the purposes of characterizing how things are from the subject’s perspective.

It is less clear how Johnston’s view fares here. At a point in his paper, he asks: “Why isn’t awareness of a sensible profile a common act of awareness as between seeing and hallucination? It may be held to be … But it does seem that once we adopt the act/object treatment of visual experience it is more natural to individuate an act of awareness occurring at a time in terms of an object that includes all that one is aware of in the relevant time” (2004: 171). Given that, as noted above, the perceiver is aware of more than the hallucinator (in that the perceiver is aware of the particulars that instantiate the sensible profile whilst the hallucinator is aware of the sensible profile alone), his suggestion seems to be that, when we account for the perceiver’s awareness of the particulars, we thereby account for the perceiver’s awareness of the sensible profile. There is then no need to introduce an additional awareness of an (uninstantiated) sensible profile. Yet this may not convince his opponents. The objection remains: if neural activity suffices for awareness of an uninstantiated sensible profile in the bad cases, it should suffice in the good cases too, whether or not we need to appeal to this to explain the fact that the subject is aware of a sensible profile at all. So Johnston’s view may also be threatened by the screening off worry, even if it is in the sense that a subject’s awareness of a particular sensible profile is overdetermined.

b. Negative Disjunctivism

It is this concern – that any positive account of hallucination will play into the hands of the screening off objection – that motivates some disjunctivists to provide an essentially negative account of hallucination. In answer to the question, “What else can the disjunctivist say about hallucination?”, the negative disjunctivist says, nothing else – all that we can say about indiscriminable hallucinations is that they are not veridical perceptions but are indiscriminable from them. This approach is most closely associated with the work of M.G.F. Martin.

Given the threat of the screening off worry, Martin investigates whether there are any limitations to the general principle that common properties screen special properties off from being causally efficacious and concludes that there are. Consider the property of being an unattended bag in an airport, which causes a security alert. Sometimes objects with this property are harmless, but sometimes they contain a bomb. Now ask: does the property common to harmless and non-harmless objects – that of being an unattended bag in an airport – screen off the non-common property of being a bomb in an airport from being explanatory? Not at all. Instead, the only reason the common property of being an unattended bag in an airport has the explanatory role it does is because, sometimes, this property is correlated with the special property of being a bomb in an airport. In such a case, we can say that the explanatory potential of the common property of being an unattended bag in airport is “inherited from” or “dependent upon” the explanatory potential of the special property of being a bomb in an airport. As Martin concludes, common properties with “inherited or dependent explanatory potential offer us exceptions to the general model of common properties screening off special ones” (2004: 70).

In the discussion of Martin’s claim that disjunctivism is a more “modest” theory of visual experience than a common factor theory (section 4.2), we saw that Martin’s kind of disjunctivist accepts that a hallucination of a certain kind has the property of being indiscriminable from a veridical perception. Now although such indiscriminability properties are common to both good cases and bad cases – a veridical perception of an F is indiscriminable from itself – whatever explanatory potential indiscriminability properties have is inherited from the explanatory potential of the associated veridical experience.

Why did James shriek like that? He was in a situation indiscriminable from the veridical perception of a spider. Given James’s fear of spiders, when confronted with one he is liable so to react; and with no detectable difference between this situation and such a perception, it must seem to him as if a spider is there, so he reacts in the same way. (2004: 68).

Martin therefore suggests that, if the screening off worry is to be avoided, the disjunctivist must characterize the hallucinatory state purely negatively – must say that “when it comes to a mental characterization of the hallucinatory experience, nothing more can be said than the relational and epistemological claim that it is indiscriminable from the perception” (2004: 72). So whilst there is a kind which is shared by hallucination and veridical perception – the kind: being indiscriminable from a veridical perception – only for hallucinations is this their most fundamental kind. Where veridical perceptions are concerned, “being a veridical perception of a tree is a better candidate for being its fundamental or essential kind than being indiscriminable from being such a veridical perception” (2004: 72). This is how Martin avoids the screening off objection.

Negative disjunctivism is also endorsed by Brewer (2008: 173) and Fish (2008). Fish does say a little more on the question of what it is that makes hallucinations indiscriminable from veridical perceptions, however. According to Fish, for a hallucination to be indiscriminable from a veridical perception of a certain kind is for it to generate the same kinds of introspective beliefs that a veridical perception of that kind would have generated. Consider again James’s veridical experience of a spider. Normally, this would lead James to believe that he sees a spider. A hallucination qualifies as indiscriminable from such a veridical perception if it also yields such beliefs. It is the presence of these beliefs that then explains why hallucinating subjects behave as they do: as a hallucination of a spider leads James to believe that he sees a spider (by definition), so James will therefore react in the way he would if he really did see a spider.

c. Negative Disjunctivism and Indiscriminability: Objections

Given the negative disjunctivist’s characterization of the hallucinatory state as a state that is indiscriminable from a veridical perception of a certain kind, a lot hangs on the way in which the key notion of indiscriminability is understood. In discussing these issues, Martin suggests that a hallucination of an F “is such that it is not possible to know through reflection that it is not one of the veridical perceptions [of an F]” (2006: 364). We can therefore define indiscriminability as follows: x is indiscriminable from a veridical perception of an F if and only if x is such that it is not possible to know through reflection that it is not a veridical perception of an F. There are two key features of this definition that have been the source of objections. First, the restriction to the relevant knowledge being acquired ‘through reflection’; second, the question of how to interpret the modality present in ‘not possible to know’.

One way of coming to know that your experience is not a veridical perception of an F is by testimony. However, Martin suggests that, even if you know that your experience is not veridical in this way, it might still qualify as indistinguishable from a veridical perception. He therefore introduces the ‘through reflection’ clause in order to rule out knowledge from testimony as a defeater for indistinguishability (2006: 364-5). Sturgeon, however, argues that it is far from straightforward to spell out just what information should be disqualified by not being available ‘through reflection’(2006: 208-10). On the one hand, he suggests that the ‘through reflection’ restriction must be strong enough to rule out any of the routes by which a hallucinating subject might ‘figure out’ that they are hallucinating and hence must be taken to stipulate that the “information involved in background beliefs cannot be generally available to reflection …. Otherwise the possibility of everyday knowledge of [hallucination] will slip through the net [and] count as knowledge obtainable by reflection” (2006: 209).

On the other hand, he points out that when one hallucinates an F, one is thereby in a position to know a vast array of things. As a hallucination of an F is discriminable from veridical experiences of Gs, Hs, and Js, Martin’s definition of indiscriminability will require that, for each case, a subject hallucinating an F can know, by reflection alone, that his experience is not one of these veridical experiences. But Sturgeon suggests that this “is a huge amount of knowledge to be got solely by reflection … and not by reflection on the visual character of [the hallucination], recall. … The only way that could be true, I submit, is if background beliefs were generally available to reflection on context” (2006: 210). With these two results, Sturgeon presents Martin with a dilemma. On the one hand, to rule out the possibility we might simply use our background beliefs to figure out that we are hallucinating, the ‘through reflection’ clause must restrain us from making use of background beliefs. Yet on the other, to make sense of all the reflective knowledge Martin’s theory allows that we are in a position to acquire when we hallucinate, the ‘through reflection’ clause must allow us to make use of background beliefs. But this, suggests Sturgeon, is just to say that Martin cannot give an adequate account of the ‘through reflection’ restriction.

Another source of objections has stemmed from Martin’s interpretation of the ‘not possibly knowable’ condition. The concern is that we want to allow that creatures that lack the sophistication to know things might nonetheless have hallucinations. But given the centrality of the notion of knowledge in Martin’s definition of indistinguishability, if a creature cannot know things at all, then for any hallucination it might have, the creature cannot know that it is not veridically perceiving an F, or a G, or an H, and so on. So all hallucinations will be such that, for the creature, they will qualify as indiscriminable from each and every kind of creature perception.

In discussing this concern, Martin insists that whilst a creature “might fail to discriminate one experience from another, making no judgment about them as identical or distinct at all, that is not to say that we cannot judge, in ascribing to them such experience, that there is an event which would or would not be judgeably different from another experience” (2004: 54). In other words, Martin suggests that “not possibly known” should not be interpreted personally, such that a specific creature’s capacities are relevant to the question of what qualifies as being possible to know, but rather in an impersonal way. So in saying that a hallucination is not possibly known to be distinct from a veridical perception of a certain kind, Martin does not mean not possibly known by the subject but rather, not possibly known in some impersonal sense.

Siegel argues that this claim faces the crucial problem of explaining how we can pick out the hallucinatory ‘experience’ – the state or event that is reflected upon – in an appropriate yet non question-begging manner (2008: 212). Given Martin’s view, the state or event cannot be picked out in virtue of its having any robust features as this would conflict with the claim that nothing more can be said of the hallucination than that it is indiscriminable from the veridical perception. Yet we cannot pick out the relevant state in virtue of its indiscriminability property either. As we are trying to explain what it is for a state of the creature’s to have the indiscriminability property in the first place, we cannot get a fix on which state we are talking about by appeal to its being the one that has that property.

Fish’s view diverges from Martin’s on both of these questions. Where Martin endorses an impersonal sense of indiscriminability, Fish endorses a personal sense; where Martin rules out testimony, Fish rules it in. This does mean, of course, that Fish foregoes Martin’s explanations of the indiscriminability of both animal hallucinations and hallucinations in which the subject is aware that they are hallucinating. In the case of animal hallucinations, Fish responds by extending the claim that indiscriminability requires sameness of introspective beliefs to the claim that indiscriminability requires sameness of cognitive effects, where both behaviour and (in conceptually sophisticated creatures) introspective beliefs qualify as a species of cognitive effect. Then, where animals are concerned, a hallucination can qualify as indiscriminable from a veridical perception of a certain kind so long as it yields the kinds of behaviour that a veridical perception of that kind would have yielded.

When it comes to known hallucinations, Fish contends that we do not have to rule out testimony so long as we relativize the relevant effects to the overall cognitive context the subject is in. Consider a situation in which a subject is hallucinating but comes to believe, through testimony, that their experience is hallucinatory and therefore does not form the belief that they see something. Fish asks us to consider what would be the effects of a veridical perception of the relevant kind in a parallel situation in which a subject believes, through testimony, that they are hallucinating. He suggests that, in such a case, a veridical perception would likewise fail to yield the relevant kinds of belief. On these grounds, he therefore contends that the hallucination would still have the same cognitive effects as a veridical perception would have had, and thereby qualifies as indiscriminable from that perception.

Siegel also objects to Fish’s version of negative disjunctivism by pointing out that relativizing cognitive effects to particular contexts has an unappealing consequence: that there will be contexts in which even a veridical perception would not lead a subject to believe that they saw something. But in such cases, she contends, a hallucination that had the same effects as this veridical perception would have had will lack the resources to explain how this hallucination has a felt reality (2008: 217). Likewise, she contends that an animal that was lethargic or sick might have a hallucination and fail to engage in any kind of behaviour at all. Once again, Fish’s view doesn’t appear to have the resources to accommodate this.

7. Theories of Illusion

So given the different approaches to the bad case of hallucination, what can the disjunctivist say about the bad case of illusion? The two obvious possibilities are to place illusion into one of the two disjuncts that we already have: to treat illusions as either like hallucinations or like veridical perceptions.

a. Illusion as Hallucination

McDowell seems to endorse the former approach. Recall his claim that “an appearance that such-and-such is the case can be either a mere appearance or the fact that such-and-such is the case making itself perceptually manifest to someone” (1982/1998: 386-7). As the veridical disjunct contains cases in which a “fact” is made manifest then, given that there is no such thing as a non-obtaining fact, any scenario in which it appears to the subject that such-and-such is the case when it is not could not be a case of a fact being made manifest. So illusions looks to fall into the category of cases in which it merely appears as though a fact is made manifest along with hallucinations.

However, there are concerns with an attempt to treat illusions as hallucinations. Robinson protests that, “if all non-veridical perceptions were treated in the same way as hallucinations, then every case of something not looking exactly as it is would be a case in which one was aware of some kind of subjective content. Only perfectly veridical perceptions would be free of such subjective contents” (1994: 159). This leads A.D. Smith to ridicule the view: the “picture of our daily commerce with the world through perception that therefore emerges is one of a usually indirect awareness of physical objects occasionally interrupted by direct visions of them glimpsed in favoured positions” (2002: 28).

b. Illusion as Veridical Perception

So perhaps we would do better to bring illusion under the perceptual, rather than the hallucinatory, disjunct. The key disjunctions offered by both Snowdon and Child suggest they would prefer this approach. As illusions involve situations in which something does look to be F to a subject, but where that thing – the thing that looks to be F – is not really F, the fact that both Snowdon and Child characterize the perceptual disjunct as containing cases in which something looks to S to be F suggests that they view this disjunct as containing illusions as well as veridical perceptions.

Now of course, if illusion is treated as a special case of veridical perception, then the specific way in which illusion is treated will be dictated by the theory of the good cases. Yet as we are treating disjunctivism as not being committed to any particular theory of the good cases, this doesn’t yet tell us much about illusion. However, it is worth noting that, as one of the most significant motivations for disjunctivism is to make room for a naïve realist account of the good cases, as illusions are cases in which objects look to be a way that they are not, on the face of it, this approach to illusion would not obviously be available to a disjunctivist who also wanted to be a naïve realist about the good cases.

Having said this, in a recent paper, Brewer develops an account of illusion that treats it as a special case of veridical perception, understood in broadly naïve realist terms. Brewer’s view of good case experience is that “the core subjective character of perceptual experience is given simply by citing the physical object which is its mind-independent direct object.” (2008: 171). But how, we might think, could we give an analogous account of the core subjective character of illusion? Well, suggests Brewer, when seen from different points of view and/or in different circumstances, a certain kind of external object/property may have “visually relevant similarities” with paradigms of other kinds of object/property. These visually relevant similarities may lead us to take the kind of object/property we see to be an instance of the kind for which those visual features are paradigm – a kind that the object/property is not, in fact, a member of.

To grasp the notion of a kind for which certain visual features are paradigm, consider the process of learning concepts. Our parents or teachers guide our acquisition of kind concepts by making paradigm instances of those kinds salient. To teach a child the meaning of the term, “red,” for example, we do not show the child a red object in darkness, or make the child wear unusually colored spectacles; we show the child the red object in conditions in which it will be seen as paradigmatically red. This is because, in these conditions, the object has visual features that are paradigm for the kind: red.

Brewer then shows how this can accommodate various kinds of illusion – in this case, an illusion of color:

a white piece of chalk illuminated with red light looks red. The … proposal is that the core of the subjective character of such illusory experience is constituted by that very piece of chalk itself: a particular … mind-independent physical object. From the viewpoint in question, and given the relevant perceptual circumstances – especially, of course, the abnormally red illumination – it looks red. This consists in the fact that it has visually relevant similarities with paradigm red objects: the light reflected from it is like that reflected from such paradigms in normal viewing conditions (2008: 173).

On Brewer’s view, then, illusions are not really “illusory” at all. In the case just described, we are seeing the chalk as it is in those circumstances. So the illusion is really a special case of veridical perception. However, we would also say that the white chalk looks red. This, Brewer suggests, is to say no more than that, in the circumstances in which the white object is veridically seen, it has visually relevant similarities with paradigmatically red objects. That is all that we mean when we say that this is a case of illusion. Whether this kind of approach can be extended to accommodate all illusions remains to be seen.

8. Conclusion

As a theory of visual experiences, disjunctivism is very much in its infancy, and much interesting research remains to be done.

9. References and Further Reading

References marked (*) can be found in A. Haddock and F. Macpherson (eds.) (2008) Disjunctivism: Perception, Action, and Knowledge (Oxford: Oxford University Press).

References marked (+) are reprinted in Byrne, A. and Logue, H. (eds.) (2009) Disjunctivism: Contemporary Readings (Cambridge MA: The MIT Press).

Introduction

  • (+) Hinton, J. M. (1967) “Visual Experiences” Mind 76, 217-27.
  • Hinton, J. M. (1973) Experiences: An Inquiry into Some Ambiguities (Oxford: Clarendon Press).
  • (*) Snowdon, P. (2008) “Hinton and the Origins of Disjunctivism” in A. Haddock and F. Macpherson (eds.) Disjunctivism: Perception, Action, and Knowledge (Oxford: Oxford University Press), 35-56.

Disjunctivism and Naïve Realism

  • (+) Martin, M. G. F. (1997) “The Reality of Appearances” in M. Sainsbury (ed.) Thought and Ontology (Milan: FrancoAngeli), 81-106.
  • Snowdon, P. (2005) “The Formulation of Disjunctivism: A Response to Fish” Proceedings of the Aristotelian Society 105, 129-41.

Types of Disjunctivism

  • (*) Byrne, A. and H. Logue (2008) “Either / Or” in A. Haddock and F. Macpherson (eds.) Disjunctivism: Perception, Action, and Knowledge (Oxford: Oxford University Press), 57-94.
  • Snowdon, P. (2005) “The Formulation of Disjunctivism: A Response to Fish” Proceedings of the Aristotelian Society 105, 129-41.
  • (+) Martin, M.G.F. (2004) “The Limits of Self-Awareness” Philosophical Studies 120, 37-89.
  • Martin, M.G.F. (2006) “On Being Alienated” in T.S. Gendler and J. Hawthorne (eds.) Perceptual Experience (Oxford: Clarendon Press), 354-410.

Arguments for Disjunctivism

  • (+) McDowell, J. (1982) “Criteria Defeasibility and Knowledge” Proceedings of the British Academy, 455-79.
  • (+) Snowdon, P. (1981) “Perception, Vision and Causation” Proceedings of the Aristotelian Society 81, 175-92.
  • (+) Snowdon, P. (1990) “The Objects of Perceptual Experience” Proceedings of the. Aristotelian Society, Supplementary Volume 64, 121–50.

Epistemological Motivations

  • (+) Johnston, M. (2004) “The Obscure Object of Hallucination” Philosophical Studies 120, 113-83.
  • McDowell, J. (1986/1998) “Singular Thought and the Extent of Inner Space” in his Meaning, Knowledge and Reality (Cambridge MA: Harvard University Press), 228-59.
  • (*) McDowell, J. (2008) “The Disjunctive Conception of Experience as Material for a Transcendental Argument” in A. Haddock and F. Macpherson (eds.) Disjunctivism: Perception, Action, and Knowledge (Oxford: Oxford University Press), 376-89.
  • (*) Pritchard, D. (2008) “McDowellian Neo-Mooreanism” in A. Haddock and F. Macpherson (eds.) Disjunctivism: Perception, Action, and Knowledge (Oxford: Oxford University Press), 283-310.
  • Wright, C. (2002) “(Anti-)Skeptics Simple and Subtle: G.E. Moore and John McDowell”, Philosophy and Phenomenological Research, 65, 330-48.
  • (*) Wright, C. (2008) “Comments on John McDowell’s ‘The Disjunctive Conception of Experience as Material for a Transcendental Argument’” in A. Haddock and F. Macpherson (eds.)
  • Disjunctivism: Perception, Action, and Knowledge (Oxford: Oxford University Press), 390-404.

Modesty

  • (+) Martin, M.G.F. (2004) “The Limits of Self-Awareness” Philosophical Studies 120, 37-89.
  • Hawthorne, J. and K. Kovakovich (2006) “Disjunctivism” Proceedings of the Aristotelian Society, Supplementary Volume 80, 145-83.

Naïve Realism: Phenomenology

  • Hawthorne, J. and K. Kovakovich (2006) “Disjunctivism” Proceedings of the Aristotelian Society, Supplementary Volume 80, 145-83.
  • Hellie, B. (2007) “Factive Phenomenal Characters” Philosophical Perspectives 21, 259-306.
  • Martin, M.G.F. (2002) “The Transparency of Experience” Mind and Language 17, 376-425.
  • Noordhof, P. (2002) “Imagining Objects and Imagining Experiences” Mind and Language 17, 426-455.

Naïve Realism: Demonstrative Reference

  • Campbell, J. (2002) Reference and Consciousness (Oxford: Clarendon Press).
  • Snowdon, P. (1992) “How to interpret ‘direct perception’” in T. Crane (ed.) The Contents of Experience: Essays on Perception (Cambridge: Cambridge University Press), 49-78.

The Causal Argument

  • Robinson, H. (1994) Perception (London: Routledge).
  • Smith, A. D. (2002) The Problem of Perception (Cambridge MA: Harvard University Press).
  • (*) Smith, A. D. (2008) “Disjunctivism and Discriminability” in A. Haddock and F. Macpherson (eds.) Disjunctivism: Perception, Action, and Knowledge (Oxford: Oxford University Press),181-204.

The “Screening Off” Objection

  • (+) Martin, M.G.F. (2004) “The Limits of Self-Awareness” Philosophical Studies 120, 37-89.
  • Martin, M.G.F. (2006) “On Being Alienated” in T.S. Gendler and J. Hawthorne (eds.) Perceptual Experience (Oxford: Clarendon Press), 354-410.

Matching Hallucinations to Perceptions

  • Farkas, K. (2006) “Indiscriminability and the Sameness of Appearance” Proceedings of the Aristotelian Society 106, 205-25.
  • Hawthorne, J. and K. Kovakovich (2006) “Disjunctivism” Proceedings of the Aristotelian Society, Supplementary Volume 80, 145-83.

Positive Disjunctivism

  • (+) McDowell, J. (1982) “Criteria Defeasibility and Knowledge” Proceedings of the British Academy, 455-79.
  • (+) Johnston, M. (2004) “The Obscure Object of Hallucination” Philosophical Studies 120, 113-83.

Negative Disjunctivism

  • (+) Martin, M.G.F. (2004) “The Limits of Self-Awareness” Philosophical Studies 120, 37-89.
  • Martin, M.G.F. (2006) “On Being Alienated” in T.S. Gendler and J. Hawthorne (eds.) Perceptual Experience (Oxford: Clarendon Press), 354-410.
  • (*) Fish, W.J. (2008) “Disjunctivism, Indistinguishability and the Nature of Hallucination” in A. Haddock and F. Macpherson (eds.) Disjunctivism: Perception, Action, and Knowledge (Oxford: Oxford University Press), 144-167.

Negative Disjunctivism and Indiscriminability: Objections

  • Siegel, S. (2004) “Indiscriminability and the Phenomenal” Philosophical Studies 120, 90-112.
  • (*) Siegel, S. (2008) “The Epistemic Conception of Hallucination” in A. Haddock and F. Macpherson (eds.) Disjunctivism: Perception, Action, and Knowledge (Oxford: Oxford University Press), 205-24.
  • Sturgeon, S. (2006) “Reflective Disjunctivism” Proceedings of the Aristotelian Society, Supplementary Volume 80, 185-216.
  • (*) Sturgeon, S. (2008) “Disjunctivism About Visual Experience” in A. Haddock and F. Macpherson (eds.) Disjunctivism: Perception, Action, and Knowledge (Oxford: Oxford University Press), 112-43.

Illusion as Hallucination

  • Robinson, H. (1994) Perception (London: Routledge).

Illusion as Veridical Perception

  • (*) Brewer, B. (2008) “How to Account for Illusion” in A. Haddock and F. Macpherson (eds.) Disjunctivism: Perception, Action, and Knowledge (Oxford: Oxford University Press),168-180.
  • Fish, W.J. (forthcoming) Perception, Hallucination, and Illusion (New York: Oxford University Press).

Other References

  • Chalmers, D.J. (2006) “Perception and the Fall from Eden” in T.S Gendler and J. Hawthorne (eds.) Perceptual Experience (Oxford: Clarendon Press), 49-125.
  • Dretske, F. (1969) Seeing and Knowing (London: Routledge and Kegan Paul).
  • Locke, D. (1975) “Review of Hinton’s ExperiencesMind 84, 335, 466-468.
  • Horgan, T. and J.L. Tienson (2002) “The Intentionality of Phenomenology and the Phenomenology of Intentionality” in D. J. Chalmers (ed.) Philosophy of Mind: Classical and Contemporary Readings (New York: Oxford University Press).
  • Putnam, H. (1975) “The Meaning of “Meaning”” Minnesota Studies in the Philosophy of Science 7:131-193.
  • Thau, M. (2004) “What is Disjunctivism?” Philosophical Studies 120, 193-253.

Author Information

William Fish
Email: W.J.Fish ‘at’ massey.ac.nz
Massey University
New Zealand

The New Evil Demon Problem

The new evil demon problem first emerged in the literature as a problem for reliabilist theories of epistemic justification. The old evil demon problem is the skeptical problem that preoccupied Descartes. Basically, it is the problem that arises once we acknowledge that it is possible that someone might have had (apparent) perceptual experiences and memories indistinguishable from our own that were induced by a powerful demon bent on deceiving this hapless subject. Since there is nothing introspectively available that would allow us to state that this hapless subject’s plight is not our own, it is hard to determine what justification we might have to claim that we truly know what the external world is like through our sensory experience.

Unlike the old evil demon problem, the new one is not primarily a skeptical problem. Imagine an epistemic counterpart of yours. That is, imagine there is a subject who happens to believe precisely what you believe, undergoes experiences indistinguishable from your own, seems to recall and remember everything you recall and remember, finds intuitive everything you find intuitive, and is disposed to reason in precisely the same way you reason. Imagine that this subject has been in precisely the same non-factive mental states as you have since birth. Imagine that this subject is deceived by a Cartesian demon. Then let us suppose that you are not. By bracketing the skeptical worries, it seems that many of your beliefs about the external world constitute knowledge. As your counterpart is systematically deceived, her beliefs about the external world do not constitute knowledge. Moreover, it seems that while you might suppose that your beliefs are produced by processes that can reliably lead you to the truth, the means by which your counterpart arrives at her beliefs are wholly unreliable. On a reliabilist view, since you cannot have a justified belief about some matter unless the means by which you arrive at that belief is reliable, it seems the reliabilist ought to say that your counterpart’s beliefs are not justified. However, many would consider that position to be strongly counterintuitive. They are convinced that while your counterpart knows nothing, your counterpart is no less justified in her beliefs than you are in yours. The new evil demon problem is the problem of accommodating these intuitions about the justificatory status of your counterpart’s beliefs.

Table of Contents

  1. Introduction
  2. Reliabilist Responses
    1. Denial
    2. Normal Worlds Reliabilism
    3. Weak Justification and Strong Justification
    4. Apt-Justification Beliefs and Adroit-Justification Beliefs
    5. Home World Reliabilism
    6. Personal Justification and Doxastic Justification
  3. Newer Evil Demon Problems
    1. The Internalism/Externalism Debate
    2. Evidence
    3. Warranted Assertion
  4. Conclusion
  5. References and Further Reading

1. Introduction

When the new evil demon problem first surfaced in the literature (Cohen and Lehrer (1983) and Cohen (1984)), it surfaced as a problem for reliabilists about justification. Consider Goldman’s process-reliabilist account of justification:

R:

S’s belief that p is justified iff the processes that produced S’s belief are reliable in the kind of environment in which S’s belief was formed and there is no reliable process the subject has such that if this process were used as well this would result in the subject’s not believing p (1979: 20).

The problem Goldman faced was that of trying to show how this simple and intuitively powerful argument could go wrong:

  1. Our deceived counterparts are no less justified in their beliefs than we are in ours.
  2. The processes that produce our deceived counterparts’ beliefs are wholly unreliable.
  3. It is possible for someone’s beliefs to be justified even if the processes that produced those beliefs are not reliable.

This conclusion contradicts the reliabilist thesis that reliability is necessary for justification. It is backed by the widely reported intuition that supports (1), which states that our counterparts are no less justified in their beliefs than we are in ours. Assuming that we are in fact justified in our beliefs, it seems we ought to acknowledge that they are justified in their beliefs. In turn, should we reject reliabilism? Below, we shall consider reliabilist responses to the argument.

2. Reliabilist Responses

a. Denial

Although some might reject (R) upon considering the new evil demon thought experiment, some do not. It seems most epistemologists who have discussed the problem in the literature do have the intuition that underwrites (1), but few intuitions are universally shared. Some defend reliabilism by denying the relevant intuitions. Others say that if your beliefs about the external world are induced by hallucinatory experiences, you do not have the right to believe what you do; rather, you only appear to have that right. Bach (1985), Brewer (1997), Engel (1992), and Sutton (2005, 2007) have denied that our counterparts’ beliefs are justified. If we accept that you have a right to believe only those beliefs you would be justified in holding, this response concedes nothing. It simply denies the claim described as being supported by ordinary intuition.

What is wrong with asserting that the beliefs of our deceived counterparts cannot be justified? There have been at least three ways of trying to bolster the appeal to intuition in the literature. First, Cohen suggested that this response indicates a failure to appreciate that justification is fundamentally a normative notion:

My argument [against reliabilism] hinges on viewing justification as a normative notion. Intuitively, if S’s belief is appropriate to the available evidence, he is not to be held responsible for circumstances beyond his ken (1984: 282).

Second, some hold the view that justification is a deontological notion. That is to say, a belief is justified when that belief can be held without violating any of your epistemic duties. It seems wrong to some to say that our deceived counterparts have failed to fulfill their epistemic duties. Haven’t they “done their duty,” provided that they reflect on the evidence available to them and judge that things are for them the way that we think things are for us? Plantinga (1993: 14) suggests that it is part of our traditional view that “you are properly blamed for failing to do something A if and only if it is your duty to do A (and you fail to do it).” If there is an epistemic duty to refrain from believing any belief for which there is not sufficient justification to hold and if we accept R, it seems to follow that our epistemic counterparts are properly blamed for failing to refrain from believing the mundane propositions that seem to them to be immediately verified through experience (for example, that they have hands, that the sun is shining, etc…). Surely that is too harsh. Third, some hold the view, defended by Langsam (2008: 79), on which “a justified belief is [simply] a belief that is held in a rational way.” Few are willing to characterize our deceived counterparts as irrational for believing falsely that they have hands.

In light of these responses, one might say that if you deny that your deceived counterparts are justified in their beliefs, you should be willing to say that your deceived counterparts are irrational, that they are blameworthy, and that they are less than fully responsible. If you say that they are irresponsible, it seems that you have all but done away with the category of the non-culpable mistake. The beliefs of our deceived counterparts are mistaken, to be sure, but they reason just as carefully as we do. If you are to charge them with irrationality, it seems there ought to be some way of identifying where their reasoning goes wrong. If you consider them blameworthy, it seems you will be hard pressed to avoid the unpalatable skeptical view that anyone who believes propositions about the external world ought to know better than to do so. It seems to be part of our ordinary practice to say that if two subjects are perfectly alike in terms of how things seem to them, the two are equally blameworthy for their inferences. (This, too, is subject to controversy. Gibbons (2006) and challenges the idea that credit and blame depend only on the internal factors common to our counterparts and us.) Some will say that these are not costs we should be willing to pay.

Not everyone believes these are consequences of denying that our deceived counterparts’ beliefs are justified. It seems that justification might be a normative notion even if it is not a normative notion that depends only on matters that are within the subject’s ken (that is, a normative notion that depends only on factors that determine what a subject’s perspective is like or are accessible to the subject). Permissibility is a normative notion. We often excuse people for performing impermissible acts when the facts in virtue of which these acts were impermissible were facts of which the subject is non-culpably ignorant. If this is so, reliabilists can agree with Cohen that justification is a normative notion while denying that justification is among the normative notions that in no way depends on factors beyond our ken.

Cohen does suggest that by stating that justification is a normative notion, he is asserting that it does not depend on factors for which the subject cannot be held responsible. So, perhaps he thinks we ought to sever the connection between justification and any normative notion that depends (in part) upon factors beyond those we can be faulted for failing to take account of. Perhaps he thinks we can only fail to have justified beliefs if we can be blamed for believing what we do. It is worth noting that in his remarks concerning blameworthiness, Plantinga (1993) immediately qualifies his initial remark quoted above by saying that his remarks concern only “subjective” duty. On the ordinary conception of objective duty, one might non-culpably fail to do what one ought to do. If justification is a matter of fulfilling one’s objective duty and the failure to fulfill such duties does not mean that the subject is culpable for the failure, it does not follow from the claim that our deceived counterparts believe without justification that they are properly blamed for so doing. (See Bergmann (2006: 77-105) for further discussion of this point.)

Finally, the identification of the rationally held belief or reasonably held belief with the justified belief is itself a matter of controversy. Sutton (2005, 2007) rejects this identification and attributes much of what he regards as misplaced antipathy towards externalist accounts of justification, such as reliabilism, as stemming from conflating the two notions. It would be unfair to suggest that he believes that subjects who believe without sufficient justification are less than fully rational or reasonable. Again, suppose we think of the justified belief as the permissibly held belief and allow for the possibility of non-culpable, but wrongly held, belief. It seems that if a subject were normatively competent (that is, the subject is not an infant, not subject to brainwashing, and so forth), it would only be proper to excuse them for their failings if we thought that they arrived at their beliefs in a rational way.

Rather than try to explain away the intuitions underwriting the new evil demon argument against reliabilism, the trend in the literature has been to try to accommodate these intuitions. Below, I shall discuss five strategies for trying to reconcile the reliability’s approach with seemingly anti-reliabilist intuitions.

b. Normal Worlds Reliabilism

Goldman tried to reformulate reliabilism so that it did not carry with it the implication that our systematically deceived counterparts cannot have justified beliefs:

Rnw:

S’s belief that p is justified only if the processes that produced S’s belief are reliable in normal worlds (1986: 107).

Because the new evil demon argument concerns the necessity of reliability for justification, we need not consider what additional conditions might be needed for stating the set of sufficient conditions for justification. Note the crucial difference between (R) and (Rnw). According to (R), someone’s belief can be justified only if the processes that produce that belief are reliable in the very circumstances they operate or are imagined to operate in. According to (Rnw), what matters is that the processes that produce a belief are reliable in normal worlds. Normal worlds are worlds in which our general beliefs about the actual world are true. A general belief we all seem to share is that perceptual experience is a good guide to our immediate surroundings. In evaluating our beliefs and the beliefs of our epistemic counterparts, we have to identify the processes by which we all arrive at our beliefs (for example, taking experience at face value) and then ask whether such processes are reliable in normal worlds. Since the processes that lead our counterparts as well as ourselves to hold our beliefs about our immediate surroundings are reliable in normal worlds (that is, it is part of our very conception of such a world that perception is generally reliable in such worlds), the beliefs of our counterparts do not turn out to be unjustified. The conflict between reliabilism and the intuition that our deceived counterparts are justified has been removed.

Normal worlds reliabilism never really caught on. First, it seemed to have the unhappy implication that a process such as clairvoyance could not confer justification under any possible circumstance. In normal worlds, clairvoyance is unreliable. So, in any world in which it is reliable, that world is abnormal. It seems wrong to some to say that there could be no possible world in which clairvoyance generated knowledge much in the way that, say, perception does. Yet, in evaluating the beliefs of these subjects, (Rnw) states that we can only say that their beliefs are justified if they would be reliable not in the circumstances in which they are used, but reliable in worlds that are normal (Lemos 2007: 96). Second, it seems that the normal worlds reliabilist has to say that we cannot coherently question the justification of those beliefs that determine our conception of what a normal world is like. A normal world is a world in which our general beliefs about the actual world are true. The claim that those general beliefs are justified would seem to be trivial, according to the normal worlds reliabilist. Yet, it seems to be no trivial matter whether those beliefs are in fact justified (Peacocke 2004: 133).

c. Weak Justification and Strong Justification

Goldman was not satisfied with the normal worlds reliabilist response to the new evil demon problem and sought to accommodate the intuitions causing trouble for (R) by appealing to a distinction between what he calls “weak” and “strong” justification. According to Goldman, a belief might be either strongly justified or weakly justified:

SJ:

S’s belief that p is strongly justified only if the processes that produced S’s belief are reliable in the kind of environment in which S’s belief was formed.

WJ:

S’s belief that p is weakly justified if and only if S is blameless for believing p but believes p on the basis of a process that is unreliable in the circumstances in which S’s belief is produced.

How does this distinction help? Goldman (1988: 59) tries to accommodate the intuition that our deceived counterparts’ beliefs are justified by saying that their beliefs are weakly justified. Having drawn the distinction between weak and strong justification, he has shown that there is a sense in which even the uncompromising reliabilist can say that our deceived counterparts’ beliefs are justified while saying that there is also a sense in which no belief can be justified unless the processes that produced it were reliable in the circumstances in which they produced that belief.

Critics cried foul. BonJour remarked (2002: 248), “The question is whether this really accommodates the intuition … which seems to be that the demon world people are at least as justified in their beliefs as we are in ours.” BonJour seems to be suggesting that what the intuitive observation critics of reliabilism want explained is not how there is some sense in which the beliefs of the demonically deceived are justified. What they want to see is how the reliabilist can explain how it is that the demonically deceived are no less justified than we are. Goldman wants to distinguish between two types of justification, assigning one type to the demonically deceived and another type to us. BonJour seems to suggest that while this might take care of the problem by saying that our deceived counterparts are irrational, unreasonable, or blameworthy, it does not take care of the problem that it seems, intuitively, that there is a sense in which they are as well aware of as we are.

It might seem that this problem could be mitigated if Goldman made a simple modification to his proposal. As it stands, no belief can be both weakly justified and strongly justified. A belief is weakly justified only if it is blamelessly held and ill formed. A belief is strongly justified only if reliable processes produce that belief. Suppose Goldman were to modify (WJ) as follows:

WJ*:

S’s belief that p is weakly justified if and only if S is blameless for believing p.

Someone might wonder why a reliabilist would propose (WJ*) since the concept of reliability does not figure in the formulation of (WJ*), but the concept of reliability does not play any significant role in (WJ), either. Moreover, it is not entirely clear why Goldman would insist that there is a kind of justification that requires unreliability. On this modified proposal, we can say that our beliefs are both strongly justified and weakly* justified. We can satisfy BonJour’s demand that we not only say that there is a perfectly good sense in which their beliefs are “justified,” but also that there is a sense in which we are no more justified in our beliefs than they are in theirs. Our beliefs and the beliefs of our deceived counterparts are all weakly* justified. The problem with this proposal, however, is that it seems not to go far enough. If someone has been brainwashed into believing p, it seems they would be weakly* justified in believing p. Suppose we might know p on the basis of veridical perception and our demonically deceived counterparts might believe p on the basis of a subjectively indistinguishable veridical perception. As Audi (1993: 28) stresses, it seems there is more going for the beliefs of our demonically deceived counterparts than there is for someone who has been brainwashed into thinking that p is true. Unfortunately, (WJ*) fails to capture this. Moreover, (SJ) cannot help us distinguish between the beliefs of the deceived and the beliefs of the brainwashed since we are supposing that neither arrives at their beliefs by reliable means.

d. Apt-Justification Beliefs and Adroit-Justification Beliefs

Sosa (1991) maintains that a justified belief is arrived at through the exercise of one or more intellectual virtues. In turn, he maintains that nothing could count as an intellectual virtue unless it would lead us to a high ratio of true beliefs through its exercise. Comesana (2002) and Sosa (2003: 159-61) have tried to solve the new evil demon problem by drawing a distinction between two ways in which we might use the notion of an intellectual virtue in appraising someone’s beliefs. We can say that someone’s belief about p is “apt-justified” only if the belief is acquired through the exercise of an intellectual virtue that is reliable in the circumstances in which that belief is formed. The beliefs formed by the demonically deceived are, unfortunately, not apt-justified. However, we can say that their beliefs are “adroit-justified.” A belief is adroit-justified only if the belief is acquired in an intellectually virtuous way where this is partially a matter of acquiring beliefs in a way that would be reliable if only the subject did not suffer the misfortune of being in the inhospitable epistemic environment in which a demon is bent on deceiving our intellectually virtuous counterparts. The suggestion is that in some contexts we refer to someone’s belief as justified if the belief is produced in such a way that beliefs of that type will reliably turn out to be correct in the very circumstances they are formed while in other contexts we refer to someone’s belief as justified if the processes would have reliably led to the truth here. Sosa (1985) considers this latter notion of adroit-justification as being largely a matter of the coherence of the attitudes of the subject being evaluated, and since our deceived counterparts’ beliefs are no less coherent than our own, we are entitled to say that there is a sense in which justification requires reliability (apt-justification) and a sense in which our deceived counterparts are no less justified than we are (adroit-justification).

Goldman (1993: 281) objected to this proposal by saying that ordinary folk are in no way inclined to engage in the sort of epistemic appraisal that would make use of both of these notions. If Comesana and Sosa are suggesting that their account accommodates folk intuition because the folk use both of their notions of justification, Comesana and Sosa seem to be suggesting that we describe our beliefs as “justified” because the processes that produced them were reliable in the circumstances in which they were deployed (that is, they are apt-justified) while we state that our counterparts’ beliefs are “justified” because the processes that produced them were reliable in circumstances other than those in which those processes were deployed (that is, they are adroit-justified). Goldman thinks that it is not part of our ordinary practice of epistemic evaluation to make attributions of justification by making them relative to these different kinds of circumstances in this way.

e. Home World Reliabilism

Majors and Sawyer have defended a version of reliabilism–home world reliabilism– which states that what is necessary for justified belief is not reliability in normal worlds or reliability in the scenario in which a belief is actually formed, but instead says this:

Rhw:

S’s belief that p is justified only if the processes that produced S’s beliefs are reliable in S’s home world understood as that set of environments relative to which the natures of her intentional contents are individuated (2005: 272).

To understand this view, it is important to understand something about the anti-individualist approach to the individuation of intentional contents. It is now widely believed that features of the external environment are among the conditions that go towards determining the contents of our intentional states. It has been suggested w that it is possible for two individuals who are microphysical duplicates to have different beliefs if they were raised in different environments and the further view that the contents of their perceptual states could also differ in light of differences in their environments. If the first individual had been raised in a linguistic community such as ours where “gold” was used to refer to a metallic element which had 79 protons in its nucleus and the second individual was raised in a linguistic community similar to ours that used “gold” to refer to a superficially similar metal which did not have 79 protons in its nucleus, what these two speakers would assert if they said “That is gold” would differ. For example, what the first speaker says might be false if said while pointing at a hunk of fool’s gold even if what the second speaker says could be true if said while pointing at the same hunk. Suppose these speakers then added, “Well, that is what I believe, at any rate.” Just as, “That is gold,” would express different propositions, “I believe that that is gold” would express different propositions. Unless we are prepared to assert that one of these speakers cannot correctly self-ascribe beliefs, we have to accept that their assertions and beliefs differ in content. The conditions that determine what these individuals believe include their “narrow” conditions (that is, the conditions held constant when we say that these two individuals are microphysical duplicates) and the conditions found in their environment (that is, the conditions that determine whether they have been interacting with gold or some superficially similar metal that is not gold).

To see why this matters, note that in setting up the new evil demon thought experiment, we were asked to imagine that there was an individual who is mentally just like us (that is, an epistemic counterpart), who was situated in an environment that is radically different from our own insofar as this subject was systematically deceived and cut off from causally interacting with her environment in the ways that we do. Anti-individualists might say that this is latent nonsense. An anti-individualist can say that it is impossible for a subject to satisfy the first condition and be mentally just like us whilst being situated in a radically different environment because a condition necessary to being mentally just like us is that the subject causally interacts with the kinds of things that we do. The home world reliabilist can say that the new evil demon thought experiment does not cause trouble for reliabilist accounts of justification because when we describe a systematically deceived subject, we are not describing a genuine possibility in which an epistemic counterpart of ours has beliefs produced by wholly unreliable processes. Thus, the home world reliabilist can say that if a subject is an epistemic counterpart of ours, that subject’s beliefs are justified and to the extent that this subject’s mental life is like ours, we have to assume that this subject is not prevented from causally interacting with the environment in the way that the systematically deceived subjects would have to be.

As Comesana (2002: 264) notes, however, it isn’t clear that an appeal to anti-individualism alone can take care of the problem because the problem can reemerge in the form of “switching” cases. Let us suppose that anti-individualism is true and that it is impossible for a subject who has been tormented by a Cartesian demon from birth to be an epistemic counterpart of ours. By depriving this subject of the opportunity to causally interact with an environment like ours, the demon prevents this individual from acquiring the kinds of intentional thought contents that we have. What if a subject were allowed to acquire the kinds of thought contents we have by interacting with her environment for a period of thirty years, but the day after the subject’s thirtieth birthday the demon decides to cause her to hallucinate and so deceive her about her surroundings? Intuitively, it seems that this newly deceived subject is no less justified in forming her beliefs, but her beliefs will now be wrong as a rule. The home world reliabilist might say that their view delivers this verdict because if the subject had been forming beliefs in the kind of epistemically hospitable environment in which she initially had been forming her beliefs, her beliefs would have largely turned out to be correct. This seems to require the home world reliabilist to individuate environments in such a way that with the demon’s decision to start deceiving our hapless subject, the subject is thereby “moved” into an environment that is not part of the “home world”. I suppose that those sympathetic to Goldman’s (1979) original formulation of reliabilism would be bothered by the implication that so far as the facts that matter to justification are concerned, nothing of significance happened when the demon decided to deceive the subject. It is also odd that on the home world reliabilist view, if the subject thought to herself just after the switch that the beliefs formed after her thirtieth birthday were justified, that belief would be true, but if the subject inferred that those very same beliefs are produced by reliable processes, that belief would be false.

It is worth noting that if the home world reliabilist response is to be complete, it must mention something about the epistemic status of a demonically tormented subject’s beliefs. Even if no subject tormented from birth by a demon has thoughts or perceptual experiences with the contents that ours have, unless the home world reliabilist is going to say that such subjects have no beliefs at all, we can ask whether such a subject is justified in believing whatever they happen to believe. We know that the home world reliabilist will have to say that if these subjects have justified beliefs, there must be some matters about which their beliefs are reliably correct. It is hard to imagine what these subjects might have reliably correct beliefs about. It is also worth noting that the view’s verdicts might not be quite in line with the intuitions to which the critics of reliabilism appeal. Suppose that philosophers discovered that some sort of error theory is true. Although the folk might believe things are colored, noisy, good, or what have you, philosophers learn that the world contains no secondary qualities or moral properties. Are we to say that in light of this hard-earned philosophical discovery, the ordinary judgments that ordinary folk make about colors or moral properties can never be justified? It seems that the home world reliabilist would have to say that if we were to discover that a subject’s beliefs are not reliably correct by taking account of facts of which ordinary folk are non-culpably ignorant, we would have to describe their beliefs as unjustified. It is not clear that this is consistent with the basic intuition that underwrites the new evil demon argument.

f. Personal Justification and Doxastic Justification

According to Bach (1985) and Engel (1992), the intuitions thought to cause trouble for reliabilism do no such thing. They think we should grant that our deceived counterparts are no less justified than we are. Intuition confirms this. Nevertheless, these authors claim that this observation is consistent with R. While R does imply that the beliefs of our deceived counterparts are not justified, it does not carry with it the further implication that the systematically deceived believers are any less justified than we are. Following Bach, these authors claim that there is an important difference between ascriptions of “personal” justification (that is, ascriptions of the form “S is justified in believing p”) and ascriptions of “doxastic” justification (that is, ascriptions of the form “S’s belief that p is justified”). Both ascriptions attest to the fact that something is justified. Reliabilism is a theory about the conditions under which a belief is justified and ascriptions of doxastic justification turn out to be true. The intuition underwriting the new evil demon argument, according to Bach, concern ascriptions of personal justification. Since the reliabilist need not say that any justified believer who believes p has a justified belief that p is the case, the reliabilist view is consistent with the intuition that our systematically deceived counterparts are all justified in believing what they do.

The basic idea behind this proposal is simple enough. If epistemic evaluation is concerned with believer qua believer, it is not surprising that we end up saying that our systematically deceived counterparts are no less justified than we are because they reason just as well as we do and take just as much care as we do. If epistemic evaluation is concerned with our beliefs, there is a perfectly good sense in which our beliefs turn out to be better than theirs (their beliefs cannot constitute knowledge because the processes by which their beliefs are produced are unreliable, their beliefs are all false, etc…). In asserting that a believer is justified, we are asserting that the believer does not hold the beliefs she does because of some defect in her. In asserting that a belief is justified, we are asserting that there is not some defect in the belief or the means by which the belief is produced that should lead us to give up that belief.

Perhaps the most serious difficulty for this proposal is that it can only accommodate the relevant intuitions by saying that we are just as (personally) justified in our beliefs as our counterparts are in theirs while denying that their beliefs are (doxastically) justified. According to Kvanvig and Menzel (1990), ascriptions of personal justification of the form “S is justified in believing p” logically entail ascriptions of doxastic justification of the form “S’s belief that p is justified.” If this account of the logic of justification ascriptions is correct, then we cannot consistently say that while our deceived counterparts are justified in their beliefs, their beliefs are not justified. argues that there is no entailment from ascriptions of personal justification to ascriptions of doxastic justification and that we need the personal/doxastic justification distinction to make sense of the more familiar distinction between excuses and justifications.

3. Newer Evil Demon Problems

The original new evil demon problem was a problem for reliabilism. The intuitions thought to cause trouble for the reliabilist now play a role in the internalism/externalism debate, discussions of the nature of evidence, and the literature on warranted assertion.

a. The Internalism/Externalism Debate

Reliabilism is not the only account of epistemic justification that seems to deliver the wrong verdict by classifying the beliefs of our deceived counterparts as unjustified. Consider the proper-functionalist account of epistemic justification defended by Bergmann (2006). While Plantinga (1993) defends a proper-functionalist account of warrant, warrant is typically taken to be distinct from justification and Bergmann intends his account to be one of justification rather than warrant. According to the proper-functionalist account of justification, a belief can be justified only if the belief is the product of cognitive faculties that are functioning properly in an environment in which those faculties will reliably lead to the truth and for which that faculty was “designed” to function. The proper-functionalist position about justification can assert that our systematically deceived counterparts can be justified in their beliefs provided that cognitive faculties that would be truth-conducive in the environments for which they are designed to operate produce their beliefs. However, it seems they must concede that if a counterpart of ours lacks cognitive faculties that reliably lead to truth in the environments in which they were designed to function, this counterpart could never have justified beliefs in spite of being our counterpart. So, it seems that proper-functionalism is at odds with the intuition underwriting the first premise in the argument against reliabilism. This point is not lost on Bergmann (2006: 136), who concedes that only some of our systematically mistaken epistemic counterparts have justified beliefs.

Consider also the knowledge account of epistemic justification defended by Sutton (2005, 2007) or the knowledge account of epistemic reasons defended by According to the knowledge account of justification, a belief can be justified only if it constitutes knowledge. According to the knowledge account of epistemic reasons, p is an epistemic reason of S’s if S knows p. We know that our deceived counterparts do not know their external world beliefs to be true. The knowledge account of justification implies that our deceived counterparts do not have adequate justification for their beliefs. If you think that it is possible for S to have a justified belief that p is the case only if p can serve as an epistemic reason for S to believe obvious consequences of p, it follows from the knowledge account of epistemic reasons that our deceived counterparts’ external world beliefs are unjustified.

According to Wedgwood (2002), the intuitions that underwrite the argument against reliabilism underwrite an argument against all versions of externalism about justification. If a theory of epistemic justification is committed to saying that some subject’s belief about p can be justified only if some condition C obtains such that C does not strongly supervene on the subject’s (non-factive) mental states, it seems that this theory will be at odds with the intuition that underwrites (1). He maintains that the new evil demon thought experiment does not merely tell us what justification is not. It tells us something about what justification is. It tells us that epistemic justification is an internalist notion. It tells us that so long as two subjects are in precisely the same (non-factive) mental states, their beliefs will attain the same justificatory status.

Nelson (2002) has further claimed that the intuitions underwriting the new evil demon argument tell us something about the epistemic status of epistemic principles (that is, principles that state non-normative conditions in virtue of which we might have prima facie justification for our beliefs). He suggests that our intuitions provide us with a priori justification for believing that certain modes of belief formation (for example, perception) confer justification. If this is right, then it seems that the externalist position regarding epistemic justification faces a further difficulty. It seems that on some externalist views (for example, Goldman’s (1979) reliabilist account or Bergmann’s (2006) proper-functionalist account), it is a purely contingent matter that perceptual experience provides justification for our beliefs about the external world. If an externalist were to agree with Nelson that we have a priori justification for saying that perceptual experience confers justification, it seems that they will have to say that this proposition is a contingent proposition for which we have a priori justification.

b. Evidence

The new evil demon problem also seems to be a problem for externalist accounts of evidence. Internalists, such as Conee and Feldman (2004), maintain that if two subjects are in precisely the same (non-factive) mental states, they will necessarily share the same evidence. The externalists deny this and assertthat it is possible for two subjects to be in precisely the same (non-factive) mental states while having different bodies of evidence. Some epistemologists (for example, Hyman (1999), Unger (1975), and Williamson (2000)) defend views of evidence in the neighborhood of this view:

E = K:

S’s evidence includes the proposition that p if S knows p.

According to E = K, since you and some deceived counterpart of yours know different propositions to be true, there are propositions included in your evidence that are not included in your deceived counterpart’s evidence. To make this concrete, suppose that you know you have hands. Your counterpart’s “experience” of the external world is nothing more than a series of demonically induced hallucinations. Your counterpart might be a handless, disembodied spirit living in a dark world. According to E = K, while your evidence will include the proposition that you have a hand, your counterpart’s evidence will not include this proposition. Some find this implication of E = K problematic. First, says it is intuitively correct to say that the two of you share the same evidence. Perhaps this is what explains the comparative epistemic judgment that the two of you are equally justified in your beliefs about the external world. Second, Silins (2005) notes that if we think that a subject’s degree of confidence ought (ideally) to match their evidence, E = K has the odd implication that you ought to have a higher degree of confidence in the belief that you have hands than your counterpart should in her (false) belief that she has hands.

c. Warranted Assertion

Let us say that a subject’s assertion that p is the case is warranted if the subject’s assertion that p is true is epistemically permissible. That is to say, the subject’s assertion is warranted when it is not the case that the subject ought to refrain from asserting that p is true for epistemic reasons. One of the more popular accounts of warranted assertion is the knowledge account of assertion, ascribed to byDeRose (1996), Slote (1979), Sutton (2005, 2007), Williamson (2000), and Unger (1975). According to this account, assertion is governed by the knowledge norm:

K:

S ought not assert that p unless S knows p.

Some (for example Weiner (2005)) have defended the weaker externalist view that assertion is governed by the truth norm:

T:

S ought not assert that p unless p is true.

Suppose we were to grant that our intuitions concerning our deceived counterparts did in fact show that their beliefs are justified. According to Lackey (2008), the intuitions that cause trouble for externalist accounts of epistemic justification cause trouble for externalist accounts of warranted assertion on which knowledge or truth is necessary for permissible assertion. Just as it seems intuitive to some to say that our epistemic counterparts’ beliefs are justified, it seems to her that our epistemic counterparts’ assertions are warranted.

It seems that epistemologists either do not share Lackey’s intuitions about warranted assertion or do not think that they ought to accommodate those intuitions in their accounts of warranted assertion. It is interesting to note that many who defend externalist accounts of warranted assertion are unwilling to defend externalist accounts of epistemic justification. But, it might be that this is an untenable combination of views. For, if Sutton (2005, 2007) is right, you cannot be justified in believing what you lack warrant for asserting:

J:

If S’s belief that p is justified and S asserts that p is the case, S’s assertion that p is the case is warranted.

If our deceived counterparts’ beliefs are justified and there is nothing wrong with their holding them, how could it be wrong for them to assert that their beliefs are true? Since, according to (K) or (T), it would be wrong to assert that something is true unless it actually is true, those who endorse (K) or (T) either ought to say that our deceived counterparts do not have sufficient justification for their beliefs or deny (J) and say that a person’s beliefs can be justified even if the person lacks sufficient warrant for asserting what she justifiably believes to be the case. At any rate, the arguments that have been offered for (J) suggest that the position of those who adopt internalist accounts of justification because of intuitions about our systematically deceived counterparts while defending externalist accounts of warranted assertion cannot have it both ways.

4. Conclusion

The new evil demon problem has been a persistent problem for reliabilists for over two decades. It is most unclear how someone can consistently maintain that the justification of our beliefs depends on the reliability of the processes that produce them while at the same time acknowledging that our systematically deceived counterparts are fully justified in their beliefs. The problem is now not a problem for reliabilists only. The thought experiment Cohen introduced into the literature and the intuitions it elicits now play a significant role in the literature on the internalism/externalism debate, the nature of evidence, and the conditions of warranted assertability.

5. References and Further Reading

  • Audi, R. 1993. The Structure of Justification. New York: Cambridge University Press.
  • Bach, K. 1985. A Rationale for Reliabilism. The Monist 68: 246-63.
  • Bergmann, M. 2006. Justification Without Awareness. (New York: Oxford University Press).
  • BonJour, L. 2002. Internalism and Externalism. In P. Moser (ed.) The Oxford Handbook of Epistemology. (New York: Oxford University Press): 234-64.
  • Brewer, B. 1997. Foundations of Perceptual Knowledge. American Philosophical Quarterly 34: 41-55.
  • Cohen, S. 1984. Justification and Truth. Philosophical Studies 46: 279-96.
  • Cohen, S. and K. Lehrer. 1983. Justification, Truth, and Knowledge. Synthese 55.
  • Comesana, J. 2002. The Diagonal and the Demon. Philosophical Studies 110: 249-66.
  • Conee, E. and R. Feldman. 2004. Evidentialism. (New York: Oxford University Press).
  • DeRose, K. 1996. Knowledge, Assertion, and Lotteries. Australasian Journal of Philosophy 74: 568-80.
  • Engel, M. 1992. Personal and Doxastic Justification. Philosophical Studies 67: 133-51.
  • Gibbons, J. 2006. Access Externalism. Mind 115: 19-39.
  • Goldman, A. 1979. What is Justified Belief? In G. Pappas (ed.) Justification and Knowledge (Ithaca, NY: Cornell University Press): 1-23.
  • Goldman, A. 1986. Epistemology and Cognition. (Cambridge, MA: Harvard University Press).
  • Goldman, A. 1988. Strong and Weak Justification. Philosophical Perspectives 2: 51-69.
  • Goldman, A. 1993. Epistemic Folkways and Scientific Epistemology. Philosophical Issues 3: 271-85.
  • Knowledge and Action. Journal of Philosophy Hyman, J. 1999. How Knowledge Works. Philosophical Quarterly 49: 433-51.
  • Kvanvig, J. and C. Menzel. 1990. The Basic Notion of Justification. Philosophical Studies 59: 235-61.
  • Lackey, J. 2008. Learning from Words. (New York: Oxford University Press).
  • Langsam, H. 2008. Rationality, Justification, and the Internalism/Externalism Debate. Erkenntnis 68: 79-101.
  • Lemos, N. 2007. An Introduction to the Theory of Knowledge. (New York: Cambridge University Press).
  • Littlejohn, C. 2009. The Externalist’s Demon. Canadian Journal of Philosophy 39 (3): 399-434.
  • Majors, B. and S. Sawyer. 2005. The Epistemological Argument for Content Externalism. Philosophical Perspectives 19: 257-80.
  • Nelson, M. 2002. What Justification Could Not Be. International Journal of Philosophical Studies 10: 265-81.
  • Peacocke, C. 2004. The Realm of Reason. (New York: Oxford University Press).
  • Plantinga, A. 1993. Warrant: The Current Debate. (New York: Oxford University Press).
  • Silins, N. 2005. Deception and Evidence. Philosophical Perspectives 19: 375-404.
  • Slote, M. 1979. Assertion and Belief. In J. Dancy (ed.) Papers on Language and Logic (Keele: Keele University Library): 177-90.
  • Sosa, E. 1985. The Coherence of Virtue and the Virtue of Coherence. Synthese 64: 3-28.
  • Sosa, E. 1991. Knowledge in Perspective. (New York: Cambridge University Press).
  • Sosa, E. 2003. Epistemic Justification: Internalism vs. Externalism, Foundations vs. Virtues (Malden, MA: Blackwell).
  • Sutton, J. 2005. Stick To What You Know. Nous 39: 359-96.
  • Sutton, J. 2007. Without Justification. (Cambridge, MA: MIT University Press).
  • Turri, J. The Ontology of Epistemic Reasons. Nous.
  • Unger, P. 1975. Ignorance. (New York: Oxford University Press).
  • Weatherson, B. Deontology and the Demon. Journal of Philosophy.
  • Wedgwood, R. 2002. Internalism Explained. Philosophy and Phenomenological Research 65: 349-69.
  • Weiner, M. 2005. Must We Know What We Say? Philosophical Review 114: 227-51.
  • Williamson, T. 2000. Knowledge and its Limits. (New York: Oxford University Press).

Author Information

Clayton Littlejohn
Email: cmlittlejohn@yahoo.com
Southern Methodist University
U. S. A.

Vladimir Solovyov (1853—1900)

SolovyovSolovyov was a 19th Century Russian Philosopher. He is considered a prolific but complicated character. His output aimed to be a comprehensive philosophical system, yet he produced what is considered contentious, theosophical and fundamentally inconclusive results.

This article examines in detail Slovyov’s five main works. It also looks into the controversy he generated and his possible philosophical legacy. In the course of five main works – three were completed, two were left unfinished – Solovyov demonstrated a predilection for grand topics of study and an ambitious aim to produce a comprehensive philosophical system that rejected accepted notions of contemporary European Philosophy. In his first major work, The Crisis of Western Philosophy (written when he was twenty-one), he argues against positivism and for moving away from a dichotomy of “speculative” (rationalist) and “empirical” knowledge in favour of a post-philosophical enquiry that would reconcile all notions of thought in a new transcendental whole.

He carried on his attempted synthesis of rationalism, empiricism and mysticism in Philosophical Principles of Integral Knowledge, and he turned to a study of ethics leading to a solidifying of his epistemology in Critique of Abstract Principles.

In the later period of his life, he recast his ethics in The Justification of the Good and his epistemology in Theoretical Philosophy.

Due to his conclusions repeatedly resting on a call upon an aspect of the divine or the discovery of an “all-encompassing spirit,” the soundness of his arguments have often been called into question. For the same reason, and compounded by a tendency to express himself in theological and romantically nationalist language, he is also often dismissed as a mystic or fanatic. Although, as the article below argues, if read as a product of his time, they are more sensible and less polemical.

Table of Contents

  1. Life
  2. Interpretations of Solovyov’s Philosophical Writings.
  3. The Crisis of Western Philosophy
  4. Philosophical Principles of Integral Knowledge
  5. Critique of Abstract Principles
  6. The Justification of the Good
  7. Theoretical Philosophy
  8. Concluding Remarks
  9. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Life

Solovyov was born in Moscow in 1853. His father, Sergej Mikhailovich, a professor at Moscow University, is universally recognized as one of Russia’s greatest historians. After attending secondary school in Moscow, Vladimir enrolled at the university and began his studies there in the natural sciences in 1869, his particular interest at this time being biology. Already at the age of 13 he had renounced his Orthodox faith to his friends, accepting the banner of materialism perhaps best illustrated by the fictional character of Bazarov in Turgenev’s novel Fathers and Sons and the actual historical figure of Pisarev. During the first two or three years of study at the university Solovyov grew disenchanted with his ardent positivism and did poorly in his examinations. An excellent student prior to this time, there is no reason for us to doubt his intellectual gifts. Nevertheless, although he himself as well as his interpreters have attributed his poor performance to growing disinterest in his course of study, this reasoning may sound to us at least somewhat disingenuous. In any case, Solovyov subsequently enrolled as an auditor in the Historical-Philosophical Faculty, then passing the examination for a degree in June 1873.

At some point during 1872 Solovyov reconverted, so to speak, to Orthodoxy. During the academic year 1873-74 he attended lectures at the Moscow Ecclesiastic Academy–an unusual step for a lay person. At this time Solovyov also began the writing of his magister’s dissertation, several chapters of which were published in a Russian theological journal in advance of’ his formal defense of it in early December 1874.

The death of his Moscow University philosophy teacher Pamfil Jurkevich created a vacancy that Solovyov surely harbored hopes of eventually filling. Nevertheless, despite being passed over, owing, at least in part, to his young age and lack of credentials, he was named a docent (lecturer) in philosophy. In spite of taking up his teaching duties with enthusiasm, within a few months Solovyov applied for a scholarship to do research abroad, primarily in London’s British Museum.

His stay in the English capital was met with mixed emotions, but it could not have been entirely unpleasant, for in mid-September 1875 he was still informing his mother of plans to return to Russia only the following summer. For whatever reason, though, Solovyov abruptly changed his mind, writing again to his mother a mere month later that his work required him to go to Egypt via Italy and Greece. Some have attributed his change of plans to a mystical experience while sitting in the reading room of the Museum!

Upon his return to Russia the following year, Solovyov taught philosophy at Moscow University. He began work on a text that we know as the Philosophical Principles of Integral Knowledge, but which he never finished. In early 1877 Solovyov relinquished his university position due to his aversion towards academic politics, took up residence in St. Petersburg and accepted employment in the Ministry of Public Education. While preparing his doctoral dissertation, Solovyov gave a series of highly successful popular lectures at St. Petersburg University that was later published as Lectures on Divine Humanity, and in 1880 he defended a doctoral dissertation at St. Petersburg University. Any lingering hope Solovyov may have entertained of obtaining a professorship in Russia were dashed when in early 1881 during a public lecture he appealed to the Tsar to pardon the regicides of the latter’s father Alexander II.

For the remainder of the 1880s, despite his prolificacy, Solovyov concerned himself with themes of little interest to contemporary Western philosophy. He returned, however, to traditional philosophical issues in the 1890s, working in particular on ethics and epistemology. His studies on the latter, however, were left quite incomplete owing to his premature death in 1900 at the age of 47. At the end Solovyov, together with his younger brother, was also preparing a new Russian translation of Plato’s works.

2. Interpretations of Solovyov’s Philosophical Writings

Despite the vast amount of secondary literature, particularly, of course, in Russian, little, especially that in English, is of interest to the professionally-trained philosopher. Nevertheless, even while memory of him was still fresh, many of his friends differed sharply on key issues involved in interpreting Solovyov’s writings and legacy.

Among the topics debated over the years has been the number of phases or periods through which his thought passed. Opinions have ranged from four to just one, depending largely on the different criteria selected for demarcating one period from another. Those who hold that Solovyov’s thought underwent no “fundamental change” [Shein] do not deny that there were modifications but simply maintain that the fundamental thrust of his philosophy remained unaltered over the course of time. Others see different emphases in Solovyov’s work from decade to decade. Yet in one of the most philosophically-informed interpretations, Solovyov moved from a philosophy of “integral knowledge” to a later phenomenological phase that anticipated the “essential methodology” of the German movement [Dahm].

Historically, another central concern among interpreters has been the extent of Solovyov’s indebtedness to various other figures. Whereas several have stressed the influence of, if not an outright borrowing from, the late Schelling [Mueller, Shein], at least one prominent scholar has sought to accentuate Solovyov’s independence and creativity [Losev]. Still others have argued for Solovyov’s indebtedness to Hegel [Navickas], Kant [Vvedenskij], Boehme [David], the Russian Slavophiles and the philosophically-minded theologians Jurkevich and Kudryavtsev.

In Russia itself the thesis that Solovyov had no epistemology [Radlov] evoked a spirited rebuttal [Ern] that has continued in North America [Shein, Navickas]. None of these scholars, however, has demonstrated the presence of more than a rudimentary epistemology, at least as that term is currently employed in contemporary philosophy.

Additionally, the vast majority of secondary studies have dealt with Solovyov’s mysticism and views on religion, nationalism, social issues, and the role of Russia in world history. Consequently, it is not surprising that those not directly acquainted with his explicit philosophical writings and their Russian context view Solovyov as having nothing of interest to say in philosophy proper. We should also mention one of the historically most influential views, one that initially at least appears quite plausible. Berdyaev, seeing Solovyov as a paradoxical figure, distinguished a day — from a night-Solovyov. The “day-Solovyov” was a philosophical rationalist, in the broad sense, an idealist, who sought to convey his highly metaphysical religious and ontological conceptions through philosophical discourse utilizing terms current at the time; the “night — Solovyov” was a mystic who conveyed his personal revelations largely through poetry.

3. The Crisis of Western Philosophy

This, Solovyov’s first major work, displays youthful enthusiasm, vision, optimism and a large measure of audacity. Unfortunately, it is also at times repetitious and replete with sweeping generalizations, unsubstantiated conclusions, and non sequiturs. The bulk of the work is an excursion in the history of modern philosophy that attempts to substantiate and amplify Solovyov’s justly famous claims, made in the opening lines, that: (i) philosophy — qua a body of abstract, purely theoretical knowledge — has finished its development; (ii) philosophy in this sense is no longer nor will it ever again be maintained by anyone; (iii) philosophy has bequeathed to its successor certain accomplishments or results that this successor will utilize to resolve the problems that philosophy has unsuccessfully attempted to resolve.

Solovyov tells us that his ambitious program differs from positivism in that, unlike the latter, he understands the superseded artifact called “philosophy” to include not merely its “speculative” but also its “empirical” direction. Whether these two directions constitute the entirety of modern philosophy, i.e., whether there has been any historical manifestation of another sense of philosophy, one that is not purely theoretical, during the modern era, is unclear. Also left unclear is what precisely Solovyov means by “positivism.” He mentions as representatives of that doctrine Mill, Spencer and Comte, whose views were by no means identical, and mentions as the fundamental tenet of positivism that “independent reality cannot be given in external experience.” This I take to mean that experience yields knowledge merely of things as they appear, not as they are “in themselves.” Solovyov has, it would seem, confused positivism with phenomenalism.

Solovyov’s reading of the development of modern philosophy proceeds along the lines of Hegel’s own interpretation. He sees Hegel’s “panlogism” as the necessary result of Western philosophy. The “necessity” here is clearly conceptual, although Solovyov implicitly accepts without further ado that this necessity has, as a matter of fact, been historically manifested in the form of individual philosophies. Moreover, in line with Hegel’s apparent self-interpretation Solovyov agrees that the former’s system permits no further development. For the latter, at least, this is because, having rejected the law of (non)contradiction, Hegel’s philosophy sees internal contradiction, which otherwise would lead to further development, as a “logical necessity,” i.e., as something the philosophy itself requires and is accommodated within the system itself.

Similarly, Solovyov’s analysis of the movement from Hegelianism to mid-19th century German materialism is largely indebted to the left-Hegelians. Solovyov, however, merely claims that one can exit Hegelianism by acknowledging its fundamental one-sidedness. Yet in the next breath, as it were, he holds that the emergence of empiricism, qua materialism, was necessary. Out of the phenomenalism of empiricism arises Schopenhauer’s philosophy and thence Eduard von Hartmann’s.

All representatives of Western philosophy, including to some extent Schopenhauer and von Hartmann, see rational knowledge as the decomposition of intuition into its sensuous and logical elements. Such knowledge, however, in breaking up the concrete into abstractions without re-synthesizing them, additionally is unable to recognize these abstractions as such but must hypostatize them, that is, assign real existence to them.. Nevertheless, even were we to grant Solovyov’s audacious thesis that all Western philosophers have done this abstraction and hypostatizing, it by no means follows that rational thought necessarily has had to follow this procedure.

According to Solovyov, von Hartmann, in particular, is aware of the one-sidedness of both rationalism and empiricism, which respectively single out the logical and the sense element in cognition to the exclusion of the other. Nevertheless, he too hypostatizes will and idea instead of realizing that the only way to avoid any and all bifurcations is through a recognition of what Solovyov terms “the fundamental metaphysical principle,” namely that the all- encompassing spirit is the truly existent. This hastily enunciated conclusion receives here no further argument. Nor does Solovyov dwell on establishing his ultimate claim that the results of Western philosophical development, issuing in the discovery of the all-encompassing spirit, agree with the religious beliefs of the Eastern Church fathers.

4. Philosophical Principles of Integral Knowledge

This work originally appeared during 1877 as a series of articles in an official journal published by the Ministry of Education (Zhurnal Ministerstva narodnogo prosveshchenija). Of Solovyov’s major writings it is probably the most difficult for the philosopher today to understand owing, to a large degree, to its forced trichotomization of philosophical issues and options and its extensive use of terms drawn from mystical sources even when employed in a quite different sense.

There are three fundamental aspects, or “subjective foundations,” of human life–in Solovyov’s terminology, “forms of being.” They are: feeling, thinking and willing. Each of these has both a personal and a social side, and each has its objective intentional object. These are, respectively, objective beauty, objective truth and the objective good. Three fundamental forms of the social union arise from human striving for the good: economic society, political society (government), and spiritual society. Likewise in the pursuit of truth there arises positive science, abstract philosophy, and theology. Lastly, in the sphere of feeling we have the technical arts, such as architecture, the fine arts and a form of mysticism, which Solovyov emphasizes is an immediate spiritual connection with the transcendent world and as such is not to be confused with the term “mysticism” as used to indicate a reflection on that connection.

Human cultural evolution has literally passed through these forms and done so according to what Solovyov calls “an incontestable law of development.” Economic socialism, positivism and utilitarian realism represent for him the highest point yet of Western civilization and, in line with his earlier work, the final stage of its development. But Western civilization with its social, economic, philosophic and scientific atomization represents only a second, transitional phase in human development. The next, final stage, characterized by freedom from all one- sidedness and elevation over special interests is presently a “tribal character” of the Slavic peoples and, in particular, of the Russian nation.

Although undoubtedly of some historical interest as an expression of and contribution to ideas circulating in Russia as to the country’s role in world affairs, Solovyov expounded all the above without argument and as such is of little interest to contemporary philosophy. Of somewhat greater value is his critique of traditional philosophical directions.

Developing its essential principle to the end, empiricism holds that I know only what the senses tell me. Consequently, I know even of myself only through conscious impressions, which, in turn, means that I am nothing but states of consciousness. Yet my consciousness presupposes me. Thus, we have found that empiricism leads, by reductio ad absurdum, to its self-refutation. The means to avoid such a conclusion, however, lies in recognizing the absolute being of the cognizing subject, which, in short, is idealism.

Likewise, the consistent development of the idealist principle leads to a denial of the epistemic subject and pure thought. The dissolution of these two directions means the collapse of all abstract philosophy. We are left with two choices: either complete skepticism or the view that what truly exists has an independent reality quite apart from our material world, a view Solovyov terms “mysticism.” With mysticism we have, in Solovyov’s view, exhausted all logical options. That is, having seen that holding the truly existing to be either the cognized object or the cognizing subject leads to absurdity, the sole remaining logical possibility is that offered by mysticism, which, thus, completes the “circle of possible philosophical views.” Although empiricism and rationalism (= idealism) rest on false principles, their respective objective contents, external experience, qua the foundation of natural science, and logical thought, qua the foundation of pure philosophy, are to be synthesized or encompassed along with mystical knowledge in “integral knowledge,” what Solovyov terms “theosophy.”

For whatever reason, Philosophical Principles of Integral Knowledge remained incomplete. Despite its expression of his own views, which undoubtedly at this stage were greatly indebted to the Slavophiles, Solovyov altered his original plan to submit this work as a doctoral dissertation. Instead, in April 1880 he defended at St. Petersburg University a large work that he had begun at approximately the same time as the Philosophical Principles and which, like the latter, appeared in serialized form starting in 1877 and as a separate book in 1880.

5. Critique of Abstract Principles

Originally planned to comprise three parts, ethics, epistemology and aesthetics, (which alone already reveals a debt to Kant) the completed work never turned to the last of these, on which, however, Solovyov labored extensively. Nevertheless, owing largely to its traditional philosophical style and its extended treatment of major historical figures, the Critique remains the most accessible of Solovyov’s major early writings today.

(1) Subjective Ethics. Over the course of human development a number of principles have been advanced in pursuit of various goals deemed to be that for which human actions should strive—goals such as pleasure, happiness, fulfilment of duties, adherence to God’s will, etc. Certainly seeking happiness, pleasure, or the fulfilment of duty is not unequivocally wrong. Yet the pursuit of any one of these alone without the others cannot provide a basis for a totally satisfactory ethical system. A higher synthesis or, if you will, a more encompassing unity is needed, one that will reveal how and when any of these particular pursuits is ethically warranted. Such a unity will show the truth, and thereby the error, of singling out any particular moment of the unity as sufficient alone. Doing so, that is, showing the proper place of each principle, showing them as necessary yet inadequate stages on the way to a complete synthetic system is what Solovyov means by “the critical method.”

In the end all moral theories that rest on an empirical basis, something factual in human nature, fail because they cannot provide and account for obligation. The essential feature of moral law, as Solovyov understands the concept, is its absolute necessity for all rational beings. The Kantian influence here is unmistakable and indubitable. Nevertheless, Solovyov parts company with Kant in expressing that a natural inclination in support of an obligatory action enhances the moral value of an action. Since duty is the general form of the moral principle, whereas an inclination serves as the psychological motive for a moral action, i.e., as the material aspect of morality, the two cannot contradict one another.

The Kantian categorical imperative, which Solovyov, in general, endorses, presupposes freedom. Of course, we all feel that our actions are free, but what kind of freedom is this? Here Solovyov approaches phenomenology in stating that the job of philosophy is to analyze this feeling with an eye to determining what it is we are aware of. Undoubtedly, for the most part we can do as we please, but such freedom is freedom of action. The question, however, is whether I can actually want something other than I do, i.e., whether the will is free.

Again like Kant, Solovyov believes all our actions, even the will itself, is, at least viewed empirically, subject to the law of causality. From the moral perspective, however, there is a “causality of freedom,” a freedom to initiate a causal sequence on the part of practical reason. In other words, empirically the will is determined, whereas transcendentally it is free. Solovyov, though, goes on to pose, at least rhetorically, the question whether this transcendental freedom is genuine or could it be that the will is subject to transcendental conditions. In doing so, he reveals that his conception of “transcendental” differs from that of Kant. Nevertheless, waving aside all difficulties associated with a resolution of the metaphysical issue of freedom of the will, Solovyov tells us, ethics has no need of such investigations; reason and empirical inquiry are sufficient. The criteria of moral activity lie in its universality and necessity, i.e., that the principle of one’s action can be made a universal law.

(2) Objective Ethics. In order that the good determine my will I must be subjectively convinced that the consequent action can be realized. This moral action presupposes a certain knowledge of and is conditioned by society. Subjective ethics instructs us that we should treat others not as means but as ends. Likewise, they should treat me as an end. Solovyov terms a community of beings freely striving to realize each other’s good as if it were his or her own good “free communality.” Although some undoubtedly see material wealth as a goal, it cannot serve as a moral goal. Rather, the goal of free communality is the just distribution of wealth, which, in turn, requires an organization to administer fair and equal treatment of and to all, in other words, a political arrangement or government. To make the other person’s good my good, I must recognize such concern as obligatory. That is, I must recognize the other as having rights, which my material interests cannot infringe.

If all individuals acted for the benefit of all, there would be no need for a coordination of interests, for interests would not be in conflict. There is, however, no universal consensus on benefits and often enough individually perceived benefits conflict. In this need for adjudication lies a source of government and law. Laws express the negative side of morality, i.e., they do not say what should be done, but what is not permitted. Thus, the legal order is unable to provide positive directives, precisely because what humans specifically should do and concretely aspire to attain remains conditional and contingent. The absolute, unconditional form of morality demands an absolute, unconditional content, namely, an absolute goal.

As a finite being, the human individual cannot attain the absolute except through positive interaction with all others. Whereas in the legal order each individual is limited by the other, in the aspiration or striving for the absolute the other aids or completes the self. Such a union of beings is grounded psychologically in love. As a contingent being the human individual cannot fully realize an absolute object or goal. Only in the process of individuals working in concert, forming a “total-unity,” does love become a non-contingent state. Only in an inner unity with all does man realize what Solovyov calls “the divine principle.”

Solovyov himself views his position as diametrically opposed to that of Kant, who from absolute moral obligation was led to postulating the existence of God, immortality and human freedom. For Solovyov, the realization of morality presupposes an affirmative metaphysics. Once we progress from Kant’s purely subjective ethics to an objective understanding of ethics, we see the need for a conviction in the theoretical validity of Kant’s three postulates, their metaphysical truth independent of their practical desirability.

Again differing from Kant, and Fichte too, Solovyov at this point in his life rejects the priority of ethics over metaphysics. The genuine force of the moral principle rests on the existence of the absolute order. And the necessary conviction in this order can be had only if we know it to be true, which demands an epistemological inquiry.

(3) Epistemology/Metaphysics. “To know what we should do we must know what is,” Solovyov tells us. To say “what is,” however, is informative only in contrast to saying, at least implicitly, “what is not” — this we already know from the opening pages of Hegel’s Logic. One answer is that the true is that which objectively exists independent of any knowing subject. Here Solovyov leads us down a path strikingly similar, at least in outline, to that taken in the initial chapters of Hegel’s Phenomenology. If the objectively real is the true, then sense certainty is our guarantee of having obtained it. But this certainty cannot be that of an individual knowing subject alone, for truth is objective and thus the same for everyone. Truth must not be in the facts but the things that make up the facts. Moreover, truth cannot be the individual things in isolation, for truths would then be isomorphic with the number of things. Such a conception of truth is vacuous; no, truth is one. With this Solovyov believes he has passed to naturalism.

Of course, our immediate sense experience lacks universality and does not in all its facets correspond to objective reality. Clearly, many qualities of objects, for example, color and taste, are subjective. Thus, reality must be what is general or present in all sense experience. To the general foundation of sensation corresponds the general foundation of things, namely, that conveyed through the sense of touch, i.e., the experience of resistance. The general foundation of objective being is its impenetrability.

Holding true being to be single and impenetrable, however, remains untenable. Through a series of dialectical maneuvers, reminiscent of Hegel, Solovyov arrives at the position that true being contains multiplicity. That is, whereas it is singular owing to absolute impenetrability, it consists of separate particles, each of which is impenetrable. Having in this way passed to atomism, Solovyov provides a depiction largely indebted to Kant’s Metaphysical Foundations of Natural Science. Solovyov recognizes that we have reached atomism, not through some experimental technique but through philosophical, logical reasoning. But every scientific explanation of the ultimate constituents of reality transgresses the bounds of experience. We return to the viewpoint that reality belongs to appearances alone, i.e., what is given in experience. Now, however, our realism has been dialectically transformed into a phenomenal or critical realism.

According to phenomenal realism, absolute reality is ultimately inaccessible to cognition. Nevertheless, that which cognitively is accessible constitutes a relative objectivity and is our sole standard for determining truth and thus knowledge. In this sensualism — for that is what it is — we refer particular sensations to definite objects. These objects are taken as objectively real despite the manifest subjectivity of sensation in general. Thus, objectification, as the imparting of the sense of objectivity onto the content of sensations, must be an independent activity of the cognizing subject.

Objectification, alone, cannot account for the definite object before me to which all my sensations of that object refer as parts or aspects. In addition to objectification there must be a unification or synthesizing of sensations, and this process or act is again distinct from sensing and certainly is not part of the sensation itself. Again evoking an image of Kant in the reader, Solovyov calls the independent cognitive act whereby sense data are formed into definite objective representations the imagination.

The two factors we have discerned, one contributed by the epistemic subject and the other by sensation, are absolutely independent of each other. Cognition requires both, but what connects them remains unanswered. According to Solovyov, any connection implies dependence, but the a priori element certainly cannot be dependent on the empirical. For, following Hume, from the factual we cannot deduce the universality and the necessity of a law. The other alternative is to have the content of true cognition dependent on the forms of reason; such is the approach of Hegel’s absolute rationalism. However, if all the determinations of being are created by cognition, then at the beginning we have only the pure form of cognition, pure thought, a concept of being in general. Solovyov finds such a starting point to be vacuous. For although Hegel correctly realizes the general form of truth to be universality, it is a negative conception from which nothing can be derived. The positive conception is a whole that contains everything in itself, not, as in Hegel, one that everything contains in itself.

For Solovyov, truth, in short, is the whole, and, consequently, each particular fact in isolation from the whole is false. Again Solovyov’s position on rationality bears an uncanny resemblance to that of Hegel, although in the former’s eyes this resemblance is superficial. Reason is the whole, and so the rationality of a particular fact lies in its interrelation with the whole. A fact divorced from the whole is irrational.

True knowledge implies the whole, the truly existent, the absolute. Following Solovyov’s “dialectical” thinking, the absolute, qua absolute, presupposes a non-absolute; one (or the whole) presupposes the many. And, again conjuring up visions of Hegel, if the absolute is the one, the non-absolute is becoming the one. The latter can become the one only if it has the divine element potentially. In nature, the one exists only potentially, whereas in humans it is actual, though only ideally, i.e., in consciousness.

The object of knowledge has three forms: 1) as it appears to us empirically, 2) as conceptually ideal, and 3) as existing absolutely independent of our cognition of it. Our concepts and sensations would be viewed merely as subjective states were it not for the third form. The basis for this form is a third sort of cognition, without which objective truth would elude us. A study of the history of philosophy correctly shows that neither the senses nor the intellect, whether separately or in combination, can satisfactorily account for the third form. Sensations are relative, and concepts conditional. Indeed, the referral of our thoughts and sensations to an object in knowledge, thus, presupposes this third sort of cognition. Such cognition, namely, faith or mystical knowledge, would itself be impossible if the subject and the object of knowledge were completely divorced. In this interaction we perceive the object’s essence or “idea,” its constancy. The imagination (here, let us recall Kant), at a non-conscious level, organizes the manifold given by sense experience into an object via a referral of this manifold to the “idea” of the object.

Solovyov believes he has demonstrated that all knowledge arises through the confluence of empirical, rational and “mystical” elements. Only philosophical analysis can discover the role of the mystical. Just as an isolation of the first two elements has historically led to empiricism and rationalism respectively, so the mystical element has been accentuated by traditional theology. And just as the former directions have given rise to dogmatic manifestations, so too has theology found its dogmatic exponents. The task before us lies in freeing the three directions of their exclusiveness, intentionally integrating and organizing true knowledge into a complete system, which Solovyov called “free theosophy.”

6. The Justification of the Good

After the completion of the works mentioned above, Solovyov largely withdrew from philosophy, both as a profession and its concerns. During the 1880s he devoted himself increasingly to theological and topical social issues of little, if any, concern to the contemporary philosopher. However, in 1894 Solovyov took to preparing a second edition of the Critique of Abstract Principles. Owing, though, to an evolution, and thereby significant changes, in his viewpoint, he soon abandoned this venture and embarked on an entirely new statement of his philosophical views. Just as in his earlier treatise, Solovyov again intended to treat ethical issues before turning to an epistemological inquiry.

The Justification of the Good appeared in book form in 1897. Many, though not all, of its chapters had previously been published in several well-known philosophical and literary journals over the course of the previous three years. Largely in response to criticisms of the book or its serialized chapters, Solovyov managed to complete a second edition, which was published in 1899 and accompanied by a new preface.

Most notably, Solovyov now holds that ethics is an independent discipline. In this he finds himself in solidarity with Kant, who made this “great discovery,” as Solovyov put it. Knowledge of good and evil is accessible to all individuals possessing reason and a conscience and needs neither divine revelation nor epistemological deduction. Although philosophical analysis surely is unable to instill a certainty that I, the analyst, alone exist, solipsism even if true would eliminate only objective ethics. There is another, a subjective side to ethics that concerns duties to oneself. Likewise, morality is independent of the metaphysical question concerning freedom of the will. From the independence of ethics Solovyov draws the conclusion that life has meaning and, coupled with this, we can legitimately speak of a moral order.

The natural bases of morality, from which ethics as an independent discipline can be deduced and which form the basis of moral consciousness, are shame, pity and reverence. Shame reveals to man his higher human dignity. It sets the human apart from the animal world. Pity forms the basis of all of man’s social relations to others. Reverence establishes the moral basis of man’s relation to that which is higher to himself and, as such, is the root of religion.

Each of the three bases, Solovyov tells us, may be considered from three sides or points of view. Shame as a virtue reveals itself as modesty, pity as compassion and reverence as piety. All other proposed virtues are essentially expressions of one of these three. The other two points of view, as a principle of action and as a condition of an ensuing moral action, are interconnected with the first such that the first logically contains the others.

Interestingly, truthfulness is not itself a formal virtue. Solovyov opposes one sort of extreme ethical formalism, arguing that making a factually false statement is not always a lie in the moral sense. The nature of the will behind the action must be taken into account.

Likewise, despite his enormous respect for Kant’s work in the field of ethics, Solovyov rejects viewing God and the immortality of the soul as postulates. God’s existence, he tells us, is not a deduction from religious feeling or experience but its immediate content, i.e., that which is experienced. Furthermore, he adds that God and the soul are “direct creative forces of moral reality.” How we are to interpret these claims in light of the supposed independence of ethics is contentious unless, of course, we find Solovyov guilty of simple-mindedness. Indeed one of his own friends [Trubeckoj] wrote: “It is not difficult to convince ourselves that these arguments about the independence of ethics are refuted on every later page in the Justification of the Good.” However we look upon Solovyov’s pronouncements, the Deity plays a significant role in his ethics. Solovyov provides a facile answer to the perennial question of how a morally perfect God can permit the existence of evil: Its elimination would mean the annihilation of human freedom thereby rendering free goodness (good without freedom is imperfect) impossible. Thus, God permits evil, because its removal would be a greater evil.

Often, all too often, Solovyov is prone to express himself in metaphysical, indeed theological, terms that do little to clarify his position. The realization of the Kingdom of God, he tells us, is the goal of life. What he means, however, is that the realization of a perfect moral order, in which the relations between individuals and the collective whole’s relations to each individual are morally correct, is all that can be rationally desired. Each of us understands that the attainment of moral perfection is not a solipsistic enterprise, i.e., that the Kingdom of God can only be achieved if we each want it and collectively attain it. The individual can attain the moral ideal only in and through society. Christianity alone offers the idea of the perfect individual and the perfect society. Other ideas have been presented (Solovyov mentions Buddhism and Platonism), of course, and these have been historically necessary for the attainment of the universal human consciousness that Christianity promises.

Man’s correct relations to God, his fellow humans and his own material nature, in accordance with the three foundations of morality – piety, pity (compassion) and shame – are collectively organized in three forms. The Church is collectively organized piety, whereas the state is collectively organized pity or compassion. To view the state in such terms already tells us a great deal concerning how Solovyov views the state’s mission and, consequently, his general stand toward laissez-faire doctrines. Although owing to the connection between legality and morality one can speak of a Christian state, this is not to say that in pre-Christian times the state had no moral foundations. Just as the pagan can know the moral law “written in his heart,” (an expression of St. Paul’s that Solovyov was fond of invoking but also reminiscent of Kant’s “the moral law within”) so too the pagan state has two functions: 1) to preserve the foundation of social life necessary for continued human existence, and 2) to improve the condition of humanity.

At the end of The Justification of the Good Solovyov attempts in the most cursory fashion to make a transition to epistemology. He claims that the struggle between good and evil raises the question of the latter’s origin, which in turn ultimately requires an epistemological inquiry. That ethics is an independent discipline does not mean that it is not connected to metaphysics and the theory of knowledge. One can study ethics in its entirety without first having answers to all other philosophical problems much as one can be an excellent swimmer without knowing the physics of buoyancy.

7. Theoretical Philosophy

During the last few years of his life Solovyov sought to recast his thoughts on epistemology. Surely he intended to publish in serial fashion the various chapters of a planned book on the topic, much as he did The Justification of the Good. Unfortunately at the time of his death in 1900 only three chapters were completed, and it is only on the basis of these that we can judge his new standpoint. Nevertheless, on the basis of these meager writings we can already see that Solovyov’s new epistemological reflections exhibit a greater transformation of his thoughts on the subject than does his ethics. Whereas a suggested affinity between these ideas and later German phenomenology must be viewed with caution and, in light of his earlier thoughts, a measure of skepticism, there can be little doubt that to all appearances Solovyov spoke and thought in this late work in a philosophical idiom close to that with which we have become familiar in the 20th century.

For Solovyov epistemology concerns itself with the validity of knowledge in itself, that is, not in terms of whether it is useful in practice or provides a basis for an ethical system that has for whatever reason been accepted. Perhaps not surprisingly then, particularly in light of his firm religious views, Solovyov adheres to a correspondence theory, saying that knowledge is the agreement of a thought of an object with the actual object. The open questions are how such an agreement is possible and how do we know that we know.

The Cartesian “I think, therefore I am” leads us virtually nowhere. Admittedly the claim contains indubitable knowledge, but it is merely that of a subjective reality. I might just as well be thinking of an illusory book as of an actually existing one. How do we get beyond the “I think”? How do we distinguish a dream from reality? The criteria are not present in the immediacy of the consciously intended object. To claim as did some Russian philosophers in his own day that the reality of the external world is an immediately given fact appears to Solovyov an arbitrary opinion hardly worthy of philosophy. Nor is it possible to deduce from the Cartesian inference that the I is a thinking substance. Here is the root of Descartes’ error. The self discovered in self-consciousness has the same status as the object of consciousness, i.e., both have phenomenal existence. If we cannot say what this object of my consciousness is like in itself, i.e., apart from my conscious acts, so too we cannot say what the subject of consciousness is apart from consciousness and for the same reason. Likewise, just as we cannot speak about the I in itself, so too we cannot answer to whom consciousness belongs.

In “The Reliability of Reason,” the second article comprising the Theoretical Philosophy, Solovyov concerns himself with affirming the universality of logical thought. In doing so he stands in opposition to the popular reductionisms, e.g., psychologism, that sought to deny any extra-temporal significance to logic. Thought itself, Solovyov tells us, requires recollection, language and intentionality. Since any logical thought is, nevertheless, a thought and since thought can be analyzed in terms of psychic functions, one could conceivably charge Solovyov with lapsing back into a psychologism, in precisely the same way as some critics have charged Husserl with doing so. And much the same defenses of Husserl’s position can also be used in reply to the objection against Solovyov’s stance.

The third article, “The Form of Rationality and the Reason of Truth,” published in 1898, concerns itself with the proper starting points of epistemology. The first such point is the indubitable veracity of the given in immediate consciousness. There can be no doubt that the pain I experience upon stubbing my toe is genuine. The second starting point of epistemology is the objective, universal validity of rational thought. Along with Hume and Kant, Solovyov does not dispute that factual experience can provide claims only to conditional generality. Rationality alone provides universality. This universality, however, is merely formal. To distinguish the rational form from the conditional content of thought is the first essential task of philosophy. Taking up this challenge is the philosophical self or subject. Solovyov concludes, again as he always does, with a triadic distinction between the empirical subject, the logical subject and the philosophical subject. And although he labels the first the “soul,” the second the “mind” and the third the “spirit,” the trichotomy is contrived and the labeling, at best, imaginative with no foundation other than in Solovyov’s a priori architectonic.

8. Concluding Remarks

Solovyov’s relatively early death, brought on to some degree by his erratic life-style, precluded the completion of his last philosophical work. He also intended to turn his attention eventually towards aesthetics, but whether he would ever have been able to complete such a project remains doubtful. Solovyov was never at any stage of his development able to complete a systematic treatise on the topic, although he did publish a number of writings on the subject.

However beneficial our reading of Solovyov’s works may be, there can be little doubt that he was very much a 19th-century figure. We can hardly take seriously his incessant predilection for triadic schemes, far in excess to anything similar in the German Idealists. His choice of terminology, drawn from an intellectual fashion of his day, also poses a formidable obstacle to the contemporary reader.

Lastly, despite, for example, an often perspicacious study of his philosophical predecessors, written during his middle years, Solovyov, in clinging obstinately to his rigid architectonic, failed to penetrate further than they. Indeed, he often fell far short of their achievements. His discussion of imagination, for example, as we saw, is much too superficial, adding nothing to that found in Kant. These shortcomings, though, should not divert us from recognizing his genuinely useful insights.

After his death, with interest surging in the mystical amid abundant decadent trends, so characteristic of decaying cultures, Solovyov’s thought was seized upon by those far less interested in philosophical analysis than he was towards the end. Those who invoked his name so often in the years immediately subsequent to his death stressed the religious strivings of his middle years to the complete neglect of his final philosophical project, let alone its continuation and completion. In terms of Solovyov-studies today the philosophical project of discovering the “rational kernel within the mystical shell” [Marx], of separating the “living from the dead” [Croce], remains not simply unfulfilled but barely begun.

9. References and Further Reading

a. Primary Sources

  • Sobranie sochinenij, St. Petersburg: Prosveshchenie, 1911-14.
  • Sobranie sochinenij, Brussels: Zhizn s Bogom, 1966-70.ENGLISH TRANSLATIONS
  • The Crisis of Western Philosophy (Against the Positivists), trans. by Boris Jakim, Hudson, NY: Lindisfarne Press, 1996.
  • Lectures on Divine Humanity, ed. by Boris Jakim, Lindisfarne Press, 1995.
  • The Justification of the Good, trans. by N. Duddington, New York: Macmillan, 1918.
  • “Foundations of Theoretical Philosophy,” trans. by Vlada Tolley and James P. Scanlan, in Russian Philosophy, ed. James
  • M. Edie, et al., Chicago: University of Chicago Press, 1965, vol. III, pp. 99-134.

b. Secondary Sources (mentioned above)

  • Helmut Dahm, Vladimir Solovyev and Max Scheler: Attempt at a Comparative Interpretation, Dordrecht, Holland: D. Reidel Publishing Company, 1975.
  • Zdenek V. David, “The Influence of Jacob Boehme on Russian Religious Thought,” Slavic Review, 21(1962), 1, pp. 43-64.
  • Aleksej Losev, Vladimir Solov’ev, Moscow: Mysl’, 1983.
  • Ludolf Mueller, Solovjev und der Protestantismus, Freiburg: Verlag Herder, 1951.
  • Joseph L. Navickas, “Hegel and the Doctrine of Historicity of Vladimir Solovyov,” in The Quest for the Absolute, ed.
  • Frederick J. Adelmann, The Hague: M. Nijhoff, 1966, pp. 135-154.
  • Louis J. Shein, “V.S. Solov’ev’s Epistemology: A Re-examination,” Canadian Slavic Studies, Spring 1970, vol. 4, no. 1, pp. 1-16.
  • E. N. Trubeckoj, Mirosozercanie V. S. Solov’eva, 2 vols., Moscow: Izdatel’stvo “Medium,” 1995,
  • Aleksandr I. Vvedenskij, “O misticizme i kriticizme v teorii poznanija V. S. Solov’eva,” Filosofskie ocherki, Prague: Plamja, 1924, pp. 45-71.

Author Information

Thomas Nemeth
Email: t_nemeth@yahoo.com
U. S. A.

Laws of Nature

Laws of Nature are to be distinguished both from Scientific Laws and from Natural Laws. Neither Natural Laws, as invoked in legal or ethical theories, nor Scientific Laws, which some researchers consider to be scientists’ attempts to state or approximate the Laws of Nature, will be discussed in this article. Instead, it explores issues in contemporary metaphysics.

Within metaphysics, there are two competing theories of Laws of Nature. On one account, the Regularity Theory, Laws of Nature are statements of the uniformities or regularities in the world; they are mere descriptions of the way the world is. On the other account, the Necessitarian Theory, Laws of Nature are the “principles” which govern the natural phenomena of the world. That is, the natural world “obeys” the Laws of Nature. This seemingly innocuous difference marks one of the most profound gulfs within contemporary philosophy, and has quite unexpected, and wide-ranging, implications.

Some of these implications involve accidental truths, false existentials, the correspondence theory of truth, and the concept of free will. Perhaps the most important implication of each theory is whether the universe is a cosmic coincidence or driven by specific, eternal laws of nature.  Each side takes a different stance on each of these issues, and to adopt either theory is to give up one or more strong beliefs about the nature of the world.

Table of Contents

  1. Laws of Nature vs. Laws of Science
  2. The Two Principal Views
    1. Regularity
    2. Necessitarianism
  3. Shared Elements in the Competing Theories
  4. The Case for Necessitarianism
    1. Accidental Truths vs. Laws of Nature
    2. False Existentials
    3. Doom vs. Failure
  5. The Case for Regularity
    1. Naturalizing Philosophy
    2. Revisiting Physical Impossibility
    3. Regularity and Explanation
    4. Problems with Necessitarianism I—Its Inverting the Truth-making Relation
    5. Problems with Necessitarianism II—Its Unempiricalness
    6. The Regularists’ Trump Card—The Dissolution of the Problem of Free Will and Determinism
  6. Statistical Laws
  7. Is the Order in the Universe a Cosmic Coincidence?
  8. Notes
  9. References and Further Reading

1. Laws of Nature vs. Laws of Science

In 1959, at the annual meeting of the American Association for the Advancement of Sciences, Michael Scriven read a paper that implicitly distinguished between Laws of Nature and Laws of Science. Laws of Science (what he at that time called “physical laws”) – with few exceptions – are inaccurate, are at best approximations of the truth, and are of limited range of application. The theme has since been picked up and advanced by Nancy Cartwright.

If scientific laws are inaccurate, then – presumably – there must be some other laws (statements, propositions, principles), doubtless more complex, which are accurate, which are not approximation to the truth but are literally true.

When, for example, generations of philosophers have agonized over whether physical determinism precludes the existence of free will (for example, Honderich), they have been concerned with these latter laws, the laws of nature itself.

It is the explication of these latter laws, the Laws of Nature, that is the topic of this article. It does not examine the “approximate truths” of science. Thus, to cite just one example, the controversy over whether scientific laws are (merely) instruments lies outside the topic of this article.

2. The Two Principal Views

Theories as to the features of Laws of Nature fall into two, quite distinct, schools: the Humeans (or Neo-Humeans) on the one side, the Necessitarians on the other.

a. Regularity

Recent scholarship (for example, that of J. Wright and of Beauchamp and Rosenberg) makes a convincing case that the received view as to what David Hume offered as an explication of the concept of law of nature was quite mistaken, indeed the very opposite of what Hume was arguing. What, historically, until late in the Twentieth Century, was called the “Humean” account of Laws of Nature was a misnomer. Hume himself was no “Humean” as regards laws of nature. Hume, it turns out, was a Necessitarian – i.e. believed that laws of nature are in some sense “necessary” (although of course not logically necessary). His legendary skepticism was epistemological. He was concerned, indeed even baffled, how our knowledge of physical necessity could arise. What, in experience, accounted for the origin of the idea? What, in experience, provided evidence of the existence of the property? He could find nothing that played such a role.

Yet, in spite of his epistemological skepticism, he persisted in his belief that laws of nature are (physical) necessities. So as not to perpetuate the historical error as to what “Humean” properly connotes, this arsticle abandons that term altogether and adopts the relatively unproblematical term “Regularity” in its stead. At the very least, the Regularists’ Theory of Laws of Nature denies that Laws of Nature are ‘physically necessary’. There is no physical necessity, either in laws or in nature itself. There is no intermediate state between logical necessity on the one hand and sheer contingency on the other.

b. Necessitarianism

Necessitarians, in contrast, argue that there is physical (or as they sometimes call it “nomic” or “nomological”) necessity. They offer two different accounts. According to some Necessitarians, physical necessity is a property of the Laws of Nature (along with truth, universality, etc.); according to other Necessitarians, physical necessity inheres in the very woof and warp (the stuff and structure) of the universe.

Thus, for example, on the first of these two Necessitarian theories, electrons will bear the electrical charge -1.6 x 10-19 Coulombs because there is a Law of Nature to that effect, and the universe conforms to, or is ‘governed’ by, this physically necessary (i.e. nomological) principle (along with a number of others, of course).

On the second of the two Necessitarian theories, the “necessity” of an electron’s bearing this particular electrical charge “resides” in the electron itself. It is of the very ‘nature’ of an electron, by necessity, to have this particular electrical charge. On this latter account, the statement “All electrons bear a charge of -1.6 x 10-19 Coulombs” is a Law of Nature because it correctly (veridically) describes a physical necessity in the world.[ 1 ]

3. Shared Elements in the Competing Theories

Regularists and Necessitarians agree as to five conditions necessary for a statement’s being a Law of Nature.

Laws of Nature
1. are factual truths, not logical ones; “The boiling point of sulfur is 444.6° Celsius” expresses a factual truth. “Every number has a double” expresses a logical truth.
2. are true for every time and every place in the universe; There are no laws of nature that hold just for the planet earth (or the Andromeda Galaxy, for that matter), nor are there any that hold just for the Eighteenth Century or just for the Mesozoic Era.
3. contain no proper names; Laws of nature may contain general concepts, such as “mass”, “color”, “aptitude”, “capital”, “diabetes”, “return on investments”, etc.; but may not contain such terms as “the Fraser River”, “the planet Earth”, “$59.22”, “June 18, 1935”, “IBM”, etc.
4. are universal or statistical claims; and “(All pure) copper conducts electricity” expresses a law of nature. But “Stars exist” (although true) does not express a law of nature: it is neither a universal nor a statistical claim.
5. are conditional claims, not categorical ones. Categorical claims which are equivalent to conditional claims (e.g. “There are no perpetual motion machines of the first kind” which is equivalent to “If anything is a perpetual motion machine then it is not of the first kind”) are candidates for lawfulness.[ 2 ]

Categorical claims (e.g., again, “There are stars”) which are not equivalent to conditionals are not candidates for lawfulness.

Note: Laws of physics which are expressed mathematically are taken to be elliptical for conditional truths. For example, the law “mv = mo/(1 – v2/c2)½ ” is to be read as equivalent to “for any massy object, if its velocity is v, then its mass [mv] is equal to its rest mass [mo] divided by …”

Are these five conditions jointly sufficient for a proposition’s being a Law of Nature? Regularists say “yes”; Necessitarians, “no”.

4. The Case for Necessitarianism

Necessitarians lay claim to a number of examples which, they say, can be explicated only by positing a sixth necessary condition for laws of nature, namely, by positing natural (physical /nomic /nomological) necessity.

a. Accidental Truths vs. Laws of Nature

Moas (a large flightless bird that lived in New Zealand) have been extinct for more than a century. We can assume (this example is Popper’s [The Logic of Scientific Discovery, Appendix *x]) that some one of them (we needn’t know which one) was the oldest Moa ever to have lived. Suppose it died at the age of n years. Thus the statement “No moa lives beyond the age of n years” is true (where “lives” is being used as a tenseless verb). Moreover this statement satisfies all the other necessary conditions specified above.

But, Necessitarians will argue, the statement “No moa lives beyond the age of n years” is not a law of nature. It is counterintuitive to believe that such a statement could be on the same (metaphysical) footing as “No perpetual motion machine of the first kind exists”, or, citing another example, “No object having mass is accelerated beyond the speed of light”. The latter statements are bona fide laws of nature; the former a mere ‘accidental’ truth. The difference lies in the (alleged) fact that the latter two cases (about perpetual motion machines and about massy objects) are physically necessary truths; the former (about moas) is a mere accidental truth. To use Popper’s terminology, genuine laws of nature “forbid” certain things to happen; accidental truths do not. Suppose the oldest moa – we’ll call him Ludwig – died, of an intestinal infection, at the age of (let’s say) 12 years. (I haven’t any idea what the average life span of moas was. It’s irrelevant for our purposes.) Now suppose that Ludwig had a younger brother, Johann, hatched from the same clutch of eggs, one hour later than Ludwig himself. Poor Johann – he was shot by a hunter 10 minutes before Ludwig died of his illness. But, surely, had Johann not been shot, he would have lived to a greater age than Ludwig. Unlike his (very slightly) older brother, Johann was in perfect health. Johann was well on his way to surviving Ludwig; it’s just that a hunter dispatched him prematurely. His death was a misfortune; it was not mandated by a law of nature.

b. False Existentials

False existential statements of the sort “Some silver burns at -22° Celsius” and “There is a river of cola” are logically equivalent to statements satisfying all of the five necessary conditions specified above. If those conditions were to constitute a set of sufficient conditions for a statement’s being a law of nature, then the statement “No river is constituted of cola” would be a law of nature.[ 3 ]

The oddity goes even more deeply. Given that what it is to be physically impossible is to be logically inconsistent with a law of nature, then every false existential statement of the sort “Some S is P” or “There is an S that is a P” would turn out to be, not just false, but physically impossible.

But surely the statement “There is a river of cola”, although false, is not physically impossible. There could be such a river. It would merely require a colossal accident (such as befell Boston in 1912 when a huge vat of molasses ruptured), or the foolish waste of a great deal of money.

If “there is a river of cola” is not to be regarded as physically impossible, then some one or more further conditions must be added to the set of necessary conditions for lawfulness. Physical necessity would seem to be that needed further condition.

c. Doom vs. Failure

Suppose (1) that Earth is the only planet in the universe to have supported intelligent life; and (2) that all life on Earth perished in 1900 when the earth was struck by a meteor 10,000 km in diameter. Clearly, under those conditions, the Wright Brothers would never have flown their plane at Kitty Hawk. Even though tinkerers and engineers had been trying for centuries to build a heavier-than-air motorized flying machine, everyone had failed to produce one. But their failure was merely failure; these projects were not doomed. Yet, if the universe had had the slightly different history just described, the statement “there is a heavier-than-air motorized flying machine” would turn out to be physically impossible; hence the project was doomed. But, Necessitarians will argue, not all projects that fail are doomed. Some are doomed, for example, any attempt to accelerate a massy object beyond the speed of light, or, for example, to build a perpetual motion machine of the first kind. Again, just as in the case of accidental truths and lawful truths, we do not want to collapse the distinction between doom and failure. Some projects are doomed; others are mere failures. The distinction warrants being preserved, and that requires positing physical necessity (and—what is the other side of the same coin—physical impossibility).

5. The Case for Regularity

With the dawning of the modern, scientific, age came the growing realization of an extensive sublime order in nature. To be sure, humankind has always known that there is some order in the natural world—for example, the tides rise and fall, the moon has four phases, virgins have no children, water slakes thirst, and persons grow older, not younger. But until the rise of modern science, no one suspected the sweep of this order. The worldview of the West has changed radically since the Renaissance. From a world which seemed mostly chaotic, there emerged an unsuspected underlying order, an order revealed by physics, chemistry, biology, economics, sociology, psychology, neuroscience, geology, evolutionary theory, pharmacology, epidemiology, etc.

And so, alongside the older metaphysical question, “Why is there anything, rather than nothing?”, there arises the newer question, “Why is the world orderly, rather than chaotic?” How can one explain the existence of this pervasive order? What accounts for it?

a. Naturalizing Philosophy

Even as recently as the Eighteenth Century, we find philosophers (e.g. Montesquieu) explicitly attributing the order in nature to the hand of God, more specifically to His having imposed physical laws on nature in much the same way as He imposed moral laws on human beings. There was one essential difference, however. Human beings – it was alleged – are “free” to break (act contrary to) God’s moral laws; but neither human beings nor the other parts of creation are free to break God’s physical laws.

In the Twentieth Century virtually all scientists and philosophers have abandoned theistic elements in their accounts of the Laws of Nature. But to a very great extent—so say the Regularists—the Necessitarians have merely replaced God with Physical Necessity. The Necessitarians’ nontheistic view of Laws of Nature surreptitiously preserves the older prescriptivist view of Laws of Nature, namely, as dictates or edicts to the natural universe, edicts which – unlike moral laws or legislated ones – no one, and no thing, has the ability to violate.

Regularists reject this view of the world. Regularists eschew a view of Laws of Nature which would make of them inviolable edicts imposed on the universe. Such a view, Regularists claim, is simply a holdover from a theistic view. It is time, they insist, to adopt a thoroughly naturalistic philosophy of science, one which is not only purged of the hand of God, but is also purged of its unempirical latter-day surrogate, namely, nomological necessity. The difference is, perhaps, highlighted most strongly in Necessitarians saying that the Laws of Nature govern the world; while Regularists insist that Laws of Nature do no more or less than correctly describe the world.

b. Revisiting Physical Impossibility

Doubtless the strongest objection Necessitarians level against Regularists is that the latter’s theory obliterates the distinction between laws of nature (for example, “No massy object is accelerated beyond the speed of light”) and accidental generalizations (e.g. “No Moa lives more than n years”). Thus, on the Regularists’ account, there is a virtually limitless number of Laws of Nature. (Necessitarians, in contrast, typically operate with a view that there are only a very small number, a mere handful, of Laws of Nature, that these are the ‘most fundamental’ laws of physics, and that all other natural laws are logical consequences of [i.e. ‘reducible to’] these basic laws. I will not further pursue the issue of reductivism in this article.)

What is allegedly wrong with there being no distinction between accidental generalizations and ‘genuine’ Laws of Nature? Just this (say the Necessitarians): if there is a virtually limitless number of Laws of Nature, then (as we have seen above) every false existential statement turns out to be physically impossible and (again) the distinction between (mere) failure and doom is obliterated.

How can Regularists reply to this seemingly devastating attack, issuing as it does from deeply entrenched philosophical intuitions?

Regularists will defend their theory against this particular objection by arguing that the expression “physically impossible” has different meanings in the two theories: there is a common, or shared, meaning of this expression in both theories, but there is an additional feature in the Necessitarians’ account that is wholly absent in the Regularists’.

The common (i.e. shared) meaning in “physically impossible” is “inconsistent with a Law of Nature”. That is, anything that is inconsistent with a Law of Nature is “physically impossible”. (On a prescriptivist account of Laws of Nature, one would say Laws of Nature “rule out” certain events and states-of-affairs.)

On both accounts – Necessitarianism and Regularity – what is physically impossible never, ever, occurs – not in the past, not at present, not in the future, not here, and not anywhere else.

But on the Necessitarians’ account, there is something more to a physically impossible event’s nonoccurrence and something more to a physically impossible state-of-affair’s nonexistence. What is physically impossible is not merely nonoccurrent or nonexistent. These events and states-of-affairs simply could not occur or exist. There is, then, in the Necessitarians’ account, a modal element that is entirely lacking in the Regularists’ theory. When Necessitarians say of a claim – e.g. that someone has built a perpetual motion machine of the first kind – that it is physically impossible, they intend to be understood as claiming that not only is the situation described timelessly and universally false, it is so because it is nomically impossible.

In contrast, when Regularists say that some situation is physically impossible – e.g. that there is a river of cola – they are claiming no more and no less than that there is no such river, past, present, future, here, or elsewhere. There is no nomic dimension to their claim. They are not making the modal claim that there could not be such a river; they are making simply the factual (nonmodal) claim that there timelessly is no such river. (Further reading: ‘The’ Modal Fallacy.)

According to Regularists, the concept of physical impossibility is nothing but a special case of the concept of timeless falsity. It is only when one imports from other theories (Necessitarianism, Prescriptivism, and so forth) a different, modal, meaning of the expression, that paradox seems to ensue. Understand the ambiguity of the expression, and especially its nonmodal character in the Regularity theory, and the objection that the Necessitarians level is seen to miss its mark.

(There is an allied residual problem with the foundations of Necessitarianism. Some recent authors [e.g. Armstrong and Carroll] have written books attempting to explicate the concept of nomicity. But they confess to being unable to explicate the concept, and they ultimately resort to treating it as an unanalyzable base on which to erect a theory of physical lawfulness.)

c. Regularity and Explanation

Another philosophical intuition that has prompted the belief in Necessitarianism has been the belief that to explain why one event occurred rather than another, one must argue that the occurring event “had to happen” given the laws of nature and antecedent conditions. In a nutshell, the belief is that laws of nature can be used to explain the occurrence of events, accidental generalizations—’mere truths devoid of nomic force’—can not be so utilized.

The heyday of the dispute over this issue was the 1940s and 50s. It sputtered out, in more or less an intellectual standoff, by the late 60s. Again, philosophical intuitions and differences run very deep. Regularists will argue that we can explain events very well indeed, thank you, in terms of vaguely circumscribed generalities; we do not usually invoke true generalities, let alone true generalities that are assumed to be nomically necessary. In short, we can, and indeed do several times each day, explain events without supposing that the principles we cite are in any sense necessary. Regularists will point to the fact that human beings had, for thousands of years, been successfully explaining some events in their environment (e.g. that the casting cracked because it had been cooled down too quickly) without even having the concept of nomicity, much less being able to cite any nomologically necessary universal generalizations.

Necessitarianism, on this view, then, is seen to dovetail with a certain – highly controversial – view of the nature of explanation itself, namely, that one can explain the occurrence of an event only when one is in a position to cite a generalization which is nomologically necessary. Few philosophers are now prepared to persist with this view of explanation, but many still retain the belief that there are such things as nomologically necessary truths. Regularists regard this belief as superfluous.

d. Problems with Necessitarianism I—Its Inverting the Truth-making Relation

Religious skeptics – had they lived in a society where they might have escaped torture for asking the question – might have wondered why (/how) the world molds itself to God’s will. God, on the Prescriptivist view of Laws of Nature, commanded the world to be certain ways, e.g. it was God’s will (a law of nature that He laid down) that all electrons should have a charge of -1.6 x 10-19 Coulombs. But how is all of this supposed to play out? How, exactly, is it that electrons do have this particular charge? It is a mighty strange, and unempirical, science that ultimately rests on an unintelligible power of a/the deity.

Twentieth-century Necessitarianism has dropped God from its picture of the world. Physical necessity has assumed God’s role: the universe conforms to (the dictates of? / the secret, hidden, force of? / the inexplicable mystical power of?) physical laws. God does not ‘drive’ the universe; physical laws do.

But how? How could such a thing be possible? The very posit lies beyond (far beyond) the ability of science to uncover. It is the transmuted remnant of a supernatural theory, one which science, emphatically, does not need.

There is another, less polemical, way of making the same point.

Although there are problems aplenty in Tarski’s theory of truth (i.e. the semantic theory of truth, also called the “correspondence theory of truth”), it is the best theory we have. Its core concept is that statements (or propositions) are true if they describe the world the way it is, and they are false otherwise. Put metaphorically, we can say that truth flows to propositions from the way the world is. Propositions ‘take their truth’ from the world; they do not impose their truth on the world. If two days before an election, Tom says “Sylvia will win”, and two days after the election, Marcus says, “Sylvia won”, then whether these statements are true or false depends on whether or not Sylvia is elected. If she is, both statements are true; if she is not, then both statements are false. But the truth or falsity of those statements does not bring about her winning (or losing), or cause her to win (or lose), the election. Whether she wins or loses is up to the voters, not to certain statements.

Necessitarians – unwittingly perhaps – turn the semantic theory of truth on its head. Instead of having propositions taking their truth from the way the world is, they argue that certain propositions – namely the laws of nature – impose truth on the world.

The Tarskian truth-making relation is between events or state-of-affairs on the one hand and properties of abstract entities (propositions) on the other. As difficult as it may be to absorb such a concept, it is far more difficult to view a truth-making relationship the ‘other way round’. Necessitarianism requires that one imagine that a certain privileged class of propositions impose their truth on events and states of affairs. Not only is this monumental oddity of Necessitarianism hardly ever noticed, no one has ever tried to offer a theory as to its nature.

e. Problems with Necessitarianism II—Its Unempiricalness

Eighteenth-century empiricists (Hume most especially) wondered where, in experience, there was anything that prompted the concept of physical necessity. Experience, it would seem, provides at best only data about how the world is, not how it must be, i.e. experience provides data concerning regularity, not (physical) necessity. Hume’s best answer, and it is clearly inadequate, lay in a habit of mind.

Twentieth-century empiricists are far more concerned with the justification of our concepts than with their origins. So the question has now evolved to “what evidence exists that warrants a belief in a physical necessity beyond the observed and posited regularities in nature?”

A number of Necessitarians (see, for example, von Wright) have tried to describe experiments whose outcomes would justify a belief in physical necessity. But these thought-experiments are impotent. At best – as Hume clearly had seen – any such experiment could show no more than a pervasive regularity in nature; none could demonstrate that such a regularity flowed from an underlying necessity.

f. The Regularists’ Trump Card—The Dissolution of the Problem of Free Will and Determinism

In the Regularity theory, the knotted problem of free will vs. determinism is solved (or better, “dissolved”) so thoroughly that it cannot coherently even be posed.

On the Regularists’ view, there simply is no problem of free will. We make choices – some trivial, such as to buy a newspaper; others, rather more consequential, such as to buy a home, or to get married, or to go to university, etc. – but these choices are not forced upon us by the laws of nature. Indeed, it is the other way round. Laws of nature are (a subclass of the) true descriptions of the world. Whatever happens in the world, there are true descriptions of those events. It’s true that you cannot “violate” a law of nature, but that’s not because the laws of nature ‘force’ you to behave in some certain way. It is rather that whatever you do, there is a true description of what you have done. You certainly don’t get to choose the laws that describe the charge on an electron or the properties of hydrogen and oxygen that explain their combining to form water. But you do get to choose a great many other laws. How do you do that? Simply by doing whatever you do in fact do.

For example, if you were to choose(!) to raise your arm, then there would be a timelessly true universal description (let’s call it “D4729”) of what you have done. If, however, you were to choose not to raise your arm, then there would be a (different) timelessly true universal description (we can call it “D5322”) of what you did (and D4729 would be timelessly false).

Contrary to the Necessitarians’ claim – that the laws of nature are not of our choosing – Regularists argue that a very great many laws of nature are of our choosing. But it’s not that you reflect on choosing the laws. You don’t wake up in the morning and ask yourself “Which laws of nature will I create today?” No, it’s rather that you ask yourself, “What will I do today?”, and in choosing to do some things rather than others, your actions – that is, your choices – make certain propositions (including some universal statements containing no proper names) true and other propositions false.

A good example embodying the Regularists’ view can be found in the proposition, attributed to Sir Thomas Gresham (1519?-1579) but already known earlier, called – not surprisingly – “Gresham’s Law”:

[Gresham’s Law is] the theory holding that if two kinds of money in circulation have the same denominational value but different intrinsic values, the money with higher intrinsic value will be hoarded and eventually driven out of circulation by the money with lesser intrinsic value.

In effect what this “law” states is that ‘bad money drives out good’. For example, in countries where the governments begin issuing vast amounts of paper money, that money becomes next-to-worthless and people hoard ‘good’ money, e.g. gold and silver coins, that is, “good” money ceases to circulate.

Why, when paper money becomes virtually worthless, do people hoard gold? Because gold retains its economic value – it can be used in emergencies to purchase food, clothing, flight (if need be), medicine, etc., even when “bad” paper money will likely not be able to be so used. People do not hoard gold under such circumstances because Gresham’s “Law” forces them to do so. Gresham’s “Law” is purely descriptive (not prescriptive) and illustrates well the point Regularists insist upon: namely, that laws of economics are not causal agents – they do not force the world to be some particular way rather than another. (Notice, too, how this non-nomological “Law” works perfectly adequately in explaining persons’ behavior. Citing regularities can, and does, explain the way the world is. One does not need to posit an underlying, inaccessible, nomicity.)

The manner in which we regard Gresham’s “Law” ought, Regularists suggest, to be the way we regard all laws of nature. The laws of physics and chemistry are no different than the laws of economics. All laws of nature – of physics, of chemistry, of biology, of economics, of psychology, of sociology, and so forth – are nothing more, nor anything less, than (a certain subclass of) true propositions.

Persons who believe that there is a problem reconciling the existence of free will and determinism have turned upside down the relationship between laws of nature on the one side and events and states of affairs on the other. It is not that laws of nature govern the world. We are not “forced” to choose one action rather than another. It is quite the other way round: we choose, and the laws of nature accommodate themselves to our choice. If I choose to wear a brown shirt, then it is true that I do so; and if instead I were to choose to wear a blue shirt, then it would be true that I wear a blue shirt. In neither case would my choosing be ‘forced’ by the truth of the proposition that describes my action. And the same semantic principle applies even if the proposition truly describing my choice is a universal proposition rather than a singular one.

To make the claim even more pointedly: it is only because Necessitarianism tacitly adopts an anti-semantic theory of truth that the supposed problem of free will vs. determinism even arises. Adopt a thoroughgoing Regularist theory and the problem evaporates.

6. Statistical Laws

Many, perhaps most, of workaday scientific laws (recall the first section above) are statistical generalizations – e.g. the scientific claims (explanatory principles) of psychology, economics, meteorology, ecology, epidemiology, etc.

But can the underlying, the “real,” Laws of Nature itself be statistical?

With occasional reluctance, especially early in the Twentieth Century, physicists came to allow that at least some laws of nature really are statistical, for example, laws such as “the half-life of radium is 1,600 years” which is a shorthand way of saying “in any sample of radium, 50% of the radium atoms will radioactively decay within a period of 1,600 years”.

Regularists take the prospect (indeed the existence) of statistical laws of nature in stride. On the Regularists’ account, statistical laws of nature – whether in areas studied by physicists or by economists or by pharmacologists – pose no intellectual or theoretical challenges whatsoever. Just as deterministic (i.e. exceptionless) laws are descriptions of the world, not prescriptions or disguised prescriptions, so too are statistical laws.

Necessitarians, however, frequently have severe problems in accommodating the notion of statistical laws of nature. What sort of metaphysical ‘mechanism’ could manifest itself in statistical generalities? Could there be such a thing as stochastic nomicity? Popper grappled with this problem and proposed what he came to call “the propensity theory of probability”. On his view, each radium atom, for example, would have its “own”(?) 50% propensity to decay within the next 1,600 years. Popper really did see the problem that statistical laws pose for Necessitarianism, but his solution has won few, if any, other subscribers. To Regularists, such solutions appear as evidence of the unworkability and the dispensability of Necessitarianism. They are the sure sign of a theory that is very much in trouble.

7. Is the Order in the Universe a Cosmic Coincidence?

An important subtext in the dispute between Necessitarians and Regularists concerns the very concepts we need to ‘make sense’ of the universe.

For Regularists, the way-the-world-is is the rock bottom of their intellectual reconstruction. They have reconciled themselves to, and embraced, the ultimately inexplicable contingency of the universe.

But for Necessitarians, the way-the-world-is cannot be the rock bottom. For after all, they will insist, there has to be some reason, some explanation, why the world is as it is and is not some other way. It can’t simply be, for example, that all electrons, the trillions upon trillions of them, just happen to all bear the identical electrical charge as one another—that would be a cosmic coincidence of an unimaginable improbability. No, this is no coincidence. The identity of electrical charge comes about because there is a law of nature to the effect that electrons have this charge. Laws of nature “drive” the world. The laws of physics which, for example, describe the behavior of diffraction gratings (see Harrison) were true from time immemorial and it is because of those laws that diffraction gratings, when they came to be engineered in modern times, have the peculiar properties they do.

Regularists will retort that the supposed explanatory advantage of Necessitarianism is illusory. Physical necessity, nomicity if you will, is as idle and unempirical a notion as was Locke’s posit of a material substratum. Locke’s notion fell into deserved disuse simply because it did no useful work in science. It was a superfluous notion. (The case is not unlike modern arguments that minds are convenient fictions, the product of “folk” psychology.)

At some point explanations must come to an end. Regularists place that stopping point at the way-the-world-is. Necessitarians place it one, inaccessible, step beyond, at the way-the-world-must-be.

The divide between Necessitarians and Regularists remains as deep as any in philosophy. Neither side has conceived a theory which accommodates all our familiar, and deeply rooted, historically-informed beliefs about the nature of the world. To adopt either theory is to give up one or more strong beliefs about the nature of the world. And there simply do not seem to be any other theories in the offing. While these two theories are clearly logical contraries, they are – for the foreseeable future – also exhaustive of the alternatives.

8. Notes

  1. Throughout this article, the term “world” is used to refer to the entire universe, past, present, and future, to whatever is near and whatever is far, and to whatever is known of that universe and what is unknown. The term is never used here to refer to just the planet Earth.Clearly, one presupposition of this article is that the world (i.e. the universe) is not much of our making. Given the sheer size of the universe, our human effect on it is infinitesimal. The world is not mind-constructed. The world is some one particular way, although it remains a struggle to figure out what that way is. [ Return ]
  2. A perpetual motion machine of the first kind is a hypothetical machine in which no energy is required for performing work. [ Return ]
  3. In detail, the statement “There is a river of cola” is an existential affirmative statement (a classical so-called I-proposition). Its contradictory (or better, among its contradictories) is the statement “No river is constituted of cola” (a classical so-called E-proposition). Now, given that “There is a river of cola” is, ex hypothesi, timelessly false, then the universal negative proposition, “No river is constituted of cola”, is timelessly true. But since the latter satisfies all five of the necessary conditions specified (above) for being a law of nature, it would turn out to be a law of nature. [ Return ]

9. References and Further Reading

  • Armstrong, David M., What is a Law of Nature? (Cambridge: Cambridge University Press), 1983.
  • Beauchamp, Tom L., editor, Philosophical Problems of Causation, (Encino, CA: Dickenson Publishing Co., Inc.), 1974.
  • Beauchamp, Tom L. and Alexander Rosenberg, Hume and the Problem of Causation, (New York: Oxford University Press), 1981.
  • Berofsky, Bernard, Freedom from Necessity: The Metaphysical Basis of Responsibility, (New York: Routledge and Kegan Paul), 1987.
  • Carroll, John W., Laws of Nature, (Cambridge: Cambridge University Press), 1994.
  • Cartwright, Nancy, How the Laws of Physics Lie, (Oxford: Oxford University Press), 1983.
  • Clarke, Randolph, “Recent Work on Freedom and Determinism”, in Philosophical Books, vol. 36, no. 1 (Jan. 1995), pp. 9-18.
  • Dretske, Fred, “Laws of Nature,” in Philosophy of Science, vol. 44, no. 2 (June 1977), pp. 248-268.
  • Gerwin, Martin, “Causality and Agency: A Refutation of Hume”, in Dialogue (Canada), XXVI (1987), pp. 3-17.
  • Harrison, George R., “Diffraction grating,” in McGraw-Hill Encyclopedia of Physics, edited by Sybil P. Parker, (New York: McGraw-Hill Book Co.), 1983, pp. 245-247.
  • Honderich, Ted, “One Determinism,” (revised with added introduction) in Philosophy As It Is, edited by Ted Honderich and Myles Burneat, (New York: Penguin Books), 1979. The original paper appeared in Essays on Freedom of Action, edited by Ted Honderich (London: Kegan Paul Ltd.), 1973.
  • Hume, David A., A Treatise of Human Nature [1739], edited by L.A. Selby-Bigge, (London: Oxford University Press), 1888, reprinted 1960.
  • Kneale, William, “Natural Laws and Contrary-to-Fact Conditionals,” in Analysis, vol. 10, no. 6 (June 1950), pp. 121-125. Reprinted in Beauchamp (1974) [see above], pp. 46-49.
  • Maxwell, Nicholas, “Can there be necessary connections between successive events?”, in British Journal for the Philosophy of Science, vol. 19 (1968), pp. 1-25.
  • Molnar, George, “Kneale’s Argument Revisited,” in The Philosophical Review, vol.78, no. 1 (Jan. 1969) pp. 79-89. Reprinted in Beauchamp (1974) [see above], pp. 106-113.
  • Montesquieu, Baron de, The Spirit of the Laws, [1st edition 1748; last edition (posth.) 1757], translated and edited by Abbe M. Cohler, Basia Carolyn Miller, and Harold Samuel Stone, (Cambridge: Cambridge University Press), 1988.
  • Popper, Sir Karl, The Logic of Scientific Discovery, (New York: Basic Books), 1959.
  • Popper, Sir Karl, “The Propensity interpretation of the calculus of probability, and the quantum theory”, in Observation and Interpretation in the Philosophy of Physics, [1957] edited by Stephen Korner, (New York: Dover Publications, Inc.) 1962, pp. 65-70.
  • Popper, Sir Karl, “The Propensity Interpretation of Probability,” in British Journal for the Philosophy of Science, vol. 10 (1959), pp. 25-42.
  • Popper, Sir Karl, “Suppes’s Criticism of the Propensity Interpretation of Probability and Quantum Mechanics,” in The Philosophy of Karl Popper, edited by Paul Arthur Schilpp, (La Salle, IL: Open Court), 1974, pp. 1125-1140.
  • Reichenbach, Hans, Nomological Statements and Admissible Operations, (Amsterdam: North-Holland Publ. Co.), 1954.
  • Scriven, Michael, “An Essential Unpredictability in Human Behavior,” in Scientific Psychology: Principles and Approaches, edited by Ernest Nagel and Benjamin Wolman, (New York: Basic Books), 1965, pp. 411-25.
    • This important paper implicitly adopts a Regularity theory of laws of nature.
  • Scriven, Michael, “The Key Property of Physical Laws – Inaccuracy,” in Current Issues in the Philosophy of Science – Proceedings of Section L of the American Association for the Advancement of Sciences, 1959, edited by H. Feigl and G. Maxwell, (New York: Holt Rinehart and Winston), 1961, pp. 91-104.
  • Strawson, Galen, The Secret Connexion: Causation, Realism, and David Hume, (Oxford: Oxford University Press), 1989.
  • Swartz, Norman, The Concept of Physical Law, (New York: Cambridge University Press), 1985.
  • Swartz, Norman, “Reply to Ruse,” in Dialogue (Canada), XXVII, (1988), pp. 529-532.
  • Weinert, Friedel, editor, Laws of Nature: Essays on the Philosophical, Scientific and Historical Dimensions, (Berlin: de Gruyter), 1995.
    • This volume contains a very extensive bibliography, pp. 52-64.
  • Wright, Georg Henrik von, Causality and Determinism, (New York: Columbia University Press), 1974.
  • Wright, John P., The Sceptical Realism of David Hume, (Manchester: Manchester University Press), 1983.

Author Information

Norman Swartz
Email: swartz@sfu.ca
Simon Fraser University
Canada

Religion and Politics

The relation between religion and politics continues to be an important theme in political philosophy, despite the emergent consensus (both among political theorists and in practical political contexts, such as the United Nations) on the right to freedom of conscience and on the need for some sort of separation between church and state. One reason for the importance of this topic is that religions often make strong claims on people’s allegiance, and universal religions make these claims on all people, rather than just a particular community. For example, Islam has traditionally held that all people owe obedience to Allah’s will. Thus, it is probably inevitable that religious commitments will sometimes come into conflict with the demands of politics. But religious beliefs and practices also potentially support politics in many ways. The extent and form of this support is as important to political philosophers as is the possibility for conflict. Moreover, there has been a growing interest in minority groups and the political rights and entitlements they are due. One result of this interest is substantial attention given to the particular concerns and needs of minority groups who are distinguished by their religion, as opposed to ethnicity, gender, or wealth.

This article surveys some of the philosophical problems raised by the various ways in which religion and politics may intersect. The first two main sections are devoted to topics that have been important in previous eras, especially the early modern era, although in both sections there is discussion of analogs to these topics that are more pressing for contemporary political thought: (1) establishment of a church or faith versus complete separation of church and state; and (2) toleration versus coercion of religious belief, and current conflicts between religious practice and political authority. The second pair of sections is devoted to problems that, for the most part, have come to the fore of discussion only in recent times: (3) liberal citizenship and its demands on private self-understanding; and (4) the role of religion in public deliberation.

Table of Contents

  1. Establishment and Separation of Church and State
  2. Toleration and Accommodation of Religious Belief and Practice
  3. Liberalism and Its Demands on Private Self-Understanding
  4. Religious Reasons in Public Deliberation
  5. Conclusion
  6. References and Further Reading

1. Establishment and Separation of Church and State

While the topic of establishment has receded in importance at present, it has been central to political thought in the West since at least the days of Constantine. In the wake of the Protestant Reformation, European societies wrestled with determining exactly what roles church and state should play in each other’s sphere, and so the topic of establishment became especially pressing in the early modern era, although there was also substantial discussion in the Middle Ages (Dante, 1995). The term “establishment” can refer to any of several possible arrangements for a religion in a society’s political life. These arrangements include the following:

  1. A religious body may be a “state” church in the sense that it has an exclusive right to practice its faith.
  2. A church may be supported through taxes and subject to the direction of the government (for example, the monarch is still officially the head of the Church of England, and the Prime Minister is responsible for selecting the Archbishop of Canterbury).
  3. Particular ecclesiastical officials may have, in virtue of their office, an established role in political institutions.
  4. A church may simply have a privileged role in certain public, political ceremonies (for example, inaugurations, opening of parliament, etc.).
  5. Instead of privileging a particular religious group, a state could simply enshrine a particular creed or belief system as its official religion, much like the “official bird” or “official flower.”

Note that these options are not mutually exclusive—a state could adopt some or all of these measures. What is central to them is they each involve the conferral of some sort of official status. A weaker form of an established church is what Robert Bellah (1967: 3-4) calls “civil religion,” in which a particular church or religion does not exactly have official status, and yet the state uses religious concepts in an explicitly public way. For an example of civil religion, he points to Abraham Lincoln’s use of Christian imagery of slavery and freedom in justifying the American Civil War.

Contemporary philosophical defenses of outright establishment of a church or faith are few, but a famous defense of establishment was given by T. S. Eliot in the last century (1936, 1967). Trained as a philosopher (he completed, but did not defend, a dissertation at Harvard on the philosophy of F. H. Bradley) and deeply influenced by Aristotle, Eliot believed that democratic societies rejected the influence of an established church at their peril, for in doing so they cut themselves off from the kind of ethical wisdom that can come only from participation in a tradition. As a result, he argued, such a society would degenerate into tyranny and/or social and cultural fragmentation.

Even today, there are strains of conservatism that argue for establishment by emphasizing the benefits that will accrue to the political system or society at large (Scruton, 1980). According to this line of thought, the healthy polis requires a substantial amount of pre- or extra-political social cohesion. More specifically, a certain amount of social cohesion is necessary both to ensure that citizens see themselves as sufficiently connected to each other (so that they will want to cooperate politically), and to ensure that they have a common framework within which they can make coherent collective political decisions. This cohesion in turn is dependent on a substantial amount of cultural homogeneity, especially with respect to adherence to certain values. One way of ensuring this kind of homogeneity is to enact one of the forms of establishment mentioned above, such as displaying religious symbols in political buildings and monuments, or by including references to a particular religion in political ceremonies.

Rather than emphasizing the distinctively political benefits of establishment, a different version of this argument could appeal to the ethical benefits that would accrue to citizens themselves as private individuals. For example, on many understandings of politics, one of the purposes of the polis is to ensure that citizens have the resources necessary for living a choiceworthy, flourishing life. One such resource is a sense of belonging to a common culture that is rooted in a tradition, as opposed to a sense of rootlessness and social fragmentation (Sandel, 1998; MacIntyre, 1984). Thus, in order to ensure that citizens have this sense of cultural cohesion, the state must (or at least may) in some way privilege a religious institution or creed. Of course, a different version of this argument could simply appeal to the truth of a particular religion and to the good of obtaining salvation, but given the persistent intractability of settling such questions, this would be a much more difficult argument to make.

Against these positions, the liberal tradition has generally opposed establishment in all of the aforementioned forms. Contemporary liberals typically appeal to the value of fairness. It is claimed, for example, that the state should remain neutral among religions because it is unfair—especially for a democratic government that is supposed to represent all of the people composing its demos—to intentionally disadvantage (or unequally favor) any group of citizens in their pursuit of the good as they understand it, religious or otherwise (Rawls, 1971). Similarly, liberals often argue that fairness precludes devoting tax revenues to religious groups because doing so amounts to forcing non-believers to subsidize religions that they reject. A different approach for liberals is to appeal directly to the right to practice one’s religion, which is derivable from a more general right to freedom of conscience. If all people have such a right, then it is morally wrong for the state to force them to participate in religious practices and institutions that they would otherwise oppose, such as forcing them to take part in public prayer. It is also wrong, for the same reason, to force people to support financially (via taxation) religious institutions and communities that they would not otherwise wish to support.

In addition, there are liberal consequentialist concerns about establishment, such as the possibility that it will result in or increase the likelihood of religious repression and curtailment of liberty (Audi, 2000: 37-41). While protections and advantages given to one faith may be accompanied by promises to refrain from persecuting adherents of rival faiths, the introduction of political power into religion moves the state closer to interferences which are clearly unjust, and it creates perverse incentives for religious groups to seek more political power in order to get the upper hand over their rivals. From the perspective of many religious people themselves, moreover, there are worries that a political role for their religion may well corrupt their faith community and its mission.

2. Toleration and Accommodation of Religious Belief and Practice

As European and American societies faced the growing plurality of religious beliefs, communities, and institutions in the early modern era, one of the paramount social problems was determining whether and to what extent they should be tolerated. One of the hallmark treatises on this topic remains John Locke’s A Letter Concerning Toleration. A political exile himself at the time of its composition, Locke argues (a) that it is futile to attempt to coerce belief because it does not fall to the will to accept or reject propositions, (b) that it is wrong to restrict religious practice so long as it does not interfere with the rights of others, and (c) that allowing a wide range of religious groups will likely prevent any one of them from becoming so powerful as to threaten the peace. Central to his arguments is a Protestant view of a religious body as a voluntary society composed only of those people who choose to join it, a view that is in sharp contrast to the earlier medieval view of the church as having authority over all people within a particular geographic domain. It is perhaps unsurprising, then, that the limits of Locke’s toleration are coextensive with Protestantism; atheists and Catholics cannot be trusted to take part in society peacefully because the former do not see themselves as bound by divine law and the latter are beholden to a foreign sovereign (the Pope). Still, Locke’s Letter makes an important step forward toward a more tolerant and pluralistic world. In contrast to Locke, Thomas Hobbes sees religion and its divisiveness as a source of political instability, and so he argues that the sovereign has the right to determine which opinions may be publicly espoused and disseminated, a power necessary for maintaining civil peace (see Leviathan xviii, 9).

Like the issue of establishment, the general issue of whether people should be allowed to decide for themselves which religion to believe in has not received much attention in recent times, again because of the wide consensus on the right of all people to liberty of conscience. However, despite this agreement on liberty of belief, modern states nevertheless face challenging questions of toleration and accommodation pertaining to religious practice, and these questions are made more difficult by the fact that they often involve multiple ideals which pull in different directions. Some of these questions concern actions which are inspired by religion and are either obviously or typically unjust. For example, violent fundamentalists feel justified in killing and persecuting infidels—how should society respond to them? While no one seriously defends the right to repress other people, it is less clear to what extent, say, religious speech that calls for such actions should be tolerated in the name of a right to free speech. A similar challenge concerns religious objections to certain medical procedures that are necessary to save a life. For example, Jehovah’s Witnesses believe that their religion precludes their accepting blood transfusions, even to save their lives. While it seems clearly wrong to force someone to undergo even lifesaving treatment if she objects to it (at least with sufficient rationality, which of course is a difficult topic in itself), and it seems equally wrong to deny lifesaving treatment to someone who needs it and is not refusing it, the issue becomes less clear when parents have religious objections to lifesaving treatment for their children. In such a case, there are at least three values that ordinarily demand great respect and latitude: (a) the right to follow one’s own religion, not simply in affirming its tenets but in living the lifestyle it prescribes; (b) the state’s legitimate interest in protecting its citizens (especially vulnerable ones like children) from being harmed; and (c) the right of parents to raise their children as they see fit and in a way that expresses their values.

A second kind of challenge for a society that generally values toleration and accommodation of difference pertains to a religious minority’s actions and commitments which are not themselves unjust, and yet are threatened by the pursuit of other goals on the part of the larger society, or are directly forbidden by law. For example, Quakers and other religious groups are committed to pacifism, and yet many of them live in societies that expect all male citizens to serve in the military or register for the draft. Other groups perform religious rituals that involve the use of illegal substances, such as peyote. Does the right to practice one’s faith exempt one from the requirement to serve in the military or obey one’s country’s drug policies? Is it fair to exempt such people from the burdens other citizens must bear?

Many examples of this second kind of challenge are addressed in the literature on education and schooling. In developed societies (and developing ones, for that matter), a substantial education is necessary for citizens to be able to achieve a decent life for themselves. In addition, many states see education as a process by which children can learn values that the state deems important for active citizenship and/or for social life. However, the pursuit of this latter goal raises certain issues for religious parents. In the famous case of Mozert v. Hawkins, some parents objected for religious reasons to their children being taught from a reading curriculum that presented alternative beliefs and ways of life in a favorable way, and consequently the parents asked that their children be excused from class when that curriculum was being taught. Against the wishes of these parents, some liberals believe that the importance of teaching children to respect the value of gender equality overrides the merit of such objections, even if they appeal directly to the parents’ religious rights (Macedo, 2000).

Similarly, many proposals for educational curricula are aimed at developing a measure of autonomy in children, which often involves having them achieve a certain critical distance from their family background, with its traditions, beliefs, and ways of life (Callan, 1997; Brighouse, 2000). The idea is that only then can children autonomously choose a way of life for themselves, free of undue influence of upbringing and custom. A related argument holds that this critical distance will allow children to develop a sufficient sense of respect for different social groups, a respect that is necessary for the practice of democratic citizenship. However, this critical distance is antithetical to authentic religious commitment, at least on some accounts (see the following section). Also, religious parents typically wish to pass on their faith to their children, and doing so involves cultivating religious devotion through practices and rituals, rather than presenting their faith as just one among many equally good (or true) ones. For such parents, passing on their religious faith is central to good parenting, and in this respect it does not differ from passing on good moral values, for instance. Thus, politically mandated education that is aimed at developing autonomy runs up against the right of some parents to practice their religion and the right to raise their children as they choose. Many, though not all, liberals argue that autonomy is such an important good that its promotion justifies using techniques that make it harder for such parents to pass on their faith—such a result is an unfortunate side-effect of a desirable or necessary policy.

Yet a different source of political conflict for religious students in recent years concerns the teaching of evolution in science classes. Some religious parents of children in public schools see the teaching of evolution as a direct threat to their faith, insofar as it implies the falsity of their biblical-literalist understanding of the origins of life. They argue that it is unfair to expect them to expose their children to teaching that directly challenges their religion (and to fund it with their taxes). Among these parents, some want schools to include discussions of intelligent design and creationism (some who write on this issue see intelligent design and creationism as conceptually distinct positions; others see no significant difference between them), while others would be content if schools skirted the issue altogether, refusing to teach anything at all about the origin of life or the evolution of species. Their opponents see the former proposal as an attempt to introduce an explicitly religious worldview into the classroom, hence one that runs afoul of the separation of church and state. Nor would they be satisfied with ignoring the issue altogether, for evolution is an integral part of the framework of modern biology and a well-established scientific theory.

Conflicts concerning religion and politics arise outside of curricular contexts, as well. For example, in France, a law was recently passed that made it illegal for students to wear clothing and adornments that are explicitly associated with a religion. This law was especially opposed by students whose religion explicitly requires them to wear particular clothing, such as a hijab or a turban. The justification given by the French government was that such a measure was necessary to honor the separation of church and state, and useful for ensuring that the French citizenry is united into a whole, rather than divided by religion. However, it is also possible to see this law as an unwarranted interference of the state in religious practice. If liberty of conscience includes not simply a right to believe what one chooses, but also to give public expression to that belief, then it seems that people should be free to wear clothing consistent with their religious beliefs.

Crucial to this discussion of the effect of public policy on religious groups is an important distinction regarding neutrality. The liberal state is supposed to remain neutral with regard to religion (as well as race, sexual orientation, physical status, age, etc.). However, as Charles Larmore points out in Patterns of Moral Complexity (1987: 42ff), there are different senses of neutrality, and some policies may fare well with respect to one sense and poorly with respect to another. In one sense, neutrality can be understood in terms of a procedure that is justified without appeal to any conception of the human good. In this sense, it is wrong for the state to intend to disadvantage one group of citizens, at least for its own sake and with respect to practices that are not otherwise unjust or politically undesirable. Thus it would be a violation of neutrality in this sense (and therefore wrong) for the state simply to outlaw the worship of Allah. Alternatively, neutrality can be understood in terms of effect. The state abides by this sense of neutrality by not taking actions whose consequences are such that some individuals or groups in society are disadvantaged in their pursuit of the good. For a state committed to neutrality thus understood, even if it were not explicitly intending to disadvantage a particular group, any such disadvantage that may result is a prima facie reason to revoke the policy that causes it. Thus, if the government requires school attendance on a religious group’s holy days, for example, and doing so makes it harder for them to practice their faith, such a requirement counts as a failure of neutrality. The attendance requirement may nevertheless be unavoidable, but as it stands, it is less than optimal. Obviously, this is a more demanding standard, for it requires the state to consider possible consequences—both short term and long term—on a wide range of social groups and then choose from those policies that do not have bad consequences (or the one that has the fewest and least bad). For most, and arguably all, societies, it is a standard that cannot feasibly be met. Consequently, most liberals argue that the state should be neutral in the first sense, but it need not be neutral in the second sense. Thus, if the institutions and practices of a basically just society make it more challenging for some religious people to preserve their ways of life, it is perhaps regrettable, but not unjust, so long as these institutions and practices are justified impartially.

3. Liberalism and Its Demands on Private Self-Understanding

In addition to examining issues of toleration and accommodation on the level of praxis, there has also been much recent work about the extent to which particular political theories themselves are acceptable or unacceptable from religious perspectives. One reason for this emphasis comes from the emergence of the school of thought known as “political liberalism.” In his book of that name, John Rawls (1996) signaled a new way of thinking about liberalism that is captured by the idea of an “overlapping consensus.” An overlapping consensus refers to reasoned agreement on principles of justice by citizens who hold a plurality of mutually exclusive comprehensive doctrines (a term that includes religious beliefs, metaphysical positions, theories of morality and of the good life, etc., and may also include beliefs such as theories of epistemic justification). Rather than requiring citizens to accept any particular comprehensive doctrine of liberalism, a theory of justice should aim at deriving principles that each citizen may reasonably accept from his or her own comprehensive doctrine. Thus, the consensus is on the principles themselves, rather than the justification for those principles, and as such the conception of justice offered is “political” rather than “metaphysical.” This view of liberal justice marked a break with Rawls’s earlier “metaphysical” liberalism as expressed in A Theory of Justice, although debate continues among commentators about just how sharp a break political liberalism is and whether or not it is an improvement over the earlier view. The aim, then, for a political conception of justice is for all reasonable citizens to be able to affirm principles of justice without having to weaken their hold on their own private comprehensive views. However, some writers have argued that this is impossible—even a “thin” political conception of justice places strains on some comprehensive doctrines, and these strains might be acute for religious citizens. One such argument comes from Eomann Callan, in his book Creating Citizens. Callan points to the role played in Rawls’ theory of “the burdens of judgment” (see Rawls, 1996: § 2): fundamentalists will not be able to accept the burdens of judgment in their private lives, because doing so requires them to view rival faiths and other beliefs as having roughly equal epistemic worth. If Rawlsian liberalism requires acceptance of the burdens of judgment, then the overlapping consensus will not include some kinds of religious citizens.

A different way that liberal citizenship might conflict with a religious person’s self-understanding is if the former requires a commitment to a kind of fallibilism while the latter requires (or at least encourages) certitude in one’s religious belief. Richard Rorty has been read as arguing for the need for liberal democratic citizens to privatize their faith (1999) and to hold their beliefs at an “ironic” distance—that is, provisionally, and with a healthy skepticism about the extent to which they decisively capture reality (1989). But this kind of irony is not possible to maintain along with authentic faith, at least as the latter is understood in many religious traditions that emphasize the importance of certitude in one’s belief and totality of one’s commitment to God.

Thus, a religious citizen could feel an acute conflict between her identity qua citizen and qua religious adherent. One way of resolving the conflict is to argue that one aspect of her identity should take priority over the other. Witness the conflict experienced by the protagonist in Sophocles’ Antigone, as she buries her brother in defiance of Creon’s decree; in doing so, she acknowledges that her religious duties supersede her civic duties, at least in that context. For many religious citizens, political authority is subservient to—and perhaps even derived from—divine authority, and therefore they see their religious commitments as taking precedence over their civic ones. On the other hand, civic republicanism has tended to view a person’s civic role as paramount because it has seen participation in politics as partly constitutive of the human good (Dagger, 1997).

In contrast to these approaches, the liberal tradition has tended to refuse to prioritize one aspect of an individual’s identity over any other, holding that it is the individual’s task to determine which is most important or significant to her; this task is often seen as the reason for the importance of personal autonomy (Kymlicka, 2002). But this tendency makes it more challenging for liberals to adjudicate conflicts between religion and politics. One possibility is for the liberal to argue that the demands of justice are prior to the pursuit of the good (which would include religious practice). If so, and if the demands of justice require one to honor duties of citizenship, then one might argue that people should not allow their religious beliefs and practices to restrict or interfere with their roles as citizens. However, not even all liberals accept the claim that justice is prior to the good, nor is it a settled issue in the literature on political obligation that norms of justice can successfully ground universal duties of citizenship (see “The Obligation to Obey Law” and “Political Obligation”).

4. Religious Reasons in Public Deliberation

One recent trend in democratic theory is an emphasis on the need for democratic decisions to emerge from processes that are informed by deliberation on the part of the citizenry, rather than from a mere aggregation of preferences. As a result, there has been much attention devoted to the kinds of reasons that may or may not be appropriate for public deliberation in a pluralistic society. While responses to this issue have made reference to all kinds of beliefs, much of the discussion has centered on religious beliefs. One reason for this emphasis is that, both historically and in contemporary societies, religion has played a central role in political life, and often it has done so for the worse (witness the wars of religion in Europe that came in the wake of the Protestant Reformation, for example). As such, it is a powerful political force, and it strikes many who write about this issue as a source of social instability and repression. Another reason is that, due to the nature of religious belief itself, if any kind of belief is inappropriate for public deliberation, then religious beliefs will be the prime candidate, either because they are irrational, or immune to critique, or unverifiable, etc. In other words, religion provides a useful test case in evaluating theories of public deliberation.

Much of the literature in this area has been prompted by Rawls’ development of his notion of public reason, which he introduced in Political Liberalism and offered (in somewhat revised form) in his essay “The Idea of Public Reason Revisited.” His view is not as clearly expressed as one would wish, and it evolved after the publication of Political Liberalism, but the idea is something like this: when reasonable citizens engage in public deliberation on constitutional essentials, they must do so by offering reasons that do not appeal to any comprehensive doctrine. Since citizens have sharp disagreements on comprehensive doctrines, any law or policy that necessarily depends on such a doctrine could not be reasonably accepted by those who reject the doctrine. A prime example of a justification for a law that is publicly inaccessible in this way is one that is explicitly religious. For example, if the rationale for a law that outlawed working on Sunday was simply that it displeases the Christian God, non-Christians could not reasonably accept it.

Rawls makes important exceptions to this norm of public discourse, and he seems to have gradually softened its requirements somewhat as he developed his views on public reason, but his intention was to ensure that democratic outcomes could be reasonably accepted by all citizens, and even in his theory’s latest manifestations he seemed to view “public” reasons as those which could reasonably be accepted by everyone rather than explicitly drawing on comprehensive views.

A different explanation of “reasons which could be reasonably accepted by everyone” comes from Robert Audi, who argues that the set of such reasons is restricted to secular reasons. Since only secular reasons are publicly accessible in this way, civic virtue requires offering secular reasons and being sufficiently motivated by them to support or oppose the law or policy under debate. Religious reasons are not suitable for public deliberation since they are not shared by the non-religious (or people of differing religions) and people who reject these reasons would justifiably resent being coerced on the basis of them. However, secular reasons can include non-religious comprehensive doctrines, such as particular moral theories or conceptions of the human good, and so Audi’s conception of public deliberation allows some views to play a role that would be excluded by conceptions that restrict all comprehensive doctrines.

Proponents of the idea that the set of suitable reasons for public deliberation does not include certain or all comprehensive doctrines have come to be known as “exclusivists,” and their opponents as “inclusivists.” The latter group sometimes focuses on weaknesses of exclusivism—if exclusivism is false, then inclusivism is true by default. Others try to show that religious justifications can contribute positively to democratic polities; the two most common examples in support of this position are the nineteenth-century abolitionist movement and the twentieth-century civil rights movement, both of which achieved desirable political change in large part by appealing directly to the Christian beliefs prevalent in Great Britain and the United States.

A third inclusivist argument is that it is unfair to hamstring certain groups in their attempts to effect change that they believe is required by justice. Consider the case of abortion, an example Rawls discusses in a famous footnote in Political Liberalism (243-244) and again in “The Idea of Public Reason Revisited” (169). Many—though not all—who defend the pro-life position do so by appealing to the actual or potential personhood of fetuses. But “person” is a conceptually “thick” metaphysical concept, and as such it is one that is subject to reasonable disagreement. Consequently, on some versions of exclusivism, citizens who wish to argue against abortion should do so without claiming that fetuses are persons. But for these citizens, personhood is the most important part of the abortion issue, for the ascription of “person” is not simply a metaphysical issue—it is a moral issue, as well, insofar as it is an attempt to discern the bounds of the moral community. To ask them to refrain from focusing on this aspect of the issue looks like an attempt to settle the issue by default, then. Instead, inclusivists argue that citizens should feel free to introduce any considerations whatsoever that they think are relevant to the topic under public discussion.

5. Conclusion

Although secularism is proceeding rapidly in many of the world’s societies, and although this trend seems connected in some way to the process of economic development, nevertheless religion continues to be an important political phenomenon throughout the world, for multiple reasons. Even the most secularized countries (Sweden is typically cited as a prime example) include substantial numbers of people who still identify themselves as religious. Moreover, many of these societies are currently experiencing immigration from groups who are more religious than native-born populations and who follow religions that are alien to the host countries’ cultural heritage. These people are often given substantial democratic rights, sometimes including formal citizenship. And the confrontation between radical Islam and the West shows few signs of abating anytime soon. Consequently, the problems discussed above will likely continue to be important ones for political philosophers in the foreseeable future.

6. References and Further Reading

  • Audi, Robert. Religious Commitment and Secular Reason. Cambridge: Cambridge University Press, 2000.
    • Much of this book is an expression of Audi’s position on public deliberation, but there is also discussion of the separation of church and state.
  • Audi, Robert, and Nicholas Wolterstorff. Religion in the Public Square: The Place of Religious Reasons in Political Debate. Lanham, MD: Rowman & Littlefield, 1997.
    • An accessible, well-reasoned exchange between an inclusivist (Wolterstorff) and an exclusivist (Audi), with rebuttals.
  • Bellah, Robert N. “American Civil Religion.” Daedalus: Journal of the American Academy of Arts and Sciences 96.1 (1967): 1-21.
  • Brighouse, Harry. School Choice and Social Justice. Oxford: Oxford University Press, 2003.
    • Portions of this book deal with education for autonomy and religious opposition to such proposals.
  • Burtt, Shelley, “Religious Parents, Secular Schools: A Liberal Defense of Illiberal Education” The Review of Politics 56.1 (1994): 51-70.
  • Callan, Eomann, Creating Citizens: Political Education and Liberal Democracy. Oxford: Clarendon Press, 1997.
    • An exploration of civic education in light of Rawlsian political liberalism.
  • Carter, Stephen L. The Culture of Disbelief: How American Law and Politics Trivialize Religious Devotion. New York: Basic Books, 1993.
  • Clanton, J. Caleb. Religion and Democratic Citizenship: Inquiry and Conviction in the American Public Square. Lanham, MD: Lexington Books, 2007.
  • Coleman, John A., ed. Christian Political Ethics. Princeton, NJ: Princeton University Press, 2007.
    • A collection of essays on political topics from a wide array of Christian traditions.
  • Cuneo, Terence, ed. Religion in the Liberal Polity. Notre Dame, IN: University of Notre Dame Press, 2005.
    • A collection of essays on religion, rights, public deliberation, and related topics.
  • Dagger, Richard. Civic Virtues: Rights, Citizenship, and Republican Liberalism. Oxford: Oxford University Press, 1997.
  • Dante. De monarchia. Tr. Prue Shaw. Cambridge: Cambridge University Press, 1995.
    • Book 3 of this work concerns the relation (and division) between Church and State.
  • Eberle, Christopher J. Religious Convictions in Liberal Politics. Cambridge: Cambridge University Press, 2002
    • A thorough critique of the varieties of exclusivism.
  • Eliot, T. S. “Catholicism and International Order.” Essays, Ancient and Modern. London: Faber and Faber, 1936.
  • Eliot, T. S. “The Idea of a Christian Society” and “Notes Toward the Definition of Culture.” Christianity and Culture. New York: Harcourt Brace & Company, 1967.
  • Gaus, Gerald F. Justificatory Liberalism: An Essay on Epistemology and Political Theory. Oxford: Oxford University Press, 1996.
  • Gaus, Gerald F. “The Place of Religious Belief in Liberal Politics.” In Multiculturalism and Moral Conflict, edited by Maria Dimova-Cookson. London: Routledge, 2008.
  • Greenawalt, Kent. Religious Convictions and Political Choice. Oxford: Oxford University Press, 1991.
  • Greenawalt, Kent. Private Consciences and Public Reasons. Oxford: Oxford University Press, 1995.
  • Gutmann, Amy. Democratic Education. Rev. ed. Princeton, NJ: Princeton University Press, 1999.
  • Gutmann, Amy. Identity in Democracy. Princeton, NJ: Princeton University Press, 2003.
    • Includes a helpful chapter on religious identity in politics.
  • Hobbes, Thomas. Leviathan. Ed. Edwin Curley. Indianapolis, IN: Hackett Publishing Co., 1994.
  • Kymlicka, Will. Multicultural Citizenship: A Liberal Theory of Minority Rights. Oxford: Oxford University Press, 1995.
  • Kymlicka, Will. Contemporary Political Philosophy: An Introduction. Oxford: Oxford University Press, 2002.
    • A fine introduction to the field, useful for beginners but detailed enough to interest experienced readers.
  • Larmore, Charles. Patterns of Moral Complexity. Cambridge: Cambridge University Press, 1987.
  • Locke, John. A Letter Concerning Toleration. Ed. James Tully. Indianapolis, IN: Hackett Publishing Co., 1983.
  • Macedo, Stephen. Diversity and Distrust: Civic Education in a Multicultural Democracy. Cambridge, MA: Harvard University Press, 2003.
    • Contains extensive discussion of religion and liberal civic education.
  • MacIntyre, Alasdair. After Virtue: A Study in Moral Theory. 2nd ed. Notre Dame, IN: University of Notre Dame Press, 1984.
    • An influential critique of modernity and the philosophies which (he argues) have given rise to it.
  • Mozert v. Hawkins County Board of Education. Nos. 86-6144, 86-6179, and 87-5024. United States Court of Appeals, Sixth Circuit. July 9, 1987.
    • Landmark federal case concerning parental religious objections to particular forms of education.
  • Neuhaus, Richard John. The Naked Public Square: Religion and Democracy in America. Grand Rapids, MI: Wm. B Eerdmans, 1986.
    • An influential book among religious conservatives and neoconservatives.
  • Okin, Susan Moller, Is Multiculturalism Bad for Women? Ed. Joshua Cohen, Matthew Howard, and Martha C. Nussbaum. Princeton, NJ: Princeton University Press, 1999.
    • Parts of the discussion in this book concern the status of women in religious minorities.
  • Perry, Michael J. Under God?: Religious Faith and Liberal Democracy. Cambridge: Cambridge University Press, 2003.
  • Rawls, John. A Theory of Justice. Cambridge, MA: Belknap Press, 1971.
  • Rawls, John. Political Liberalism.New York: Columbia University Press, 1996.
  • Rawls, John. “The Idea of Public Reason Revisited.” The Law of Peoples. Cambridge, MA: Harvard University Press, 1999.
  • Rorty, Richard. Contingency, Irony, and Solidarity. Cambridge: Cambridge University Press, 1989.
  • Rorty, Richard. “Religion as Conversation-stopper.” Philosophy and Social Hope. New York: Penguin Putnam, Inc., 1999.
  • Sandel, Michael J. Democracy’s Discontent: America in Search of a Public Philosophy. Cambridge, MA: Belknap Press, 1996.
  • Sandel, Michael J. Liberalism and the Limits of Justice. Rev. ed. Cambridge: Cambridge University Press, 1998.
    • A thorough critique of Rawlsian liberalism from a broadly communitarian perspective, although Sandel has tended to resist that label.
  • Scruton, Roger. The Meaning of Conservatism. Harmondsworth: Penguin, 1980.
  • Stout, Jeffrey. Democracy and Tradition. Princeton, NJ: Princeton University Press, 2003.
  • Talisse, Robert B. Democracy After Liberalism: Pragmatism and Deliberative Politics. London: Routledge Press, 2004.
  • Weithman, Paul J., ed. Religion and Contemporary Liberalism. Notre Dame, IN: University of Notre Dame Press, 1997.
    • This collection of essays concerns many aspects of the intersection of religion and politics.
  • Weithman, Paul J.. Religion and the Obligations of Citizenship. Cambridge: Cambridge University Press, 2002.
    • Argues that religion has positive contributions to make toward civic ends.
  • Wisconsin v. Yoder. Nos. 70-110. United States Supreme Court. May 15, 1972.
    • An important case concerning the right of Amish parents to exempt their children from the requirement to attend school up to a specified age.

Author Information

Christopher Callaway
Email: ccallaway@sjcme.edu
Saint Joseph’s College of Maine
U. S. A.

Miracles

The term “miracle” is used very broadly in ordinary language. A quick review of news stories may turn up reports such as that of a “Christmas Miracle,” by which the Texas gulf coast came to be blanketed with snow by a rare storm. We speak of miracle drugs, or of miracle babies, and some household products purport to be miraculous as well. Philosophical discussion of the miraculous, however, is confined to the use to which religion—and in particular, theistic religion—puts that conception. These philosophical discussions center around two overlapping issues.

The first of these issues is a conceptual one: What is a miracle? Controversy over the conception of a miracle focuses primarily on whether a miracle must be, in some sense, contrary to natural law. Must it, in particular, be a violation of natural law? Supposing that it must be, a second question arises, namely, whether the conception of such a violation is a coherent one.

Philosophers have also been concerned about what sort of observable criteria would allow us to identify an event as a miracle, particularly insofar as that means identifying it as a violation of natural law. How, for example, can we tell the difference between a case in which an event is a genuine violation—assuming that some sense can be made of this notion—and one that conforms to some natural law that is unknown to us? And given the occurrence of a genuine violation, how are we to determine whether it is due to divine agency, or whether it is nothing more than a spontaneous lapse in the natural order?

The second main issue is epistemological: Once we settle on what a miracle is, can we ever have good reason to believe that one has taken place? This question is generally connected with the problem of whether testimony, such as that provided by scriptural sources, can ever give us adequate reason to believe that a miracle has occurred.

Table of Contents

  1. The Definition of “Miracle”
  2. Miracles and Worldview
  3. The Credibility of Witnesses
  4. Hume’s Argument
  5. Problems With Hume’s Argument
    1. Does Hume’s Argument Beg the Question?
  6. Conceptual Difficulties I: The Logical Impossibility of a Violation
    1. Violations as Nonrepeatable Counterinstances to Natural Law
    2. Miracles as Outside the Scope of Natural Laws
  7. Conceptual Difficulties II: Identifying Miracles
  8. Supernatural Causes, Supernatural Explanation
  9. Coincidence Miracles
  10. Miracle as Basic Action
  11. Wittgenstein: Miracle as Gesture
  12. References and Further Reading

1. The Definition of “Miracle”

In sketching out a brief philosophical discussion of miracles, it would be desirable to begin with a definition of “miracle;” unfortunately, part of the controversy in regard to miracles is over just what is involved in a proper conception of the miraculous. As a rough beginning, however, we might observe that the term is from the Latin miraculum, which is derived from mirari, to wonder; thus the most general characterization of a miracle is as an event that provokes wonder. As such, it must be in some way extraordinary, unusual, or contrary to our expectations. Disagreement arises, however, as to what makes a miracle something worth wondering about. In what sense must a miracle be extraordinary? One of the earliest accounts is given by St. Augustine, who held (City of God, XXI.8.2) that a miracle is not contrary to nature, but only to our knowledge of nature; miracles are made possible by hidden potentialities in nature that are placed there by God. In Summa Contra Gentiles III:101, St. Thomas Aquinas, expanding upon Augustine’s conception, said that a miracle must go beyond the order usually observed in nature, though he insisted that a miracle is not contrary to nature in any absolute sense, since it is in the nature of all created things to be responsive to God’s will.

In his Enquiry Concerning Human Understanding, David Hume offered two definitions of “miracle;” first, as a violation of natural law (Enquiries p. 114); shortly afterward he offers a more complex definition when he says that a miracle is “a transgression of a law of nature by a particular volition of the Deity, or by the interposition of some invisible agent” (Enquiries, p. 115n). This second definition offers two important criteria that an event must satisfy in order to qualify as a miracle: It must be a violation of natural law, but this by itself is not enough; a miracle must also be an expression of the divine will. This means that a miracle must express divine agency; if we have no reason to think that an event is something done by God, we will have no reason to call it a miracle.

More recently, the idea that a miracle must be defined in terms of natural law has come under attack. R.F. Holland (1965) has argued that a miracle may be consistent with natural law, since a religiously significant coincidence may qualify as miraculous, even though we fully understand the causes that brought it about. Accounts of the miraculous that distance themselves from the requirement that a miracle be in some way contrary to the order of nature, in favor of a focus on their significance to human life, might be said to emphasize their nature as signs; indeed the term semeion, “sign,” is one of the terms used in the New Testament to describe miraculous events.

2. Miracles and Worldview

The outcome of any discussion of miracles seems to depend greatly on our worldview. The usual theistic view of the world is one that presumes the existence of an omnipotent God who, while transcending nature, is nevertheless able to act, or to express his will, within the natural world. Clearly belief in miracles is already plausible if our enquiry may presume this view of things.

The usual way of making this out might be described as supernaturalistic. Those who would defend supernaturalism sometimes do this through a commitment to an ontology of entities that exist in some sense outside of nature, where by “nature” is meant the totality of things that can be known by means of observation and experiment, or more generally, through the methods proper to the natural sciences.

Defenses of supernaturalism may also take a methodological turn by insisting that the natural sciences are incapable of revealing the totality of all that there is. While supernaturalists typically hold that God reveals his nature in part through observable phenomena (as for example in miracles, or more generally, in the order of nature), as we shall understand it here, methodological supernaturalism is committed as well to the view that our knowledge of God must be supplemented by revelation. Revelatory sources for our knowledge of God might, for example, include some form of a priori knowledge, supersensory religious experience, or a direct communication by God of information that would not otherwise be available to us. Knowledge of God that is passed down in scripture, such as the Bible or the Qur’an, is generally conceived by theists to have a revelatory character.

Supernaturalistic accounts of the miraculous very commonly make reference to supernatural causes, which are thought to play a useful role in the construction of supernatural explanations. However, as we will see in sections 10 and 11, belief in miracles does not obviously commit one to belief in supernatural causes or the efficacy of supernatural explanations.

In contrast to supernaturalism, ontological naturalism denies the existence of anything beyond nature; methodological naturalism holds that observation and experiment—or generally speaking, the methods of the empirical sciences—are sufficient to provide us with all of the knowledge that it is possible for us to have. Naturalism is sometimes further characterized as holding that nature is uniform, which is to say that all events in nature conform to generalizations (e.g. laws) which can be verified by means of observation. Naturalists do commonly hold this view—confidence in the uniformity of nature is an important part of the scientific enterprise—but strictly speaking this represents an additional metaphysical commitment regarding the nature of the universe and its susceptibility to human understanding. If nature turns out not to be fully lawlike, this would not require the rejection of naturalism. A failure of uniformity, or what a believer in miracles might refer to as a violation of natural law, would imply only that there are limits to our ability to understand and predict natural phenomena. However, the naturalist is committed to denying the legitimacy of any attempt to explain a natural phenomenon by appeal to the supernatural. Naturalism denies the existence of supernatural entities and denies as well the claim that revelation is capable of providing us with genuine knowledge. Where the supernaturalistic worldview is quite open to the possibility of miracles, naturalism is much less sympathetic, and one might argue that the tenets of naturalism rule out the possibility of miracles altogether; see Lewis (1947:Ch. 1), Martin (1992:192) and Davis (1999:131).

Much, of course, depends on how we conceive of miracles, and on what we take their significance to be. One concern we might have with the miraculous would be an apologetic one. By “apologetic” here is meant a defense of the rationality of belief in God. Historically, apologists have pointed to the occurrence of miracles as evidence for theism, which is to say that they have held that scriptural reports of miracles, such as those given in the Bible, provide grounds for belief in God. While this argument is not as popular now as it was in the 18th century, the modern conception of the miraculous has been strongly influenced by this apologetic interest. Such an interest puts important constraints on an account of miracles. If we wish to point to a miracle as supporting belief in a supernatural deity, obviously we cannot begin by assuming the supernaturalistic worldview; this would beg the question. If we are trying to persuade a skeptic of God’s existence, we are trying to demonstrate to him that there is something beyond or transcending nature, and he will demand to be persuaded on his own terms; we must make use of no assumptions beyond those that are already acknowledged by the naturalistic worldview.

Because the history of modern thought regarding miracles has been strongly influenced by apologetic interests, the emphasis of this entry will be on the apologetic conception of the miraculous—that is, on the concept of miracle as it has been invoked by those who would point to the reports of miracles in scripture as establishing the existence of a supernatural God. It is important to bear in mind, however, that any difficulty associated with this apologetic appeal to miracles does not automatically militate against the reasonableness of belief in miracles generally. A successful criticism of the apologetic appeal will show at most that a warranted belief in miracles depends on our having independent reasons for rejecting naturalism; again, see Lewis (1947:11).

3. The Credibility of Witnesses

A major concern with the rationality of belief in miracles is with whether we can be justified in believing that a miracle has occurred on the basis of testimony. To determine whether the report of a miracle is credible, we need to consider the reliability of the source. Suppose subject S reports some state of affairs (or event) E. Are S’s reports generally true? Clearly if she is known to lie, or to utter falsehoods as jokes, we should be reluctant to believe her. Also, if she has any special interest in getting us to believe that E has occurred—if, for example, she stands to benefit financially—this would give us reason for skepticism. It is also possible that S may be reporting a falsehood without intending to do so; she may sincerely believe that E occurred even though it did not, or her report may be subject to unconscious exaggeration or distortion. Aside from the possibility that she may be influenced by some tangible self-interest, such as a financial one, her report may also be influenced by emotional factors—by her fears, perhaps, or by wishful thinking. We should also consider whether other reliable and independent witnesses are available to corroborate her report.

We must also ask whether S is herself a witness to E, or is passing on information that was reported to her. If she witnessed the event personally, we may ask a number of questions about her observational powers and the physical circumstances of her observation. There are quite a few things that can go wrong here; for example, S may sincerely report an event as she believed it to occur, but in fact her report is based on a misperception. Thus she may report having seen a man walk across the surface of a lake; this may be her understanding of what happened, when in fact he was walking alongside the lake or on a sand bar. If it was dark, and the weather was bad, this would have made it difficult for S to have a good view of what was happening. And of course we should not neglect the influence of S’s own attitudes on how she interprets what she sees; if she is already inclined to think of the man she reports as walking on water as being someone who is capable of performing such an extraordinary feat, this may color how she understands what she has seen. By the same token, if we are already inclined to agree with her about this person’s remarkable abilities, we will be all the more likely to believe her report.

If S is merely passing on the testimony of someone else to the occurrence of E, we may question whether she has properly understood what she was told. She may not be repeating the testimony exactly as it was given to her. And here, too, her own biases may color her understanding of the report. The possibility of distortions entering into testimony grows with each re-telling of the story.

It will be fruitful to consider these elements in evaluating the strength of scriptural testimony to the miracles ascribed to Jesus. The reports of these miracles come from the four gospel accounts. Some of these accounts seem to have borrowed from others, or to have been influenced by a common source; even if this were not the case, they still cannot be claimed to represent independent reports. Assuming they originate with the firsthand testimony of Jesus’ followers, these people were closely associated and had the opportunity to discuss among themselves what they had seen before their stories were recorded for posterity. They were all members of the same religious community, and shared a common perspective as well as common interests. While the gospel accounts tell us that miracles took place in front of hostile witnesses, we do not have the testimony of these witnesses. (Later acknowledgments of Jesus’ miracles by hostile parties is, the skeptic will argue, evidence only for the gullibility of these writers.)

It is sometimes suggested that these men undertook grave risk by reporting what they did, and they would not have risked their lives for a lie. But this establishes, at best, only that their reports are sincere; unfortunately, their conviction is not conclusive evidence for the truth of their testimony. We could expect the same conviction from someone who was delusional.

Let us consider a particular report of Jesus’ resurrection in applying these considerations. Popular apologetic sometimes points to the fact that according to Paul in 1 Corinthians (15:6), the resurrected Jesus was seen by five hundred people at once, and that it is highly improbable that so many people would have the experience of seeing Jesus if Jesus were not actually there. After all, it may be argued, they could not have shared a mass hallucination, since hallucinations are typically private; there is no precedent for shared hallucination, and it may seem particularly far-fetched to suppose that a hallucination would be shared among so many people. Accordingly it may be thought much more likely that Jesus really was there and, assuming there is sufficient evidence that he had died previously to that time, it becomes reasonable to say that he was resurrected from the dead.

While this report is sometimes taken as evidence of Jesus’ physical resurrection, Paul says only that he appeared to the five hundred without saying explicitly that it was a physically reconstituted Jesus that these people saw. But let us suppose that Paul means to report that the five hundred saw Jesus in the flesh. Unfortunately we do not have the reports of the five hundred to Jesus’ resurrection; we have only Paul’s hearsay testimony that Jesus was seen by five hundred. Furthermore Paul does not tell us how this information came to him. It is possible that he spoke personally to some or all of these five hundred witnesses, but it is also possible that he is repeating testimony that he received from someone else. This opens up the possibility that the report was distorted before it reached Paul; for example, the number of witnesses may have been exaggerated, or the original witnesses may have merely reported feeling Jesus’ presence in some way without actually seeing him. For the sake of argument, however, let us suppose that there was at one time a group of five hundred people who were all prepared to testify that they had seen a physically resurrected Jesus. This need not be the result of any supposed mass hallucination; the five hundred might have all seen someone who they came to believe, after discussing it amongst themselves, was Jesus. In such a case, the testimony of the five hundred would be to an experience together with a shared interpretation of it.

It is also possible that the text of Paul’s letter to the Corinthians has not been accurately preserved. Thus, no matter how reliable Paul himself might be, his own report may have been modified through one, or several, redactions.

There are, therefore, quite a few points at which error or distortion might have entered into the report in 1 Corinthians: (1) The original witnesses may have been wrong, for one reason or another, about whether they saw Jesus; (2) the testimony of these witnesses may have been distorted before reaching Paul; (3) Paul may have incorrectly reported what he heard about the event, and (4) Paul’s own report, as given in his original letter to the Christian community in Corinth, may have been distorted. The apologist may argue that it would be very surprising if errors should creep into the report at any of these four points. The question we must ask now, however, is which of these alternatives would be more surprising: That some error should arise in regard to 1-4 above, or that Jesus really was resurrected from the dead.

4. Hume’s Argument

In Section X of his Enquiry Concerning Human UnderstandingHume tells us that it is not reasonable to subscribe to any “system of religion” unless that system is validated by the occurrence of miracles; he then argues that we cannot be justified in believing that a miracle has occurred, at least when our belief is based on testimony—as when, for example, it is based on the reports of miracles that are given in scripture. (Hume did not explicitly address the question of whether actually witnessing an apparent miracle would give us good reason to think that a miracle had actually occurred, though it is possible that the principles he invokes in regard to testimony for the miraculous can be applied to the case of a witnessed miracle.) His stated aim is to show that belief in miracle reports is not rational, but that “our most holy religion is founded on Faith, not on reason” (Enquiries, p. 130). Hume surely intends some irony here, however, since he concludes by saying that anyone who embraces a belief in miracles based on faith is conscious of “a continued miracle in his own person, which subverts all the principles of his understanding” (Enquiries, p. 131); this seems very far from an endorsement of a faith-based belief in miracles.

There is some dispute as to the nature of Hume’s argument against miracles, and the Enquiry seems to contain more than one such argument. The most compelling of these is the one I will call the Balance of Probabilities Argument. (For a brief discussion of some of the other arguments, see the entry “David Hume: Writings on Religion.”) Hume tells us that we ought to proportion our certainty regarding any matter of fact to the strength of the evidence. We have already examined some of the considerations that go into assessing the strength of testimony; there is no denying that testimony may be very strong indeed when, for example, it may be given by numerous highly reliable and independent witnesses.

Nevertheless, Hume tells us that no testimony can be adequate to establish the occurrence of a miracle. The problem that arises is not so much with the reliability of the witnesses as with the nature of what is being reported. A miracle is, according to Hume, a violation of natural law. We suppose that a law of nature obtains only when we have an extensive, and exceptionless, experience of a certain kind of phenomenon. For example, we suppose that it is a matter of natural law that a human being cannot walk on the surface of water while it is in its liquid state; this supposition is based on the weight of an enormous body of experience gained from our familiarity with what happens in seas, lakes, kitchen sinks, and bathtubs. Given that experience, we always have the best possible evidence that in any particular case, an object with a sufficiently great average density, having been placed onto the surface of a body of water, will sink. According to Hume, the evidence in favor of a miracle, even when that is provided by the strongest possible testimony, will always be outweighed by the evidence for the law of nature which is supposed to have been violated.

Considerable controversy surrounds the notion of a violation of natural law. However, it would appear that all Hume needs in order to make his argument is that a miracle be an exception to the course of nature as we have previously observed it; that is, where we have had a substantial experience of a certain sort of phenomenon—call it A—and have an exceptionless experience of all As being B, we have very strong reason to believe that any given A will be a B. Thus given that we have a very great amount of experience regarding dense objects being placed onto water, and given that in every one of these cases that object has sunk, we have the strongest possible evidence that any object that is placed onto water is one that will sink. Accordingly we have the best possible reasons for thinking that any report of someone walking on water is false—and this no matter how reliable the witness.

While objections are frequently made against Hume’s conception of natural law, in fact no particularly sophisticated account of natural law seems to be necessary here, and Hume’s examples are quite commonsensical: All human beings must die, lead cannot remain suspended in the air, fire consumes wood and is extinguished by water (Enquiries p. 114). This may be a naive conception of natural law; nevertheless it is true that, all things being equal, we can assign a minimal probability to the occurrence of a counterinstance to any of these generalizations.

At times Hume sounds as though he thinks the probability of such an event is zero, given its unprecedented nature, and some commentators have objected that the fact that we have never known such an event to occur does not imply that it cannot occur. Past regularities do not establish that it is impossible that a natural law should ever be suspended (Purtill 1978). However, regardless of Hume’s original intent, this is a more extravagant claim than his argument requires. He is free to admit that some small probability may be attached to the prospect that a dense object might remain on the surface of a lake; it is sufficient for his purposes that it will always be more likely that any witness who reports such an event is attempting to deceive us, or is himself deceived. After all, there is no precedent for any human being walking on water, setting this one controversial case aside, but there is ample precedent for the falsehood of testimony even under the best of circumstances.

Accordingly Hume says (Enquiries p. 115ff) that “no testimony is sufficient to establish a miracle, unless the testimony be of such a kind, that its falsehood would be more miraculous, than the fact, which it endeavors to establish.” We must always decide in favor of the lesser miracle. We must ask ourselves, which would be more of a miracle: That Jesus walked on water, or that the scriptural reports of this event are false? While we may occasionally encounter testimony that is so strong that its falsehood would be very surprising indeed, we never come across any report, the falsehood of which would be downright miraculous. Accordingly, the reasonable conclusion will always be that the testimony is false.

Thus to return to Paul’s report of Jesus’ resurrection in 1 Corinthians: It may be highly unlikely that the original witnesses were wrong, for one reason or another, about whether they saw Jesus; it may be highly unlikely that the testimony of these witnesses may have been distorted before reaching Paul; it may be highly unlikely that Paul incorrectly reported what he heard about the event, and it may be highly unlikely that Paul’s original letter to the Christian community in Corinth has not been accurately preserved in our modern translations of the New Testament. Suppose the apologist can argue that a failure in the transmission of testimony at any of these points might be entirely without precedent in human experience. But the physical resurrection of a human being is also without precedent, so that the very best the apologist can hope for is that both alternatives—that the report is incorrect, or that Jesus returned to life—are equally unlikely, which seems only to call for a suspension of judgment. Apologetic appeals frequently focus on the strength of testimony such as Paul’s, and often appear to make a good case for its reliability. Nevertheless such an appeal will only persuade those who are already inclined to believe in the miracle—perhaps because they are already sympathetic to a supernaturalistic worldview—and who therefore tend to downplay the unlikelihood of a dead man returning to life.

Having said all this, it may strike us as odd that Hume seems not to want to rule out the possibility, in principle, that very strong testimony might establish the occurrence of an unprecedented event. He tells us (Enquiries p. 127) that if the sun had gone dark for eight days beginning on January 1, 1600, and that testimony to this fact continued to be received from all over the world and without any variation, we should believe it—and then look for the cause. Thus even if we were convinced that such an event really did take place—and the evidence in this case would be considerably stronger than the evidence for any of the miracles of the Bible—we should suppose that the event in question really had a natural cause after all. In this case the event would not be a violation of natural law, and thus according to Hume’s definition would not be a miracle.

Despite this possibility, Hume wants to say that the quality of miracle reports is never high enough to clear this hurdle, at least when they are given in the interest of establishing a religion, as they typically are. People in such circumstances are likely to be operating under any number of passional influences, such as enthusiasm, wishful thinking, or a sense of mission driven by good intentions; these influences may be expected to undermine their critical faculties. Given the importance to religion of a sense of mystery and wonder, that very quality which would otherwise tend to make a report incredible—that it is the report of something entirely novel—becomes one that recommends it to us. Thus in a religious context we may believe the report not so much in spite of its absurdity as because of it.

5. Problems with Hume’s Argument

There is something clearly right about Hume’s argument. The principle he cites surely resembles the one that we properly use when we discredit reports in tabloid newspapers about alien visitors to the White House or tiny mermaids being found in sardine cans. Nevertheless the argument has prompted a great many criticisms.

Some of this discussion makes use of Bayesian probabilistic analysis; John Earman, for example, argues that when the principles of Hume’s arguments “are made explicit and examined under the lens of Bayesianism, they are found to be either vapid, specious, or at variance with actual scientific practice” (Earman 2000). The Bayesian literature will not be discussed here, though Earman’s discussion of the power of multiple witnessing deserves mention. Earman argues that even if the prior probability of a miracle occurring is very low, if there are enough independent witnesses, and each is sufficiently reliable, its occurrence may be established as probable. Thus if Hume’s concern is to show that we cannot in principle ever have good reason to believe testimony to a miracle, he would appear to be wrong about this (Earman 2000: See particularly Ch. 18 and following). Of course the number of witnesses required might be very large, and it may be that none of the miracles reported in any scripture will qualify. It is true that some of the miracles of the Bible are reported to have occurred in the presence of a good number of witnesses; the miracle of the loaves and fishes is a good example, which according to Mark (Mark 6:30-44) was witnessed by 5,000 people. But we have already noticed that the testimony of one person, or even of four, that some event was witnessed by a multitude is not nearly the same as having the testimony of the multitude itself.

Another objection against Hume’s argument is that it makes use of a method that is unreliable; that is, it may have us reject reports that are true or accept those that are false. Consider the fact that a particular combination of lottery numbers will generally be chosen against very great odds. If the odds of the particular combination chosen in the California Lottery last week were 40 million to 1, the probability of that combination being chosen is very low. Assuming that the likelihood of any given event being misreported in the Los Angeles Times is greater than that, we would not be able to trust the Times to determine which ticket is the winner.

The unreliability objection, made out in this particular way, seems to have a fairly easy response. There is no skeptical challenge to our being justified in believing the report of a lottery drawing; that is, reports of lottery drawings are reports of ordinary events, like reports of rainstorms and presidential press conferences. They do not require particularly strong testimony to be credible, and in fact we may be justified in believing the report of a lottery drawing even if it came from an otherwise unreliable source, such as a tabloid newspaper. This is surely because we know in advance that when the lottery is drawn, whatever particular combination of numbers may be chosen will be chosen against very great odds, so that we are guaranteed to get one highly improbable combination or another. Despite the fact that the odds against any particular combination are very great, all of the other particular outcomes are equally unlikely, so we have no prejudice against any particular combination.  We know that people are going to win the lottery from time to time; we have no comparable assurance that anyone will ever be raised from the dead.

Nevertheless if we are to be able to make progress in science, we must be prepared to revise our understanding of natural law, and there ought to be circumstances in which testimony to an unprecedented event would be credible. For example, human beings collectively have seen countless squid, few of which have ever exceeded a length of two feet. For this reason reports of giant squid have, in the past, been sometimes dismissed as fanciful; the method employed by Hume in his Balance of Probabilities Argument would seem to rule out the possibility of our coming to the conclusion, on the basis of testimony, that such creatures exist—yet they have been found in the deep water near Antarctica. Similarly, someone living beyond the reach of modern technology might well reject reports of electric lighting and airplanes. Surely we should be skeptical when encountering a report of something so novel. But science depends for its progress on an ability to revise even its most confident assertions about the natural world.

Discussion of this particular problem in Hume tends to revolve around his example of the Indian and the ice. Someone from a very hot climate such as that of India, living during Hume’s time, might refuse to believe that water was capable of taking solid form as ice or frost, since he has an exceptionless experience against this. Yet in this case he would come to the wrong conclusion. Hume argues that such a person would reason correctly, and that very strong testimony would properly be required to persuade him otherwise. Yet Hume refers to this not as a miracle but as a marvel; the difference would appear to lie in the fact that while water turning to ice does not conform to the experience of the Indian, since he has experienced no precedent for this, it is also notcontrary to his experience, because he has never had a chance to see what will happen to water when the temperature is sufficiently low (Enquiries, p. 113). By the same token, we ought to be cautious when it comes to deciding how large squid may grow in the Antarctic deeps, when our only experience of them has been in warm and relatively shallow water. The circumstances of an Antarctic habitat are not analogous to those in which we normally observe squid.

On the other hand, when someone reports to us that they have witnessed a miracle, such as a human being walking on water, our experience of ordinary water is analogous to this case, and therefore counts against the likelihood that the report is true. And of course our usual experience must be analogous to this case, for if the water that someone walks upon is somehow unlike ordinary water, or there is something else in the physical circumstances that can account for how it was possible in this one instance for someone to walk on water when this is impossible in the ordinary case, then it is not a violation of natural law after all, and therefore, by Hume’s definition, not a miracle. Jesus’ walking on water will only qualify as a miracle on the assumption that this case is analogous in all relevant respects to those cases in which dense objects have sunk.

The distinction between a miracle and a marvel is an important one for Hume; as he constructs an epistemology that he hopes will rule out belief in miracles in principle, he must be careful that it does not also hinder progress in science. Whether Hume is successful in making this distinction is a matter of some controversy.

a. Does Hume’s Argument Beg the Question?

Many commentators have suggested that Hume’s argument begs the question against miracles. (See for example Lewis 1947:103, Houston 1994:133) Suppose I am considering whether it is possible for a human being to walk on water. I consider my past experience with dense objects, such as human bodies, and their behavior in water; I may even conduct a series of experiments to see what will happen when a human body is placed without support on the surface of a body of water, and I always observe these bodies to sink. I now consider what is likely to occur, or likely to have occurred, in some unknown case. Perhaps I am wondering what will happen the next time I step out into the waters of Silver Lake. Obviously I will expect, without seriously considering the matter, that I will sink rather than walk on its surface. My past experience with water gives me very good reason to think that this is what will happen. But of course in this case, I am not asking whether nature will be following its usual course. Indeed, I am assuming that it will be, since otherwise I would not refer to my past experience to judge what was likely in this particular case; my past experience of what happens with dense bodies in water is relevant only in those cases in which the uniformity of nature is not in question. But this means that to assume that our past experience is relevant in deciding what has happened in an unknown case, as Hume would have us do, is to assume that nature was following its usual course—it is to assume that there has been no break in the uniformity of nature. It is, in short, to assume that no miracle has occurred. In order to take seriously the possibility that a miracle has occurred, we must take seriously the possibility that there has been a breach in the uniformity of nature, which means that we cannot assume, without begging the question, that our ordinary observations are relevant.

It would be a mistake, however, to suppose that this criticism represents a victory for apologetic. While the apologist may wish to proceed by asking the skeptic to abandon his assumption that ordinary experience is relevant to assessing the truth of miracle reports, this seems to beg the question in the opposite direction. Ordinary experience will only fail to be relevant in those cases in which there was in fact a break in the uniformity of nature, i.e. in those cases in which a miracle has occurred, and this is precisely what the skeptic requires to be shown. It is tempting to suppose that there is a middle ground; perhaps the skeptic need only admit that it is possible that ordinary experience is not relevant in this case. However, it is difficult to determine just what sort of possibility this would be. The mere logical possibility that an exceptional event may have occurred is not something that the skeptic has ever questioned; when I infer that I will sink in the waters of Silver Lake, I do so in full recognition of the fact that it is logically possible that I will not.

If the apologist is asking for any greater concession than this, the skeptic may be forgiven for demanding that he be given some justification for granting it. He may be forgiven, too, for demanding that he be persuaded of the occurrence of a miracle on his own terms—i.e. on purely naturalistic grounds, without requiring him to adopt any of the assumptions of supernaturalism. Of course the most natural place to look for evidence that there may occasionally be breaks in the natural order would be to testimony, but for reasons that are now obvious, this will not do.

It would appear that the question of whether miracle reports are credible turns on a larger question, namely, whether we ought to hold the supernaturalistic worldview, or the naturalistic one. One thing seems certain, however, and that is that the apologist cannot depend on miracle reports to establish the supernaturalistic worldview if the credibility of such reports depends on our presumption that the supernaturalistic worldview is correct.

6. Conceptual Difficulties I: The Logical Impossibility of a Violation

Recent criticisms of belief in miracles have focused on the concept of a miracle. In particular, it has been held that the notion of a violation of natural law is self-contradictory. No one, of course, thinks that the report of an event that might be taken as a miracle—such as a resurrection or a walking on water—is logically self-contradictory. Nevertheless some philosophers have argued that it is paradoxical to suggest both that such an event has occurred, and that it is a violation of natural law. This argument dates back at least as far as T.H. Huxley, who tells us that the definition of a miracle as contravening the order of nature is self-contradictory, because all we know of the order of nature is derived from our observation of the course of events of which the so-called miracle is a part (1984:157). Should an apparent miracle take place, such as a suspension in the air of a piece of lead, scientific methodology forbids us from supposing that any law of nature has been violated; on the contrary, Huxley tells us (in a thoroughly Humean vein) that “the scientist would simply set to work to investigate the conditions under which so highly unexpected an occurrence took place; and modify his, hitherto, unduly narrow conception of the laws of nature” (1894:156). More recently this view has been defended by Antony Flew (1966, 1967, 1997) and Alastair McKinnon (1967). McKinnon has argued that in formulating the laws of nature, the scientist is merely trying to codify what actually happens; thus to claim that some event is a miracle, where this is taken to imply that it is a violation of natural law, is to claim at once that it actually occurred, but also, paradoxically, that it is contrary to the actual course of events.

Let us say that a statement of natural law is a generalization of the form “All As are Bs;” for example, all objects made of lead (A) are objects that will fall when we let go of them (B). A violation would be represented by the occurrence of an A that is not a B, or in this case, an object made of lead that does not fall when we let go of it. Thus to assert that a violation of natural law has occurred is to say at once that all As are Bs, but to say at the same time that there exists some A that is not a B; it is to say, paradoxically, that all objects made of lead will fall when left unsupported, but that this object made of lead did not fall when left unsupported. Clearly we cannot have it both ways; should we encounter a piece of lead that does not fall, we will be forced to admit that it is not true that all objects made of lead will fall. On McKinnon’s view, a counterinstance to some statement of natural law negates that statement; it shows that our understanding of natural law is incorrect and must be modified—which implies that no violation has occurred after all.

Of course this does not mean that no one has ever parted the Red Sea, walked on water, or been raised from the dead; it only means that such events, if they occurred, cannot be violations of natural law. Thus arguably, this criticism does not undermine the Christian belief that these events really did occur (Mavrodes 1985:337). But if Antony Flew is correct (1967:148), for the apologist to point to any of these events as providing evidence for the existence of a transcendent God or the truth of a particular religious doctrine, we must not only have good reason to believe that they occurred, but also that they represent an overriding of natural law, an overriding that originates from outside of nature. To have any apologetic value, then, a miracle must be a violation of natural law, which means that we must (per impossibile) have both the law and the exception.

a. Violations as Nonrepeatable Counterinstances to Natural Law

The conception of a violation may, however, be defended as logically coherent. Suppose we take it to be a law of nature that a human being cannot walk on water; subsequently, however, we become convinced that on one particular occasion (O)—say for example, April 18th, 1910—someone was actually able to do this. Yet suppose that after the occurrence of O water goes back to behaving exactly as it normally does. In such a case our formulation of natural law would continue to have its usual predictive value, and surely we would neither abandon it nor revise it. The only revision possible in this case would be to say “Human beings cannot walk on water, except on occasion O.” Yet the amendment in this case is entirely ad hoc; in its reference to a particular event, the revision fails to take the generalized form that statements of natural law normally possess, and it adds no explanatory power to the original formulation of the law. It gives us no better explanation of what has happened in the past, it does nothing to account for the exceptional event O, and it fares no better than the original formulation when it comes to predicting what will happen in the future. In this case O is what might be called a nonrepeatable counterinstance to natural law. Faced with such an event we would retain our old formulation of the law, which is to say that the exceptional event O does not negate that formulation. This means that there is no contradiction implied by affirming the law together with its exception.

Things would be different if we can identify some feature (F) of the circumstances in which O occurred which will explain why O occurred in this one case when normally it would not. F might be some force operating to counteract the usual tendency of a dense object, such as a human body, to sink in water. In this case, on discovery of F we are in a position to reformulate the law in a fruitful way, saying that human beings cannot walk on water except when F is present. Since the exception in this case now has a generalized form (i.e. it expresses the proposition that human beings can walk on water whenever F is present), our reformulation has the kind of generality that a statement of natural law ought to have. It explains the past interaction of dense bodies with water as well as the original formulation did, and it explains why someone was able to walk on water on occasion O. Finally, it will serve to predict what will happen in the future, both when F is absent and when it is present.

We may now, following Ninian Smart (1964:37) and Richard Swinburne (1970:26), understand a violation as a nonrepeatable counterinstance to natural law. We encounter a nonrepeatable counterinstance when someone walks on water, as in case O, and having identified all of the causally relevant factors at work in O, and reproducing these, no one is able to walk on water. Since a statement of natural law is falsified only by the occurrence of a repeatable counterinstance, it is paradoxical to assert a particular statement of law and at the same time insist that a repeatable counterinstance to it has occurred. However there is no paradox in asserting the existence of the law together with the occurrence of a counterinstance that is not repeatable.

b. Miracles as Outside the Scope of Natural Laws

The force of this line of reasoning is to deny that natural laws must describe the actual course of events. Natural laws do not describe absolutely the limits of what can and cannot happen in nature. They only describe nature to the extent that it operates according to laws. To put the matter differently, we might say that natural laws only describe what can happen as a result of natural causes; they do not tell us what can happen when a supernatural cause is present. As Michael Levine (1989:67) has put the point:

Suppose the laws of nature are regarded as nonuniversal or incomplete in the sense that while they cover natural events, they do not cover, and are not intended to cover, non-natural events such as supernaturally caused events if there are or could be any. A physically impossible occurrence would not violate a law of nature because it would not be covered by (i.e. would not fall within the scope of) such a law.

On this understanding, a physically impossible event would be one that could not occur given only physical, or natural, causes. But what is physically impossible is not absolutely impossible, since such an event might occur as the result of a supernatural cause. One way to make this out is to say that all laws must ultimately be understood as disjunctions, of the form “All As are Bs unless some supernatural cause is operating.” (Let us refer to this as a supernaturalistic formulation of law, where of course it is causal supernaturalism that is at work here, as opposed to a naturalistic formulation, which simply asserts that all As are Bs, without taking account the possibility of any supernatural cause.) If this is correct, then it turns out that strictly speaking, a miracle is not a violation of natural law after all, since it is something that occurs by means of a supernatural intervention. Furthermore, since statements of natural law are only intended to describe what happens in the absence of supernatural intrusions, the occurrence of a miracle does not negate any formulation of natural law.

The supernaturalistic conception of natural law appears to offer a response to Hume’s Balance of Probabilities argument; the evidence for natural laws, gathered when supernatural causes are absent, does not weigh against the possibility that a miracle should occur, since a miracle is the result of a supernatural intervention into the natural order. Thus there is a failure of analogy between those cases that form the basis for our statements of natural law, and the circumstances of a miracle. Probabilistic considerations, based on our ordinary experience, are only useful in determining what will happen in the ordinary case, when there are no supernatural causes at work.

7. Conceptual Difficulties II: Identifying Miracles

We have seen two ways in which the concept of a miracle, described as an event that nature cannot produce on its own, may be defended as coherent. We may say that a miracle is a violation of natural law and appeal to the conception of a violation as a nonrepeatable counterinstance, or we may deny that miracles are violations of natural law since, having supernatural causes, they fall outside the scope of these laws. Nevertheless, conceptual difficulties remain. Antony Flew (1966, 1967, 1997) has argued that if a miracle is to serve any apologetic purpose, as evidence for the truth of some revelation, then it must be possible to identify it as a miracle without appealing to criteria given by that revelation; in particular, there must be natural, or observable, criteria by which an event can be determined to be one which nature cannot produce on its own. Flew refers to this as the Problem of Identifying Miracles.

Let us see how this problem arises in connection with these two conceptions of the miraculous. Are there natural criteria by which we can distinguish a repeatable from a nonrepeatable counterinstance to some natural law? Suppose some formulation of natural law (All As are Bs) and some event that is a counterinstance to that formulation (an A that is not a B). The counterinstance will be repeatable just in case there is some natural force F present in the circumstances that is causally responsible for the counterinstance, such that every time F is present, a similar counterinstance will occur. But suppose we do our best to reproduce the circumstances of the event and are unable to do so. We cannot assume that the event is nonrepeatable, for we have no way to eliminate the possibility that we have failed to identify all of the natural forces that were operating to produce the original counterinstance. The exceptional event may have been produced by a natural force that is unknown to us. No observable distinction can be made between a case in which an exception is repeatable, having been produced by some as-yet undiscovered natural force, and one that is not. Worse yet, the naturalist will argue that the very occurrence of the exception is evidence that there is in fact some previously unknown natural force at work; where there is a difference in effects, there must be a difference in causes—which for the naturalist means, of course, natural causes.

Nor does the difficulty go away if we adopt the supernaturalistic view of natural law. On this view, natural laws only describe what happens when supernatural forces are absent; a genuine miracle does not violate natural law because it is the effect of a supernatural cause. Suppose an extraordinary event occurs, which the apologist would like to attribute to a supernatural cause. The following two states of affairs appear to be empirically indistinguishable:

1. The event is the result of a natural cause that we are as yet unable to identify.

2. The event is the result of a supernatural cause.

This, of course, is due to the fact that we do not observe the cause of the event in either of these cases—in the first, it is because the cause is unknown to us, and in the second, because supernatural causes are unobservable ex hypothesi. Thus the issue here is whether we should suppose that our failure to observe any cause for the event is due to our (perhaps temporary) inability to fully identify all of the natural forces that were operating to produce it, or whether it is because the cause, being supernatural, is in principle unobservable. If Flew is right, then in order to identify the event as a miracle, we must find some way to rule out the possibility of ever finding a natural cause for it; furthermore, if the identification of this event as a miracle is to serve any apologetic purpose, we must find some empirical grounds for doing this.

To complicate matters even further, there is yet a third possibility, which is that:

3. The event has no cause at all.

That is, it is possible that the event is simply uncaused or spontaneous. It is clear that there can be no observable difference between an event that has a supernatural cause, since such a cause is in principle unobservable, and one that fails to have a cause. The challenge for an account of miracles as supernaturally caused is to show what the difference is between conceiving an event as having a supernatural cause, and conceiving of it as simply lacking any cause at all.

The implications of this are quite significant: Even if the naturalist were forced to admit that an event had no natural cause, and that nature is, therefore, not fully lawlike, this does not commit him to supernaturalism. It is possible that nature undergoes spontaneous lapses in its uniformity. Such events would be nonrepeatable counterinstances to natural law, but they would not be miracles. They would fall within the unaided potentialities of nature; the naturalist need not admit the necessity of supernatural intervention to produce such events, because their occurrence requires no appeal to any transcendent reality. Indeed, should we become persuaded that an event has occurred that has no natural cause, the naturalist may argue that simplicity dictates that we forgo any appeal to the supernatural, since this would involve the introduction of an additional entity (God) without any corresponding benefit in explanatory power.

8. Supernatural Causes and Supernatural Explanation

The apologist, however, will insist that this is precisely the point. Describing an extraordinary event as the effect of a supernatural cause, and attributing it to divine intervention, is justified by the fact that it offers us a chance to explain it where no natural explanation is available. Assuming (as the naturalist typically does) that nature operates according to physical laws, the occurrence of an apparent exception points to some difference in the circumstances. If no difference in the physical circumstances can be found, then the only explanation available is that there is some supernatural force at work. It is unreasonable to reject such a supernatural explanation in the purely speculative hope that one day a natural explanation may become available.

The notion of a supernatural explanation deserves careful attention. The naturalist will surely argue that the conception of a supernatural explanation—together with its cognate, the notion of a supernatural cause—is confused. This position is motivated by the conviction that the notions of an explanation and of a cause are fundamentally empirical conceptions.

First, as regards the conception of a cause: Paradigmatically, causation is a relation between two entities, a cause (or some set of causal circumstances) and an effect. Now there are many cases in which we witness the effect of a cause that is not seen; I might for example hear the sound of a gunshot, and not see the gun that produced it. Furthermore I will be able to infer that there is a gun somewhere nearby that produced that sound. This is an inference from effect to cause, and is similar to what the apologist would like to do with a miracle, inferring the existence of God (as cause) from the occurrence of the miracle (as effect). But what makes my inference possible in this case is, as Hume would point out, the fact that I have observed a regular conjunction of similar causes with similar effects. This is precisely what is lacking when it comes to supernatural causes. I cannot ever experience the conjunction of a supernatural cause with its effect, since supernatural causes are (by hypothesis) unobservable—nor can I make an inference from any phenomenon in nature to its supernatural cause without such an experience. Indeed given the very uniqueness of God’s miraculous interventions into nature, it is difficult to see how the notion of divine causation could draw on any kind of regularity at all, as empirical causes do.

It is true that science often appeals to invisible entities such as electrons, magnetic fields, and black holes; perhaps the apologist conceives her own appeal as having a similar character (Geivett 1997:183). These things, one may argue, are known only through their observable effects. But the causal properties of such natural entities as electrons and magnetic fields are analogous to those of entities that are observable; this is what entitles us to refer to them as natural entities. Furthermore, these properties may be described in terms of observable regularities, which means that entities like electrons and magnetic fields may play a role in theories that have predictive power. Thus for example, an appeal to electrons can help us predict what will happen when we turn on a light switch. God is not a theoretical entity of this kind. Far from being able to play a role in any empirical regularities, God’s miraculous interventions into nature, as these are conceived by the supernaturalist, are remarkable for their uniqueness.

Another reason for doubting that God can possess causal powers analogous to those enjoyed by natural objects arises from the fact that God is typically conceived as lacking any location in space—and on the view of some philosophers, as being outside of time as well. Causal relationships among natural entities play out against a spatio-temporal background. Indeed it would seem that to speak of God as the cause of events in nature encounters something similar to the Problem of Mind-Body Interaction. (This should not be surprising given the usual conception of God as a nonmaterial entity, i.e. as mind or spirit.) All of the cases of causal interaction of which we are aware occur between physical entities that are fundamentally similar to one another in terms of possessing physical properties such as mass, electrical charge, location in space etc. Thus we know for example how one billiard ball may move another by virtue of the transfer of momentum. But God possesses none of these qualities, and cannot therefore interact with physical objects in any way that we can understand. God cannot, for example, transfer momentum to a physical object if God does not possess mass.

It may be argued that the conception of an explanation is inextricably intertwined with that of causation, so that if the conception of a supernatural cause is an empty one, the notion of a supernatural explanation can hardly be expected to get off the ground. The apologist may respond by distinguishing the sort of explanation she intends to give, when she attributes a miracle to divine agency, from the sort of explanation that is common to the natural sciences. In particular, she might characterize them as personal explanations, which work to explain a phenomenon by reference to the intentions of an agent—in this case God. (See for example Swinburne 1979: Ch. 2) Now, it is true that personal explanations do not have quite the same empirical basis as do scientific ones; nevertheless, like scientific explanations, they do typically have empirical consequences. For example, if I explain Bertrand’s running a red light by saying that he wanted to be on time to his meeting, I have given a personal explanation for Bertrand’s behavior, and it is one that is testable. It will be supported by any observations that tend to confirm the hypothesis that Bertrand is due for a meeting and that being on time is something that he desires, and it will be undermined by any that are contrary to it, such as discovering that Bertrand does not believe that any meeting is imminent. Furthermore this explanation also serves as a basis for rough predictions about other actions that Bertrand might be expected to perform, e.g. he will likely take other steps (possibly involving additional traffic violations) in order to make it to his meeting on time.

The most obvious way in which appeals to divine agency fail to be analogous to the usual sort of personal explanation is in their failure to yield even the vaguest of predictions. (See Nowell-Smith 1955) Suppose, for example, that we attribute a walking on water to divine intervention; from this description, nothing follows about what we can expect to happen in the future. Unless we can introduce additional information provided by revelation, we have no grounds for inferring that God will bring it about that additional miracles will occur; he may, or he may not. Indeed, as far as this kind of predictive expansion is concerned, we seem no better off saying that some event came about because God willed it to occur than we would be if we said of it simply that it had no cause, or that it occurred spontaneously. (Indeed, often when someone says “It was God’s will,” they are calling attention to the inscrutability of events.) In light of this fact, there is no reason why the naturalist should find such a supernatural explanation compelling; on the contrary, faced with a putative miracle, if his concern was to explain the event, he would be justified in following Hume’s advice and continuing to hold out for a natural cause and a natural explanation—one that possesses predictive power—or in the worst case, to simply shrug off the incident as inexplicable, while denying that this inexplicability warrants any appeal to the divine.

An objection here may be that all of this makes use of an unnecessarily narrow conception of causation—one which arbitrarily seeks to restrict their use to the natural sciences. Undoubtedly the word “cause” is used in a very diverse number of ways, and it is surely wrong to say that no sense can ever be attached to a statement of the form “God caused x to occur.” The same may be said regarding the notion of an explanation. But it is the apologist who tries to understand supernatural causes as analogous to the sort of causes that are of interest to natural science. If supernatural causes are not sufficiently similar to natural ones, they cannot be expected to fill the gap when natural causes are found to be lacking.

The most fundamental challenge to someone who wishes to appeal to the existence of supernatural causes is to make it clear just what the difference is between saying that an event has a supernatural cause, and saying that it has no cause at all. Similarly when it comes to the prospect of giving a supernatural explanation: Supposing that someone walks on water and we are unable to find any natural explanation for this, what warrants our saying that such an event has a supernatural explanation, as opposed to saying that it is inexplicable and being done with it?

9. Coincidence Miracles

Given the difficulties that arise in connection with the suggestion that God causes a miracle to occur, a non-causal account deserves consideration. R.F. Holland (1965) has suggested that a religiously significant coincidence may qualify as a miracle. Suppose a child who is riding a toy motor-car gets stuck on the track at a train crossing. A train is approaching from around a curve, and the engineer who is driving it will not be able to see the child until it is too late to stop. By coincidence, the engineer faints at just the right moment, releasing his hand on the control lever, which causes the train to stop automatically. The child, against all expectations, is saved, and his mother thanks God for his providence; she continues to insist that a miracle has occurred even after hearing the explanation of how the train came to stop when it did. Interestingly, when the mother attributes the stopping of the train to God she is not identifying God as its cause; the cause of the train’s stopping is the engineer’s fainting. Nor is she, in any obvious way, offering an explanation for the event—at least none that is intended to compete with the naturalistic explanation made possible by reference to the engineer’s medical condition. What makes this event a miracle, if it is, is its significance, which is given at least in part by its being an apparent response to a human need.

Like a violation miracle, such a coincidence occurs contrary to our expectations, yet it does this without standing in opposition to our understanding of natural law. To conceive of such an event as a miracle does seem to satisfy the notion of a miracle as an event that elicits wonder, though the object of our wonder seems not so much to be how the train came to stop as the simple fact that it should stop when it did, when we had every reason to think it would not.

A similar account of the miraculous comes from John Hick’s conception of religious faith as a form of “experiencing-as.” Inspired by Wittgenstein‘s discussion of seeing-as in the Philosophical Investigations (194e), Hick has argued that while the theist and the atheist live in the same physical environment, they experience it differently; the theist sees a significance in the events of her life that prompts her to describe her experience as a continuing interaction with God (1973:Ch. 2). A theist, for example, might benefit from an unexpected job opportunity and experience this as an expression of divine providence; the same event might not move an atheist in this way. Regarding miracles in particular, Hick (1973:51) writes:

A miracle, whatever else it may be, is an event through which we become vividly and immediately conscious of God as acting towards us. A startling happening, even if it should involve a suspension of natural law, does not constitute for us a miracle in the religious sense of the word if it fails to make us intensely aware of God’s presence. In order to be miraculous, an event must be experienced as religiously significant.

Holland gives no indication that he wants to describe the miracle of the train in terms of experiencing-as. Nevertheless it seems reasonable to say, with Hick, that in Holland’s example, while the child’s mother has seen the same thing that the skeptic has—the stopping of the train—she understands it differently, experiencing it as a miracle, and as an expression of divine providence.

But now a new problem emerges: If the question of whether an event is a miracle lies in its significance, and if its significance is a matter of how we understand it, then it is hard to see how the determination that some event is a miracle can avoid being an entirely subjective matter. In this case, whether or not a miracle has occurred depends on how the witnesses see it, and so (arguably) is more a fact about the witnesses, and their response to the event, than it is to the event itself. (See Smart 1964:35) But we do not typically analyze human agency in this way; whether or not Caesar crossed the Rubicon is not a matter of how anyone experiences things. The question of whether Caesar crossed the Rubicon is an objective one. Surely the theist wishes to say that the question of whether God has acted in the world, in the occurrence of a miracle, is objective as well. And surely this fact accounts for the attractiveness of a causal account of miracles; any dispute over the cause of a putative miracle is a dispute over the facts, not a dispute about how people view the facts.

10. Miracle as Basic Action

This is a serious criticism, but it overlooks something very important about the character of actions generally. To ask whether a human being has acted is surely to ask an objective question, but it is not always to ask a question about causes. Arthur Danto (1965) has argued for a distinction between two types of action: Those that are mediated, and those that are basic. (See also Davidson 1982, who refers to basic actions as primitive.)  I act in a mediated way when I perform action x by doing y; for example, if I turn on the light in my study by flicking a switch, my turning on the light is a mediated action. My flicking the switch is also a mediated action if I flick the switch by moving my fingers.  Notice that, when we say that I turned on the light in a mediated sort of way, this may carry causal implications: In this case, the light’s coming on was caused by the switch’s being flicked, and the switch’s being flicked was caused by my fingers’ moving.  But not all of our actions are like this. When I move my fingers in order to flip the switch, I do not bring about their movement by doing anything else; I just move them. Thus to say I have acted in moving my fingers does not imply that I caused anything to happen. Yet clearly it is, in some sense of “fact,” a fact that I moved my fingers.

It is possible, of course, that my fingers’ moving has a cause, such as the firing of various neurons. But my neural firings are not actions of mine; they are not things that I do. It is not as though I set about to fire my neurons as part of a procedure aimed ultimately at bringing it about that my muscles contract and my fingers move. And even if I did, there would have to be something that I did immediately in order to set the chain of causes going, or there would be an infinite series of actions I would have to perform in order to turn on the light—I could never so much as start to act . Thus the possibility of being able to describe my fingers’ moving in terms of physical causes, and of thereby being able to give a natural explanation for this in terms of neural firings and the like, does not rule out the possibility of saying that in moving my fingers, I have acted.

Some philosophers believe that the truth of a libertarian account of free will implies that the free actions of human beings have no natural cause. This parallels the way that the traditional view of miracles has understood the manner of God’s action in a miracle. (J.P. Moreland has discussed the analogy between free human actions and miracles in this regard; see Moreland 1997.) Such a libertarian view of human action may be correct. It is important to recognize, however, that we do not have to settle the matter; we do not have to show that someone’s moving of their fingers has no natural cause in order to attribute this movement to their agency. Thus analogously, a believer in miracles may insist that there is no natural explanation for various miracles such as the creation of the universe, Moses’ parting of the Red Sea, or Jesus’ resurrection. But if miracles are basic actions on the part of God, then our attribution of divine agency to such events does not require us to show that these things cannot be explained by reference to natural causes. Whatever we must do to identify an event as a miracle, if a miracle is conceived as a basic action on the part of God, it cannot involve a requirement to show that it has no natural cause.

To ascribe a basic action to its agent is not to make any claim about its cause; thus if miracles are properly conceived as basic actions on the part of God, it is not the case that “any assertion that a miracle has occurred is implicitly a causal assertion” (Levine 1994:39), though this view is widely held. On the contrary, the ascription of a miracle to God will be logically independent of any causal analysis. (For a detailed discussion of this point see Corner 2007, and particularly Ch. 4.)

11. Wittgenstein: Miracle as Gesture

This leaves open the question of how we are to identify an event as a miracle, if this does not involve a causal analysis.  One approach is to think of a miracle as a gesture on the part of God. In Culture and Value (1980:45e), Ludwig Wittgenstein writes:

A miracle is, as it were, a gesture that God makes. As a man sits quietly and then makes an impressive gesture, God lets the world run on smoothly and then accompanies the words of a saint by a symbolic occurrence, a gesture of nature. It would be an instance if, when a saint has spoken, the trees around him bowed, as if in reverence.

It is interesting that Wittgenstein should speak of a gesture as a symbolic occurrence. A human bodily movement becomes a gesture when it takes on a particular kind of significance. The significance of a bow, for example, lies in the fact that it is an expression of reverence or respect. Being able to identify a bending at the waist as a bow requires us to be familiar with the culture in which this particular bodily movement has the significance that it does. Nevertheless, the question of whether someone has bowed is an objective one—it is, we might say, a question about the facts. Thus the analogy of a miracle to a gesture may give us a way to view miracles at once as signs, allowing us to say that the character of a miracle lies, at least in part, in its significance within what Wittgenstein would call a “form of life,” and at the same time insist that the question of its significance is an objective matter.

If a miracle is like a gesture in the way Wittgenstein thinks it is, then supposing that a miraculous event should occur, part of what makes it possible to identify that event as a miracle is an appreciation of its significance. But a miracle does not take on its significance in a vacuum; the significance of a miracle, like the significance of a gesture, is dependent on a certain sort of context. This context is established, at least to some degree, by one’s view of the world; whether one is able to identify an event as a miracle will depend on one’s ability to integrate it with a worldview in which the possibility of God’s acting in nature is already acknowledged. Such a limitation poses no problem for theology generally, which might legitimately regard such a view of things as its starting point. It will, however, be fatal to any apologetic appeal that seeks to establish the credentials of theistic religion by pointing to the occurrence of a putative miracle and attempting to establish, on grounds that are consistent with naturalism, that this event gives compelling evidence for the existence of God.

Peter Winch has recently taken up Wittgenstein’s comparison of a miracle to a gesture:

A certain disposition, or movement, of a human body can be called a ‘gesture’ only within a context where it is possible for it to be recognised and/or reacted to as a gesture… Such a possibility depends, at least in large part, on the reigning culture within which the action occurs. (1995:211, emphasis in the original)

Winch observes that our recognition of a gesture is typically immediate rather than inferred. Thus for example, if we are introduced to someone and they bow, we would not normally arrive at the conclusion that they are bowing by means of an inference, after first eliminating the possibility that their movement has a natural explanation; on the contrary, if we are sufficiently familiar with bowing as a cultural institution we will immediately recognize the character of their act. Furthermore, our recognition of the fact that they have bowed will typically be shown in our reaction to their gesture, e.g. in our bowing in return. Analogously, we express our recognition of a miracle not by looking to see if it has any natural cause, but by responding in the manner characteristic of theistic religion; with awe, perhaps, or with gratitude for God’s beneficence. (This is the response of the mother in Holland’s miracle of the train.) But, just as our ability to recognize, and to react appropriately to, a bow depends on our being immersed in a particular culture, so might our ability to recognize a miracle and react to it in the characteristically religious way. If Winch is correct, then the skeptic, who seeks to show that a putative miracle has a natural cause, is proceeding in the wrong direction—but then so is the theist who tries to show that the event cannot be explained scientifically. Such a theist commits the same error as one would who thinks that in order to show that a particular gesture is a bow, we must show that no physiological explanation can be given for it.

The mainstream theistic approach to miracles is, at the moment, one that would prefer to employ a method similar to that used in the natural sciences. Philosophers taking this approach are unlikely to be satisfied with the conception of a miracle as a gesture. But if Winch is right, this is an indication of how deeply embedded science has become in modern western culture, and an indication as well of a drift away from the kind of religious culture in which the conception of a miracle originally found its home.

12. References and Further Reading

  • Aquinas, Thomas, Summa Contra Gentiles, III:100-103
  • Augustine, The City of God, XXI:8
  • Beardsmore, R.W, “Hume and the Miraculous,” Religions and Hume’s Legacy, ed. Phillips, D.Z. and Tessin, Timothy, Claremont Studies in the Philosophy of Religion, New York: St. Martin’s Press
  • Corner, David (2007), The Philosophy of Miracles, London: Continuum
  • Danto, Arthur C. (1965), “Basic Actions,” American Philosophical Quarterly, 2:141-8
  • Davidson, Donald (1982), Essays on Action and Events, New York: Oxford University Press
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Author Information

David Corner
Email: dcorner@csus.edu
California State University Sacramento
U. S. A.

Just War Theory

Just war theory deals with the justification of how and why wars are fought. The justification can be either theoretical or historical. The theoretical aspect is concerned with ethically justifying war and the forms that warfare may or may not take. The historical aspect, or the “just war tradition,” deals with the historical body of rules or agreements that have applied in various wars across the ages. For instance, international agreements such as the Geneva and Hague conventions are historical rules aimed at limiting certain kinds of warfare which lawyers may refer to in prosecuting transgressors, but it is the role of ethics to examine these institutional agreements for their philosophical coherence as well as to inquire into whether aspects of the conventions ought to be changed. The just war tradition may also consider the thoughts of various philosophers and lawyers through the ages and examine both their philosophical visions of war’s ethical limits (or absence of) and whether their thoughts have contributed to the body of conventions that have evolved to guide war and warfare.

Table of Contents

  1. Introduction
  2. The Jus Ad Bellum Convention
  3. The Principles Of Jus In Bello
  4. Jus post bellum
  5. Conclusion
  6. References and Further Reading

1. Introduction

Historically, the just war tradition–a set of mutually agreed rules of combat—may be said to commonly evolve between two culturally similar enemies. That is, when an array of values are shared between two warring peoples, we often find that they implicitly or explicitly agree upon limits to their warfare. But when enemies differ greatly because of different religious beliefs, race, or language, and as such they see each other as “less than human”, war conventions are rarely applied. It is only when the enemy is seen to be a people, sharing a moral identity with whom one will do business in the following peace, that tacit or explicit rules are formed for how wars should be fought and who they should involve and what kind of relations should apply in the aftermath of war. In part, the motivation for forming or agreeing to certain conventions, can be seen as mutually benefiting—preferable, for instance, to the deployment of any underhand tactics or weapons that may provoke an indefinite series of vengeance acts, or the kinds of action that have proved to be detrimental to the political or moral interests to both sides in the past.

Regardless of the conventions that have historically formed, it has been the concern of the majority of just war theorists that the lack of rules to war or any asymmetrical morality between belligerents should be denounced, and that the rules of war should apply to all equally. That is, just war theory should be universal, binding on all and capable in turn of appraising the actions of all parties over and above any historically formed conventions.

The just war tradition is indeed as old as warfare itself. Early records of collective fighting indicate that some moral considerations were used by warriors to limit the outbreak or to rein in the potential devastation of warfare. They may have involved consideration of women and children or the treatment of prisoners (enslaving them rather than killing them, or ransoming or exchanging them). Commonly, the earlier traditions invoked considerations of honor: some acts in war have always been deemed dishonorable, whilst others have been deemed honorable. However, what is “honorable” is often highly specific to culture: for instance, a suicidal attack or defense may be deemed the honorable act for one people but ludicrous to another. Robinson (2006) notes that honor conventions are also contextually slippery, giving way to pragmatic or military interest when required. Whereas the specifics of what is honorable differ with time and place, the very fact that one moral virtue is alluded to in the great literature (for example, Homer’s Iliad) is sufficient for us to note that warfare has been infused with some moral concerns from the beginning rather than war being a mere Macbethian bloodbath.

The just war theory also has a long history. Parts of the Bible hint at ethical behavior in war and concepts of just cause, typically announcing the justice of war by divine intervention; the Greeks may have paid lip service to the gods, but, as with the Romans, practical and political issues tended to overwhelm any fledgling legal conventions: that is, interests of state or Realpolitik (the theory known as political realism would take precedence in declaring and waging war. Nonetheless, this has also been the reading of political realists, who enjoy Thucydides’ History of the Peloponnesian War as an example of why war is necessarily the extension of politics and hence permeated by hard-nosed state interest rather than “lofty” pretensions to moral behavior.

Although St. Augustine provided comments on the morality of war from the Christian perspective (railing against the love of violence that war can engender) as did several Arabic commentators in the intellectual flourishing from the 9th to 12th centuries, but the most systematic exposition in the Western tradition and one that still attracts attention was outlined by Saint Thomas Aquinas in the 13th century. In the Summa Theologicae, Aquinas presents the general outline of what becomes the traditional just war theory as discussed in modern universities. He discusses not only the justification of war but also the kinds of activity that are permissible (for a Christian) in war (see below). Aquinas’s thoughts become the model for later Scholastics and Jurists to expand and to gradually to universalize beyond Christendom – notably, for instance, in relations with the peoples of America following European incursions into the continent. The most important of these writers are: Francisco de Vitoria (1486-1546), Francisco Suarez (1548-1617), Hugo Grotius (1583-1645), Samuel Pufendorf (1632-1704), Christian Wolff (1679-1754), and Emerich de Vattel (1714-1767).

In the twentieth century, just war theory has undergone a revival mainly in response to the invention of nuclear weaponry and American involvement in the Vietnam war. The most important contemporary texts include Michael Walzer’s Just and Unjust Wars (1977), Barrie Paskins and Michael Dockrill The Ethics of War (1979), Richard Norman Ethics, Killing, and War (1995), Brian Orend War and International Justice (2001) and Michael Walzer on War and Justice (2001), as well as seminal articles by Thomas Nagel “War and Massacre”, Elizabeth Anscombe “War and Murder”, and a host of others, commonly found in the journals Ethics or The Journal of Philosophy and Public Affairs.

Since the terrorist attacks on the USA on 9/11 in 2001, academics have turned their attention to just war once again with international, national, academic, and military conferences developing and consolidating the theoretical aspects of the conventions. Just war theory has become a popular topic in International Relations, Political Science, Philosophy, Ethics, and Military History courses. Conference proceedings are regularly published, offering readers a breadth of issues that the topic stirs: for example, Alexander Moseley and Richard Norman, eds. Human Rights and Military Intervention, Paul Robinson, ed., Just War in a Comparative Perspective, Alexsander Jokic, ed., War Crimes and Collective Wrongdoing. What has been of great interest is that in the headline wars of the past decade, the dynamic interplay of the rules and conventions of warfare not only remain intact on the battlefield but their role and hence their explication have been awarded a higher level of scrutiny and debate. In the political circles, justification of war still requires even in the most critical analysis a superficial acknowledgement of justification. On the ground, generals have extolled their troops to adhere to the rules, soldiers are taught the just war conventions in the military academies (for example, explicitly through military ethics courses or implicitly through veterans’ experiences). Yet despite the emphasis on abiding by war’s conventions, war crimes continue – genocidal campaigns have been waged by mutually hating peoples, leaders have waged total war on ethnic groups within or without their borders, and individual soldiers or guerilla bands have committed atrocious, murderous, or humiliating acts on their enemy. But, arguably, such acts do remain atrocities by virtue of the just war conventions that some things in war are deemed to be inexcusable, regardless of the righteousness of the cause or the noise and fog of battle.

Yet increasingly, the rule of law – the need to hold violators and transgressors responsible for their actions in war and therefore after the battle – is making headway onto the battlefield. In chivalrous times, the Christian crusader could seek priestly absolution for atrocities committed in war, a stance supported by Augustine for example; today, the law courts are seemingly less forgiving: a violation of the conventions assumes that the soldier is responsible and accountable and should be charged for a crime. Nonetheless, the idealism of those who seek the imposition of law and responsibility on the battlefield (cf. Geoffrey Robertson’s Crimes Against Humanity), often runs ahead of the traditions and customs, or plain state interests, that demean or weaken the justum bellum that may exist between warring factions. And in some cases, no just war conventions and hence no potential for legal acknowledgement of malfeasance, exist at all; in such cases, the ethic of war is considered, or is implicitly held to be, beyond the norms of peaceful ethics and therefore deserving a separate moral realm where “fair is foul and foul is fair” (Shakespeare, Macbeth I.i). In such examples (e.g, Rwanda, 1994), a people’s justification of destructiveness and killing to whatever relative degree they hold to be justifiable triumphs over attempts to establish the laws of peaceful interaction into this separate bloody realm; and in some wars, people fighting for their land or nation prefer to pick up the cudgel rather than the rapier, as Leo Tolstoy notes in War and Peace (Book 4.Ch.2), to sidestep the etiquette or war in favor securing their land from occupational or invading forces.

The continued brutality of war in the face of conventions and courts of international law lead some to maintain that the application of morality to war is a nonstarter: state interest or military exigency would always overwhelm moral concerns. But there are those of a more skeptical persuasion who do not believe that morality can or should exist in war: its very nature precludes ethical concerns. But as there are several ethical viewpoints, there are also several common reasons laid against the need or the possibility of morality in war. Generally, consequentialists and act utilitarians may claim that if military victory is sought then all methods should be employed to ensure it is gained at a minimum of expense and time. Arguments from ‘military necessity’ are of this type; for example, to defeat Germany in World War II, it was deemed necessary to bomb civilian centers, or in the US Civil War, for General Sherman to burn Atlanta. However, intrinsicists (who claim that there are certain acts that are good or bad in themselves) may also decree that no morality can exist in the state of war: they may claim that it can only exist in a peaceful situation in which, for instance, recourse exists to conflict resolving institutions. Alternatively, intrinsicists may claim that possessing a just cause (the argument from righteousness) is a sufficient condition for pursuing whatever means are necessary to gain a victory or to punish an enemy. A different skeptical argument, one advanced by Michael Walzer, is that the invention of nuclear weapons alters war so much that our notions of morality—and hence just war theories—become redundant. However, against Walzer, it can be reasonably argued that although such weapons change the nature of warfare (for example, the timing, range, and potential devastation) they do not dissolve the need to consider their use within a moral framework: a nuclear warhead remains a weapon and weapons can be morally or immorally employed.

Whilst skeptical positions may be derived from consequentialist and intrinsicist positions, they need not be. Consequentialists can argue that there are long-term benefits to having a war convention. For example, by fighting cleanly, both sides can be sure that the war does not escalate, thus reducing the probability of creating an incessant war of counter-revenges. Intrinsicists, on the other hand, can argue that certain spheres of life ought never to be targeted in war; for example, hospitals and densely populated suburbs.

The inherent problem with both ethical models is that they become either vague or restrictive when it comes to war. Consequentialism is an open-ended model, highly vulnerable to pressing military or political needs to adhere to any code of conduct in war: if more will be gained from breaking the rules than will be lost, the consequentialist cannot but demur to military “necessity.” On the other hand, intrinsicism can be so restrictive that it permits no flexibility in war: whether it entails a Kantian thesis of dutifully respecting others or a classical rights position, intrinsicism produces an inflexible model that would restrain warriors’ actions to the targeting of permissible targets only. In principle such a prescription is commendable, yet the nature of war is not so clean cut when military targets can be hidden amongst civilian centers.

Against these two ethical positions, just war theory offers a series of principles that aim to retain a plausible moral framework for war. From the just war (justum bellum) tradition, theorists distinguish between the rules that govern the justice of war (jus ad bellum) from those that govern just and fair conduct in war (jus In bello) and the responsibility and accountability of warring parties after the war (jus post bellum). The three aspects are by no means mutually exclusive, but they offer a set of moral guidelines for waging war that are neither unrestricted nor too restrictive. The problem for ethics involves expounding the guidelines in particular wars or situations.

2. The Jus Ad Bellum Convention

The principles of the justice of war are commonly held to be: having just cause, being a last resort, being declared by a proper authority, possessing right intention, having a reasonable chance of success, and the end being proportional to the means used. One can immediately detect that the principles are not wholly intrinsicist nor consequentialist—they invoke the concerns of both models. Whilst this provides just war theory with the advantage of flexibility, the lack of a strict ethical framework means that the principles themselves are open to broad interpretations. Examining each in turn draws attention to the relevant problems.

Possessing just cause is the first and arguably the most important condition of jus ad bellum. Most theorists hold that initiating acts of aggression is unjust and gives a group a just cause to defend itself. But unless “aggression” is defined, this proscription is rather open-ended. For example, just cause resulting from an act of aggression can ostensibly be a response to a physical injury (for example, a violation of territory), an insult (an aggression against national honor), a trade embargo (an aggression against economic activity), or even to a neighbor’s prosperity (a violation of social justice). The onus is then on the just war theorist to provide a consistent and sound account of what is meant by just cause. Whilst not going into the reasons why the other explanations do not offer a useful condition of just cause, the consensus is that an initiation of physical force is wrong and may justly be resisted. Self-defense against physical aggression, therefore, is putatively the only sufficient reason for just cause. Nonetheless, the principle of self-defense can be extrapolated to anticipate probable acts of aggression, as well as in assisting others against an oppressive government or from another external threat (interventionism). Therefore, it is commonly held that aggressive war is only permissible if its purpose is to retaliate against a wrong already committed (for example, to pursue and punish an aggressor), or to pre-empt an anticipated attack. In recent years, the argument for preemption has gained supporters in the West: surely, the argument goes, it is right on consequentialist grounds to strike the first blow if a future war is to be avoided? By acting decisively against a probable aggressor, a powerful message is sent that a nation will defend itself with armed force; thus preemption may provide a deterrent and a more peaceful world. However, critics complain that preemptive strikes are based on conjectured rather than impending aggression and in effect denounce the moral principle that an agent is presumed innocent – posturing and the building up of armaments do not in themselves constitute aggression, just a man carrying a weapon is not a man using a weapon, Consequentialist critics may also reject preemption on the grounds that it is more likely to destabilize peace, while other realists may complain that a preemptive strike policy is the ploy of a tyrannical or bullying power that justifies other nations to act in their self-interest to neutralize either through alliances or military action – such is the principle behind the “balance of power” politics in which nations constantly renew their alliances and treatises to ensure that not one of them becomes a hegemonic power. It is also feared that the policy of preemption slips easily into the machinations of “false flag operations” in which a pretext for war is created by a contrived theatrical or actual stunt – of dressing one’s own soldiers up in the enemy’s uniforms, for instance, and having them attack a military or even civilian target so as to gain political backing for a war. Unfortunately, false flag operations tend to be quite common. Just war theory would reject them as it would reject waging war to defend a leader’s “honor” following an insult. Realists may defend them on grounds of a higher necessity but such moves are likely to fail as being smoke screens for political rather than moral interests.

War should always be a last resort. This connects intimately with presenting a just cause – all other forms of solution must have been attempted prior to the declaration of war. It has often been recognized that war unleashes forces and powers that soon get beyond the grips of the leaders and generals to control – there is too much “fog” in war, as Clausewitz noted, but that fog is also a moral haze in which truth and trust are early casualties. The resulting damage that war wrecks tends to be very high for most economies and so theorists have advised that war should not be lightly accepted: once unleashed, war is not like a sport that can be quickly stopped at the blow of a whistle (although the Celtic druids supposedly had the power to stop a battle by virtue of their moral standing) and its repercussions last for generations. Holding “hawks” at bay though is a complicated task – the apparent ease by which war may resolve disputes, especially in the eyes of those whose military might is apparently great and victory a certainty, does present war as a low cost option relative to continuing political problems and economic or moral hardship. Yet the just war theorist wishes to underline the need to attempt all other solutions but also to tie the justice of the war to the other principles of jus ad bellum too.

The notion of proper authority seems to be resolved for most of the theorists, who claim it obviously resides in the sovereign power of the state. But the concept of sovereignty raises a plethora of issues to consider here. If a government is just, i.e., most theorists would accept that the government is accountable and does not rule arbitrarily, then giving the officers of the state the right to declare war is reasonable, so the more removed from a proper and just form a government is, the more reasonable it is that its claim to justifiable political sovereignty disintegrates. A historical example can elucidate the problem: when Nazi Germany invaded France in 1940 it set up the Vichy puppet regime. What allegiance did the people of France under its rule owe to its precepts and rules? A Hobbesian rendition of almost absolute allegiance to the state entails that resistance is wrong (so long as the state is not tyrannical and imposes war when it should be the guardian of peace); whereas a Lockean or instrumentalist conception of the state entails that a poorly accountable, inept, or corrupt regime possesses no sovereignty, and the right of declaring war (to defend themselves against the government or from a foreign power) is wholly justifiable. The notion of proper authority therefore requires thinking about what is meant by sovereignty, what is meant by the state, and what is the proper relationship between a people and its government.

The possession of right intention is ostensibly less problematic. The general thrust of the concept being that a nation waging a just war should be doing so for the cause of justice and not for reasons of self-interest or aggrandizement. Putatively, a just war cannot be considered to be just if reasons of national interest are paramount or overwhelm the pretext of fighting aggression. However, “right intention” masks many philosophical problems. According to Kant, possessing good intent constitutes the only condition of moral activity, regardless of the consequences envisioned or caused, and regardless, or even in spite, of any self interest in the action the agent may have. The extreme intrinsicism of Kant can be criticized on various grounds, the most pertinent here being the value of self-interest itself. At what point does right intention separate itself from self-interest – is the moral worthiness of intent only gained by acting in favor of one’s neighbor, and if so, what does that imply for moral action – that one should woo one’s neighbor’s spouse to make him/her feel good? Acting with proper intent requires us to think about what is proper and it is not certain that not acting in self interest is necessarily the proper thing to do. On the one hand, if the only method to secure a general peace (some thing usually held to be good in itself) is to annex a belligerent neighbor’s territory, political aggrandizement becomes intimately connected with the proper intention of maintaining the peace for all or the majority. On the other hand, a nation may possess just cause to defend an oppressed group, and may rightly argue that the proper intention is to secure their freedom, yet such a war may justly be deemed too expensive or too difficult to wage; i.e., it is not ultimately in their self-interest to fight the just war. On that account, the realist may counter that national interest is paramount: only if waging war on behalf of freedom is also complemented by the securing of economic or other military interests should a nation commit its troops. The issue of intention raises the concern of practicalities as well as consequences, both of which should be considered before declaring war.

The next principle is that of reasonable success. This is another necessary condition for waging just war, but again is insufficient by itself. Given just cause and right intention, the just war theory asserts that there must be a reasonable probability of success. The principle of reasonable success is consequentialist in that the costs and benefits of a campaign must be calculated. However, the concept of weighing benefits poses moral as well as practical problems as evinced in the following questions. Should one not go to the aid of a people or declare war if there is no conceivable chance of success? Is it right to comply with aggression because the costs of not complying are too prohibitive? Would it be right to crush a weak enemy because it would be marginally costless? Is it not sometimes morally necessary to stand up to a bullying larger force, as the Finns did when Russia invaded in 1940, for the sake of national self-esteem or simple interests of defending land? Historically, many nations have overcome the probability of defeat: the fight may seem hopeless, but a charismatic leader or rousing speech can sometimes be enough to stir a people into fighting with all their will. Winston Churchill offered the British nation some of the finest of war’s rhetoric when it was threatened with defeat and invasion by Nazi Germany in 1940. For example: “Let us therefore brace ourselves to do our duty, and so bear ourselves that, if the British Commonwealth and its Empire lasts for a thousand years, men will still say, ‘This was their finest hour.’“ ….And “What is our aim?….Victory, victory at all costs, victory in spite of all terror; victory, however long and hard the road may be; for without victory, there is no survival.” (Speeches to Parliament, 1940). However, the thrust of the reasonable success principle emphasizes that human life and economic resources should not be wasted in what would obviously be an uneven match. For a nation threatened by invasion, other forms of retaliation or defense may be available, such as civil disobedience, or even forming alliances with other small nations to equalize the odds.

The final guide of jus ad bellum is that the desired end should be proportional to the means used. This principle overlaps into the moral guidelines of how a war should be fought, namely the principles of jus In bello. With regards to just cause, a policy of war requires a goal, and that goal must be proportional to the other principles of just cause. Whilst this commonly entails the minimizing of war’s destruction, it can also invoke general balance of power considerations. For example, if nation A invades a land belonging to the people of nation B, then B has just cause to take the land back. According to the principle of proportionality, B’s counter-attack must not invoke a disproportionate response: it should aim to retrieve its land and not exact further retribution or invade the aggressor’s lands, or in graphic terms it should not retaliate with overwhelming force or nuclear weaponry to resolve a small border dispute. That goal may be tempered with attaining assurances that no further invasion will take place, but for B to invade and annex regions of A is nominally a disproportionate response, unless (controversially) that is the only method for securing guarantees of no future reprisals. For B to invade and annex A and then to continue to invade neutral neighboring nations on the grounds that their territory would provide a useful defense against other threats and a putative imbalance of power is even more unsustainable.

On the whole the principles offered by jus ad bellum are useful guidelines for reviewing the morality of going to war that are not tied to the intrinsicist’s absolutism or consequentialist’s open-endedness. Philosophically however they invoke a plethora of problems by either their independent vagueness or by mutually inconsistent results – a properly declared war may involve improper intention or disproportionate ambitions. But war is a complicated issue and the principles are nonetheless a useful starting point for ethical examination and they remain a guide for both statesmen and women and for those who judge political proceedings.

3. The Principles Of Jus In Bello

The rules of just conduct within war fall under the two broad principles of discrimination and proportionality. The principle of discrimination concerns who are legitimate targets in war, whilst the principle of proportionality concerns how much force is morally appropriate. A third principle can be added to the traditional two, namely the principle of responsibility, which demands an examination of where responsibility lies in war.

One strong implication of the justice of warfare being a separate topic of analysis to the justice of war is that the theory thus permits the judging of acts within war to be dissociated from it cause. This allows the theorist to claim that a nation fighting an unjust cause may still fight justly, or a nation fighting a just cause may be said to fight unjustly. It is a useful division but one that does not necessarily sever all ties between the two great principles of warfare: the justice of a cause remains a powerful moral guide by which warfare is to be judged, for what does it matter, it can be asked, if a nation wages a war of aggression but does so cleanly?

In waging war it is considered unfair and unjust to attack indiscriminately since non-combatants or innocents are deemed to stand outside the field of war proper. Immunity from war can be reasoned from the fact that their existence and activity is not part of the essence of war, which is the killing of combatants. Since killing itself is highly problematic, the just war theorist has to proffer a reason why combatants become legitimate targets in the first place, and whether their status alters if they are fighting a just or unjust war. Firstly, a theorist may hold that being trained and/or armed constitutes a sufficient threat to combatants on the other side and thereby the donning of uniform alters the person’s moral status to legitimate target; whether this extends to peaceful as well as war duties is not certain though. Voluntarists may invoke the boxing ring analogy: punching another individual is not morally supportable in a civilized community, but those who voluntarily enter the boxing ring renounce their right not to be hit. Normally, a boxer does not retain the right to hit another boxer outside of the ring, yet perhaps a soldier’s training creates a wholly different expectation governing his or her status and that wearing the uniform or merely possessing the training secures their legitimacy as a target both on and off the battlefield. Such an argument would imply that it is right to attack unarmed soldiers or soldiers who have surrendered or who are enjoying the normality of civilian life, which just war theorists and historical conventions have traditionally rejected on the claim that when a soldier lays down his weapons or removes his uniform, he or she returns to civilian life and hence the status of the non-combatant even if that return is temporary. Conversely, in joining an army the individual is said to renounce his or her rights not to be targeted in war – the bearing of arms takes a person into an alternative moral realm in which killing is the expectation and possible norm: it is world removed from civilian structures and historically has evolved rites of passage and exit that underline the alteration in status for cadets and veterans; all analogies to the fair play of sports fail at this juncture, for war involves killing and what the British Army call “unlimited liability.” On entering the army, the civilian loses the right not to be targeted, yet does it follow that all who bear uniform are legitimate targets, or are some more so than others – those who are presently fighting compared to those bearing arms but who are involved in supplies or administration, for instance?

Others, avoiding a rights analysis for it produces many problems on delineating the boundaries of rights and the bearers, may argue that those who join the army (or who have even been pressed into conscription) come to terms with being a target, and hence their own deaths. This is argued for example by Barrie Paskins and Michael Dockrill in The Ethics of War (1979). However, since civilians can just as readily come to terms with their own deaths and it is not necessarily the case that a soldier has, their argument, although interesting, is not sufficient to defend the principle of discrimination and why soldiers alone should be targeted legitimately in war. In turn, rights-based analyses may be more philosophically productive in giving soldiers and critics crucial guidelines, especially those analyses that focus on the renouncing of rights by combatants by virtue of their war status, which would leave nominally intact a sphere of immunity for civilians. Yet what is the status of guerrilla fighters who use civilian camouflage in order to press their attacks or to hide? Similarly, soldiers on covert operations present intricate problems of identification and legitimization: is there a difference between the two? Referring back to the fighters’ cause (for example, the guerrilla is a “freedom fighter” and thus carries a moral trump card) creates its own problems, which the just war theory in dividing the justice of the cause from the justice of the manner in which war is fought attempts to avoid: the guerrilla fighter may breach codes of conduct just as the soldier on a politically sensitive covert operations may avoid targeting the wrong people.

Walzer, in his Just and Unjust Wars (1977) claims that the lack of identification does not give a government the right to kill indiscriminately—the onus is on the government to identify the combatants, and so, the implication goes, if there is any uncertainty involved then an attack must not be made. Others have argued that the nature of modern warfare dissolves the possibility of discrimination: civilians are just as necessary causal conditions for the war machine as are combatants, therefore, they claim, there is no moral distinction in targeting an armed combatant and a civilian involved in arming or feeding the combatant. The distinction is, however, not closed by the nature of modern economies, since a combatant still remains a very different entity from a non-combatant, if not for the simple reason that the former is presently armed (and hence has renounced rights or is prepared to die, or is a threat), whilst the civilian is not. On the other hand, it can be argued that being a civilian does not necessarily mean that one is not a threat and hence not a legitimate target. If Mr Smith is the only individual in the nation to possess the correct combination that will detonate a device that could kill thousands, then he becomes not only causally efficacious in the firing of a weapon of war, but also morally responsible; reasonably he also becomes a legitimate military target. His job effectively militarizes his status even though he does not bear arms.

The underlying issues that ethical analysis must deal with involve the logical nature of an individual’s complicity and the aiding and abetting the war machine, with greater weight being imposed on those logically closer than those logically further from the war machine in their work. At a deeper level, one can consider the role that civilians play in supporting an unjust war: to what extent are they morally culpable, and if they are culpable in giving moral, financial, or economic support to some extent, does that mean they may become legitimate targets? This invokes the issue of collective versus individual responsibility that is in itself a complex topic but one that the principle of discrimination tries to circumvent by presenting guidelines for soldiers that keep their activity within the realms of war and its effects rather than murder. It would be wrong, on the principle of discrimination, to group the enemy into one targetable mass of people – some can not be responsible for a war or its procedures, notably children. Yet, on the other hand, if a civilian bankrolls a war or initiates aggression as a politician, surely he or she bears some moral responsibility for the ensuing deaths: some may argue that the war’s justification rests upon such shoulders but not the manner in which it is fought, while others may prefer to saddle the leader or initiator with the entire responsibility for how a war is fought on the argument that each combatant is responsible for those below him or her in rank – so the political or civilian leaders are analogously responsible for all operating in the military field.

The second principle of just conduct is that any offensive action should remain strictly proportional to the objective desired. This principle overlaps with the proportionality principle of just cause, but it is distinct enough to consider it in its own light. Proportionality for jus In bello requires tempering the extent and violence of warfare to minimize destruction and casualties. It is broadly utilitarian in that it seeks to minimize overall suffering, but it can also be understood from other moral perspectives, for instance, from harboring good will to all (Kantian ethics), or acting virtuously (Aristotelian ethics). Whilst the consideration of discrimination focuses on who is a legitimate target of war, the principle of proportionality deals with what kind of force is morally permissible. In fighting a just war in which only military targets are attacked, it is still possible to breach morality by employing disproportionate force against an enemy. Whilst the earlier theoreticians, such as Thomas Aquinas, invoked the Christian concepts of charity and mercy, modern theorists may invoke either consequentialist or intrinsicist prescriptions, both of which remain problematic as the foregoing discussions have noted. However, it does not seem morally reasonable to completely gun down a barely armed albeit belligerent tribe. At the battle of Omdurman in 1898 in the Sudan, six machine gunners killed thousands of dervishes—the gunners may have been in the right to defend themselves, but the principle of proportionality implies that a battle end before it becomes a massacre. Similarly, following the battle of Culloden in 1746 in Scotland, Cumberland ordered “No Quarter”, which was not only a breach of the principle of discrimination, for his troops were permitted to kill the wounded as well as supporting civilians, but also a breach of the principle of proportionality, since the battle had been won, and the Jacobite cause effectively defeated on the battle field.

What if a war and all of its suffering could be avoided by highly selective killing? Could just war theory endorse assassination for instance? Assassination programs have often been secretly accepted and employed by states throughout the centuries and appeal, if challenged, is often to a “higher” value such as self-defense, killing a target guilty of war crimes and atrocities, or removing a threat to peace and stability. The CIA manual on assassination (1954, cf. Belfield), sought to distinguish between murder and assassination, the latter being justifiable according to the higher purposes sought. This is analogous to just war theorists seeking to put mass killing on a higher moral ground than pure massacre and slaughter and is fraught with the same problems raised in this article and in the just war literature. On grounds of discrimination, assassination would be justifiable if the target were legitimate and not, say, the wife or children of a legitimate target. On grounds of proportionality, the policy would also be acceptable, for if one man or woman (a legitimate target by virtue of his or her aggression) should die to avoid further bloodshed or to secure a quicker victory, then surely assassination is covered by the just war theory? The founder of the Hashshashin society (c.11-13thC), Hasan ibn el Sabah preferred to target or threaten warmongers rather than drag innocents and noncombatants into bloody and protracted warfare: his threats were often successful for he brought the reality of death home to the leaders who otherwise would enjoy what lyricist Roger Waters calls “the bravery of being out of range.” In recent years, the US and UK proclaimed that the war in the Gulf was not with the Iraqi people but with its leader and his regime; the US government even issued a bounty on the heads of key agents in the Ba’ath party; indeed, Saddam Hussein’s sons, Uday and Qusay with a bounty of £15m, were killed in a selective hunt and destroy mission rather than being captured and brought to trial for the crimes asserted of them. Assassination would apparently clear the two hurdles of discrimination and proportionality, yet the intrinsicist wing of just war theorists would reasonably claim that underhand and covert operations, including assassination, should not form a part of war on grounds that they act to undermine the respect due one’s enemy (not matter how cruel he or she is) as well as the moral integrity of the assassin; the consequentialists would also counter that such policies also encourage the enemy to retaliate in similar manner, and one of the sustaining conclusions of just war theory is that escalation or retaliatory measures (tit for tat policies) should be avoided for their destabilizing nature. Once initiated, assassination tends to become the norm of political affairs – indeed, civil politics would thus crumble into fearful and barbaric plots and conspiracies (as did Rome in its last centuries) in a race to gain power and mastery over others rather than to forge justifiable sovereignty.

The principles of proportionality and discrimination aim to temper war’s violence and range; while they may ostensibly imply the acceptance of some forms of warfare, their malleability also implies that we continuously look afresh upon seemingly acceptable acts. Accordingly, they are complemented by other considerations that are not always explicitly taken up in the traditional exposition of jus In bello, this is especially true in the case of the issue of responsibility.

Jus in bello requires that the agents of war be held responsible for their actions. This ties in their actions to morality generally. Some, such as Saint Augustine argues against this assertion: “who is but the sword in the hand of him who uses it, is not himself responsible for the death he deals.” Those who act according to a divine command, or even God’s laws as enacted by the state and who put wicked men to death “have by no means violated the commandment, ‘Thou shalt not kill.’” Whilst this issue is connected to the concepts of just cause, it does not follow that individuals waging a just, or unjust war, should be absolved of breaching the principles of just conduct. Readily it can be accepted that soldiers killing other soldiers is part of the nature of warfare for which soldiers ought to be prepared and trained, but when soldiers turn their weapons against non-combatants, or pursue their enemy beyond what is reasonable, then they are no longer committing legitimate acts of war but acts of murder. The principle of responsibility re-asserts the burden of abiding by rules in times of peace on those acting in war to remind them that one day they will once more take up civilian status and should be prepared to do so conscientiously, free of any guilt from war crimes. The issues that arise from this principle include the morality of obeying orders (for example, when one knows those orders to be immoral), as well as the moral status of ignorance (not knowing of the effects of one’s actions either reasonably or literally).

Responsibility for acts of war relate back to the tenets of jus ad bellum as well as jus in bello, for the justification of going to war involves responsibility as well as the acts ordered and committed in war. In reviewing the stories from military ethics readers, the acts of bravery that attract our attention involve soldiers standing up to do the “right thing” against either the prevailing momentum of the platoon or the orders from higher up; the realist rejects such acts as infrequent or unnecessary performances that do not alter the main characteristic of war and its innate brutality, yet such acts also remind the critic as well as the soldier of the importance of returning to the civilian mode with good conscience.

The aftermath of war involves the relinquishing of armed conflict as a means of resolving disputes and the donning of more civil modes of conduct but it also raises questions concerning the nature of the post bellum justice.

4. Jus post bellum

Following the cessation of a war, three possibilities emerge: either the army has been defeated, has been victorious, or it has agreed to a ceasefire. Principles of justice may then be applied to each situation. Orend presents a useful summary of the principles of jus post bellum : the principle of discrimination should be employed to avoid imposing punishment on innocents or non-combatants; the rights or traditions of the defeated deserve respect; the claims of victory should be proportional to the war’s character; compensatory claims should be tempered by the principles of discrimination and proportionality; and, controversially, the need to rehabilitate or re-educate an aggressor should also be considered.

It has often been remarked that justice, like history, is written by the victors. A defeated army and indeed the civilian body from which the army stems should thus be prepared to subject itself to the imposition of rules and forms of punishments, humiliation, and even retributions that it would not otherwise agree to. The lives, values, and resources that have been fought for must now be handed over to the conquerors. When put this way, when one readily imagines one’s own country’s army falling to an aggressive enemy, the terms immediately appear fearful and unjust and may stir a greater endeavor to make the victory hollow by the raising of guerrilla or even terrorist organizations to thwart the conquerors’ designs.

Yet when one’s own army is victorious, the partiality of victory can be so easily dismissed on the enthusiastic wave that accompanies triumph: victory is so often associated with the greater right when one’s own country vanquishes its enemy, and assumedly with that right comes the justification to impose conditions upon the vanquished. In so many wars in history, both ancient and modern, victory has provided the winners with the means of exploiting the defeated nation and for claiming rights over its lands and people whether in the form of enslavement or in monopolistic mercantile contracts; sometimes an appeal to divine justice is made; at other times the supremacy of one’s nation, race, creed, or political order is lauded over the defeated. Economic exploitation is not the only means of subjugating the defeated: new political or religious frameworks can also be imposed sometimes as a means of “rehabilitating the defeated” or as a means to avoid the circumstances (political or economic) that may bring about further warfare; the philosopher must naturally inquire as to the justice of such measures.

The just war theorist is keen to remind warriors and politicians alike that the principles of justice following war should be universalizable and morally ordered and that victory should not provide a license for imposing unduly harsh or punitive measures or that state or commercial interests should not dictate the form of the new peace. Similarly, imposing an alternative political or religious is not likely to be conducive to peace, as Edmund Burke prophetically warned about decreeing for the “rights of man” in an unprepared culture; re-educating a defeated military or bureaucracy may seem reasonable and arguably was successful in post-war Germany (1945), yet such a program may also be so superficial or condescending as to have only short term and illusory benefits or act to further humiliate the defeated into seething desire for revenge. In post-war Iraq (2003-date), the rehabilitation programs have met with mixed success and have often been criticized for favoring some ethnic groups over others, i.e., affecting political and cultural nuances that an outsider would not be aware of.

Criticism may stem from either intrinsicist reasons (that the defeated should still be viewed as a people deserving moral respect and their traditions held as sacrosanct) or consequentialist reasons (that punitive impositions are likely to produce a backlash); but again it is worth reminding that just war theory tends to merge the two to avoid awkward implications derived from either position singly.

At this point, the attraction for jus post bellum thinkers is to return to the initial justice of the war. Consider a war of self-defense: this is considered by most, except absolute pacifists, to be the most justifiable of all wars. If the people are defeated but their cause remains just, should they then continue the fight to rid their country of all the vestiges of occupation? What if fighting is impossible? Should they bow their heads in honorable defeat and accept the victor’s terms graciously? Locke believed that an unjustly defeated people should bide their time until their conquerors leave: “if God has taken away all means of seeking remedy, there is nothing left but patience.” (Second Treatises, §177); however, the right always remains with those who fought against an unjust war but they do not gain any moral right to attack indiscriminately or disproportionately (such as terrorizing the invader’s own civilians or soldiers at rest), although they may carry on their claim for freedom over the generations. A realist, however, may ask how a people are to regain their freedom if they do not raise arms against their sea of troubles? Nonetheless, if the “good fight” is to continue, most theorists follow Locke and prohibit breaches of the jus in bello principles: while it would be wrong to bow to a tyrant or conquering army, it would be immoral to target their families in order to encourage the occupying army to leave. Others may counsel civil disobedience and other forms of intransigence to signal displeasure.

If, on the other hand, the victors have won a just war against an aggressor, Locke argues that the victor’s right does not extend to the aggressive nation’s civilian population, but that it does extend to all those engaged in the aggression and that it extends absolutely: that is, the just conqueror has absolute rights of life and death over the defeated aggressors. The aggressor, one who initiates war, puts the individual or the community into a state of war, he argues, and so the defender has an absolute prerogative to use whatever force necessary to secure freedom and peace: accordingly, in victory, the victors may enslave or kill the aggressors. Locke’s is an extreme although not logically incoherent position and his exhortations may be compared to other moral positions (often emerging from religious thinking) to temper the justice in favor of other virtues such as charity, liberality, and justice. Indeed, King Alfred the Great of Wessex (c.878AD) defeated the Viking invader Guthrum in battle and rather than executing him as the Vikings would have done Alfred, he ordered them to join the Christian religion and then, and probably more importantly, offered them a stake in the land: toleration merged with prudence and self-interest ensured Guthrum was no longer a threat. Indeed, Machiavelli warned that killing an opponent’s family is likely to raise their ire but taking away their land is guaranteed to continue the fight over generations. It may be reasonably held that the aggressors deserve punishment of some sort, although Alfred’s example highlights an alternative view of dealing with an enemy, one that reminds the theorist that peace not further war remains the goal. But what if the defeated aggressors are guilty of atrocities, surely they should be made to stand trial to send a signal to other “war criminals” as well as to punish them for their own misdeeds? Here we enter the debates regarding punishment: does punishing a violator make any sense except to exact either retribution, revenge, or to promote a deterrence? Can the victors be sure of their claim to punish the aggressors and what good could possibly flow from bringing more violence or enslavement to the world? In asserting the need to find universalisable principles, the just war theorist is usually keen to insist that any war crimes trials are held in neutral states and presided over by neutral parties, rather than the victors whose partiality in proceedings must be presumed: after all, in the Nuremberg and Tokyo trials, no allied generals or politicians were held accountable for the atrocities created by bombing civilian centers in Germany and Japan and the dropping of nuclear bombs on Hiroshima and Nagasaki.

The end game and hence the jus post bellum certainly merit attention before the battles are lost or won: what should be the ruling affairs once the peace is proclaimed? Should the terms of war’s end be elaborated and publicly pronounced as to ensure all parties are aware of the costs of defeat? Is it right that an army should demand unconditional surrender, for instance, when such a policy may entail a protracted war for no incentive is given to the other side to surrender; on the other hand, unconditional surrender implies a derogatory view of the enemy as one not to be respected either in or after war. Yet if an unconditional surrender policy does suitably raise the stakes of fighting war it may act as a sufficient deterrent against possible aggressors or act as a useful diplomatic tool to bring a worried enemy back to peaceful overtures. Similarly, is it right that an army should demand reparations in advance rather than leave them undisclosed and thereby risk the uncertainty of punishment creating a backlash from the defeated, who may not wish to be so subjected? To keep the expected conditions of war’s end secretive does not seem a wise move in that uncertainty generates fear, and fear can generate a harder campaign than otherwise would be necessary; but if the publicized conditions appear onerous to the enemy, then they have good reasons to prolong and/or intensify their own fight. Of course, if promises of an amnesty or fair treatment of prisoners is reneged on by the victor, then all trust for future arrangements is lost and the consequences imply embedding hatreds and mistrust for generations.

Assume that victory is given, that the army has defeated its enemy on the battlefield so attention turns to the nature of the post bellum justice of dealing with the defeated regardless of its intentions beforehand. Arguably, the very nature of the warring participants’ vision of each other and of themselves will color the proceedings both politically and morally. A victorious side, for instance, that sees itself as rightfully triumphant is more likely to impose its will and exactions upon the defeated in a more stringent manner in which a victorious side that sees itself as its enemy’s equal; but universality demands seeing one’s enemy as oneself and understanding not just the Realpolitik of state interests and state gains in victory but also the conventions of magnanimity and honor in victory (or defeat).

Consider the demands for reparations. A defeated aggressor may just be asked to pay for the damage incurred by the war (as justice demands of criminals that they pay for their crimes). But to what extent should the reparations extend? Should there be demands for retribution and deterrence added in, so that those deemed responsible for their aggression should be put on trial and suitably punished (and what would “suitable” mean in this instance – that Saddam Hussein stand trial for his invasion of Kuwait implies that George W Bush similarly stand trial for his invasions of Afghanistan and Iraq?). In forming the conditions of defeat, should neutral third parties be turned to so as to avoid later accusations of “victor’s justice” and the partiality that such justice can invoke or imply, or does victory present the victor with the ultimate moral wreath to justify whatever demands seen appropriate or fitting?

Should a war be indecisive though, the character of the peace would presumably be formed by the character of the ceasefire – namely, the cessation of fighting would imply a mere hiatus in which the belligerents regain the time and resources to stock their defenses and prepare for further fighting. As such, a ceasefire would be merely a respite for the military to regain its strengths. However, just war theory also acts to remind contenders that war is a last resort and that its essential aim is always peace, so if peace is forthcoming in any guise, it is morally critical for all parties to seek a return to a permanent peace rather than a momentary lapse of war.

5. Conclusion

This article has described the main tenets of the just war theory, as well as some of the problems that it entails. The theory bridges theoretical and applied ethics, since it demands an adherence, or at least a consideration of meta-ethical conditions and models, as well as prompting concern for the practicalities of war. A few of those practicalities have been mentioned here. Other areas of interest are: hostages, innocent threats, international blockades, sieges, the use of weapons of mass destruction or of anti-personnel weapons (for example, land mines), and the morality and practicalities of interventionism.

6. References and Further Reading

  • Anscombe, Elizabeth. (1981) “War and Murder”. In Ethics, Religion, and Politics. University of Minnesota Press. pp. 51-71.
  • Aquinas, St Thomas. (1988). Politics and Ethics. Norton.
  • Augustine, St. (1984). City of God. Penguin.
  • Belfield, Richard (2005). Assassination: The Killers and their Paymasters Revealed. Magpie Books.
  • Burke, Edmund (1986). Reflections on the Revolution in France. Penguin.
  • Dockrill, Michael and Barrie Paskins (1979). The Ethics of War.
  • Hobbes, Thomas (1988). Leviathan. Penguin.
  • Jokic Alexsander, and Anthony Ellis eds. (2001), War Crimes and Collective Wrongdoing. WileyBlackwell.
  • Locke, John (1963). Two Treatises of Government. Cambridge University Press.
  • Machiavelli, Nicolo (1988). The Prince. Cambridge University Press.
  • Minear, Richard (1971). Victor’s Justice: The Tokyo War Crimes Trial. Princeton.
  • Moseley, Alexander and Richard Norman, eds. (2001) Human Rights and Military Intervention. Ashgate.
  • Moseley, Alexander (2006). An Introduction to Political Philosophy. Continuum.
  • Nagel, Thomas (1972). “War and Massacre.” Philosophy and Public Affairs . Vol. 1, pp. 123-44.
  • Norman, Richard (1995). Ethics, Killing, and War.
  • Orend, Brian (2001). War and International Justice. Wilfrid Laurier Press.
  • Orend, Brian (2006). The Morality of War. Broadview.
  • Robertson, Geoffrey (1999). Crimes Against Humanity.
  • Robinson, Paul ed., (2003) Just War in a Comparative Perspective. Ashgate.
  • Robinson, Paul. (2006). Military Honour and the Conduct of War. Routledge.
  • Thucydides (1974). History of the Peloponnesian War. Penguin.
  • Tolstoy, Leo (1992). War and Peace. Everyman.
  • Walzer, Michael (1978). Just and Unjust Wars. Basic Books.

Author Information

Alexander Moseley
Email: alexandermoseley@icloud.com
United Kingdom

Benedict de Spinoza: Political Philosophy

spinozaThe body of Benedict de Spinoza’s writings on political philosophy in the 17th century should be seen as a paradigmatic species of European Enlightenment Philosophy. Spinoza rejected the teleological account of human nature and its implications to political societies in favor of rational, scientific understanding with its contractual implications. Hence, political societies to Spinoza are not natural organisms but artificial entities “designed” and “manufactured” by human beings for certain ends. Such designs are, however, constrained by an understanding of human nature. It is, indeed, Spinoza’s conception of human nature that forms the foundation for his political philosophy.One of the aims of Spinoza’s political writings is to demonstrate that, given the central role played by emotions in human motivations, political authority is a necessary evil. Human beings, as they are, are not the kind of beings capable of surviving without it. In addition, Spinoza does not think that politics are good for much more besides keeping us from chaos, murder, anarchy. In this, he is in agreement with Thomas Hobbes. On the other hand, if Spinoza affirms security as the fundamental political value, as will be argued, he does not necessarily think that such a value is consistent only with a certain form of government. In this he differs from Hobbes.

It is only once we understand Spinoza’s picture of what human beings are like, particularly the source of their motivations, that we are in a position to derive the ends of political societies, which in turn leads us to explain the sources and justification of political authority, and why Spinoza is ultimately non-committal as to the kind of political form best embodying the endorsed fundamental political values.

Table of Contents

  1. Human Nature
    1. Interpretation of the Conatus Principle
    2. Ethical Egoism and the Salience of Passions
  2. The Necessity for Political Authority: State of Nature
    1. Objective Account
    2. Psychological Account
  3. The Transition from State of Nature to Political Authority: The Social Contract
    1. Civil vs. Natural Rights in Locke
    2. Civil vs. Natural Rights in Spinoza
    3. Transfer of Powers or Abilities
  4. Obligations
    1. Citizens
    2. Sovereign
  5. The Purpose and Preferred Form of Political Authority
  6. Conclusion
  7. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Human Nature

Spinoza’s political philosophy proceeds from the idea, also found in Hobbes, that political ends, or goals, should be derived from understanding human nature such as it is, and not as it should or could be. This fundamental starting point can be contrasted with a utopian tradition of political philosophy emblematic, for example, in Plato’s Republic and the early writings of Karl Marx. While utopian political philosophers argue that correct political institutions can transform human nature into something more desirable or virtuous than its current state, Spinoza instead commences with a contrarian conviction, by and large rejecting such a possibility. This conviction proceeds from Spinoza’s interpretation of human nature.

a. Interpretation of the Conatus Principle

Human nature, according to Spinoza, must be studied and understood just like the nature of any other organism in the universe, in the following sense; human beings are subsumed in nature along with all other natural organisms and cannot thus transcend, and are therefore subject to, natural laws. This includes our nature as physiological beings and as psychological and cognitive beings. Furthermore, the laws of nature are to be understood, according to Spinoza, in a non-teleological fashion. Nature/God does not act with an end in view; hence, human nature cannot be derived from any such purposes. Instead, the most fundamental principle guiding all organisms, and therefore also human beings is what Spinoza calls the Conatus Principle:

Each thing, as far as it can by its own power, strives to persevere in being. (E:III:P6)

While it is not immediately obvious how Spinoza intends to support this principle when it comes to the kinds of organisms called human beings—particularly in the context of political philosophy—it later becomes clear that the principle, in its current and descriptive, form, is intended epistemologically as an a priori analytic proposition, or a necessary truth:

Since reason demands nothing contrary to Nature, it demands that everyone love himself, seek his own advantage, what is really useful to him, want what will really lead a man to greater perfection, and absolutely, that everyone should strive to preserve his own being as far as he can. This, indeed, is as necessarily true as that the whole is greater than its part. (E: IV:P18S)

Hence, the Conatus principle, when applied in the context of human beings, appears to describe human beings as egoistic beings. This, as stated, is intended as a truth not based upon empirical observation or self-reflection, but put forth as a necessary truth—a truth as necessary as the truth that the whole is greater than its part. According to the descriptive interpretation of the principle (E:III:P6), we are necessarily egoistic creatures. However, the quoted passage from (E:IV:P18S) also gives credence to a prescriptive understanding of the Conatus principle, for Spinoza says that “everyone should strive to preserve his own being as far as he can.” On this reading, we should always act according to our self-interest. This position is known as ethical egoism since it urges us to be egoists rather than describing us as already being egoists.

Now, if both of these interpretations of the Conatus Principle are plausible, then we need an answer to the following question: If the descriptive interpretation tells us that we are necessarily actuated by the Principle, then why bother prescribing this action as desirable? That is, if we already necessarily act in accordance with the descriptive version of the Conatus Principle, then why are we also urged to act this way? Urging us to do something we already necessarily do is surely redundant.

One way out of this dilemma might be to say that the prescriptive version of the Conatus Principle is necessary because we do not, in fact, in all circumstances, act in accordance with our self-interest. Because we do not do so, Spinoza is urging us to do so. This interpretation would certainly be in agreement with the empirical reality of human motivations. We certainly do not always act in ways that are conducive to the sustenance and enhancement of our being. Self-sacrificing behavior, such as sacrificing one’s life for one’s family, friend, or nation is all too familiar. Surely Spinoza was aware of such actions. But if this is true, then why advance the descriptive version of the Conatus Principle at all? After all, if it can be refuted through empirical counterexamples, then isn’t this enough to show that this version of the principle is simply false? But Spinoza does not, as we have seen, advance the principle as an a posteriori truth, but as an a priori truth. Hence offering empirical counterexamples appears to be beside the point, and offering this way out of the dilemma will thus not do. But if it is indeed true, that we do not always act in accordance with our self-interest, then just what is the force and the meaning of the a priori descriptive version of the Conatus principle?

Perhaps the solution is to say that the prescriptive version of the Conatus principle is intended to us human beings as empirical, affective beings while the descriptive version of the principle is intended for what humanity could look like, if ideally rational. So, on this reading, Spinoza is urging us to act according to the dictates of ethical egoism since we, as empirical beings primarily motivated by our desires, sometimes fail to do so. This does not change the fact that we do act according to the principles of self-interest more often than not; it simply means that we do not always know what is in our best interest—since we are not ideally rational.

If this is plausible, then the descriptive version of the principle could indeed be interpreted as a metaphysical truth necessarily true for ideal humans, and not as a psychological truth. Fully rational individuals will never fail to seek whatever aids or enhances their being. But this would not be the case for beings like us, who need to be exhorted into self-interested behavior. If this is correct, the descriptive version of the principle describes human beings in their ideal state while the prescriptive version of the principle is designed for humans in their current state. Therefore, it is the prescriptive version of the Conatus Principle that is mainly of importance for the purposes of political philosophy.

b. Ethical Egoism and the Salience of Passions

If the prescriptive interpretation of the Conatus Principle is correct for all imperfect human beings, then Spinoza is pressing us to act in accordance with our best interests. This is not, however, tantamount to telling us to act selfishly or to see ourselves as individualistic, non-social beings. In fact, it is Spinoza’s thesis that acting in a selfish or individualistic manner is not in our best interest and hence a violation of the dictates of the Conatus Principle. And the reason why humans do not see what is in their best interests is due to the centrality of passions in their very being:

But human nature is framed in a different fashion: every one, indeed, seeks his own interest, but does not do so in accordance with the dictates of sound reason, for most men’s ideas of desirability and usefulness are guided by their fleshly instincts and emotions, which take no thought beyond the present and immediate object. (TP: V:72-73)

On the other hand, acting according to the Conatus Principle—and hence in one’s best interest–is to act in accordance with the dictates of sound reason. And to act in accordance with the dictates of sound reason is to realize the impossibility of persevering in one’s being without mutual assistance. Providing mutual assistance is in the best interest of human beings. Indeed, Spinoza argues that it is necessary for even providing the basic needs for survival (TP:V:73). Spinoza wants us to act in accordance with the principle of ethical egoism while arguing that it is precisely this that we are not capable of doing because of our “fleshy instincts and emotions” which run fundamentally counter to the social dictates of reason.

The anti-social nature of our passions is also an inevitable source of conflict:

In so far as men are tormented by anger, envy, or any passion implying hatred, they are drawn asunder and made contrary one to another, and therefore are so much the more to be feared, as they are more powerful, crafty, and cunning than the other animals. And because men are in the highest degree liable to these passions, therefore men are naturally enemies. (PT: II: 296)

This emphasis on the passions as the cause for conflict implies that ideally, if guided by full reason, human beings might be capable of avoiding conflict. Again, to act fully in accordance with the dictates of reason is to avoid conflict as was demonstrated above. Conflict does not enhance one’s being; quite to the contrary—it can annihilate one’s being. So, the emphasis on Spinoza’s ethical egoism is on the “ethical” since such behavior, instead of resulting in conflict, would embrace the social values of stability and harmony.

2. The Necessity for Political Authority: State of Nature

a. Objective Account

Spinoza’s description of human beings as “natural enemies,” and the consequent inevitability of conflict is an account of the human condition in a state of nature. This is mostly a non-historical, “conceptual device” used to depict the human condition in the absence of political authority. While Spinoza’s use of it is unsystematic compared to Hobbes and Locke, he nevertheless presumes something like it, and argues, along with Hobbes and Locke, that political authority is necessary for the survival of human societies: “[n]o society can exist without government, and force, and laws to restrain and repress men’s desires and immoderate impulses.” (TP:V: 74). Again, it is our affective nature that gets us into trouble. Since human beings are motivated by their self-interested desires for which they seek immediate gratification, they cannot exist without government. Thus, Spinoza rejects the possibility of anarchism for human beings primarily motivated by their desires as we have seen, this is not necessarily the case for fully rational beings).

Spinoza’s account here closely resembles that of Hobbes who similarly argued that human life without political authority would be undesirable due to the nature of human desires. Famously, such a life would be “solitary, poor, nasty, brutish, and short.” (Leviathan: I: xiii, p. 76). Spinoza also significantly agrees with Hobbes that it is the individual who decides what is in his or her best interest in a given situation and can hence procure his or her interests by force, cunning, entreaty or any other means (TP: XVI: 202).

b. Psychological Account

Third-person explanations of why political authority would be necessary for creatures like us has not yet to offer a first-person explanation, from the point of view of the very individuals in state of nature, of why they would actually prefer living under conditions of political authority rather than under the conditions of anarchy. Spinoza’s explanation of this proceeds from what he regards as self-evident, axiomatic laws of human psychology.

Spinoza argues that no one ever neglects what he regards as good, except with the hope of gaining something even better, or for the fear of some greater evil; and no one ever endures and evil, except for the sake of even greater evil, or gaining something good (TP: XVI: 203). The corollary of this is that all of us, given a choice of two goods, choose the one we think is the greatest and, given a choice of two evils, choose the least evil. When we combine this axiom with the Conatus Principle, we can see that we determine what is good and what is evil for us by judging what is most or least conducive to our survival.

Now, Spinoza argues, based upon this psychological axiom, that we would forsake the state of nature in favor of some form of political authority, because we would judge the situation under political authority to be a greater good (or a lesser evil) than the state of nature. But why would we judge the affair this way? Why not favor the state of nature over political authority? While Spinoza is not explicit regarding this matter, he nevertheless alludes to the fact that it is worse—again, from the point of view of our survival—to be at the mercy of innumerable individuals than at the mercy of one single entity: the state (TP: XVI: 202-3). Admittedly, this seems far from obvious as Locke argued later, but Spinoza might defend this conclusion on the grounds that dispersion of potential evil is more difficult to countenance than a concentration of potential evil. At least, in this way, while one may not necessarily be able to do anything about it, one can at least know where the potential evil is coming from.

3. The Transition from State of Nature to Political Authority: The Social Contract

It is clear, from the foregoing, that Spinoza’s rejection of anarchy is based upon the conjunction of the Conatus Principle and his psychological axiom. It is also clear that political authority for Spinoza is not something intrinsically good or desirable, but a necessary evil. It is the least evil choice of two evils. By utilizing the “state of nature” device, Spinoza is also implicitly conceding that the state is not a natural organism but an artificial entity “designed” and “manufactured” by human beings. While these considerations answer the ontological status of the state and why political authority is necessary at all, it is still necessary to see what Spinoza’s view is on the transfer of power from the state-of-nature-individuals to the state. Here it is perhaps useful to illuminate Spinoza’s position by briefly contrasting it to another social contract theorist, John Locke.

a. Civil vs. Natural Rights in Locke

Locke held that the state of nature was conditioned by what he called “law of nature” and that these natural laws could be discovered by reason. Two of the most important natural laws for our comparative purposes, mentioned by Locke, were (a) that no one ought to harm another in his or her life, health, liberty, or possessions; and (b) that should such violations occur, everyone had the right to punish the transgressor(s). The first of these laws indicate that human beings in state of nature possess rights to life, health, liberty, and possessions, and that it is wrong to violate such rights. So, while the state of nature for Locke is non-political, it is far from being non-moral: moral terms and actions are applicable in the non-political, state-of-nature realm. Now, while human beings can and do sometimes act morally in the state of nature, Locke also recognizes that often this will not be the case, and because of this, the survival of the individual is much more likely under a political authority which would possess a monopoly on punishment. So, according to Locke, humans still retain their rights to life, health, liberty, and possessions (this is collective called “property” in Locke’s theory) in the political realm. Such natural rights are now expressed through the form of civil rights in positive law. So, the distinction between natural and civil rights in Locke is derived from the distinction between natural law and positive law. Furthermore, it is clear that Locke regards such rights as moral constraints on the political realm; there are natural moral limits to what the state can do.

In contrast to our retention of the natural rights to property expressed through civil laws, we do not retain our right to punish the transgressors of property rights according to Locke. Instead, it is precisely our abrogation of the right to punish which is transferred to a state that makes the political realm possible.

b. Civil vs. Natural Rights in Spinoza

Unlike Locke, Spinoza makes no distinction between natural law and civil law, nor the corollary derivatives of natural rights and civil rights. Spinoza undermines such distinctions by arguing that “right” is simply synonymous with any agent’s “power” or “ability.” So, for Spinoza, to say that someone has a natural right to life, liberty, health, and possessions, is just to say that someone has a power to preserve their life, liberty, health, and possessions—to the best of their ability. In other words, our “right” to self-preservation is coextensive with our “power” or with our “ability” for self-preservation; “…the rights of an individual extend to the utmost limits of its power as it has been conditioned [by nature].” (TP: XVI: 200)

Denying such a distinction already foreshadows Spinoza’s refusal to regard the state of nature in Lockean terms, as a non-political but moral sphere. Instead, Spinoza is insistent that the state of nature is both a non-political and a non-moral sphere; “The state of nature…must be conceived as without either religion or law, and consequently without sin or wrong” (TP: XVI: 210). So, moral terms proper, such as “right,” “wrong,” “just,” and “unjust” are inconceivable in the state of nature. It is not just that there are no limits to what we can do to one another in state of nature; it is also the case that ordinary moral terms do not possess any meaning. Hence, it follows from that that “the right and ordinance of nature, under which all men are born, and under which they mostly live, only prohibits such things as no one desires, and no one can attain: it does not forbid strife, nor hatred, nor anger, nor deceit, nor indeed, any of the means suggested by desire…” (TP: XVI: 202).

To use Spinoza’s parlance, everyone has a “right” to act deceitfully, angrily, discordantly, violently, etc. towards others, or in general, in whatever manner they see fit as long as they are able to do so; their rights are only limited by their ability. As such, the only things we do not have a “right” to in the state of nature are things that none of us wants anyway, or things that are impossible for us to attain.

c. Transfer of Powers or Abilities

Although Spinoza would agree with Locke that the reasons for forsaking the state of nature comes from potentially enhanced capacities for self-preservation under political authority, it is less clear how Spinoza accounts for this transition. At first blush, it looks as if Spinoza is simply offering a story very similar to Locke’s: the political realm is made possible by the transference of our natural rights to punish. In this case, the use of force would belong solely to the state, just as it does in Locke’s account. However, as explained earlier, this right is conceived by Spinoza in manner very different from that of Locke. For while Locke thinks that the right to punish the transgressor of one’s rights is a natural, moral right, having nothing necessarily to do with whether one in fact is capable of punishing or not, in Spinoza’s conceptual apparatus this right is, once again, synonymous with one’s power or ability to punish the transgressor. One only has the “right” to the extent that one possesses the power. In other words, no ability or capacity, no “right.” Due to Spinoza’s identification of “right” and “power,” the transition from the non-political and the non-moral-state-of-nature to the political and moral sphere of the state does not appear to take place through the abrogation of our “right” to punish, as it does in Locke. Rather, if the interpretation is correct, Spinoza is committed to the position that, instead of our natural moral rights, we are in fact transferring our powers or capacities.

But there is a sense in which this is hardly intelligible. For one can argue that “powers” or “abilities” or “capacities” are not the kinds of things that is possible to transfer. One’s capacity to walk, for example, cannot be transferred to another in the sense that once the transfer has taken place, the agent having transferred the capacity no longer is able to walk while the agent having received the capacity now is able to walk. One can only lose one’s capacity (for example, when one is dead) but not transfer it. The same considerations are applicable to one’s capacity to defend oneself: one can lose that capacity but not transfer it. So, Spinoza’s identification of “right” with one’s power or ability does not seem to allow him to make the concept of transferring this “right” intelligible.

A distinction between “power” and the “use-of-power” is necessary. With such a distinction, Spinoza could make the transition from state of nature to a political sphere more plausible since he could now concede that while one cannot indeed transfer “powers” or “capacities,” one can nevertheless transfer one’s use of those powers and capacities. On this interpretation, the Lockean rights to life, liberty, health, and possession, would be understood by Spinoza not as one’s ability to defend or enhance one’s rights, liberties, health, and possessions, but instead as the actual use of that ability.

4. Obligations

The notion of obligations in Spinoza is relevant only in the political realm, not in the state of nature since, as we have seen, the state of nature for Spinoza is not only a nonpolitical but also a non-moral realm. The orthodox story about obligations tells us they are customarily derived from either voluntary agreements or someone having certain rights. Thus, if two parties voluntary agree to a contract, e.g. marriage, then the two parties incur obligations stipulated in the contract; or, for example, if someone has a right to free speech, then it is everybody’s obligation not to interfere with that someone’s right. That is the traditional story. But since Spinoza has argued that rights are synonymous with power, his story about obligations is anything but traditional. We shall take a look at obligations with respect to the relation between citizens and the sovereign.

a. Citizens

Spinoza stated that all contracts or promises derive their obligations from utility. Utility or disutility of a contract, in turn, is decided by the application of the aforementioned psychological axiom which tells us that no one ever neglects what he regards as good, except with the hope of gaining something even better, or for the fear of some greater evil; and no one ever endures and evil, except for the sake of even greater evil, or gaining something good. According to Spinoza, we have an obligation to fulfill a contract only if the violation of the contract would not gain us something better, or if the violation of the contract would result in a greater evil. If either or both conditions hold, then we a “right” to violate the contract (TP:XVI:203-205). The implication of such an analysis is, at the very least, that all contracts are revocable at any time, subject to the kind of analysis stated.

Now, with respect to the specific contract in question here, the contract to transfer our use of power to a given political authority, the implication is clear: the citizen’s “obligation” to obey the authority is also contingent on the psychological axiom. “It is…foolish to ask a man to keep his faith with us forever, unless we also endeavour that the violation of the compact we enter into shall involve for the violator more harm than good” (TP:XVI:204). Spinoza, then, offers a decisive “right” to rebellion for citizens.

Spinoza’s equation of “right” to power also has implications to the issue of citizens’ obligations. If the “right” of the sovereign is also coextensive to its power, then it would seem to follow that the citizens’ obligations extend only so far as the power of the sovereign. One is “obligated” to obey the sovereign only if one does not have the power to disobey it.

b. Sovereign

Presumably the obligations and the rights of the sovereign (there is here no presupposition as to the preferred form of government—that topic is discussed later—so that by “sovereign” one could mean a democracy, monarchy, oligarchy, etc.) is subject to similar analysis as the obligations and rights of the citizens. Since the citizens’ “rights” are coextensive with their power, the sovereign’s “obligations” to the citizens are limited only by the power of both parties. On the other hand, the sovereign’s “rights” are also only limited by the powers of the respective parties. Hence, the sovereign has the right to do whatever it wants, and wherever it meets the counterforce of the citizens, there lay its obligations. Furthermore, Spinoza is also clear that the sovereign’s power is not limited by laws, but only by its intellectual and physical abilities. There are no constitutional limitations to the sovereign’s actions.

Needless to say, these are devastating implications from the point of view of individual freedom, but Spinoza is quick to point out that both the citizens and the sovereign are constrained by the Conatus Principle as well. Therefore, a sovereign concerned to advance its being will rarely impose “irrational” commands toward the citizens, because…”they are bound to consult their own interests, and retain their power by consulting the public good and acting according to the dictates of reason…(TP:XVI:205). Presumably, similar things can be asserted about the citizenry, given the caveat that they also act in accordance with the dictates of reason. However, the problem with this sort of argument is that we have already seen Spinoza’s reservations regarding the ability of humans to act in accordance with the dictates of reason, and even if this was plausible, the force of Spinoza’s argument here is purely speculative. In other words, Spinoza is not making a principled point but arguing, instead, that the kinds of irrational commands (perhaps “tyrannical” would be better) would not likely occur since the sovereign will act in accordance with his or her best interests. But this sort of argument can surely only be assessed through empirical means by consulting the available historical record regarding the purported rationality of sovereigns’ behavior, and such a record has not been kind to Spinoza’s speculative point.

These kinds of considerations demonstrate, among other things, Spinoza’s unorthodox and perhaps incoherent use of the concepts like “rights,” “obligations,” and even “contract.” After all, what exactly does the social contract that Spinoza employs accomplish since its force does not come from the contract itself but rather from the kind of cost-benefit analysis carried out by the psychological axiom? What exactly would be lost from Spinoza’s political philosophy if the notion of contract and its correlative notions were simply omitted?

5. The Purpose and Preferred Form of Political Authority

Explaining Spinoza’s political philosophy has so far concentrated on his view of the relevant features of human psychology to political theory. Humans are creatures driven by passions and desires for survival that will always be characterized by hope for something better and fear for something worse. Hence, as has been explained, none of us ever neglects what he regards as good, except with the hope of gaining something even better, or for the fear of some greater evil; and none of us ever endures an evil, except for the sake of even greater evil, or gaining something good (TP: XVI: 203). Because of these fundamental features of human psychology, we would judge the state of nature to be a greater evil, or as something worse, than living under political authority. But what exactly does the political realm offer us that we cannot enjoy without it? What is the purpose of the political realm?

One answer to this question can be gathered from the account so far. We enter into the political realm in order to secure/enhance our existence better than we could without it—given the central role of passions in our nature. This is no less than a Hobbesian answer; the purpose of the political realm is escaping perpetual war in order to secure our lives and material possessions. Spinoza confirms this view: “…for the ends of every social organization and commonwealth are…security and comfort” (TP: III: 47). To reiterate, a good society is one which will be “most secure, most stable, and least liable to reverses…” (TP: III: 46). Spinoza appears to assert security as the fundamental political value. Such an affirmation can be contrasted, on the one hand, with political thinkers like Plato, Aristotle, and Hegel, all of whom saw the realm of politics as essential to the moral realization of the individual and, on the other hand, with thinkers like Locke and Kant who emphasized the instrumental nature of the state in guaranteeing individual freedom.

In spite of these explicit pronouncements on behalf of security by Spinoza, the issue of the purpose of political authority remains controversial in Spinoza scholarship. There are many commentators who do not interpret Spinoza as a Hobbesian with respect to the ends of political authority, but instead read him either as an advocate of individual freedom or moral perfection, or perhaps as both. One of the common threads to all of these accounts is Spinoza’s alleged preference for democracy as a political form. It is argued that because Spinoza advocates democracy and the democratic political rule is most conducive to freedom or perhaps virtue, that Spinoza is therefore affirming either freedom or virtue as the fundamental political value.

There is some textual as well as inferential evidence for such views. For example, Spinoza explicitly announces democracy as the most consonant with individual liberty; “I think I have now shown sufficiently clearly the basis of a democracy: I have especially desired to do so, for I believe it to be of all forms of government the most natural, and the most consonant with individual liberty” (TP: XVI: 207). Also, because Spinoza sees only de facto human beings as motivated by their passions and self-interested desires, and claims that human beings are potentially capable of being guided by reason which dictates cooperative behavior, perhaps it is the role of politics to nudge us from the irrational, passionate creatures to rational creatures by inculcation of virtue. Either way, the argument goes, security for Spinoza is only an instrumental value, or a necessary condition for the true political ends of individual freedom or virtue.

However, while commenting on the absolute obligation to obey existing laws, Spinoza entertains an objection that his philosophy is turning subjects into slaves which sheds light to the controversy at hand. Spinoza rejects the objection as unfounded because real—or true—freedom is not freedom from the laws of the sovereign, no matter how oppressive such laws might be, but real freedom is to live “under the entire guidance of reason” (TP: XVI: 206). Indeed, Spinoza claims that freedom is specifically a private, not a political virtue while “…the virtue of the state is its security” (PT: I: 290).

But to live under the entire guidance of reason is, at least minimally, to control one’s unruly passions, whatever else it may also be. However, if this is the case, then the pressing political question must be to ask, what political form, if any, is best for achieving this kind of liberation? And the suggestion here is that there is no obvious answer to this question. One might, for example, think that an authoritarian regime might be able to restrain humans’ irrational desires more effectively than a democratic one. Or, alternatively, one might think that no political regime of any kind is necessary or sufficient for this kind of realization. So, one cannot easily claim that because Spinoza is an advocate of democracy, he is thereby accepting freedom or virtue as the fundamental political end.

There is also textual evidence for the view that Spinoza does not reject other forms of government in favor of democracy. One of the central aims of A Political Treatise is precisely to demonstrate how different forms of governments can meet the fundamental political value of stability. For example, Spinoza explains that, historically, monarchies have enjoyed the most stability of any form of government (PT: VI:317), and that their potential instability results from the divergent interests between the sovereign and the citizens. In light of this, Spinoza advises the sovereign to act in his or her own interests which is to act in the interests of the citizensIn the case of aristocracy, instability is said to result from inequality of political power among the ruling aristocrats, the remedy for which consists of equalizing such power as far as possible. Spinoza’s considered thoughts on the stability of democracy were interrupted by his untimely death, but while he thought it most consistent with freedom, he nevertheless regarded it as the most unstable of all political forms. Indeed, Spinoza comments that democracies naturally evolve into aristocracies, and aristocracies naturally evolve into monarchies. At least on one understanding of “natural,” democracies may be interpreted as less natural than aristocracies and monarchies (PT: VIII: 351).

If stability, as has been argued, is the fundamental political value for Spinoza, then many forms of government are consistent with it, and monarchies and aristocracies appear more stable than democracies.

6. Conclusion

Spinoza’s political philosophy is a logical extension of his view of human nature. To understand ends, sources, and justification of political authority, one does well to begin with the Conatus Principle and the associated psychological axioms employed by Spinoza. The source of problems for Spinoza’s political theory, specifically the moral notions of “contract,” “rights,” and “obligations” can also be traced to his view of human nature. But what needs to be adjusted? Are the problems in the political theory an indication that Spinoza’s view of human nature needs to amended, or is his view of humanity unassailable and the problems in political theory simply a part of the package?

7. References and Further Reading

a. Primary Sources

  • Hobbes, Thomas, Leviathan, ed. Edwin Curley, Indianapolis: Hackett, 1994.
  • Locke, John, Second Treatise of Government, ed. C.B. Macpherson, Indianapolis: Hackett, 1980.
  • Spinoza, Benedict de, A Theologico-Political Treatise and A Political Treatise, trans. R.H.M. Elwes, New York: Dover, 1951.
    • The references to the first work cited in the text as TP, chapter, page. References to the second work cited as PT, chapter, page.
  • Spinoza, Benedict de, Ethics, trans. R.H.M Elwes, New York: Dover, 1955.
    • All references to this work cited in the text as E, part, proposition.

b. Secondary Sources

  • Feuer, Lewis Samuel, Spinoza and the Rise of Liberalism, New Brunswick: Transaction Books, 1958.
  • McShea, Robert J, The Political Philosophy of Spinoza, New York: Columbia University, 1968.
  • Negri, Antonio, The Savage Anomaly: The Power of Spinoza’s Methaphysics and Politics, Minneapolis: University of Minnesota, 1991.
  • Rosen, Stanley, “Benedict Spinoza” in History of Political Philosophy, eds. Leo Strauss, Robert Cropsey, Chicago: University of Chicago, 1987.

Author Information

Jari Niemi
Email: Jniemi@fau.edu
Florida Atlantic University
U. S. A.

Jeremy Bentham (1748—1832)

benthamJeremy Bentham was an English philosopher and political radical. He is primarily known today for his moral philosophy, especially his principle of utilitarianism, which evaluates actions based upon their consequences. The relevant consequences, in particular, are the overall happiness created for everyone affected by the action. Influenced by many enlightenment thinkers, especially empiricists such as John Locke and David Hume, Bentham developed an ethical theory grounded in a largely empiricist account of human nature. He famously held a hedonistic account of both motivation and value according to which what is fundamentally valuable and what ultimately motivates us is pleasure and pain. Happiness, according to Bentham, is thus a matter of experiencing pleasure and lack of pain.

Although he never practiced law, Bentham did write a great deal of philosophy of law, spending most of his life critiquing the existing law and strongly advocating legal reform. Throughout his work, he critiques various natural accounts of law which claim, for example, that liberty, rights, and so on exist independent of government. In this way, Bentham arguably developed an early form of what is now often called “legal positivism.” Beyond such critiques, he ultimately maintained that putting his moral theory into consistent practice would yield results in legal theory by providing justification for social, political, and legal institutions.

Bentham’s influence was minor during his life. But his impact was greater in later years as his ideas were carried on by followers such as John Stuart Mill, John Austin, and other consequentialists.

Table of Contents

  1. Life
  2. Method
  3. Human Nature
  4. Moral Philosophy
  5. Political Philosophy
    1. Law, Liberty and Government
    2. Rights
  6. References and Further Reading
    1. Bentham’s Works
    2. Secondary Sources

1. Life

A leading theorist in Anglo-American philosophy of law and one of the founders of utilitarianism, Jeremy Bentham was born in Houndsditch, London on February 15, 1748. He was the son and grandson of attorneys, and his early family life was colored by a mix of pious superstition (on his mother’s side) and Enlightenment rationalism (from his father). Bentham lived during a time of major social, political and economic change. The Industrial Revolution (with the massive economic and social shifts that it brought in its wake), the rise of the middle class, and revolutions in France and America all were reflected in Bentham’s reflections on existing institutions. In 1760, Bentham entered Queen’s College, Oxford and, upon graduation in 1764, studied law at Lincoln’s Inn. Though qualified to practice law, he never did so. Instead, he devoted most of his life to writing on matters of legal reform—though, curiously, he made little effort to publish much of what he wrote.

Bentham spent his time in intense study, often writing some eight to twelve hours a day. While most of his best known work deals with theoretical questions in law, Bentham was an active polemicist and was engaged for some time in developing projects that proposed various practical ideas for the reform of social institutions. Although his work came to have an important influence on political philosophy, Bentham did not write any single text giving the essential principles of his views on this topic. His most important theoretical work is the Introduction to the Principles of Morals and Legislation (1789), in which much of his moral theory—which he said reflected “the greatest happiness principle”—is described and developed.

In 1781, Bentham became associated with the Earl of Shelburne and, through him, came into contact with a number of the leading Whig politicians and lawyers. Although his work was admired by some at the time, Bentham’s ideas were still largely unappreciated. In 1785, he briefly joined his brother Samuel in Russia, where he pursued his writing with even more than his usual intensity, and he devised a plan for the now infamous “Panopticon”—a model prison where all prisoners would be observable by (unseen) guards at all times—a project which he had hoped would interest the Czarina Catherine the Great. After his return to England in 1788, and for some 20 years thereafter, Bentham pursued—fruitlessly and at great expense—the idea of the panopticon. Fortunately, an inheritance received in 1796 provided him with financial stability. By the late 1790s, Bentham’s theoretical work came to have a more significant place in political reform. Still, his influence was, arguably, still greater on the continent. (Bentham was made an honorary citizen of the fledgling French Republic in 1792, and his The Theory of Legislation was published first, in French, by his Swiss disciple, Etienne Dumont, in 1802.)

The precise extent of Bentham’s influence in British politics has been a matter of some debate. While he attacked both Tory and Whig policies, both the Reform Bill of 1832 (promoted by Bentham’s disciple, Lord Henry Brougham) and later reforms in the century (such as the secret ballot, advocated by Bentham’s friend, George Grote, who was elected to parliament in 1832) reflected Benthamite concerns. The impact of Bentham’s ideas goes further still. Contemporary philosophical and economic vocabulary (for example, “international,” “maximize,” “minimize,” and “codification”) is indebted to Bentham’s proclivity for inventing terms, and among his other disciples were James Mill and his son, John (who was responsible for an early edition of some of Bentham’s manuscripts), as well as the legal theorist, John Austin.

At his death in London, on June 6, 1832, Bentham left literally tens of thousands of manuscript pages—some of which was work only sketched out, but all of which he hoped would be prepared for publication. He also left a large estate, which was used to finance the newly-established University College, London (for those individuals excluded from university education—that is, non-conformists, Catholics and Jews), and his cadaver, per his instructions, was dissected, embalmed, dressed, and placed in a chair, and to this day resides in a cabinet in a corridor of the main building of University College. The Bentham Project, set up in the early 1960s at University College, has as its aim the publishing of a definitive, scholarly edition of Bentham’s works and correspondence.

2. Method

Influenced by the philosophes of the Enlightenment (such as Beccaria, Helvétius, Diderot, D’Alembert, and Voltaire) and also by Locke and Hume, Bentham’s work combined an empiricist approach with a rationalism that emphasized conceptual clarity and deductive argument. Locke’s influence was primarily as the author of the Enquiry Concerning Human Understanding, and Bentham saw in him a model of one who emphasized the importance of reason over custom and tradition and who insisted on precision in the use of terms. Hume’s influence was not so much on Bentham’s method as on his account of the underlying principles of psychological associationism and on his articulation of the principle of utility, which was then still often annexed to theological views.

Bentham’s analytical and empirical method is especially obvious when one looks at some of his main criticisms of the law and of moral and political discourse in general. His principal target was the presence of “fictions”—in particular, legal fictions. On his view, to consider any part or aspect of a thing in abstraction from that thing is to run the risk of confusion or to cause positive deceit. While, in some cases, such “fictional” terms as “relation,” “right,” “power,” and “possession” were of some use, in many cases their original warrant had been forgotten, so that they survived as the product of either prejudice or inattention. In those cases where the terms could be “cashed out” in terms of the properties of real things, they could continue to be used, but otherwise they were to be abandoned. Still, Bentham hoped to eliminate legal fictions as far as possible from the law, including the legal fiction that there was some original contract that explained why there was any law at all. He thought that, at the very least, clarifications and justifications could be given that avoided the use of such terms.

3. Human Nature

For Bentham, morals and legislation can be described scientifically, but such a description requires an account of human nature. Just as nature is explained through reference to the laws of physics, so human behavior can be explained by reference to the two primary motives of pleasure and pain; this is the theory of psychological hedonism.

There is, Bentham admits, no direct proof of such an analysis of human motivation—though he holds that it is clear that, in acting, all people implicitly refer to it. At the beginning of the Introduction to the Principles of Morals and Legislation, Bentham writes:

Nature has placed mankind under the governance of two sovereign masters, pain and pleasure. It is for them alone to point out what we ought to do, as well as to determine what we shall do. On the one hand the standard of right and wrong, on the other the chain of causes and effects, are fastened to their throne. They govern us in all we do, in all we say, in all we think: every effort we can make to throw off our subjection, will serve but to demonstrate and confirm it. (Ch. 1)

From this we see that, for Bentham, pleasure and pain serve not only as explanations for action, but they also define one’s good. It is, in short, on the basis of pleasures and pains, which can exist only in individuals, that Bentham thought one could construct a calculus of value.

Related to this fundamental hedonism is a view of the individual as exhibiting a natural, rational self-interest—a form of psychological egoism. In his “Remarks on Bentham’s Philosophy” (1833), Mill cites Bentham’s The Book of Fallacies (London: Hunt, 1824, pp. 392-3) that “[i]n every human breast… self-regarding interest is predominant over social interest; each person’s own individual interest over the interests of all other persons taken together.” Fundamental to the nature and activity of individuals, then, is their own well-being, and reason—as a natural capability of the person—is considered to be subservient to this end.

Bentham believed that the nature of the human person can be adequately described without mention of social relationships. To begin with, the idea of “relation” is but a “fictitious entity,” though necessary for “convenience of discourse.” And, more specifically, he remarks that “the community is a fictitious body,” and it is but “the sum of the interests of the several members who compose it.” Thus, the extension of the term “individual” is, in the main, no greater and no less than the biological entity. Bentham’s view, then, is that the individual—the basic unit of the social sphere—is an “atom” and there is no “self” or “individual” greater than the human individual. A person’s relations with others—even if important—are not essential and describe nothing that is, strictly speaking, necessary to its being what it is.

Finally, the picture of the human person presented by Bentham is based on a psychological associationism indebted to David Hartley and Hume; Bentham’s analysis of “habit” (which is essential to his understanding of society and especially political society) particularly reflects associationist presuppositions. On this view, pleasure and pain are objective states and can be measured in terms of their intensity, duration, certainty, proximity, fecundity and purity. This allows both for an objective determination of an activity or state and for a comparison with others.

Bentham’s understanding of human nature reveals, in short, a psychological, ontological, and also moral individualism where, to extend the critique of utilitarianism made by Graeme Duncan and John Gray (1979), “the individual human being is conceived as the source of values and as himself the supreme value.”

4. Moral Philosophy

As Elie Halévy (1904) notes, there are three principal characteristics of which constitute the basis of Bentham’s moral and political philosophy: (i) the greatest happiness principle, (ii) universal egoism and (iii) the artificial identification of one’s interests with those of others. Though these characteristics are present throughout his work, they are particularly evident in the Introduction to the Principles of Morals and Legislation, where Bentham is concerned with articulating rational principles that would provide a basis and guide for legal, social and moral reform.

To begin with, Bentham’s moral philosophy reflects what he calls at different times “the greatest happiness principle” or “the principle of utility”—a term which he borrows from Hume. In adverting to this principle, however, he was not referring to just the usefulness of things or actions, but to the extent to which these things or actions promote the general happiness. Specifically, then, what is morally obligatory is that which produces the greatest amount of happiness for the greatest number of people, happiness being determined by reference to the presence of pleasure and the absence of pain. Thus, Bentham writes, “By the principle of utility is meant that principle which approves or disapproves of every action whatsoever, according to the tendency which it appears to have to augment or diminish the happiness of the party whose interest is in question: or, what is the same thing in other words, to promote or to oppose that happiness.” And Bentham emphasizes that this applies to “every action whatsoever” (Ch. 1). That which does not maximize the greatest happiness (such as an act of pure ascetic sacrifice) is, therefore, morally wrong. (Unlike some of the previous attempts at articulating a universal hedonism, Bentham’s approach is thoroughly naturalistic.)

Bentham’s moral philosophy, then, clearly reflects his psychological view that the primary motivators in human beings are pleasure and pain. Bentham admits that his version of the principle of utility is something that does not admit of direct proof, but he notes that this is not a problem as some explanatory principles do not admit of any such proof and all explanation must start somewhere. But this, by itself, does not explain why another’s happiness—or the general happiness—should count. And, in fact, he provides a number of suggestions that could serve as answers to the question of why we should be concerned with the happiness of others.

First, Bentham says, the principle of utility is something to which individuals, in acting, refer either explicitly or implicitly, and this is something that can be ascertained and confirmed by simple observation. Indeed, Bentham held that all existing systems of morality can be “reduced to the principles of sympathy and antipathy,” which is precisely that which defines utility. A second argument found in Bentham is that, if pleasure is the good, then it is good irrespective of whose pleasure it is. Thus, a moral injunction to pursue or maximize pleasure has force independently of the specific interests of the person acting. Bentham also suggests that individuals would reasonably seek the general happiness simply because the interests of others are inextricably bound up with their own, though he recognized that this is something that is easy for individuals to ignore. Nevertheless, Bentham envisages a solution to this as well. Specifically, he proposes that making this identification of interests obvious and, when necessary, bringing diverse interests together would be the responsibility of the legislator.

Finally, Bentham held that there are advantages to a moral philosophy based on a principle of utility. To begin with, the principle of utility is clear (compared to other moral principles), allows for objective and disinterested public discussion, and enables decisions to be made where there seem to be conflicts of (prima facie) legitimate interests. Moreover, in calculating the pleasures and pains involved in carrying out a course of action (the “hedonic calculus”), there is a fundamental commitment to human equality. The principle of utility presupposes that “one man is worth just the same as another man” and so there is a guarantee that in calculating the greatest happiness “each person is to count for one and no one for more than one.”

For Bentham, then, there is no inconsistency between the greatest happiness principle and his psychological hedonism and egoism. Thus, he writes that moral philosophy or ethics can be simply described as “the art of directing men’s action to the production of the greatest possible quantity of happiness, on the part of those whose interest is in view.”

5. Political Philosophy

Bentham was regarded as the central figure of a group of intellectuals called, by Elie Halévy (1904), “the philosophic radicals,” of which both Mill and Herbert Spencer can be counted among the “spiritual descendants.” While it would be too strong to claim that the ideas of the philosophic radicals reflected a common political theory, it is nevertheless correct to say that they agreed that many of the social problems of late eighteenth and early nineteenth century England were due to an antiquated legal system and to the control of the economy by a hereditary landed gentry opposed to modern capitalist institutions. As discussed in the preceding section, for Bentham, the principles that govern morals also govern politics and law, and political reform requires a clear understanding of human nature. While he develops a number of principles already present in Anglo-Saxon political philosophy, he breaks with that tradition in significant ways.

In his earliest work, A Fragment on Government (1776), which is an excerpt from a longer work published only in 1928 as Comment on Blackstone’s Commentaries, Bentham attacked the legal theory of Sir William Blackstone. Bentham’s target was, primarily, Blackstone’s defense of tradition in law. Bentham advocated the rational revision of the legal system, a restructuring of the process of determining responsibility and of punishment, and a more extensive freedom of contract. This, he believed, would favor not only the development of the community, but the personal development of the individual.

Bentham’s attack on Blackstone targeted more than the latter’s use of tradition however. Against Blackstone and a number of earlier thinkers (including Locke), Bentham repudiated many of the concepts underlying their political philosophies, such as natural right, state of nature, and social contract. Bentham then attempted to outline positive alternatives to the preceding “traditionalisms.” Not only did he work to reform and restructure existing institutions, but he promoted broader suffrage and self (that is, representative) government.

a. Law, Liberty and Government

The notion of liberty present in Bentham’s account is what is now generally referred to as “negative” liberty—freedom from external restraint or compulsion. Bentham says that “[l]iberty is the absence of restraint” and so, to the extent that one is not hindered by others, one has liberty and is “free.” Bentham denies that liberty is “natural” (in the sense of existing “prior to” social life and thereby imposing limits on the state) or that there is an a priori sphere of liberty in which the individual is sovereign. In fact, Bentham holds that people have always lived in society, and so there can be no state of nature (though he does distinguish between political society and “natural society”) and no “social contract” (a notion which he held was not only unhistorical but pernicious). Nevertheless, he does note that there is an important distinction between one’s public and private life that has morally significant consequences, and he holds that liberty is a good—that, even though it is not something that is a fundamental value, it reflects the greatest happiness principle.

Correlative with this account of liberty, Bentham (as Thomas Hobbes before him) viewed law as “negative.” Given that pleasure and pain are fundamental to—indeed, provide—the standard of value for Bentham, liberty is a good (because it is “pleasant”) and the restriction of liberty is an evil (because it is “painful”). Law, which is by its very nature a restriction of liberty and painful to those whose freedom is restricted, is a prima facie evil. It is only so far as control by the state is limited that the individual is free. Law is, Bentham recognized, necessary to social order and good laws are clearly essential to good government. Indeed, perhaps more than Locke, Bentham saw the positive role to be played by law and government, particularly in achieving community well-being. To the extent that law advances and protects one’s economic and personal goods and that what government exists is self-government, law reflects the interests of the individual.

Unlike many earlier thinkers, Bentham held that law is not rooted in a “natural law” but is simply a command expressing the will of the sovereign. (This account of law, later developed by Austin, is characteristic of legal positivism.) Thus, a law that commands morally questionable or morally evil actions, or that is not based on consent, is still law.

b. Rights

Bentham’s views on rights are, perhaps, best known through the attacks on the concept of “natural rights” that appear throughout his work. These criticisms are especially developed in his Anarchical Fallacies (a polemical attack on the declarations of rights issued in France during the French Revolution), written between 1791 and 1795 but not published until 1816, in French. Bentham’s criticisms here are rooted in his understanding of the nature of law. Rights are created by the law, and law is simply a command of the sovereign. The existence of law and rights, therefore, requires government. Rights are also usually (though not necessarily) correlative with duties determined by the law and, as in Hobbes, are either those which the law explicitly gives us or those within a legal system where the law is silent. The view that there could be rights not based on sovereign command and which pre-exist the establishment of government is rejected.

According to Bentham, then, the term “natural right” is a “perversion of language.” It is “ambiguous,” “sentimental” and “figurative” and it has anarchical consequences. At best, such a “right” may tell us what we ought to do; it cannot serve as a legal restriction on what we can or cannot do. The term “natural right” is ambiguous, Bentham says, because it suggests that there are general rights—that is, rights over no specific object—so that one would have a claim on whatever one chooses. The effect of exercising such a universal, natural “right” would be to extinguish the right altogether, since “what is every man’s right is no man’s right.” No legal system could function with such a broad conception of rights. Thus, there cannot be any general rights in the sense suggested by the French declarations.

Moreover, the notion of natural rights is figurative. Properly speaking, there are no rights anterior to government. The assumption of the existence of such rights, Bentham says, seems to be derived from the theory of the social contract. Here, individuals form a society and choose a government through the alienation of certain of their rights. But such a doctrine is not only unhistorical, according to Bentham, it does not even serve as a useful fiction to explain the origin of political authority. Governments arise by habit or by force, and for contracts (and, specifically, some original contract) to bind, there must already be a government in place to enforce them.

Finally, the idea of a natural right is “anarchical.” Such a right, Bentham claims, entails a freedom from all restraint and, in particular, from all legal restraint. Since a natural right would be anterior to law, it could not be limited by law, and (since human beings are motivated by self-interest) if everyone had such freedom, the result would be pure anarchy. To have a right in any meaningful sense entails that others cannot legitimately interfere with one’s rights, and this implies that rights must be capable of enforcement. Such restriction, as noted earlier, is the province of the law.

Bentham concludes, therefore, that the term “natural rights” is “simple nonsense: natural and imprescriptible rights, rhetorical nonsense,—nonsense upon stilts.” Rights—what Bentham calls “real” rights—are fundamentally legal rights. All rights must be legal and specific (that is, having both a specific object and subject). They ought to be made because of their conduciveness to “the general mass of felicity,” and correlatively, when their abolition would be to the advantage of society, rights ought to be abolished. So far as rights exist in law, they are protected; outside of law, they are at best “reasons for wishing there were such things as rights.” While Bentham’s essays against natural rights are largely polemical, many of his objections continue to be influential in contemporary political philosophy.

Nevertheless, Bentham did not dismiss talk of rights altogether. There are some services that are essential to the happiness of human beings and that cannot be left to others to fulfill as they see fit, and so these individuals must be compelled, on pain of punishment, to fulfill them. They must, in other words, respect the rights of others. Thus, although Bentham was generally suspicious of the concept of rights, he does allow that the term is useful, and in such work as A General View of a Complete Code of Laws, he enumerates a large number of rights. While the meaning he assigns to these rights is largely stipulative rather than descriptive, they clearly reflect principles defended throughout his work.

There has been some debate over the extent to which the rights that Bentham defends are based on or reducible to duties or obligations, whether he can consistently maintain that such duties or obligations are based on the principle of utility, and whether the existence of what Bentham calls “permissive rights”—rights one has where the law is silent—is consistent with his general utilitarian view. This latter point has been discussed at length by H.L.A. Hart (1973) and David Lyons (1969).

6. References and Further Reading

a. Bentham’s Works

The standard edition of Bentham’s writings is The Works of Jeremy Bentham, (ed. John Bowring), London, 1838-1843; Reprinted New York, 1962. The contents are as follows:

  • Volume 1: Introduction; An Introduction to the Principles of Morals and Legislation; Essay on the Promulgation of Laws, Essay on the Influence of Time and Place in Matters of Legislation, A Table of the Springs of Action, A Fragment on Government: or A Comment on the Commentaries; Principles of the Civil Code; Principles of Penal Law
  • Volume 2: Principles of Judicial Procedure, with the outlines of a Procedural Code; The Rationale of Reward; Leading Principles of a Constitutional Code, for any state; On the Liberty of the Press, and public discussion; The Book of Fallacies, from unfinished papers; Anarchical Fallacies; Principles of International Law; A Protest Against Law Taxes; Supply without Burden; Tax with Monopoly
  • Volume 3: Defence of Usury; A Manual of Political Economy; Observations on the Restrictive and Prohibitory Commercial System; A Plan for saving all trouble and expense in the transfer of stock; A General View of a Complete Code of Laws; Pannomial Fragments; Nomography, or the art of inditing laws; Equal Dispatch Court Bill; Plan of Parliamentary Reform, in the form of a catechism; Radical Reform Bill; Radicalism Not Dangerous
  • Volume 4: A View of the Hard Labour Bill; Panopticon, or, the inspection house; Panopticon versus New South Wales; A Plea for the Constitution; Draught of a Code for the Organisation of Judicial Establishment in France; Bentham’s Draught for the Organisation of Judicial Establishments, compared with that of a national assembly; Emancipate Your Colonies; Jeremy Bentham to his Fellow Citizens of France, on houses of peers and Senates; Papers Relative to Codification and Public Instruction; Codification Proposal
  • Volume 5: Scotch Reform; Summary View of the Plan of a Judiciary, under the name of the court of lord’s delegates; The Elements of the Art of Packing; “Swear Not At All”; Truth versus Ashhurst; The King against Edmonds and Others; The King against Sir Charles Wolseley and Joseph Harrison; Optical Aptitude Maximized, Expense Minimized; A Commentary on Mr Humphreys’ Real Property Code; Outline of a Plan of a General Register of Real Property; Justice and Codification Petitions; Lord Brougham Displayed
  • Volume 6: An Introductory View of the Rationale of Evidence; Rationale of Judicial Evidence, specially applied to English Practice, Books I-IV
  • Volume 7: Rationale of Judicial Evidence, specially applied to English Practice, Books V-X
  • Volume 8: Chrestomathia; A Fragment on Ontology; Essay on Logic; Essay on Language; Fragments on Universal Grammar; Tracts on Poor Laws and Pauper Management; Observations on the Poor Bill; Three Tracts Relative to Spanish and Portuguese Affairs; Letters to Count Toreno, on the proposed penal code; Securities against Misrule
  • Volume 9: The Constitutional Code
  • Volume 10: Memoirs of Bentham, Chapters I-XXII
  • Volume 11: Memoirs of Bentham, Chapters XXIII-XXVI; Analytical Index

A new edition of Bentham’s Works is being prepared by The Bentham Project at University College, University of London. This edition includes:

  • The Correspondence of Jeremy Bentham, Ed. Timothy L. S. Sprigge, 10 vols., London : Athlone Press, 1968-1984. [Vol. 3 edited by I.R. Christie; Vol. 4-5 edited by Alexander Taylor Milne; Vol. 6-7 edited by J.R. Dinwiddy; Vol. 8 edited by Stephen Conway].
  • An Introduction to the Principles of Morals and Legislation, Ed. J.H. Burns and H.L.A. Hart, London: The Athlone Press, 1970.
  • Of Laws in General. London: Athlone Press, 1970.
  • A Comment on the Commentaries and a Fragment on Government, Ed. J.H. Burns and H.L.A. Hart, London: The Athlone Press, 1977.
  • Chrestomathia, Ed. M. J. Smith, and W. H. Burston, Oxford/New York : Clarendon Press ; Oxford University Press, 1983.
  • Deontology ; together with A Table of the Springs of Action ; and the Article on Utilitarianism. Ed. Amnon Goldworth, Oxford/New York : Clarendon Press ; Oxford University Press, 1983.
  • Constitutional Code : vol. I . Ed. F. Rosen and J. H. Burns, Oxford/New York : Clarendon Press; Oxford University Press, 1983.
  • Securities Against Misrule and Other Constitutional Writings for Tripoli and Greece. Ed. Philip Schofield, Oxford/New York : Clarendon Press ; Oxford University Press, 1990.
  • Official Aptitude Maximized : Expense Minimized. Ed. Philip Schofield, Oxford : Clarendon Press, 1993.
  • Colonies, Commerce, and Constitutional Law : Rid Yourselves of Ultramaria and Other Writings on Spain and Spanish America. Ed. Philip Schofield, Oxford/New York : Clarendon Press ; Oxford University Press, 1995.

b. Secondary Sources

  • Duncan, Graeme & Gray, John. “The Left Against Mill,” in New Essays on John Stuart Mill and Utilitarianism, Eds. Wesley E. Cooper, Kai Nielsen and Steven C. Patten, 1979.
  • Halévy, Elie. La formation du radicalisme philosophique, 3 vols. Paris, 1904 [The Growth of Philosophic Radicalism. Tr. Mary Morris. London: Faber & Faber, 1928.]
  • Harrison, Ross. Bentham. London: Routledge and Kegan Paul, 1983.
  • Hart, H.L.A. “Bentham on Legal Rights,” in Oxford Essays in Jurisprudence (second series), ed. A.W.B. Simpson (Oxford: The Clarendon Press, 1973), pp. 171-201.
  • Lyons, David. “Rights, Claimants and Beneficiaries,” in American Philosophical Quarterly, Vol. 6 (1969), pp. 173-185.
  • MacCunn, John. Six Radical Thinkers, second impression, London, 1910.
  • Mack, Mary Peter. Jeremy Bentham: An Odyssey of Ideas 1748-1792. London: Heinemann, 1962.
  • Manning, D.J. The Mind of Jeremy Bentham, London: Longmans, 1968.
  • Plamenatz, John. The English Utilitarians. Oxford, 1949.
  • Stephen, Leslie. The English Utilitarians. 3 vols., London: Duckworth, 1900.

Author Information

William Sweet
Email: wsweet@stfx.ca
St. Francis Xavier University
Canada

Defeaters in Epistemology

The concept of epistemic defeat or defeasibility has come to occupy an important place in contemporary epistemology, especially in relation to the closely allied concepts of justified belief, warrant, and knowledge. These allied concepts signify positive epistemic appraisal or positive epistemic status. As a first approximation, defeasibility refers to a belief’s liability to lose some positive epistemic status, or to having this status downgraded in some particular way. For example, a person may be epistemically justified in believing some proposition p at one time, but then the belief might become less justified or even unjustified at some later time. Moreover, beliefs may also be prevented from having or acquiring some positive epistemic status in the first place. So more generally, defeasibility refers to a kind of epistemic liability or vulnerability, the potential of loss, reduction, or prevention of some positive epistemic status. A defeater is, broadly speaking, a condition that actualizes this potential. This article begins by outlining two general types of defeaters: propositional defeaters and mental state defeaters. Propositional defeaters are conditions external to the perspective of the cognizer that prevent an overall justified true belief from counting as knowledge. Mental state defeaters are conditions internal to the perspective of the cognizer (such as experiences, beliefs, withholdings) that cancel, reduce, or even prevent justification.

Table of Contents

  1. The Concept of Defeasibility
    1. Defeasibility: Legal, Moral, and Epistemic
    2. Defeaters in Epistemology: Basic Distinctions
  2. The Gettier Problem and Propositional Defeaters
    1. The Tripartite Definition of Knowledge and the Gettier Problem
    2. Defeasibility Analyses and Propositional Defeaters
    3. Constraints on Propositional Defeaters
  3. Mental State Defeaters and General Epistemology
    1. Internalism, Externalism, and Mental State Defeaters
    2. Coherentism, Foundationalism, and Mental State Defeaters
  4. Prominent Features of Mental State Defeaters
    1. Newly Acquired State Defeaters and Newly Acquired Power Defeaters
    2. Diachronic Aspects of Mental State Defeaters
    3. Defeater-Defeaters
  5. Variations on Mental State Defeaters
    1. The Epistemic Status of Defeating Beliefs
    2. Subjective and Objective Contours
    3. Conscious and Reflective Defeaters
  6. Taxonomy of Defeaters and Formalities of Defeat
    1. Primary-Type Defeaters: Rebutting, Undercutting, and No Reason Defeaters
    2. Secondary-Type Defeaters: Defeaters for Grounds of Inferential Beliefs
  7. Conclusion
  8. References and Further Readings

1. The Concept of Defeasibility

a. Defeasibility: Legal, Moral, and Epistemic

The language of defeasibility is not unique to epistemology. In fact, its use in epistemology is arguably derived from its use in legal and moral discourse. For example, H.L.A. Hart (1961) borrowed the term “defeasibility” from its prior uses in property interests and applied it to contracts. Hart explained that though contracts were comprised of an offer, acceptance and consideration, contracts may still be void or voidable due to some exception such as fraud or incapacity. In making this application to contracts, Hart noted that there is no specific term in the English language to refer to exceptions to a basic legal rule (Hart, 1961, p. 145; cf. Boonin, 1966). The defeasibility of legal rules is analogous to the defeasibility of moral rules in ethics or moral philosophy. While there may be obligations to do X, many ethical theories add that at least some of these obligations are only prima facie duties. They can be overridden by other factors and thus are no longer morally binding. Moral rules, like legal rules, are subject to being defeated in particular circumstances or under particular conditions.

Talk of defeasibility in the legal and moral context translates into epistemic defeasibility in at least one obvious way. If we think of positive epistemic status as normative, then this status will – like moral and legal rules – be subject to being overridden by other factors. In circumstance C we may be epistemically justified to believe p, just as we are legally or morally justified to perform action A in circumstance C. In other circumstances C*, though, we may no longer be epistemically justified to believe p, just as we are not legally or morally justified to perform action A in circumstance C*. This is particularly evident in deontological conceptions of epistemic justification, according to which we have various intellectual obligations and certain epistemic principles forbid believing p under certain circumstances, for example when p is not likely to be true or when p is likely to be false. But even if we think of justification simply in terms of having adequate evidence, justification will be variable. Chisholm (1966, 1989, pp 52-69), for example, notes that while evidence e may make h evident, another evident proposition, d, may defeat the tendency of e to make h evident because the conjunction of e and d does not make h evident. In other words, there may be a loss of justification when new evidence is added to an existing evidence base.

b. Defeaters in Epistemology: Basic Distinctions

Defeater theories are generally distinguished by how they construe what does the defeating and what gets defeated.

(i) While some philosophers construe defeaters as conditions external to the perspective of the cognizer (true propositions), others construe them as conditions internal to the cognizer (mental states such as experiences or beliefs). Hence, while some philosophers might regard the true proposition “There is a blue light shining on the widgets” as a defeater for a belief about the color of the widgets, others would regard the subject’s belief that “There is a blue light shining on the widgets” as the defeater. What does the defeating in the first case is a certain fact (the obtaining of which is independent of a cognizer’s beliefs or perspective). What does the defeating in the second case is a mental state of the cognizer.

(ii) Philosophers who construe defeaters as true propositions usually take defeaters to be conditions that prevent an overall justified true belief from counting as knowledge. So if the true proposition “There is a blue light shining on the widgets” is a defeater it would prevent my belief that “This widget is blue” from being something I know, even if this belief is justified and true. On the other hand, philosophers who take defeaters to be mental states of the cognizer tend to see them as defeating the justified status of a belief, either by downgrading the degree of justification or by canceling the justified status of the belief altogether. In this case, having a defeater for my belief that “This widget is blue” entails that this belief, even if true, is no longer justified or justified to the same degree. Of course, if justification (to some high degree) is necessary for knowledge, defeaters that defeat justification may also prevent a true belief from counting as knowledge.

2. The Gettier Problem and Propositional Defeaters

a. The Tripartite Definition of Knowledge and the Gettier Problem

One of the primary tasks of epistemology is the examination of the nature of knowledge. One aspect of such inquiry is the analysis of those conditions that are severally necessary and jointly sufficient for knowledge. There have been three fairly widespread and long-standing intuitions concerning knowledge in the Western philosophical tradition. First, a person S’s knowing some proposition p entails that p is true. Second, though more controversially, S’s knowing that p entails that S believes or assents to p, perhaps firmly. Third, knowledge is not equivalent to true belief. Knowledge has a certain surplus value over true belief. The ancient Greek philosopher Socrates indicated this surplus value metaphorically by speaking of knowledge as true belief that has been “tied down” or “tethered.” Much of the work of epistemologists in the second-half of the twentieth century has been devoted to examining candidates for this epistemological tether, a plausible condition (or set of conditions) that can transform a true belief into knowledge. The term “justification” is commonly used to designate this condition. A justified belief is roughly one that has a positive tie or strong connection to the truth goal of believing, something like “../evidence/”>evidence, grounds, reasons, or processes of belief formation that are in some sense indicative of the truth of the belief. The so-called traditional or tripartite definition of knowledge as justified true belief expresses all three of the above intuitions.

However, owing to Edmund Gettier’s arguments (Gettier, 1963), epistemologists have generally recognized that justified true belief accounts of knowledge suffer from a basic defect or inadequacy. Gettier argued that there are cases in which an individual could plausibly be said to have a true belief that is justified but which fails to constitute knowledge. For example, I might be justified in believing that “either Jones owns a Ford or Brown is in Barcelona” because I validly deduce it from a justified belief “Jones owns a Ford.” If Jones does not own a Ford but Brown happens to be in Barcelona, I will have inferred a true justified belief from a false justified belief. However, it seems counterintuitive in this case to suppose that I know that Brown is in Barcelona, even if the belief is true and justified.

One of the early proposals to handle the Gettier Problem involved adding a fourth condition to knowledge that excludes inferences from or dependence on any false beliefs (Shope, 1983, pp. 81-118). But Gettier cases can be generated where there is neither an inference from nor dependence on any false beliefs (Steup, 1996, pp. 15-16). So other strategies must be employed to deal with Gettier counterexamples. One of these strategies employs the concept of defeasibility or defeaters (Lehrer and Paxson, 1969; Swain, 1974; Shope, 1983).

b. Defeasibility Analyses and Propositional Defeaters

Defeasibility analyses of knowledge come in a variety of different specific versions. The generic idea is that a person S knows p only if there is no true proposition, d, such that if S were to believe d (or d were added to S’s evidence for p), S would no longer be justified in believing p. In other words, the existence of certain unpossessed evidence prevents a person from actually knowing p if this unpossessed evidence would result in a loss of justification were the person to acquire the evidence, be aware of it, or recognize it. So according to defeasibility theories, it’s a true proposition that does the defeating, not a believed proposition. Following Bergmann (2006, p. 154), I’ll refer to these kinds of defeaters as propositional defeaters. So according to defeasibility analyses of knowledge we must adopt the view that:

[PD] S knows that p only if there is no propositional defeater d for S’s belief that p.

Consider the so-called “Fake Barn” scenario, an often-cited Gettier-type case used by Alvin Goldman (Goldman, 1976, pp. 772-73). Suppose Henry is driving through a Wisconsin town, admiring the scenery. He sees a barn and believes “there’s a barn.” Unbeknownst to Henry, this Wisconsin town is full of papier-mâché barn facsimiles, which look like real barns when viewed from the road. However, the structure Henry happens to look at is a genuine barn. He just happens to glance in the direction where one of the few real barns is located. His belief is true since he’s looking at a genuine barn. He also appears justified in holding this belief. Henry believes what seems to him to be the case. He has no reason to believe that anything is suspicious about his perceptions, much less that he’s in a town mostly populated with fake barns. He also knows that barns are fairly common in this part of the state. Nonetheless, it seems that, however justified Henry may be in holding this belief, he doesn’t know that there is a barn present. He is of course lucky to believe what is true in this circumstance, but it’s precisely this feature of the situation that raises doubt about whether he knows there is a barn before him. Had he looked at any other time, his eyes would have landed on a fake barn and his resultant belief would have been false. Knowledge would seem to require that it not be a matter of epistemic serendipity that one’s belief is true.

Defeasibility analyses of knowledge attempt to relate the problem of accidentally true belief to the existence of some bit of relevant unpossessed evidence. That is, it is in consequence of lacking some relevant evidence, of being less than ideally situated with respect to the evidence, that a person ends up luckily believing what is true. This is illustrated in the Fake Barn scenario. In that case, there is a true proposition such that, if Henry were to believe it, he would not have been justified in believing that the object he sees is a barn. The true proposition would be something to the effect that “in this town nearly everything that looks like a barn isn’t actually a barn.” Call this proposition D, and call his barn belief B. If Henry were to believe D, he would not be justified in his belief that B. Alternatively, we might say that if D were added to Henry’s actual evidence E (the evidence of his senses and relevant background beliefs), he would no longer be justified in holding the belief that B. Given E, Henry is justified to believe B, but given the conjunction of E and D, Henry is not justified in believing B. For Henry to know that there’s a barn present, it must not be an accident that this belief is true. This in turn requires that Henry’s justification be indefeasible.

We should underscore that there being a propositional defeater for Henry’s belief that “there’s a barn” does not entail that Henry is actually unjustified in believing “there’s a barn” or that he’s irrational or unreasonable in holding this belief. The point about justification is a counterfactual one: Henry would not be justified in believing “there’s a barn” if he were to believe “in this town nearly everything that looks like a barn isn’t actually a barn” or if this fact were added to his evidence. The counterfactual truth about justification entails that Henry doesn’t actually know “there’s a barn,” not that he’s unjustified in believing it. Of course, if we’re thinking of knowledge as simply justified true belief, we might speak of Henry’s justification being defeated in some way because the justification is insufficient for knowledge (Lehrer and Paxson, 1969). The target belief may be justified, but the justification is “defective” (Marshall Swain, 1981, p. 148) because it fails to make his true belief knowledge. Steup (1996, p. 15) captures this point by speaking of the epistemizing potential of a person’s justification being defeated, and contrasts this with saying that a person’s justification is defeated. While Shope (1983, p. 47) speaks of S’s actual justification being defeated, by this he simply means that the justification fails to be enough – together with the satisfaction of the truth and belief conditions – for knowledge. And so also with other authors who use similar language at this juncture. So we should say that a propositional defeater for S’s belief that p doesn’t entail that S is no longer justified in believing p, only that S’s justification isn’t sufficient (along with true belief) for knowledge. Technically, then, we should speak of knowledge being defeated (Audi, 1993, pp. 185-213) or warrant being defeated (Plantinga, 2000, p. 359-60), where warrant is the property that transforms true belief into knowledge.

c. Constraints on Propositional Defeaters

As widely discussed in the early literature on defeasibility theory (Lehrer and Paxson, 1969; Annis, 1973; Swain, 1974), the main challenge facing defeasibility analyses of knowledge is to specify the relevant range of true propositions that can function as defeaters. It is generally acknowledged that not just any true proposition (suggestive of a defect in justification) is an efficacious defeater. There are genuine defeaters, but there are also misleading defeaters.

In the famous so-called Tom Grabit case (Paxson and Lehrer, 1969), I see a man who looks to me like Tom Grabit remove a book from a library bookshelf, slip it under his coat, and escape the library. I believe that Tom Grabit stole a library book. As it happens, the man I saw was indeed Tom Grabit, and he did steal the book. However, let’s suppose further that Tom Grabit’s mother claims that on the day in question Tom was out of the country but that Tom’s identical twin brother John was at the library. Here it seems that there is a true proposition such that if I were to believe it, I would not be justified in believing that Tom Grabit stole a library book. The true proposition is “Tom Grabit’s mother is testifying that. . . .” Call this true proposition D, the ostensible defeater. It would seem that, like in the case of Fake Barn, there is a propositional defeater for the target belief. I may in fact have a justified true belief that there is a barn over there, but the justification is defective and so my justified true belief does not constitute knowledge. The true proposition D is such that if I were to believe it (or add it to my evidence), I would no longer be justified in believing that Tom Grabit stole the library book. But now suppose that Mrs. Grabit is actually a compulsive liar and Tom’s twin brother is the product of Mrs. Grabit’s demented imagination. Tom Grabit is not out of the country and he has no twin brother. Given this expansion of facts, our intuition may now be that I do know that Tom Grabit stole a library book, that Mrs. Grabit’s testimony does not actually defeat my knowing that Tom Grabit stole the book.

While we might say that there is a propositional defeater for my belief that Tom Grabit stole the library book, we can say one of two possible things about the defeater’s lack of defeating efficacy.

First, the defeater in the Tom Grabit case is clearly misleading. It is perhaps natural to say that it misleadingly suggests that that the target belief is false or that the evidence for the target belief isn’t good. The defeater is a true proposition, for it is true that Mrs. Grabit said that Tom’s twin brother, not Tom, is in the library, and that Tom is out of the country. The problem is that this true proposition suggests that my belief that Tom Grabit stole the book is false or that I shouldn’t be relying on the evidence of my senses. It also suggests other false propositions, for example that Tom Grabit has an identical twin, that Tom was not at the library, or depends on the false assumption that Mrs. Grabit is sane and her testimony reliable. At all events, what is required is a genuine as opposed to misleading defeater, and such a defeater will not presuppose, suggest, or depend upon some falsehood (Klein, 1976, 1981).

Secondly, we might say that the potential defeating effect of D is neutralized or defeated by some further true proposition, D*, such that if I were to believe D* I would not be justified in believing D. In this case, the true proposition, D*, is that Mrs. Grabit is a liar and mentally deranged, whereas D is simply the fact of her testimony. It seems that D defeats my belief that Tom stole the library book because if I believed D, I would cease to be justified in believing he stole the book. But if I were to believe D*, I would not be justified in believing the content of Mrs. Grabit’s testimony. In other words, the total evidence set includes D and D*, but D* defeats D. A genuine defeater must be undefeated by any further evidence (Barker, 1976; Pollock, 1986; Swain, 1974).

Other epistemologists suppose that what defeats knowledge is unpossessed evidence that most of the members of the person’s society or social group are aware of. We can use the example provided by Gilbert Harman (1973, pp. 143-44). Suppose that a political leader has been assassinated. A reporter who is a witness to the assassination dictates details of the event to his news agency so that the story may be included in the day’s final edition of the paper. Jill picks up the paper and reads the story and believes that the political leader has been assassinated. However, before Jill picks up the newspaper and reads the story, loyalists to the political leader declare on nationwide television that the bullet actually struck and killed someone in the political leader’s entourage. Jill reads the true story in the paper but misses the false report on television. Harman contends that in this hypothetical situation Jill doesn’t know that the political leader has been assassinated. Some epistemologists (Swinburne, 2001; Pollock 1986) contend that Jill’s not having knowledge in this case is the consequence of there being a true proposition (suggestive of a defect in justification) that is widely believed in Jill’s society. (Advocates of this view would also seem committed to saying that if the Tom Grabit example were altered so that Mrs. Grabit testified in a public venue to the alleged whereabouts of Tom and the existence of Tom’s identical twin brother, then her testimony would be a genuine defeater for someone’s knowing that Tom stole the book, even if Mrs. Grabit were lying or deranged).

Alternatively, we might suppose that the crucial factor that determines whether a true proposition (suggestive of a defect in justification) is an efficacious defeater is if the unpossessed evidence is the sort of thing that is easily accessible. We can take another example from Harman (1973). Suppose your good friend Donald tells you that he’s going to Italy for the summer. You take him to the airport and see him off. He left in June, but in July he decides to send you several letters informing you that he’s actually in San Francisco. This is not true. He’s simply trying to fool you. He sends the letters to another friend in San Francisco who is instructed to send them to you one at a time, as if they were sent from Donald, complete with a San Francisco postmark. You’ve been gone for a couple of days, though, and your mail has piled up. There are two letters in the stack from Donald. You haven’t looked at them yet and so you believe that Donald is in Italy. This is true, but there’s evidence of which you are not aware that would justify you in believing that Donald is not in Italy. It might be argued that in this case, the information contained in the unopened letters constitutes a genuine defeater for your belief that Donald is in Italy since the information is near at hand, readily available to you, even though in fact you’re not aware of it.

There are of course other variations on genuine defeaters. We might throw a deontological spin into the defeasibility account. We might suppose that unpossessed evidence defeats knowledge only if the evidence is the sort of thing the person should believe and would believe if certain intellectual obligations were satisfied. At all events, all these defeasibility formulations are ways of placing constraints on propositional defeaters. They each recognize that while there are many true propositions that seem to indicate a defect in justification (that is, such that if S were to believe them, S would cease to be justified in his original belief) only some of these entail an actual defect in one’s justification, actually defeat the person’s knowing the target proposition.

3. Mental State Defeaters and General Epistemology

While defeasibility accounts of knowledge take defeaters to be facts external to the perspective of the cognizer, another approach to defeaters construes them as items internal to the perspective of the cognizer, as mental states such as experiences, beliefs, or withholdings. For example, on a particular day I see a person who looks like Tom Grabit steal a book from the library. Based on my sensory perceptual experience and my memory beliefs about what Tom Grabit looks like, I believe that Tom Grabit stole the library book. Later that day Tom Grabit’s mother tells me that Tom is out of town but that his kleptomaniac identical twin was at the library at the time in question. Unlike the case of propositional defeaters, the defeater here is information I actually possess, something I learn or come to believe. It may not even matter that Mrs. Grabit is in fact a liar or delusional, unless of course I have reason to believe that this is true. Following Bergmann (2006, pp. 154-55), I’ll refer to these kinds of defeaters as mental state defeaters. (Some philosophers, for example Alston 1986, p. 191, refer to these as “overriders” and reserve the term “defeater” for propositional defeaters. This terminological point is worth noting, but nothing substantive rides on this).

Epistemologies that incorporate mental state defeaters typically take them to defeat justification (Alston 1989, pp. 238-39; Bergmann, 2006, pp. 155-56) or some species of rationality (Plantinga, 2000, pp. 357-66; Bergmann, 1997a, pp. 68-78). However since these positive epistemic statuses are typically regarded as necessary for knowledge, mental state defeaters may at least indirectly play a role in defeating knowledge, not simply by preventing a person from coming to know p but also by canceling a person’s state of actually knowing p. If S’s knowing that p entails that S’s is justified to degree N in believing p, then if S ceases to be justified in believing p (or the degree of justification for S’s belief is significantly lowered), then S ceases to know p. So we can think of mental state defeaters as defeating one’s actual justification and knowledge. We can refer in a general way to a no mental state defeater condition for knowledge:

[MSD] S knows that p only if S does not have a mental state defeater for S’s belief that p.

Note that [MSD] only claims that knowledge requires the absence of a mental state defeater, a defeater constituted by a person’s experience(s), belief(s), or other propositional attitudes. It doesn’t specify or delimit the range of what mental states will actually count as defeaters. Would, for example, my simply taking a belief to be defeated count as a mental state defeater? Or must I justifiably take a belief to be defeated? Or must there be some kind of logical relation between my beliefs and the defeatee? Similarly, must mental state defeaters be occurrent states or can they be merely dispositional? Advocates of [MSD] disagree about these issues, as we’ll see below. But the general idea behind mental state defeaters is a fairly bipartisan epistemological insight, as may be shown by its place in the broader landscape of contemporary epistemology.

a. Internalism, Externalism, and Mental State Defeaters

Epistemic internalists typically recognize that mental state defeaters can defeat justification (Pollock, 1974, 1984, pp. 200-202, 1986, pp. 29-30, 37-58; Chisholm, 1989, pp. 55-60; Swinburne, 2001, pp. 28-31). For the internalist, the endorsement of [MSD] is largely a consequence of justification supervening solely on the perspective of the cognizer. Just as the subject’s beliefs and experience confer justification on beliefs, they can also remove or downgrade justification. If we also suppose that justification is necessary for knowledge, the internalist will endorse a principle similar to [MSD]. Of course, for the internalist [MSD] is not an alternative to [PD]. [MSD] doesn’t address the Gettier problem but only concerns evidentialist intuitions about justification. [PD] is still needed by internalists to handle Gettier cases. But note also that the explication of [PD] seems to depend on certain counterfactual claims about mental state defeaters and justification, for we must suppose that if S were to believe d (or we were to add d to S’s evidence), then S would no longer be justified in believing p. This presupposes that one’s actual evidence can defeat one’s justification. In this way [PD] presupposes the type of conceptual framework employed by [MSD].

Many externalists have endorsed [MSD]. For example, some reliabilists (Goldman, 1986, pp. 62-63, 111-112) include a non-undermining provision in their accounts of justification or knowledge. In consequence of such a provision, while reliability of belief formation may be a necessary condition for knowledge, it’s also necessary that a person not (justifiably) believe that his belief was formed in an unreliable manner. Alston (1988a, pp. 238-239) contends that truth-conducive justification can be overridden by justified beliefs that p is false or the justified belief that the belief that p is based on inadequate grounds. According to Plantinga (1993a, pp. 40-42, 229-37; 2000, pp. 359-66), while warrant depends on the proper functioning of our truth-aimed cognitive faculties, one aspect of this proper functioning is a sub-system (called a defeater system) that adjusts or revises our beliefs in the light of new experiences and beliefs. Nozick (1981, p. 196) contends that knowledge requires that the subject not believe that her belief doesn’t track truth. In each of these cases, the otherwise externalist theory advocates at least one internal condition for knowledge, roughly that the subject does not have a negative epistemic evaluation of her beliefs.

b. Coherentism, Foundationalism, and Mental State Defeaters

The idea that mental state defeaters can cause justified beliefs to become unjustified (and the correlated [MSD] condition) is compatible with coherentism and foundationalism, and is arguably entailed by some versions of each.

From a coherentist viewpoint, coherence (of some form) among our mental states confers justification on our beliefs. Very roughly stated, I am justified in believing A if and only if A coheres with my current experience and body of beliefs. It follows that I will become unjustified in holding some belief A if the belief A loses its coherence with my experience or body of beliefs. But a belief’s losing coherence with our experience and/or our beliefs is a particular way of unpacking the idea of mental state defeaters. For example, I might at time t recall the foyer of a certain Victorian house in Springfield, Massachusetts having certain structural features, and there’s no incoherence at time t between my beliefs about the foyer and the rest of my experience or beliefs. However, upon subsequently revisiting the house at time t* I see that it’s not at all as I remember it. My present sensory experience is incompatible with my memory beliefs about the foyer and so my former beliefs about the foyer now become unjustified. Upon being appeared to catly, I may believe that there is a cat in front of me. This belief may cohere with everything else I believe and am currently experiencing at the time, so it’s a justified belief. But suppose that when I reach out for the cat my hand goes through it, or when I move a couple of feet to the right or left the cat disappears and then reappears when I move back into place. My belief that there’s a cat in front of me no longer coheres with the larger network of my beliefs. In this scenario I have lost my justification for supposing that there’s a cat in front of me.

Mental state defeaters also play an important role in many versions of foundationalism, specifically versions of so-called modest foundationalism (Alston, 1976, 1983; Audi, 1993). Foundationalist theories of justification, motivated largely by the justification regress problem, terminate chains of justification in foundational beliefs that are immediately justified. Immediately justified beliefs are beliefs that are justified in some way other than their relation to or dependence on other justified beliefs. Strong versions of foundationalism restrict foundational beliefs to beliefs with various epistemic immunities (from doubt, error, or revision) or beliefs that are ostensibly maximally justified. These versions of foundationalism have little or no place for the idea that subsequent mental states might cause immediately justified beliefs to become unjustified (or less justified). But this idea is important to modest foundationalists, who argue that the regress problem may be avoided if chains of justification terminate in beliefs that are prima facie immediately justified. I can be immediately justified in believing that there is a cat in front of me, even if I subsequently lose this justification by realizing that I’m looking at a papier-mâché cat. My justification is in the first instance prima facie and thus capable of being overridden, cancelled, nullified, or downgraded by new experiences or additions to my beliefs.

Audi (1993, pp. 105-112, 141-53) notes that one of the core intuitions behind coherentism is really the idea of “negative epistemic dependence,” that a belief’s justification is liable to being overridden or undermined and so should not remain unaffected by incoherence if it should arise. A belief that is justified at time t independent of its relation to other beliefs need not be such that it remains justified (or justified to the same degree) regardless of the other beliefs a person forms. The idea of mental state defeaters allows the foundationalist to incorporate a valuable insight in coherentist theories of justification without having to subscribe to the stronger thesis that coherence confers justification.

4. Prominent Features of Mental State Defeaters

a. Newly Acquired State Defeaters and Newly Acquired Power Defeaters

Mental state defeaters may defeat beliefs at the time the defeater is acquired or they may do their defeating at some later time when they acquire the power to defeat. Bergmann (2006, pp. 155-57) designates the first a “newly acquired state defeater” and the latter a “newly acquired power defeater.”

Typically when we think of mental state defeaters we think of situations where a person S justifiably believes p at some time t but then at some later time t* S acquires a mental state d (some new experience or belief) that causes S’s belief that p to be unjustified at t*. Here S’s belief that p is unjustified from the time S acquires the mental state d. In the morning I hear the weather report and there’s a prediction of showers late in the morning. Later in the morning I hear a pitter-patter against the window facing my backyard. Looking through my blinds, I see some dark clouds in the sky and water drops against my window. I justifiably believe at time t that it’s raining outside. But suppose that several minutes later my wife walks in the front door (dry as a bone) and says that my next-door neighbor is spraying water over our fence on to the back of our house. It would seem that I’m no longer justified in believing that it’s raining outside. At time t I was justified in this belief but at time t* I’m no longer justified in this belief because I have acquired evidence at time t* that defeats my prior belief. This is a newly acquired state defeater.

In other cases, though, a mental state d may be acquired at time t but not do its defeating work until some later time t* when it acquires the power to defeat. Bergmann (2006. p. 156-57) designates this kind of defeater a newly acquired power defeater. Bergmann’s illustration is helpful. My younger brother quietly tells me that when my sister comes into the room and informs everyone that my cousin Maggie is downstairs in the basement, this is really code for “Maggie is at her boyfriend’s house.” As he explains, no one wants Maggie’s father, who is present, to know that Maggie is at her boyfriend’s house. My sister then enters the room and says she was just talking with Maggie downstairs, which I know really means that Maggie is at her boyfriend’s house. As it happens, I already believe this because earlier in the day Maggie’s boyfriend told me that Maggie would be visiting him at his house. So I have a justified belief that Maggie is at her boyfriend’s house, even before my sister suggests this through code. Now suppose that shortly after the announcement, my older and very reliable brother tells me that my younger brother was just trying to fool me with the code story. There was no plan for my sister to speak in code about Maggie. In this scenario, it looks like I acquire a mental state at a particular time that only subsequently acquires the power to defeat a belief of mine. I believe B (Maggie is at her boyfriend’s house) at time t when I acquire the belief M (my sister has said that Maggie is in the basement), but the belief M does not defeat the belief B at time t. My belief M only gains the power to defeat my belief B after my older brother informed me that my younger brother was engaged in high jinx with me. This allows me to take my sister’s comment as indicative of the actual whereabouts of Maggie, thereby defeating my prior belief Maggie is at her boyfriend’s house.

Of course, in both the case of a newly acquired state defeater and a newly acquired power defeater the defeater may not be a complete defeater, that is, it may not render a belief wholly unjustified. While defeaters are normally thought of as rendering a belief unjustified or irrational, depending on the specifics of the evidential situation they might merely render a belief less justified than it was before the acquisition of the defeater or before it acquired its defeating power. For example, suppose that when my wife tells me that our neighbor is spraying the backside of our house with his garden hose my wife has the kind of look she gets when she’s trying to fool me about something. At the time, I can’t fully accept what she says, but it’s not obvious that she’s trying to pull my leg. Perhaps her testimony in this case lowers the degree of justification for my belief that it’s raining outside, rather than renders this belief wholly unjustified. So we should distinguish between complete and partial defeat/defeaters.

b. Diachronic Aspects of Mental State Defeaters

The above account of mental state defeaters construes them as mental states that defeat a belief at some particular time. This way of thinking about defeaters is naturally suggested by the correlated synchronic view of justification, namely of some person’s being justified in believing p at some particular time t. But we can extend this view of defeaters by viewing their defeating power – like justification generally – through time or diachronically. (On the nature and significance of synchronic and diachronic justification, see Swinburne, 2001, pp. 152-91).

First, although mental state defeaters are naturally thought of as rendering unjustified (or less justified) a person’s prior justified belief, mental states at some time t may also prevent a person from coming to hold a justified belief at some later time t*. We might call this the forward-looking defeating potential of mental states. Suppose that my wife enters the house moments before I hear the pitter-patter and see the water drops against my window. She informs me about my neighbor’s bizarre behavior of spraying the backside of our house. The subsequent perceptual evidence that would otherwise justify my belief that it’s raining outside will not do so in this case. The potential justification conferring power of this evidence acquired at time t* is antecedently neutralized by what I know or justifiably believe beforehand at time t. We might say that my wife’s testimony constitutes a preventative justification defeater. More generally, at any given time t our experiences and set of justified beliefs will prevent us from being justified in holding some other belief(s) at some subsequent time t*. Thus all mental states have some forward-looking defeating potential. Of course, we typically don’t end up holding such beliefs (because we take them to be unjustified for us given the rest of what we believe), but if we did they would be unjustified by virtue of our other mental states.

Secondly, the defeating power of some mental state over an antecedently held belief can be said to continue into the future. Call these continuing defeaters (Bergmann, 2006, p. 158). The natural way of thinking about this is to take the case where someone continues to hold the defeated belief (or continues holding it with the same degree of firmness), despite the acquisition of a mental state defeater for the belief. Suppose that some of Kurtis’ neighbors accuse Kurtis’ wife Cathleen of having an affair with a married neighborhood man. Cathleen denies this and Kurtis justifiably believes that Cathleen is telling the truth. Later that day Kurtis sees Cathleen in a romantic embrace with a neighborhood man behind a tree in the local park. Kurtis has acquired a defeater for his belief that Cathleen is an honest wife, but through a variety of rationalizations he continues to believe that Cathleen is an honest person. Kurtis’ seeing Cathleen romantically involved with another man causes his belief in her honesty to be unjustified. Kurtis’ memory of what he saw (or his belief that he saw it) continues to cause his belief in Cathleen’s honesty to be unjustified, though he nonetheless persists with this belief. So here we have a case where a memory or belief state continues to make another belief – the subject persists in holding – unjustified. The defeater has continuing defeater power over a persisting belief.

Of course, the idea of a preventative justification defeater allows us to think of the defeating power of a mental state continuing into the future, even if the person gives up the defeated belief. Perhaps I give up my belief that it’s raining outside after my wife tells me that my neighbor is spraying my house with a garden hose. In this case, at time t* d (the awareness of my wife’s testimony) is a defeater for a belief I had at the earlier time t but don’t have any longer. Now at time t* it makes no sense to speak of d as defeating my actual belief that it’s raining outside, because I no longer hold this belief at t*. But we can still speak of d’s continuing power to prevent me from forming the justified belief that it’s raining outside.

c. Defeater-Defeaters

Mental state defeaters can of course be subsequently defeated by other mental states, and we can say that all mental state defeaters are continuing defeaters until they are defeated. That is, they continue to render a belief unjustified or less justified until their defeating force is neutralized. It’s common to speak of mental states that defeat mental state defeaters as defeater-defeaters (Pollock 1986, pp.45-58; 1970; Plantinga, 1993a, pp. 231-37; 1993b, pp. 216-221; 1986). Suppose I justifiably believe T, Tom Grabit stole a library book. Now suppose I get a defeater D for the belief that T, namely Mrs. Grabit tells me that Tom is thousands of miles away and his identical kleptomaniac twin was at the library at the time in question. If I subsequently learn that Mrs. Grabit is a compulsive liar and deranged, then I have acquired a defeater D* for the original defeater D. I have acquired a defeater-defeater. While D rendered my belief that T unjustified, D* restores my justification for believing T.

Notice that in this particular example that D* doesn’t render my belief that D unjustified, even though it restores my justification for believing T. I’m still justified to believe D, namely that Mrs. Grabit said such and such. What is defeated here is the power of D to defeat my prior belief that Tom Grabit stole the library book. Take another example. Suppose I see what appear to be blue widgets coming down an assembly line. I believe that these are blue widgets. I then discover that the widgets are being illuminated with a blue light. This gives me a defeater for my belief that the widgets are blue. If I subsequently pick up a widget outside the range of the blue light, view it under normal lighting conditions, and see that it’s blue, the defeating force of “these widgets are being illuminated with a blue light” is neutralized, but not in such a way that I cease to be justified or rational in believing that the widgets are being illuminated by a blue light. So when it comes to defeater-defeaters my justification for holding the originally defeated belief can be restored without causing the defeater against this belief to be an unjustified belief. Defeater-defeaters might do that of course, but they need not. Perhaps I discover that what I thought was a blue light shining on the widgets is not a blue light at all or perhaps I learn that Mrs. Grabit actually did not say what I thought she said. In these cases the defeater-defeater causes my belief in the original defeater to be unjustified.

According to Plantinga (1986), some beliefs can, by virtue of their own degree of warrant, defeat defeaters that come their way. When a belief has this power, Plantinga designates it an intrinsic defeater-defeater against some ostensible defeater. I write a letter to the chair of my department trying to bribe him to write a highly exaggerated letter on my behalf for an NEH fellowship. The letter mysteriously disappears from the chairperson’s office. I have a motive to steal it, the opportunity to do so, and I have been known to do such things in the past. Moreover, a reliable member of the department claims to have seen me hanging around the chairperson’s office about the time the letter must have been stolen. Given the evidence, my colleagues believe that I stole the letter. Perhaps they are justified in believing this. However, I believe that I spent the day in the woods and so could not have stolen the letter. My memory belief has a great deal of nonpropositional warrant for me. So despite the counter-evidence, I’m justified to believe that I was in the woods and didn’t steal the letter. Here it seems that the ostensible defeatee actually operates as a defeater-defeater. Plantinga of course isn’t suggesting that an actually defeated belief restores warrant to itself by defeating an acquired defeater. It’s not as if my belief that I didn’t steal the letter was actually defeated at some point in time and its justification subsequently restored. The idea is rather that the original belief prevents or insulates itself from being defeated because the defeating potential of counterevidence is antecedently neutralized by the degree of warrant had by original belief. So I never actually acquire a defeater for my belief that I was in the woods or that the belief that I didn’t steal the letter (Sudduth, 1999, pp. 180-82).

5. Variations on Mental State Defeaters

Advocates of mental state defeaters (and the corresponding no mental state defeater condition) differ on some crucial points regarding mental state defeaters.

a. The Epistemic Status of Defeating Beliefs

One of the issues of debate between adherents of [MSD] is whether beliefs that function as mental state defeaters must have some positive epistemic status to have defeating power, specifically if they are to defeat beliefs that do have some positive epistemic status. Plantinga (2000, pp. 364-65, 2002, pp. 272-75) contends that irrational and unwarranted beliefs can defeat beliefs that are (otherwise) rational and warranted. Suppose I believe that I’m made of flesh, blood, and bone. I then come to believe – due to some cognitive disorder – that my head is made of blown glass. According to Plantinga, given that I come to hold this second belief I now have a defeater for the prior belief, even if the defeater was formed by way of cognitive malfunction. In other cases, my belief may be rational but nonetheless unwarranted, and yet it might still function as a defeater for a warranted belief. Using another example from Plantinga (2000, pp. 363-65), suppose I believe that you were born in Yankton, South Dakota. Your uncle, whom I believe to be a reliable person, told me this. My belief is warranted. But then one day you inform me in all seriousness that you were actually born in New Haven, Connecticut and you provide a reasonable explanation for why your uncle thinks otherwise. Absent any reason to suppose that you’re trying to fool me or are delusional, I have a defeater for my belief that you were born in Yankton, South Dakota. However, suppose that your parents actually lied to you about where you were born. In that case, your belief that you were born in New Haven, Connecticut would not be warranted (given Plantinga’s understanding of warrant), and neither would my belief that this is where you were born. So the defeater in this situation would be an unwarranted belief of mine. (Note that it also follows from Plantinga’s account of defeaters that a belief D can defeat a belief A with no warrant, and that D can defeat a belief A that has more warrant than D).

Now in the above cases I acquire what Plantinga calls a “rationality defeater.” By virtue of acquiring the defeating belief D I’m no longer rational in believing A. This is a consequence of an internal aspect of cognitive proper functioning, what Plantinga specifically designates internal rationality. Plantinga distinguishes between the proper functioning of our cognitive faculties “downstream” from experience (internal rationality) and the proper functioning of our cognitive faculties “upstream” from experience (external rationality) (Plantinga 2000, pp. 110-12). The former refers to the appropriate belief response to phenomenal imagery and doxastic experience, whereas the latter refers to proper functioning in the production of phenomenal imagery and doxastic experience. Internal rationality will include coherence among our beliefs and drawing the appropriate sort of inferences from what we believe. So to say that I have acquired a rationality defeater D for my belief A is to say that a certain doxastic response is called for given that I have a sensuous or doxastic experience of a certain sort. Perhaps I’m externally irrational in forming D (e.g., because I’m suffering from paranoia, dementia, or some kind of mental illness), but I’ll still be internally irrational to continue holding A given that I hold D.

Alston (2002) has argued that Plantinga’s position is counter-intuitive, and that only beliefs with positive epistemic status can defeat beliefs that have positive epistemic status, and a belief D can defeat belief A only if D has greater warrant than A. The efficacy of a defeater depends on the relative positive epistemic status of each of the beliefs being compared. Bergmann (2006, pp. 164-66) argues that Alston’s rebuttal to Plantinga is plausible as an account of belief revision or how we ought to change our beliefs. Since Plantinga parses his own account of defeaters in this way, Alston’s criticism is applicable to Plantinga’s position. However, Bergmann maintains that Alston’s argument doesn’t undermine the notion that irrational or unjustified beliefs can defeat justification. My belief that I have hands is unjustified if I believe (however irrationally) that I’m a brain in a vat, even if it’s more reasonable as a policy of belief revision to give up the belief that is less rational or less warranted.

b. Subjective and Objective Contours

Another issue, related to the first, concerns the relationship between having a mental state defeater and believing that one has such a defeater.

Plantinga suggests that, ordinarily at least, having a defeater involves one seeing or taking it that one’s belief is defeated. But would this be sufficient for having a defeater?

Alston’s criticism above entails that merely taking one’s belief to be defeated isn’t sufficient for defeat, because one might irrationally or unjustifiably take one’s belief to be defeated. This is presumably the case when, due to my irrationally believing that my head is made of blown glass, I take my belief that my head is made of flesh, bone, and blood to be defeated. Alston and some other externalists would argue that only truth-conducively justified or reliably produced beliefs can be defeaters. However, since the truth-conducivity of grounds of belief and reliability of belief formation are not introspectively accessible facts, it is possible for an otherwise internalist no-defeater condition to be parsed with an external or objective component arising from the demand that defeaters be drawn from the subject’s stock of justified beliefs or knowledge.

Internalists too may impose a similar requirement, so even if it’s necessary that the subject take his belief to be defeated (in order to have an efficacious defeater), it will also be necessary that defeating beliefs have positive epistemic credentials of some sort. If my belief that Jack is a lifeguard is to be defeated by my belief that Jack can’t swim, then the latter belief must be rational or justified. And for the internalist (unlike the externalist) that a belief has this kind of status will itself be a matter that is introspectively accessible.

Moreover, the internalist will likely require that there be the appropriate kind of negative evidential relationship between the defeater and the defeatee. That is to say, if belief d actually defeats S’s belief that p, then p will at least not be likely given d and the relevant rest of S’s beliefs. D must sufficiently lower the evidential probability of p. If we suppose that criteria of inductive (and deductive) reasoning are introspectively accessible, then an internalist version of the no mental state defeater condition can be internalist in this additional respect. It can require the absence of a negative logical relation between d and S’s belief that p, where this is introspectively accessible and so can be determined upon reflection. (Swinburne, 2001, pp. 28-31).

Bergmann (2006, pp. 160-63), however, argues for a more subjective account of defeat, which he believes is at least suggested by both Plantinga and Pollock. On Bergmann’s view, a person S has a defeater for his belief that p just if he consciously takes his belief that p to be defeated, and a person S takes his belief that p to be defeated just if S takes the belief that p to be epistemically inappropriate. For the latter, S must simply take himself to have good reasons for denying p or good reasons for doubting that the grounds of his belief that p are trustworthy, truth-indicative, or reliable. It isn’t necessary that the person have what are actually good reasons for the negative epistemic evaluation of his beliefs. It is only necessary (and sufficient) that the person take himself to have such reasons, and Bergmann places no restriction on what kinds of considerations might play this role for the subject. So on Bergmann’s view the no mental state defeater condition (as requirement for knowledge) is really a no believed defeater condition (Bergmann, 2006, p. 163). Bergmann’s no defeater condition, then, is strongly internalist since one has introspective access to whether or not one takes a particular belief to be epistemically inappropriate, even if there’s no introspective access to either the justificational status of a defeating belief or the causal origin of one’s taking a belief to be defeated.

c. Conscious and Reflective Defeaters

Since mental state defeaters include beliefs and beliefs may be occurrent or dispositional, it will be helpful to distinguish between conscious and reflective mental state defeaters (Bergmann, 1997a, pp. 116-121). There is a distinction between defeating experiences or beliefs of which one is aware at time t and defeating experiences and beliefs of which one is not aware at time t but of which one would become aware upon reflection. Similarly, there’s a distinction between consciously taking one’s belief to be defeated and this being something that one would do upon reflection. Accordingly, someone who advocates [MSD] may suppose that knowledge requires either the absence of conscious defeaters or the absence of a reflective defeater.

Some externalists advocate [MSD], specifically parsed in terms of the subject S not taking his belief that p to be defeated. Alston (1988b) appears to argue that the absence of a mental state defeater is not a necessary condition for knowledge. However, it’s fairly clear that Alston has in mind a reflective defeater, not a conscious defeater, much less a person S’s consciously taking his belief that p to be defeated. Alston asks us to suppose that there is some person who has acquired substantial evidence that his sensory experience is a radically unreliable guide to his physical environment, that he’s been the subject of a mad scientist’s neurophysiological experiments for several years. So the subject justifiably believes that his senses are not to be trusted. However, as this person is about to cross a street he seems to see a truck heading towards him, and he forms the belief that a truck is approaching. His sensory perceptual system is working fine, and a truck is approaching. Alston says that in this scenario the person knows that a truck is approaching, despite having overriding reasons for supposing that his senses are not reliable. It would seem that the person has knowledge, despite having a mental state defeater. Crucial to Alston’s account, though, is his claim that when the subject seems to see a truck approaching, he “momentarily forgets” his skepticism and acts accordingly. This makes it clear that the person in question does not consciously take his belief to be defeated when he sees the truck approaching. Rather, we have a reflective defeater, for the subject presumably would upon reflection take his belief to be defeated or epistemically inappropriate. So Alston’s scenario can’t plausibly be taken as a counter-example to a no conscious defeater requirement for knowledge, especially if this kind of requirement is parsed in terms of a subject not consciously taking her belief to be defeated.

The fact that a no conscious defeater requirement is widely subscribed to by both externalists and internalists counts in favor of its intuitive plausibility. But Bergmann (1997a, pp. 127-39) argues further that we have good reasons to reject the no reflective defeater requirement for knowledge. His argument is based on the premise that knowledge is incompatible with veritic epistemic luck but not evidential epistemic luck. Veritic luck refers to a person being lucky to believe what is true, given the evidence the person has. Evidential epistemic luck refers to a person being lucky to have the kind of evidence she has. The Political Assassination, Unopened Letters, and original Tom Grabit case discussed above (in 2.c) are arguably examples of evidential epistemic luck, whereas Goldman’s Fake Barn case is an example of veritic epistemic luck. Bergmann argues that there are cases where a person has a reflective defeater for a belief, but the situation is analogous to cases of evidential epistemic luck. So we have reason for resisting the idea that knowledge requires the absence of a reflective defeater.

Here’s Bergmann’s example (Bergmann 1997a, p 136). Due to a strange cognitive disorder Chuck thinks that reports he hears between 4:15pm and 4:30pm are highly unreliable. On a particular day, Chuck’s alarm clock wakes him up from an afternoon nap at 4:20pm. Immediately upon waking up Chuck hears noises outside his window. He looks and sees what appear to be city workers at work near a large hole in his front yard. One of the men tells Chuck that they are there to do work on the main waterline to Chuck’s house, and that Chuck’s wife was informed of this the day before. Chuck believes what he’s told, and the man is telling the truth. However, if Chuck reflected on the matter, he would believe that the man’s report was unreliable, for Chuck would have realized that he’s being given this report between 4:15pm and 4:30pm and that reports he hears during this time period are unreliable. If Chuck reflected on the matter, he would consciously take it that his belief about what these men are doing is defeated. But Bergmann argues that most of us would be strongly inclined to say that in this scenario Chuck actually knows what the men in question are doing on his property, even though Chuck has a reflective defeater for this belief. Chuck is certainly lucky here not to have evidence against his belief, but in much the same way in some Gettier-type cases (e.g., Tom Grabit case above in 2.c) the subject is lucky to have the evidence he does and not have other evidence (that is misleading) but it’s not a matter of luck that the person believes what is true given the evidence he has.

6. Taxonomy of Defeaters and Formalities of Defeat

Having considered the distinction between propositional and mental state defeaters, something should be said about the formalities of such defeaters. It’s fairly common for epistemologists to distinguish between two general ways beliefs may be defeated. There are defeaters that are reasons for supposing that p is false, and there are defeaters that are reasons that, if added to ostensible evidence for p, would sufficiently lower the likelihood that p is true. According to the first kind of defeater, we get reasons to believe the negation of p (or that p is false). According to the second, we simply lose our reasons for supposing that p is true. But let’s look at the range of defeater-types.

a. Primary-Type Defeaters: Rebutting, Undercutting, and No Reason Defeaters

(i) A rebutting defeater for some belief that p is a reason (in the broad sense) for holding the negation of p or for holding some proposition, q, incompatible with p (Pollock, 1986, p. 38). Mary sees in the distance what appears to be a sheep in the field and forms the belief that there is a sheep in the field. The owner of the field then comes by and tells her that there are no sheep in the field. She has acquired what is commonly designated a rebutting defeater for her belief that there is a sheep in the field. She has acquired a reason for supposing that there is no sheep in the field. Alternatively, she might have walked up to the object and discovered that it was actually a papier-mâché facsimile. Here she acquires a reason for believing something incompatible with her belief that there is a sheep in the field. These are of course examples of rebutting mental state defeaters. There can also be rebutting propositional defeaters. Perhaps Mary doesn’t hear the owner of the field tell her that there are no sheep in the field, but he has mentioned this to several people in the neighborhood the day she believes there is a sheep in the field. There is a true proposition that counts against the truth of Mary’s belief, even if it isn’t a proposition she believes. (Of course, as noted above in connection with defeasibility analyses, there will be many true propositions that misleadingly count against the truth of beliefs).

(ii) An undercutting defeater for some belief that p is a reason (in the broad sense) for no longer believing p, not for believing the negation of p (Pollock, 1986, p. 39). More specifically, it is a reason for supposing that one’s ground for believing p is not sufficiently indicative of the truth of the belief. A person enters a factory and sees an assembly line on which there are a number of widgets that appear red. Being appeared to red-widgetly, the person believes that there are red widgets on the assembly line. The shop superintendent then informs the person that the widgets are being irradiated by an intricate set of red lights, which allow the detection of hairline cracks otherwise invisible to the naked eye. Here the person loses his reason for supposing that the widgets are red, rather than acquires a reason for supposing that they are not red. Again, these are illustrations of undercutting mental state defeaters. There can also be propositional defeaters of the undercutting variety. The mere fact that the widgets are being irradiated with a red light would be one such example. Or suppose that Jason believes his tie is red. The fact that he is red-green colorblind might be a propositional defeater for this belief. The fact that someone is prone to perceptual hallucinations might be a propositional defeater for some range of sensory perceptual beliefs, and so forth.

(iii) A no-reason defeater is a reason for supposing that it’s no longer reasonable to believe p given that (a) one has no reason for believing p and (b) the belief that p is the sort of belief that it’s reasonable to hold only if one has evidence for p (Bergmann, 1997a, pp. 102-103). For example, Johnny believes that if he dies he will immediately thereafter be turned into a zombie. Upon reflection he can’t locate any reasons why he believes this, but he realizes that it’s the sort of belief for which he ought to have some reason if he is rationally to believe it.

Now in each of these three cases (parsed in terms of mental state defeaters), the acquisition of a defeater makes it epistemically inappropriate to continue holding a particular belief B given that (i) there is evidence against B, (ii) reasons for B have become neutralized, or (iii) there is a recognition that one has no reasons at all for holding B though one ought to have such reasons. Consequently, a person’s belief is no longer justified (or – in the case of partial defeaters – not as justified as it would be absent the defeater). If knowledge entails justification, each of these kinds of defeaters has the potential to defeat knowledge. If parsed in terms of propositional defeaters, then the corresponding true propositions are such that they prevent an overall justified true belief from counting as knowledge.

b. Secondary-Type Defeaters: Defeaters for Grounds of Inferential Beliefs

There are also defeater-types that appear to be derived from (i), (ii), and (iii), and which apply specifically to cases where beliefs are based on other beliefs, that is, inferential or mediate beliefs.

(iv) A rebutting reason-defeating defeater is a rebutting defeater against a belief, c, where c is a ground or reason for the belief that p. Mark believes that his computer has a hardware problem that is causing several operation errors. He believes this because his wife tells him that Peter told her this and Mark knows that Peter is an expert on computers. Later, though, Mark discovers that it was not Peter but John who told his wife this, but Mark believes that John has little knowledge about computers.

Thinking of defeaters in terms of argument forms, Pollock (1986, pp. 38-39) distinguished between reasons that attack a conclusion (rebutters) and reasons that attack the connection between the premises and the conclusion (undercutters). Rebutting reason-defeating defeaters are distinct from both rebutting and undercutting defeaters in Pollock’s sense. In the language of argumentation, they attack neither the conclusion nor the connection between the premises and the conclusion. A rebutting reason-defeating defeater is a species of rebutting defeater (as I defined it above), but it’s a reason to believe the negation of a belief, c, that functions as the ground or reason of another belief p. In terms of argument forms, we can say that a reason-defeating defeater is a rebutting defeater against a premise in some argument. This kind of defeater is also distinct from Pollock’s undercutting defeater. In the case of rebutting reason-defeating defeaters, it’s not that the grounds fail to be indicative of the truth of Mark’s belief that his computer has a hardware problem, but Mark comes to believe that one of his original grounds for holding this belief is false. Like undercutting defeaters, in acquiring a rebutting reason-defeating defeater we lose our reasons for supposing that the target belief that p is true. As a result, the grounds lose their power to confer justification on the target belief. However, this comes about by way of acquiring reasons for supposing that a ground of the target belief is false. (See Bergmann 1997a, pp. 99-103, for further discussion on the distinction between undercutters and reason-defeating defeaters).

(v) If we continue to think of defeaters and defeat in terms of argument structures then we can apply undercutting defeaters to more complex grounds for belief, where a belief that p is based on some further belief, q, that is in turn based on some other belief, r. An undercutting reason-defeating defeater for some belief that p is a reason for supposing that the grounds, r, for some belief that q fail to be sufficiently indicative of the truth of q, but where q is itself a ground for believing p. In terms of general logic, the premises of arguments are often themselves supported by reasons, thereby creating sub-arguments. Just as we can acquire reasons for the negation of a premise in an argument, we can acquire reasons for supposing that the premises of a sub-argument fail to be indicative of the truth of a premise in some main argument. As with rebutting reason-defeating defeaters, we lose our reasons for believing the main conclusion, p, but here we do so by virtue of losing our reasons for believing a premise, q, rather than by acquiring a reason for denying the premise q.

(vi) A no-reason reason-defeating defeater is simply the application of the no-reason defeater to the grounds of an inferentially held belief. In (iii) a belief is defeated because it’s not based on any reason but is the kind of belief that is reasonable only if there are reasons for it (or the person believes this is the case). However, even where some belief that p is based on the belief that q, the belief q may be such that it isn’t based on any reasons but it would be unreasonable to hold the belief that q unless it’s based on reasons.

7. Conclusion

This article outlined two general types of defeaters: propositional defeaters and mental state defeaters. The former are conditions external to the perspective of the cognizer that prevent an overall justified true belief from counting as knowledge. The latter are conditions internal to the perspective of the cognizer (such as experiences, beliefs, withholdings) that cancel, reduce, or even prevent justification. Propositional defeaters are designed to address the problem of accidentally true belief, whereas mental state defeaters arise from the variable nature of justification. Inasmuch as justification is necessary for knowledge, mental state defeaters are capable of defeating knowledge. This leads to the viewpoint that knowledge requires the absence of any mental state defeater. So both kinds of defeaters ultimately relate to conditions of knowledge, and the article developed each in connection with their larger epistemological territory.

This was followed by an examination of the complexities that arise in developing no propositional defeater and no mental state defeater conditions for knowledge. The defeasibility theorist must select from among different criteria to locate the relevant range of true propositions that are genuinely indicative of a defect in justification that prevents knowledge. Advocates of mental state defeaters face a range of other issues, from choosing more or less subjective accounts of mental state defeaters, to choosing between conscious and reflective types of mental state defeaters for the no defeater condition for knowledge. Synchronic and diachronic aspects of mental state defeat were also considered.

The latter part of the article outlined a taxonomy of defeaters that highlights the difference between getting defeaters for beliefs and getting defeaters specifically for beliefs based on reasons of varying degrees of complexity. Here several of the dynamics that emerge within the taxonomy of defeaters were pointed out. One of the more important distinctions is between losing one’s grounds for believing p and acquiring reasons for believing the denial of p (or for believing something incompatible with p). The article also considered several ways in which a subject might lose his grounds for believing p. While some of these involve a subject becoming unjustified in holding to some reason, r, for his believing p, others amount simply to the subject’s reasons, r, losing their power to confer justification on the target belief that p while the subject remains justified in believing r.

8. References and Further Readings

  • Alston, William. 2005. Beyond Justification: Dimensions of Epistemic Evaluation. Ithaca: Cornell University Press.
    • Alston provides a systematic analysis of various epistemic desiderata and their implications for revising our approach to the concept of epistemic justification.
  • Alston, William. 2002. “Plantinga, Naturalism, and Defeat.” In James Beilby (ed), Naturalism Defeated? Essays on Plantinga’s Evolutionary Argument against Naturalism. Ithaca: Cornell University Press, pp. 176-203.
    • Alston examines Plantinga’s evolutionary argument against naturalism and offers criticisms of Plantinga’s suggestion that an irrational belief can function as a defeater.
  • Alston, William. 1989. Epistemic Justification. Ithaca: Cornell University Press.
    • This is Alston’s collection of previously published essays on substantive and meta-questions in epistemology, including essays on foundationalism and the concept of epistemic justification.
  • Alston, William. 1988a. “An Internalist Externalism.” Synthese 74: 265-83. Reprinted in Alston, 1989, pp. 227-45. Page references are from reprint.
    • Alston develops a theory of epistemic justification that combines elements of externalism and internalism.
  • Alston, William. 1988b. “Justification and Knowledge.” Proceedings of the World Congress of Philosophy, 5. Reprinted in Alston, 1989, pp. 172-82. Page references are from reprint.
    • Alston argues that justification (construed in both internalist and externalist ways) is not necessary for knowledge. The essay includes an argument for supposing that a person can know p even though she has a certain kind of mental state defeater for her belief.
  • Alston, William. 1986. “Internalism and Externalism in Epistemology.” Philosophical Topics, 14: 179-221. Reprinted in Alston, 1989, pp. 185-226. Page references are from reprint.
    • Alston’s examination of internalist and externalist approaches to justification.
  • Alston, William. 1983. “What’s Wrong with Immediate Knowledge?” Synthese, 55:73-95. Reprinted in Alston, 1989, pp. 57-78. Page references are from reprint.
    • Alston critically examines various objections to “immediate knowledge” and argues that these objections rest on various implausible assumptions about the character of immediate knowledge.
  • Alston, William. 1976. “Has Foundationalism Been Refuted?” Philosophical Studies, 29: 287-305. Reprinted in Alston, 1989, pp. 39-56. Page references are from reprint.
    • Alston defends “minimal foundationalism” against the criticisms of foundationalism raised by Frederick L. Will and Keith Lehrer.
  • Annis, David. 1973. “Knowledge and Defeasibility.” Philosophical Studies, 24: 199-203.
    • Critical response to the defeasibility analysis provided by Lehrer and Paxson in Lehrer and Paxson, 1969, and which examines the nature of misleading or defective defeaters.
  • Audi, Robert. 1993. The Structure of Justification. Cambridge: Cambridge University Press.
    • Audi’s previously published essays on various topics in epistemology, including his development and defense of moderate foundationalism and the idea of “negative evidential dependence.”
  • Barker, John. 1976. “What You Don’t Know Won’t Hurt You.” American Philosophical Quarterly, 13: 303-308.
    • Barker attempts to tackle the Gettier problem in terms of a defeasibility analysis that distinguishes between genuine and misleading defeaters.
  • Beilby, James (ed). 2002. Naturalism Defeated? Essays on Plantinga’s Evolutionary Argument against Naturalism. Ithaca: Cornell University Press.
    • Essays discussing Alvin Plantinga’s evolutionary argument against naturalism, some of which discuss Plantinga’s notion of rationality defeaters.
  • Bergmann, Michael. 2006. Justification without Awareness. New York: Oxford University Press.
    • Bergmann defends an externalist theory of justification, which includes both a proper function and no mental state defeater requirement.
  • Bergmann, Michael. 2005. “Defeaters and Higher-Level Requirements.” Philosophical Quarterly, 55: 419-36.
  • Bergmann, Michael. 2000. “Deontology and Defeat.” Philosophy and Phenomenological Research 60: 87-102.
    • Bergmann argues that deontologism does not lend support to internalism. Essay provides several helpful observations on defeaters.
  • Bergmann, Michael. 1997a. “Internalism, Externalism, and Epistemic Defeat.” (PhD Dissertation: University of Notre Dame).
    • Bergmann provides a detailed examination of the nature of defeaters and their relation to internalist and externalist theories of knowledge.
  • Bergmann, Michael. 1997b. “Internalism, Externalism, and the No-Defeater Condition.” Synthese, 110: 399-417.
    • Bergmann argues that the no mental state defeater condition being necessary for warrant is compatible with externalist theories of warrant. Section 4 contains an analysis of externalists who endorse some version of the no mental state defeater condition.
  • Boonin, Leonard G. 1966. “Concerning the Defeasibility of Legal Rules.” Philosophy and Phenomenological Research, 26: 371-78.
    • Boonin examines the meaning of defeasibility in law and its implications for legal analysis.
  • Chisholm, Roderick. 1989. Theory of Knowledge. 3rd edition. New Jersey: Prentice-Hall.
    • Chisholm provides an internalist response to the Gettier problem, as well as an account of defeasible justification influenced by defeasibility in moral philosophy. First edition: 1966.
  • Gettier, Edmund. 1963. “Is True Belief Knowledge?” Analysis, 23: 121-23.
    • Gettier’s famous paper in which he argues that beliefs can be both true and justified and yet fail to constitute knowledge.
  • Goldman, Alvin. 1986. Epistemology and Cognition. Cambridge, MA: Harvard University Press.
    • Goldman endorses a version of reliabilism with a no mental state defeater requirement for justification.
  • Goldman, Alvin. 1976. “Discrimination and Perceptual Knowledge.” Journal of Philosophy, 73: 771-91.
    • Goldman discusses a causal theory of perceptual knowledge and defeasibility analyses of knowledge. The essay includes the famous “Fake Barn” scenario, a Gettier-type case initially suggested to Goldman by Carl Ginet.
  • Harman, Gilbert. 1973. Thought. Princeton, NJ: Princeton University Press.
    • Text contains Harman’s “Political Assassination” and “Unopened Letters” Gettier cases.
  • Hart, H.L.A. 1961. “The Ascription of Responsibility and Rights.” In Herbert Morris (ed), Freedom and Responsibility: Readings in Philosophy and Law. Stanford, CA: Stanford University Press, pp. 143-48. Originally published in Proceedings of the Aristotelian Society, 1948-49, 49: 171-94. Page references are from the reprint.
    • This is Hart’s classic discussion of the defeasibility of legal rules.
  • Klein, Peter. 1981. Certainty: A Refutation of Skepticism. Minnesota: University of Minnesota Press.
    • Klein presents his revised and detailed development of a defeasibility analysis of knowledge.
  • Klein, Peter. 1976. “Knowledge, Causality, and Defeasibility.” The Journal of Philosophy, 73: 792-812.
  • Klein, Peter. 1971. “A Proposed Definition of Propositional Knowledge.” The Journal of Philosophy, 68: 471-82.
    • Klein presents a defeasibility analysis of propositional knowledge to handle the intuition that knowledge cannot be accidentally true belief.
  • Kvanvig, Jonathan L. (ed). 1996. Warrant in Contemporary Epistemology: Essays in Honor of Alvin Plantinga’s Theory of Knowledge. Lanham: Rowman and Littlefield.
    • A collection of essays on Alvin Plantinga’s theory of warrant by prominent contemporary epistemologists. See especially articles by Peter Klein (pp. 97-130) and Marshall Swain (pp.131-146), both of whom address defeasibility analyses of knowledge in relation to Plantinga’s theory of warrant.
  • Lehrer, Keith and Paxson, Thomas. 1969. “Knowledge: Undefeated Justified True Belief.” Journal of Philosophy, 66: 225-37.
    • Influential early defeasibility analysis of knowledge in response to the Gettier problem, focusing on the problem of specifying the relevant sub-set of true propositions that are indicative of a defect in justification. The essay includes the widely discussed “Tom Grabit” illustrations.
  • Nozick, Robert. 1981. Philosophical Explanations. Cambridge, MA: the Belknap Press.
    • An externalist account of knowledge that requires that the absence of a certain kind of mental state defeater, specifically that a person not believe that his belief does not track truth.
  • Plantinga, Alvin. 2002. “Reply to Beilby’s Cohorts.” In James Beilby (ed), 2002, pp. 204-75.
    • Plantinga responds to criticisms of his evolutionary argument against naturalism. His detailed comments on rationality defeaters are particularly relevant.
  • Plantinga, Alvin. 2000. Warranted Christian Belief. New York: Oxford University Press.
    • Plantinga applies his externalist theory of warrant and proper function to questions regarding the positive epistemic status of Christian belief. In chapter 11 Plantinga provides a more developed account of his view of rationality defeaters earlier introduced in Plantinga 1993a.
  • Plantinga, Alvin. 1996. “Respondeo” in Jonathan Kvanvig (ed), Warrant in Contemporary Epistemology. Lanham, MD: Rowman and Littlefield, pp. 307-78.
    • Plantinga responds to various criticisms of his externalist theory of warrant and proper function. Particularly relevant here is Plantinga’s discussion of defeasibility analyses of knowledge in response to Klein and Swain, pp. 317-26.
  • Plantinga, Alvin. 1995. “Reliabilism, Analyses, and Defeaters.” Philosophy and Phenomenological Research, 55: 427-64.
    • An early version of Plantinga’s evolutionary argument against naturalism in which he provides some detailed reflections on rationality defeaters, subsequently developed by Plantinga in Plantinga 2000.
  • Plantinga, Alvin. 1993a. Warrant and Proper Function. New York: Oxford University Press.
    • Plantinga’s earlier discussion of rationality defeaters and the defeater system (pp. 40-42, 216-37) in the larger context of his theory of warrant as requiring the proper functioning of our cognitive faculties.
  • Plantinga, Alvin. 1993b. Warrant: The Current Debate. New York: Oxford University Press.
    • Plantinga articulates various inadequacies in contemporary internalist and externalist theories of warrant. The appendix examines Pollock’s conception of defeaters.
  • Plantinga, Alvin. 1986. “The Foundations of Theism: A Reply.” Faith and Philosophy 3, 3: 310-312.
    • Plantinga responds to Philip Quinn’s criticisms of Plantinga’s proper basicality thesis regarding theistic belief. Plantinga presents the idea of an intrinsic defeater-defeater.
  • Pollock, John. 1986. Contemporary Theories of Knowledge. Savage, MD: Rowman and Littlefield.
    • Pollock’s account of justification utilizes a detailed account of mental state defeaters.
  • Pollock, John. 1984. “Reliability and Justified Belief.” Canadian Journal of Philosophy 14, 103:114. Reprinted in Moser, Paul K. (ed). 1986. Empirical Knowledge: Readings in Contemporary Epistemology. Savage, MD: Rowman and Littlefield Publishers, pp.193-202.
    • Pollock discusses how the acquisition of reasons for supposing that a belief was unreliably produced defeat justification, but that this does not commit the epistemologist to a reliabilist theory of justification.
  • Pollock, John. 1974. Knowledge and Justification. Princeton, NJ: Princeton University Press.
  • Pollock, John. 1970. “The Structure of Epistemic Justification.” American Philosophical Quarterly, monograph series 4: 62-78.
    • Article contains Pollock’s early reference to two kinds of defeaters, Type I and Type II excluders, which later become rebutting and undercutting defeaters.
  • Shope, Robert. 1983. The Analysis of Knowing: A Decade of Research. Princeton, NJ: Princeton University Press.
    • Shope provides an overview of a dozen or so early attempts to resolve the Gettier problem. Chapter two examines defeasibility analyses.
  • Steup, Matthias. 1996. An Introduction to Contemporary Epistemology. Upper Saddle River, NJ: Prentice Hall.
    • In chapter 1 Steup distinguishes between propositional defeaters (what he calls factual defeaters) and mental state defeaters (what he calls justificational defeaters) and considers their implications for various issues in epistemology.
  • Sudduth, Michael. 1999. “The Internalist Character and Evidentialist Implications of Plantingian Defeaters.” The International Journal for the Philosophy of Religion, 45: 167-187.
    • Sudduth argues that Plantinga’s notion of a “defeater system” (as a part of cognitive proper functioning) entails two significant evidentialist conditions for warranted belief in God.
  • Swain, Marshall. 1981. Reasons and Knowledge. Ithaca: Cornell University Press.
    • Swain attempts to address inadequacies in defeasibility analyses by combining a reliabilist indicator view of justification and a causal account of the basing relation.
  • Swain, Marshall. 1974. “Epistemic Defeasibility.” The American Philosophical Quarterly, 11,1: 15-25.
    • Swain examines defeasible vs. indefeasible justification in relation to the Gettier problem and the analysis of knowledge.
  • Swinburne, Richard. 2001. Epistemic Justification. Oxford: Clarendon Press.
    • A development and defense of epistemic internalism, with chapters on Bayesian probability. Swinburne adopts a defeasibility analysis to handle the Gettier problem (pp. 192-200), but also incorporates mental state defeaters in his account of justification (pp. 28-31).

Author Information

Michael Sudduth
Email: michaelsudduth “at” comcast “dot” net
San Francisco State University
U. S. A.

Alexandre Kojève (1902—1968)

picAlexandre Kojève was responsible for the serious introduction of Hegel into 20th Century French philosophy, influencing many leading French intellectuals who attended his seminar on The Phenomenology of Spirit in Paris in the 30s. He focused on Hegel’s philosophy of history and is best known for his theory of ‘the end of history’ and for initiating ‘existential Marxism.’ Kojève arrives at what is generally considered a truly original interpretation by reading Hegel through the twin lenses of Marx’s materialism and Heidegger’s temporalised ontology.

For Hegel, human history is the history of ‘thought’ as it attempts to understand itself and its relation to the world. He postulates that history began with unity, but into which man, a questioning ‘I’, emerges introducing dualism and splits. Man attempts to heal these sequences of ‘alienations’ dialectically, and drives history forwards, but in so doing causes new divisions which must then be overcome. Hegel sees the possibility of ‘historical reconciliation’ lying in the rational realization of underlying unity – the manifestation of an absolute spirit or ‘geist’ – leading to humanity living according to a unified, shared morality: the end of history.

Kojève takes these ideas of universal historical process and the reconciliation towards unity, and synthesizes them with theories of Marx and Heidegger. He takes Marx’s productivist philosophy that places the transformative activity of a desiring being centre-stage in the historical process, housing it within the conditions of material pursuit and ideological struggle. Drawing on Heidegger, he also defines this being as free, ‘negative’ and radically temporal, thereby recognizing and ‘reclaiming’ its mortality, ridding it of determinism and metaphysical illusion, allowing it to produce its own reality through experience alone.

This article examines the Hegelian context of Kojève’s work, and analyses how Marx and Heidegger contribute to his theory. It also outlines Kojeve’s vision of the culmination of history; how this fits into 20th Century politics; and the profound influence he had on French intellectuals including Sartre, Lacan and Breton, and on America intellectuals including Leo Strauss, Alan Bloom and Francis Fukuyama.

Table of Contents

  1. Chronology of Life and Works
  2. The Hegelian Context
  3. The Influence of Marx
  4. The Influence of Heidegger
  5. The End of History and the Last Man
  6. Kojève’s Influence
  7. References and Further Reading

1. Chronology of Life and Works

French philosopher (1902-1968), born Aleksandr Vladimirovich Kozhevnikov in Russia. Kojève studied in Heidelberg, Germany where, under the supervision of Karl Jaspers, he completed a thesis (Die religöse Philosophie Wladimir Solowjews, 1931) on Vladimir Solovyov, a Russian religious philosopher deeply influenced by Hegel. He later settled in Paris, where he taught at the Ecole Pratique des Hautes Ētudes. Taking over from Alexandre Koyré, he taught a seminar on Hegel from 1933 till 1939. Along with Jean Hyppolite, he was responsible for the serious introduction of Hegel into French thought. His lectures exerted a profound influence (both direct and indirect) over many leading French philosophers and intellectuals – amongst them Sartre, Merleau-Ponty, Lacan, Bataille, Althusser, Queneau, Aron, and Breton. Via his friend Leo Strauss, Kojève’s thought also exerted influence in America, most especially over Allan Bloom and, later, Francis Fukuyama. His lectures on Hegel were published in 1947 under the title Introduction à la lecture de Hegel, appearing in English as Introduction to the Reading of Hegel (1969). After the Second World War Kojève worked in the French Ministry of Economic Affairs, until his death in 1968. Here he exercised a profound, mandarin influence over French policy, including a role as one of the leading architects of the EEC and GATT. He continued to write philosophy over these years, including works on the pre-Socratics, Kant, the concept of right, the temporal dimensions of philosophical wisdom, the relationship between Christianity and both Western science and communism, and the development of capitalism. Many of these works were only published posthumously.

2. The Hegelian Context

Hegel‘s philosophy of history, most especially the historicist philosophy of consciousness developed in the Phenomenology of Spirit, provides the core of Kojève’s own work. However, Kojève’s Hegel lectures are not so much an exegesis of Hegel’s thought, as a profoundly original reinterpretation. By reading Hegel’s philosophy of consciousness through the twin lenses of Marx’s materialism and Heidegger’s temporalised ontology of human being (Dasein), Kojève can rightly be said to have initiated ‘existential Marxism’. Here I will briefly sketch the most salient dimensions of Hegel’s philosophy of history, before proceeding to outline Kojève’s own interpretation of it.

Perhaps the core of Hegel’s philosophy is the idea that human history is the history of thought as it attempts to understand itself and its relation to its world. History is the history of reason, as it grapples with its own nature and its relation to that with which it is confronted (other beings, nature, the eternal). The historical movement of this reason is one of a sequence of alienations (Entfremdungen) or splits, and the subsequent attempt to reconcile these divisions through a restoration of unity. Thus, for example, Hegel sees the world of the Athenian Greeks as one in which people lived in a harmonious relation to their community and the world about, the basis of this harmony being provided by a pre-reflective commitment to shared customs, conventions and habits of thought and action. With the beginnings of Socratic philosophy, however, division and separation is introduced into thought – customary answers to questions of truth, morality, and reality are brought under suspicion. A questioning ‘I’ emerges, one that experiences itself as distinct and apart from other beings, from customary rules, and from a natural world that becomes an ‘object’ for it. This introduces into experience a set of ‘dualisms’ – between subject and object, man and nature, desire and duty, the human and the divine, the individual and the collectivity. For Hegel, the historical movement of thought is a ‘dialectical’ process wherein these divisions are put through processes of reconciliation, producing in turn new divisions, which thought in turn attempts to reconcile. Historically, this task of reconciliation has been embodied in many forms – in art, in religion, and in philosophy. Enlightenment philosophy, the philosophy of Hegel’s own time, is the latest and most sophisticated attempt to reconcile these divisions through reason alone, to freely find man’s place amongst others and the universe as a whole. This, for Hegel, is only to be achieved through the overcoming (Aufhebung) of false divisions, by grasping that underlying apparent schisms (such as that between subject and object) there is a unity, with all elements being manifestations of an Absolute Spirit (Geist). Thus Hegel sees the key to historical reconciliation lying in the rational realisation of underlying unity, a unity that can, in time, come to connect individuals with each other and with the world in which they live. Universal history is the product of reason, leading (potentially) to a reconciled humanity, at one with itself, living according to a shared morality that is the outcome of rational reflection.

3. The Influence of Marx

Hegel’s philosophy of universal history furnishes that basic framework of Kojève’s philosophical stance. History is a processual movement in which division is subjected to reconciliation, culminating in ‘the end of history’, its completion in a universal society of mutual recognition and affirmation.

However, Kojève reworks Hegel in number of crucial (and, amongst Hegel scholars, controversial) ways. The first of these may be identified with the influence of Marx, especially the writings of the so-called ‘1848 manuscripts’. Kojève follows Marx’s ‘inverted Hegelianism’ by understanding the labor of historical development in broadly ‘materialist’ terms. The making of history is no longer simply a case of reason at work in the world, but of man’s activity as a being who collectively produces his own being. This occurs through the labor of appropriating and transforming his material world in order to satisfy his own needs. Whereas Hegel’s idealism gives priority to the forms of consciousness that produce the world as experienced, Kojève follows Marx in tying consciousness to the labor of material production and the satisfaction of human desires thereby. While Hegel recuperates human consciousness into a theological totality (Geist or ‘Absolute Spirit’), Kojève secularises human history, seeing it as solely the product of man’s self-production. Whereas Hegelian reconciliation is ultimately the reconciliation of man with God (totality or the Absolute), for Kojève the division of man from himself is transcended in humanist terms. If Hegel sees the end of history as the final moment of reconciliation with God or Spirit, Kojève (Like Feurbach and Marx) sees it as the transcendence of an illusion, in which God (man’s alienated essence, Wesen) is reclaimed by man. Whereas the Hegelian totality provides a prior set of ontological relations between man and world waiting to be apprehended by a maturing consciousness, Kojève sees human action as the transformative process that produces those ontological relations. While Hegel arguably presents a ‘panlogistic’ relation between man and nature, unifying the two in the Absolute, Kojève sees a fundamental disjunction between the two domains, providing the conditions for human self-production through man’s negating and transforming activities.

Perhaps the conceptual key to Kojève’s understanding of universal history is desire. Desire functions as the engine of history – it is man’s pursuit in realisation of his desires that drives the struggles between men. Desire is the permanent and universal feature of human existence, and when transformed into action it is the basis of all historical agency. The desire for ‘recognition’ (Anerkennung), the validation of human worth and the satisfaction of needs, propels the struggles and processes that make for historical progression. History moves through a series of determinate configurations, culminating in the end of history, a state in which a common and universal humanity is finally realised. This would entail ‘the formation of a society…in which the strictly particular, personal, individual value of each is recognised as such’. Hence individual values and needs would converge upon a common settlement in which a shared human nature (comprising the desires and inclinations that define humanity as such) would find its satisfaction.

How and why is this realisation of mutuality and equality to come about? Kojève follows Hegel’s famous presentation of the ‘master-slave’ dialectic in order to deduce the necessary overcoming of inequality, division and subordination. The relation of ‘master’ and ‘slave’ is one in which the satisfaction of a dominant group’s or class’ needs (the ‘masters’) is met through the subordination of others (the ‘slaves’ or ‘bondsmen’). The ‘slave’ exists only to affirm the superiority and humanity of the ‘master’, and to furnish the ‘master’s’ needs by surrendering up his labor. However, this relation is doomed to failure, for two fundamental reasons. Firstly, the ‘master’ desires the recognition and affirmation of his full humanity and value, and uses the subordinated ‘slave’ for that end. This means that the ‘master’, perversely, is dependent upon the ‘slave’, thus inverting the relation of domination. Moreover, this forced relation of recognition remains thoroughly incomplete, since the ‘slave’ is not in a position to grant affirmation freely, but is compelled to do so due to his subordination. Affirmation or recognition that is not freely given counts for nothing. As Kojève puts it:

The relation between Master and Slave…is not recognition properly so-called…The Master is not the only one to consider himself Master. The Slave, also, considers him as such. Hence, he is recognized in his human reality and dignity. But this recognition is one-sided, for he does not recognize in turn the Slave’s human reality and dignity. Hence, he is recognized by someone whom he does not recognize. And this is what is insufficient – what is tragic – in his situation…For he can be satisfied only by recognition from one whom he recognizes as worthy of recognizing him.

This establishes the constitutive need for mutual recognition and formal equality, if recognition of value is to be established. It is only when there is mutuality and recognition of all, that the recognition of any one becomes fully possible.

Secondly, for Kojève (as for Marx) it is the laboring ‘slave’ who is the key to historical progress. It is the ‘slave’ who works, and consequently it is he and not the ‘master’ who exercises his ‘negativity’ in transforming the world in line with human wants and desires. So, on the material level, the slave possesses the key to his own liberation, namely his active mastery of nature. Moreover, the ‘master’ has no desire to transform the world, whereas the ‘slave’, unsatisfied with his condition, imagines and attempts to realise a world of freedom in which his value will finally be recognised and his own desires satisfied. The slave’s ideological struggle is to overcome his own fear of death and take-up struggle against the ‘master’, demanding the recognition of his value and freedom. The coincidence of material and ideological conditions of liberation were already made manifest, for Kojève, by the revolutions of the 18th, 19th and 20th centuries; these struggles set the conditions for the completion of history in the form of universal society.

4. The Influence of Heidegger

If Marx furnishes one central resource for Kojève’s rereading of Hegel, Heidegger provides the other. From Heidegger, Kojève takes the insight that humankind is distinguished from nature through its distinctive ontological self-relation. Man’s being is conditioned by its radically temporal character, its understanding of its being in time, with finitude or death as its ultimate horizon. Kojève’s ontology is, pace Heidegger’s analysis of Dasein in Being & Time, first and foremost experiential and existential. By bringing together Hegel with Heidegger, Kojève attempts to radically historicise existentialism, while simultaneously giving Hegelian historicity a radically existential twist, wherein man’s existential freedom defines his being. Freedom is understood as the ontological relation of ‘negativity’, the incompleteness of human being, its constitutive ‘lack’. It is precisely because of this lack of a fully constituted being that man experiences (or, more properly is nothing other than) desire. The negativity of being, manifest as desire, makes possible man’s self-making, the process of ‘becoming’. This position can be see to draw inspiration from Heidegger’s critique of the transcendental preoccupations of Western thought, which he claims set reified, metaphysically assured figurations of Being over and above the processes of Becoming (wherein the ‘Being of Beings’, das Sein des Seieinden, is variously revealed within the horizon of temporality). The disavowal of such metaphysically anchored and ultimately timeless configurations of human being frees man from determinism and ‘throws’ him into his existential freedom. In Kojève’s thinking, man’s struggle is to exercise this freedom in order to produce a world in which his desires are satisfied, in the course of which he comes to accept his own freedom, ridding himself of the illusions of religion and superstition, ‘heroically’ claiming his own finitude or mortality.

We can see, then, how Kojève attempts to synthesise Hegel, Marx and Heidegger. From Hegel he takes the notion of a universal historical process within which reconciliation unfolds through an intersubjective dialectic, resulting in unity. From Marx he takes a secularised, de-theologised, and productivist philosophical anthropology, one that places the transformative activity of a desiring being centre stage in the historical process. From Heidegger, he takes the existentialist interpretation of human being as free, negative, and radically temporal. Pulling three together, he presents a vision of human history in which man grasps his freedom to produce himself and his world in pursuit of his desires, and in doing so drives history toward its end (understood both as culmination or exhaustion, and its goal or completion).

5. The End of History and the Last Man

Kojève’s vision of the culmination of history has, in recent years, exercised a renewed influence, not least in light of the collapse of Soviet communism and its satellite states. If we examine the vision of completion that Kojève held-out, we can see precisely why the advocates (or apologists) of a post-Cold War global capitalist order have drawn such inspiration from Kojève’s thesis.

For Kojève, historical reconciliation will culminate in the equal recognition of all individuals. This recognition will remove the rationale for war and struggle, and so will usher-in peace. In this way, history, politically speaking, culminates in a universal (global) order which is without classes or distinctions – in Hegelian terms, there are no longer any ‘masters’ and ‘slaves’, only free human beings who mutually recognise and affirm each others’ freedom. This political moment takes the form of law, which confers universal recognition upon all individuals, thereby satisfying the particular individual’s desire to be affirmed as an equal amongst others.

Simultaneously, the progression of man’s productive capacities, his ability to take nature and transform it in order to satisfy his own needs and desires, will result in prosperity and freedom from such want. For Kojève, the economic culmination of human productive capacities finds its apotheosis not in communism, but in capitalism. Like Marx, Kojève believed that capitalism had unleashed productive forces, generating heretofore unimagined wealth. Moreover, like Marx he believed that the expansion of capitalism was an homogenising force, producing a globalising cultural standard that laid waste to local attachments, traditions and boundaries, replacing them with bourgeoisie values. Kojève departs from Marxism (and its variants such as Leninism) by rejecting the notion that capitalism contained inherent contradictions that would inevitably bring about its demise and supercession by communism. Marx thought that the immiseration of workers under 19th century capitalism would worsen as the pressure of market competition would lead to ever-more brutal extraction of surplus from workers’ labor, in attempt to offset the falling rate of profit. This would result in the pauperisation of the proletariat, and capitalism’s inability to avoid such crisis would necessitate the overthrow of its relations by a proletariat raised up to class consciousness under the conditions of its immiseration. Kojève, in contrast, believed that 20th century capitalism had found a way out of these contradictions, finding ways to yoke the market system to a redistributive arrangement that managed to spread the wealth it produced. Far from becoming increasingly impoverished, the working class was coming to enjoy unprecedented prosperity. This is why Kojève, as early as 1948, was proclaiming the United States as the economic model for the ‘post-historical’ world, the most efficient and successful in conquering nature in order to provide for human material needs. Hence he asserted, long before the final collapse of the Soviet empire, that the Cold War would end in the triumph of the capitalist West, achieved through economic rather than military means.

The end of history would also usher-in other distinctive forms. Philosophically, it would end in absolute knowledge displacing ideology. Artistically, the reconciled consciousness would express itself through abstract art – while pictorial and representational art captured cultural specifics, these specifics would have been effaced, leaving abstract aesthetic forms as the embodiment of universal and homogeneous consciousness.

However, Kojève’s disposition to the culmination of universal history is radically ambivalent. On the one hand, he follows Marx by seeing in idyllic terms the post-historical world, one of universal freedom, emancipation from war and want, leaving space for “art, love, play, and so forth; in short, everything that makes Man happy”. However, Kojève is simultaneously beset by pessimism. In his philosophical anthropology, man is defined by his negating activity, by his struggle to overcome himself and nature through struggle and contestation. This is the ontological definition of man, his raison d’etre. Yet the end of history marks the end of this struggle, thereby exhausting man of the activity which has defined his essence. The end of history ushers-in the ‘death of man’; paradoxically, man is robbed of the definitional core of his existence precisely at the moment of his triumph. Post-historical man will no longer be ‘man’ as we understand him, but will be ‘reanimalized’, such that the end of history marks the ‘definitive annihilation of Man properly so-called‘.

6. Kojève’s Influence

The influence of Kojève’s thought has been profound, both within France and beyond. It is possible to trace many connections within French philosophy that owe varying degrees of debt to Kojève, given that his distinctive reinterpretation of Hegel was key for the French reception of Hegel’s thought. However, there are also a number of important philosophers for whom Kojève’s Hegelianism provided direct insights that were taken-up and in-turn used to found distinctive philosophical positions.

Firstly, we must note the importance of Kojève’s Hegelianism for Sartre‘s philosophical development. It is a matter of on-going contention whether or not Sartre personally attended the Hegel seminars of the 1930s. However, it can reasonably be claimed that Kojève’s existential and Marxian reading of the Phenomenology was equally important as Heidegger’s Being & Time for the position presented in Sartre’s Being & Nothingness. Central to Sartre’s account is a thoroughly Kojèveian philosophical anthropology, one which finds man’s essence in his freedom as pure negative activity, existentially separating the human for-itself (pour-soi) from the natural world of reified Being (en-soi). Sartre’s account of the ‘master-slave’ dialectic follows Kojève’s in its existential reworking, albeit without the optimism that finds a possibility of reconciliation in this intersubjective struggle (for Sartre, the dialectic is doomed to repeat a struggle for domination in which each party attempts to claim its own freedom via the mortification of the other’s Being). Moreover, Sartre’s subsequent attempts to reconcile historical materialism with existentialism owe more than a passing debt to Kojève’s original formulation of an ‘existential Marxist’ position.

Another eminent thinker for whom Kojève proved decisive was Jacques Lacan. Lacan’s account of psycho-social formation was developed through a synthesis of Freud and structuralism, read through Kojève’s ontologised version of the ‘master-slave’ dialectic. For Lacan, following Kojève, human subjectivity is defined first and foremost by desire. It is the experience of lack, the twin of the experience of desire, that provides the ontological condition of subject formation; it is only through the lack-desire dyad that a being comes into the awareness of its own separation from the world in which it is, at first, thoroughly immersed. Moreover, Lacan’s account of the childhood development of self-consciousness, captured through his analysis of the ‘mirror-stage’, replays the intersubjective mediation of consciousness that Kojève presented to his French students (Lacan amongst them) in the Hegel lectures.

Kojève also profoundly influenced the likes of Georges Bataille and Raymond Queneau, both through the lectures they attended, and through the friendships he maintained with them for many years after. Queneau is often associated with Andre Breton and the surrealists (with whom he broke in 1929), but his novels present a vision of the world that is profoundly indebted to Kojève. Many of his most famous books depict life at the end of history; there is no more historical movement, progress or transformation to come, and his characters live in a kind of ‘eternal present’ attending to the activities of everyday enjoyment. History recurs as something that can only be enjoyed as a tourist attraction, or as a reverie of the past, viewed from the vantage point of its demise. Bataille (anthropologist, philosopher and pornographer, a doyen of recent postmodern aestheticism and anti-rationalism) was perhaps the most powerful articulator of Kojève’s pessimism in the face of the ‘death of man’. The victory of reason was, for Bataille, a curse; its inevitable triumph in the unstoppable march of modernity brought with it homogeneity, order, and disenchantment. The triumph of reason as history meant the twilight and death of man, as the excessive and destructive power of negativity was displaced by harmonious, reciprocal equilibrium. Bataille’s response, a liberatory struggle against these forces through the evocation of perverse desires, madness, and anguish, takes Kojève’s prognosis at its word, and stages a heroic resistance against the tide of historical forces.

The influence of Kojève outside France has probably been most pronounced in the United States. His ideas achieved a new salience and exposure with the publication of Francis Fukayama’s The End of History and the Last Man (1992), in the wake of the Cold War. Fukayama was a student of Allan Bloom’s, who in turn was a ‘disciple’ of the ‘esoteric’ émigré political philosopher Leo Strauss. It was Strauss who introduced a generation of his students to Kojève’s thought, and in Bloom’s case, arranged for him to study with Kojève in Paris in the 1960s. The book, an international bestseller, presents nothing less than a triumphal vindication of Kojève’s supposedly prescient thesis that history has found its end in the global triumph of capitalism and liberal democracy. With the final demise of Soviet Marxism, and the global hegemony of capitalism, we have finally reached the end of history. There are no more battles to be fought, no more experiments in social engineering to be attempted; the world has arrived at a homogenised state in which the combination of capitalism and liberal democracy will reign supreme, and all other cultural and ideological systems will be consigned irretrievably to the past. Fukayama follows Kojève in tying the triumph of capitalism to the satisfaction of material human needs. Moreover, he sees it as the primary mechanism for the provision of recognition and value. Consumerism and the commodity form, for Fukayama, present the means by which recognition is mediated. Humans desire to be valued by others, and the means of appropriating that valuation is the appropriation of the things that others themselves value; hence lifestyle and fashion become the mechanisms of mutual esteem in a post-historical world governed by the logic of capitalist individualism.

7. References and Further Reading

  • Butler, Judith: Subjects of Desire: Hegelian Reflections in Twentieth Century France. New York, Columbia University Press, 1999
  • Descombes, Vincent: Modern French Philosophy. Cambridge, Cambridge University Press, 1980
  • Drury, Shadia B: Alexandre Kojève: The Roots of Postmodern Politics. Basingstoke, Macmillan, 1994
  • Fukuyama, Francis: The End of History and the Last Man. Harmondsworth, Penguin, 1992
  • Hegel, G.W.F: Phenomenology of Spirit. Oxford, Oxford University Press, 1977
  • Heidegger, Martin: Being and Time. Oxford, Blackwell, 1962
  • Kojève, Alexander: Introduction to the Reading of Hegel. New York, Basic Books, 1969
  • Kojève, Alexander: Kant. Paris, Gallimard, 1973
  • Kojève, Alexander: Le Concept, le Temps et le Discours. Paris, Gallimard, 1991
  • Kojève, Alexander: Outline of a Phenomenology of Right. London, Rowman & Littlefield, 2000
  • Lacan, Jacques: Ecrits: A Selection. London, Tavistock, 1977
  • Poster, Mark: Existential Marxism in Postwar France: From Sartre to Althusser. Princeton, Princeton University Press, 1975
  • Roth, Michael S: Knowing and History: Appropriations of Hegel in Twentieth Century France. Ithaca and London, Cornell University Press, 1988
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Author Information

Majid Yar
Email: m_yar@hotmail.com
United Kingdom

Jacqueline Pascal (1625—1661)

pascal_jA Cistercian nun, Jacqueline Pascal made a major contribution to philosophy of education through her treatise on the methods and principles of the pedagogy used at the convent school at Port-Royal. In her educational theory, the teacher emerges as a spiritual director who encourages the moral progress of her pupils through ascetical exercises and personal interviews. The right of women to acquire a theological culture and the right of the teaching nun to engage in theological commentary are defended in this model of education. Jacqueline Pascal’s writings also developed a substantial defense of the freedom of conscience, especially when exercised by women. She defended the right of women to pursue their personal vocation, regardless of economic resources and of parental attitude. During the crisis over Jansenism, she defended the right of women to dissent from certain ecclesiastical judgments despite civil and ecclesiastical pressures to assent to them. In her meditations on the divine attributes, Pascal employed a via negativa theology that stresses the unknowability of the hidden godhead. The divine essence transcends the gendered contours of the images of God. Long eclipsed by the philosophical genius of her brother Blaise, Jacqueline Pascal has recently emerged as the artisan of an educational, political, and religious philosophy with its own distinctive concerns.

Table of Contents

  1. Biography
  2. Works
  3. Philosophical Themes
    1. Philosophy of Education
    2. Vocational Freedom
    3. Freedom of Conscience
    4. Apophatic Theology
  4. Reception and Interpretation
  5. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Biography

Jacqueline Pascal was born on October 5, 1625 in Clermont in the French province of Auvergne. A member of the noblesse de robe, the Pascal family had long distinguished itself by its judicial and political service. A lawyer by training, her father Étienne Pascal served as president of the Cour des Aides, a provincial tax court. Her mother Antoinette Begon Pascal descended from a family of French diplomats and judges. The last of the family’s children, Jacqueline had Gilberte Pascal Périer (1620-1687) and Blaise Pascal (1623-1662) for siblings. With the death of his wife shortly after Jacqueline’s birth, Étienne Pascal began to educate his children at home. An erudite scholar with a pronounced interest in mathematics, the father provided his children with an education stressing mathematics and philosophy as well as instruction in literature and history.

Étienne Pascal moved his family to Paris in 1631. He immediately joined the intellectual circles of the capital, including the circle of Father Mersenne, the patron of Descartes. Delegated to teach her sister Jacqueline to read, Gilberte Pascal discovered her sister’s precocious interest in poetry. By the age of eight, Jacqueline was composing her own verse. At the age of eleven, she wrote and directed an entire five-act play with two other girls of her own age. At the age of twelve, she published a book of poetry. With her growing literary reputation, Jacqueline was invited to the court at Saint-Germain-en-Laye in 1638, where Queen Anne of Austria personally thanked her for a poem she had composed on the queen’s recent pregnancy. Astonishing onlookers with her ability to write spontaneous poems on themes assigned by courtiers, Jacqueline Pascal acquired national fame as an artistic prodigy.

In 1638 the fortunes of the Pascal family grew more somber. Jacqueline fell ill with smallpox. Although she would recover, the scars from the illness remained for life. Étienne fell into political disgrace. During a dispute over the payments owed shareholders in the City Hall of Paris by the crown, a riot of discontented shareholders broke out. A member of the protesting shareholders, but not physically present at the disturbance, Étienne Pascal was placed under arrest by Cardinal Richelieu. Evading arrest, he fled into exile. In 1639 Jacqueline personally intervened with Cardinal Richelieu to obtain the pardon of her father. Charmed by the adolescent who had just performed a play in his presence and had shown such courage in directly addressing the prime minister, Richelieu pardoned Étienne and appointed him the royal superintendant of tax collection in the province of Normandy.

The assignment to Rouen would prove a politically hazardous one. Jealous of its ancient independence from Paris and resentful of the crushing taxes imposed by the crown for the prosecution of Louis XIII’s wars, Normandy was the scene of recurrent riots and assaults on representatives of the crown. To help his father, overwhelmed by the confused tax records of the province, Blaise Pascal invented his celebrated calculating machine, which permitted the user to perform the basic computational exercises of addition, subtraction, multiplication, and division mechanically. Jacqueline the poet flourished during the Rouen years. Encouraged by the dramatist Pierre Corneille, a Rouen native and close family friend, Jacqueline Pascal won the Prix de la Tour, a prestigious Norman literary award for her poem “On the Conception of the Virgin.”

The Normandy years also witnessed a capital religious change in the Pascal family: their conversion to Jansenism. In 1646 Étienne Pascal broke his hip in an accident. Two lay medical doctors, the Deschamps brothers, restored him to health through careful treatment of the broken bones. As they supervised his recovery, they shared the austere version of the Catholic faith which they had learned from the Abbé Saint-Cyran, the chaplain of the Port-Royal convent in Paris. Saint-Cyran promoted the neo-Augustinian theory of grace, predestination, and the elect defended by his friend Jansenius, the deceased Louvain theologian and bishop of Ypres. To this theology of grace Saint-Cyran added his own distinctive moral rigorism and opposition to Jesuit casuistry. Étienne, Blaise, and Jacqueline Pascal were quickly converted to the Jansenist cause. During a home visit in Rouen, the newly married Gilberte Pascal Périer and her husband Florin Périer also joined the controversial movement.

The religious conversion marked an intellectual change in the family. Theology replaced the older focus on science and literature. Through the programmatic spiritual reading pursued by the family members, Jacqueline Pascal acquired a new Augustinian philosophical culture. She studied the works of Saint Augustine himself as well as the writings of later medieval Augustinian writers, notably Saint Bernard of Clairvaux. She read the central works of the burgeoning Jansenist movement: Jansenius’s Reform of the Interior Man, Antoine Arnauld’s Of Frequent Communion, and Saint-Cyran’s Familiar Catechism and Christian and Spiritual Letters. The works of François de Sales and Pierre de Bérulle were also carefully studied.

When they returned to Paris in 1647, Blaise and Jacqueline Pascal regularly attended services at the Port-Royal convent, the center of the Jansenist movement. Jacqueline nursed her sickly brother and served as his amanuensis as he pursued his groundbreaking research on the problem of the vacuum and contested the physics of Descartes. Under the spiritual direction of Port-Royal’s chaplain Antoine Singlin and abbess Angélique Arnauld, Jacqueline decided that she had a vocation to the convent but her father strongly opposed it. As a compromise, Jacqueline agreed to remain with her ailing father in his Paris and Clermont households until his death; in return, her father agreed to permit Jacqueline to live a quasi-monastic life of prayer and asceticism within his home. Following the death of Étienne Pascal on September 24, 1651, Jacqueline prepared to enter the convent, but her vocation was now opposed by her brother Blaise, who had grown dependent on his sister’s nursing and secretarial skills and whose religious fervor had waned. Defying her brother, Jacqueline entered the Port-Royal convent on January 4, 1652. On May 26, 1652, Jacqueline was clothed in the habit of a nun and assumed her new religious name: Soeur Jacqueline de Saint-Euphémie.

During her novitiate years, the lingering animosity between Soeur Jacqueline and Blaise Pascal burst into open conflict during the crisis of the dowry. Breaking with the custom of leaving the bulk of a family’s estate to the eldest son, Étienne Pascal’s will and testament had divided his substantial estate equally among his three children. As a novice and a legal major, Soeur Jacqueline could still dispose of her share of her inheritance as she saw fit, but once she pronounced her final vows as a nun, she was forbidden by canon and civil law from receiving or disposing of wealth. In the French civil law of the period, a professed cloistered nun was dead to the world and had lost civic personhood. When Soeur Jacqueline announced to her siblings that she had decided to give her share of the inheritance to the convent of Port-Royal, Blaise and Gilberte violently objected. They claimed that such a gift went far beyond the familial provision of a dowry that was customary for a nun during this period. The siblings objected that the use of Jacqueline’s portion of the inheritance for the convent would deprive Blaise and the Périer children of income necessary for their research and education. They pointed out that the estate of Étienne Pascal was still under the purview of the courts since questions concerning their father’s debtors and creditors were still unresolved. If Soeur Jacqueline went ahead with her proposed donation to Port-Royal, the siblings threatened legal action against her.

When a stunned Jacqueline Pascal sought the counsel of Mère Angélique, the convent abbess advised her to abandon her claims to the disputed inheritance and pronounce her vows as an undowered nun. One of the reforms introduced by Mère Angélique at Port-Royal had been the abandonment of the traditional dowry requirement and the insistence that admission to the convent should not depend on the economic resources of the candidate. As the subsequent stormy interviews with her brother Blaise in the convent parlor indicated, such wise and liberating counsel was not easily accepted by Soeur Jacqueline since it wounded her family and class pride. Shortly before her profession as a nun, Blaise agreed to provide a donation to the convent that was equivalent to a generous dowry for a cloistered nun at the time, although Jacqueline had renounced her legal rights to the inheritance and the convent had clearly indicated that there was no requirement for such a payment. Soeur Jacqueline de Sainte-Euphémie pronounced her vows on June 5, 1653. During her decade at Port-Royal, Soeur Jacqueline would be entrusted with major offices: headmistress of the convent school, novice mistress, and subprioress.

The convent entered by Jacqueline Pascal was the object of increasing persecution. Since the appointment of Saint-Cyran as its chaplain in 1638, Port-Royal had become the center of the Jansenist movement. With a rural branch (Port-Royal des Champs) and an urban branch (Port-Royal de Paris), the convent disseminated Jansenist ideas to a large lay public. It conducted a school for girls and provided a hostel for women desiring to make retreats. Its large Parisian church featured sermons and conferences directed at educated laity. The messieurs, a group of erudite laymen who occupied buildings adjacent to the convent at Port-Royal des Champs, conducted a school for boys and published influential textbooks, translations, and theological treatises.

Published posthumously in 1640, the Augustinus of Jansenius contained the creed of the movement. The book argued that the salvation of the elect was completely dependant upon God’s grace and that the Jesuits, among others, had dangerously exaggerated the contribution of free will and meritorious works to the act of salvation. At the urging of the French crown, the Vatican had censured the Augustinus in 1642. In 1653 Pope Innocent X condemned five propositions on free will and grace as heretical and linked these propositions to Jansenius and his disciples. In 1656 Pope Alexander VII declared that the church was condemning these propositions precisely in the sense in which Jansenius had defended them. The Sorbonne theological faculty and the French Assembly of the Clergy delivered similar condemnations throughout the 1650s.

The Jansenists had their own powerful defenses. The publication of Blaise Pascal’s Provincial Letters (1655-1656) reduced the opponents of Jansenism to ridicule. The miraculous healing of Soeur Jacqueline’s niece Marguerite Périer, a pupil at Port-Royal, in 1656 was grudgingly declared worthy of belief by the Archdiocese of Paris and trumpeted by the Jansenists as divine vindication of their cause. To defend the Jansenist party from threatened excommunication, Antoine Arnauld, the movement’s leading theologian, devised the ingenious distinction between droit and fait. According to this distinction, Catholics were required to submit to church judgments on matters of droit (the law concerning faith and morals) since right belief and right conduct were essential to salvation. But they could not be compelled to assent to church judgments on matters of fait (empirical facts, such as whether a particular book or author had made a heretical statement), since the church did not enjoy the charism of infallibility on such an empirical matter. A minority of French bishops defended such distinctions as legitimate and traditional in the church.

Despite these defenses, the persecution of Port-Royal and the attendant Jansenist movement intensified once Louis XIV assumed the personal governance of France in 1661. The throne drew up a formulary that affirmed the church’s earlier condemnation of the five heretical propositions, and of Jansenius for having held them. All clergy, members of religious orders, and teachers on French soil were to sign the formulary under oath. The nuns at Port-Royal were singled out for the mandated signature. The crisis of the signature divided the Jansenist community. The convent chaplain Antoine Singlin counseled an unreserved signature as an act of submission to church authority. Antoine Arnauld recommended that the nuns sign but make clear that they were assenting only to the document’s judgments of droit (the condemnation of heretical propositions concerning free will and grace) and that they were maintaining silence on the judgments of fait (that Jansenius had actually endorsed these heretical theories.) The majority of nuns, led by Soeur Jacqueline, were inclined to refuse even a reserved signature to the formulary since they could not in conscience even appear to assent to a condemnation of an author they believed innocent of the accusation of heresy.

As the community debated the question of the signature, the crown moved against the suspect convent. In the spring of 1661, royal emissaries banished the convent’s confessors and spiritual directors, closed the convent school, and expelled the convent’s postulants and novices. In the summer of 1661, the new royal superintendent of the convent, Abbé Louis Bail, conducted an interrogation of the nuns regarding their theological views and devotional practices. Soeur Jacqueline was interrogated in July, with particular emphasis on her views on predestination and free will. In June of 1661, Soeur Jacqueline wrote a letter stating her opposition to any signature of the controversial formulary, but, like the other Port-Royal nuns under duress, she ultimately signed the formulary. In concert with the other nuns, she added a written codicil to her signature that explained the strictly reserved nature of her assent.

On October 4, 1661, Soeur Jacqueline de Sainte-Euphémie died after a brief illness. The physical cause of her death remains unclear, but Jansenist authors quickly acclaimed her as the protomartyr of the persecuted movement. In their eulogies of Soeur Jacqueline, they claimed that the ecclesiastical and political coercion during the crisis of the signature had brought about the untimely death of a conscientious nun.

2. Works

By the time of her death, Jacqueline Pascal had written works in a wide range of genres: poetry, letters, autobiography, biography, spiritual treatise, educational treatise, and judicial memoir.

Her poetry was largely written in the years before her entry into Port-Royal: 1638-1643. It employs a variety of genres: sonnet, epigram, rondeau, idyll, lyric. The early romantic and political poetry of her youth gave way to a more theocentric and meditational poetry later in adolescence.

Written shortly before her entry into the convent, On the Mystery of the Death of Our Lord Jesus Christ (1651) is a spiritual treatise on the Passion of Christ. Using a one-to-one correspondence between an attribute of Christ in the Passion and the moral virtues necessary for the disciple of Christ, Pascal sketches the ideal moral character of the Christian rooted in abandonment of the self to the divine will.

An autobiographical narrative, Report of Soeur Jacqueline de Sainte-Éuphemie to the Mother Prioress of Port-Royal des Champs (1653) recounts the crisis of the dowry. It also constitutes an apology for the right of women to pursue a vocation regardless of economic resources or of parental opposition.

Based on her experience as headmistress of the convent school of Port-Royal, A Rule for Children (1657) is a treatise on education that explains the goals, methods, and principles Soeur Jacqueline used in the school. This pointedly monastic model of education privileges formation in the moral and theological virtues as the principal goal of education.

A memorial of her interrogation by church inquisitors during the crisis of the signature, Interrogation of Soeur Jacqueline de Sainte Euphémie (Pascal) (1661) presents Soeur Jacqueline artfully responding to questions concerning neuralgic issues in the Jansenist controversy: the relationship between grace and free will in the act of salvation, the role of divine predestination in salvation, the nature of the elect.

A biographical sketch, A Memoir of Mère Marie Angélique by Soeur Jacqueline de Sainte Euphémie Pascal (1661) is a moral portrait of the salient virtues of the famed abbess and reformer of Port-Royal. The moral rigorism of the convent is apparent in the sketch’s condemnation of the least trace of worldliness in the Christian.

The correspondence of Jacqueline Pascal, especially her letters to her brother Blaise, contains much material of philosophical interest. Her letters remain our best source of information concerning the religious transformation her brother underwent during the mysterious “night of fire” in November 1654. A letter of 1647 provides a satirical sketch of Descartes, whom she met during a stormy visit to her brother when the two philosophers were locked in a dispute over physics, specifically over the problem of the vacuum. Several letters justify the right of women to pursue a religious vocation against family opposition, in her case by her father and then by her brother. Her most famous letter, written in June 1661 during the crisis of the signature, defends the rights of conscience against political and ecclesiastical commands to submission.

For nearly two centuries after her death, the works of Jacqueline Pascal survived in piecemeal form. Copied by her sister Gilberte Pascal Périer shortly after her death, a manuscript copy of the works of Soeur Jacqueline was conserved in the Périer family archives in Clermont-Ferrand until it was deposited in the local Oratorian library in the early eighteenth-century. A scholarly Oratorian, Pierre Guerrier, then recopied the manuscript; the Guerrier transcription remains the most comprehensive of the surviving manuscript versions of Jacqueline Pascal’s works. Starting with a 1666 edition of the Constitutions of Port-Royal, Jansenist print editions began to publish various works of Jacqueline Pascal circulating among the Jansenists in exile.

In 1845 two scholars, Victor Cousin and Armand Prosper Faugère, produced separate comprehensive editions of the works of Jacqueline Pascal. Based on manuscript as well as print sources, the Faugère edition is the more accurate of the two. Both editions helped to create the late nineteenth-century interest in Jacqueline Pascal as a philosopher of education. Jean Mesnard’s magisterial critical edition of the works of the entire Pascal family (begun in 1964) provides an authoritative version of the works of Jacqueline Pascal, but only four volumes of the projected seven volumes of the project have been published as yet.

3. Philosophical Themes

As philosophical commentaries have long indicated, the most substantial philosophical contribution made by Jacqueline Pascal lies in her theory of education. The acquisition of moral and theological virtue by the pupil, through a monastic pedagogical structure and spiritual direction by the teacher, is the primary purpose of Pascalian education. Pascal’s writings also defend personal freedom. In particular, they defend the right of the person to pursue a vocation despite civic or parental pressure, and the right to refuse to assent to what appears to be false according to the judgment of one’s conscience. In her portrait of the divine attributes, Jacqueline Pascal develops an apophatic theology (a theology that attempts to describe God by negation) that emphasizes the incomprehensibility of God.

Questions of gender are never far from her philosophical reflections. The educational theory she sketches is focused on issues specific to the education for women and differs from the pedagogical theories and practices championed by her male Jansenist colleagues in their petites écoles for boys. The personal freedom she defends is specifically the freedom of women to choose a vocation and to maintain a theological judgment against the coercion of family, state, and church. The hidden God she depicts in her spiritual writings is a demythologized god that transcends the gendered images of God fabricated by the imagination.

a. Philosophy of Education

Written in 1657 at the request of her spiritual director Antoine Singlin, A Rule for Children [RC] reflects Jacqueline Pascal’s experience as headmistress of the Port-Royal convent school. From its foundation in the thirteenth century, Port-Royal had enjoyed the privilege of conducting a school on its premises. Revived by the reforming abbess Mère Angélique Arnauld in the early seventeenth-century, the convent school was a boarding school for girls from the ages of six to eighteen. Many of the pupils were drawn from the aristocratic and bourgeois families sympathetic to the Jansenist movement. In A Rule for Children, Soeur Jacqueline offers a detailed apology for the type of education she had sponsored at the Port-Royal school. Divided into two parts, the first section of the treatise presents the methods of Port-Royal education, while the second part examines the spirit of the school with particular attention to the virtues to be cultivated by the pupil during her tenure at the convent.

The structure of the school day is strictly monastic. In the course of a single day, the pupils recite the following hours of the monastic office: Prime (dawn), Terce (early morning), Sext (noon), Vespers (early evening), Compline (early night). In addition, they attend Mass daily and have times reserved for personal meditation, a daily examination of conscience, and numerous devotional prayers in Latin and French. Following monastic practice, meals are taken in silence as the pupils listen to biblical, patristic, and hagiographical texts recited aloud at table. Adhering to the monastic practice of the “grand silence,” the pupils abstain from speaking from the end of prayers concluding evening recreation until the first class, which begins at 8:00 A.M.

A monastic emphasis also flavors the curriculum at Port-Royal. The Rule devotes scarcely a paragraph to the secular subjects in the curriculum: reading, writing, and arithmetic. On the other hand, Soeur Jacqueline describes in detail the catechetical instruction provided by the school. Religious education follows a graded curriculum: the first year focuses on the creed, the sacraments, and the commandments; the second year on the Mass and prayer; the third year on the virtues; the fourth year on Christian duties and morality. The texts employed in classroom instruction and refectory public reading reinforce the monastic cast of the education. The works of the desert fathers, Saint Jerome, Saint Jean Climacus, and Saint Teresa of Avila are recommended by Soeur Jacqueline.

Not only does the Rule propose a monastic model of education for women; it proposes a distinctively Jansenist one. The basic catechetical text used in religious instruction is Saint-Cyran’s Familial Theology, a controversial work censured by the Archdiocese of Paris. The work defends several of Jansenius’s contested theses on the predestination of the elect, the irresistibility of grace, and the incapacity to know God’s nature independently of God’s self-revelation and the light of faith. Other works by Saint-Cyran are used by the school to explain the theological meaning of the Mass and the sacraments.

Soeur Jacqueline’s counsels on reception of the sacraments reflect the moral rigorism of the Jansenists. When pupils confess their sins, they should discuss their general spiritual state with the confessor and not limit themselves to enumerating their sins committed since their last confession. “We tell them [the pupils] that it is not enough to say five or six faults; they must explain their spiritual state and dispositions from their last confession. Just naming their faults separately from their general state gives practically no knowledge of them” [RC 2.5.10]. Similarly, reception of Holy Communion should be rare and undertaken with the greatest scruple. “One single communion should bring about some change in their heart, which should appear even in their external conduct” [RC 2.6.1]. This is a rigorist standard of moral conversion for a committed adult Catholic, let alone for a young adolescent.

At the center of Pascalian pedagogy stands the teacher. According to the Rule, the teaching nun serves as a theologian and a spiritual director for the pupil. The personalism of the educational philosophy of Port-Royal is rooted in the teacher’s intimate knowledge of and solicitude for each pupil in her care. Religious instruction is not to be based primarily on memorization. Each school day begins with the teacher’s personal commentary on spiritual topics. “After the reading of the gospel we [the teachers] explain it to them [the pupils] as simply as we can. On other days when there is no proper gospel we instruct them in the meaning of the catechism on the Christian virtues” [RC 1.12.8]. After the reading of the spiritual text in the evening, the teacher is to field questions posed by the pupils. “At the reading after Vespers, they [the pupils] are encouraged to pose questions on everything they do not understand….In responding to them we will teach them how to apply their reading to the correction of their moral conduct” [RC 2.9.6].

The role of the teacher as spiritual director is even more pronounced. To assist the pupil in acquiring virtue and deepening the life of grace, the teacher must know the spiritual state of each pupil confided to her supervision. The bi-weekly personal interview between the teacher and pupil is the cornerstone of this personalized pedagogy. “The custom we have of speaking to pupils in private is what contributes most to aiding the pupils to improve their behavior. It is in these interviews that we help them with their problems, that we enter into their spirit to help them undertake a war against their faults, and that we make them see their vices and passions right down to their roots” [RC 3.3.1]. This spiritual tutorial permits the teaching nun to acquire a detailed knowledge of the moral character and internal spiritual struggles of each pupil.

In Port-Royal’s pedagogy, this knowledge has sacramental ramifications. When the priest arrives to hear the confessions of the pupils, the teaching nun is to provide the priest with a general portrait of the class’s distinctive virtues and vices. For Jacqueline Pascal, the confessor cannot effectively give spiritual counsel if he only relies on what immature pupils tell him. Similarly, when the class practices the chapter of faults, a monastic practice in which pupils accuse themselves of small imperfections in front of the rest of the class, the teacher is to provide spiritual counsel on correcting the faults and to impose an appropriate punishment for the fault. Just as the Port-Royal nun’s instructional duties include a classroom role as preacher and theologian, her role in sacramental preparation assumes certain tasks of the confessor and spiritual director.

The purpose of this pedagogy is to permit the pupil to deepen the moral and theological virtues essential to the life of grace. The key moral virtue to be acquired by the pupil is humility. Transcending the limits of personal modesty, this humility is a theological recognition of one’s utter dependence on God’s initiative in one’s creation, redemption, and sanctification. It is reliance on God’s grace, habituated through the prayer of hope, that permits the pupil to overcome the pull of moral vice. “If we told them to leave their miseries and weaknesses by their own force, they would rightly be discouraged, but if we told them that God himself will remove their problems, they would only have to pray, hope and rejoice in God, from whom they should expect every kind of assistance” [RC 2.2.7]. It is the work of God’s sovereign grace, and not the ascetical struggle for self-perfection, that secures the pupil’s salvation and exercise of the moral virtues appropriate to a Christian.

b. Vocational Freedom

Jacqueline Pascal’s philosophy of freedom focuses on the practical exercise of personal freedom. During the crisis of the dowry, she composed several writings that defend the right of the individual to pursue the vocation given to the individual by God. In letters to her brother Blaise (1652-1653) and in her Report to Mother Prioress (1653), Soeur Jacqueline defends her own right to follow her calling as a nun against familial opposition, and more broadly the right of women to pursue a personal vocation against familial commands to submission.

Her letter of May 7, 1652 to her brother Blaise defends the right to pursue this vocation on two philosophical and theological grounds. First, one’s personal vocation is a gift of God; it is neither created nor annullable by human authority, even the authority of one’s father or elder brother. “Do not oppose this divine light. Do not hinder those who do good; do good yourself. If you do not have the strength to follow, at least do not hinder me. Do not be ungrateful to God for the grace he has given to someone you love” [Letter of 7 May 1652 to Blaise Pascal]. Fidelity to God’s grace of vocation trumps loyalty to family. The freedom to follow this divine will cannot be constrained by appeals to familial obedience.

A second argument appeals to reciprocity. Just as Jacqueline Pascal had delayed her vocation for years to nurse her ailing father, her brother must now sacrifice his desire for Jacqueline’s services as nurse and secretary to her desire to pursue her destiny as a nun. The sacrifice of personal desires must be shared equally among the squabbling siblings. “You should be consoled enough in the knowledge that out of considerations for your feelings I did not enter the convent more than six years ago and that except for you I would have already taken the veil….It is only my concern to respect those I love that has led me to delay my happiness until now. It is not reasonable that I prefer myself to others any longer. Justice demands that they do some violence to their own feelings in order to compensate me for the violence I did to myself during four years” [Letter of 7 May 1652 to Blaise Pascal]. In pursuing their vocational goals, women enjoy the same rights as do men. The letter firmly rebukes the effort of Blaise Pascal to block his sister’s vocational freedom by insisting that she remain in her gendered role of domestic caregiver.

In her Report to Mother Prioress [RMP], written in the immediate aftermath of the crisis of the dowry, Soeur Jacqueline chronicles the crisis and praises the wisdom of the conduct of the convent superiors, especially the abbess Mère Angélique Arnauld and the novice mistress Mère Agnès Arnauld, in its resolution. The Report celebrates Port-Royal’s policy of respecting vocational freedom by accepting candidates who have no economic resources, thus abolishing the longstanding requirement of a dowry for a cloistered nun, and by refusing candidates who are being placed in the convent under duress, usually by their male guardians, or who lack a genuine vocational motive. The wise superiors link the freedom to pursue a vocation in the midst of familial opposition to other freedoms: the psychological freedom to embrace goods higher than family loyalty, and the spiritual freedom to serve God in material poverty.

Mère Angélique counsels Soeur Jacqueline that the opposition of her siblings to her vocation should free her to see that the idealized family she had created in her religious fervor was an illusion. Despite its painfulness, this confrontation with the family should liberate her from a creaturely attachment that had stifled complete attachment to the Creator. “Haven’t you known for a long time that we must never count on the affection of creatures and that the world loves only its own? Aren’t you happy that God is making you recognize it in the person of those you least expected it from [Blaise Pascal and Gilberte Pascal Périer] to remove any doubt on this issue before you leave them completely?” [RMP]. Mère Agnès argues that the prospect of an undowered entry into the convent can foster a greater spiritual freedom since material poverty increases one’s dependence on divine providence. “No temporal benefit can be compared with this, because there is nothing more profitable to religious life than true poverty” [RMP]. The familial opposition and material deprivations often provoked by a woman’s determined pursuit of her vocation can foster a deeper psychological independence and spiritual freedom in the persevering subject.

c. Freedom of Conscience

Written during the crisis of the signature, Jacqueline Pascal’s letter of June 23, 1661 expresses her opposition to the mandated signature of the formulary assenting to the papacy’s condemnations of the five heretical propositions concerning grace and of Jansenius for having defended the censured propositions. Addressed to Soeur Angélique de Saint-Jean Arnauld d’Andilly, a fellow leader of the non-signeuse faction in the convent, the letter is actually written to be presented to Antoine Arnauld, the uncle of Soeur Angélique de Saint-Jean and the convent’s theological advisor. The architect of the droit/fait distinction, Arnauld had counseled the nuns to sign the formulary without reservation since the archdiocesan vicars of Paris had prefaced the controversial formulary with a pastoral letter that explicitly recognized the legitimacy of this distinction in interpreting the signature. In her letter, Soeur Jacqueline contests Arnauld’s position as a dangerous species of casuistry. In defending the right to refuse to sign the formulary, she defends the broader right of conscience to refuse to assent to what one believes to be a falsehood, despite the appeals to obedience by religious and civil authorities.

In defending her resistance to the signature, Soeur Jacqueline insists on the gravity of the injustice represented by the ecclesiastical condemnations endorsed by the formulary. In indicating assent to these condemnations, one is willingly assenting to a libel of an innocent man and denying the truth concerning a central principle of the Christian faith, the redeeming grace of Christ. “I think you [Antoine Arnauld] know only too well why it is not just a question in this matter of a holy bishop [Jansenius], but that his condemnation formally contains a condemnation of the grace of Jesus Christ. Now, if our world is so miserable that no one can be found to be willing to die to defend the honor of a just person, it is appalling to discover that no one is willing to do so for justice itself” [Letter of 23 June 1661]. In this perspective, Jansenius in his Augustinus had correctly interpreted Saint Augustine’s theory of grace. Repeatedly lauded by church councils and popes as the “Doctor of grace,” whose teaching was normative on the subject, Saint Augustine had correctly interpreted the doctrine of Saint Paul on grace. This was itself a divinely inspired presentation of the grace of Christ himself, the heart of the Christian gospel. To appear to assent to this condemnation of Jansenius not only does a grave injustice to an innocent theologian, it imperils the salvation of the signer, because one would appear to be renouncing the very grace of Christ.

Given the moral stakes involved in signing the formulary, Soeur Jacqueline rejects Arnauld’s droit/fait distinction as a devious obfuscation of the issue. The Jansenists might claim that the signature only indicates assent to matters of droit (the church’s condemnation of the five heretical propositions), but the general public will interpret the signature as an assent to matters of fait (the condemnation of Jansenius) as well. “Although it is true we submit to these judgments [of the papacy] on what concerns faith, most people are confused about these issues because of ignorance [of these distinctions]. Those with personal interests in the dispute so strongly want to mix fact and law together that they turn these two into the same thing. So what is the effect of your [approach to the] formulary except to make the ignorant believe and give the malicious a pretext to assert that we agree with everything in it and that we condemn the doctrine of Jansenius, which the last [papal] bull clearly condemned?” [Letter of 23 June 1661]. Soeur Jacqueline dismisses Arnauld’s subtle distinctions as a dissemblance worthy of the Jesuit casuistry condemned by her brother in his Provincial Letters.

In place of the legalistic distinctions defended by Arnauld, Soeur Jacqueline counsels frank resistance to the pressures to sign the formulary. The resistants should simply assert that their conscience will not permit them to assent in any way to a judgment they believe to be untrue. “What prevents us and what prevents all the clergy who know the truth from saying when we are given the formulary for signature: I know the reverence I owe the bishops but my conscience does not permit me to attest by my signature that something is in a book I have never seen—and after that, just wait for what will happen? What are we afraid of? Banishment and dispersion for the nuns, confiscation of temporal goods, prison and death, if you will? But isn’t this our glory and shouldn’t it be our joy?” [Letter of 23 June 1661]. Martyrdom rather than legalistic compromise is the path for fidelity to the grace of Christ and the Augustinian/Jansenist teaching that defends it. Strikingly, Soeur Jacqueline repeatedly appeals to the rights of conscience as the ground for refusing to engage in a morally dangerous dissimulation.

In other passages, Soeur Jacqueline condemns the manipulation of conscience exercised by ecclesiastical and civic authorities in the campaign of the formulary. In demanding public assent to their condemnation of Jansenius, church authorities have overstepped the bounds of the obedience the church can rightly expect of its members. “What they can rightly want from us through the signature they propose for us is a witness to the sincerity of our faith and to our perfect submission to the church, to the pope, who is its head, and to the archbishop of Paris, who is our superior; however, we do not believe that they have the right to demand on this issue a justification of their faith by persons who have never given any reason to doubt it.” [Letter of 23 June 1661] The condemnation of the political motives behind the campaign of coercion is particularly pointed. “Do not doubt that this procedure of signature and of declaration of one’s faith is a usurpation of power with very dangerous consequences. This is chiefly being done by the authority of the king. Subjects should not resist, I believe; however, there are at least some tokens of submission one should not offer because one cannot consider them anything other than a violence to which one surrenders to avoid scandal” [Letter of 23 June 1661]. Neither loyalty to the Vatican nor fealty to the crown can justify abandonment of one’s conscientious judgment concerning the truth.

Soeur Jacqueline’s defense of the right of conscience is a gendered one. She explicitly defends the right of women to engage in religious controversies which many considered the exclusive prerogative of ordained clerics. In her perspective, women have the duty as well as the right to disobey civil and ecclesiastical authorities when they engage in grave injustices. “I know very well that it is not up to girls to defend the truth, although one might say on the basis of the recent sad events that since the bishops currently have the courage of girls, the girls must have the courage of bishops. Nonetheless, if it is not up to us to defend the truth, it is up to us to die for the truth and prefer anything rather than abandoning it” [Letter of 23 June 1661]. Against the prejudice that women may not engage in theological disputes due to ignorance or to their subordinate status, Jacqueline Pascal insists on the duty of women to defend the religious truth which they hold in conscience.

d. Apophatic Theology

Throughout her writings of maturity, Jacqueline Pascal practices an apophatic theology, that is, a theology that speaks of God only in terms of what may not be said about God. Her theology stresses the alterity of God, His otherness. Like her brother Blaise, she often focuses on the Deus absconditus, the hidden God whose nature is obscured from sinful human view. Written in 1651when she was a laywoman under Port-Royal’s spiritual direction, On the Mystery of the Death of Our Lord Jesus Christ (MD) expresses this apophatic approach to the divine essence and attributes.

In this meditation on the crucifixion of Christ, Jacqueline Pascal stresses how the divinity remains hidden in Christ. The physical details of the crucifixion veil the divinity from human view. The corporal sufferings, the moment of death, the clothing used, and the burial ritual strictly follow the laws of nature and the social customs of the period. Only the vision of faith can perceive the divinity. The criminal nature of the manner of Christ’s death constitutes an especially powerful veil over his divinity. “The death of Jesus made him contemptible for the evil. For them it was a veil that hid his divinity from their eyes and gave them terrible matter for blasphemy” [MD no.18].

Jacqueline Pascal’s treatise underscores the psychological passivity of Christ during the passion. Christ is depicted as insensible toward the evils that surround him. “Jesus died in an insensibility toward all evils, even toward his body covered with wounds” [MD no.20]. The meditation encourages the disciple to cultivate this insensibility by withdrawing from unnecessary commerce with the world and by seeking the grace to accept reversals of fortune with equanimity.

This portrait of the insensibility of Christ on the cross, manifesting the insensibility of the divine essence, reflects the neo-Stoic strain in the theology and ethics of the Jansenist movement. Freed from the flux of passions, the disciplined will of the righteous must be abandoned to the will of God. But in the Jansenist perspective, the divine will remains veiled. The God who saves the elect through an inscrutable decree of providence transcends the limits of human reason as well as human imagination. The obscure divine essence is best approached through a path of negation, focusing on what God is not.

4. Reception and Interpretation

With the publication of separate editions of the works of Jacqueline Pascal by Victor Cousin and Armand Prosper Faugère in 1845, Jacqueline Pascal was acclaimed for her pioneering treatise on the education of women. In the late nineteenth century, Cadet, Carré, and Ricard analyzed her contribution to the philosophy of education. Their commentaries, however, assimilated her work to that of the Jansenist messieurs who conducted the petites écoles for boys. The distinctive pedagogy of the convent school and the theological empowerment of women represented by Jacqueline Pascal’s model of education received scant attention. The recent research of Delforge has provided a clearer view of the specificity of the pedagogy defended by Jacqueline Pascal and the theological telos of her educational approach.

Jansenist hagiographical literature has long celebrated Jacqueline Pascal as a martyr to conscience against ecclesiastical and civil persecutors during the crisis of the signature. Her letter of June 23, 1661, defending the rights of conscience during this controversy, is a staple of Jansenist anthologies and of the French literature of resistance. The relationship of Soeur Jacqueline’s defense of conscience to questions of religious truth, however, has not always been perceived in portraits of her as a pre-Enlightenment crusader for the rights of the persecuted individual.

Recent scholarly works on Jacqueline Pascal by Conley, Delforge, and Lauenberger indicate a growing international interest in Soeur Jacqueline’s own philosophical theories and a disinclination to interpret her only as an auxiliary to her brother Blaise. The neo-feminist expansion and reinterpretation of the philosophical canon of the early modern period has placed the philosophy of Jacqueline Pascal in a gendered light. Her theories of education and of freedom constitute part of a broader defense of the right of women to develop a theological culture, to pursue a personal vocation, to act as spiritual directors, and to maintain theological convictions against the paternalistic pressures of church and state.

5. References and Further Reading

a. Primary Sources

  • Pascal, Jacqueline, et al. Lettres, Opuscules et Mémoires de Madame Périer et de Jacqueline, Soeurs de Pascal, et de Marguerite Périer, sa Nièce, Publiés sur les Manuscrits Originaux par M.P. Faugère, ed. Armand Prosper Faugère. Paris: Auguste Vaton, 1845.
    • A digital version of this critical edition of the works of Jacqueline Pascal is available online at Gallica: Bibliothèque numérique on the webpage of the Bibliothèque nationale de France.
  • Pascal, Jacqueline. Oeuvres Complètes avec tous les Documents Biographiques et Critiques, les Oeuvres d’Étienne, de Gilberte et de Jacqueline Pascal et celles de Marguerite Périer, la Correspondence des Pascal et des Périer. 4 vols., ed. Jean Mesnard. Paris: Desclée de Brouwer, 1964-1991.
    • The standard contemporary critical edition of the works of Jacqueline Pascal, especially useful for the historical context it provides for Pascal’s writings.
  • Pascal, Jacqueline. A Rule for Children and Other Writings. Trans. and ed. John J. Conley. Chicago: University of Chicago Press, 2003.
    • A contemporary English translation of Jacqueline Pascal’s works with philosophical commentary.

b. Secondary Sources

  • Cadet, Félix. L’éducation à Port-Royal: Saint-Cyran, Arnauld, Lancelot, Nicole, De Saci, Guyot, Coustel, Fontaine, Jacqueline Pascal. Paris: Hachette, 1887.
    • An appreciation of Jacqueline Pascal’s educational theories from a secular perspective.
  • Carré, Irénée. Les Pédagogues de Port-Royal: Saint-Cyran, De Saci, Lancelot, Guyot, Coustel, Le Maître, Nicole, Arnauld, etc., Jacqueline Pascal. Paris: C. Delgrave, 1887.
    • An analysis of Jacqueline Pascal’s educational theories within the context of Port-Royal’s pedagogical practices.
  • Cousin, Victor. Jacqueline Pascal: Premières études sur les femmes illustres et la société du XVIIe siècle. 8th edition. Paris: Didier, 1877.
    • Dated but lively biography of Jacqueline Pascal. The edition of the works of Pascal contained in the book contains many lacunae.
  • Delforge, Frédéric. Jacqueline Pascal (1625-1661). Paris: Éditions Nolin, 2002.
    • A well-documented biography of Jacqueline Pascal, especially useful in its attention to her theology and educational philosophy.
  • Lauenberger, Robert. Jacqueline Pascal: die Schwester des Philosophen. Zürich: Theologischer Verlag, 2002.
    • A scholarly study of the mutual theological influences between Jacqueline and Blaise Pascal.
  • Mauriac, François. Blaise Pascal et sa Soeur Jacqueline. Paris: Hachette, 1931.
    • A penetrating study of the relationship between Jacqueline and Blaise Pascal written from the perspective of a Catholic novelist sympathetic to Jansenism.
  • Périer, Gilberte Pascal. La vie de Monsieur Pascal, suivi de La vie de Jacqueline Pascal. Paris: Éditions de la Table Ronde, 1994.
    • Gilberte Pascal Périer’s biographical sketch of her sister is the first of the biographies of Jacqueline Pascal.
  • Pouzet, Régine. Chronique des Pascal; “Les Affaires du Monde” d’Étienne Pascal à Marguerite Périer (1588-1733). Paris: Honoré Champion, 2001.
    • A well-documented history of the Pascal family with detailed analysis of the conflicts among the three Pascal siblings.
  • Ricard, Antoine. Les Premiers Jansénistes et Port-Royal. Paris: Plon, 1883.
    • A sympathetic analysis of Jacqueline Pascal’s educational philosophy from a Catholic perspective.
  • Société des Amis de Port-Royal. Deux Grandes Figures d’Auvergne: Gilberte et Jacqueline Pascal. Chroniques de Port-Royal, no. 31, 1982.
    • The entire volume is devoted to the sisters Pascal. The articles by Delforge, Cahné, Goyet, and Magnard analyze the literary career, educational work, and spirituality of Jacqueline Pascal.

Author Information

John J. Conley
Email: jconley1@loyola.edu
Loyola College in Maryland
U. S. A.

Reductionism

Reductionists are those who take one theory or phenomenon to be reducible to some other theory or phenomenon. For example, a reductionist regarding mathematics might take any given mathematical theory to be reducible to logic or set theory. Or, a reductionist about biological entities like cells might take such entities to be reducible to collections of physico-chemical entities like atoms and molecules. The type of reductionism that is currently of most interest in metaphysics and philosophy of mind involves the claim that all sciences are reducible to physics. This is usually taken to entail that all phenomena (including mental phenomena like consciousness) are identical to physical phenomena. The bulk of this article will discuss this latter understanding of reductionism.

In the twentieth century, most philosophers considered the question of the reduction of theories to be prior to the question of the reduction of entities or phenomena. Reduction was primarily understood to be a way to unify the sciences. The first section below will discuss the three traditional ways in which philosophers have understood what it means for one theory to be reducible to another. The discussion will begin historically with the motivations for and understanding of reduction to be found in the logical positivists, particularly Rudolf Carnap and Otto Neurath, and continue through more recent models of inter-theoretic reduction. The second section will examine versions of reductionism, as well as the most general and currently influential argument against reductionism, the argument from multiple realization. Although many philosophers view this argument as compelling, there are several responses available to the reductionist that will be considered. The final section will discuss two ways of reducing phenomena rather than theories. With the decline of logical positivism and the rise of scientific realism, philosophers’ interest in reduction has shifted from the unity of theories to the unity of entities. Although sometimes reduction of one class of entities to another is understood as involving the identification of the reduced entities with the reducing entities, there are times when one is justified in understanding reduction instead as the elimination of the reduced entities in favor of the reducing entities. Indeed, it is a central question in the philosophy of mind whether the correct way to view psychophysical reductions is as an identification of mental entities with physical entities, or as an elimination of mental phenomena altogether.

Table of Contents

  1. Three Models of Theoretical Reduction
    1. Reduction as Translation
    2. Reduction as Derivation
    3. Reduction as Explanation
  2. Reductionism: For and Against
    1. Versions of Reductionism
    2. The Argument from Multiple Realization
    3. Replies
  3. Reduction of Entities: Identification vs. Elimination
  4. References and Further Reading

1. Three Models of Theoretical Reduction

In what follows, the theory to be reduced will always be referred to as the target theory (T). The theory to which one is attempting to reduce the target theory will be known as the base theory (B).

There are three main ways in which reduction has been understood since the 1920s. These may generally be stated as follows:

  1. Theory T reduces to theory B when all of the truths of T (including the laws) have been translated into the language of B.
  2. Theory T reduces to theory B when all of the laws of T have been derived from those of B.
  3. Theory T reduces to theory B when all of the observations explained by T are also explained by B.

The general goal of a theoretical reduction is to promote the unity of science. All of these models provide some sense in which science may become more unified. For sciences may become unified by being expressed in the same language. This allows one to see that there is only one language that is required to express all truths in the theories. Sciences may also become unified when the laws of one theory are shown to be derivable from those of another theory. This allows one to see that there is only one basic set of principles that is required to account for the other truths in the theories. Finally, sciences may become unified when the observations explained by one theory are shown to be also explainable by another theory. This allows one to see that only one of the theories is really necessary to explain the class of phenomena earlier thought to need the resources of two theories to explain.

The first section will examine three conceptually distinct models of reduction: the translation model, the derivation model, and the explanation model. These models need not compete with one another. As will be seen in the following sections, depending on how one understands translation, derivation, and explanation, these models may complement each other. Historically, the translation model is associated with the early logical positivists Carnap and Neurath, the derivation model with the later logical empiricists Carl Hempel and Ernest Nagel, and the explanation model with John Kemeny and Paul Oppenheim.

a. Reduction as Translation

Carnap describes the translation model of reduction in the following way:

An object (or concept) is said to be reducible to one or more objects if all statements about it can be transformed into statements about these other objects. (1928/1967, 6)

In order to see why one should be interested in achieving reductions in this sense, one must first clarify what it was that the positivists, in particular, Carnap and Neurath, wanted out of reductionism.

In The Logical Structure of the World, Carnap tries to reduce all language to phenomenalist language, i.e. that of immediate experience (1928/1967). Shortly after this, influenced largely by his discussions with Neurath, Carnap changed his position regarding the sort of language into which all meaningful sentences should be translated. In his short monograph, The Unity of Science, he generally speaks of reducing all statements to a physical language, but his official position is that it does not matter which language all statements are translated into as long as they are all translated into one common, universal language (1963, 51). Carnap thought that physical language, understood as the language of objects in space and time (rather than the language of physics per se), was one salient contender for this universal language. (1934, 52).

So, Carnap’s main reductionist thesis is that:

… science is a unity, that all empirical statements can be expressed in a single language, all states of affairs are of one kind and are known by the same method. (1934, 32)

One may now ask two questions. First, why should one want to translate all statements into one common language? And second, what relationship does this translation have with the program of unifying the sciences?

For Carnap and Neurath, one common interest in unification stemmed from a frustration with the methods of philosophy and the social sciences. They argued that these disciplines too often rely on subjective methods of verification such as intuition and in the social sciences, empathy and verstehen. The positivists found these methods problematic and in need of replacement with the methods used in the physical sciences. Methods that relied on data and statements referring to the subjective states of individual observers could not be verified intersubjectively and thus could not be used to make intersubjectively testable predictions. For example, since the methodological use of empathy was rampant in actual practice, the statements (and methods) used by social scientists needed to be reinterpreted within an intersubjectively understandable framework. In his “Sociology and Physicalism,” Neurath argues that this is possible:

If someone says that he requires this experience of “organic perceptions” in order to have empathy with another person, his statement is unobjectionable … That is to say, one may speak of “empathy” in the physicalistic language if one means no more by it than that one draws inferences about physical events in other persons on the basis of formulations concerning organic changes in one’s own body … When we analyze the concepts of “understanding” and “empathy” more closely, everything in them that is usable in a physicalistic way proves to be a statement about order, exactly as in all sciences. (1931/2/1959, 298)

The idea, which Carnap also defended, was that all sciences, insofar as their statements were meaningful, could be translated into a common language. Once this translation was carried out, scientists in all disciplines could make predictions that were verifiable intersubjectively. So, following this strand of reasoning, the task of unifying (i.e. reducing) the sciences was important so that all sciences could be assimilated to a language in which it was possible to make intersubjectively understandable explanations and predictions – one of the central goals of developing scientific theories in the first place.

So far, nothing has been said that would provide motivation for reduction of all statements to the language of one science. One might grant that it is important that all theories be formulated in a language amenable to intersubjective understanding, however, why must all of the sciences be formulated in the same language? Why could the physical sciences not be formulated in one intersubjectively understandable language and psychology in another and biology in yet another? Why is reduction in the sense of translation of all statements to the one common language something anyone should care about? For these early reductionists, the main motivation was practical.

The Vienna Circle, a group of philosophers and scientists of which Carnap and Neurath formed part of the core, met and formulated their ideas at a time when Europe had just survived one war and was about to embark on another. At this time, particularly with anti-Semitism and fascism intensifying, scientists were being forced to disperse. Previously, Vienna had been a fertile center of scientific research, but political developments were making it necessary for many of the prominent scientists to scatter to other areas in Europe, the Soviet Union, and the United States. With this geographical separation, the concern was that this would prompt a rift in scientific dialogue, and that scientists both within and across disciplines would have a hard time sharing their ideas. As Jordi Cat and Nancy Cartwright have recently argued, for Neurath, this interdisciplinary sharing of ideas was crucial for several reasons (Cartwright et. al. 1995; Cartwright et. al. 1996). This discussion will focus on three.

First, it is common to look at scientists as engaged in the task of developing a complete account of the world. What is needed is a theory (or group of theories) that will be able to account for all phenomena. In other words, for each event that has occurred, this account should be able to give a complete explanation of it. And for each event that is to occur, the theory should be able to predict that it will occur. What Neurath noted was that as science developed it became more and more fragmented and as a result of ever-increasing specialization, it was impossible for any one practitioner to be versed in what was going on in all of the separate subdisciplines. This allowed for the possibility that large gaps between theories might develop, leaving events that no research program was engaged in trying to explain, thus preventing the sciences from giving a complete picture. Relatedly, Neurath was also concerned that the inability of any one researcher to see the big picture of the sciences would make room for contradictions to appear between the explanations different disciplines gave of one set of phenomena (1983, 140). If the sciences were unified in such a way that allowed scientists to see the big picture (outside of their own subdisciplines), this would begin to remedy the issues of both (a) gaps and (b) contradictions between different theories.

Another one of Neurath’s motivations for unifying the sciences was to eliminate redundancy between disciplines. He argues:

… the special sciences themselves exhibit in various ways the need for such a unification. For example, the different psychological theories employ so many different terms and phrases that it becomes difficult to know whether they are dealing with the same subject or not… One of the most important aims of the Unity of Science movement is therefore concerned with the unification of scientific language. Distinct terms occur in different disciplines which nevertheless may have the same function and much fruitless controversy may arise in trying to find a distinction between them… A large collection of terms have been gathered by the various sciences during the centuries, and it is necessary to examine this collection from time to time, for terms should not be multiplied beyond necessity. (1983, 172-3)

Two related ideas are motivating Neurath’s desire to eradicate redundancy between theories. The first is clearly expressed in the last line above. Neurath would like to minimize the number of terms used in the theory, to encourage theoretical simplicity. One should not introduce more language into our theories than is necessary, and so it is important to decide whether one can do without some of the terms used by a particular theory. This will make science as a whole simpler (and as a result, more digestible). One obvious way of eradicating such linguistic redundancy would be by translating all theories into a common language and this is precisely what Neurath proposes.

A second point that Neurath raises is a desire to see the different sciences as all describing a common subject matter. To use one of his examples, one might ask if the terms ‘stimulus’ and ‘response’ in biology are just different words for the same phenomena discussed in the physical sciences using the terms ‘cause’ and ‘effect’. Here, Neurath seems to be relying on an implicit metaphysical conviction that all of the sciences describe one world and not disparate spheres of reality. However, there may be reason to think that while Neurath professed an aversion toward asking metaphysical questions (and using metaphysical terminology like ‘world’ and ‘reality’), there does seem to be an implicit unified metaphysics underlying his desire to see scientific language unified.

It is important to note one last aspect of Neurath’s interest in reduction of theories to a common language. This motivation is related to Neurath’s, and later Carnap’s, adoption of a coherentist picture of truth and justification. According to Neurath, statements are not justified in terms of their matching some external reality. This would require presupposing some kind of metaphysical picture of reality, which is something that Neurath would have rejected. Instead, statements are only justified insofar as they are confirmed by, or cohere with, other statements. To explain his view, Neurath appealed to his now famous metaphor of sailors having to rebuild their ship while at sea:

Our actual situation is as if we were on board a ship on an open sea and were required to change various parts of the ship during the voyage. We cannot find an absolute immutable basis for science; and our various discussions can only determine whether scientific statements are accepted by a more or less determinate number of scientists and other men. New ideas may be compared with those historically accepted by the sciences, but not with an unalterable standard of truth. (1983, 181)

Again, there is no world that one can compare statements to in order to confirm them and see that they are justified. The only basis for justification is other “historically accepted” statements. Once one understand this, it is easy to see why the translational unification of the sciences would be important. Communication of scientists across disciplines provides further confirmation of their theories. The better a theory coheres with other theories and the more theories with which it coheres, the more justified it will be. Thus, one should look for a common language so that such communication and connections can be established across disciplines.

It was previously stated that Carnap and Neurath wanted all theories to be translated into a language free of subjective terms, one that could be used to make testable predictions. In addition, it was also important that this common language could allow for communication across all disciplines. This would encourage (i) the filling in of gaps and elimination of contradictions between theories, (ii) the elimination of redundancy and enhancement of simplicity, and (iii) the possibility of a stronger justification for theories. Neurath spent the last years of his life beginning what was to be the unfinished project of the International Encyclopedia of Unified Science. This was to be a series of volumes in a common, physicalist language that could be used to encourage interaction between scientists. The first set of volumes would discuss issues in the general methodology of science, while the later volumes would include up-to-date discussions of research in all different areas of the sciences. Reading these would give researchers a better picture of science as a whole and promote the three virtues (i-iii) just mentioned.

It is important to emphasize Neurath and Carnap’s motivations for their reductionist project. This will allow us to consider the benefits of reductionism and what this perspective does not entail. Examining these previous motivations, one can see that there is very little that is required of a common language of unified science. Carnap says that, “[i]n order to be a language for the whole of Science, the physical language needs to be not only intersubjective but also universal” (1934, 67). So it must be the case that for a language to be the common language, it must not include any subjective terms, such as those referring to the intrinsic qualities of one’s own experiences. It must also be possible to translate all other statements from scientific theories into the common language. In addition, the universal language should also be nonredundant.

These minimal requirements on a universal language of science do not require that the language into which all theories are capable of being translated be the language of physics. Unlike the physicalist reductionism that is the orthodoxy of today, the thesis of reductionism advocated by Carnap and Neurath did not require that all sciences reduce to physics.

It is worth emphasizing this feature of the positivist’s conception of reductionism because it allows one an opportunity to recognize the independence of the original movement of reductionism from a need to see physics as the science to which all others reduce. Sometimes reductionism is dismissed as a theory of the world that is overly conservative, not making room for a plurality of sciences and resultant methodologies. However, this is simply not the case. What the positivists were interested in was seeing scientists of different disciplines cooperate in a way that would expedite and expand research, and better confirm theories. An attempt to translate all sciences into a common language would help achieve the goal of the unification of science. Translation of all theories into the language of physics would be preferable to a translation of all theories to phenomenalistic language since the latter fails to generally be intersubjectively understandable. However, any intersubjective language that was sufficiently universal in scope would serve their purposes.

b. Reduction as Derivation

After Carnap and Neurath, reduction as translation of terms to a common language was still discussed, but reduction also came to be understood in the two other ways mentioned above – as the explanation of all observations in terms of one base theory, and as the derivation of all theories from one base theory. For example, Carl Hempel saw the reduction of a theory as involving two tasks. First, one reduces all of the terms of that theory, which involves translation into a base language. As Hempel notes, “the definitions in question could hardly be expected to be analytic… but … may be understood in a less stringent sense, which does not require that the definiens have the same meaning, or intension, as the definiendum, but only that it have the same extension or application” (1966, 103). Then, one reduces the laws of the theory into those of a base theory by derivation (1966, 104).

The best known model of reduction as derivation is found in Ernest Nagel’s The Structure of Science. According to Nagel, a reduction is effected when the laws of the target science are shown to be logical consequences of the theoretical assumptions of a base science (1961, 345-358). Once this is accomplished, one can see that there is only one basic set of principles that is required to account for truths in both theories. For Nagel, one goal of reduction is the move science closer to the ideal of “a comprehensive theory which will integrate all domains of natural science in terms of a common set of principles” (1961, 336).

Unlike Hempel, Nagel did not think that all reductions would first require a translation of terms. He distinguished between homogeneous reductions and heterogeneous reductions, and only in the latter case does the target science include terms that are not already included in the base science (1961, 342). However, he does concede that in the cases of interest to him, the target science will contain terms that do not occur in the theory of the base discipline, so the reduction will be heterogeneous. This does not necessarily mean that one must translate terms from the target science into the language of the base science. For example, one interested in reducing psychology to physics will notice that psychological theories contain terms like ‘belief’, ‘desire’, and ‘pain’, which do not occur in the base, physical theory. In these cases, assumptions must be added to the laws of the base science (physics) stating relations between these (psychological) terms and the terms already present in the base science. These assumptions, often called ‘bridge laws’, will then allow one to derive the laws and theorems of the target science from the theory of the base discipline. They need not be thought of as providing translations, as will be explained shortly (Nagel 1961, 351-354).

Abstractly, one may consider the derivations that constitute Nagelian reductions as taking the following form. Where ‘B1’ and ‘B2’ are terms in the language of the base science and ‘T1’ and ‘T2’ are terms in the language of the science that is the target of the reduction,

The occurrence of a B1 causes the occurrence of a B2 (a law in the base science).

If something is a B1, then it is a T1. (bridge law)

If something is a B2, then it is a T2. (bridge law)

Therefore,

The occurrence of a T1 causes the occurrence of a T2 (a law in the target science) (Hempel 1966, 105).

The conclusion here is the law in the target science that one wanted to reduce to the laws of the base science. Some caveats are in order regarding this way of representing Nagelian reductions. First, there is nothing in the account requiring the laws to involve causal language. Causal terminology is used in the above example merely for ease of exposition. Moreover, the precise nature of the bridge laws required for a reduction is controversial. Philosophers have differed in what they regard as necessary for something to be the kind of bridge law to facilitate a legitimate reduction.

As a matter of logic, all that is required for a successful derivation are bridge laws that take the form of conditionals. However, the derivation would also be successful if the connectives in the bridge laws were not conditionals but biconditionals or identity statements. In his discussion of reduction, Nagel mentions that these bridge laws could have any one of the following statuses. They could be (1) logical or analytic connections between terms, (2) conventional assumptions created by fiat, or (3) empirical hypotheses (1961, 354). Only when the first case obtains is it usually plausible to say that the reduction is partially constituted by an act of translation. Nagel does not question whether conditional bridge laws are enough to effect legitimate reductions. In the post-positivistic, realist aftermath of Nagel’s book, most philosophers have held that in order for such derivations to help one achieve a more unified science (genuine reductions), the bridge laws may not merely have any of these statuses, but ought to have the strength of identities, e.g. Sklar (1967). So, to constitute a genuine reduction, a derivation ought to look something like the following:

The occurrence of a B1 causes the occurrence of a B2 (a law in the base science).

Something’s being a B1 = its being a T1. (bridge law)

Something’s being a B2 = its being a T2. (bridge law)

Therefore, The occurrence of a T1 causes the occurrence of a T2 (a law in the target science).

To illustrate the idea, consider a putative reduction of the theory of thermal conductivity to a theory of electrical conductivity. The Wiedemann-Franz Law is a simple physical law stating that the ratio of the thermal conductivity of a metal to the electrical conductivity of a metal is proportional to the temperature. Given this law, which one might try to take as a bridge law, it is possible to systematically derive facts about a metal’s electrical conductivity from facts about its thermal conductivity. It is inferred from the law that a metal has a certain electrical conductivity and it is a certain temperature if and only if it has such and such a thermal conductivity. If reductions could be carried out simply using conditionals or even biconditionals as bridge laws, then one would have thereby reduced the theory of electrical conductivity to the theory of thermal conductivity (and vice versa). However, some have argued that this would be the wrong result. This case serves as a counterexample to the view that derivations involving bridge laws with the status of biconditionals (or conditionals for that matter) constitute legitimate reductions. As Lawrence Sklar has put it:

Does this law establish the reduction of the theory of heat conduction to the theory of the conduction of electricity? No one has ever maintained that it does. What does explain both the electrical and thermal properties of matter, and the Wiedemann-Franz law as well, is the reduction of the macroscopic theory of matter to the theory of its atomic microscopic constitution. Although the correlation points to a reduction it does not constitute a reduction by itself. (1967, 119)

Jaegwon Kim has also argued that unless the bridge laws have the status of identities they cannot serve as part of genuine reductions:

It is arguably analytic that reduction must simplify; after all, reductions must reduce… On this score bridge laws of the form [Something is a T1 if and only if it is a B1] apparently are wanting in various ways. Since [Something is a T1 if and only if it is a B1] is supposed to be a contingent law, the concepts [T1] and [B1] remain distinct; hence bridge laws yield no conceptual simplification. Further, since we have only a contingent biconditional “iff” connecting properties [T1] and [B1], [T1] and [B1] remain distinct properties and there is no ontological simplification…. If we want ontological simplification out of our reductions, we must somehow find a way of enhancing bridge laws… into identities. (Kim 1998, 96-7)

The view is that only in cases where there are bridge laws with the status of identities do the derivations of laws constitute reductions.

This is a common point made in the philosophy of mind literature and it is due mainly to the aims of these reductionists – they want to solve the mind-body problem and thus what they are primarily interested in is not the unity of scientific theories (what drove Carnap and Neurath) but rather ontological simplification. This is why they think that bridge laws must have the status of identities. For others working in philosophy of science, there are reasons to think that theoretical reductions are valuable in themselves even if they do not lead to ontological reductions (i.e. identities). These philosophers of science endorse Nagel’s original position that reductions are legitimate even in the case where the bridge laws do not have the status of identities or even biconditionals. So long as one can establish derivations between two theories, one has unified them by establishing inter-connections. For this purpose, it is sufficient, as Nagel thought, that the bridge laws have the status of conditionals (See for example Ladyman, Ross, and Spurrett (2007, 49) who reject the suggestion that Nagelian reductions require identities.)

Before moving on, it is important to note some refinements that have been made to Nagel’s model of reduction since its original conception. In the 1960s, under the influence of the work of Thomas Kuhn, as philosophers of science began to focus more on constructing their theories with detailed study of cases from the history of science. Some suggested that Nagel’s model of reduction was implausible in at least a couple of ways. If one focused on actual examples of reductions from the history of science, like the reduction of physical optics to Maxwell’s electromagnetic theory, or even Nagel’s own example of the reduction of thermodynamics to statistical mechanics, Nagel’s model didn’t quite apply. The most compelling critique of Nagel’s account was made by Kenneth Schaffner (1967). Schaffner pointed to two specific problems with Nagel’s model of reduction.

The first problem with Nagel’s model was that it presupposed the simple deducibility of the target theory from the base theory and bridge laws, whereas in fact, in order for a derivation to be successful, the target theory often had to be modified somewhat. This might be because the target theory said some things that, in light of the base theory, one could now see were false. For example, Schaffner points out that once Maxwell’s theory was developed, one could see that a central law of physical optics, Fresnel’s law of intensity ratios, was not exactly correct (the ratios were off by a small but significant factor owing to the magnetic properties of the transmitting medium). In addition, in order to effect a reduction, target theories are often modified by incorporating certain facts about the range of phenomena to which the theory applies. In the case of physical optics, one must add to the theory the fact that it does not apply to all electromagnetic phenomena, but only those within a certain frequency range. So, in reducing physical optics to electromagnetic theory, what actually gets derived is not the target theory itself, but a slightly corrected version into which certain limiting assumptions are built.

The second worry Schaffner had about Nagel’s model of reduction was that it assumed what he called a ‘conceptual invariance’ between the target and base theories, while he noted that a certain amount of concept evolution always occurs in the process of reduction. Certain concepts in the target theory may turn out to be understood in a new manner or even rejected once one considers the base theory. Schaffner charts the evolution of the concept of ‘gene’ in Mendelian genetics as a result of the reduction of the theory to biochemistry (1967, 143). Thus, the theory that is actually derived from the base theory in the case of an actual reduction may not have all of the same laws or assumptions as the original theory and the derived theory may also contain a different set of concepts from the original target theory.

With these points in mind, Schaffner proposed a revised version of the derivation model of reduction intended to be more faithful to actual reductions in the history of science. According to Schaffner, reduction of a theory T to another theory B involves the formulation of a corrected, reconceptualized analog of the target theory: T*. Bridge laws are formulated linking all terms in T* with terms in the base theory B. Then T* is derived from B and these bridge laws. Indeed, even this model is perhaps not dynamic enough because as Schaffner himself notes, in reductions the base theory itself is also often modified as it is being considered as reduction base for T (or T*). So likely, there are two new theories developed: T* which is the corrected analog of the original target theory, and B*, a modified version of the base theory. Then it is B* that is used to derive T* with the aid of bridge laws.

Although this model is clearly intended as a correction to Nagel’s model, it shares much in common with the original model, and is often what is referred to when considering “Nagelian” reduction. Schaffner’s account agrees with Nagel’s on this important point: inter-theoretic reduction is the derivation of one theory from another theory, with the aid of bridge laws tying any terms in the derived theory that do not appear in the base theory to terms in that theory. Section 2 will consider the main reason that many philosophers reject reductionism, since they think that such bridge laws are impossible to find. But, first one other influential model of reduction will be considered.

c. Reduction as Explanation

There is one last model of reduction that was very influential in the past century. This explanatory model of reduction is historically associated with John Kemeny and Paul Oppenheim and is defended in their article, “On Reduction” (1956). The definition of ‘reduction’ that Kemeny and Oppenheim defend says that:

A theory T is reduced to another theory B relative to a set of observational data O if:

(1) The vocabulary of T contains terms not in the vocabulary of B.

(2) Any part of O explainable by means of T is explainable by B.

(3) B is at least as well systematized as T (paraphrased from their 1958, 13).

The set of observational data O is understood as relativized to that which requires explanation at the particular moment the reduction is attempted.

There are several elements of this definition that need explanation, particularly the notion of systematization that is employed by Kemeny and Oppenheim. The systematization of a theory is a measure of how well any complexity in the theory is compensated for by the additional strength of the theory to explain and predict more observations. It is clear why (3) is needed then in an account of theory reduction. If it was not the case, then one could just introduce the observations of T into the base theory, and create a new theory, T+o, thereby effecting an ad hoc reduction. Of course, this is not how reductions work. Instead, the base theory is expected to have the virtues typical of scientific theories, and be at least as systematized as the target.

This aspect of reduction is crucial to Kemeny and Oppenheim’s view regarding the motivations for reduction within science. They say that “the role of a theory is not to give us more facts but to organize facts into a practically manageable system” (1958, 11). The goal of a reduction is to streamline our overall scientific picture of the world and cast out theories whose observational domain can be just as systematically covered in a more encompassing theory. Thus, it is easy to see how the results of a Kemeny/Oppenheim reduction would serve well the stated aims of their predecessors in the unified science movement, Carnap and Neurath. They state the main motivation for reduction in the following way:

Anything we want to say about actual observations can be said without theoretical terms, but their introduction allows a much more highly systematized treatment of our total knowledge. Nevertheless, since theoretical terms are in a sense a luxury, we want to know if we can get along without some of them. It is, then, of considerable interest to know that a set of theoretical terms is superfluous since we can replace the theories using these by others in which they do not occur, without sacrificing the degree of systematization achieved by science to this day. (1958, 12)

Reduction helps one eliminate those terms and theories that are explanatorily superfluous. So, a direct justification for pursuing reduction in science is to achieve a greater level of theoretical parsimony.

This eliminative aspect of the Kemeny and Oppenheim proposal is something that need not be taken up by all philosophers who endorse the general idea of the explanatory model of reduction. Many later philosophers who built on this approach rejected the eliminative aspect of the model while retaining the idea that reductions essentially involve showing that all of the observations explained by a reduced theory can also be explained by the base theory. For example, in Paul Oppenheim and Hilary Putnam’s paper “Unity of Science as a Working Hypothesis,” this model of reduction is employed in the context of a larger metaphysical scheme that is not eliminative. The phrase ‘reduction of theories’ may seem to imply the idea that what one is doing is reducing the number of theories by getting rid of some, but this is not essential, nor is it obviously desirable. This issue of elimination versus retention of reduced theories (or entities) will be explored more fully in the last section of the present entry.

One familiar with the metaphysics and philosophy of mind literature will notice that the Kemeny/Oppenheim model is not one that is often discussed when philosophers are concerned with reductionism. One reason for this seems to be issues with the distinction on which it relies between theory and observation. This is a distinction that has been called into question in post-positivist philosophy of science owing to the purported theory-ladenness of all observation. It is worth considering the issue of whether the spirit of the Kemeny/Oppenheim model really requires maintaining this discredited distinction. Likely, a version of the view could be refined that replaced the notion of explaining observations with an appeal to explaining phenomena more generally.

John Bickle’s recent work, defending what he calls a ‘ruthless reductionism’, appeals to a notion of reduction that bears many similarities to the Kemeny/Oppenheim account without relying on a strict theory/observation dichotomy (Bickle 2006, 429). Considering the case of the reduction of psychology to neuroscience, Bickle describes reduction as involving the following simple practice: intervene neurally, and track behavioral effects (2006, 425). Bickle’s view is that in practice, reductions are accomplished when an experimenter finds a successful way of intervening at the chemical or cellular level, to cause a change in behavior that manifests what one would ordinarily recognize as cognitive behavior. He then argues:

When this strategy is successful, the cellular or molecular events in specific neurons into which the experiments have intervenes… directly explain the behavioral data. These explanations set aside intervening explanations, including the psychological, the cognitive/information processing, even the cognitive-neuroscientific… These successes amount to reductions of mind to molecular pathways in neurons… (2006, 426)

For Bickle, as for Kemeny and Oppenheim, reductions work when we find a theory (in this case a neural theory describing molecular or cellular mechanisms) that can explain the data of another theory (in this case, some aspect of psychology).

One might wonder about the relationship between the Kemeny/Oppenheim and derivation models of reduction. It is not obvious that the two accounts are in competition. Indeed, Schaffner (1967) argued that his own version of the derivation model allowed it to subsume the Kemeny/Oppenheim model in certain cases. Recall that according to Schaffner, Nagel’s derivation model must be augmented to accommodate the fact that in real cases of theory reduction, what actually gets derived is not the original version of the target theory T, but instead a corrected analog of the original theory, T*. Schaffner notes that in some cases to facilitate a derivation, the original theory will have to be corrected so much that the analog only very remotely resembles T. In these cases, what occurs is something very much like a Kemeny/Oppenheim reduction: an initial theory T is replaced by a distinct theory T* which is able to play an improved explanatory role.

2. Reductionism: For and Against

It is now time to examine the prospects for reductionism. Is it plausible to think that the various special sciences could be reduced to physics in any of these senses? The term ‘special sciences’ is usually taken to refer to the class of sciences that deal with one or another restricted class of entities, such as minds (psychology) or living things (biology). These sciences are distinguished from the one most general science (physics) that is supposed to deal with all entities whatsoever. In the metaphysics and philosophy of mind literature, reductionism is usually taken to be the view that all sciences are reducible to physics, or even that all entities are reducible to entities describable in the language of physics.

a. Versions of Reductionism

Reductionism is no longer understood as the view that makes use of the logical positivist’s sense of reduction as translation. One reason for this is probably that a comprehensive translation of all terms into the language of physics is standardly understood as a lost cause. Although one might allow that physical science contains many terms that are correlates of terms in the special sciences (to use Nagel’s example, ‘heat’ and ‘mean molecular motion’), it is rarely supposed that these correlates are synonymous. Nagel, as discussed above, already noted this point. Even in the case where one might find two terms that refer to the same phenomenon, the terms themselves may differ somewhat in meaning, the identity of their referents being established empirically.

When one claims that a special science is reducible to physics today, sometimes this is intended in the sense of the derivation model of reduction. The view of the reductionist is often that the laws of all of the special sciences are derivable from physics (with the help of bridge laws). This then requires the discovery of physical correlates of all terms that appear in the laws of the special sciences. ‘Cell’, ‘pain’, ‘money’: all of these must have their physical correlates, so that one may formulate bridge laws to facilitate the derivations (of biology, psychology, economics). Reductionists in metaphysics and philosophy of mind, following the points of Sklar and Kim discussed above, typically believe that these bridge laws must have the status of identities. Thus, the reduction of all special science theories to physics is thought to bring with it the reduction (qua identification) of all entities to entities describable in the language of physics.

There is also a large class of philosophers thought of as reductionists who do not think of their view as entailing theoretical reductions in any of the senses described above. Those identity-theorists like U.T. Place (1956) or J.J.C. Smart (1959) who believe that mental phenomena (in Place’s case: processes, in Smart’s: mental types) are identical to physical phenomena (processes or types) are often thought of as reductionists in virtue of accepting such identities, whatever they may think of reduction in the traditional sense of theory reduction. Though they do not speak of reduction in the sense of Nagel (indeed their work predates Nagel’s seminal The Structure of Science) Place and Smart are explicit about denying the plausibility of reductions in the sense of translations; they deny that sentences involving psychological terms in general may be translated into sentences involving purely physical terms. As Smart puts it:

Let me first try to state more accurately the thesis that sensations are brain-processes. It is not the thesis that, for example “after-image” or “ache” means the same as “brain process of sort X”… It is that, in so far as “after-image” or “ache” is a report of a process, it is a report of a process that happens to be a brain process. It follows that the thesis does not claim that sensation statements can be translated into statements about brain processes. (1959, 144)

For Smart and Place, the truth of reductionism about the mind is something that one learns through observation. It isn’t something that one can simply come to by reflecting on the meanings of psychological terms. Although they might reject reductionism in the translational sense and do not discuss theoretic reduction in the sense of either the Nagel or Kemeny/Oppenheim models, their account does involve an ontological reductionism – mental phenomena just are physical phenomena.

Not everyone however thinks that the mere obtaining of identities is sufficient for the success of reductionism. As Jaegwon Kim has argued, even if one had a complete set of identity claims linking terms in the special sciences with physical science terms such that one could complete a derivation of the special sciences from physical science or facilitate reductions, one would still not have truly reduced the special sciences to physical science (1998, 97-9). The problem is that reductions are supposed to be explanatory, and the completion of all of the derivations would not have shown one why it is that the bridging identities obtain.

To see Kim’s worry, consider the reduction of thermodynamics to statistical mechanics described by Nagel. Assume that in order to derive thermodynamics from statistical mechanics, physicists utilized the following bridge law:

Heat = mean molecular motion

This then allowed them to derive the heat laws of thermodynamics from the laws of statistical mechanics governing the motion of molecules. Kim’s worry is that even if this Nagel reduction succeeds, one will still not understand how thermodynamics is grounded in statistical mechanics because the identity statement is not explained. As he puts it:

I don’t think it’s good philosophy to say, as some materialists used to say, “But why can’t we just say that they are one and the same? Give me good reasons why we shouldn’t say that!” I think that we must try to provide positive reasons for saying that things that appear to be distinct are in fact one and the same. (1998, 98)

What needs to happen according to Kim (and for many others in the literature including Frank Jackson (1998) and David Chalmers (1996)), is that these identities need themselves to be grounded in what is known as a functional reduction.

Functional reductions work in two stages. In the first stage, one takes the special science phenomenon that is supposed to be reduced and “primes” it for reduction. One does this by construing it relationally. For example, if one is trying to reduce a chemical phenomenon like boiling, one might construe it as the property a substance has when there are bubbles on its surface and a resulting vapor. In the second stage of a functional reduction, one seeks the property figuring in the base science that could ground the obtaining of this relational description. Once this is accomplished, one is able to identify the phenomenon in the special science with the phenomenon in the base science. Continuing with the same example, it might be found in physics (and obviously this is to oversimplify) that when the atoms in a substance reach a certain average momentum, and the pressure in the substance is less than the atmospheric pressure in the substance’s environment, they are able to escape the surface. One can then see how this would produce bubbles on the substance’s surface and a resulting vapor. Once this explanation has been given, one can identify x’s boiling as identical with x’s being such that x’s atoms have reached a certain momentum, and x’s internal pressure is less than the pressure of x’s external environment. And it will be clear why this identity obtains. This is because the latter is just the physical phenomenon that is required for x to boil, given how boiling was construed in the first stage of the reduction.

In sum, functional reductions allow one to see why it is the case that identities obtain. They can be used therefore to supplement an identity theory of the kind endorsed by Smart and Place, or to supplement a Nagelian reduction to explain bridge laws with the status of identities. Many discussions of reductionism assume that the view requires functional reductions of this kind. Bickle has noted that this is most often the case in discussions of reductionism by anti-reductionists .

The following section will discuss the main argument that has been thought to refute reductionism of this kind, as well as any kind based on the notion of reduction centrally involving identity statements: the argument from multiple realization. The focus will be on this particular argument because it provides the most general critique of reductionism, applying to many different sciences. That is, unlike other arguments against reductionism, the argument from multiple realization is thought to show that for any special science (or special science phenomenon), it cannot be reduced to physical science (or a physical phenomenon). There are also many less general arguments that have been advanced to show that one particular kind of science cannot be reduced, for example, the arguments of Thomas Nagel (1979), Frank Jackson (1982), and David Chalmers’ (1996) against the physical reducibility of consciousness. These arguments will not be discussed in this entry.

b. The Argument from Multiple Realization

The multiple realization argument is historically associated with Hilary Putnam and Jerry Fodor (Putnam 1975; Fodor 1974). What Putnam and Fodor argued was that in general it would not be possible to find true identity statements of the kind required for reductions of the special sciences. For simplicity, the present discussion will focus on the case of reducing psychology to physical science. If this reduction is going to be successful, then one must find physical correlates for all psychological terms such that there are true identity statements linking each psychological term with a physical term. For example, for some physical property P, there must be a true identity statement of the form:

For all x (x’s being in pain = x’s instantiating physical property P),

Or more generally:

For all x (x’s instantiating special science property S = x’s instantiating physical property P)

As Putnam points out, it is a great challenge for the reductionist to find physical properties that will serve this purpose. He says:

Consider what the [reductionist] has to do to make good on his claims. He has to specify a physical-chemical state such that any organism (not just a mammal) is in pain if and only if (a) it possesses a brain of a suitable physical-chemical structure; and (b) its brain is in that physical-chemical state. This means that the physical-chemical state in question must be a possible state of a mammalian brain, a reptilian brain, a mollusc’s brain…, etc… Even if such a state can be found, it must be nomologically certain that it will also be a state of the brain of any extra-terrestrial life that may be found that will be capable of feeling pain… it is at least possible that parallel evolution, all over the universe might always lead to one and the same physical “correlate” of pain. But this is certainly an ambitious hypothesis. (Putnam 1975, 436)

The problem for the reductionist is that too many very physically different kinds of things satisfy the predicate ‘is in pain’ for one to have the hope of specifying a kind of physical property P that all and only the things that are in pain instantiate. This is not only a problem for the reductionist who requires that there be identities linking terms in the special sciences with terms in the language of physics. Putnam’s point works equally well against the obtaining of bridge laws with biconditional form, for example:

For all x (x is in pain if and only if x instantiates physical property P) Putnam, and later Fodor, argued that this argument generalizes to show that one would not be able to find true identity statements linking special science predicates with predicates from physical science. The types of things satisfying a given special science predicate are just too physically diverse. The view Putnam and Fodor advocated, instead of reductionism, was (a nonreductive version of) functionalism. They claimed that special science predicates typically denote causal or functional properties. That is, what it is for something to fall within the extension of a particular special science predicate is for it to play some specific causal role. So, for example, to fall under the psychological predicate ‘pain’ is roughly to be in an internal state that is caused by tissue damage and tends to cause withdrawal behavior, moans, and so on. If this functionalism about ‘pain’ is true, then anything that instantiates this causal role will fall under the extension of the predicate ‘pain’. The metaphysical upshot of this is that pain is a functional property that has many different realizers. These may include states of humans, mollusks, and Martians, whatever is the type of thing that has an internal state caused by tissue damage and which tends to cause withdrawal behavior, moans, and so on. But there is no one physical property with which the property of being in pain may be identified.

c. Replies

Reductionists have tried several ways of responding to the argument from multiple realization. To begin, it must be noted that this argument only succeeds against a version of reductionism claiming that there are identities or assumptions with the status of biconditional linking terms in the special sciences with physical terms. As was noted above, many philosophers of science, including Nagel himself, do not believe that the reduction of a theory to physical science requires that there be bridge laws with the status of identities or biconditionals, so long as assumptions strong enough to facilitate derivations obtain. The arguments of Putnam and Fodor do nothing to undermine claims of the following form:

For all x (if x instantiates physical property P, then x instantiates special science property S),

where ‘P’ denotes some actual realization of a special science property in humans or some other creature. Thus, reduction of all special sciences to physical science may still be carried out in the sense of Nagel reduction.

Alternatively, the reductionist may point to the fact that there are derivation models of reduction that do away with the appeal to bridge laws altogether. For example, C.A. Hooker (1981) developed a derivation model of reduction that builds on the insights of Nagel and Schaffner. Like Schaffner (1967), Hooker argued that in actual cases of reduction what gets derived from the base theory is not the original target theory, but instead a corrected analog T* of the original theory. On Hooker’s model however, this analog is formulated instead within the linguistic and conceptual framework of the base theory B. Thus, no bridge laws are required in order to derive T* from B. He then notes that once T* has been derived from B, one can claim that T has been reduced in virtue of an analog relation A that T* bears to T (1981, 49). It is of course a difficult matter to spell out what these analog relations must come to for there to have been a legitimate reduction of T to B, in virtue of the derivation of T* from B. Still the fact that it is T* that is derived from B, a theory in B’s own language implies that bridge laws of any form (be they identity statements, biconditionals, or conditionals) are not required for reductions in Hooker’s sense. Therefore, if one holds a theory of reductionism based on Hooker reduction (as in Bickle (1998), for example), one is immune to objections from multiple realization.

Still, it has been noted that many reductionists, for example Place and Smart, argue that there are identities linking the entities of the special sciences with physics. Indeed for many reductionists, such identities are a central part of their views. Still, there are ways even for these reductionists to respond to the arguments of Putnam and Fodor. Jaegwon Kim (1998), for example, has made two suggestions.

One suggestion is for the reductionist to hold onto the claim that there are truths of the form:

For all x (x’s instantiating special science property S = x’s instantiating physical property P)

However, she may maintain that P is a disjunctive property. For example, if pain is realized in humans by C-fiber stimulation, in octopi by D-fiber stimulation, in Martians by E-fiber stimulation, and so on, then P will be:

the property of instantiating C-fiber stimulation in humans or D-fiber stimulation in octopi or E-fiber stimulation in Martians or .…

This approach is generally unpopular as reductionists (e.g. D.M. Armstrong (1997)) and anti-reductionists (e.g. Fodor (1997)) alike are skeptical about the existence of such disjunctive properties.

A second approach suggested by Kim (1998, 93-94) has been more popular. This approach is also associated with David Lewis following his suggestions in his “Mad Pain and Martian Pain” (Lewis 1980). The response concedes to Putnam and Fodor that there is no property of pain simpliciter that can be identified with a property from physical science. However, there are true “local” identity statements that may be found. Kim suggests that there may be a physical property discovered that is identical to pain-in-humans, another discovered that is identical to pain-in-octopi, so on. What motivates the multiple realization argument is the compelling point that there is little physically similar among different realizers of pain across species. However, within a species, there are sufficient physical similarities to ground a species-specific (this is what Kim means by ‘local’) reduction of pain. Or so the reductionist may argue. Kim himself does not endorse reductionism about pain, even if he thinks most other special science properties can be reduced in this way.

3. Reduction of Entities: Identification vs. Elimination

Up to now, reduction has been treated as involving unification of theories or identity of phenomena (properties, types, or processes). In the case of theoretical reductions, according to the Nagelian models, it has been assumed that when a reduction is effected, previously disunified theories become unified and in the case of entities, when a reduction is effected, entities that were previously seen as distinct are shown to be identical.

However, this is not how reductions always proceed. Indeed this is implied by the term ‘reduction’ itself. Shouldn’t reduction involve a decrease in the number of theories or entities in the world? Doesn’t the reduction of psychology to physics analytically entail the elimination of psychology? Doesn’t the reduction of pain to a physical phenomena analytically entail its elimination? Several authors have emphasized the eliminative aspects of many reductions in practice (especially Schaffner (1967), Churchland (1981), Churchland (1986), Bickle (2003)).

Return to the derivation model of theoretical reduction. It was noted earlier that to effect reductions in the derivation sense, it is often necessary to create a new, modified version of the target theory in order to get something actually derivable from something like the base theory. In the Schaffner model, this proceeds by formulating a new version of the target theory, in its original language, supplemented by bridge laws. In the case of the Hooker model, this proceeds by formulating a new version of the target theory, but in the language of the base theory, thus avoiding the need for bridge laws. Either way, the result is that it is not entirely clear whether what has been reduced is a legitimate version of the original target theory T (in other words, whether a retentive reduction has been achieved), or a different theory altogether (whether what has been achieved is instead a replacement reduction) (Hooker 1981, Bickle 1998). In the move to unification, in accomplishing the reduction, has one been able to retain the original target theory? Or has one instead been forced to replace it with a different theory? There is surely a continuous spectrum of possible reductions from those of the more retentive kind to those that are clearly replacements (see Bickle 1998, for a diagram charting this spectrum). At a certain point, the theory that actually gets derived may be so different from the original target theory, that one may be forced to say that the reduction of the original has instead proceeded by something more like the Kemeny/Oppenheim model. The original theory is being replaced with another able to accommodate the original’s phenomena. In the history of science, there have been reductions of many different kinds. The standard example of the reduction of chemistry to atomic physics was an example of a retentive reduction. Most if not all of the claims of chemistry before the reduction are still taken to be true, even if some had to be modified for a derivation of the theory from atomic physics to go through. On the other hand, the reduction of phlogiston theory to modern chemistry was a replacement reduction. Enough of the claims of the phlogiston theory were forced to be changed that one can justifiably say that that theory was replaced altogether, not retained.

The hope in the philosophy of mind is that whatever psychological theory actually gets reduced to physics, it will be sufficiently similar to the original psychological theory that the psychophysical reduction is retentive. However, there are some reductionists, in particular Churchland (1986) and Churchland (1981), who think this hope is unlikely to be fulfilled.

The spectrum from theoretical reductions that are retentive to theoretical reductions that are eliminative parallels another spectrum of kinds of reductions of phenomena. In some cases where the reduction of a phenomenon is carried out, one is justified in characterizing this as an identification. In other cases, one wants to say that the phenomenon has rather been eliminated as a result of the reduction. It is plausible that whether reductions should be seen as eliminative or not has to do with whether or not the theory that mentioned that entity has been reduced in a more or less retentive manner. Whether or not a reduction of all mental phenomena can be achieved that most philosophers will view as retentive is still very much up in the air. However, for the reductionist, the hope is that for all phenomena, they will either be identified with entities of physical science or eliminated altogether in favor of the entities of a superior theory.

4. References and Further Reading

  • Armstrong, D.M. 1997. A World of States of Affairs. Cambridge, Cambridge University Press.
  • Bickle, John. 1998. Psychoneural Reduction: The New Wave. Cambridge, Massachusetts: MIT Press.
  • Bickle, John. 2006. “Reducing mind to molecular pathways: explicating the reductionism implicit in current cellular and molecular neuroscience.” Synthese, 151, 411-434.
  • Carnap, Rudolf. 1928/1967. The Logical Structure of the World and Pseudoproblems in Philosophy. Berkeley, California: University of California Press.
  • Carnap, Rudolf. 1934. The Unity of Science. London: Kegan Paul, Trench, Trubner, and Co.
  • Carnap, Rudolf. 1963. Autobiography. The Philosophy of Rudolf Carnap, P.A. Schilpp, ed. LaSalle, Illinois: Open Court.
  • Cartwright, Nancy, Jordi Cat, Lola Fleck, and Thomas Uebel. 1995. Otto Neurath: Philosophy between Science and Politics. Cambridge: Cambridge University Press.
  • Cartwright, Nancy, Jordi Cat, and Hasok Chang. 1996. “Otto Neurath: Politics and the Unity of Science.” The Disunity of Science: Boundaries, Contexts, and Power, P. Galison and D. Stump, eds. Stanford, California: Stanford University Press.
  • Chalmers, David. 1996. The Conscious Mind: In Search of a Fundamental Theory. Oxford: Oxford University Press.
  • Churchland, Patricia. 1986. Neurophilosophy. Cambridge, Massachusetts: MIT Press.
  • Churchland, Paul. 1981. “Eliminative Materialism and the Propositional Attitudes.” The Journal of Philosophy, 78, 67-90.
  • Dennett, Daniel C. 1991. Consciousness Explained. London: Little, Brown and Co.
  • Fodor, Jerry. 1974. “Special Sciences, or the Disunity of Science as a Working Hypothesis.” Synthese, 28, 97-115.
  • Fodor, Jerry. 1997. “Special Sciences: Still Autonomous After All These Years.” Philosophical Perspectives, 11, 149-163.
  • Hempel, Carl. 1966. Philosophy of Natural Science. Englewood Cliffs, New Jersey: Prentice Hall.
  • Hooker, C.A. 1981. “Towards a General Theory of Reduction. Part I: Historical and Scientific Setting. Part II: Identity in Reduction. Part III: Cross-Categorial Reduction.” Dialogue, 20, 38-59, 201-236, 496-529.
  • Jackson, Frank. 1982. “Epiphenomenal Qualia.” Philosophical Quarterly, 32, 127-36.
  • Jackson, Frank. 1998. From Metaphysics to Ethics: A Defence of Conceptual Analysis. Oxford: Oxford University Press.
  • Kemeny, John and Paul Oppenheim. 1956. “On Reduction.” Philosophical Studies, 7, 6-19.
  • Kim, Jaegwon. 1998. Mind in a Physical World. Cambridge, Massachusetts: MIT Press.
  • Ladyman, James and Don Ross (with John Collier and David Spurrett). 2007. Every Thing Must Go: Metaphysics Naturalized. Oxford: Oxford University Press.
  • Lewis, David. 1980. “Mad Pain and Martian Pain.” Readings in the Philosophy of Psychology, Vol. 1. N. Block, ed. Cambridge, Massachusetts: Harvard University Press, 216-222.
  • Nagel, Ernest. 1961. The Structure of Science: Problems in the Logic of Scientific Explanation. New York: Harcourt, Brace, and World.
  • Nagel, Thomas. 1979. “What is it Like to be a Bat?” Mortal Questions. Cambridge: Cambridge University Press.
  • Neurath, Otto. 1931/2/1959. “Sociology and Physicalism.” Logical Positivism, A.J. Ayer, ed. New York: The Free Press. Originally published in Erkenntnis, 2.
  • Neurath, Otto. 1983. Philosophical Papers, 1913-1946. Dordrecht: Reidel.
  • Oppenheim, Paul and Hilary Putnam. 1958. “Unity of Science as a Working Hypothesis.” Minnesota Studies in the Philosophy of Science, 2, 3-36.
  • Place, U.T. 1956. “Is Consciousness a Brain Process?” British Journal of Psychology, 47, 44-50.
  • Putnam, Hilary. 1975. “The Nature of Mental States.” Mind Language and Reality: Philosophical Papers, Vol. 2. Cambridge: Cambridge University Press. Originally published as: “Psychological Predicates.” Art, Mind, and Religion, W. Capitan and D. Merrill, eds. Pittsburgh: University of Pittsburgh Press, 1967.
  • Schaffner, Kenneth. 1967. “Approaches to Reduction.” Philosophy of Science, 34, 137-147.
  • Sklar, Lawrence. 1967. “Types of Inter-theoretic Reduction.” The British Journal for the Philosophy of Science, 18, 109-124.
  • Smart, J.J.C. 1959. “Sensations and Brain Processes.” The Journal of Philosophy, 68, 141-156.

Author Information

Alyssa Ney
Email: aney@mail.rochester.edu
University of Rochester
U. S. A.

Epistemology of Testimony

We get a great number of our beliefs from what others tell us. The epistemology of testimony concerns how we should evaluate these beliefs. Here are the main questions. When are the beliefs justified, and why? When do they amount to knowledge, and why?

When someone tells us p, where p is some statement, and we accept it, then we are forming a testimonially-based belief that p. Testimony in this sense need not be formal testimony in a courtroom; it happens whenever one person tells something to someone else. What conditions should be placed on the recipient of testimonially-based beliefs? Must the recipient of testimony have beliefs about the reliability of the testifier, or inductive support for such a belief? Or, on the other hand, is it enough if the testifier is in fact reliable, and a recipient may satisfy his epistemic duties without having a belief about that reliability? What external environmental conditions should be placed on the testifier? For the recipient to know something, must the testifier know it, too?

For our basic case of testimonially-based belief, let us say that person T, our testifier, says p to person S, our epistemic subject, and S believes that p. This article will first survey arguments related to S-side issues, then those related to T-side issues.

Table of Contents

  1. Some Terminology, Abbreviations, and Caveats
  2. Recipient (S)-Side Questions
    1. Characterizing the Debate
    2. Arguments in Favor of Demands on Testimonially-Based Beliefs
      1. T’s Ability to Deceive
      2. Individual Counterexamples and Intuitions about Irresponsibility and Gullibility
      3. S’s Ability Not to Trust T
      4. Operational Dependence on Other Sources
      5. Defeasibility of Testimonially-Based Beliefs by Other Sources
      6. From a No-Defeater Condition to Positive-Reason-to-Believe Condition
      7. S’s Higher-Order Beliefs About T
    3. Arguments Against Demands on Testimonially-Based Beliefs
      1. Insufficient Inductive Base
      2. Analogies to Perception
      3. Analogies to Memory
      4. Skepticism about Over-Intellectualization and Young Children
      5. The Assurance View as a Basis for Lessened Demands on S
    4. A Priori Reasons in Support of Testimonially-Based Beliefs
      1. Coady’s Davidsonian Argument from the Comprehensibility of Testimony
      2. Burge’s Argument from Intelligible Presentation
      3. Graham’s A Priori Necessary Conceptual Intuitions
  3. Testifier (T)-Side Questions: Testimony and the Preservation of Knowledge
    1. Background
    2. The Cases
      1. Untransmitted Defeaters
      2. Zombie Testifiers
      3. High-Stakes T, Low-Stakes S
      4. False Testimony
      5. Reconceptualization from T to S
      6. Unreliable Testimony
  4. Some Brief Notes on Other Issues
    1. Connections between S-side and T-side issues
    2. The Nature of Testimony
  5. References and Further Reading

1. Some Terminology, Abbreviations, and Caveats

This article considers the epistemology of testimonially-based belief. Let’s unpack that phrase. Discussing the basis of different beliefs presupposes that one important way we should categorize beliefs is by where they came from. The basis of a belief is its source or root. When we look across the room and see a chair, we form a perceptually-based belief that there is a chair nearby. When we believe that p and believe that p entails q, and then conclude that q, we form a deductively-based belief that q. When we observe that gravity has operated in the past and we infer that it will continue to operate in the future, we form an inductively-based belief about gravity. When we remember what we ate this morning, we form a memorially-based belief about our breakfast. And when someone tells us that p, and we accept it, we form a testimonially-based belief that p. Testimony in this sense need not be formal testimony in a courtroom, but happens whenever one person tells something to someone else.

It will be helpful to use the same terminology throughout this article. For our basic case of testimonially-based belief, let us say that T, our testifier, says p to S, our epistemic subject, and S believes that p. Different permutations will be considered, but this will be the terminology for the basic case.

Actual beliefs might not, of course, have only one basis. A belief might be partly testimonially-based and partly perceptually-based, just as it might be partly inductively-based and partly memorially-based. However, an understanding of pure cases, which we will pursue in this article, should illuminate hybrid instances.

Now, the epistemology of a belief is a particular sort of evaluation. Epistemologists assign honors like “knowledge” or “justification” to beliefs based on whether those beliefs are up to snuff epistemically. The epistemology of testimonially-based belief, then, concerns the epistemic status of S’s belief that p. Is it justified? Is it rational? Is it warranted? Is it sufficiently supported by evidence? Is S entitled to believe it? Does S know that p?

One way to speak of the epistemology of testimonially-based belief is to speak directly of the epistemic status at issue: we can talk about testimonially-based knowledge, testimonially-based justification, or testimonial evidence.

Many of the contemporary disputes in the epistemology of testimony occur in two broad fields. One dispute, or set of disputes, concerns the extent of the internal conditions placed on testimonially-based belief related to the recipient, S. (To phrase the debate in terms of internal conditions is not to beg the question against epistemic externalism the externalist is characterized precisely by his failure to place such demands regarding the internal accessibility. See, for instance, the title of Bergmann 2006b: Justification Without Awareness: A Defense of Epistemic Externalism.) When is a testimonially-based belief justified, or rational, or reasonable, or permissible, or within our epistemic entitlements? Is testimonially-based justification really a special case of inferentially-based justification, or is it (instead) analogous to perceptually- or memorially-based justification? What sorts of epistemic demands do we properly place on those who believe what others tell them? Coady 1973 uses the terms “reductionism” and “anti-reductionism” to describe approaches to these issues. Speaking broadly, reductionism views testimony as akin to inference and places a relatively heavy burden on the recipient of testimony, while anti-reductionism views testimony as akin to perception or memory and places a relatively light burden on the recipient of testimony.

A second area involves the external conditions on the testifier, T, in order for S to know that p. Must T know that p herself? Must T’s testimony even be true? Must T reliably testify that p?

This article will first survey arguments related to S-side issues, then those related to T-side questions. These two areas do not by any means exhaust the topics of great interest to epistemology, but are a useful first place to begin.

As noted in the final section of this article, there are some important disputes about exactly what counts as “testimony.” For the most part, this article will make do with a rough “T told S that p” formulation. However, especially in T-side issues, a key issue is frequently whether a proposed counterexample counts as testimonially-based belief. This article can only suggest some of the relevant considerations to that issue, rather than canvassing it in detail.

This article focuses chiefly on the epistemology of testimony in general, rather than the epistemology of human testimony. Because there is considerable controversy about what is required, as a conceptual matter, for testimonially-based knowledge or justification or rationality, it seems wisest to get as clear a view of the nature of testimonial justification and testimonial knowledge, as such, before proceeding to more obviously practical considerations related to an evaluation of particular actual testimonially-based beliefs. To the extent that we only consider the epistemology of testimony in general, our conclusions may be relatively thin and unsatisfying. However, controversy regarding the basic nature of epistemic phenomena across the universe of possible testimonially-based beliefs means that this sort of preliminary brush-clearing is important.

2. Recipient (S)-Side Questions

a. Characterizing the Debate

The most prominent debate in the epistemology of testimony is between “reductionism” and “non-reductionism,” terms due to Coady 1973. The earliest clear statements of these positions appear in David Hume and Thomas Reid. Hume said, “[T]here is no species of reasoning more common, more useful, and more necessary to human life, than that which is derived from the testimony of men, and the reports of eye-witnesses and spectators. … [O]ur assurance in any argument of this kind is derived from no other principle than our observation of the veracity of human testimony, and of the usual conformity of facts to the reports of witnesses.” (Hume 1748, section X, at 74.) Hume’s picture is that we properly form beliefs based on testimony only because we have seen other confirmed instances. Testimonially-based justification is therefore reducible to a combination of perceptually-, memorially-, and inferentially-based justification. (In theory, one might also include a priori insight among the sources to which testimonial justification is reduced, though Hume does not do so.)

Reid, however, argued that children properly trust others even when they lack any past inductive basis in their experience: “[I]f credulity were the effect of reasoning and experience, it must grow up and gather strength, in the same proportion as reason and experience do. But, if it is the gift of Nature, it will be strongest in childhood, and limited and restrained by experience; and the most superficial view of human nature shews, that the last is really the case, and not the first. … [N]ature intends that our belief should be guided by the authority and reason of others before it can be guided by our own reason.” (Reid 1764, chapter 6, section 24, at 96.) Reid suggests that we have an innate faculty, unconfirmed by personally-observed earlier instances, which properly causes us to trust those who testify. Testimonially-based justification flows from the reliability of this faculty, and so it is not reducible to perceptually- and inferentially-based justification.

The reducibility of testimonially-based justification is thus one way to characterize the debate between Hume and Reid and their modern successors over the internal conditions on testimonially-based beliefs. A second way to characterize such disputes is to ask to what extent testimonially-based beliefs are implicitly inferential. A Humean approach holds that we infer the reliability of a present bit of testimony from the reliability of earlier instances, while a Reidian approach holds that testimonially-based beliefs are properly non-inferential, or direct. The inferentialist sees testimonially-based belief as the acceptance (or the hypothetical acceptance) of an argument like this:

  1. T is telling me that p;
  2. T, or people like T, have generally been reliable in the past telling me, or other people, things like p; so
  3. T is probably reliable on this occasion; so
  4. p.

The non-inferentialist sees testimony as less like an invitation to an argument and more like the input to a machine. T tells S that p, and, seizing upon T’s act of communication, S’s testimony-processing faculty causes S to believe that p.

(Audi 1997 helpfully distinguishes between hypothetical and actual inferences. He holds that testimonially-based beliefs are formed directly, but are nonetheless justified on the basis of other beliefs; such beliefs could be used to support the testimonially-based belief, but need not be part of its actual genesis.)

Lackey 2006a gives relatively full recent lists of the adversaries in the S-side literature in terms of reductionism (at 183 n.3) versus nonreductionism (at 186 n.19), while Graham 2006:93 does the same in terms of inferential versus direct views. These lists appear below, just before the bibliography.

A third way to characterize disputes over testimonially-based beliefs is to ask to what extent testimonially-based justification is analogous to perceptually-based justification. The Humean-reductionist tradition sees strong disanalogies, while the Reidian-non-reductionist tradition sees a strong analogy between the sources. See, for instance, Lackey 2005:163 (“nonreductionists maintain that testimony is just as basic a source of justification (knowledge, warrant, entitlement, and so forth) as sense-perception, memory, inference, and the like”); Graham 2004:n.4 (“The central claim the Anti-Reductionist makes is that the epistemologies of perception, memory, and testimony should all look more or less alike.”).

None of these formulations captures contemporary debates perfectly well. Few contemporary philosophers will endorse Hume’s reductionist or inferentialist approach to testimonially-based belief in anything close to full form. Some philosophers would demand that S have positive reasons to believe in T’s reliability, or place other demands on S, but almost all of them stop short of insisting that S have a sufficiently-large inductive base to justify an inference that p from other beliefs, or to reduce testimonially-based justification to perceptually-, memorially-, and inferentially-based beliefs. Regarding the analogy between the epistemology of perceptually- and testimonially-based beliefs, even Reid, the prototype non-reductionist, saw significant disanalogies between beliefs based on perception and testimony. See Reid 1785 (article 2, chapter 20, at 203): “There is no doubt an analogy between the evidence of the senses and the evidence of testimony. … But there is a real difference between the two as well as a similarity. When we believe something on the basis of someone’s testimony, we rely on that person’s authority. But we have no such authority for believing our senses.”

Rather than characterizing the internal dispute solely in terms of reductionism, or inferentialism, or a perceptual-testimonial analogy, this article will simply consider arguments in favor of a relatively demanding approach to testimony versus arguments in favor of a relatively less demanding approach. Details about exactly which demands different authors would make on testimonially-based belief are best explained individually. Rather than applying labels like “Reductionist” or “Inferentialist,” this article simply uses “Liberal” and “Conservative.” Liberals are less demanding on testimonially-based justification and allow testimonially-based beliefs to count as justified, or as knowledge, more liberally; conservatives are more demanding and dispense testimonially-based epistemic honors more conservatively. In considering each demand, this article will also ask whether the demand might also reasonably be placed on perceptually-based beliefs as well.

The usage of “liberal” and “conservative” here has a kinship with the technical use of these terms in Graham 2006:95, but it is not the same. Graham uses the labels “reactionary,” “conservative,” “moderate,” and “liberal” to refer to those who accept or reject specific basic principles of epistemic justification. Graham’s “reactionary” accepts only principles regarding a priori insight, internal experiences, and deduction, rejecting principles related to memory, enumerative induction, inference to the best explanation, perception, and testimony. Graham’s “conservative” rejects only principles regarding perception and testimony; his “moderate” rejects only the principle regarding testimony, while his “liberal”—Graham’s own view—accepts the principle for testimony as well. Graham’s use of these principles in comparing testimony to perception and memory is discussed below.

Some philosophers place demands on testimonially-based beliefs regarding some epistemic honors, but not others. For instance, Audi 1997 is relatively demanding regarding testimonially-based justification, but because he does not think justification is required for knowledge, he is relatively lenient regarding testimonially-based knowledge. Burge 1993:458-59 is relatively lenient regarding what he calls testimonial “entitlement,” but reserves the label “justification” for instances where S is aware of an entitlement. Graham 2006:104ff. is relatively lenient regarding testimonially-based “pro tanto” justification—that is, he allows testimonially-based beliefs to have some justification relatively easily—but more demanding when considering whether S would have enough pro-tanto justification to have a justified belief. Plantinga 1993:82 similarly distinguishes between S having some testimonially-based evidence from having enough for S to have knowledge: “Testimonial evidence is indeed evidence; and if I get enough and strong enough testimonial evidence for a give fact … the belief in question may have enough warrant to constitute knowledge.”

Finally for preliminaries, we should distinguish arguments about what demands to place on testimonially-based beliefs from arguments about how those demands might be satisfied. Coady, Burge, and Graham suggest in different ways that we have a priori reason to accept testimonially-based beliefs, but they are all liberal about whether to place a general demand that testimonially-based beliefs be based on reasons such as the ones they offer. This article very briefly surveys their three approaches in a separate section.

b. Arguments in Favor of Demands on Testimonially-Based Beliefs

i. T’s Ability to Deceive

Faulkner 2000 argues that the fact that testimony comes from a person, rather than an inanimate object, is a reason to be more demanding on testimonially-based beliefs than on perceptually-based beliefs. Lackey 2006a:176 and 188 n.44 also endorses this argument. People like T can lie, but the matter in our perceptual environment cannot. See also Audi 2006:40: “[T] must in some sense, though not necessarily by conscious choice, select what to attend to, and in doing so can also lie or, in a certain way, mislead … For the basic sources, there is no comparable analogue of such voluntary representation of information.”

One way to make the point more precise is to claim that because free actions are particularly indeterministic—that is, because determinism is false, and so the past plus laws is not enough to guarantee future free actions—the environment for a testimonially-based belief cannot be regular and law-governed in the way that the environment for a perceptually-based belief can be. Graham 2004 considers such an argument in detail. He argues, however, that the presence of human freedom in testimonial cases is not a significant reason to prefer a conservative approach. He argues that if a libertarian approach to human freedom undermines the predictability of human actions, then it would also undermine a conservative approach to testimony; if T’s actions were unpredictable, then S could never have a proper basis on which to believe that T is likely to be honest, for instance. However, Graham argues that if libertarianism does not undermine predictability—either because it is false, or because counterfactuals of freedom are nonetheless somehow true—then testimonial liberalism is not threatened by human freedom, because the environments for testimonially-based beliefs can in fact be as predictable as the environments for perceptually-based beliefs.

Green 2006:82ff. argues that freedom is not distinctive of testimonially-based beliefs. Faulkner and Lackey both refer to this factor as a reason to distinguish perceptually-based beliefs from testimonially-based beliefs. However, perceptually-based beliefs can also suffer from the influence of deception. Fake objects, for instance, can be the result of deception, and perceptual-based beliefs about fake objects can obviously go awry because of the influence of agency on a perceptual environment. If the possibility of deception is a good reason to think that S requires positive reasons to believe T, then there seems to be equally strong reason to require that S have positive reasons to believe that the objects of her perceptually-based beliefs are genuine. The conservative might respond that deception may sometimes be at stake in a perceptually-based belief, but deception is always a possibility for testimonially-based ones. However, this seems clearly untrue as a conceptual matter; it is at least possible for T to be a reliable robot lacking freedom. And even among common human experience, there are cases where people lack the time to deliberate about deception; human free human action is not always at stake in testimonially-based belief.

ii. Individual Counterexamples and Intuitions about Irresponsibility and Gullibility

While she criticizes reductionism, Lackey 2006a argues that S does need positive reasons to believe T’s testimony. She relies on an example in which T is an extraterrestrial alien, dropping what appears to S to be a diary written in English, describing events on T’s home planet. Because, Lackey thinks, S has no reason to believe that the diary really is English, is not ironic, and so on, S’s belief is unjustified. “[H]earers need positive reasons in order to acquire testimonial justification, thereby avoiding the charge of … gullibility and intellectual irresponsibility.” Lackey 2006a:179; compare the title of Fricker 1994, “Against Gullibility.”

Testimonial liberals might respond to Lackey’s counterexample by simply reporting different intuitions. S is entitled to believe even reports from aliens that are apparently in English, and may assume without evidence (and in the absence of counter-evidence) that they are sincere and so on. Intuitions about the vice of gullibility may differ: liberals might say that it is in fact a vice to be too skeptical of others’ reports when there is no positive reason to doubt them.

Green 2006:67ff. argues that a perceptual analogue to the alien case can be constructed. S is suddenly transported to an unfamiliar perceptual environment and seems to see certain objects outside what looks like a window. But S may have no reason to think that the window is not, for instance, a television screen showing a greatly-magnified image of a scene far away, rather than a window opening onto nearby ordinary-sized objects. If S’s perceptually-based beliefs in that scenario do not required positive reasons to believe that his perceptual environment and faculties are functioning normally, then it is not clear why S need such reasons in the testimonial case.

In arguing against gullibility, Fricker 1994 argues in favor of S’s duty to monitor T for signs of untrustworthiness, suggesting that neglecting such a duty makes S gullible. Those who advocate S’s presumptive right to trust T, she argues, must dispense with any duty in S to monitor T for signs of untrustworthiness. Goldberg and Henderson 2005 argue, however, that the testimonial non-reductionist can also countenance a requirement that S be sensitive to signs of T’s untrustworthiness; Fricker 2006c responds. Particularly after Fricker’s reply, it is not immediately obvious that the dispute between Goldberg and Henderson and Fricker is over anything epistemically substantive; at first glance the dispute is merely over the label “anti-reductionism” would properly apply to a view that imposes on S a robust duty to monitor T. However, the substantive issue about how best to characterize and understand the epistemic significance of the sensitivity to defeaters is of relevance even if it does not push toward either testimonial liberalism or conservatism.

iii. S’s Ability Not to Trust T

Fricker 2004:119 suggests that S has an unusual amount of freedom related to the formation of testimonially-based beliefs. The action of trusting a testifier is one which is taken in a self-aware way, unlike the formation of a perceptually-based belief. Audi 2006:40 makes a similar suggestion: “[S] commonly can withhold belief, if not at will then indirectly, by taking on a highly cautionary frame of mind.”

Green 2006:64 argues that we have similar freedom to reject even perceptually-based beliefs. We can indulge skeptical scenarios, like being a brain in a vat, without much difficulty. Further, there might be beings who accept testimony as readily as we accept the deliverances of our senses; there does not seem to be anything inherent about testimony that makes us freer to reject it.

iv. Operational Dependence on Other Sources

Strawson 1994:24 suggests that testimony as a source of beliefs requires other sources, such as perception: “[T]he employment of perception and memory is a necessary condition of the acquisition and retention of any knowledge (or belief) which is communicated linguistically…” Audi 2006:31 notes, “In order to receive your testimony about the time, I must hear you or otherwise perceive—in some perhaps very broad sense of ‘perceive’—what you say… [T]estimony is … operationally dependent on perception.” Audi 2002:80 says, “[A]part from perceptual justification for believing something to the effect that you attested to p, I cannot acquire justification for believing it on the basis of your testimony.”

For human beings, S’s sensations that accompany her reception of T’s testimony will also supply ground for perceptually-based beliefs. However, it seems possible to imagine beings who go directly from sensations to the formation of testimonially-based beliefs, lacking even the ability to form perceptually-based beliefs on the basis of those sensations. They would have the ability to receive testimony, but not necessarily the ability to form related perceptually-based beliefs. They might reason inductively about these testimonially-based beliefs through forming higher-order beliefs about the existence of the sensations.

Burge 1993:460 offers a related response. He argues that an a priori entitlement like the belief in a mathematical proof might be dependent on sense perception in the sense that, for instance, I must see the writing on a page in order to understand the proof. However, he argues that such a role for perception does not contribute to the “rational or normative force behind [such] beliefs.” Likewise, perceptually-based beliefs might allow human beings to obtain testimonially-based beliefs without contributing to the justification or other epistemic status of such beliefs. If that is correct, then the operational dependence that Strawson and Audi highlight is not of epistemic consequence.

v. Defeasibility of Testimonially-Based Beliefs by Other Sources

Plantinga 1993 and Audi 2006 suggest that testimony differs from sources like perception in the way in which testimonially-based beliefs can be defeated by other sources, or the way in which other sources of evidence can trump testimonially-based evidence. Plantinga says (at 87), “[I]n many situations, while testimony does indeed provide warrant, there is a cognitively superior way. I learn by way of testimony that first-order logic is complete…. I do even better, however, if I come to see these truths for myself…” Audi says (at 39), “[W]e cannot test the reliability of one of these basic sources [that is, for Audi, a source like perception or memory, but not testimony] or even confirm an instance of it without relying on that very source. … With testimony, one can, in principle, check reliability using any of the standard basic sources.”

One response to Plantinga and Audi is to point out instances in which perceptually- or memorially-based beliefs could be checked, or trumped, by testimonially-based beliefs. For instance, S might see a strange phenomenon, strange enough that S asks others nearby if they are seeing what S thinks he’s seeing. S might be worried about his perceptual or memorial faculties, and so seek testimony to confirm them. Graham 2006:102 makes a similar point. After listing several ways in which sources besides testimony can be defeated, he notes, “That a source is a source of defeaters for beliefs from another source, or even from itself, does not show that the other source depends for justification on inferential support from another source, or even itself. … The fact that my perception defeats your testimony does not show that testimony is inferential and not direct. Indeed, the fact that testimony-based beliefs sometimes defeat perceptual beliefs does not show that testimony is prior to perception.”

vi. From a No-Defeater Condition to Positive-Reason-to-Believe Condition

Most testimonial liberals include a defeater condition on testimonially-based knowledge or justification. S’s entitlement to believe T is defeasible, if other contrary information about p, or about T, is available to S. A conservative could argue, in line with the well-known approach of BonJour, that including such a requirement, but not a requirement of positive reasons to believe in T’s reliability, would be inconsistent, or an “untenable half-way house.” BonJour 1980 and 2003 consider an S informed by a reliable clairvoyant faculty that p, but who also has either (a) strong evidence that ~p, or (b) strong evidence that his clairvoyant power is unreliable, or (c) no evidence to believe that the faculty is reliable. While a defeater condition could handle cases (a) or (b), BonJour argues that those who say that knowledge or justification is defeated in these cases should also say that it is defeated in case (c). Replacing the clairvoyant faculty with T, we can construct an exactly parallel argument that those testimonial liberals who admit that S lacks justification or knowledge where S has evidence that ~p, or evidence that T is unreliable, should also concede that S lacks knowledge or justification where S has no evidence that T is reliable. (Compare Lackey 2006a:168 and 186 n.21, noting that the way in which accounts of testimony typically add a defeater condition is the same as the way they add such a condition in response to BonJour’s counterexamples.)

The testimonial liberal can resist this argument, however, in the same way that BonJour’s opponents resist his claims in general, by reporting contrary intuitions on his examples. Green 2007 offers one attempt to defend the tenability of an approach to either knowledge or justification that imposes a no-defeater requirement, but not a positive-reasons-to-believe-in-reliability condition, based on the way that the law handles fraud cases. The law holds that plaintiffs who sue for fraud lack “justified reliance” if they have defeaters for their fraudulently-induced belief, but not if they merely lack a reason to believe that the defendant is reliable. (Compare Bergmann 2006a:691 (“One perfectly sensible externalist reply is to say that although the no-defeater requirement seems intuitively obvious, the awareness requirement does not.”)).

vii. S’s Higher-Order Beliefs About T

When T tells S that p, one might demand that S have (on pain of “ignorant” or “unjustified” status) other beliefs concerning T or T’s trustworthiness. The existence or epistemic quality of these higher-order beliefs would matter regarding the evaluation of S’s underlying belief that p. Fricker 2006b:600 suggests that in forming testimonially-based beliefs by trusting T, S typically has a higher-order belief about T and his trustworthiness: “Once a hearer forms belief that [p] on a teller T’s say-so, she is consequently committed to the proposition that T knows that [p]. But her belief about T which constitutes this trust, antecedent to her utterance, is something like this: T is such that not easily would she assert that [p], vouch for the truth of [p], unless she knew that [p].” Weiner 2003 (chapter 3 at 5) likewise suggests that testimonially-based beliefs, unlike perceptually-based ones, are typically attended by beliefs about T: “When we form beliefs through perception, we may do so automatically, without any particular belief about how our perceptual system works. When we form beliefs through testimony, at some level we are aware that we are believing what a person says, and that this person is presenting her testimony as her own belief.”

Green 2006:87ff. argues, however, that it is not clear that testimony is really different from perception in this respect. Many recipients of testimony have a vague belief about T, but for many others this belief is at best implicit, and for others it is hard to say that even an implicit belief arises. Likewise for perceptually-based belief: many perceivers form beliefs that they are receiving information from their perceptual environments and their perceptual faculties; for others this belief is either vague, or implicit, or not really there at all. There does not seem to be any necessary inhibition of higher-order beliefs from the very nature of perception, nor any necessary production of higher-order beliefs from the very nature of testimony.

c. Arguments Against Demands on Testimonially-Based Beliefs

i. Insufficient Inductive Base

The most common objection to putting greater demands on testimonially-based beliefs is that these heightened demands simply cannot be satisfied in cases that, intuitively, do amount to knowledge or justified belief. Plantinga 1993:79 puts the point this way:

Reid is surely right in thinking that the beliefs we form by way of credulity or testimony are typically held in the basic way, not by way of inductive or abductive evidence from other things I believe. I am five years old; my father tells me that Australia is a large country and occupies an entire continent all by itself. I don’t say to myself, “My father says thus and so; most of the time when I have checked what he says has turned out to be true; so probably this is; so probably Australia is a very large country that occupies an entire continent by itself.” I could reason that way and in certain specialized circumstances we do reason that way. But typically we don’t. Typically we just believe what we are told, and believe it in the basic way. … I say I could reason in the inductive way to what testimony testifies to; but of course I could not have reasoned thus in coming to the first beliefs I held on the basis of testimony.

Relatedly, Lackey 2006a argues that a general inductive basis for belief in “testimony” would fail because the category of testimonially-based beliefs is too heterogeneous to support the relevant induction. The inference from particular instances of confirmed testimony to new cases is only as strong as the basis for believing that new instances will be similar to old ones. But those who testify about, say, events in Greece 2500 years ago, will be very different from those who testify about middle-sized dry goods in the next room.

A kindred point that liberals make in favor of the insufficient-inductive-base argument is to point out Hume’s mistaken explanation for why our testimonialy-based beliefs are supported inductively. For instance, Coady 1992:79-82 documents several places where Hume, in describing the inductive base for a belief in the reliability of testimony, actually uses evidence drawn from other people. As Van Cleve 2006:67 summarizes the argument, “the vast majority (or perhaps even the totality) of what passes for corroboration of testimony itself relies on other testimony.” Compare Shogenji 2006:332: “[I]n justifying the epistemic subject’s trust in testimony the reductionist cannot cite other people’s perception and memory—for example, the reductionist cannot cite perception and memory of the person who provides the testimony. Only the epistemic subject’s own perception and memory are relevant to the justification of her trust in testimony.”

Van Cleve responds to this argument, however, by suggesting that corroboration of testimony is not inherently dependent on others; over the course of his life, Van Cleve says he has verified a great number of instances of testimony—both the existence of the Grand Canyon and Taj Mahal, but also “thousands of more quotidian occurrences of finding beer in the fridge or a restroom down the hall on the right after being told where to look.” He concludes that it is not necessary that our inductive base is necessarily weak: “[W]hat matters is not the proportion of testimonial beliefs I have checked, but the proportion of checks taken that have had positive results.” Van Cleve 2006:68.

Shogenji 2006 makes a unique defense of a conservative approach to testimonially-based beliefs. He argues that if Coady is right that we need to believe in the general reliability of testimony in order to interpret testimonial utterances—a Davidsonian argument that this article considers below—then if S has a non-testimonial basis for interpreting a statement in a particular way, S can likewise infer the general reliability of testimony from that basis. Shogeni says (at 339-340),

[B]y the time the epistemic subject is in possession of testimonial evidence by interpreting people’s utterances, her belief in the general credibility of their testimony is well supported. For, unless the hypothesis that testimony is generally credible is true, the epistemic subject is unable to interpret utterances and hence has no testimonial evidence. … The unintelligibility of testimony without general credibility is … not an objection to reductionism about testimonial justification, but a consequence of the dual role of the observation used for interpretation—the observation confirms the interpretation of utterances and the credibility of testimony at the same time. … [E]ven a young child’s trust in testimony can be justified by her own perception and memory. In order for people’s utterances to be testimonial evidence for her, the child must have interpreted the utterances, but the kind of experience that allows her to interpret the utterances is also the kind of experience that supports the general credibility of testimony.

Shogeni also argues that the ubiquity of testimonially-based beliefs—and therefore the ubiquity of reliance on the reliability of testimony—can be used to give greater confirmation for the reliability of testimony. Because the general reliability of testimony is implicated in so many of our beliefs, we have a large number of opportunities to add small bits of confirmation to the hypothesis that testimony is reliable. He says (at 343-344),

Beliefs based on testimony are part of the web of beliefs we regularly rely on when we form a variety of expectations. This means that the hypothesis that testimony is credible plays a crucial role when we form these expectations. As a result, even if we do not deliberately seek confirmation of the credibility hypothesis, it receives tacit confirmation whenever observation matches the expectations that are in part based on the credibility hypothesis. Even if the degree of tacit confirmation by a single observation is small, there are plenty of such observations. Their cumulative effect is substantial and should be sufficient for justifying our trust in testimony.

Interestingly, Shogeni does not argue that we should be more demanding of testimonially-based beliefs than we are for perceptually-based beliefs; he notes (at 345 n.15) that Shogenji 2000 “uses essentially the same reasoning as described here to show that the reliability of perception can be confirmed by the use of perception without circularity.”

What can the liberal say in response to such an argument? One response would be to abandon Coady’s Davidsonian argument that interpreting testimonial utterances requires an assumption that testimony is reliable. If that is not right—as liberals such as Graham and Plantinga have argued—then the possibility of interpretation is not enough to justify belief in the reliability of testimony.

Finally, even if the inductive base for testimonially-based beliefs is poor, the conservative can reply to this sort of argument by simply denying that we have very much testimonially-based justification or testimonially-based knowledge. Van Cleve 2006:68 suggests this route for children, suggesting that they do, in fact, lack epistemic justification for their testimonially-based beliefs: “Children … go through a credulous phase during which they believe without reason nearly everything they are told. As reductionists, however, we must hold that these beliefs are justified only in a pragmatic sense, not in an epistemic sense.”

ii. Analogies to Perception

Some liberals support lenient principles to govern testimonially-based beliefs on the basis of their great similarity to principles that many people believe govern perceptually-based beliefs.

For instance, Graham 2006:95ff. considers those who believe what he calls PER (“If S’s perceptual system represents an object as F (where F is a perceptible property), and this causes or sustains in the normal way S’s belief of x that it is F, then that confers justification on S’s belief that x is F”) and MEM (“If S seems to remember that [p] and this causes or sustains in the normal way S’s belief that [p], then that confers justification on S’s belief that [p]”), but who reject what he calls TEST (“If a subject S (seemingly) comprehends a (seeming) presentation-as-true by a (seeming) speaker that [p], and if that causes or sustains in the normal way S’s belief that [p], then that confers justification on S’s belief that [p]”). Graham then defends TEST against those who accept PER and MEM. He notes (at 101-102) that those who accept PER and MEM would already reject the idea that a difference in the degree of reliability should amount to a difference in epistemic kind, and would also already accept that perceptual or memorial beliefs can be direct, even though they can be defeated by other sorts of beliefs. He likewise argues (at 100) that the reasons to adopt PER, rather than seeing perceptual beliefs as inferential, are directly parallel to the reasons to adopt TEST as well.

Green 2006 argues that testimonially-, memorially-, and perceptually-based beliefs are on an epistemic par, in the sense that, over the universes of possible beliefs based on the three sources, the set of explanations of the epistemic status of those beliefs displays the same structure. (He excludes beliefs that cannot be perceptually-based, but could be testimonially- or memorially-based; we cannot literally perceive mathematical facts, but we can be told them, or remember them.) Green argues first that such parity is a more economical account of epistemic phenomena—and so an account more likely to be true—than accounts that distinguish sharply between the three sources. Second, he argues (at 218 ff.) that the epistemic parity of these sources follows from the epistemic innocence of certain transformations which will turn instances of testimonially-based beliefs into instances of beliefs based on the other two sources, or vice-versa—that is, the claim that such transformations preserve the structure of the explanation of epistemic status.

Turning perceptually-based beliefs into testimonially-based beliefs requires anthropomorphizing our sense faculties and environments—considering a possible world in which our sense faculties are monitored and operated by little persons who present messages to us about our environment, by causing perceptual sensations just like the ones in normal perceptually-based beliefs. Green suggests that the structure of the explanation for the epistemic status of such testimonially-based beliefs would have the same structure as the explanations for the epistemic status of perceptually-based beliefs before the transformation. The mere fact that a faculty for obtaining information is operated by a person, Green claims, should not make a difference in how that source of information produces justified beliefs and knowledge. The opposite transformation—from testimonially-based beliefs into perceptually-based beliefs—requires treating our testifier T as a machine, akin to, say, a telescope. This transformation would treat human beings as an environmental medium through which information about the world passes in complicated ways. Deception is possible when we get information from a testifier, but it is also possible when we get information from a telescope (for instance, if someone has put a fake picture on the end of it).

The conservative could respond to Green’s argument by claiming that these transformations are, in fact, not epistemically innocent. Anthropomorphizing our sense faculties would inherently introduce the element of human agency, and treating T as a perceptual device would remove it. As summarized above, however, Green argues that agency is already potentially at stake in cases of perception, for instance because of the possibility that someone else has substituted a fake object.

iii. Analogies to Memory

Several thinkers likewise draw analogies between testimonially-based beliefs and memorially-based ones. Dummett 1994, for instance, quoted above on relationship between the T-side and S-side debates, suggests that both memory and testimony are both merely means of preserving or transmitting knowledge, not of creating it, and are similarly direct and lacking need for supporting beliefs. Schmitt 2006 argues that transindividual reasons—that is, reasons that T has, but which also count as reasons for S’s belief—are no more problematic than the transtemporal reasons at stake in memory—that is, reasons that S has at time 1, but which also count as reasons for S’s belief at time 2. Foley 2001 argues that trust in others, at stake in testimony, is no less justified than trust in oneself, at stake in memory.

As noted above, Green 2006 argues that testimony and memory are also on an epistemic par. Green’s method of transforming testimonially-based beliefs into memorially-based beliefs is to treat the testifier T as S’s epistemic agent, and then to apply the fiction of the law of agency, qui facit per alium, facit per se—“he who acts through another, acts himself.” If T’s earlier actions are treated as if they were actually S’s own actions, then the transfer of information from T to S will be the same sort of transfer of information that happens when, using memory, S at time 1 transfers information to S at time 2. Green’s claim is that this transformation keeps the structure of the explanation of epistemic status of the resulting belief the same. On the other hand, turning memorially-based beliefs into testimonially-based beliefs requires treating S at time 1 as a different person from S at time 2. If the earlier time slice is someone else, and we treat the recovery of information from a memory trace as the interpretation of a message from that person, then memorially-based beliefs are transformed into testimonially-based ones. Green’s claim is that that transformation should not create or preserve epistemic status, or affect the structure of its explanation.

As with the response to Green’s argument for an analogy between perception and testimony, the conservative could claim that there is something inherently different between relying on one’s own earlier efforts and relying on someone else’s; replacing “S at time 1” with “T,” or vice versa, inherently changes the structure of the explanation of beliefs’ epistemic status.

iv. Skepticism about Over-Intellectualization and Young Children

Another argument against demands on testimonially-based beliefs is that, even if those demands might be able to be satisfied by those who are particularly careful in considering earlier cases of confirmation, it is improper to place too many intellectual demands on people’s everyday beliefs. Graham 2006:100 puts it this way: “[E]ven if the reduction is possible, requiring it is overly demanding; the requirement to reduce hyper-intellectualizes testimonial justification.” Young children, for instance, lack the intellectual capacity to consider complicated issues regarding the reliability of their parents or others who give them testimonially-based beliefs, and so it is improper to place epistemic demands on them.

Lackey 2005 defends a conservative approach to testimony against the infants-and-young-children objection by considering whether a similar problem could afflict any approach to testimonial-based justification that includes a non-defeater condition. No one suggests that testimonially-based justification is indefeasible; rather, S is only justified on the basis of T’s testimony if S lacks a defeater for her belief that p. For instance, if T tells S that p, but S already believes that q and if q then ~p, she cannot just add the belief that p, rendering her beliefs inconsistent. Defeaters can be standardly divided into doxastic, normative, and factual defeaters. Doxastic defeaters are like those in the case we just considered: other beliefs that S has that make it improper for her to believe p, or to accept testimony that p from T. Normative defeaters are other beliefs that S would have, if she performed her epistemic duties. Factual defeaters defeat S’s justification in virtue of being true. The standard example is the fake barn; if S just happens to see the one real barn amidst a countryside full of fakes, S’s belief about the barn is not justified, or at least does not count as knowledge. Similarly, if S just happens to meet T, the one reliable testifier in a sea of unreliable ones, then she has a factual defeater. Some epistemologists, though, are fake-barn-case skeptics, and think that these cases are not obviously cases where justification or knowledge fails.

Lackey’s argument is that if young children, or animals, are not capable of satisfying a positive-reasons demand on testimonially-based beliefs because they are not capable of appreciating reasons, then for the same reason they are likewise not capable of satisfying a no-defeater condition, either regarding normative or doxastic defeaters. Those who are not capable of understanding a reason for a belief presumably also cannot understand either a conflict in beliefs, as required by an appreciation of doxastic defeaters.

The liberal can resist Lackey’s argument in at least three ways. One way would be to deny that the existence of a no-defeaters condition requires a defeater-recognition capacity. It is true, this response would go, that young children must deal properly with any doxastic and normative defeaters in order to be justified, but young children simply lack such defeaters. Young children who lack the capacity to appreciate reasons or the resolution of conflicting claims lack the epistemic obligations presupposed by normative defeaters. They lack the ability to investigate for defeaters, but fortunately they also lack the duty to do so. This route, however, is unattractive to Lackey, because she thinks it quite clear that if young children are exposed to enough counterevidence for one of their beliefs, they become unjustified in holding that belief. The liberal might attempt to resist that intuition, however.

A second route for the liberal would be to retreat from the suggestion that children lack the capacity to appreciate reasons at all. Rather, he might insist that young children, while in principle capable of appreciating reasons or defeaters, have a particularly bad inductive base with respect to confirmed reports. It is not the cognitive incapacity of the child, but her evidentiary incapacity, that undermines the reasonableness of a demand for inductively-based reasons to believe T. All of the confirmed reports of a young child, for instance, are likely confined to a very small part of the world and to only a few testifiers. The leap to believe what his parents tell him about other subjects seems inductively very weak. This sort of response would dodge Lackey’s argument only by reconstruing the argument as a special form of the bad-inductive-base argument.

A third route for the liberal, taken in Goldberg 2008, would stress the role of reliable caretakers in shielding children from improper testimonially-based beliefs. While children themselves may not be able to appreciate the significance of defeating evidence, for instance, their parents can. Goldberg argues that the presence of such an external defeater-detection system is critical for testimonially-based knowledge in young children. Goldberg draws (at 29) the lesson he regards as radical: that “the factors in virtue of which a young child’s testimonial belief amounts to knowledge include information-processing that takes place in mind/brains other than that of the child herself.”

v. The Assurance View as a Basis for Lessened Demands on S

Moran 2005, Ross 1986, and Hinchman 2005 and 2007 argue that, because the testifier T has assumed responsibility for the truth of p, S’s responsibilities are necessarily lessened. In telling S that p, T is not offering S evidence that p, but instead asking S to trust him. Because the reception of testimony is inconsistent with S basing his belief on evidence, S’s responsibilities are necessarily lessened when he forms a testimonially-based belief. To trust T is to rely on his assurance, not to assume responsibility for the truth of p oneself. Hinchman 2007:3 summarizes the argument: “[H]ow could [T] presume to provide this warrant [for S’s belief that p]? One way you could provide it is by presenting yourself to A as a reliable gauge of the truth. … The proposal … simply leaves out the act of assurance. Assuring [S] that p isn’t merely asserting that p with the thought that you thereby give [S] evidence for p, since you’re such a reliable asserter (or believer). That formula omits the most basic respect in which you address people, converse with people—inviting them to believe you, not merely what you say.”

However, Goldberg 2006 argues that both reductionists and non-reductionists—both liberals and conservatives, in the terminology of this article—can subscribe to a buck-passing principle, very similar to the assumption-of-responsibility view. Even if T has assumed the responsibility for certain epistemic desiderata regarding p, S may have very demanding responsibilities of his own. For instance, S may have an epistemic duty to select those most worthy of buck-passing, much as a client has a duty to select a proper lawyer, even though the client does not know as much about the law as the lawyers he selects. On Green 2006’s suggestion that T is S’s epistemic agent or employee, it is consistent to say both (a) that T takes responsibilities for handling particular areas of S’s epistemic business, but (b) that S has responsibilities to select T properly—just as employees assume responsibility for particular functions of their employees, but employers still retain critical responsibilities to select employees well. Weiner 2003b has similarly argued that the view of testimony as an assurance does not contradict a requirement that S have evidence for his testimonially-based beliefs.

d. A Priori Reasons in Support of Testimonially-Based Beliefs

i. Coady’s Davidsonian Argument from the Comprehensibility of Testimony

Some testimonial liberals contend that there is good a priori reason to believe that testimonially-based beliefs are justified. Coady 1992 argues, building on Donald Davidson’s views about radical interpretation, that we must presuppose the reliability of testifiers in order to interpret their utterances. If we were to encounter a group of Martians interacting with each other using bits of language in response to external stimuli, we could not interpret the Martians’ language unless we were to assume that the bits of language that correlate with particular external stimuli are bits of language that refer to those stimuli. Unless we assume that the language used by the Martians generally tracks the world in which they live, we could not begin to interpret their utterances. Hence testimony, in order to be interpreted, must be generally reliable.

Graham 2000c argues, however, that it is possible for testifiers to be generally unreliable, even though they interpret each others’ statements on the assumption that they are incorrect. He imagines (at 702ff.) a group of people who are both honest and good at interpreting each others’ utterances, but who because of perceptual failures, or failures in memory, have mostly false beliefs about the world outside their immediate perceptual environment. These people could interpret utterances fine, but would still be unreliable testifiers. (For a response to a similar argument from Davidson, see Plantinga 1993:80f.)

ii. Burge’s Argument from Intelligible Presentation

Tyler Burge in (Burge 1993) argues that S is a priori entitled to accept T’s statement, because it is, on its face, intelligible and presented as true. He summarizes his argument (at 472–473):

We are a priori entitled to accept something that is prima facie intelligible and presented as true. For prima facie intelligible propositional contents prima facie presented as true bear an a priori prima facie conceptual relation to a rational source of true presentations-as-true: Intelligible propositional expressions presuppose rational abilities and entitlement; so intelligible presentations-as-true come prima facie backed by a rational source or resource of reason; and both the content of intelligible propositional presentations-as-true and the prima facie rationality of their source indicate a prima facie source of truth. Intelligible affirmation is the face of reason; reason is a guide to truth. We are a priori prima facie entitled to take intelligible affirmation at face value.

One response to Burge’s argument is to suggest that he seems to be skipping over the assumption that T’s rational faculties are functioning properly. It may be that if S sees a T statement and sees that it is intelligible, S may be entitled to think that it came from a process that is geared toward presenting true statements; part of what it is to understand that something is a piece of testimony is to see that it is malfunctioning if it turns out to be false, or to have been unreliably produced. But the critic can ask why, without more, we should be entitled to assume that this process has turned out well. Absent the assumption that T is in an environment conducive to proper function of T’s truth-seeking processes—an assumption that is false in many possible worlds—it would seem that S should not be entitled to rely on T’s word, simply from the fact that it is the presentation of a rational source.

Burge might respond that the worlds in which T’s truth-seeking faculties are not functioning properly are worlds that we may ignore, because they are not relevant alternatives (like, for instance, the brain-in-a-vat worlds that non-skeptics feel entitled to ignore). However, Burge’s argument does not depend on whether we are in a possible world where testifiers tend to be reliable. It would seem to work just as well in worlds where they are not. But it does not seem plausible that everyone in any possible world is entitled to believe that they are in worlds where testifiers are usually reliable.

iii. Graham’s A Priori Necessary Conceptual Intuitions

Graham 2006 argues that TEST, his principle that T’s statement supplies pro tanto justification, is an a priori necessary conceptual truth, even though testifiers are not reliable in all possible worlds. Such a view of testimony fits with Graham’s general metaepistemological view that epistemic principles should be necessary a priori conceptual truths about the proper aim of our beliefs. However, Plantinga 1993:80 criticizes the suggestion that testimony is necessarily evidence. He argues, in accord with Reid’s statements about the provisions of “Nature,” that testimony only supplies evidence the contingent human design plan provides—in line with an environment in which testifiers generally speak the truth—that properly functioning human beings trust statements from others.

3. Testifier (T)-Side Questions: Testimony and the Preservation of Knowledge

a. Background

For S to come to know that p by relying on T’s testimony, S must satisfy whatever internal conditions there are for knowledge, but this is not enough. P must actually be true, of course, but T must also be properly connected to the fact that p; as Gettier 1963 teaches, there is also some sort of environmental condition on our testifier T in order for S to know. Several authors give a relatively simple answer to the environmental condition: T must, himself, know that p. Others give other similar conditions, such as someone knowing that p on a non-testimonial basis. Lackey 2003 gives an extensive list of such thinkers, whom we might call testimonial knowledge-preservationists. The discussion, like much of the post-Gettier literature, revolves around the discussion of counterexamples and principles intended to cover them.

If S’s testimonially-based knowledge that p requires T’s (or someone’s) knowledge that p, it would seem that testimony is “a second-class citizen of the epistemic republic,” as Plantinga 1993:87 puts it, because, unlike perception, testimony is not a source of knowledge for the epistemic community as a whole; it is only a way of spreading knowledge around that community. Much as a political libertarian might see government as a tool useful only for redistributing wealth, but not creating it, knowledge-preservationists might see testimony as a tool useful only for spreading knowledge, but not creating it.

In general, someone attracted to knowledge-preservationism—the thesis that S’s testimonially-based knowledge that p requires T to know that p—can resist counterexamples in three ways. First, he can deny that, as described, S really knows that p (the “Ignorant-S” response). Second, he can claim that T, as described, really does know that p (the “Knowing-T” response). Third, he can deny that S’s belief that p is really based on T’s testimony that p (the “Not-Testimony” response). More generally, where a different account of the testimonial environmental condition is at stake, and a counterexample claims to find an S who knows that p, but in which that environmental condition fails, the defender of the account has the same three options: deny that S knows, argue that the environmental condition is actually met, or deny that the case is the proper sort of testimonially-based belief. If none of the responses is available, of course, the counterexample is effective, and the environmental condition needs revision.

If knowledge by T is not the key environmental desideratum to S’s knowledge, what is? Several thinkers propose substituting a focus on information. Goldberg 2001:526 argues that his example should convince epistemologists of testimony to “widen our scope of interest from an exclusive focus on content-preserving cases of [testimonially-based] belief and knowledge to include all cases in which information is conveyed in a testimonially-based way from speaker to hearer.” The alternative account to the testimonial environmental desideratum, then, is that T possess information that p. (Goldberg’s 2005 counterexamples might, however, undermine even that account.) Graham 2000:365 takes a similar view, explaining it at length: “According to the model I prefer, knowledge is not transferred through communication, rather Information is conveyed.” Green 2006:47ff. follows Graham and suggests that positional warrant is the key environmental desideratum: information sufficient to support a belief that p, if a doxastic subject were present.

b. The Cases

i. Untransmitted Defeaters

Lackey 1999 presents cases in which T does not know that p, because either T has personal doubts about p, or because T should have doubts about p, but in which T still reliably passes along the information that p to S. T’s defeaters are not necessarily transmitted to S.

Her first example is a biology teacher who does not believe her lesson about evolution, but passes it on reliably because the school board requires her to do so. Because the children reliably believe their lesson, Lackey says, they know it, despite the fact that their testifier does not. Both the Ignorant-S and Not-Testimony responses have some plausibility here. Audi 2006:29 suggests the Ignorant-S response: “If … [the students] simply take [the teacher’s] word, they are taking the word of someone who will deceive them when job retention requires it…. It is highly doubtful that this kind of testimonial origin would be an adequate basis of knowledge.” Schoolchildren who discovered that their teacher did not actually believe her own lesson would presumably be startled and unsettled. They perhaps relied on a premise like “My teacher knows the truth about this lesson,” and while it might be possible to get knowledge by reasoning on the basis of a falsehood, this is not obviously such a case. Teachers depend on their students viewing them as trustworthy sources of information. A teacher who refuses to believe her own lesson is like a host who refuses to eat the meal he serves a guest. “If the teacher doesn’t believe the lesson,” a student could reason, “why should I?” To attempt a Not-Testimony response—perhaps termed in this case a Not-Testimony-From-T response—we might recharacterize the case as testimony from the school board, rather than the teacher. A school teacher who tells students what she doesn’t believe isn’t really testifying, the suggestion might go; she is merely acting as a conduit for the real testifier, the school board, who does in fact know the lesson.

Lackey has defended her intuitions in the biology teacher case by suggesting that, even though T does not know or believe that p, it is still perfectly proper for her to assert that p, disputing the account of knowledge as the norm of assertion contained in Williamson 2000. Because the reliability of her lessons means that the teacher is behaving properly in telling her students that p, there is likewise nothing epistemically amiss in her students then believing that p on her say-so. A full discussion of whether knowledge is the norm of assertion, however, is not possible here.

Lackey’s second example is someone with matching misperceptions and pathological lies. For instance, whenever she sees a zebra, she thinks it is an elephant, but has a pathological urge to tell people that what she thinks are elephants are zebras, and so on. The Ignorant-S response seems possible; it is not at all obvious that relying on someone like that is a way to gain knowledge. Such a T seems close to insane, and even if someone who is insane happens to be a reliable speaker about what she has seen, S would have to know that in order to gain knowledge from her statements. A similar response seems possible for Lackey’s third and fourth examples, where T is gripped by skeptical worries or by the belief that her perceptual abilities are faulty. If T is really and seriously worried about whether she is a brain in a vat, or has radically unreliable powers of perception, such that we would conclude that she does not know everyday things about his environment, then it is hard to see how S could come to know those things by relying on his say-so. Lackey’s last example is someone who is presented with evidence that her powers of perception are radically unreliable, but who retains her perceptually-based beliefs anyway. In response, the knowledge-preservationist could argue that defeating evidence serious enough to make T’s belief that p improper would, it seems, be serious enough to make T’s testimony that p similarly improper, and likewise S’s reliance on that testimony. (For a defense of these suggested responses to Lackey’s examples, based on the idea that S takes T as his agent, and so an S who trusts a relevantly misbehaving T should be charged with T’s misbehavior, see Green 2006:137ff.)

Graham 2000a:379ff. promotes an example similar to Lackey’s misperceptions-and-pathological lies case. T has been raised in an environment where the word “blue” refers to the color red, “red” to blue, “green” to yellow, and “yellow” to green. Scientists aware of T’s malady install spectrum-reversing glasses on T, so that his testimony now comes out right. Unlike someone who looks at a zebra, thinks it is a giraffe, but has a pathological desire to call it a zebra, we might think such a T is sane. Still, there is some reason to think that the Ignorant-S response may work. If S were to learn that when T looks at the sky, it seems red to him, S would be very alarmed, and would not likely trust what T tells him about the colors of nearby objects. That fact suggests that S has a defeater for his belief based on T’s testimony now; it implicitly relies on the false premise that T is using words and perceiving colors normally. The fact that there are two large errors in S’s assumptions, albeit matching errors that cause T’s color reports to come out true, makes the status of S’s knowledge shaky.

ii. Zombie Testifiers

Green 2006:27ff. argues that T can testify to S, and support knowledge, even if T entirely lacks phenomenology entirely, and so is a zombie, or a machine. For instance, we might receive a phone call from our credit card company noting suspicious behavior in our account, but it could be a computer-generated voice speaking to us. (In a possible world without phishing scams, we might also receive such a message through email.) If beliefs require conscious phenomenology, such testifiers would know nothing, and so would not know p. Possible cases of machine testimony might be phenomenologically indistinguishable from normal cases of testimonially-based beliefs. The Ignorant-S response, denying that such beliefs would be knowledge, seems clearly closed. We can surely get knowledge from a machine. The Knowing-T response, by affirming knowledge in T, would require knowledge without any phenomenal beliefs, which seems very implausible. The Not-Testimony response is the most promising route for the knowledge-preservationist: denying that beliefs based on the testimony of machines would really be “testimonially-based belief.” Machines that cannot know things likewise cannot perform speech acts, and testimony is a speech act.

In defense of his view that machine testimony really is testimony, Green (at 36ff.) relies on his intuition that if two beliefs (a) have the same epistemic status, (b) have the same contents, (c) are the result of the exercise of the same cognitive ability by S, and (d) have the same phenomenology for S, then the two beliefs should be regarded by the epistemologist as similarly based; we should regard either both, or neither, as testimonially-based. “Testimonially-based belief” is, on this view, an epistemic tool, and describing the full range of epistemic phenomena would be unnecessarily duplicative if we were required to use two different terms or concepts to cover such similar beliefs. Further, epistemic principles like those defended by Graham 2006:95 would cover zombies or machines. Graham includes broad conditions in TEST: “If a subject S (seemingly) comprehends a (seeming) presentation-as-true by a (seeming) speaker that [p] ….” Green at 41 also argues that beliefs that come from the linguistic output of machines need to be categorized in some way, and using a category other than “testimonially-based belief” seems to multiply epistemic categories beyond necessity. On the other hand, the intuition that testimony is a type of speech act, requiring that T be conscious, is very strong in some people. To the extent that such thinkers would retain “testimonially-based belief” as an epistemic concept, such thinkers would reach beyond epistemic status, content, cognitive ability, and phenomenology to determine that concept’s application.

iii. High-Stakes T, Low-Stakes S

Hawthorne 2004 and Stanley 2005’s interest-sensitive approaches to knowledge suggest another way in which S might know, but T would not. For instance, T’s life might depend on getting to the bank tomorrow—the mob wants its money, won’t take a check, and will kill him if it doesn’t get it by the Saturday deadline. By Hawthorne and Stanley’s lights, T might not know that the bank is open tomorrow, even if he has a fairly-clear recollection that banks in this town are open on Saturdays, because knowledge requires enough certainty to satisfy a particular subject’s needs. But S, who does not owe the mob any money, but who would like to have enough cash in his pocket to buy his kids an ice-cream cone in the park on Saturday afternoon, can make do with less certainty than can T. If T tells S that the bank is open tomorrow, then, assuming other factors work out, T could presumably pass along his between-ice-cream-cone-and-mob-repayment-level certainty to S. That amount of certainty would be enough for S to come to know, though it wasn’t enough for T. Put abstractly, T might properly tell S that p, aware knowing that, given S’s stakes, S only needs a relatively low amount of Grahamian pro tanto justification, or relatively Plantingian little warrant, in order for S to know, even though T himself might be in a much higher stakes situation, and so would not have enough justification to know that p. On this sort of view, T may assert that p if T has enough certainty for his audience’s needs, but which might not be enough for T’s own. (See Green 2006:142.)

Denying the Hawthorne-Stanley interest-sensitive view of knowledge is, of course, one easy way to resist this sort of counterexample. Another way to defend knowledge-preservationism against such an attack is to insist that asserter’s knowledge is the norm of assertion: T should only assert that p if he has enough certainty for T’s own needs. The idea might be that S, hearing T say that p, will assume that T has enough evidence for himself, and would normally be shocked and disturbed were he to learn that T thought that his evidence was insufficient for T’s own purposes, but passed along the statement that p anyway. Likewise, we might be attracted to the intuition that a low-stakes T, with enough certainty that p for his own purposes, should have every right to assert that p, no matter the audience (for instance, by asserting that p on the internet, where anyone might read it, including a high-stakes S).

iv. False Testimony

Goldberg 2001 presents a case where T testifies falsely, but S still gains testimonially-based knowledge. T tells S that q: “T saw Jones wearing a pink shirt last night at the party.” But S knows that Jones was out of town last night, and so decides that T must have mistaken someone else for Jones. So S instead believes p: “T saw someone wearing a pink shirt last night at the party.”

The knowledge-preservationist might respond with a combination of the Knowing-T and Not-Testimony responses. T does, of course, also believe p, that he saw someone with a pink shirt. Did he tell S that? If so, then T told S that p, and spoke truly and knowingly. If, however, we regard T as not telling S that p, but only that q, it seems plausible to say that S actually inferred that p from T’s testimony that q (and in a manner unlike the way that conservatives, discussed above, argue that inference is involved in ordinary testimonially-based beliefs). So the knowledge-preservationist can argue that either T knew and testified that p, in which case the example has door-#2 problems, or else T didn’t tell S that p, in which case the example has door-#3 problems.

v. Reconceptualization from T to S

Green 2006:30 discusses an instance where T conceptualizes the object of belief differently than does S. T tells S that some object m is F, not knowing that object m is the same as object n. S knows that m is n and does not distinguish the two, and so believes that n is F. But T didn’t know that. For instance, Lois Lane knows that Superman is Clark Kent, but Jimmy Olsen does not. Jimmy tells Lois that Clark’s favorite ice cream flavor is chocolate, and Lois now knows Superman’s favorite ice cream flavor, which Jimmy did not. We might stipulate that Lois does not know that Jimmy distinguishes Clark and Superman; Jimmy tells her something about Clark, and Lois just assimilates that information into a single “Clark/Superman” file.

The knowledge-preservationist might argue, as in the reply to Goldberg’s case above, that S’s belief is either inferentially-based, or that T somehow did tell S that n is F. However, it seems plain that T, not knowing that n is m, or perhaps not knowing about n at all, could not know that n is F—Jimmy did not know that Clark was Superman, and he wasn’t talking about Superman. So the Knowing T response seems blocked. Could this case be seen as inferentially-based, rather than testimonially-based? Here, unlike in Goldberg’s case, S may not even be conscious that he is conceiving of the object differently than T. In the Jones-wasn’t-there case, though, S explicitly modifies T’s statement that p, because he knows why q is the more reasonable belief to form. Because differences between how T and S conceptualize the object of their beliefs may not be noticed, there is stronger ground for saying that the presence of such a difference would not prevent S’s beliefs from being testimonially-based. However, if S’s belief that m is F is receiving epistemic benefits from his background knowledge that n is m, then there may be some plausibility in saying that S’s belief is somehow based in part on that knowledge, even if it is non-inferential. Lois is utilizing, even unwittingly and unconsciously, her knowledge that Clark is Superman. (Cf. Heck 1995:99 (“[O]ne can not come to know things about George Orwell from assertions containing ‘Eric Blair.’”).

vi. Unreliable Testimony

Goldberg 2005 presents a case where even unreliable testimony produces testimonially-based knowledge. T sees evidence that p which is usually misleading, but is luckily not misleading on this occasion—in Goldberg’s example, the evidence is an opaque carton of milk which A, an eccentric writer, usually replaces each morning with an empty carton, but A forgot this morning; p is “there is milk in the fridge.” T tells S that p, an observer of the testimony, A, is nearby, and would have corrected T’s testimony had it been incorrect. S’s belief is, Goldberg thinks, safe, because A’s presence would have prevented T’s false testimony from being believed, but T’s testimony itself is unsafe, because it is based on evidence that, in the circumstances, is usually misleading.

The Not-Testimony response is an option here. Even though S’s belief is formed in response to T telling him that p, an essential part of S’s belief-sustaining environment is A’s safety-guaranteeing presence. Goldberg (at 308) gives his defense of S’s knowledge by considering a case in which S knows about A’s role. It seems quite plausible that in that case, S is not relying solely on T, but on the T-in-A’s-presence hybrid. In the case where S does not know that A is guaranteeing the reliability of his belief that p, Goldberg still thinks that S knows that p—A’s guaranteeing function alone, and not S’s explicit reliance on that function, is enough. It might seem a bit odd to suggest that S’s belief is not testimonially-based, when S herself has no other conscious basis for her belief than the fact that T told her that p. However, if, unknown to S, S’s belief receives epistemic benefits because on A’s guaranteeing function, it also seems possible for S’s belief to be differently based because of A’s guaranteeing function. The actual reason why S has the belief she has is partly T, and partly A. If we understand the case this way, Goldberg’s case is a case where beliefs partly based on defective testimony can amount to knowledge, precisely because the other part of the basis of that belief cures the defect in the testimony.

Knowing T—the response that T herself knows that p, and in fact that her testimony is reliable—is also a possibility, if we pay close attention to T’s belief and testimony over time. Suppose T tells S that p at time t, and that it would take A at least time Δt to correct T’s testimony, had it in fact been false. If S believes T straightaway, then at time t, before A’s correction mechanism could have worked in any event, it does not seem right to say that S’s belief is safe. Only after A has had a chance to correct the testimony, but has not, would S’s belief amount to knowledge. S’s belief at time t+Δt may be knowledge, but not his belief at time t. But what about T? T’s belief that p is unreliable at time t, and so is his testimony that p, because it was based on evidence that is usually misleading. But at time t+Δt, T has as much right as S to rely on A’s failure to correct the testimony that p. So at time t+Δt, T also knows that p. We could say the very same thing about T’s testimony: it is unsafe and unreliable at time t, but at time t+Δt, it is itself safe and reliable—or at least as safe and reliable as S’s belief based upon it. In other words, T and S are ignorant, and T’s testimony unreliable, at time t, but T and S know that p, and T’s testimony is reliable, at time t+Δt.

Goldberg 2007:322ff. discusses a similar case in which S receives clues about T’s reliability in addition to T’s testimony itself. Due to wishful thinking, T always believes that the Yankees have won, and always says so. Sometimes, however, the Yankees do win, and T reads so in the newspaper. When T’s belief is based on wishful thinking, he displays tell-tale signs, such as failing to look S in the eye, which would lead S not to believe him. When T’s belief is based on genuine information that the Yankees won, these signs are absent, and S would believe him. As a result, Goldberg says that S’s belief in the Yankees-actually-won case is safe and should count as knowledge, even though T’s belief is not. The Not-Testimony response is again possible: S’s belief is based not on T’s testimony alone, but on the signs that would indicate unreliability.

Graham 2000b:371ff. discusses a similar case. T has trouble distinguishing two twins, A and B, but S does not. T tells S that A knocked over a vase, and S knows that B could not have done it. T’s testimony is unreliable, because T cannot tell A from B, and B might as easily have knocked over the vase. The Not-Testimony response is somewhat plausible here: S’s belief is not based simply on T’s testimony, but also on his knowledge that B did not knock over the vase. As with Goldberg’s case, S may not be aware of the fact that T is unreliable, and so may not be aware of the contribution of S’s additional knowledge about B in sustaining S’s belief about A knocking over the vase. But also as in Goldberg’s case, there is some reason to think that if an additional source provides epistemic benefits to S’s belief, it can also make a difference in the basis for S’s belief, albeit a difference of which S may be unaware.

4. Some Brief Notes on Other Issues

As noted above, the S-side and T-side questions are far from an exhaustive map of the important issues in the epistemology of testimony. This section does not give a full map of other issues, but notes two particularly prominent ones.

a. Connections between S-side and T-side issues

One interesting issue is the extent to which the two main issues discussed above are related. Some philosophers connect their views on the internal and external questions, but they do so in both directions. For instance, Fricker 2006b:603 argues that knowledge-preservationism regarding testimonial knowledge fits best with a relatively demanding approach to testimonial justification in which S has a second-order belief about T’s knowledge:

When the hearer [S] … believes [T] because she takes his speech at face value, as an expression of knowledge, then … [S]’s belief in what she is told is grounded in her belief that T knows what he asserted. … Several writers have endorsed the principle that a recipient of testimony can come to know what is testified to only if the testifier knows whereof she speaks. In my account this fact is … derived from a description of the speech act of telling….

On the other hand, Dummett 1994:264 suggests that knowledge-preservationism fits best with a less demanding approach, because it suggests a strong analogy with memory:

In the case of testimony … if the concept of knowledge is to be of any use at all, and if we are to be held to know anything resembling the body of truths we normally take ourselves to know, the non-inferential character of our acceptance of what others tell us must be acknowledged as an epistemological principle, rather than a mere psychological phenomenon. Testimony should not be regarded as a source, and still less as a ground, for knowledge: it is the transmission from one individual to another of knowledge acquired by whatever means.

Among thinkers who have considered both issues in detail, all four possible sorts of view are represented.

Conditions on Testifier for Testimonially-Based Knowledge
(T-side issues)
Relatively more demanding (Knowledge-Preservationism) Relatively less demanding (Anti-Knowledge-Preservationism)
Conditions on Recipient for Testimonially-Based Justification (S-side issues) Relatively more demanding (Reductionism) Audi
Fricker
Lackey
Relatively less demanding (Anti-Reductionism) Burge
Dummett
Plantinga
Ross
Welbourne
Goldberg
Graham
Green

b. The Nature of Testimony

An extensive literature exists on the general nature of the epistemic relationship between the testifier T and our epistemic subject S. For instance, Reid 1785 says that testimony is distinguished by S relying on T’s authority for the proposition that p. Goldberg 2006 says that forming a testimonially-based belief allows S (in the right conditions) to “pass the epistemic buck” to T. Moran 2006, Watson 2004, Hinchman 2007, Ross 1986, Fried 1978, and Austin 1946 all promote variants of the view that in testifying, T is offering an assurance to S that p is true, akin to a promise. Schmitt 2006 says that testimonially-based beliefs involve “transindividual reasons,” such that T’s initial reasons are transferred to S, though S may not comprehend what they are. (Related to Schmitt’s view on this issue is the large question, unfortunately beyond the scope of this article at this time, of whether testimony requires an irreducibly social account of epistemology. For an introduction to some of these issues, see the articles in Schmitt 1994.) Green 2006 says that testimonial relationships are a form of epistemic agency, such that T’s actions on S’s behalf should be considered the action of S’s agent, and so subject to the legal maxim qui facit per alium, facit per se (he who acts through another acts himself).

One issue is whether these views really compete with one another. These characterizations might conceivably all be true: in testifying, T might be giving an assurance, thereby offering to serve as an epistemic agent, thereby transferring his reasons to S, and allowing S to rely on T’s authority and pass the epistemic buck to him.

Related to the general characterization of the testimonial link between T and S is what counts as “testimony.” For instance, Graham 1997 defends a relatively broad characterization of testimony. He argues that T testifies if his statement that p is offered as evidence that p. He criticizes Coady 1992, who holds that T testifies only if he actually has the relevant competence and T’s statement that p is directed to those in need of evidence, for whom p is relevant to some disputed or unresolved question. Lackey 2006b defends a hybrid view of testimony, distinguishing “hearer testimony” from “speaker testimony.” The former takes place if the latter takes place if T reasonably intends to convey the information that p in virtue of the communicable content of an act of communication, while the latter takes place if S reasonably takes T’s act of communication as conveying the information that p in virtue of the communicable content of an act of communication.

5. References and Further Reading

  • Adler, Jonathan E., 1994. “Testimony, Trust, Knowing,” Journal of Philosophy 9:264-75.
  • Adler, Jonathan E., 2002. Belief’s Own Ethics. Cambridge: MIT Press.
  • Audi, Robert, 1997. “The Place of Testimony in the Fabric of Knowledge and Justification,” American Philosophical Quarterly 34:405-22.
  • Audi, Robert, 2002. “The Sources of Belief,” in Paul Moser, ed., Oxford Handbook of Epistemology. Oxford: Oxford University Press.
  • Audi, Robert, 2004. “The A Priori Authority of Testimony,” Philosophical Issues 14:18-34.
  • Audi, Robert, 2006. “Testimony, Credulity, and Veracity,” in Lackey and Sosa 2006.
  • Audi, Robert, 2006. “Testimony, Credulity, and Veracity,” in Lackey and Sosa 2006.
  • Austin, J.L., 1946. “Other Minds,” in Philosophical Papers, 3rd ed., 1979. Oxford: Oxford University Press.
  • Bergmann, Michael, 2006a. “BonJour’s Dilemma,” Philosophical Studies 131:679-693.
  • Bergmann, Michael, 2006b. Justification Without Awareness: A Defense of Epistemic Externalism. Oxford: Oxford University Press.
  • BonJour, Laurence, 1980. “Externalist Theories of Empirical Knowledge,” Midwest Studies in Philosophy 5:53-73.
  • BonJour, Laurence, 2003. “A Version of Internalist Foundationalism,” in Laurence BonJour and Ernest Sosa, Epistemic Justification: Internalism vs. Externalism, Foundations vs. Virtues. Blackwell Publishing.
  • Burge, Tyler, 1993. “Content Preservation.” Philosophical Review 102:457-488.
  • Burge, Tyler, 1997. “Interlocution, Perception, Memory,” Philosophical Studies 86:21-47.
  • Burge, Tyler, 1999. “Comprehension and Interpretation,” in L. Hahn, ed., The Philosophy of Donald Davidson. LaSalle: Open Court.
  • Coady, C.A.J., 1973. “Testimony and Observation.” American Philosophical Quarterly 10:149-155.
  • Coady, C.A.J., 1992. Testimony: A Philosophical Study. Oxford: Clarendon Press.
  • Coady, C.A.J., 1994. “Testimony, Observation, and ‘Autonomous Knowledge,” in Matilal and Chakrabarti 1994.
  • Dummett, Michael. “Testimony and Memory,” in Matilal and Chakrabarti 1994.
  • Evans, Gareth, 1982. The Varieties of Reference. Oxford: Clarendon Press.
  • Faulkner, Paul, 2000. “The Social Character of Testimonial Knowledge,” Journal of Philosophy 97:581-601.
  • Foley, Richard, 1994. “Egoism in Epistemology,” in Frederick F. Schmitt, Socializing Epistemology: The Social Dimensions of Knowledge. Lanham: Rowman and Littlefield.
  • Foley, Richard, 2001. Intellectual Trust in Oneself and Others. Cambridge: Cambridge University Press.
  • Fricker, Elizabeth, 1987. “The Epistemology of Testimony,” Proceedings of the Aristotelian Society Supplement 61:57-83.
  • Fricker, Elizabeth, 1994. “Against Gullibility,” in Matilal and Chakrabarti 1994.
  • Fricker, Elizabeth, 1995. “Telling and Trusting: Reductionism and Anti-Reductionism in the Epistemology of Testimony,” Mind 104:393-411 (critical notice of Coady 1992).
  • Fricker, Elizabeth, 2002. “Trusting Others in the Sciences: a priori or Empirical Warrant?”, Studies in History and Philosophy of Science 33:373-83.
  • Fricker, Elizabeth, 2004. “Testimony: Knowing Through Being Told,” in I. Niiniluoto, Matti Sintonen, and J. Wolenski, eds., Handbok of Epistemology. New York: Springer.
  • Fricker, Elizabeth, 2006a. “Testimony and Epistemic Autonomy,” in Lackey and Sosa 2006.
  • Fricker, Elizabeth, 2006b. “Second-Hand Knowledge.” Philosophy and Phenomenological Research 73:592-618.
  • Fricker, Elizabeth, 2006c. “Varieties of Anti-Reductionism About Testimony—A Reply to Goldberg and Henderson,” Philosophy and Phenomenological Research 72:618-28.
  • Gettier, Edmund, 1963. “Is Justified True Belief Knowledge?” Analysis 23:121-123.
  • Goldberg, Sanford, 2001. “Testimonially Based Knowledge From False Testimony.” The Philosophical Quarterly 51:512-526.
  • Goldberg, Sanford, 2005. “Testimonial Knowledge Through Unsafe Testimony.” Analysis 65:302-311.
  • Goldberg, Sanford, 2006. “Reductionism and the Distinctiveness of Testimonial Knowledge,” in Lackey and Sosa 2006.
  • Goldberg, Sanford, 2007. “How Lucky Can You Get?” Synthese 158:315-327.
  • Goldberg, Sanford, 2008. “Testimonial Knowledge in Early Childhood, Revisited.” Philosophy and Phenomenological Research 76:1-36.
  • Goldberg, Sanford, and Henderson, David, 2005. “Monitoring and Anti-Reductionism in the Epistemology of Testimony,” Philosophy and Phenomenological Research 72:600-17.
  • Goldman, Alvin, 1999. Knowledge in a Social World. Oxford: Clarendon Press.
  • Graham, Peter J., 1997. “What is Testimony?,” The Philosophical Quarterly 47: 227-232.
  • Graham, Peter J., 2000a. “Transferring Knowledge,” Noûs 34:131–152.
  • Graham, Peter J., 2000b. “Conveying Information,” Synthese 123:365-392.
  • Graham, Peter J., 2000c. “The Reliability of Testimony,” Philosophy and Phenomenological Research 61:695-709.
  • Graham, Peter J., 2004. “Metaphysical Libertarianism and the Epistemology of Testimony,” American Philosophical Quarterly 41:37-50.
  • Graham, Peter J., 2006. “Liberal Fundamentalism and Its Rivals,” in Lackey and Sosa 2006.
    • Graham 2006:93 gives similar, but not identical, lists of supporters of direct and non-direct views of testimony. Graham lists as supporting a direct view Burge 1993, 1997, and 1999, Coady 1973 and 1992, Dummett 1994, Goldberg 2006, McDowell 1994, Quinton 1973, Reid 1764, Ross 1986, Rysiew 2000, Stevenson 1993, Strawson 1994, and Weiner 2003a. Graham lists as supporting a non-direct view Adler 2002, Audi 1997, 2002, 2004, and 2006, Hume 1739, Kusch 2002, Lackey 2003 and 2006, Lehrer 1994, Lyons 1997, Faulkner 2000, Fricker 1987, 1994, 1995, 2002, and 2006a, and Root 1998 and 2001.
  • Green, Christopher R., 2006. The Epistemic Parity of Testimony, Memory, and Perception. Ph.D. dissertation, University of Notre Dame.
  • Green, Christopher R., 2007. “Suing One’s Sense Faculties for Fraud: ‘Justifiable Reliance’ in the Law as a Clue to Epistemic Justification,” Philosophical Papers 36:49-90.
  • Hardwig, John, 1985. “Epistemic Dependence,” Journal of Philosophy 82:335-49.
  • Hardwig, John, 1991. “The Role of Trust in Knowledge,” Journal of Philosophy 88:693-708.
  • Hawthorne, John, 2004. Knowledge and Lotteries. Oxford: Oxford University Press.
  • Heck, Richard, 1995. “The Sense of Communication.” Mind 104:79-106.
  • Hinchman, Edward, 2005. “Telling as Inviting to Trust,” Philosophy and Phenomenological Research 70:562-87.
  • Hinchman, Edward, 2007. “The Assurance of Warrant.” Unpublished manuscript
  • Hume, David, 1739. A Treatise of Human Nature. 1888 edition, L.A. Selby-Bigge, ed., Oxford: Clarendon Press.
  • Hume, David, 1748. An Enquiry Concerning Human Understanding. 1977 edition, Indiannapolis: Hackett Publishing Company.
  • Insole, Christopher J., 2000. “Seeing Off the Local Threat to Irreducible Knowledge by Testimony.” Philosophical Quarterly 50:44-56.
  • Kusch, Martin, 2002. Knowledge by Agreement. Oxford: Oxford University Press.
  • Lackey, Jennifer, 1999. “Testimonial Knowledge and Transmission,” The Philosophical Quarterly 49:471-490.
  • Lackey, Jennifer, 2003. “A Minimal Expression of Non-Reductionism in the Epistemology of Testimony,” Noûs 37:706-23.
  • Lackey, Jennifer, 2005. “Testimony and the Infant/Child Objection,” Philosophical Studies 126:163-90.
  • Lackey, Jennifer, 2006a. “It Takes Two to Tango: Beyond Reductionism and Non-Reductionism in the Epistemology of Testimony,” in Lackey and Sosa 2006.
  • Lackey, Jennifer, 2006b. “The Nature of Testimony,” Pacific Philosophical Quarterly 87:177-97.
  • Lackey, Jennifer, 2006c. “Learning From Words.” Philosophy and Phenomenological Research 73:77-101.
  • Lackey, Jennifer, and Ernest Sosa, eds., 2006. The Epistemology of Testimony. Oxford: Oxford University Press.
    • Lackey gives lists of testimonial reductionists (at 183 n.3) and non-reductionists (at 186 n.19). Lackey lists as supporting forms of non-reductionism Austin 1946, Welbourne 1979, 1981, 1986, and 1994, Evans 1982, Ross 1986, Hardwig 1985 and 1991, Coady 1992 and 1994, Reid 1764, Burge 1993 and 1997, Plantinga 1993, Webb 1993, Dummett 1994, Foley 1994, McDowell 1994, Strawson 1994, Williamson 1996 and 2000, Goldman 1999, Schmitt 1999, Insole 2000, Owens 2000, Rysiew 2002, Weiner 2003a, and Goldberg 2006. Lackey lists as supporting forms of reductionism Hume 1739, Fricker 1987, 1994, 1995, and 2006a, Adler 1994 and 2002, Lyons 1997, Lipton 1998, and Van Cleve 2006. Lackey 2006 lists as preservationists (that is, T-must-know-that-p-ists) Welbourne 1979, 1981, and 1994, Hardwig 1985 and 1991, Ross 1986, Burge 1993 and 1997, Plantinga 1993, McDowell 1994, Williamson 1996, Audi 1997, Owens 2000, and Dummett 1994. Fricker 2006a is a recent addition to the preservationist camp.
  • Lehrer, Keith, 1994. “Testimony and Coherence,” in Matilal and Chakrabarti 1994.
  • Lipton, Peter, 1998. “The Epistemology of Testimony,” British Journal for the History and Philosophy of Science 29:1-31.
  • Lyons, Jack, 1997. “Testimony, Induction, and Folk Psychology,” Australasian Journal of Philosophy 75:163-78.
  • Matilal, Bimal Krishna, and Chakrabarti, Arindam, 1994. Knowing From Words: Western and Indian Philosophical Analysis of Understanding and Testimony. Dordrecht: Kluwer Academic Publishers.
  • McDowell, John, 1998. “Knowledge By Hearsay,” in Matilal and Chakrabarti 1994.
  • Moran, Richard, 2006. “Getting Told and Being Believed,” in Lackey and Sosa 2006.
  • Owens, David, 2000. Reason Without Freedom: The Problem of Epistemic Normativity. London: Routledge.
  • Plantinga, Alvin, 1993. Warrant and Proper Function. Oxford: Oxford University Press.
  • Quinton, Anthony, 1973. “Autonomy and Authority in Knowledge,” in Thoughts and Thinkers. London: Duckworth.
  • Reid, Thomas, 1764. An Inquiry into the Human Mind on the Principles of Common Sense. Excerpts in 1975 edition, Indianapolis: Hackett Publishing Company.
  • Reid, Thomas, 1785. Articles on the Intellectual Powers of Man. Excerpts in 1975 edition, Indianapolis: Hackett Publishing Company.
  • Root, Michael, 1998. “How to Teach a Wise Man,” in Kenneth Westphal, ed., Pragmatism, Reason, and Norms. New York: Fordham University
  • Root, Michael 2001. “Hume on the Virtues of Testimony,” American Philosophical Quarterly 38:19-35.
  • Ross, Angus, 1986. “Why Believe What We Are Told?” Ratio 28:69-88.
  • Rysiew, Patrick, 2000. “Testimony, Simulation, and the Limits of Inductivism,” Australasian Journal of Philosophy 78:269-274.
  • Schmitt, Frederick F., ed., 1994. Socializing Epistemology. Lanham, MD: Rowman and Littlefield.
  • Schmitt, Frederick F., 1999. “Social Epistemology,” in John Greco and Ernest Sosa, The Blackwell Guide to Epistemology. Oxford: Blackwell Publishers.
  • Schmitt, Frederick F., 2006. “Testimonial Justification and Transindividual Reasons,” in Lackey and Sosa 2006.
  • Shogenj, Tomoji, 2000. “Self-Dependent Justification Without Circularity,” British Journal for the Philosophy of Science 51: 287-98.
  • Shogenj, Tomoji, 2006. “A Defense of Reductionism about Testimonial Justification of Beliefs,” Noûs 40: 331-46.
  • Stanley, Jason, 2005. Knowledge and Practical Interests. Oxford: Oxford University Press.
  • Stevenson, Leslie, 1993. “Why Believe What People Say?” Synthese 94:429-51.
  • Strawson, P.F., 1994. “Knowing From Words,” in Matilal and Chakrabarti 1994.
  • Van Cleve, James, 2006. “Reid on the Credit of Human Testimony,” in Lackey and Sosa 2006.
  • Webb, Mark Owen, 1993. “Why I Know About As Much As You: A Reply to Hardwig,” Journal of Philosophy 90:260-70.
  • Weiner, Matthew, 2003a. “Accepting Testimony,” Philosophical Quarterly 53:256-64.
  • Weiner, Matthew, 2003b. “The Assurance View of Testimony.” Unpublished manuscript, available at http://mattweiner.net/papers/weiner_assurance_view.pdf.
  • Welbourne, Michael, 1979. “The Transmission of Knowledge,” Philosophical Quarterly 29:1-9.
  • Welbourne, Michael, 1981. “The Community of Knowledge,” Philosophical Quarterly 31:302-14.
  • Welbourne, Michael, 1986. The Community of Knowledge. Aberdeen: Aberdeen University Press.
  • Welbourne, Michael, 1994. “Testimony, Knowledge, and Belief,” in Matilal and Chakrabarti 1994.
  • Williamson, Timothy, 1996. “Knowing and Asserting,” Philosophical Review 105:489-523.
  • Williamson, Timothy, 2000. Knowledge and its Limits. Oxford: Oxford University Press.

Author Information

Christopher R. Green
Email: crgreen@olemiss.edu
University of Mississippi
U. S. A.

Faith: Historical Perspectives

Traditionally, faith and reason have each been considered to be sources of justification for religious belief. Because both can purportedly serve this same epistemic function, it has been a matter of much interest to philosophers and theologians how the two are related and thus how the rational agent should treat claims derived from either source. Some have held that there can be no conflict between the two—that reason properly employed and faith properly understood will never produce contradictory or competing claims—whereas others have maintained that faith and reason can (or even must) be in genuine contention over certain propositions or methodologies. Those who have taken the latter view disagree as to whether faith or reason ought to prevail when the two are in conflict. Kierkegaard, for instance, prioritizes faith even to the point that it becomes positively irrational, while Locke emphasizes the reasonableness of faith to such an extent that a religious doctrine’s irrationality—conflict with itself or with known facts—is a sign that it is unsound. Other thinkers have theorized that faith and reason each govern their own separate domains, such that cases of apparent conflict are resolved on the side of faith when the claim in question is, say, a religious or theological claim, but resolved on the side of reason when the disputed claim is, for example, empirical or logical. Some relatively recent philosophers, most notably the logical positivists, have denied that there is a domain of thought or human existence rightly governed by faith, asserting instead that all meaningful statements and ideas are accessible to thorough rational examination. This has presented a challenge to religious thinkers to explain how an admittedly nonrational or transrational form of language can hold meaningful cognitive content.

This article traces the historical development of thought on the interrelation of religious faith and reason, beginning with Classical Greek conceptions of mind and religious mythology and continuing through the medieval Christian theologians, the rise of science proper in the early modern period, and the reformulation of the issue as one of ‘science versus religion’ in the twentieth century. (Also, see Faith: Contemporary Issues.)

Table of Contents

  1. Introduction
  2. The Classical Period
    1. Aristotle and Plato
    2. Stoics and Epicureans
    3. Plotinus
  3. The Rise of Christianity
    1. St. Paul
    2. Early Christian Apologists
    3. St. Augustine
    4. Pseudo-Dionysius
  4. The Medieval Period
    1. St. Anselm
    2. Peter Lombard
    3. Islamic Philosophers
    4. Jewish Philosophy
    5. St. Thomas Aquinas
    6. The Franciscan Philosophers
  5. The Renaissance and Enlightenment Periods
    1. The Galileo Controversy
    2. Erasmus
    3. The Protestant Reformers
    4. Continental Rationalism
    5. Blaise Pascal
    6. Empiricism
    7. German Idealism
  6. The Nineteenth Century
    1. Romanticism
    2. Socialism
    3. Existentialism
    4. Catholic Apologists
    5. Pragmatism
  7. The Twentieth Century
    1. Logical Positivism and Its Critics
    2. Philosophical Theology
    3. Neo-Existentialism
    4. Neo-Darwinism
    5. Contemporary Reactions Against Naturalism and Neo-Darwinism
    6. Liberation Theology
  8. References and Further Reading

1. Introduction

Faith and reason are both sources of authority upon which beliefs can rest. Reason generally is understood as the principles for a methodological inquiry, whether intellectual, moral, aesthetic, or religious. Thus is it not simply the rules of logical inference or the embodied wisdom of a tradition or authority. Some kind of algorithmic demonstrability is ordinarily presupposed. Once demonstrated, a proposition or claim is ordinarily understood to be justified as true or authoritative. Faith, on the other hand, involves a stance toward some claim that is not, at least presently, demonstrable by reason. Thus faith is a kind of attitude of trust or assent. As such, it is ordinarily understood to involve an act of will or a commitment on the part of the believer. Religious faith involves a belief that makes some kind of either an implicit or explicit reference to a transcendent source. The basis for a person’s faith usually is understood to come from the authority of revelation. Revelation is either direct, through some kind of direct infusion, or indirect, usually from the testimony of an other. The religious beliefs that are the objects of faith can thus be divided into those what are in fact strictly demonstrable (scienta) and those that inform a believer’s virtuous practices (sapientia).

Religious faith is of two kinds: evidence-sensitive and evidence-insensitive. The former views faith as closely coordinated with demonstrable truths; the latter more strictly as an act of the will of the religious believer alone. The former includes evidence garnered from the testimony and works of other believers. It is, however, possible to hold a religious belief simply on the basis either of faith alone or of reason alone. Moreover, one can even lack faith in God or deny His existence, but still find solace in the practice of religion.

The basic impetus for the problem of faith and reason comes from the fact that the revelation or set of revelations on which most religions are based is usually described and interpreted in sacred pronouncements, either in an oral tradition or canonical writings, backed by some kind of divine authority. These writings or oral traditions are usually presented in the literary forms of narrative, parable, or discourse. As such, they are in some measure immune from rational critique and evaluation. In fact even the attempt to verify religious beliefs rationally can be seen as a kind of category mistake. Yet most religious traditions allow and even encourage some kind of rational examination of their beliefs.

The key philosophical issue regarding the problem of faith and reason is to work out how the authority of faith and the authority of reason interrelate in the process by which a religious belief is justified or established as true or justified. Four basic models of interaction are possible.

(a) The conflict model. Here the aims, objects, or methods of reason and faith seem to be very much the same. Thus when they seem to be saying different things, there is genuine rivalry. This model is thus assumed both by religious fundamentalists, who resolve the rivalry on the side of faith, and scientific naturalists, who resolve it on the side of reason.

(b) The incompatibilist model. Here the aims, objects, and methods of reason and faith are understood to be distinct. Compartmentalization of each is possible. Reason aims at empirical truth; religion aims at divine truths. Thus no rivalry exists between them. This model subdivides further into three subdivisions. First, one can hold faith is transrational, inasmuch as it is higher than reason. This latter strategy has been employed by some Christian existentialists. Reason can only reconstruct what is already implicit in faith or religious practice. Second, one can hold that religious belief is irrational, thus not subject to rational evaluation at all. This is the position taken ordinarily by those who adopt negative theology, the method that assumes that all speculation about God can only arrive at what God is not. The latter subdivision also includes those theories of belief that claim that religious language is only metaphorical in nature. This and other forms of irrationalism result in what is ordinarily considered fideism: the conviction that faith ought not to be subjected to any rational elucidation or justification.

(c) The weak compatibilist model. Here it is understood that dialogue is possible between reason and faith, though both maintain distinct realms of evaluation and cogency. For example, the substance of faith can be seen to involve miracles; that of reason to involve the scientific method of hypothesis testing. Much of the Reformed model of Christianity adopts this basic model.

(d) The strong compatibilist model. Here it is understood that faith and reason have an organic connection, and perhaps even parity. A typical form of strong compatibilism is termed natural theology. Articles of faith can be demonstrated by reason, either deductively (from widely shared theological premises) or inductively (from common experiences). It can take one of two forms: either it begins with justified scientific claims and supplements them with valid theological claims unavailable to science, or it starts with typical claims within a theological tradition and refines them by using scientific thinking. An example of the former would be the cosmological proof for God’s existence; an example of the latter would be the argument that science would not be possible unless God’s goodness ensured that the world is intelligible. Many, but certainly not all, Roman Catholic philosophers and theologians hold to the possibility of natural theology. Some natural theologians have attempted to unite faith and reason into a comprehensive metaphysical system. The strong compatibilist model, however, must explain why God chose to reveal Himself at all since we have such access to him through reason alone.

The interplay between reason and faith is an important topic in the philosophy of religion. It is closely related to, but distinct from, several other issues in the philosophy of religion: namely, the existence of God, divine attributes, the problem of evil, divine action in the world, religion and ethics, religious experience and religious language, and the problem of religious pluralism. Moreover, an analysis of the interplay between faith and reason also provides resources for philosophical arguments in other areas such as metaphysics, ontology, and epistemology.

While the issues the interplay between faith and reason addresses are endemic to almost any religious faith, this article will focus primarily on the faith claims found in the three great monotheistic world religions: Judaism, Islam, and particularly Christianity.

This rest of the article will trace out the history of the development of thinking about the relationship between faith and reason in Western philosophy from the classical period of the Greeks through the end of the twentieth century.

2. The Classical Period

Greek religions, in contrast to Judaism, speculated primarily not on the human world but on the cosmos as a whole. They were often formulated as literary myths. Nonetheless these forms of religious speculation were generally practical in nature: they aimed to increase personal and social virtue in those who engaged in them. Most of these religions involved civic cultic practices.

Philosophers from the earliest times in Greece tried to distill metaphysical issues out of these mythological claims. Once these principles were located and excised, these philosophers purified them from the esoteric speculation and superstition of their religious origins. They also decried the proclivities to gnosticism and elitism found in the religious culture whence the religious myths developed. None of these philosophers, however, was particularly interested in the issue of willed assent to or faith in these religious beliefs as such.

a. Aristotle and Plato

Both Plato and Aristotle found a principle of intellectual organization in religious thinking that could function metaphysically as a halt to the regress of explanation. In Plato, this is found in the Forms, particularly the Form of the Good. The Form of Good is that by which all things gain their intelligibility. Aristotle rejected the Form of the Good as unable to account for the variety of good things, appealing instead to the unmoved mover as an unchangeable cosmic entity. This primary substance also has intelligence as nous: it is “thought thinking itself.” From this mind emerges exemplars for existent things.

Both thinkers also developed versions of natural theology by showing how religious beliefs emerge from rational reflections on concrete reality as such. An early form of religious apologetics – demonstrating the existence of the gods — can be found in Plato’s Laws. Aristotle’s Physics gave arguments demonstrating the existence of an unmoved mover as a timeless self-thinker from the evidence of motion in the world.

b. Stoics and Epicureans

Both of these schools of thought derived certain theological kinds of thinking from physics and cosmology. The Stoics generally held a cosmological view of an eternal cycle of identical world-revolutions and world-destructions by a universal conflagration. Absolute necessity governs the cyclic process and is identified with divine reason (logos) and providence. This provident and benevolent God is immanent in the physical world. God orders the universe, though without an explicit purpose. Humans are microcosms; their souls are emanations of the fiery soul of the universe.

The Epicureans, on the other hand, were skeptical, materialistic, and anti-dogmatic. It is not clear they were theists at all, though at some points they seem to be. They did speak of the gods as living in a blissful state in intermundial regions, without any interest in the affairs of humans. There is no relation between the evils of human life and a divine guidance of the universe. At death all human perception ceases.

c. Plotinus

Plotinus, in the Enneads, held that all modes of being and value originate in an overflow of procession from a single ineffable power that he identified with the radical simplicity of the One of Parmenides or the Good of Plato’s Republic. Nous, the second hypostasis after the One, resembles Aristotle’s unmoved mover. The orders of the world soul and nature follow after Nous in a linear procession. Humans contain the potentialities of these creative principles, and can choose to make their lives an ascent towards and then a union with the intuitive intelligence. The One is not a being, but infinite being. It is the cause of beings. Thus Christian and Jewish philosophers who held to a creator God could affirm such a conception. Plotinus might have been the first negative theologian, arguing that God, as simple, is know more from what he is not, than from what he is.

3. The Rise of Christianity

Christianity, emerging from Judaism, imposed a set of revealed truths and practices on its adherents. Many of these beliefs and practices differed significantly from what the Greek religions and Judaism had held. For example, Christians held that God created the world ex nihilo, that God is three persons, and that Jesus Christ was the ultimate revelation of God. Nonetheless, from the earliest of times, Christians held to a significant degree of compatibility between faith and reason.

a. St. Paul

The writings attributed to St. Paul in the Christian Scriptures provide diverse interpretations of the relation between faith and reason. First, in the Acts of the Apostles, Paul himself engages in discussion with “certain Epicurean and Stoic philosophers” at the Aeropagus in Athens (Acts 17:18). Here he champions the unity of the Christian God as the creator of all. God is “not far from any one of us.” Much of Paul’s speech, in fact, seems to allude to Stoic beliefs. It reflects a sympathy with pagan customs, handles the subject of idol worship gently, and appeals for a new examination of divinity not from the standpoint of creation, but from practical engagement with the world. However, he claims that this same God will one day come to judge all mankind. But in his famous passage from Romans 1:20, Paul is less obliging to non-Christians. Here he champions a natural theology against those pagans who would claim that, even on Christian grounds, their previous lack of access to the Christian God would absolve them from guilt for their nonbelief. Paul argues that in fact anyone can attain to the truth of God’s existence merely from using his or her reason to reflect on the natural world. Thus this strong compatibilist interpretation entailed a reduced tolerance for atheists and agnostics. Yet in 1 Corinthians 1:23, Paul suggests a kind of incompatibilism, claiming that Christian revelation is folly the Gentiles (meaning Greeks). He points out that the world did not come to know God through wisdom; God chose to reveal Himself fully to those of simple faith.

These diverse Pauline interpretations of the relation between faith and reason were to continue to manifest themselves in various ways through the centuries that followed.

b. Early Christian Apologists

The early apologists were both compatibilists and incompatibilists. Tertullian took up the ideas of Paul in 1 Corinthians, proclaiming that Christianity is not merely incompatible with but offensive to natural reason. Jerusalem has nothing to do with Athens. He boldly claimed credo quia absurdum est (“I believe because it is absurd”). He claims that religious faith is both against and above reason. In his De Praescriptione Haereticorum, he proclaims, “when we believe, we desire to believe nothing further.”

On the other hand, Justin Martyr converted to Christianity, but continued to hold Greek philosophy in high esteem. In his Dialogue with Trypho he finds Christianity “the only sure and profitable philosophy.”

In a similar vein, Clement of Alexandria in his Stromata called the Gospel “the true philosophy.” Philosophy acted as a “schoolmaster” to bring the Greeks to Christ, just as the law brought the Jews. But he maintained that Greek philosophy is unnecessary for a defense of the faith, though it helps to disarm sophistry. He also worked to demonstrate in a rational way what is found in faith. He claimed that “I believe in order that I may know” (credo ut intelligam). This set Christianity on firmer intellectual foundations. Clement also worked to clarify the early creeds of Christianity, using philosophical notions of substance, being, and person, in order to combat heresies.

c. St. Augustine

Augustine emerged in the late fourth century as a rigorous defender of the Christian faith. He responded forcefully to pagans’ allegations that Christian beliefs were not only superstitious but also barbaric. But he was, for the most part, a strong compatibilist. He felt that intellectual inquiry into the faith was to be understood as faith seeking understanding (fides quaerens intellectum). To believe is “to think with assent” (credere est assensione cogitare). It is an act of the intellect determined not by the reason, but by the will. Faith involves a commitment “to believe in a God,” “to believe God,” and “to believe in God.”

In On Christian Doctrine Augustine makes it clear that Christian teachers not only may, but ought, to use pagan thinking when interpreting Scripture. He points out that if a pagan science studies what is eternal and unchanging, it can be used to clarify and illuminate the Christian faith. Thus logic, history, and the natural sciences are extremely helpful in matters of interpreting ambiguous or unknown symbols in the Scriptures. However, Augustine is equally interested to avoid any pagan learning, such as that of crafts and superstition that is not targeted at unchangeable knowledge.

Augustine believed that Platonists were the best of philosophers, since they concentrated not merely on the causes of things and the method of acquiring knowledge, but also on the cause of the organized universe as such. One does not, then, have to be a Christian to have a conception of God. Yet, only a Christian can attain to this kind of knowledge without having to have recourse to philosophy.

Augustine argued further that the final authority for the determination of the use of reason in faith lies not with the individual, but with the Church itself. His battle with the Manichean heresy prompted him to realize that the Church is indeed the final arbiter of what cannot be demonstrated–or can be demonstrated but cannot be understood by all believers. Yet despite this appeal to ecclesiastical authority, he believe that one cannot genuinely understand God until one loves Him.

d. Pseudo-Dionysius

Pseudo Dionysius was heavily influenced by neo-Platonism. In letter IX of his Corpus Dionysiacum, he claimed that our language about God provides no information about God but only a way of protecting God’s otherness. His analysis gave rise to the unique form negative theology. It entailed a severe restriction in our access to and understanding of the nature of God. In his “Mystical Theology” Pseudo-Dionysius describes how the soul’s destiny is to be fully united with the ineffable and absolutely transcendent God.

4. The Medieval Period

Much of the importance of this period stems from its retrieval of Greek thinking, particularly that of Aristotle. At the beginning of the period Arab translators set to work translating and distributing many works of Greek philosophy, making them available to Jewish, Islamic, and Christian philosophers and theologians alike.

For the most part, medieval theologians adopted an epistemological distinction the Greeks had developed: between scienta (episteme), propositions established on the basis of principles, and opinio, propositions established on the basis of appeals to authority. An established claim in theology, confirmed by either scienta or opinio, demanded the believer’s assent. Yet despite this possibility of scientia in matters of faith, medieval philosophers and theologians believed that it could be realized only in a limited sense. They were all too aware of St. Paul’s caveat that faith is a matter of “seeing in a mirror dimly” (1 Cor 1:13).

a. St. Anselm

Like Augustine, Anselm held that one must love God in order to have knowledge of Him. In the Proslogion, he argues that “the smoke of our wrongdoing” will prohibit us from this knowledge. Anselm is most noted, however, for his ontological argument, presented in his Proslogion. He claimed that it is possible for reason to affirm that God exists from inferences made from what the understanding can conceive within its own confines. As such he was a gifted natural theologian. Like Augustine, Anselm held that the natural theologian seeks not to understand in order to believe, but to believe in order to understand. This is the basis for his principle intellectus fidei. Under this conception, reason is not asked to pass judgment on the content of faith, but to find its meaning and to discover explanations that enable others to understand its content. But when reason confronts what is incomprehensible, it remains unshaken since it is guided by faith’s affirmation of the truth of its own incomprehensible claims.

b. Peter Lombard

Lombard was an important precursor to Aquinas. Following Augustine, he argued that pagans can know about much about truths of the one God simply by their possession of reason (e.g. that spirit is better than body, the mutable can exists only from a immutable principle, all beauty points to a beauty beyond compare). But in addition, pagans can affirm basic truths about the Trinity from these same affirmations, inasmuch as all things mirror three attributes associated with the Trinity: unity (the Father), form or beauty (the Son), and a position or order (the Holy Spirit).

c. Islamic Philosophers

Islamic philosophers in the tenth and eleventh centuries were also heavily influenced by the reintroduction of Aristotle into their intellectual culture.

Avicenna (Ibn Sina) held that as long as religion is properly construed it comprises an area of truth no different than that of philosophy. He built this theory of strong compatibilism on the basis of his philosophical study of Aristotle and Plotinus and his theological study of his native Islam. He held that philosophy reveals that Islam is the highest form of life. He defended the Islamic belief in the immortality of individual souls on the grounds that, although as Aristotle taught the agent intellect was one in all persons, the unique potential intellect of each person, illuminated by the agent intellect, survives death.

Averroes (Ibn Rushd), though also a scholar of Aristotle’s works, was less sympathetic to compatibilism than his predecessor Avicenna. But in his Incoherence of Incoherence, he attacked Algazel’s criticisms of rationalism in theology. For example, he developed a form of natural theology in which the task of proving the existence of God is possible. He held, however, that it could be proven only from the physical fact of motion. Nonetheless Averroes did not think that philosophy could prove all Islamic beliefs, such as that of individual immortality. Following Aristotle in De Anima, Averroes argued for a separation between the active and passive intellects, even though they enter into a temporary connection with individual humans. This position entails the conclusion that no individuated intellect survives death. Yet Averroes held firmly to the contrary opinion by faith alone.

d. Jewish Philosophy

Moses Maimonides, a Jewish philosopher, allowed for a significant role of reason in critically interpreting the Scriptures. But he is probably best known for his development of negative theology. Following Avicenna’s affirmation of a real distinction between essence and existence, Maimonides concluded that no positive essential attributes may be predicated of God. God does not possess anything superadded to his essence, and his essence includes all his perfections. The attributes we do have are derived from the Pentateuch and the Prophets. Yet even these positive attributes, such as wisdom and power, would imply defects in God if applied to Him in the same sense they are applied to us. Since God is simple, it is impossible that we should know one part, or predication, of Him and not another. He argues that when one proves the negation of a thing believed to exist in God, one becomes more perfect and closer to knowledge of God. He quotes Psalm 4:4’s approval of an attitude of silence towards God. Those who do otherwise commit profanity and blasphemy. It is not certain, however, whether Maimonides rejected the possibility of positive knowledge of the accidental attributes of God’s action.

e. St. Thomas Aquinas

Unlike Augustine, who made little distinction between explaining the meaning of a theological proposition and giving an argument for it, Aquinas worked out a highly articulated theory of theological reasoning. St. Bonaventure, an immediate precursor to Aquinas, had argued that no one could attain to truth unless he philosophizes in the light of faith. Thomas held that our faith in eternal salvation shows that we have theological truths that exceed human reason. But he also claimed that one could attain truths about religious claims without faith, though such truths are incomplete. In the Summa Contra Gentiles he called this a “a two fold truth” about religious claims, “one to which the inquiry of reason can reach, the other which surpasses the whole ability of the human reason.” No contradiction can stand between these two truths. However, something can be true for faith and false (or inconclusive) in philosophy, though not the other way around. This entails that a non-believer can attain to truth, though not to the higher truths of faith.

A puzzling question naturally arises: why are two truths needed? Isn’t one truth enough? Moreover, if God were indeed the object of rational inquiry in this supernatural way, why would faith be required at all? In De Veritate (14,9) Thomas responds to this question by claiming that one cannot believe by faith and know by rational demonstration the very same truth since this would make one or the other kind of knowledge superfluous.

On the basis of this two-fold theory of truth, Aquinas thus distinguished between revealed (dogmatic) theology and rational (philosophical) theology. The former is a genuine science, even though it is not based on natural experience and reason. Revealed theology is a single speculative science concerned with knowledge of God. Because of its greater certitude and higher dignity of subject matter, it is nobler than any other science. Philosophical theology, though, can make demonstrations using the articles of faith as its principles. Moreover, it can apologetically refute objections raised against the faith even if no articles of faith are presupposed. But unlike revealed theology, it can err.

Aquinas claimed that the act of faith consists essentially in knowledge. Faith is an intellectual act whose object is truth. Thus it has both a subjective and objective aspect. From the side of the subject, it is the mind’s assent to what is not seen: “Faith is the evidence of things that appear not” (Hebrews 11:1). Moreover, this assent, as an act of will, can be meritorious for the believer, even though it also always involves the assistance of God’s grace. Moreover, faith can be a virtue, since it is a good habit, productive of good works. However, when we assent to truth in faith, we do so on the accepted testimony of another. From the side of what is believed, the objective aspect, Aquinas clearly distinguished between “preambles of faith,” which can be established by philosophical principles, and “articles of faith” that rest on divine testimony alone. A proof of God’s existence is an example of a preamble of faith. Faith alone can grasp, on the other hand, the article of faith that the world was created in time (Summa Theologiae I, q. 46, a. 2). Aquinas argued that the world considered in itself offers no grounds for demonstrating that it was once all new. Demonstration is always about definitions, and definitions, as universal, abstract from “the here and now.” A temporal beginning, thus demonstrated, is ruled out tout court. Of course this would extend to any argument about origination of the first of any species in a chain of efficient causes. Here Thomas sounds a lot like Kant will in his antinomies. Yet by faith we believe the world had a beginning. However, one rational consideration that suggests, though not definitively, a beginning to the world is that the passage from one term to another includes only a limited number of intermediate points between them.

Aquinas thus characterizes the articles of faith as first truths that stand in a “mean between science and opinion.” They are like scientific claims since their objects are true; they are like mere opinions in that they have not been verified by natural experience. Though he agrees with Augustine that no created intellect can comprehend God as an object, the intellect can grasp his existence indirectly. The more a cause is grasped, the more of its effects can be seen in it; and since God is the ultimate cause of all other reality, the more perfectly an intellect understands God, the greater will be its knowledge of the things God does or can do. So although we cannot know the divine essence as an object, we can know whether He exists and on the basis of analogical knowledge what must necessarily belong to Him. Aquinas maintains, however, that some objects of faith, such as the Trinity or the Incarnation, lie entirely beyond our capacity to understand them in this life.

Aquinas also elucidates the relationship between faith and reason on the basis of a distinction between higher and lower orders of creation. Aquinas criticizes the form of naturalism that holds that the goodness of any reality “is whatever belongs to it in keeping with its own nature” without need for faith (II-IIae, q.2, a.3). Yet, from reason itself we know that every ordered pattern of nature has two factors that concur in its full development: one on the basis of its own operation; the other, on the basis of the operation of a higher nature. The example is water: in a lower pattern, it naturally flows toward the centre, but in virtue of a higher pattern, such as the pull of the moon, it flows around the center. In the realm of our concrete knowledge of things, a lower pattern grasps only particulars, while a higher pattern grasps universals.

Given this distinction of orders, Thomas shows how the lower can indeed point to the higher. His arguments for God’s existence indicate this possibility. From this conviction he develops a highly nuanced natural theology regarding the proofs of God’s existence. The first of his famous five ways is the argument from motion. Borrowing from Aristotle, Aquinas holds to the claim that, since every physical mover is a moved mover, the experience of any physical motion indicates a first unmoved mover. Otherwise one would have to affirm an infinite chain of movers, which he shows is not rationally possible. Aquinas then proceeds to arguments from the lower orders of efficient causation, contingency, imperfection, and teleology to affirm the existence of a unitary all-powerful being. He concludes that these conclusions compel belief in the Judeo-Christian God.

Conversely, it is also possible to move from the higher to the lower orders. Rational beings can know “the meaning of the good as such” since goodness has an immediate order to the higher pattern of the universal source of being (II-IIae q.2, a.3). The final good considered by the theologian differs from that considered by the philosopher: the former is the bonum ultimum grasped only with the assistance of revelation; the latter is the beatific vision graspable in its possibility by reason. Both forms of the ultimate good have important ramifications, since they ground not only the moral distinction between natural and supernatural virtues, but also the political distinction between ecclesial and secular power.

Aquinas concludes that we come to know completely the truths of faith only through the virtue of wisdom (sapientia). Thomas says that “whatever its source, truth of is of the Holy Spirit” (Summa Theologiae, I-IIae q. 109, a. 1). The Spirit “enables judgment according to divine truth” (II-IIae 45, q. 1, ad 2). Moreover, faith and charity are prerequisites for the achievement of this wisdom.

Thomas’s two-fold theory of truth develops a strong compatibilism between faith and reason. But it can be argued that after his time what was intended as a mutual autonomy soon became an expanding separation.

f. The Franciscan Philosophers

Duns Scotus, like his successor William of Ockham, reacted in a characteristic Franciscan way to Thomas’s Dominican views. While the Dominicans tended to affirm the possibility of rational demonstrability of certain preambles of faith, the Franciscans tended more toward a more restricted theological science, based solely on empirical and logical analysis of beliefs.

Scotus first restricts the scope of Aquinas’s rational theology by refuting its ability to provide arguments that stop infinite regresses. In fact he is wary of the attempts of natural theology to prove anything about higher orders from lower orders. On this basis, he rejects the argument from motion to prove God’s existence. He admits that lower beings move and as such they require a first mover; but he maintains that one cannot prove something definitive about higher beings from even the most noble of lower beings. Instead, Scotus thinks that reason can be employed only to elucidate a concept. In the realm of theology, the key concept to elucidate is that of infinite being. So in his discussion of God’s existence, he takes a metaphysical view of efficiency, arguing that there must be not a first mover, but an actually self-existent being which makes all possibles possible. In moving towards this restricted form of conceptualist analysis, he thus gives renewed emphasis to negative theology.

Ockham then radicalized Scotus’s restrictions of our knowledge of God. He claimed that the Greek metaphysics of the 13th century, holding to the necessity of causal connections, contaminated the purity of the Christian faith. He argued instead that we cannot know God as a deduction from necessary principles. In fact, he rejected the possibility that any science can verify any necessity, since nothing in the world is necessary: if A and B are distinct, God could cause one to exist without the other. So science can demonstrate only the implications of terms, premises, and definitions. It keeps within the purely conceptual sphere. Like Scotus he argued held that any necessity in an empirical proposition comes from the divine order. He concluded that we know the existence of God, his attributes, the immortality of the soul, and freedom only by faith. His desire to preserve divine freedom and omnipotence thus led in the direction of a voluntaristic form of fideism.

5. The Renaissance and Enlightenment Periods

Ockham’s denial of the necessity in the scope of scientific findings perhaps surprisingly heralded the beginnings of a significant movement towards the autonomy of empirical science. But with this increased autonomy came also a growing incompatibility between the claims of science and those of religious authorities. Thus the tension between faith and reason now became set squarely for the first time in the conflict between science and religion. This influx of scientific thinking undermined the hitherto reign of Scholasticism. By the seventeenth century, what had begun as a criticism of the authority of the Church evolved into a full-blown skepticism regarding the possibility of any rational defense of fundamental Christian beliefs.

The Protestant Reformers shifted their emphasis from the medieval conception of faith as a fides (belief that) to fiducia (faith in). Thus attitude and commitment of the believer took on more importance. The Reformation brought in its wake a remarkable new focus on the importance of the study of Scripture as a warrant for one’s personal beliefs.

The Renaissance also witnessed the development of a renewed emphasis on Greek humanism. In the early part of this period, Nicholas of Cusa and others took a renewed interest in Platonism.

a. The Galileo Controversy

In the seventeenth century, Galileo understood “reason” as scientific inference based and experiment and demonstration. Moreover, experimentation was not a matter simply of observation, it also involved measurement, quantification, and formulization of the properties of the objects observed. Though he was not the first to do attempt this systematization — Archimedes had done the same centuries before – Galileo developed it to such an extent that he overthrew the foundations of Aristotelian physics. He rejected, for example, Aristotle’s claim that every moving had a mover whose force had to be continually applied. In fact it was possible to have more than one force operating on the same body at the same time. Without the principle of a singular moved mover, it was also conceivable that God could have “started” the world, then left it to move on its own.

The finding of his that sparked the great controversy with the Catholic Church was, however, Galileo’s defense of Copernicus’s rejection of the Ptolemaic geocentric universe. Galileo used a telescope he had designed to confirm the hypothesis of the heliocentric system. He also hypothesized that the universe might be indefinitely large. Realizing that such conclusions were at variance with Church teaching, he followed Augustine’s rule than an interpretation of Scripture should be revised when it confronts properly scientific knowledge.

The officials of the Catholic Church – with some exceptions — strongly resisted these conclusions and continued to champion a pre-Copernican conception of the cosmos. The Church formally condemned Galileo’s findings for on several grounds. First, the Church tended to hold to a rather literal interpretation of Scripture, particularly of the account of creation in the book of Genesis. Such interpretations did not square with the new scientific views of the cosmos such as the claim that the universe is infinitely large. Second, the Church was wary of those aspects of the “new science” Galileo represented that still mixed with magic and astrology. Third, these scientific findings upset much of the hitherto view of the cosmos that had undergirded the socio-political order the Church endorsed. Moreover, the new scientific views supported Calvinist views of determinism against the Catholic notion of free will. It took centuries before the Church officially rescinded its condemnation of Galileo.

b. Erasmus

Inspired by Greek humanism, Desiderius Erasmus placed a strong emphasis on the autonomy of human reason and the importance of moral precepts. As a Christian, he distinguished among three forms of law: laws of nature, thoroughly engraved in the minds of all men as St. Paul had argued, laws of works, and laws of faith. He was convinced that philosophers, who study laws of nature, could also produce moral precepts akin to those in Christianity. But Christian justification still comes ultimately only from the grace that can reveal and give a person the ability to follow the law of faith. As such, “faith cures reason, which has been wounded by sin.” So, while the laws of works are for the most part prohibitions against certain sins, the laws of faith tend to be positive duties, such as the injunctions to love one’s enemies and to carry one’s cross daily.

c. The Protestant Reformers

Martin Luther restricted the power of reason to illuminate faith. Like many reformers, he considered the human being alone unable to free itself from sin. In The Bondage of the Will, he makes a strict separation between what man has dominion over (his dealings with the lower creatures) and what God has dominion over (the affairs of His kingdom and thus of salvation). Reason is often very foolish: it immediately jumps to conclusions when it sees a thing happen once or twice. But by its reflections on the nature of words and our use of language, it can help us to grasp our own spiritual impotence.

Luther thus rejected the doctrine of analogy, developed by Aquinas and others, as an example of the false power of reason. In his Heidelberg Disputation Luther claims that a theologian must look only “on the visible rearward parts of God as seen in suffering and the cross.” Only from this perspective, do we keep our faith when we see, for example, that in the world the unjust prosper and the good undergo afflictions. Thus faith is primarily an act of trust in God’s grace.

Luther thus stresses the gratuitousness of salvation. In a traditional sense, Roman Catholics generally held that faith is meritorious, and thus that salvation involves good works. Protestant reformers like Luther, on the other hand, held that indeed faith is pure gift. He thus tended to make the hitherto Catholic emphasis on works look voluntaristic.

Like Luther, John Calvin appealed to the radical necessity of grace for salvation. This was embodied in his doctrine of election. But unlike Luther, Calvin gave a more measured response to the power of human reason to illuminate faith. In his Institutes of the Christian Religion, he argued that the human mind possesses, by natural instinct, an “awareness of divinity.” This sensus divinitatis is that whereby we form specific beliefs about God in specific situations, e.g. when experiencing danger, beauty, or even guilt. Even idolatry can contain as aspect of this. So religion is not merely arbitrary superstition. And yet, the law of creation makes necessary that we direct every thought and action to this goal of knowing God.

Despite this fundamental divine orientation, Calvin denied that a believer could build up a firm faith in Scripture through argument and disputation. He appealed instead to the testimony of Spirit embodied gained through a life of religious piety. Only through this testimony is certainty about one’s beliefs obtained. We attain a conviction without reasons, but only through “nothing other than what each believer experiences within himself–though my words fall far beneath a just explanation of the matter.” He realized, however, that “believers have a perpetual struggle with their own lack of faith.” But these struggles never remove them from divine mercy.

Calvin is thus an incompatibilist of the transrational type: faith is not against, but is beyond human reason.

d. Continental Rationalism

René Descartes, even more profoundly than Calvin, moved reason into the confines of the thinking subject. But he expanded the power of reason to grasp firmly the preambles of faith. In his Meditations, he claimed to have provided what amounted to be the most certain proofs of God possible. God becomes explicated by means of the foundation of subjective self-certainty. His proofs hinged upon his conviction that God cannot be a deceiver. Little room is left for faith.

Descartes’s thinking prepared Gottfried Leibniz to develop his doctrine of sufficient reason. Leibniz first argued that all truths are reducible to identities. From this it follows that a complete or perfect concept of an individual substance involves all its predicates, whether past, present, or future. From this he constructed his principle of sufficient reason: there is no event without a reason and no effect without a cause. He uses this not only to provide a rigorous cosmological proof for God’s existence from the fact of motion, but also to defend the cogency of both the ontological argument and the argument from design.

In his Theodicy Leibniz responded to Pierre Bayle, a French philosophe, who gave a skeptical critique of rationalism and support of fideism. First, Leibniz held that all truths are complementary, and cannot be mutually inconsistent. He argued that there are two general types of truth: those that are altogether necessary, since their opposite implies contradiction, and those that are consequences of the laws of nature. God can dispense only with the latter laws, such as the law of our mortality. A doctrine of faith can never violate something of the first type; but it can be in tension with truths of the second sort. Thus though no article of faith can be self-contradictory, reason may not be able to fully comprehend it. Mysteries, such as that of the Trinity, are simply “above reason.” But how do we weigh the probabilities favoring a doctrine of faith against those derived from general experience and the laws of nature? We must weigh these decisions by taking into account the existence and nature of God and the universal harmony by which the world is providentially created and ordered.

Leibniz insisted that one must respect the differences among the three distinct functions of reason: to comprehend, to prove, and to answer objections. In the faith/reason controversy, Leibniz thought that the third function takes on particular prominence. However, one sees vestiges of the first two as well, since an inquiry into truths of faith employs proofs of the infinite whose strength or weakness the reasoner can comprehend.

Baruch Spinoza, a Dutch philosopher, brought a distinctly Jewish perspective to his rigorously rationalistic analysis of faith. Noticing that religious persons showed no particular penchant to virtuous life, he decided to read the Scriptures afresh without any presuppositions. He found that Old Testament prophecy, for example, concerned not speculative but primarily practical matters. Obedience to God was one. He took this to entail that whatever remains effective in religion applies only to moral matters. He then claimed that the Scriptures do not conflict with natural reason, leaving it free reign. No revelation is needed for morality. Moreover, he was led to claim that though the various religions have very different doctrines, they are very similar to one another in their moral pronouncements.

e. Blaise Pascal

Pascal rejected the hitherto claims of medieval natural theologians, by claiming that reason can neither affirm nor deny God’s existence. Instead he focused on the way that we should act given this ambiguity. He argued that since the negative consequences of believing are few (diminution of the passions, some pious actions) but the gain of believing is infinite (eternal life), it is more rational to believe than to disbelieve in God’s existence. This assumes, of course, both that God would not grant eternal life to a non-believer and that sincerity in one’s belief in God is not a requirement for salvation. As such, Pascal introduced an original form of rational voluntarism into the analysis of faith.

f. Empiricism

John Locke lived at a time when the traditional medieval view of a unified body of articulate wisdom no longer seemed plausible. Yet he still held to the basic medieval idea that faith is assent to specific propositions on the basis of God’s authority. Yet unlike Aquinas, he argued that faith is not a state between knowledge and opinion, but a form of opinion (doxa). But he developed a kind of apology for Christianity: an appeal to revelation, without an appeal to enthusiasm or inspiration. His aim was to demonstrate the “reasonableness of Christianity.” Though faith and reason have “strict” distinct provinces, faith must be in accord with reason. Faith cannot convince us of what contradicts, or is contrary, to our knowledge. We cannot assent to a revealed proposition if it be contradictory to our clear intuitive knowledge. But propositions of faith are, nonetheless, understood to be “above reason.”

Locke specifies two ways in which matters of faith can be revealed: either though “original revelation” or “traditional revelation.” Moses receiving the Decalogue is an example of the former; his communication of its laws to the Israelites is an example of the latter. The truth of original revelation cannot be contrary to reason. But traditional revelation is even more dependent on reason, since if an original revelation is to be communicated, it cannot be understood unless those who receive it have already received a correlate idea through sensation or reflection and understood the empirical signs through which it is communicated.

For Locke, reason justifies beliefs, and assigns them varying degrees of probability based on the power of the evidence. But, like Aquinas, Locke held to the evidence not only of logical/mathematical and certain self-affirming existential claims, but also “that which is evident to the senses.” All of these veridical beliefs depend upon no other beliefs for their justification. But faith requires the even less certain evidence of the testimony of others. In the final analysis, faith’s assent is made not by a deduction from reason, but by the “credit of the proposer, as coming from God, in some extraordinary way of communication.” Thus Locke’s understands faith as a probable consent.

Locke also developed a version of natural theology. In An Essay Concerning Human Understanding he claims that the complex ideas we have of God are made of up ideas of reflection. For example, we take the ideas of existence, duration, pleasure, happiness, knowledge, and power and “enlarge every one of these with our idea of Infinity; and so putting them together, make our complex idea of God.” We cannot know God’s own essence, however.

David Hume, like Locke, rejected rationalism, but developed a more radical kind of empiricism than Locke had. He argued that concrete experience is “our only guide in reasoning concerning matters of fact.” Thus he rejected the possibility of arguing for the truths of faith on the basis either of natural theology or the evidence of miracles. He supported this conclusion on two grounds. First, natural theology requires certain inferences from everyday experience. The argument from design infers that we can infer a single designer from our experience of the world. Though Hume agrees that we have experiences of the world as an artifact, he claims that we cannot make any probable inference from this fact to quality, power, or number of the artisans. Second, Hume argues that miracles are not only often unreliable grounds as evidence for belief, but in fact are apriori impossible. A miracle by definition is a transgression of a law of nature, and yet by their very nature these laws admit of no exceptions. Thus we cannot even call it a law of nature that has been violated. He concludes that reason and experience fail to establish divine infinity, God’s moral attributes, or any specification of the ongoing relationship between the Deity and man. But rather than concluding that his stance towards religious beliefs was one of atheism or even a mere Deism, Hume argued that he was a genuine Theist. He believed that we have a genuine natural sentiment by which we long for heaven. The one who is aware of the inability of reason to affirm these truths in fact is the person who can grasp revealed truth with the greatest avidity.

g. German Idealism

Immanuel Kant was heavily influenced by Descartes’s anthropomorphism and Spinoza‘s and Jean Jacques Rousseau‘s restriction of the scope of religion to ethical matters. Moreover, he wanted a view that was consistent with Newton’s discoveries about the strict natural laws that govern the empirical world. To accomplish this, he steered the scope of reason away from metaphysical, natural, and religious speculation altogether.

Kant’s claim that theoretical reason was unable to grasp truths about God effectively continued the contraction of the authority of scienta in matters of faith that had been occurring since the late medieval period. He rejected, then, the timeless and spaceless God of revelation characteristic of the Augustinian tradition as beyond human ken. This is most evident in his critique of the cosmological proof for the existence of God in The Critique of Pure Reason. This move left Kant immune from the threat of unresolvable paradoxes. Nonetheless he did allow the concept of God (as well as the ideas of immortality and the soul) to become not a constitutive but a regulative ideal of reason. God’s existence remains a necessary postulate specifically for the moral law. God functions as the sources for the summum bonum. Only God can guarantee an ideal conformity of virtue and happiness, which is required to fulfill the principle that “ought implies can.” This grounded what Kant called a faith distinct from knowledge or comprehension, but nonetheless rational. Rational faith involves reliance neither upon God’s word nor the person of Christ, but only upon the recognition of God as the source of how we subjectively realize our duties. God is cause of our moral purposes as rational beings in nature. Yet faith is “free belief”: it is the permanent principle of the mind to assume as true, on account of the obligation in reference to it, that which is necessary to presuppose as condition of the possibility of the highest moral purpose. Like Spinoza, Kant makes all theology moral theology.

Since faith transcends the world of experience, it is neither doubtful nor merely probable. Thus Kant’s view of faith is complex: it has no theoretical grounds, yet it has a rational basis that provides more or less stable conviction for believers. He provided a religion grounded without revelation or grace. It ushered in new immanentism in rational views of belief.

G.W.F. Hegel, at the peak of German Idealism, took up Kant’s immanentism but moved it in a more radical direction. He claimed that in Kant, “philosophy has made itself the handmaid of a faith once more” though one not externally imposed but autonomously constituted. Hegel approved of the way Kant helped to modify the Enlightenment’s dogmatic emphasis on the empirical world, particularly as evidenced in the way Locke turned philosophy into empirical psychology. But though Kant held to an “idealism of the finite,” Hegel thought that Kant did not extend his idealism far enough. Kant’s regulative view of reason was doomed to regard faith and knowledge as irrevocably opposed. Hegel argued that a further development of idealism shows have faith and knowledge are related and synthesized in the Absolute.

Hegel reinterpreted the traditional proofs for God’s existence, rejected by Kant, as authentic expressions of the need of finite spirit to elevate itself to oneness with God. In religion this attempt to identify with God is accomplished through feeling. Feelings are, however, subject to conflict and opposition. But they are not merely subjective. The content of God enters feeling such that the feeling derives its determination from this content. Thus faith, implanted in one’s heart, can be defended by the testimony of the indwelling spirit of truth.

Hegel’s thoroughgoing rationalism ultimate yields a form of panentheism in which all finite beings, though distinct from natural necessity, have no existence independent from it. “There is only one Being… and things by their very nature form part of it.” God is the being in whom spirit and nature are united. Thus faith is merely an expression of a finitude comprehensible only from the rational perspective of the infinite. Faith is merely a moment in our transition to absolute knowledge.

6. The Nineteenth Century

Physics and astronomy were the primary scientific concerns for theologians in the seventeenth and eighteenth centuries. But in the nineteenth and twentieth centuries the sciences of geology, sociology, psychology, and biology became more pronounced.

Kant’s understanding of God as a postulate of practical reason – and his dismissal of metaphysical and empirical support for religion — soon led to the idea that God could be a mere projection of practical feeling or psychological impulse. Such an idea echoed Hobbes’s claim that religion arises from fear and superstition. Sigmund Freud claimed, for example, that religious beliefs were the result of the projection of a protective father figure onto our life situations. Although such claims about projection seem immune from falsification, the Freudian could count such an attempt to falsify itself simply as rationalization: a masking of a deeper unconscious drive.

The nineteenth century biological development most significant for theology was Charles Darwin’s theory of natural selection. It explained all human development on the basis simply of progressive adaptation or organisms to their physical environment. No reference to a mind or rational will was required to explain any human endeavor. Darwin himself once had believed in God and the immortality of the soul. But later he found that these could not count as evidence for the existence of God. He ended up an agnostic. On the one hand he felt compelled to affirm a First Cause of such an immense and wonderful universe and to reject blind chance or necessity, but on the other hand he remained skeptical of the capacities of humans “developed from a mind as low as that possessed by the lowest animals.” Such naturalistic views made it difficult to support any argument for God’s existence, particularly a design argument.

Not all nineteenth century scientific thinking, however, yielded skeptical conclusions. Emilé Durkheim, in his sociological study The Elementary Forms of Religious Life, took the scientific critiques of religion seriously, but gave them a much different interpretation. He concluded that the cultic practices of religion have the non-illusory quality of producing measurable good consequences in their adherents. Moreover, he theorized that the fundamental categories of thought, and even of science, have religious origins. Almost all the great social institutions were born of religion. He was lead to claim that “the idea of society is the soul of religion”: society derived from religious forces.

In the context of these various scientific developments, philosophical arguments about faith and reason developed in several remarkable directions in the nineteenth century.

a. Romanticism

Friedrich Schleiermacher was a liberal theologian who was quite interested in problems of biblical interpretation. He claimed that religion constituted its own sphere of experience, unrelated to scientific knowledge. Thus religious meaning is independent of scientific fact. His Romantic fideism would have a profound influence on Kierkegaard.

b. Socialism

Karl Marx is well known as an atheist who had strong criticisms of all religious practice. Much of his critique of religion had been derived from Ludwig Feuerbach, who claimed that God is merely a psychological projection meant to compensate for the suffering people feel. Rejecting wholesale the validity of such wishful thinking, Marx claimed not only that all sufferings are the result of economic class struggle but that they could be alleviated by means of a Communist revolution that would eliminate economic classes altogether. Moreover, Marx claimed that religion was a fundamental obstacle to such a revolution, since it was an “opiate” that kept the masses quiescent. Religious beliefs thus arise from a cognitive malfunction: they emerge from a “perverted world consciousness.” Only a classless communist society, which Marx thought would emerge when capitalism met its necessary demise, would eliminate religion and furnish true human emancipation.

c. Existentialism

Søren Kierkegaard, arguably the father of existentialism, was a profound religious thinker. He came up with an unequivocal view of faith and reason much like Tertullian’s strong incompatibilism. If Kant argued for religion within the limits of reason alone, Kierkegaard called for reason with the limits of religion alone. Faith requires a leap. It demands risk. All arguments that reason derives for a proof of God are in fact viciously circular: one can only reason about the existence of an object that one already assumes to exist. Hegel tried to claim that faith could be elevated to the status of objective certainty. Seeking such certainly, moreover, Kierkegaard considered a trap: what is needed is a radical trust. The radical trust of faith is the highest virtue one can reach.

Kierkegaard claimed that all essential knowledge intrinsically relates to an existing individual. In Either/Or, he outlined three general forms of life individuals can adopt: the aesthetic, ethical, and ethico-religious. The aesthetic is the life that seeks pleasure. The ethical is that which stresses the fulfillment of duties. Neither of these attains to the true individuality of human existence. But in the ethico-religious sphere, truth emerges in the authenticity of the relationship between a person and the object of his attention. With authenticity, the importance is on the “how,” not the “what,” of knowledge. It attains to a subjective truth, in which the sincerity and intensity of the commitment is key. This authenticity is equivalent to faith understood as “an objective uncertainty held fast in an appropriation-process of the most passionate inwardness.” The coexistence of this “objective uncertainty” with “passionate inwardness” is strikingly paradoxical. Kierkegaard makes a similarly paradoxical claim in holding that “nothing historical can become infinitely certain for me except the fact of my own existence (which again cannot become infinitely certain for any other individual, who has infinite certainty only of his own existence) and this is not something historical.” Thus faith can never be a matter of objective certainty; it involves no reckoning of probabilities, it is not an intellectual acceptance of a doctrine at all. Faith involves a submission of the intellect. It is not only hostile to but also completely beyond the grasp of reason.

Though he never read Kierkegaard, Friedrich Nietzsche came up with remarkable parallels to his thought. Both stressed the centrality of the individual, a certain disdain for public life, and a hatred of personal weakness and anonymity. They also both attacked certain hypocrisies in Christendom and the overstated praise for reason in Kant and Hegel. But Nietzsche had no part of Kierkegaard’s new Christian individual, and instead defended the aesthetic life disdained by Kierkegaard against both morality and Christianity. So he critique religion not from Kierkegaard’s epistemological perspective, but from a highly original moral perspective.

Nietzsche claimed that religion breeds hostility to life, understood broadly as will to power. Religion produces two types of character: a weak servile character that is at the same time strongly resentful towards those in power, and an Übermensch, or superman, who creates his own values. In The Joyful Wisdom Nietzsche proclaims that God as a protector of the weak, though once alive, is now dead, and that we have rightly killed him. Now, instead, he claims that we instead need to grasp the will to power that is part of all things and guides them to their full development completely within the natural world. For humans Nietzsche casts the will to power as a force of artistic and creative energy.

d. Catholic Apologists

Roman Catholics traditionally claimed that the task of reason was to make faith intelligible. In the later part of the nineteenth century, John Cardinal Newman worked to defend the power of reason against those intellectuals of his day who challenged its efficacy in matters of faith. Though maintaining the importance of reason in matters of faith, he reduces its ability to arrive at absolute certainties.

In his Grammar of Assent, Newman argued that one assents to God on the basis of one’s experience and principles. And one can do this by means of a kind of rational demonstration. And yet this demonstration is not actually reproducible by others; each of us has a unique domain of experience and expertise. Some are just given the capacity and opportunities to make this assent to what is demonstrated others are not. Drawing for Aristotle’s Nicomachean Ethics, Newman argues that “a special preparation of mind is required for each separate department of inquiry and discussion.” He stressed the continuity between religious belief and other kinds of belief that involve complex sets of phenomena. He claims that Locke, for example, overlooked how human nature actually works, imposing instead his own idea of how the mind is to act on the basis of deduction from evidence. If Locke would have looked more closely at experience, he would have noticed that much of our reasoning is tacit and informal. It cannot usually be reconstructed for a set of premises. Rather it is the accumulation of probabilities, independent of each other, arising out of the circumstances of the particular case. No specific consideration usually suffices to generate the required conclusion, but taken together, they may converge upon it. This is usually what is called a moral proof for belief in a proposition. In fact, we are justified in holding the beliefs even after we have forgotten what the warrant was. This probabilistic approach to religious assent continued in the later thinking of Basil Mitchell.

e. Pragmatism

William James followed in the pragmatist tradition inaugurated by Charles Sanders Peirce. Pragmatists held that all beliefs must be tested, and those that failed to garner sufficient practical value ought to be discarded.

In his Will to Believe, James was a strong critic of W.K. Clifford’s uncompromising empiricism. Clifford, like Hume, had argued that acting on beliefs or convictions alone, unsupported by evidence, was pure folly. He likened such acting to that of an irresponsible shipowner who allows an untrustworthy ship to be ready to set sail, merely thinking it safe, and then gives “benevolent wishes” for those who would set sail in it. Clifford concluded that we have a duty to act only on well founded beliefs. If we have no grounds for belief, we must suspend judgment. This provided the basis for an ethics of belief quite different than Newman’s. Clifford’s evidentialism inspired subsequent philosophers such as Bertrand Russell and Michael Scriven.

James argued, pace Clifford, that life would be severely impoverished if we acted only on completely well founded beliefs. Like Newman, James held that belief admits of a wide spectrum of commitment: from tentative to firm. The feelings that attach to a belief are significant. He defended the need we have, at times, to allow our “passional tendencies” to influence our judgments. Thus, like Pascal, he took up a voluntarist argument for religious belief, though one not dependent solely upon a wager. There are times, admittedly few, when we must act on our beliefs passionately held but without sufficient supporting evidence. These rare situations must be both momentous, once in a lifetime opportunities, and forced, such that the situation offers the agent only two options: to act or not to act on the belief. Religious beliefs often take on both of these characteristics. Pascal had realized the forced aspect of Christian belief, regarding salvation: God would not save the disbeliever. As a result, religion James claimed that a religious belief could be a genuine hypothesis for a person to adopt.

James does, however, also give some evidential support for this choice to believe. We have faith in many things in life — in molecules, conversation of energy, democracy, and so forth — that are based on evidence of their usefulness for us. But even in these cases “Our faith is faith in some one else’s faith.” Our mental life effectively comprises a constant interplay between volitions and beliefs. Nonetheless, James believed that while philosophers like Descartes and Clifford, not wanting to ever be dupes, focused primarily on the need to avoid error, even to the point of letting truth take its chance, he as an empiricist must hold that the pursuit of truth is paramount and the avoidance of error is secondary. His position entailed that that dupery in the face of hope is better than dupery in the face of fear.

In “The Sentiment of Rationality” James concludes that faith is “belief in something concerning which doubt is still theoretically possible; and as the test of belief is willingness to act, one may say that faith is the readiness to act in a cause the prosperous issue of which is not certified to us in advance.” So, faith is not only compatible with doubt, but it requires its possibility. Faith is oriented towards action: it is a kind of “working hypothesis” needed for practical life.

7. The Twentieth Century

Darwins’s scientific thesis of natural selection and Freud’s projective views of God continued to have a profound impact on many aspects of the philosophy of religion in the twentieth century. In fact the interplay between faith and reason began to be cast, in many cases, simply as the conflict between science and religion.

Not all scientific discoveries were used to invoke greater skepticism about the validity of religious claims, however. For example, in the late twentieth century some physicists endorsed what came to be called the anthropic principle. The principle derives from the claim of some physicists that a number of factors in the early universe had to coordinate in a highly statistically improbable way to produce a universe capable of sustaining advanced life forms. Among the factors are the mass of the universe and the strengths of the four basic forces (electromagnetism, gravitation, and the strong and weak nuclear forces). It is difficult to explain this fine tuning. Many who adhere to the anthropic principle, such as Holmes Rolston, John Leslie, and Stephen Hawking, argue that it demands some kind of extra-natural explanation. Some think it suggests possibilities for a new design argument for God’s existence. However, one can hold the anthropic principle and still deny that it has religious implications. It is possible to argue that it indicates not a single creator creating a single universe, but indeed many universes, either contemporaneous with our own or in succession to it.

The twentieth century witnessed numerous attempts to reconcile religious belief with new strands of philosophical thinking and with new theories in science.

a. Logical Positivism and Its Critics

Many philosophers of religion in the twentieth century took up a new appreciation for the scope and power of religious language. This was prompted to a large extent by the emphasis on conceptual clarity that dominated much Western philosophy, particularly early in the century.

This emphasis on conceptual clarity was evidenced especially in logical positivism. A.J. Ayer and Antony Flew, for example, argued that all metaphysical language fails to meet a standard of logical coherence and is thus meaningless. Metaphysical claims are not in principle falsifiable. As such, their claims are neither true nor false. They make no verifiable reference to the world. Religious language shares these characteristics with metaphysical language. Flew emphasized that religious believers generally cannot even state the conditions under which they would give up their faith claims. Since their claims then are unfalsifiable, they are not objects for rational determination.

One response by compatibilists to these arguments of logical positivists was to claim that religious beliefs, though meaningless in the verificational sense, are nonetheless important in providing the believer with moral motivations and self-understanding. This is an anti-realist understanding of faith. An example of this approach is found in R.M. Hare. Responding to Flew, he admitted that religious faith consists of a set of unfalsifiable assumptions, which he termed “bliks.” But Hare argued that our practical dealings with the everyday world involve numerous such “bliks.” Though some of these principles are faulty, we cannot but have some in order to live in the world.

Basil Mitchell responded to Flew’s claim that religious beliefs cannot be falsified. Mitchell argued that although rational and scientific considerations can and ought at times to prompt revisions of one’s religious belief, no one can give a general determination of exactly at what point a set of evidence ought to count decisively against a faith claim. It is up to each believer to decide when this occurs. To underscore this claim, Mitchell claimed that the rationality of religious beliefs ought to be determined not foundationally, as deductions from rational first principles, but collectively from the gathering of various types of evidence into a pattern. Nonetheless, he realized that this accumulation of evidence, as the basis for a new kind of natural theology, might not be strong enough to counter the skeptic. In the spirit of Newman, Mitchell concluded by defending a highly refined cumulative probabilism in religious belief.

Another reaction against logical positivism stemmed from Ludwig Wittgenstein. In his “Lectures on Religious Belief,” he argued that there is something unique about the linguistic framework of religious believers. Their language makes little sense to outsiders. Thus one has to share in their form of life in order to understand the way the various concepts function in their language games. The various language games form a kind of “family resemblance.” Wittgenstein concluded that those who demand a nonperspectival impartial way of assessing the truth value of a religious claim are asking for something impossible. From Wittgenstein’s perspective, science and religion are just two different types of language games. This demand to take on an internal perspective in order to assess religious beliefs commits Wittgenstein to a form of incompatibilism between faith and reason. Interpreters of Wittgenstein, like Norman Malcolm, claimed that although this entails that religious beliefs are essentially groundless, so are countless other everyday beliefs, such as in the permanence of our objects of perception, in the uniformity of nature, and even in our knowledge of our own intentions.

Wittgenstein, like Kierkegaard, claimed that proofs for God’s existence have little to do with actual belief in God. He did think that life itself could “educate” us about God’s existence. In Culture and Value he claims that sufferings can have a great impact on one’s beliefs. “These neither show us God in the way a sense impression shows us an object, nor do they give rise to conjectures about him. Experiences, thoughts–life can force this concept on us.” D.Z. Phillips also holds the view that religion has its own unique criteria for acceptable belief.

John Hick, in Faith and Knowledge, modifies the Wittgensteinian idea of forms of life to analyze faith claims in a novel manner. Hick claimed that this could shed light upon the epistemological (fides) analysis of faith. From such an analysis follows the non-epistemological thinking (fiducia) that guides actual practice.

Taking up the epistemological analysis, Hick first criticizes the voluntarisms of Pascal and James as “remote from the state of mind of such men as the great prophets.” He criticizes James in particular for reducing truth to utility. Hick argues instead for the importance of rational certainty in faith. He posits that there are as many types of grounds for rational certainty as there are kinds of objects of knowledge. He claims that religious beliefs share several crucial features with any empirical claim: they are propositional; they are objects of assent; an agent can have dispositions to act upon them; and we feel convictions for them when they are challenged. Nonetheless, Hick realizes that there are important ways in which sense beliefs and religious beliefs are distinct: sense perception is coercive, while religious perception is not; sense perception is universal, while religious is not; and sense perception is highly coherent within space and time, while religious awareness among different individuals is not. In fact, it may in fact be rational for a person who has not had experiences that compel belief to withhold belief in God.

From these similarities and differences between faith claims and claims of reason, Hick concludes that religious faith is the noninferential and unprovable basic interpretation either of a moral or religious “situational significance” in human experience. Faith is not the result of logical reasoning, but rather a profession that God “as a living being” has entered into the believer’s experience. This act of faith situates itself in the person’s material and social environment. Religious faith interprets reality in terms of the divine presence within the believer’s human experience. Although the person of faith may be unable to prove or explain this divine presence, his or her religious belief still acquire the status of knowledge similar to that of scientific and moral claims. Thus even if one could prove God’s existence, this fact alone would be a form of knowledge neither necessary nor sufficient for one’s faith. It would at best only force a notional assent. Believers live by not by confirmed hypotheses, but by an intense, coercive, indubitable experience of the divine.

Sallie McFague, in Models of God, argues that religious thinking requires a rethinking of the ways in which religious language employs metaphor. Religious language is for the most part neither propositional nor assertoric. Rather, it functions not to render strict definitions, but to give accounts. To say, for example, “God is mother,” is neither to define God as a mother nor to assert an identity between them, but rather to suggest that we consider what we do not know how to talk about–relating to God – through the metaphor of a mother. Moreover, no single metaphor can function as the sole way of expressing any aspect of a religious belief.

b. Philosophical Theology

Many Protestant and Roman Catholic theologians in the twentieth century responded to the criticisms of religious belief, leveled by atheistic existentialists, naturalists, and linguistic positivists, by forging a new understanding of Christian revelation.

Karl Barth, a Reformed Protestant, provided a startlingly new model of the relation between faith and reason. He rejected Schleiermacher’s view that the actualization of one’s religious motivation leads to some sort of established union between man and God. Barth argued instead that revelation is aimed at a believer who must receive it before it is a revelation. This means that one cannot understand a revelation without already, in a sense, believing it. God’s revelation of Himself, His very communication of that self, is not distinct from Himself. “In God’s revelation God’s Word is identical with God Himself” (in Church Dogmatics ii, I). Moreover, Barth claimed that God’s revelation has its reality and truth wholly and in every respect, both ontically and noetically, within itself. Revelation cannot be made true by anything else. The fullness of the “original self-existent being of God’s Word” reposes and lives in revelation. This renders the belief in an important way immune from both critical rational scrutiny and the reach of arguments from analogy.

Barth held, however, that relative to the believer, God remains “totally other” (totaliter aliter). Our selfhood stands in contradiction to the divine nature. Religion is, in fact, “unbelief”: our attempts to know God from our own standpoint are wholly and entirely futile. This was a consistent conclusion of his dialectical method: the simultaneous affirmation and negation of a given theological point. Barth was thus an incompatibilist who held that the ground of faith lies beyond reason. Yet he urged that a believer is nonetheless always to seek knowledge and that religious beliefs have marked consequences for daily life.

Karl Rahner, arguably the most influential Catholic theologian of the twentieth century, was profoundly influenced by Barth’s dialectical method. But Rahner argued that God’s mystical self-revelation of Himself to us through an act of grace is not predestined for a few but extends to all persons: it constitutes the “supernatural existential” that grounds all intelligibility and action. It lies beyond proof or demonstration. Thus all persons, living in this prior and often unthematized state of God’s gift, are “anonymous Christians.” All humans can respond to God’s self-communication in history. Rahner held thus that previous religions embodied a various forms of knowledge of God and thus were lawful religions. But now God has revealed his fullness to humans through the Christian Incarnation and word. This explicit self-realization is the culmination of the history of the previously anonymous Christianity. Christianity now understands itself as an absolute religion intended for all. This claim itself is basic for its understanding of itself.

Rahner’s claim about the gratuitous gifts of grace in all humans reaches beyond a natural theology. Nonetheless one form of evidence to which he appeals for its rational justification is the stipulation that humans, social by nature, cannot achieve a relationship to God “in an absolutely private interior reality.” The individual must encounter the natural divine law, not in his role as a “private metaphysician” but according to God’s will in a religious and social context. Rahner thus emphasized the importance of culture as a medium in which religious faith becomes understood. He thus forged a new kind of compatibilism between faith and rationality.

c. Neo-Existentialism

Paul Tillich, a German Protestant theologian, developed a highly original form of Christian apologetics. In his Systematic Theology, he laid out a original method, called correlation, that explains the contents of the Christian faith through existential questions and theological answers in mutual interdependence. Existential questions arise from our experiences of transitoriness, finitude, and the threat of nonbeing. In this context, faith is what emerges as our thinking about our “ultimate concern.” Only those who have had these kinds of experiences can raise the questions that open them to understand the meaning of the Christian message. Secular culture provides numerous media, such as poetry, drama, and novels, in which these questions are engendered. In turn, the Christian message provides unique answers to these questions that emerge from our human existence. Tillich realized that such an existentialist method – with its high degree of correlation between faith and everyday experience and thus between the human and the divine — would evoke protest from thinkers like Barth.

Steven Cahn approaches a Christian existentialism from less sociological and a more psychological angle than Tillich. Cahn agrees with Kierkegaard’s claim that most believers in fact care little about proofs for the existence of God. Neither naturalist nor supernaturalist religion depend upon philosophical proofs for God’s existence. It is impossible to prove definitely the testimony of another’s supposedly self-validating experience. One is always justified in entertaining either philosophical doubts concerning the logical possibility of such an experience or practical doubts as to whether the person has undergone it. Moreover, these proofs, even if true, would furnish the believer with no moral code. Cahn concludes that one must undergo a self-validating experience personal experience in which one senses the presence of God. All moral imperatives derive from learning the will of God. One may, however, join others in a communal effort to forge a moral code.

d. Neo-Darwinism

The Darwinistic thinking of the nineteenth century continued to have a strong impact of philosophy of religion. Richard Dawkins in his Blind Watchmaker, uses the same theory of natural selection to construct an argument against the cogency of religious faith. He argues that the theory of evolution by gradual but cumulative natural selection is the only theory that is in principle capable of explaining the existence of organized complexity in the world. He admits that this organized complexity is highly improbable, yet the best explanation for it is still a Darwinian worldview. Dawkins even claims that Darwin effectively solved the mystery of our own existence. Since religions remain firm in their conviction that God guides all biological and human development, Dawkins concludes that religion and science are in fact doomed rivals. They make incompatible claims. He resolves the conflict in favor of science.

e. Contemporary Reactions Against Naturalism and Neo-Darwinism

Contemporary philosophers of religion respond to the criticisms of naturalists, like Dawkins, from several angles.

Alvin Plantinga thinks that natural selection demonstrates only the function of species survival, not the production of true beliefs in individuals. Yet he rejects traditional Lockean evidentialism, the view that a belief needs adequate evidence as a criterion for its justification. But he refuses to furnish a fideist or existentialist condition for the truth of religious beliefs. Rather he claims that religious beliefs are justified without reasons and are, as such, “properly basic.” These he sets in contrast to the claims of natural theology to form the basis of his “Reformed epistemology.” Other Reformed epistemologists are W.P Alston and Nicholas Wolterstorff.

Plantinga builds his Reformed epistemology by means of several criticisms of evidentialism. First, the standards of evidence in evidentialism are usually set too high. Most of our reliable everyday beliefs are not subject to such strict standards. Second, the set of arguments that evidentialists attack is traditionally very narrow. Plantinga suggest that they tend to overlook much of what is internally available to the believer: important beliefs concerning beauty and physical attributes of creatures, play and enjoyment, morality, and the meaning of life. Third, those who employ these epistemological criticisms often fail to realize that the criticisms themselves rest upon auxiliary assumptions that are not themselves epistemological, but rather theological, metaphysical, or ontological. Finally, and more importantly, not all beliefs are subject to such evidence. Beliefs in memories or other minds, for example, generally appeal to something properly basic beyond the reach of evidence. What is basic for a religious belief can be, for example, a profound personal religious experience. In short, being self-evident, incorrigible, or evident to the senses is not a necessary condition of proper basicality. We argue to what is basic from below rather than from above. These claims are tested by a relevant set of “internal markers.” Plantinga does admit that in fact no widespread acceptance of the markers can be assumed. He concludes, though, that religious believers cannot be accused of shirking some fundamental epistemic duty by relying upon this basic form of evidence.

Epistemological views such as Plantinga develops entail that there is an important distinction between determining whether or not a religious belief is true (de facto) and whether or not one ought to hold or accept it (de jure). On de jure grounds, for example, one can suggest that beliefs are irrational because they are produced either by a errant process or by an proper process aimed at the wrong aim or end. Theism has been criticized on both of these grounds. But since Christianity purports to be true, the de jure considerations must reduce ultimately to de facto considerations.

J.J. Haldane criticizes the scientific critiques of religion on the grounds that they themselves make two unacknowledged assumptions about reality: the existence of regular patterns of interaction, and the reality of stable intelligences in humans. These assumptions themselves cannot be proven by scientific inquiry. Thus it seems odd to oppose as rivals scientific and religious ways of thinking about reality. Science itself is faith-like in resting upon these assumptions; theology carries forward a scientific impulse in asking how the order of the world is possible. But what do we make of the fact that scientific models often explain the world better than religious claims? What troubles Haldane is the explanatory reductionism physical sciences employ is often thought to be entailed by the ontological reduction it assumes. For example, the fact that one can give a complete description of human action and development on a biological level alone is often thought to mean that all action and development can be explained according to biological laws. Haldane rejects this thesis, arguing that certain mental events might be ontologically reducible to physical events, but talk of physical events cannot be equally substituted for mental events in the order of explanation. Such argumentation reflects the general direction of the anomological monism proposed by Donald Davidson. Haldane concludes that language can be a unique source of explanatory potential for all human activity.

Like Haldane, Nancey Murphy also holds for a new form of compatibilism between religion and science. In Science and Theology she argues that the differences between scientific and theological methodologies are only of degree, not kind. She admits that scientific methodology has fundamentally changed the way we think about the world. Consequently, theology in the modern period has been preoccupied with the question of theological method. But she thinks that theological method can develop to meet the same standard of criteria as scientific method has.

Scientific thinking in the twentieth century in particular has been developing away from foundationalism: the derivation of theories from indubitable first principles. Willard van Orman Quine and others urged that scientific methodologists give up on foundationalism. He claimed that knowledge is like a web or net of beliefs: some beliefs are simply more apt to be adopted or rejected in certain situations than others are. Murphy sees that theology, too, is developing away from the foundationalism that literal interpretations of Scripture used to provide. Now it tends to emphasize the importance of religious experience and the individual interpretation of beliefs. But two problems await the move from theology away from foundationalism: subjectivism and circularity. The subjectivism emerges from the believer’s inability to make the leap from his or her private inner experience to the real world. The circularity emerges from the lack of any kind of external check on interpretation. Alasdair MacIntyre is concerned with the latter problem. He claims that evidence for belief requires a veridical experience for each subsequent belief that arises from it. But Murphy finds this approach still close to foundationalism. Instead she develops two non-foundational criteria for the interpretation of a religious belief: that several related but differing experiences give rise to the belief, and that the belief have publicly observable consequences emanating from it.

To illustrate this approach to interpretation of beliefs, Murphy considers Catherine of Siena’s claim that a true “verification” of a revelation from God requires that the believer subsequently engage in publicly observable acts of humility and charity. The verification also requires what Murphy calls discernment. Discernment reveals analogous experiences and interpretations in other believers and a certain reliability in the actions done. It functions the same way that a theory of instrumentation does in science. Discernment often takes place within a community of some sort.

But are these beliefs, supported by this indirect verification and communal discernment, still in any sense falsifiable? Murphy notes that religious experience has clashed with authoritative theological doctrine numerous times. But it has also ended up correcting it, for example in the way that Catherine of Siena’s writings eventually changed the Roman Catholic tradition in which she was writing.

Murphy claims, however, that until theology takes on the status as a kind of knowledge of a reality independent of the human subject it is unlikely that theology and science will have a fruitful dialogue. But she thinks that turning from the subjectivization of the liberal turn in theology to discourse about human religiosity will help this dialogue.

A strong critic of the negative impact of scientific naturalism on faith is the Canadian philosopher Charles Taylor. Taylor finds in all naturalisms a kind of “exclusive humanism” that not only puts humans at the center of the universe, but denies them any authentic aspirations to goals or states beyond the world in which they live. In modernity naturalism has led inexorably to secularization. In Sources of the Self, Taylor argues that secularization, inspired by both Luther and Calvin, first resulted in the prioritizing of “ordinary life” of marriage and family over that of contemplative lives in the vowed or clerical state. In later phases it led to the transformation of cultural practices into forms that are neutral with regard to religious affiliation. But secularization is not a prima facie problem for any religious believer, since it does not preclude the possibility of religious faith or practices per se. Moreover, secularization has made possible the development of legal and governmental structures, such as human rights, better fit for pluralistic societies containing persons of a number of different religious faiths. Thus it has made it easier for Christians to accept full rights for atheists or violators of the Christian moral code. Nonetheless, Taylor sees problems that secularism poses for the Christian faith. It can facilitate a marriage between the Christian faith and a particular form of culture.

In contrast to naturalism, Taylor urges the adoption of a unique transcendental point of view. Such a view does not equate a meaningful life with a full or good life. Instead, a transcendental view finds in suffering and death not only something that matters beyond life, but something from which life itself originally draws. Thus natural life is to be subordinated to the “abundant life” that Jesus advocates in his Good Shepherd discourse (John 10:10). This call of the transcendental requires, ultimately, a conversion or a change of identity. This is a transition from self-centeredness, a kind of natural state, to God-centeredness. Unable to find value in suffering and death, those who focus on ordinary life try assiduously to avoid them. The consequences of this resistance to the transcendent, found in this uncritical embrace of ordinary life, are not so much epistemic as moral and spiritual. Ordinary life virtues emphasize benevolence and solidarity. But modern individuals, trying to meet these demands, experience instead a growing sense of anger, futility, and even contempt when confronted with the disappointments of actual human performance. This is ordinary life’s “dialectics of reception.” A transcendental vision, on the other hand, opens up a future for humans that is not a matter of guarantee, but only faith. It is derived from “standing among others in the stream” of God’s unconditional love.

The theological principle by which Taylor buttresses this vision is that “Redemption happens through Incarnation.” The incarnational and natural “ordinary” requires always the call of a redemptive “beyond” that is the object of our endeavors inspired by faith and hope.

f. Liberation Theology

Liberation theologians, such as Juan Segundo and Leonardo Boff, have drawn their inspiration from the plight of the poverty and injustice of peoples in the Third World, particularly Latin American. Drawing from Marx’s distinction between theory and practice, Gustavo Gutiérrez, in A Theology of Liberation, argues that theology is critical reflection on the socio-cultural situation in which belief takes place. Ultimately theology is reactive: it does not produce pastoral practice, but it finds the Spirit either present or absent in current practices. The reflection begins by examining the faith of a people is expressed through their acts of charity: their life, preaching, and historical commitment of the Church. The reflection also draws from the totality of human history. In a second moment, the reflection provides resources for new practices. Thus it protects the faith of the people from uncritical practices of fetishism and idolatry. Theology thus plays a prophetic role, by interpreting historical events with the intention of revealing and proclaiming their profound meaning.

8. References and Further Reading

  • Alston, William. “History of Philosophy of Religion.” The Routledge Encyclopedia of Philosophy. Vol. 8. Ed. E. Craig. New York: Routledge, 1998. Pp. 238-248.
    • This article provides a good basic outline of the problem of faith and reason.
  • Asimov, Isaac. Asimov’s Biographical Encyclopedia of Science and Technology. Garden City NY: Doubleday, 1964.
    • Much of the above section of Galileo comes from this text.
  • Copleston, Frederick. Medieval Philosophy. New York: Harper, 1952.
  • Helm, Paul, ed. Faith and Reason. Oxford: Oxford University Press, 1999.
    • This text has an excellent set of readings and good introductions to each section. Some of the above treatment of the introductions to each period are derived from it.
  • McInerny, Ralph. St. Thomas Aquinas. Boston: Twayne, 1977.
  • McGrath, Alister, ed. The Christian Theology Reader. Oxford: Basil Blackwell, 1995.
    • This text provided some of the above material on early Christian philosophers.
  • Meagher, Paul, Thomas O’Brien and Consuelo Aherne, eds. Encyclopedic Dictionary of Religion. 3 Vols. Washington DC: Corpus Publications, 1979.
  • Murphy, Nancey. “Religion and Science.” The Routledge Encyclopedia of Philosophy. Vol. 8. Ed. E. Craig.. New York: Routledge, 1998. Pp. 230-236
  • Murphy, Nancey. Theology in the Age of Scientific Reasoning. Ithaca NY: Cornell University Press, 1990.
  • Peterson, Michael, William Hasker, Bruce Reichenback, David Basinger. Philosophy of Religion: Selected Readings. Oxford: Oxford University Press, 2001.
    • This text was helpful for the above treatments of Richard Dawkins and Nancey Murphy.
  • Plantinga, Alvin. “Religion and Epistemology.” The Routledge Encyclopedia of Philosophy. Vol. 8. Ed. E. Craig. London/New York: Routledge, 1998. Pp. 209-218.
  • Pojman, Louis, ed. Philosophy of Religion: An Anthology. 2nd ed. Belmont CA.: Wadsworth, 1994.
    • This text provides a good introduction to the philosophy of religion. Some of the above treatments of Kant, Pascal, Plantinga, Cahn, Leibniz, Flew, Hare, Mitchell, Wittgenstein, and Hick are derived from its summaries.
  • Pomerleau, Wayne. Western Philosophies of Religion. New York, Ardsley House, 1998.
    • This text serves as the basis for much of the above summaries of Augustine, Aquinas, Descartes, Locke, Leibniz, Hume, Kant, Hegel, Kierkegaard, James, Wittgenstein, and Hick.
  • Rolston, Holmes III. Science and Religion: A Critical Survey. New York: Random House, 1987.
    • This has a good section on the anthropic principle.
  • Solomon, Robert, ed. Existentialism. New York: The Modern Library, 1974.
  • Taylor, Charles. A Catholic Modernity? Oxford: Oxford University Press, 1999.
  • Taylor, Charles. Sources of the Self. Cambridge MA.: Harvard University Press, 1989.
  • Wolterstoff, Nicholas. “Faith.” The Routledge Encyclopedia of Philosophy. Vol. 3. Ed. E. Craig. London: Routledge, 1998. Pp. 538-544.
    • This text formed the basis for much of the above treatment of “Reformed Epistemology.

Author Information

James Swindal
Email: swindalj@duq.edu
Duquesne University
U. S. A.

Natural Theology

Natural theology is a program of inquiry into the existence and attributes of God without referring or appealing to any divine revelation. In natural theology, one asks what the word “God” means, whether and how names can be applied to God, whether God exists, whether God knows the future free choices of creatures, and so forth. The aim is to answer those questions without using any claims drawn from any sacred texts or divine revelation, even though one may hold such claims.

For purposes of studying natural theology, Jews, Christians, Muslims, and others will bracket and set aside for the moment their commitment to the sacred writings or traditions they believe to be God’s word. Doing so enables them to proceed together to engage in the perennial questions about God using the sources of evidence that they share by virtue of their common humanity, for example, sensation, reason, science, and history. Agnostics and atheists, too, can engage in natural theology. For them, it is simply that they have no revelation-based views to bracket and set aside in the first place.

This received view of natural theology was a long time in the making. Natural theology was born among the ancient Greeks, and its meeting with ancient Judeo-Christian-Muslim thought constituted a complex cultural event. From that meeting there developed throughout the Middle Ages for Christians a sophisticated distinction between theology in the Christian sense and natural theology in the ancient Greek sense. Although many thinkers in the Middle Ages tried to unite theology and natural theology into a unity of thought, the project frequently met with objections, as we shall see below. The modern era was partly defined by a widespread rejection of natural theology for both philosophical and theological reasons. Such rejection persisted, and persists, although there has been a significant revival of natural theology in recent years.

Table of Contents

  1. Historical Beginnings of Theology and Philosophy
  2. Ancient Philosophy and the First Principle
  3. Ancient Jewish and Early Christian Theology
  4. Distinction between Revealed Theology and Natural Theology
  5. Thomas Aquinas
  6. Modern Philosophy and Natural Theology
  7. Natural Theology Today
  8. References and Further Reading
    1. Primary Sources
      1. Ancient Mediaeval Theology
      2. Mediaeval Natural Theology
      3. Modern Natural Theology
      4. Contemporary Natural Theology
    2. Secondary Sources

1. Historical Beginnings of Theology and Philosophy

The story of natural theology begins where theology begins. For the Greeks the term theology originally referred to inquiry into the lives and activities of the gods or divinities. In the Greek world, theology and mythology were the same concept. The theologians were the poets whose task it was to present accounts of the gods in poetic form. In the same age when the gods dominated popular thinking, however, another movement was growing: philosophy. The first philosophers, the pre-Socratics, undertook a quest to find the first principle of things. “First principle” here means the ultimate source or origin of all things. The pre-Socratic quest is often described as “purely rational” in the sense that it proceeded without making reference or appeal to the authority of poets or stories of the gods. The pre-Socratic philosophers entertained various candidates as to the first principle, for example, water, fire, conflicting dualities, number, or simply “being.” Both the mythology of the gods (already defined by the name of theology) and the purely rational quest for the first principle (later defined by the name of philosophy) constituted the cultural heritage of Plato and Aristotle – the two thinkers who would most greatly influence the development of natural theology. Plato and Aristotle each recognized the distinction between the two ways of inquiring into ultimate truth: the poetic-mythological-theological way and the purely rational way.

2. Ancient Philosophy and the First Principle

Plato (427 – 347 B.C.E.) in his well-known “Allegory of the Cave” in Book VII of The Republic, provides an image of what education consists in. True education consists in being led from the bondage of sensory appearances into the light of knowledge afforded by the form of the Good. The form of the Good is the cause of all being and all knowledge (the first principle). Knowledge of the form of the Good is arrived at through the struggle of dialectical argumentation. The dialectical arguments of philosophy do not prove the existence of the form of the Good, but contribute to inducing a non-inferential perception of it. Although Plato himself does not identify the form of the Good as God, later thinkers surely did.

Aristotle (384 – 322 B.C.E.) offers arguments for the existence of God (a God beyond the gods so to speak). Aristotle’s arguments start from the observable fact of motion or change in things around us. On the basis of his theory of motion, change, and causality presented in Physics, Aristotle proceeds to offer a demonstration that there exists a first mover of all other movers which is not itself moved in any respect. The first, unmoved mover is a postulate intended to account for the perpetuity of motion and change around us. The “argument from motion” is not meant to be a dialectical exercise that induces non-inferential perception of God, but a demonstration or proof according to the canons of proof that Aristotle presents in the Posterior Analytics. In the later books of Metaphysics, Aristotle goes further and identifies the unmoved mover as separated from matter and as nous or Mind. It is thought thinking itself. On Aristotle’s view, even though the world is everlasting, all things everlastingly proceed in accord with separated Reason: the first principle of all. Both Plato and Aristotle have one view in common. They hold that through a form of rational argumentation (whether it be demonstrative or dialectical), one can – without appeal to the authority of sacred writings – arrive at some knowledge or awareness of a first principle that is separated from matter.

We have now come to call the development of this non-poetic or non-mythological form of thought from the pre-Socratics through Plato and Aristotle by the name of “philosophy.” Aristotle’s arguments for the existence of God, because they argued from some feature of nature, came to be called “natural theology.” Natural theology was part of philosophy, as opposed to being part of the mytho-poetic theology.

3. Ancient Jewish and Early Christian Theology

As philosophy was developing from the Pre-Socratics through to Plato and Aristotle, another development was taking place among the Israelites or the ancient Jews. What was developing was their understanding of their corporate identity as the chosen people of God (YHWH). They conceived of themselves as a people established in a covenant with him, and bound to serve him according to the law and ritual prescriptions they had received from him. Texts received as sacred and as the word of God were an essential basis for their life, practice and thought.

It was among Jews and as a Jew that Jesus of Nazareth was born, lived his life, and gathered his first adherents. Christianity shared with Judaism a method for approaching God that essentially involved texts and faith in them as God’s word (although Christianity would eventually involve more texts than ancient Judaism). As Christianity spread, so did its faith-based and text-based method for approaching an understanding of God. As a minority practice within a predominantly Roman-Hellenistic culture, Christianity soon faced two new questions. First, do Christians have a “theology?”Second, what should a Christian make of “philosophy?” So long as Christianity remained a minority practice, Christians themselves remained conflicted on how to answer the two questions posed by the predominant culture.

The first question – do Christians have a theology? – was difficult for Christians to answer due to the poetic-mythological sense of the term “theology” still prevalent in the predominant Roman-Hellenistic milieu. All Christians rejected the views of the mythological-poets (the theologians). So long as the word “theology” meant the pagan mythological poetry and worship of the gods as practiced in the prevailing culture, Christians rejected the word “theology” as well. But once Christianity became culturally predominant, the word “theology” could and did become disassociated from the belief in and worship of the gods and was applied instead to the specifically Christian task of thinking and speaking about God as revealed in the Christian Scriptures. Under the new conditions, Christians found themselves more widely capable of saying that they had a theology.

The second question – what should Christians make of philosophy? – was difficult for Christians to answer because in the name of “philosophy” Christianity met with strong resistance to its central claims, for example, that Jesus is the Word made flesh. Some Christians considered philosophy essentially incompatible with Christianity; other Christians considered the possibility of a sort of intellectual alliance between philosophy and Christianity. On the one hand, Tertullian (160 – 220) famously quipped “What has Athens to do with Jerusalem?” (Prescription Against the Heretics, ch. VII). He is often quoted to show (perhaps unfairly) that he and Christians of his age rejected philosophical or “purely rational” methods for approaching knowledge of God. On the other hand, some Christians who were roughly his contemporaries happily availed themselves of contemporary philosophical vocabulary, concepts, and reasoning to expound Christian teaching. For example, Justin the Martyr (100-165), a convert to Christianity from Platonism, developed an account of the activity of Christ in terms of a medley of Platonist and Stoic ideas. Clement of Alexandria developed an account of Christian knowledge (gnosis) based on a variety of ideas drawn from prevalent philosophies. Greek speaking eastern Christians (more quickly than Latin speaking ones) began a process of borrowing, altering, and then using prevalent philosophical categories to corroborate and clarify their faith-based views of God. Their writings are filled with discussions of God’s existence and attributes in terms that are recognizable to philosophers. But is philosophical thought that has been used to clarify and corroborate faith-based and text-based beliefs still philosophical thought? Philosophy, after all, proceeds without appeal to the authority of sacred texts, and Christian theology proceeded by way of appeal to Christian sacred texts. There was now need for a new degree of precision regarding the ways to arrive at knowledge of God.

4. Distinction between Revealed Theology and Natural Theology

The distinction between revealed theology and natural theology eventually grew out of the distinction between what is held by faith and what is held by understanding or reason. St. Augustine, in describing how he was taught as a catechumen in the Church, writes:

“From this time on, however, I gave my preference to the Catholic faith. I thought it more modest and not in the least misleading to be told by the Church to believe what could not be demonstrated – whether that was because a demonstration existed but could not be understood by all or whether the matter was not one open to rational proof…You [God] persuaded me that the defect lay not with those who believed your books, which you have established with such great authority amongst almost all nations, but with those who did not believe them.” Confessions Bk. VI, v (7). (Chadwick, 1992)

Here Augustine describes being asked to believe certain things, that is, take them on authority, even though they could not be demonstrated. The distinction between what one takes on authority (particularly the authority of Scripture) and what one accepts on the basis of demonstration runs throughout the corpus of Augustine’s writings. These two ways of holding claims about God correspond roughly with things one accepts by faith and things that proceed from understanding or reason. Each of the two ways will produce a type of theology. The program for inquiring into God on the basis of faith/text-commitments will be called “revealed theology” many centuries later. Also, the program for inquiring about God strictly on the basis of understanding or reason will be called “natural theology” many centuries later. The distinction between holding something by faith and holding it by reason, as well as the distinction between the two types of theology that each way produces, can be traced through some major figures of the Middle Ages. Two examples follow.

First, Anicius Manlius Severinus Boethius (480 – 524) presented an elaborate account of God’s existence, attributes, and providence. Although a Christian, Boethius brings together in his Consolation of Philosophy the best of various ancient philosophical currents about God. Without any appeal to the authority of Christian Scripture, Boethius elaborated his account of God as eternal, provident, good, and so forth.

Second, Pseudo-Dionysius (late 5th century) also raised the distinction between knowing things from the authority of Scripture and knowing them from rational arguments:

“Theological tradition has a dual aspect, the ineffable and mysterious on the one hand, the open and more evident on the other. The one resorts to symbolism and involves initiation. The other is philosophic and employs the method of demonstration.” Epistola IX (Luibheid, 1987)

Here we have the distinction between the two ways of approaching God explicitly identified as two aspects of theology. Augustine, Boethius, and Pseudo-Dionysius (to name but a few) thus make possible a more refined distinction between two types of aspects to theology. On the one hand, there is a program of inquiry that aims to understand what one accepts in faith as divine revelation from above. On the other hand, there is a program of inquiry that proceeds without appeal to revelation and aims to obtain some knowledge of God from below.

The eighth to the twelfth centuries are often considered the years of monastic theology. During this time, Aristotle’s writings in physics and metaphysics were lost to the West, and the knowledge of Platonism possessed by earlier Christians waned. The speculative ambitions of earlier Christian theologians (for example, Origen, Augustine, the Cappadocians, and so forth) were succeeded by the tendency of the monks to meditate upon, but not to speculate beyond, the Scriptures and the theological tradition received from earlier Christians. The monk aimed primarily at experiencing what the texts revealed about God rather than to understanding what the texts revealed about God in terms afforded by reason and philosophy (see LeClerq, 1982). This began to change with Anselm of Canterbury (1033 – 1109).

Anselm is best known in contemporary philosophical circles for his ontological argument for the existence of God. As the argument is commonly understood, Anselm aimed to show that God exists without making appeal to any sacred texts and also without basing his argument upon any empirical or observable truth. The argument consists entirely of an analysis of the idea of God, and a tracing of the implications of that idea given the laws of logic, for example, the principle of non-contradiction. Anselm, however, is known among medieval specialists for much more. Although a monk himself, he is known as the first to go beyond the purely meditative and experiential aims of monastic theology, and to pursue a serious speculative ambition. He wished to find the necessary reasons for why God acted as he has in history (as revealed by the Bible). Although Anselm’s program was still a matter of Christian faith seeking to understand God as revealed by the Bible and grasped by faith, Anselm helped legitimize once again the use of reason for speculating upon matters held by faith. Once the writings of Aristotle in Physics and Metaphysics were recovered in the West, the question inevitably arose as to what to make of Aristotelian theses vis-à-vis views held on Christian faith. There arose a need for a new degree of precision on the relationship between philosophy and theology, faith and understanding. One classic account to provide that precision came from Thomas Aquinas who had at his disposal many centuries of preliminary reflection on the issues.

5. Thomas Aquinas

In the work of Thomas Aquinas (1225 – 1276), one finds two distinctions that serve to clarify the nature and status of natural theology. Aquinas distinguishes between two sorts of truths and between two ways of knowing them.

For Aquinas, there are two sorts of truths about God:

“There is a twofold mode of truth in what we profess about God. Some truths about God exceed all the ability of human reason. Such is the truth that God is triune. But there are some truths which the natural reason also is able to reach. Such are the truth that God exists, that he is one, and the like. In fact, such truths about God have been proved demonstratively by the philosophers, guided by the light of natural reason.” (SCG I, ch.3, n.2)

On the one hand, there are truths beyond the capacity of the human intellect to discover or verify and, on the other hand, there are truths falling within the capacity of human intellect to discover and verify. Let us call the first sort truths beyond reason and the latter sort truths of natural reason. There are different ways of knowing or obtaining access to each sort of truth.

The truths of natural reason are discovered or obtained by using the natural light of reason. The natural light of reason is the capacity for intelligent thought that all human beings have just by virtue of being human. By exercising their native intelligence, human beings can discover, verify, and organize many truths of natural reason. Aquinas thinks that human beings have discovered many such truths and he expects human beings to discover many more. Although there is progress amidst the human race in understanding truths of natural reason, Aquinas thinks there are truths that are totally beyond the intelligence of the entire human race.

The truths beyond reason are outside the aptitude of the natural light of reason to discover or verify. The cognitive power of all humanity combined, all humanity of the past, present, and future, does not suffice to discover or verify one of the truths beyond reason. How then does an individual or humanity arrive at such truths? Humanity does not arrive at them. Rather, the truths arrive at humanity from a higher intellect – God. They come by way of divine revelation, that is, by God testifying to them. God testifies to them in a three-step process.

First, God elevates the cognitive powers of certain human beings so that their cognitive powers operate at a level of aptitude beyond what they are capable of by nature. Thanks to the divinely enhanced cognition, such people see more deeply into things than is possible for humans whose cognition has not been so enhanced. The heightened cognition is compared to light, and is often said to be a higher light than the light of natural reason. It is called the light of prophecy or the light of revelation. The recipients of the light of prophecy see certain things that God sees but that the rest of humanity does not. Having seen higher truths in a higher light, the recipients of the higher light are ready for the second step.

Second, God sends those who see things in the higher light to bear witness and to testify to what they see in the higher light. By so testifying, the witnesses (the prophets and Apostles of old) served as instruments or a mouthpiece through which God made accessible to humanity some of those truths that God sees but that humanity does not see. Furthermore, such truths were then consigned to Scripture (by the cognitively enhanced or “inspired” authors of the books of the Bible), and the Bible was composed. The Bible makes for the third step.

Third, in the present God uses the Bible as a current, active instrument for teaching the same truths to humanity. By accepting in faith God speaking through the Bible, people today have a second-hand knowledge of certain truths that God alone sees first-hand. Just as God illuminated the prophets and apostles in the light of prophecy to see what God alone sees, God also illuminates people today to have faith in God speaking through the Bible. This illumination is called the light of faith.

Just as one sees certain claims of natural reason by the light of natural reason, so the Christian faith hold certain claims beyond reason by the God-given light of faith. In the thought of Thomas Aquinas, the traditional distinction between two domains of truths and the distinctive way of knowing truth in each domain, reaches a point of clarity. This distinction is at the basis of the distinction between theology and natural theology.

Theology (in the Thomistic sense), as it later came to be called, is the program for inquiring by the light of faith into what one believes by faith to be truths beyond reason that are revealed by God. Natural theology, as it later came to be called, is the program for inquiring by the light of natural reason alone into whatever truths of natural reason human beings might be able to find about God. Theology and natural theology differ in what they inquire into, and in what manner they inquire. What theology inquires into is what God has revealed himself to be. What natural theology inquires into is what human intelligence can figure out about God without using any of the truths beyond reason, that is, the truths divinely revealed. Theology proceeds by taking God’s revelation as a given and using one divinely revealed truth to account for another divinely revealed truth (or to give a higher account of truths of natural reason). Natural theology proceeds by bracketing and setting aside God’s revelation and seeking to discover, verify, and organize truths of natural reason about God. Aquinas’s distinctions remain the historical source of how many contemporary theologians and philosophers characterize the differences of their respective disciplines.

To see how theology and natural theology differ for Aquinas, it may help to look into faith and theology in more detail. One seems blind in accepting on faith the truths of revelation found in the Bible. They seem blind because faith is a way of knowing something second-hand. A faithful person is in the position of believing what another intellect (the divine intellect) sees. Now although one does not see for oneself the truths accepted in faith, one desires to see them for oneself. Faith tends to prompt intellectual questioning, inquiry, and seeking into the meaning and intelligibility of the mystery held in faith. Why did God create the world? Why does God allow so much suffering? Why did God become Incarnate? Why did he have to die on a cross to save humanity? Many more questions come up. One asks questions of the truths of divine revelation without doubting those truths. On the contrary, one raises such questions because in faith one is confident that one truth of divine revelation can explain another truth of divine revelation. The truth of the Trinity’s purposes in creating us, for example, can explain the Incarnation. Thus, one questions the faith in faith. The project of questioning the faith in faith, finding answers, organizing them, justifying them, debating them, seeking to understanding “the why” and so forth is called theology.

Natural theology, on the other hand, does not presuppose faith as theology does. Natural theology does not attempt to explain truths beyond reason such as the Incarnation or the Trinity, and it certainly does not attempt to base anything on claims made in the Bible. Rather, natural theology uses other sources of evidence. Natural theology appeals to empirical data and the deliverances of reason to search out, verify, justify, and organize as much truth about God as can be figured out when one limits oneself to just these sources of evidence.

Aquinas practiced both theology and natural theology. Furthermore, he blended the two rather freely, and blended them into a unified architectonic wisdom. His architectonic contains both theology and natural theology (sometimes they are difficult to sort out).

Aquinas is primarily a theologian and his best-known work is his Summa Theologica. Aquinas saw himself as using truths of natural reason to help understand truths of divine revelation. Consequently, as part of his theology, Aquinas presents and refines many philosophical arguments (truths of natural reason) that he had inherited from multiple streams of his culture: Aristotle, Augustine, Boethius, Pseudo-Dionysius, Muslim philosophers and commentators on Aristotle, and the Jewish Rabbi Moses Maimonides. Aquinas saw himself as taking all the truth they had discovered and using it all to penetrate the meaning and intelligibility of what God is speaking through the bible.

In his Summa Contra Gentiles, Aquinas presents in lengthy detail a series of philosophical demonstrations of the existence of God, philosophical demonstrations of a variety of divine attributes, a philosophical theory of naming God, as well as multiple philosophical points concerning divine providence, for example, the problem of evil. For the first two volumes of the Summa Contra Gentiles, Aquinas proceeds without substantial appeal to the authority of Scripture (although Aquinas does repeatedly point to the agreement between what he arrived at philosophically and what Christians hold by faith in their Scriptures). He seems to intend his arguments to presuppose as little of the Christian faith as possible. The Summa Contra Gentiles, traditionally, was pointed out as one of the principal locations of Aquinas natural theology. One old interpretation of the Summa Contra Gentiles says that its purpose was to train Christian missionaries who would be required to engage Muslims in discussion and debate about God. Since Christians and Muslims held no common sacred texts, they would need to dispute in terms afforded by their common humanity, that is, the truths of natural reason. Another interpretation makes it out to be Aquinas’s own preparation for his SummaTtheologice (Hibbs, 1995).

Thomas Aquinas’s distinction of the two sorts of truths about God and the two ways of knowing the truth about God soon faced outbreaks of skepticism. That skepticism, ironically, led to several developments in natural theology.

6. Modern Philosophy and Natural Theology

Not long after Aquinas, certain philosophers began to doubt that knowledge of God could be obtained apart from divine revelation and faith. William of Ockham (1280 – 1348) rejected central theses of Aristotelian philosophy that Aquinas relied upon in arguing for the existence of God, divine attributes, divine providence, and so forth. Ockham rejected the Aristotelian theory of form. He believed that a world construed in terms of Aristotelian essences was incompatible with God and creation as revealed in Scripture. To Ockham, Aquinas’s God seemed subject to the natures of things rather than being their author in any significant sense. Nonetheless, Ockham was a Christian. Having rejected the Aristotelian theory of form and essence, natural theology as practiced by Aquinas was not possible. Of the two ways available for obtaining some knowledge of God – faith in revelation and reason without revelation – Ockham rejected the latter. Consequently, the only way remaining to know something of God was by faith in divine revelation.

After Ockham, the modern period abounded in various views towards natural theology. On the one hand, there were many who continued to hold that nature affords some knowledge of God and that human nature has some way of approaching God even apart from revelation. The scholastic thinker Francisco Suarez (1548-1617), for example, presented arguments for the existence of God, divine attributes, and divine providence. On the other hand, the rise of general anti-Aristotelianism (for example, Bacon), the rise of a mechanistic conception of the universe (for example, Hobbes, and the methodological decision to ignore final causality (for example, Descartes), all made traditional theological arguments for the existence of God from nature harder to sustain. Modern philosophy and modern science was perceived by many to threaten the traditional claims and conclusions of natural theology, for example, that the existence and attributes of God can be known apart from revelation and faith.

Many Christian thinkers responded to the new situation posed by modern philosophy and modern science. These responses shared with modern philosophy and modern science a non-Aristotelian, and perhaps even anti-Aristotelian, line of thought. Consequently, these responses constitute a thoroughly non-Aristotelian form of natural theology, that is, a natural theology that does not presuppose any of Aristotle’s views on nature, motion, causality, and so forth.

Descartes himself, for example, is commonly thought to have offered a new version of the ontological argument (Anselm’s argument) for the existence of God. Descartes advanced his argument in such a way that not only did he intend to avoid any Aristotelian presuppositions about the external world, he apparently intended to avoid any presuppositions at all about the external world – even the presupposition of its existence. Descartes’ rationalist and a priori method characterized much of the natural theology on the continent of Europe. In Great Britain, there grew up another form of natural theology tending to use empirical starting points and consciously probabilistic forms of argument. Two examples are noteworthy in this regard. Samuel Clark’s (1675 – 1729) work A Demonstration of the Being and Attributes of God and Joseph Butler’s (1692 – 1752) Analogy of Religion, Natural and Revealed. The former latter work begins from the fact, presumably accessible empirically, that something or other has always existed. It proceeds to argue for the existence of God and various attributes, for example, God’s infinity and omnipresence. The latter work offers a probabilistic argument in favor of the existence of God and certain attributes based on analogies between what is found in nature and what is found in revelation.

David Hume (1711 – 1761) offered perhaps the most poignant criticisms of the post-Aristotelian forms of natural theology. His Enquiry Concerning Human Understanding contained a chapter criticizing the justification for belief in miracles as well as a chapter leveled against arguments from design. The latter criticism against design arguments, as well as additional criticisms of various divine attributes, was offered in much more extensive detail in his Dialogues Concerning Natural Religion. The latter work was more extensive in that it applied some of the central tenets of Hume’s epistemology to natural theology in general, and thus served as a sort of critique of natural theology as a whole. Inspired by Hume’s thought, the empiricist critique of natural theology would later take on even more expanded and sophisticated forms.

David Hume’s agnostic and atheistic conclusions, however, did not find much popular appeal in his own day. Hence, even after Hume’s death, William Paley (1743–1805) was able to advance a natural theology that became standard reading in universities for the first half of the nineteenth century. Paley’s Natural Theology or Evidences of the Existence and Attributes of the Deity formulated a version of the design argument that even convinced the early Charles Darwin. Although Hume did not dissuade his contemporaries such as Paley from doing natural theology, Hume still had a significant impact on natural theology through his influence on Immanuel Kant.

Immanuel Kant (1724 – 1804) found himself faced on the one side with a rationalism that made quite ambitious metaphysical claims and on the other side with an empiricism that allowed humans to know little beyond what was immediately sensible. The rationalists claimed to offer in modo geometrico, a series of demonstrations of many truths about God proceeding from a set of axioms self-evident to reason and needing no empirical verification. Later, their approach would be called a priori. The empiricists followed a different course, and stressed the human incapacity to know substantive necessary truths, or at least Hume seems to have stressed this or Hume as Kant understood him. Kant became skeptical of the rationalist’s metaphysical ambitions, yet was eager to overcome the Humean skepticism that threatened not only metaphysics but the new science as well. In his work, Kant is widely thought to have posed perhaps the most significant argumentative challenge to theology, natural theology, and metaphysics in general.

For Kant, arguments for the existence of God cannot prove their point due to the limits of the human cognitive capacity. The apparent cogency of such arguments is due to transcendental illusion; confusing the constitution of things and the constitution of one’s thought or experience of things. For example, causal principles such as “every event has a cause” are nothing but requirements for the rational organization of our perceptions. Demonstrations of God’s existence, divine attributes, and divine providence, to the extent that they use such principles as premises concerning the constitution of things in themselves, are illusory. Henceforth, any attempt to do classical theology, natural theology, or metaphysics had to answer the Kantian challenge.

Natural theology after Kant took two various routes. In Protestant and Anglican circles, the influence of Paley and others suffered a blow from Charles Darwin’s (1809 – 1882) theory of evolution and the subsequent evolutionary theories that have been developed. Given Darwin, the proposition that all life developed by chance alone is widely perceived to have a degree of plausibility that it was not perceived to have in Paley’s day. Whether and to what extent Darwinian principles eliminate the necessity for positing a divine designer is one of the most hotly contested issues in natural theology today. But there was more to post-Kantian natural theology.

In Catholic circles, natural theology went in two directions. On the one hand, there were some who intended to use modern philosophy for theological purposes just as the mediaevals had done. Antonio Rosmini (1797 – 1855), for example, developed a theology and a natural theology using elements from Augustine, Bonaventure, Pascal, and Malebranche. On the other hand, there were some who revived the thought of Thomas Aquinas. At first, there were but a handful of neo-Thomists. But in time Thomism was not only revived, but disseminated through a vast system of Catholic education. Thomists disagreed amongst each other on how to relate to strands of contemporary thought such as science and Kant. So neo-Thomism grew in many directions: Transcendental Thomism, Aristotelian Thomism, Existential Thomism, and so forth. At any rate, neo-Thomists tended to develop their own counter-reading of modern philosophy – especially Kant – and to use Thomistic natural theology as an apparatus for higher education and apologetics.

7. Natural Theology Today

Outside neo-Thomistic circles, natural theology was generally out of favor throughout the twentieth century. Due to neo-Kantian criticisms of metaphysics, an extreme confidence in contemporary science, a revival and elaboration of Humean empiricism in the form of logical positivism, as well as existentialism among Continental thinkers, metaphysics was thought to be forever eliminated as a way of knowing or understanding truth about God (or anything at all for that matter). Natural theology was thought to have suffered the same fate as being part of metaphysics. It is fair to say that in many places metaphysics and natural theology were even held in contempt. Towards the second half of the twentieth century, however, the tide began to turn – first in favor of the possibility of metaphysics and soon afterwards to a revival of natural theology.

Natural theology today is practiced with a degree of diversity and confidence unprecedented since the late Middle Ages. Natural theologians have revived and extended arguments like Anselm’s (the so-called “perfect being theology”). They have also re-cast arguments from nature in several forms – from neo-Thomistic presentations of Aquinas’s five ways to new teleological arguments drawing upon the results of contemporary cosmology. Arguments from the reality of an objective moral order to the existence of God are circulated and taken seriously. Ethical theories that define goodness in terms of divine command are considered live options among an array of ethical theories. Discussions of divine attributes abound in books and journals devoted exclusively to purely philosophical treatments of God, for example, the journal Faith and Philosophy. Debates rage over divine causality, the extent of God’s providence, and the reality of human free choice. The problem of evil has also been taken up anew for fresh discussions – both by those who see it as arguing against the existence of God and by those who wish to defend theism against the reality of evil. It is English speaking “analytic” philosophers who have taken the lead in discussing and debating these topics.

For people of faith who wish to think through their faith, to see whether reason alone apart from revelation offers anything to corroborate, clarify, or justify what is held by faith, there is no shortage of materials to research or study or criticize. Rather, vast quantities of books, articles, debates, discussions, conferences, and gatherings are available. For those who have no faith, but wish to inquire into God without faith, the same books, articles, debates, discussion, conferences, and gatherings are available. Natural theology is alive and well to assist anyone interested grappling with the perennial questions about God.

8. References and Further Reading

a. Primary Sources

i. Ancient Mediaeval Theology

  • Plato, Republic, particularly Bk. VII.
    • The so-called “Allegory of the Cave” in the opening pages of Bk. VII was an influential text upon later conceptions of God and the Good.
  • Aristotle, Physics, particularly Bk. VII & VIII.
    • The locus classicus for the argument from motion for the existence of a first, unmoved mover.
  • Aristotle, Metaphysics, particularly Bk. XII
    • This passage takes the argument of the Physics Bks. VII & VIII a step further by arguing that the first mover moves things as an end or goal and is intelligent.

ii. Mediaeval Natural Theology

  • Augustine, Confessions, trans. Chadwick, Henry. Oxford, 1992.
    • A classic autobiographical account of a thinking man’s journey to faith in the Christian God. In Bk.VI, Augustine draws a distinction between things demonstrable and things to be taken on authority.
  • Augustine, On Free Choice of the Will, trans. Williams, Thomas. Indianapolis: Hackett Publishing Company, 1993.
    • Out of the many works of St. Augustine, Bks. II & III in this work come as close as possible to presenting an argument for the existence of God. Augustine considers eternal truths, the order of the world, and the nature of reason, and proceeds to discuss the relationship between these things and the wisdom the pre-existed that world. Many students find this dialogue satisfying to read.
  • Boethius, The Consolation of Philosophy. trans. Green, Richard. New York: Macmillan Publishing Company, 1962.
    • A shorter work, cast in semi-dialogue form, that synthesizes and presents a great deal of late Hellenistic natural theology. It is fair to call this work one of the principal sources of mediaeval humanism and philosophy. Many students find this work satisfying to read.
  • Plotinus, Enneads. trans. MacKenna, Stephen. New York: Larson Publications, 1992.
    • A lengthy work of neo-Platonic cosmology and natural theology. Being the work of a non-Christian, it shows (like Aristotle’s works) that someone without Christian faith commitments can engage in natural theology. However, Plotinus’ sympathies lie more with Plato’s notion of a dialectically induced vision of the Good than with a demonstrative approach to proving the existence of God. Consequently, there are many passages of a more mystical and meditative quality intended for those who have had the prerequisite perceptions of the One.
  • Pseudo-Dionysius, “Letter Nine” in The Complete Works. trans. Luibheid, Colm. New Jersey: Paulist Press, 1987.
    • Presents the distinction between natural and mystical theology and the two ways of knowing that are proper to each.
  • Anselm, “Monologion” & “Proslogion” both in The Major Works. Oxford University Press, 1998.
    • The Proslogion contains the so-called “ontological argument” for the existence of God. The Monologion, in its first two dozen chapters, presents a natural theology by way of unpacking what is involved in the notion of a supreme nature.
  • Aquinas, SummaTtheologiae, trans. Fathers of the English Dominican Province. New York: Benziger Bros, 1948 .
    • The classic theological work by Thomas Aquinas. In part I, q. 2 – 27, Aquinas presents numerous philosophical arguments for the existence of God, divine attributes, divine providence, and so forth. Often called the “Treatise on God,” it is a classic locus of natural theology.
  • Aquinas, Summa Contra Gentiles, esp. trans. Pegis, Anton. University of Notre Dame Press, 1975.
    • In Bks. I & II, Aquinas presents what he considers to be demonstrations for the existence of God, several divine attributes, and an account of divine providence. For these two books, a great deal of the thinking is commonly thought to proceed in the light of natural reason alone.
  • Bonaventure, The Journey of the Mind to God. trans. Boehner, Philotheus. Indianapolis: Hackett Publishing Company, 1993.
    • A short work of mediaeval natural theology. A contemporary of Aquinas, Bonaventure takes the reader on a journey from creatures to the Creator. This book shows what an alternative to Aquinas’s Aristotelian natural theology looks like.

iii. Modern Natural Theology

  • Butler, Joseph. The Analogy of Religion, Natural and Revealed, to the Constitution and Course of Nature. Ann Arbor, MI: Scholarly Publishing Office, University of Michigan Library, 2005.
    • A classic of English natural theology with an extended treatment of the immortality of the soul. The author ventures a probabilistic argument in confirmation of certain revealed truths.
  • Clark, Samuel. A Demonstration of the Being and Attributes of God: And Other Writings. Ed. Vailato, Ezio. Cambridge University Press, 1998.
    • This treatise of English natural theology was originally a set of sermons preached against the writings of Hobbes and Spinoza and their followers. Those sermons were revised into an extended and rigorous argument.
  • Descartes, Rene. “Meditations” in Selected Philosophical Writings. trans. Cottingham, John., Stoothoff, Robert., Murdoch, Dougald. Cambridge University Press, 1998.
    • In the “Third Meditation,” Descartes advances an argument for the existence of God that some have called an “ontological argument” because he infers from his idea of God to the existence of God.
  • Locke, John. An Essay Concerning Human Understanding. Oxford University Press, 1975.
    • In Bk. IV, ch. 10 John Locke advances what he considers to be a demonstration of the existence of an eternal and necessary being. The chapter is an example of how arguments for the existence of God continued to be advanced well into early modernity by post-Aristotelian thinkers.
  • Hume, David. An Enquiry Concerning Human Understanding. Indianapolis, IN: Hackett Publishing Company, 1977.
    • A brief classical essay in empiricist philosophy. The principles presented in this book served first to motivate Kant to mount his criticisms of metaphysics and natural theology and continue to motivate many of today’s criticisms of arguments for the existence of God, divine attributes, and so forth.
  • Hume, David. Dialogues Concerning Natural Religion: The Posthumous Essays of the Immortality of the Soul and of Suicide. Indianapolis, IN: Hackett Publishing Co., 1998.
    • This dialogue is an extended application of Hume’s epistemology, and in effect a critique of natural theology as an enterprise.
  • Kant, Immanuel. Critique of Pure Reason. trans. Smith, Norman Kemp. NY: St. Martin’s Press. 1929.
    • This classical work stands as a permanent challenge to anyone aiming at arriving at some knowledge or understanding of God by the light of natural reason alone. The work is no easy read – not even for specialists. However, in Part II, Second Division, Chapter II, Kant presents his famous “antinomies of pure reason.” The antinomies are arguments, laid out in synopsis form, both for and against certain theses. Of all the criticism of metaphysics that can be found in this book, the antinomies in particular have persuaded many thinkers to hold that any attempt by reason alone to arrive at some knowledge of God is bound to end in hopeless self-contradiction. See especially the Fourth Antinomy.
  • Kant, Immanuel. Prolegomena to Any Future Metaphysics. trans. Ellington, James W. Indianapolis: Hackett Publishing Company, 1977.
    • This shorter work summarizes and presents in simpler form much of the thought found in the longer and more elaborate Critique of Pure Reason.
  • Newman, John Henry Cardinal. An Essay in Aid of a Grammar of Assent. University of Notre Dame Press, 1979.
    • A classic work of nineteenth century British apologetics. Among many other things, Newman presents an account of how conscience moves one to believe in the existence of God.

iv. Contemporary Natural Theology

  • Howard-Snyder, Daniel, ed. The Evidential Argument from Evil. Indiana University Press, 1996.
    • An excellent anthology of essays, all treating of the problem of evil, by contemporary philosophers. The collection contains some essays arguing against the existence of God on the basis of evil and other essays defending the existence of God against such arguments.
  • Kenny, Anthony. The Five Ways: St. Thomas Aquinas’ proofs of the existence of God. London: Routledge & K. Paul, 1969.
    • A short work that goes through Aquinas’s arguments for the existence of God and treats them in terms of contemporary formal logic. Kenny concludes that all the arguments fail.
  • Mackie, J.L., The Miracle of Theism: Arguments for and against the existence of God. Oxford University Press, 1982.
    • A widely read work that presents a wide variety of arguments for the existence of God, criticizes them, and ultimately rejects them all. It also contains important discussions of who has the burden of proof in natural theology and arguments against the existence of God based on the reality of evil.
  • Plantinga, Alvin. God and Other Minds. Cornell University Press, 1967.
    • Another work that presents several standard proofs for the existence of God and criticizes them. The author, however, is a theist. After dismissing the standard proofs for the existence of God as inconclusive or indecisive, Plantinga goes on to give an argument that belief in the existence of God can be rational even without such proofs. He argues that believing in God is analogous to believing in other minds. Just as one is rational in believing in other minds without decisive or conclusive proof that other minds exist, so one is rational in believing in God without decisive or conclusive proof that God exists.
  • Plantinga, Alvin. God, Freedom, & Evil. William B. Eerdmans Publishing Co., 1977.
    • This widely hailed work purports to refute the thesis that it is impossible for both God and evil to exist. Using the modal logic that he helped to pioneer, Plantinga shows how it is possible for both God and evil to exist. Even atheist philosophers find Plantinga’s point to be compelling, and the terms of the debate on the problem of evil have changed since, and because of, the book’s publication. For the current state of the debate, see Howard-Snyder’s work referenced above.
  • Swinburne, Richard. The Coherence of Theism. Oxford: Clarendon Press, 1977.
     Swinburne, Richard. The Existence of God. 2nd Edition. Oxford University Press, 2004.
    Swinburne, Richard. Providence and the Problem of Evil. Oxford: Clarendon Press, 1998.

    • These three books by Richard Swinburne jointly constitute a powerful argument for, and defense of, the existence of God. In The Coherence of Theism, Swinburne answers common arguments advanced against the possibility of the existence of God or arguing for the existence of God. In The Existence of God, Swinburne presents his “cumulative case” inductive argument for the existence of God. In Providence and the Problem of Evil, Swinburne aims to account for the existence of evil given the existence of a provident God.
  • Varghese, Roy Abraham. The Wonder of the World: A Journey from Modern Science to the Mind of God. Arizona: Tyr Publishing, 2004.
    • This work brings together under one cover many of the scientifically received facts that tend to confirm the existence of God. One can find laid out here many of the physical, biological, and cosmological facts that have persuaded many contemporary scientists of the existence of an intelligent God behind it all. The work also raises pertinent philosophical considerations in favor of the same conclusion. Written in semi-dialogue form, without using significant technical jargon, this award-winning book is accessible to a wide audience.

b. Secondary Sources

  • Craig, William Lane. The Cosmological Argument from Plato to Leibniz. NY: Barnes & Noble Books, 1980.
    • The book does what the title says; it gives a history of the various cosmological arguments from ancient times until modernity.
  • Congar, Yves. A History of Theology. NY: Doubleday, 1968.
    • A good one-volume summary of the history of theology. This book served as the basic reference for section 3 above in the discussion of ancient Greek theology, and the development of theology among early Christians.
  • Davies, Brian. An Introduction to the Philosophy of Religion. Oxford University Press, 1982.
    • This widely used textbook presents most of the main topics in the philosophy of religion today – including arguments in natural theology.
  • Hibbs, Thomas. Dialectic and Narrative in Aquinas: An Interpretation of the Summa Contra Gentiles. University of Notre Dame Press, 1995.
    • This book was referenced above as presenting an alternative interpretation to the Summa Contra Gentiles.
  • LeClerq, Jean. The Love of Learning and the Desire for God. trans. Misrah, Catharine. Fordham University Press, 1982.
    • This book was referenced in the fourth section above as regards the state of theology in mediaeval monasteries.
  • Stump, Eleonore. “Aquinas on the Sufferings of Job” in The Evidential Argument from Evil. ed. Howard-Snyder, Daniel. Indiana University Press, 1996.
    • An unusually clear elucidation of Aquinas’ understanding of the relationship between God and evil as Aquinas presents it in his commentary on Job.
  • Stump, Eleonore, ed. Philosophy of Religion. Malden, MA: Blackwell Publishers, 1999.
    • An anthology of classic texts on many topics in the philosophy of religion. Many of the texts referenced in this list are found within this anthology.

Author Information

James Brent
Email: jbrentop@gmail.com
Saint Louis University
U. S. A.

Moral Luck

A case of moral luck occurs whenever luck makes a moral difference. The problem of moral luck arises from a clash between the apparently widely held intuition that cases of moral luck should not occur with the fact that it is arguably impossible to prevent such cases from arising.

The literature on moral luck began in earnest in the wake of papers by Thomas Nagel and Bernard Williams. The problem of moral luck had been discussed before Nagel’s and Williams’ articles, although not under the heading of “moral luck.” Though Nagel’s paper was written as a commentary on Williams’, they have quite different emphases. Still, the same question lies at the heart of both papers and, indeed, at the heart of the literature on moral luck: can luck ever make a moral difference? This idea of a moral difference is a wide one. Various sorts of difference have been considered. The most obvious is, perhaps, a difference in what a person is morally responsible for, but it has also been suggested both that luck affects the moral justification of our actions and that it affects a person’s moral status in general (that is, that it affects how morally good or bad a person is). We shall pay more attention to these varied differences in time, but the important point for now is that both Williams and Nagel argue that luck can make a moral difference.

So what is the problem if luck makes a moral difference? The problem is that the idea of luck making a moral difference is deeply counterintuitive. We know that luck enters into our lives in countless ways. It affects our success and our happiness. We might well think, however, that morality is the one arena in which luck has no power. Consider what we might call a person’s “moral standing”—an expression we can use to stand for all the sorts of moral difference luck might be thought to make. Luck, we might think, cannot alter one’s moral standing one bit. This seems a reasonable position, but it is a position both Nagel and Williams cast into doubt. We will first consider Williams’ argument, primarily because it is the least successful. We shall see that Williams’ argument seem to fail and that what is interesting in his argument is captured much better by Nagel.

Table of Contents

  1. Williams on Moral Luck
    1. The Argument
    2. Criticisms
  2. Nagel on Moral Luck
    1. Introduction to the Problem
    2. Four Types of Luck
    3. The Problem Summarized
  3. Responses to the Problem
  4. References and Further Reading

1. Williams on Moral Luck

a. The Argument

Williams’ aim in “Moral Luck” and much of his other work is to discredit the Kantian view of morality and to suggest that it would be best to abandon the notion of morality altogether (replacing it with the wider notion he calls the “ethical”). (See Williams, 1985, for the distinction.) In doing so, Williams takes himself to be challenging not just Kantian thinking about morality, but also commonplace ideas about it. He claims the idea that morality is immune to luck is “basic to our ideas of morality” (1993a, p. 36).

Why should this be so? Because, Williams suggests, if moral value does depend on luck, it cannot be the sort of thing we think it is. We have already noted the extent to which luck permeates our lives. Some are born healthy; others with various sorts of handicaps. Some stumble into great wealth; others work hard, but always remain poor. To those on the losing end of these matters, this often seems unfair. Success of whatever kind we might seek is not equally available to all. Luck gives some head starts and holds others back. Nonetheless, we might think there is at least one sort of value which is equally available to all: moral value. Bill Gates may be richer than Jane Doe, but that does not mean he is a better person. Donovan Bailey may be faster than Jane Doe, but that does not make him her moral superior. Of course, both these men may be her moral superiors, but, if they are, luck is supposed to have nothing to do with it. Morality thus provides us with a sort of comfort. In Williams’ words, it offers “solace to a sense of the world’s unfairness” (1993a, p. 36). As Williams points out, however, this will be cold comfort if morality doesn’t matter much. Thus, just as it is essential to the notion of moral value that it is immune to luck, so, he claims, it is essential that moral value is the supreme sort of value. Williams claims that moral value can give us the solace he describes only if it really does possess these two characteristics (being immune to luck and being the supreme sort of value). Luck may bring us all sorts of hardship, but when it comes to the single most important sort of value, we are immune to luck. It is against this picture of morality that Williams’ argument must be understood. He presents us with a dilemma: either (a) moral value is (sometimes) a matter of luck or else (b) it is not the supreme sort of value. In either case, we have to give up something very important to the notion of moral value; hence, Williams thinks we should give up morality in favour of the ethical.

Williams begins the drive towards this dilemma by focusing on rational justification rather than moral justification. The cornerstone of his argument is the claim that rational justification is a matter of luck to some extent. He uses a thought experiment to make this point. Williams presents us with a story based loosely on the life of the painter Paul Gauguin. Williams’ Gauguin feels some responsibility towards his family and is reasonably happy living with them, but nonetheless abandons them, leaving them in dire straits. He does so in an attempt to become a great painter. He goes to live on a South Sea Island, believing that living in a more primitive environment will allow him to develop his gifts as a painter more fully. How can we tell whether Gauguin’s decision to do this is rationally justified? We should ask first of all, what exactly Williams means by “rational justification.” He never says, but he seems interested in the question of whether Gauguin was epistemically justified in thinking that acting as he did would increase his chances of becoming a great painter. That is, the question is whether it was rational (given Gauguin’s interests) for him to do as he did.

Williams rightly observes that it is effectively impossible to foresee whether Gauguin will succeed in his attempt to become a great painter. Even if, prior to making his decision, Gauguin had good reason to think he had considerable artistic talent, he could not be sure what would come of that talent, nor whether the decision to leave his family would help or hinder the development of that talent. In the end, says Williams, “the only thing that will justify his choice will be success itself” (1993a, p. 38). Similarly, Williams claims the only thing that could show Gauguin to be rationally unjustified is failure. Since success depends, to some extent anyway, on luck, Williams’ claim entails that rational justification depends, at least in some cases, on luck.

Not every success, however, confers justification, nor does every failure signal lack of justification. It depends on what sort of luck, if any, was involved in the success or failure. Williams distinguishes between extrinsic and intrinsic luck, claiming that only the operation of intrinsic luck is compatible with the result of a decision determining the rational justification of that decision. Roughly, intrinsic luck is luck that arises from the elements of the project or action under consideration, while extrinsic luck is luck arising from “outside” the project. In the case of Gauguin, intrinsic luck is luck arising from Gauguin himself, since he is the only one involved in his project. If Gauguin fails because it turns out that living on a South Sea Island distracts him to such an extent that he becomes a worse painter, this will be a case of bad intrinsic luck and so he will be unjustified. On the other hand, if, at the start of his project, a freak accident causes him to sustain an injury which prevents him from ever painting again, he will be neither justified nor unjustified since his project is never really carried out. His project will have failed but, as regards justification, a verdict will not be returned due to the interference of extrinsic bad luck. What matters then with regard to rational justification is intrinsic luck. If Gauguin is lucky enough to possess sufficient talent and to find circumstances in which that talent can flourish, his project will succeed. He will be justified and this will, in part, be due to (intrinsic) luck.

(Although Williams never mentions it, presumably if Gauguin were to succeed due to good extrinsic luck, he would also be neither justified nor unjustified. If an eccentric art critic were to find a way to make Gauguin’s mediocre work speak, it might be impossible to tell whether Gauguin was justified or not.)

What, if anything, does this have to do with morality? Williams hopes to inflict fatal damage on the notion of the moral by setting up a collision between rational and moral justification. Rational justification, Williams has suggested, is, at least partly, a matter of luck. Moral justification, as we have noted, is not supposed to be a matter of luck at all. This clearly leaves room for clashes between the two sorts of justification, cases in which an action is morally unjustified, but rationally justified (or vice versa). Indeed, the example of Gauguin is supposed to provide us with just such a case. Suppose that Gauguin’s decision to leave his family is morally unjustified. Since luck has nothing to do with the moral value of this decision, we can say that Gauguin’s decision is a morally bad one when he makes it and that it stays that way, regardless of how his project turns out. According to Williams, however, whether Gauguin’s decision is rationally justified is not settled when he makes it. We have to wait and see how the project turns out. Suppose, as Williams clearly means us to, that his Gauguin, like the real one, becomes a great artist (and that this does not happen as the result of extrinsic luck). Once this is the case, Gauguin’s decision is rationally justified though still morally unjustified.

This might be thought enough to generate a problem for the type of morality Williams opposes. As Judith Andre puts it:

Since rational justification is partly a matter of luck… our notion of rational justification is not synonymous with that of moral justification, and morality is not the unique source of value (1993, p. 123)

This doesn’t, however, quite get Williams’ point right. His claim was not that morality is the only source of value, but that it is the supreme source of value. On this picture, the mere fact that morality and rationality collide does not necessarily pose a problem. It would pose a problem for the Kantian, since, for Kant, to act morally is to act rationally. But remember that Williams takes as his enemy both Kantian and everyday thinking about morality. And it is not at all clear that our everyday thinking about morality requires us to endorse such a tight link between rationality and morality. So the possibility that rationality and morality may be distinct sources of value is no more troubling than the fact that morality and pleasure are distinct sources of value. There can be more than one source of value so long as moral value trumps these others sorts of value. Problems only arise when we come to consider “where we place our gratitude” that Gauguin left his family and became a painter (Williams, 1993b, p. 255). Suppose that we are genuinely grateful that Gauguin did what he did and, as a result, became a great artist. We might say this shows that, on occasion, we have reason to be glad that the morally correct thing did not happen. But to say something like this is to call into question part of the point of morality (or so Williams says). Remember Williams claims that morality “has an ultimate form of justice at its heart, and that that is its allure. …it offers… solace to a sense of the world’s unfairness” (1993a, p. 36). He adds that it can offer that solace only if moral value possesses “some special, indeed supreme, kind of dignity or importance” (1993a, p. 36).

Thus, the problem posed by the Gauguin case is not simply, as Andre suggests, that there might be other sources of value than morality floating around. The problem is that the example of Gauguin suggests morality is not the supreme source of value after all. We are supposedly stuck between two unpalatable options:

(1) If the picture is as Williams describes it, we are in a situation in which moral value and another value (rationality) clash and the other value is the winner. So much the worse for morality, it loses its position as the supreme sort of value to a sort of value which is affected by luck. In doing so, however, we are faced with an unpalatable option: morality’s ability to provide us with “solace to a sense of the world’s unfairness” is destroyed.

(It is, however, possible to concede that morality is not the supreme source of value, but not give up the claim that our lives are, in some important respect, free of luck. Susan Mendus argues that, while the case of Gauguin shows that morality is not the supreme source of value, the only values which compete with morality for supremacy are themselves free from luck. In Gauguin’s case, she claims that the value which competes with morality for supremacy is that of art and that even if Gauguin fails, “he has reason to think it worthwhile to have tried” (1988, p. 339).)

(2) This can be avoided by claiming that morality and rationality do not collide in this case. That is, we could declare that morality is dependent on luck in the same way that rationality is. This sort of move will eliminate the threat that rationality poses to morality’s supremacy, but this occurs at the expense of one of our deep commitments about morality, namely its invulnerability to luck. We are then faced with a different unpalatable option.

Either way, the notion of morality fails to escape intact. This, anyway, is what Williams would have us believe.

b. Criticisms

Despite all the attention that Williams’ article has generated, his argument is actually fairly unimpressive. It is not clear, for instance, that moral value has to be the supreme sort of value. Why can’t it just be an important sort of value (and, according to what value are the various sorts of value to be ranked anyway)? Moreover, what is there to stop us from saying that our gratitude (if we have any) that Gauguin did what he did is just misguided and so that this is not a case in which it is better that the rational thing rather than the moral thing happened? It may be that our gratitude is no indicator of whether or not it is better that Gauguin did as he did.

These large problems aside, there is an even more basic problem with Williams’ argument. It rests on a claim about rational justification that can quite easily be made to look doubtful. At the heart of Williams’ argument is the claim that a rational justification for a particular decision can only be given after the fact. This is what allows luck to enter into rational justification. If we do not accept this claim, Williams has given us no reason to think that either rational or moral justification is a matter of luck, and so we cease to have a reason to imagine a conflict between rationality and morality (on these grounds anyway). What’s more, there is good reason to doubt the claim that rational justification must sometimes be retrospective. The usual intuition about justification is that if we want to know whether Gauguin’s decision to leave his family and become a painter was a rational one, what we need to consider is the information Gauguin had available to him when he made that decision. What did he have reason to believe would be the fate of his family? What indication did he have that he had the potential to become a great painter? Did he have good reason to think his family would hinder his quest after greatness? Did he have reason to believe a move to the South Seas would help him achieve his goal? And so on. Our standard picture of justification tells us that, regardless of how things turned out, the answer to the question about Gauguin’s justification is to be found in the answers to the above questions. Luck is thought to have nothing to do with his justification. Indeed, if Gauguin is found to have been somehow relying on luck—if, for example, he had never painted anything, but just somehow felt he had greatness in him—this would weigh substantially against the rationality of his decision. The same could be said of the moral status of his decision: what counts is the information he had at the time, not how things turned out.

(Luck clearly can enter into rational justification in ways other than the one Williams has in mind. It can be a matter of luck that you are smart enough to see that the evidence you possess justifies you in holding a certain belief, or it can be a matter of luck that you possess the evidence you do. Presumably luck can enter into moral justification in the same ways, but, with good reason, no one has ever suggested there is anything troubling about this.)

The “standard picture” of justification here is admittedly an internalist one (see Internalism and Externalism in Epistemology). Such a picture is somewhat unpopular amongst philosophers these days, although it is arguably still our intuitive picture. Regardless, those favouring adding external considerations to an account of justification are no more inclined to factor in how things turn out than internalists (see, for instance, Goldman, 1989). What matters to externalists is typically not how things do turn out, but how they are likely to turn out.

Williams does have an argument against this picture of justification, which appeals to the notion of agent regret. Agent regret is a species of regret a person can feel only towards his or her own actions. It involves a “taking on” of the responsibility for some action and the desire to make amends for it. Williams’ example is of a lorry driver who “through no fault of his” runs over a small child (Williams, 1993a, p. 43). He rightly says that the driver will feel a sort of regret at the death of this child that no one else will feel. The driver, after all, caused the child’s death. Furthermore, we expect agent regret to be felt even in cases in which we do not think the agent was at fault. If we are satisfied that the driver could have done nothing else to prevent the child’s death, we will try to console him by telling him this. But, as Williams observes, we would think much less of the driver if he showed no regret at all, saying only “It’s a terrible thing that has happened, but I did everything I could to avoid it.” Williams suggests that a conception of rationality that does not involve retrospective justification has no room for agent regret and so is “an insane concept of rationality” (1993a, p. 44). His worry is that if rationality is all a matter of what is the case when we make our decisions and leaves no room for the luck that finds its way into consequences, then the lorry driver ought not to experience agent regret, but instead should simply remind himself that he did all he could.

This, however, just does not follow. The problem is that, in any plausible case of this sort, it will not be rational for the driver to believe that he could not have driven more safely. Driving just isn’t like that. Indeed, what it is rational for the driver to do is to suspect there was something else he could have done which might have saved the life of the child. If he had just been a little more alert or driving a little closer to the centre of the road. If he had been driving a little more slowly. If he had seen the child playing near the street. If his brakes had been checked more recently and so on and so on. It will be rational for him to wonder whether he could have done more to avoid this tragedy and so rational for him feel a special sort of regret at the death of the child. (See Rosebury, 1995, pp. 514-515 for this point.) Agent regret exists because we can almost never be sure we did “everything we could.” Thus, it provides us with no reason to believe there is a retrospective component to rational justification (and so no reason to conclude that luck plays the role in justification that Williams suggests).

None of this is to deny that the way things turn out may figure in the justifications people give for their past actions. It is just that, despite this, the way things turn out has nothing to do with whether or not those past actions really were justified. Sometimes the way things turn out may be all we have to go on, but this tells us nothing about the actual justification or lack thereof of our actions, not unless we confuse the state of an action being justified with the activity of justifying that action after the fact.

Why then have Williams’ claims about moral luck been taken so seriously? Because despite the shakiness of the argument he in fact gives, he has pointed the way towards a much more interesting and troubling argument about moral luck. This argument, glimpses of which can be found in Williams’ paper, is explicitly made in Thomas Nagel’s response to Williams.

2. Nagel on Moral Luck

a. Introduction to the Problem

Nagel identifies the problem of moral luck as arising from a conflict between our practice and an intuition most of us share about morality. He states the intuition as follows:

Prior to reflection it is intuitively plausible that people cannot be morally assessed for what is not their fault, or for what is due to factors beyond their control. (Nagel, 1993, p. 58)

He then gives us a rough definition of the phenomenon of moral luck:

Where a significant aspect of what someone does depends on factors beyond his control, yet we continue to treat him in that respect as an object of moral judgment, it can be called moral luck. (Nagel, 1993, p. 59)

Clearly cases of moral luck fly in the face of the above stated intuition about morality. Yet, Nagel claims that, despite our having this intuition, we frequently do make moral judgments about people based on factors that are not within their control. We might, for instance, judge a drunk driver who kills a child (call him the “unfortunate driver”) more harshly than one who does not (call him the “fortunate driver”), even if the only significant difference between the two cases is that a child happened to be playing on the road at the wrong point on the unfortunate driver’s route home. This, for Nagel, is the problem of moral luck: the tension between the intuition that a person’s moral standing cannot be affected by luck and the possibility that luck plays an important (perhaps even essential) role in determining a person’s moral standing. Nagel suggests that the intuition is correct and lies at the heart of the notion of morality, but he also endorses the view that luck will inevitably influence a person’s moral standing. This leads him to suspect there is a real paradox in the notion of morality.

We might wonder whether the problem Nagel presents is best thought of as a problem about luck or if it is really about control. That is, is Nagel’s worry that luck seems to play a role in determining a person’s moral standing or that things which are beyond that person’s control seem to affect her moral standing? The answer is both. Nagel thinks that luck should be understood as operating where control is lacking, so for him the problem about control and the problem about luck are one and the same. The important point, however, is that Nagel seems to think that, quite aside from how luck is analyzed, there is a real problem if luck ever makes a moral difference.

This is important because there is reason to think the identification of luck with lack of control is mistaken. An event can be out of one’s control or, for that matter, anyone else’s, yet still not such that we would say one is lucky that it occurred. An event such as the rising of the sun this morning was entirely out of one’s control, yet it is not at all clear that one is lucky the sun rose this morning, although it is surely a good thing that it did. Why? Perhaps because, regardless of whether one had any control over the occurrence of that event, the chance of that event occurring was very good indeed. (A successful account of luck must weave together these ideas about chance and control. Questions about the nature of luck have been dealt with remarkably little in the literature on moral luck. See Rescher, 1995, for the beginnings of an account of luck.) But even if an event’s being lucky (or unlucky) for a given person is identical with that event being out of that person’s control, we are left with a problem of moral luck. For this reason, it is in terms of luck rather than lack of control that we shall hereafter frame the problem.

The problem of moral luck lies in the thought that luck sometimes makes a moral difference. But, as we have noted, there is more than one way in which luck might make a moral difference. Two sorts of difference are discussed in the literature on moral luck, although these are not always clearly distinguished. These two sorts of difference are represented by two different thoughts: (a) the thought that the unfortunate driver is no worse a person than the fortunate driver, and (b) the thought that since we cannot plausibly hold the fortunate driver responsible for the death of a child (as no death occurred in his case), neither can we hold the unfortunate driver morally responsible for that death. The second thought has to do with the assigning of individual events to a person. The first involves a more direct assessment of a person. It involves an assessment of how much credit or discredit attaches directly to a person. We can use the term “moral worth” to capture both credit and discredit.

We have two sorts of question to consider:

  1. Can luck make a difference in a person’s moral worth?
  2. Can luck make a difference in what a person is morally responsible for?

Which of these questions is Nagel’s? It is difficult to tell. Nagel does briefly refer to the problem of moral luck as a “fundamental problem about moral responsibility,” but most of the time his worries are about blame, a notion with overtones of both sorts of moral difference (Nagel, 1993, p. 58). Is he concerned that the driver will be blamed for the event of the child’s death or that the unlucky driver himself will be rated morally worse than the lucky driver (that is, blamed more)? Nagel seems to entertain both possibilities, asking both whether the unfortunate driver is to blame for more and whether he is a worse person than the unfortunate driver. Indeed, it may be the case that Nagel thinks the two questions are inseparable, that we cannot make sense of the idea of holding a person morally to blame for some event without this, at the same time, being counted as a reason to lower that person’s moral credit rating.

Nothing Nagel says clearly reveals his position on this point. For now, it is enough simply to bear both sorts of moral difference in mind. The important point is that, in either case, there is something troubling about the idea that luck might make a moral difference. Yet, it seems we allow luck into our moral judgments all the time. We do think less of the unfortunate driver. We do hold him responsible for the death of the child. On the face of it, this might not seem particularly troubling. We might admit that, on occasion, we judge people for things that happen as a result of luck, but simply claim that in any such case a mistake has been made. The mere fact that we do sometimes judge people for things that happen due to luck does not indicate that we should judge people for things that happen due to luck nor that we intend to. The problem Nagel points out, however, is that when we consider the sorts of things that influence us “Ultimately, nothing or almost nothing about what a person does seems to be under his control” (Nagel, 1993, p. 59) That is, everything we do seems at some level to involve luck. Nagel makes a helpful comparison to the problem of epistemological skepticism. Just as the problem of skepticism emerges from the clash of our intuition that knowledge should be certain and non-accidental with the fact that few, if any, of our true beliefs are entirely certain or free from accident, so:

The erosion of moral judgment emerges not as the absurd consequence of an over-simple theory, but as a natural consequence of the ordinary idea of moral assessment, when it is applied in view of a more complete and precise account of the facts. (Nagel, 1993, 59)

b. Four Types of Luck

What are these facts? Nagel identifies four ways in which luck plays into our moral assessments:

  1. Resultant Luck: “luck in the way one’s actions and projects turn out.”
  2. Circumstantial Luck: the luck involved in “the kind of problems and situations one faces”
  3. Causal Luck: “luck in how one is determined by antecedent circumstances.”
  4. Constitutive Luck: the luck involved in one’s having the “inclinations, capacities and temperament” that one does. (Nagel, 1993, 60)10

Nagel identifies, but does not give names to all four types of luck. He does write of “constitutive luck,” an expression he probably gets from Williams. Williams, however, intends constitutive luck to have a wider scope than Nagel does. Williams appears to want constitutive luck to encompass what we have called “circumstantial” and “causal” luck (Williams, 1993a, p. 36). The names “circumstantial” and “causal” luck here are from Daniel Statman (1993, p. 11). The term “resultant luck” comes from Michael Zimmerman (1993, p. 219) Other names have been given to resultant, circumstantial, and causal luck. Resultant luck has been called “consequential luck” (Mendus, 1988, p. 334), circumstantial luck has been called “situational luck” (Walker, 1993, p. 235), and causal luck has been called “determining luck” (Mendus, 1988, p. 334).

Each of these four types of luck is worth considering so that we might be clear on the differences between the different types. We should bear in mind, however, that we may ultimately disagree about whether these constitute cases of moral luck—something we will say more about shortly.

i. Resultant Luck

Nagel gives us several examples of resultant luck. One we have already seen is the case of the fortunate and unfortunate drunk drivers. Nagel also makes much of decisions, particularly political ones, made under uncertainty. He gives the example of someone who must decide whether to instigate a revolution against a brutal regime. She knows that the revolution will be bloody and that, if it fails, those involved will be slaughtered and the regime will become even more brutal. She also knows that if no revolution occurs, the regime will become no less brutal than it currently is. If she succeeds she will be a hero, if she fails she will bear “some responsibility” for the terrible consequences of that failure (Nagel, 1993, pp. 61-62). Thus, how the revolution turns out, something which might be almost entirely a matter of resultant luck, seems to have a great deal to do with the moral credit or blame she will receive. Again, Nagel means to suggest that luck will affect not just what praise or blame she actually receives, but also what praise or blame she deserves, regardless of how she is actually treated.

ii. Circumstantial Luck

Just as luck may interfere in the course of our actions to produce results that have a profound influence on the way we are morally judged, so our luck in being in the right or wrong place at the right or wrong time can have a profound effect on the way we are morally assessed. Nagel’s example is of a person who lives in Germany during the Second World War and “behaves badly” (Nagel, 1993, p. 65). We are surely inclined to blame such a person, to hold him or her responsible for what he or she did. But Nagel asks us to contrast this person with a German who moves to Argentina shortly before the War for business reasons. Suppose that the expatriate would have behaved just as badly as the German if he had remained in Germany. Are we willing to say the expatriate should be judged as harshly as the German? If not, circumstantial luck has made a moral difference.

We can make this sort of case more troubling if we vary the way in which the person has “behaved badly.” If the bad behaviour is gleefully shooting hundreds of people as the guard of a concentration camp, then we may be inclined to think of the expatriate—who would have behaved the same way given the chance—as an undiscovered monster who rightly should be judged as harshly as the German. In such an extreme case, it is easy enough to claim that luck does not make a moral difference even if it makes a difference in whether we discover that the expatriate is so morally repellent. But, if the bad behaviour is something less drastic, say, in refusing to give refuge to a Jewish family being pursued by the Nazis, we can be much less confident that we would not have failed in the same way. Are we willing to say that those of us who would have failed had we been in such circumstances should be assessed in the same way as the German who actually failed? It is not at all clear that we are.

iii. Causal Luck

Nagel says very little about causal luck and the same is true of those who have written about moral luck after him. The worry about causal luck should be clear enough since it is precisely the sort of worry found in the debate on free will and determinism. It also seems to be a redundant sort of luck, included by Nagel only to indicate the connection between the problem of moral luck and the debate about free will and determinism. It is redundant because circumstantial and constitutive luck seem to cover the same territory. Constitutive luck covers what we are, while circumstantial luck covers what happens to us. Nothing else seems to remain that can play a role in determining what we do.

This relationship between the controversy about free will versus determinism and worries about causal luck might, as has sometimes been suggested, be applied to the whole problem of moral luck. In other words, is the entire problem of moral luck nothing but the problem of free will and determinism in different clothing? It certainly does cover some of the same territory. Like worries about the compatibility of free will and determinism, worries about moral luck get their start when we notice how much of what is supposed to be morally significant about us is simply thrust upon us whether we like it or not. But while they cover some of the same territory, the notions upon which the problems turn are quite different. In particular, neither of the notions frequently discussed in the free will debate (free will or determinism) is of central concern when we think about moral luck. Take the latter notion (determinism) first. Suppose that determinism is true (and we were aware of this), such that it would have been possible in, say, 1897 to correctly predict that Jane would win the lottery this weekend. We would be no less inclined to say that Jane was lucky to win the lottery. So luck can still exist whether or not the world is deterministic. Now consider the former notion (free will). Suppose that Jane wins the lottery, but everyone, including Jane, lacks the kind of control over their actions that freedom of the will requires. It would arguably still be appropraite to say that it was a matter of luck that Jane won the lottery. Like determinism, then, it seems that we needn’t worry about whether people possess free will when discussing moral luck. Thus, it is reasonable to think of the problem of moral luck as related to, but distinct from, the problem of free will and determinism.

iv. Constitutive Luck

A natural reaction to worries about resultant and circumstantial luck is to suggest that what matters is not how a person’s actions turn out or what circumstances they chance to encounter, but what is in that person’s “heart” so to speak. As Nagel says, we “pare each act down to its morally essential core, an inner act of pure will assessed by motive and intention” (1993, p. 63). To do so, however, is to open oneself up to worries about constitutive moral luck. If we focus on a person’s character, then what of the luck involved in determining what that person’s character is? It may be that, in a given situation, Jane did not act with good intentions, but perhaps this was because Jane was unlucky enough to be born a bitter or spiteful person. Why then should her bad intentions figure in her blameworthiness? Nagel suggests they should not. He claims that we should not praise or condemn people for qualities that are not under the control of the will (and so not under their control). But as reasonable as this may sound, Nagel also claims we cannot refrain from making judgments about a person’s moral status based upon just this sort of uncontrollable feature. If we did so refrain, it is not clear we would be able to make any judgments at all. In the end, people are assessed for what they are like, not for how they ended up that way.

c. The Problem Summarized

The notion of constitutive luck illustrates the difficulty of the problem of moral luck. Our temptation is to avoid the other sorts of luck by focusing on what the person really is. In this way, we try to discount worries about the luck that affects the way our actions turn out or the luck that places us in situations in which we make unfortunate decisions. We focus on the core of the person, on his or her character. But on reaching that core, we are disappointed to find that luck has been at work there too. The trouble is that there is nowhere further to retreat when we are at the level of moral character. If we retreat further, there is no person left to morally assess. Nagel concludes that “in a sense the problem has no solution” (1993, p. 68). The cost of not admitting the existence of moral luck is giving up the idea of agency. We seem driven to the conclusion that no one is blameworthy for anything. But the alternative is to preserve our notions of agency and responsibility by concluding that moral value is subject to luck.

So the problem of moral luck, as Nagel conceives of it, traps us between an intuition and a fact:

  1. the intuition is that luck must not make moral differences (for example, that luck must not affect a person’s moral worth, that luck must not affect what a person is morally responsible for).
  2. the fact is that luck does seem to make moral differences (for example, we blame the unfortunate driver more than the fortunate driver).

(The problem could equally well be presented as a conflict between intuitions. The fact that luck does seem to make moral differences would not be so troubling if we did not have the intuition that it is sometimes right that luck does this. We will follow Nagel in conceiving of the conflict as one between intuition and fact. This seems the natural way to introduce it. We discover the problem when we notice how practices that, at first glance, seem right conflict with our intuition that luck should not make moral differences.)

3. Responses to the Problem

Responses to the problem have been of two broad sorts:

  1. The intuition is mistaken: there is nothing wrong with luck making a moral difference.
  2. The so-called “fact” is not a fact at all: luck never does make a moral difference.

The first sort of response has been the least popular. When it has been made, the approach has usually been to suggest that, if cases of moral luck are troubling, this is only because we have a mistaken view of morality. Brynmor Browne (1992), for instance, has argued that moral luck is only troubling because we mistakenly tend to think of moral assessment as bound up with punishment. He argues that, once we correct our thinking, cases of moral luck cease to be troubling. In an argument reminiscent of Williams, Margaret Urban Walker (1993) claims that cases of moral luck are only troubling if we adopt the mistaken view of agency she calls “pure agency.” She argues that this view has repugnant implications and so should be rejected in favour a view of agency on which moral luck ceases to be troubling (namely “impure agency”). Judith Andre (1993) claims that we find cases of moral luck troubling because some of our thinking about morality is influenced by Kant. She adds, however, that the core of our thinking about morality is Aristotelian and that Aristotelians need not be troubled by cases of moral luck. The claims of all these authors are controversial.

(Martha Nussbaum’s The Fragility of Goodness (1986) is an important work in which she considers Greek views towards luck and ethics. In particular, she presents Plato and Aristotle as disagreeing about whether a good life must be invulnerable to luck, arguing that for Plato it must, but for Aristotle it need not. Her views on these matters are controversial. She has been accused of reading too much Bernard Williams into Aristotle. See Farwell (1994), Irwin (1988) and Woodruff (1989) for helpful discussions of Nussbaum’s book.)

The most popular response to the problem of moral luck has been of the second sort: to deny that cases of moral luck ever occur. This is usually done by suggesting that cases in which luck appears to make a moral difference are really cases in which luck makes an epistemic difference—that is, in which luck puts us in a better or worse position to assess a person’s moral standing (without actually changing that standing). Consider the case of the fortunate and unfortunate drivers. On this line of argument, it is claimed that there is no moral difference between them, it is just that in the case of the unfortunate driver we have a clear indication of his deficient moral standing. The fortunate driver is lucky in the sense that his moral failings may escape detection, but not in actually having a moral standing any different from that of the unfortunate driver. Along these lines, we find passages like the following:

…the luck involved relates not to our moral condition but only to our image: it relates not to what we are but to how people (ourselves included) will regard us. (Rescher, 1993, 154-5)

A culprit may thus be lucky or unlucky in how clear his deserts are. (Richards, 1993, 169)

…if actual harm occurs, the agent and others considering his act will have a painful awareness of this harm. (Jensen, 1993, 136)

…the actual harm serves only to make vivid how wicked the behaviour was because of the danger it created. (Bennett, 1995, 59-60)

While appealing, the difficulty with this response to the problem of moral luck is that it tends to work better for some sorts of luck than others. While it is plausible that resultant or circumstantial luck might make only epistemic differences, perhaps revealing or concealing a person’s character, it is not at all clear that constitutive luck can make only epistemic differences. If a person possesses a very dishonest character by luck, what feature of the person does luck reveal to us that (non-luckily) determines his moral status?

One response to this worry has been to deny that the notion of constitutive luck is coherent. (See, in particular, Rescher, 1995, pp. 155-158 and also Hurley, 1993, pp. 197-198.) This claim turns upon a substantive claim about the nature of luck, a topic that has been surprisingly absent from the literature on moral luck. So one might worry that it is only by investigating the nature of luck that we will be able to reach any sort of a final conclusion regarding the problem of moral luck. Furthermore, while it is not defended here, one might argue that such an investigation will lead to the view that cases of moral luck are both inescapable and troubling; the problem of moral luck is both real and deep.

4. References and Further Reading

The two main papers discussed in this article by Nagel and Williams, both entitled “Moral Luck,” were originally published in The Aristotelian Society Supplementary, Volume 1, 1976. Revised versions of both papers were published as chapters of Williams (1981) and Nagel (1979). The revised versions of these papers are also included in an excellent anthology edited by Daniel Statman (1993). Althought these two papers by Nagel and Williams started the discussion of the problem of moral luck using the phrase “moral luck,” the relevant problem has been discussed before. See, for instance, Joel Feinberg (1962).

  • Andre, J. (1993) “Nagel, Williams and Moral Luck.” Moral Luck. Daniel Statman (Ed.). State University of New York Press, Albany, New York, pp. 123-129.
  • Bennett, J. (1995) The Act Itself. Oxford University Press, New York.
  • Browne, B. (1992) “A Solution To The Problem of Moral Luck.” The Philosophical Quarterly. 42, pp. 345-356.
  • Farwell, P. (1994) “Aristotle, Success, and Moral Luck.” Journal of Philosophical Research. 19, pp. 37-50.
  • Feinberg, J. (1962) “Problematic Responsibility in Law and Morals.” The Philosophical Review. 71, pp. 340-351.
  • Goldman, A. (1989) “Précis and Update of Epistemology and Cognition.” Knowledge and Skepticism. Marjorie Clay and Keith Lehrer (Eds.). Westview Press, Boulder, Colorado, pp. 69-87.
  • Hurley, S. L. (1993) “Justice Without Constitutive Luck.” Ethics: Royal Institute of Philosophy Supplement. A. Phillips Griffiths (Ed.). 35, pp. 179-212.
  • Irwin, T. H. (1988) Review of The Fragility of Goodness. The Journal of Philosophy. 85, pp. 376-383.
  • Jensen, H. (1993) “Morality and Luck.” Moral Luck. Daniel Statman (Ed.). State University of New York Press, Albany, New York, pp. 131-140.
  • Kant, I. (1949) “On a Supposed Right To Lie From Altruistic Motives.” Critique of Practical Reason and Other Writings in Moral Philosophy. Lewis White Beck (Trans. & Ed.). University of Chicago Press, Chicago, pp. 346-50.
  • Mendus, S. (1988) “The Serpent and the Dove.” Philosophy. 63, pp. 331-343.
  • Nagel, T. (1979) Mortal Questions. Cambridge University Press, New York.
  • Nagel, T. (1993) “Moral Luck.” Moral Luck. Daniel Statman (Ed.). State University of New York Press, Albany, New York, pp. 57-71.
  • Nussbaum, M. (1986) The Fragility of Goodness: Luck and Ethics in Greek Tragedy and Philosophy. Cambridge University Press, New York.
  • Rescher, N. (1993) “Moral Luck.” Moral Luck. Daniel Statman (Ed.). State University of New York Press, Albany, New York, pp. 141-166.
  • Rescher, N. (1995) Luck: The Brilliant Randomness of Everyday Life. Farrar, Straus and Giroux. New York.
  • Richards, N. (1993) “Luck and Desert.” Moral Luck. Daniel Statman (Ed.). State University of New York Press, Albany, New York, pp. 167-180.
  • Rosebury, B. (1995) “Moral Responsibility and ‘Moral Luck’.” The Philosophical Review. 104, pp. 499-524.
  • Statman, D. (Ed.) (1993) Moral Luck. State University of New York Press, Albany, New York, pp. 1-25.
  • Walker, M. U. (1993) “Moral Luck and the Virtues of Impure Agency.” Moral Luck. Daniel Statman (Ed.). State University of New York Press, Albany, New York, pp. 235-250.
  • Williams, B. (1981) Moral Luck. Cambridge University Press, New York.
  • Williams, B. (1985) Ethics and the Limits of Philosophy. Harvard University Press, Cambridge, Massachusetts.
  • Williams, B. (1993a) “Moral Luck.” Moral Luck. Daniel Statman (Ed.). State University of New York Press, Albany, New York, pp. 35-55.
  • Williams, B. (1993b) “Postscript” Moral Luck. Daniel Statman (Ed.). State University of New York Press, Albany, New York, pp. 251-258.
  • Woodruff, P. (1989) “Review of Martha Nussbaum, The Fragility of Goodness.Philosophy and Phenomenological Research. 50, pp. 205-210.

Author Information

Andrew Latus
St. Francis Xavier University
U. S. A.

Moral Character

At the heart of one major approach to ethics—an approach counting among its proponents Plato, Aristotle, Augustine and Aquinas—is the conviction that ethics is fundamentally related to what kind of persons we are. Many of Plato’s dialogues, for example, focus on what kind of persons we ought to be and begin with examinations of particular virtues:

What is the nature of justice? (Republic)
What is the nature of piety? (Euthyphro)
What is the nature of temperance? (Charmides)
What is the nature of courage? (Laches)

On the assumption that what kind of person one is is constituted by one’s character, the link between moral character and virtue is clear. We can think of one’s moral character as primarily a function of whether she has or lacks various moral virtues and vices.

The virtues and vices that comprise one’s moral character are typically understood as dispositions to behave in certain ways in certain sorts of circumstances. For instance, an honest person is disposed to telling the truth when asked. These dispositions are typically understood as relatively stable and long-term. Further, they are also typically understood to be robust, that is, consistent across a wide-spectrum of conditions. We are unlikely, for example, to think that an individual who tells the truth to her friends but consistently lies to her parents and teachers possesses the virtue of honesty.

Moral character, like most issues in moral psychology, stands at the intersection of issues in both normative ethics and empirical psychology. This suggests that there are conceivably two general approaches one could take when elucidating the nature of moral character. One could approach moral character primarily by focusing on standards set by normative ethics; whether people can or do live up to these standards is irrelevant. Alternatively, one could approach moral character under the guideline that normative ethics ought to be constrained by psychology. On this second approach, it’s not that the normative/descriptive distinction disappears; instead, it is just that a theory of moral character ought to be appropriately constrained by what social psychology tells us moral agents are in fact like. Moreover, precisely because virtue approaches make character and its components central to ethical theorizing, it seems appropriate that such approaches take the psychological data on character and its components seriously. This desire for a psychologically sensitive ethics partly explains the recent resurgence of virtue ethics, but it also leads to numerous challenges to the idea that agents possess robust moral characters.

Table of Contents

  1. 1. Moral Character, Ethics and Virtue Theory
    1. a. Character and Three Major Approaches to Ethics
    2. b. Moral vs. Non-moral Character
    3. c. Moral Responsibility
  2. 2. A Traditional View of Moral Character
    1. a. Dispositions in General
    2. b. Virtues and Vices as Dispositions
      1. i. Relatively Stable, Fixed and Reliable
      2. ii. Dispositions of Action and Affect
      3. iii. Rationally Informed
    3. c. Three Central Features
      1. i. Robustness Claim
      2. ii. Stability Claim
      3. iii. Integrity Claim
  3. 3. Challenges to Moral Character
    1. a. Situationism
    2. b. Moral Luck
    3. c. Impossibility of Being Responsible for One’s Character
    4. d. Responses
  4. 4. Conclusion
  5. 5. References and Further Reading
    1. a. Character and Virtue
    2. b. Dispositions
    3. c. Challenges to the Traditional View

1. Moral Character, Ethics and Virtue Theory

Etymologically, the term “character” comes from the ancient Greek term charaktêr, which initially referred to the mark impressed upon a coin. The term charaktêr later came to refer more generally to any distinctive feature by which one thing is distinguished from others. Along this general line, in contemporary usage character often refers to a set of qualities or characteristics that can be used to differentiate between persons. It is used this way, for example, commonly in literature. In philosophy, however, the term character is typically used to refer to the particularly moral dimension of a person. For example, Aristotle most often used the term ēthē for character, which is etymologically linked to “ethics” and “morality” (via the Latin equivalent mores).

Aristotle’s discussion of moral character, and virtue in particular, is the most influential treatment of such issues. For this reason, his discussion will be used as a beginning point. The Greek word used by Aristotle and most commonly translated as virtue is aretē, which is perhaps better translated as “goodness” or “excellence.” In general, an excellence is a quality that makes an individual a good member of its kind. For example, it is an excellence of an ax if it is able to cut wood. An excellence, therefore, is a property whereby its possessor operates well or fulfills its function. Along these same lines, it is helpful to think of excellences as defining features of one’s character. Aristotle, for instance, sometimes speaks of a good moral character as “human excellence” or an “excellence of soul” (Nicomachean Ethics I.13). The idea here is the same as with the axe—having a good moral character helps its possessor operate well and live up to her potential, thereby fulfilling her nature.

In Nicomachean Ethics Book II, Aristotle distinguishes two kinds of excellences or virtues: excellences of intellect and excellences of character (though, as we shall see below, he does not think these two are completely separable). The excellences of thought include epistemic or intellectual virtues such as technical expertise accomplishment and practical wisdom. The last of these, practical wisdom, is particularly important and will be discussed in greater detail below because of its relationship with the excellences of character. Given their connection with the intellect, it is not surprising that he thought these excellences are fostered through instruction and teaching.

Aristotle’s phrase for the excellences of character is ēthikē aretē, literally “virtue of character,” and is sometimes translated as “moral virtue.” As discussed in greater detail below, the excellences of character are dispositions to act and feel in certain ways. Aristotle famously thought a moral disposition was virtuous when it was in proper proportion, which he described as a mean between two extremes:

Excellence [of character], then, is a disposition issuing in decisions, depending on intermediacy of the kind relative to us, this being determined by rational prescription and in the way in which the wise person would determine it. And it is intermediacy between two bad states, one involving excess, the other involving deficiency; and also because one set of bad states is deficient, the other excessive in relation to what is required both in affections and actions, whereas excellence both finds and chooses the intermediate. (Nicomachean Ethics II.7).

For instance, the courageous person is one who is disposed to feel neither more nor less fear than the situation calls for. Furthermore, insofar as the excellences of character include a person’s emotions and feelings, and not just her actions, there is a distinction between acting virtuously and doing a virtuous action. Merely doing the right action is not sufficient to have the moral excellences. One must also be the right sort of individual or have the right sort of character.

The subject of moral character belongs to virtue theory more generally, which is the philosophical examination of notions related to the virtues. Roger Crisp distinguishes virtue ethics and virtue theory as follows: “Virtue theory is the area of inquiry concerned with the virtues in general; virtue ethics is narrower and prescriptive, and consists primarily in the advocacy of the virtues” (Crisp 1998, 5). Virtue ethics is a sub-species of virtue theory insofar as the former attempts to base ethics on evaluation of virtue.

a. Character and Three Major Approaches to Ethics

It is commonplace to differentiate three major approaches to normative ethics: consequentialism, deontology, and virtue ethics. At the heart of consequentialist theories is the idea that the moral action is the one that produces the best consequences. According to deontological theories, morality is primarily a function of duties or obligations, regardless of the consequences of acting in accordance with those duties. Both of these sets of theories are commonly described as ethics of rules. In contrast, virtue theories give primacy of importance not to rules, but to particular habits of character such as the virtue of courage or the vice of greed. This description of these three approaches is a vast over-simplification. For example, the ethical writings of Immanuel Kant are often taken to be the epitome of deontology, but his Lectures on Ethics and the second part of The Metaphysics of Morals focus largely on virtue. Nevertheless, even this short discussion illustrates how moral character plays a particularly central role in virtue ethics, even if it can also play a similar role in other approaches to normative ethics.

Most ancient philosophers were virtue theorists of some sort or other. Virtue ethics was often criticized during the modern period, but has experienced a revival in recent years. This recent resurgence in virtue ethics, and virtue theory more generally, has many sources. Two of the most notable are G. E. M. Anscombe’s “Modern Moral Philosophy” (1958) and John Rawls’s A Theory of Justice (1971). In her article, Anscombe criticizes deontological and consequentialist approaches to ethics for wrongly focusing on legalistic notions of obligations and rules. She suggests that ethics would benefit from an adequate philosophy of psychology. According to Anscombe, only a return to a virtue approach to ethics and the notions of human flourishing and well-being will be able to provide for the future flourishing of ethics. Less directly influential is Rawls. Though the primary aim of A Theory of Justice is not virtue ethics, Rawls’s discussion of the good citizen affords an important place to virtue and moral character in part III: “the representative member of a well-ordered society will find that he wants others to have the basic virtues, and in particular a sense of justice” (Rawls 1971, 436).

b. Moral vs. Non-moral Character

Persons have all kinds of traits: physical, psychological, social traits. Not all of these traits are particularly moral in nature, though they can impact one’s moral character. Psychologist Lawrence Pervin defines a personality trait as “a disposition to behave expressing itself in consistent patterns of functioning across a range of situations” (Pervin 1994, 108). But even among such traits, some do not appear to be morally relevant. For instance, Holli’s disposition to drink coffee rather than tea, or her disposition to exercise by jogging rather than doing yoga, will not be morally relevant in most cases. We thus need a way to differentiate those traits that are morally relevant from those that are not, particularly because philosophers and psychologists tend to use the term “character trait” in slightly different ways. Yet the differences are crucial. Philosophers typically think that moral character traits, unlike other personality or psychological traits, have an irreducibly evaluative dimension; that is, they involve a normative judgment. The evaluative dimension is directly related to the idea that the agent is morally responsible for having the trait itself or for the outcome of that trait. Thus, a specifically moral character trait is a character trait for which the agent is morally responsible.

c. Moral Responsibility

According to a widespread approach to moral responsibility, to be morally responsible is to be deserving of the reactive attitudes. According to Peter Strawson, whose work on moral responsibility has had wide influence, the reactive attitudes “are essentially natural human reactions to the good or ill will or indifference of others towards us, as displayed in their attitudes and actions” (P. Strawson 1997, 127). These reactive attitudes can be either positive (as in cases of moral praise, gratitude, respect, love), or negative (as in cases of moral blame, resentment, indignation). In other words, a person is morally responsible for performing some action X only if that person is the apt recipient of praise (or gratitude, etc.) or blame (or resentment, etc.). On such an account, a person could be responsible for some action even if no other person in fact actually held her responsible. A person could be deserving of resentment, for example, for performing some action even if no one does, in fact, resent her for performing that action.

Most work on moral responsibility has focused on an agent’s responsibility for her actions. Such an account of moral responsibility, however, can be extended beyond actions to include character traits as well. Consider the case of Chester. Chester has a very strong desire to molest young children. If he thought he could get away with it, he would abduct and molest the children playing on the playground near his house. But Chester is very afraid of getting caught since there is a police station across the street from the playground. As a result of his fear, Chester never does in fact molest any children, and thus isn’t deserving of blame or punishment for his behavior in this regard. Despite this fact, there is still something morally wrong with Chester; he is deserving of blame for being the kind of individual that wants to molest children and would if he could get away with it.

Finally, there are two related sets of questions that may be asked about responsibility. The first set of questions is about the general conditions that must be met in order for an agent to be morally responsible. Such questions include:

  • What kind of control over one’s actions is required for an agent to be morally responsible?
  • What is the epistemic condition that must be met in order for an agent to be morally responsible?
  • Must an action flow from an agent’s moral character for her to be responsible for it?

The second sort of question attempts to figure out what candidates are subject to the conditions for moral responsibility, in other words, whether a particular individual satisfies these conditions. In what follows, it will be assumed that only persons are morally responsible agents. However, it does not follow from the fact that a person is a morally responsible agent that she is morally responsible for all her actions and character traits.

2. A Traditional View of Moral Character

The previous section helped to differentiate moral versus non-moral character traits via their relationship with moral responsibility. In short, moral character traits are those for which the possessor is the proper recipient of the reactive attitudes. Little was said, however, about the exact nature of a moral character trait. The present section explores the nature of the most common understanding of moral character traits, which I will call “the Traditional View of Moral Character,” or Traditional View for short. Different theories within the Traditional View will, of course, fill out the details in diverse ways. So it will be helpful to think of the Traditional View as a family of similar and related views, rather than a fully developed and determinate view itself.

As mentioned earlier, the moral character traits that constitute one’s moral character are typically understood as behavioral and affective dispositions. For this reason, it will be helpful to look at dispositions in general before turning toward specifically moral dispositions. This is the topic of the first sub-section below. The second sub-section looks at virtues and vices as particular kinds of dispositions. The third sub-section discusses the three central claims of the Traditional View of moral character. (The present entry will not address the related issue of the development of moral character—see the entry on Moral Development.)

a. Dispositions in General

Dispositions are particular kinds of properties or characteristics that objects can possess. Examples of dispositions include the solubility of a sugar-cube in water, the fragility of porcelain, the elasticity of a rubber band, and the magnetism of a lodestone. Dispositional properties are usually contrasted with non-dispositional or categorical properties. Providing a fully adequate account of this distinction is difficult, though the basic idea is fairly easy to grasp (for a discussion of these issues, see Mumford 1998, particularly Chapter 4). Compare the solubility of a sugar-cube in water with its volume. The sugar-cube’s solubility means that it would dissolve if placed in water. The sugar-cube need not actually be placed in water to be soluble; one simply sees that it is soluble when it is placed in water. In contrast, one need not do anything to the sugar-cube to see that it has the categorical property of volume, for the sugar-cube always manifests this property in a way that it does not always manifest solubility in water. For dispositional properties, there is a difference between an object having such a property and manifesting its disposition (this same point will be true of the virtues discussed below). This contrast suggests that dispositional properties fundamentally involve conditionality in a way that categorical properties do not. What objects are soluble in water at standard temperature and pressure? Just those that would dissolve if placed in water at standard temperature and pressure.

There are a number of metaphysical questions about dispositions. Is the conditionality involved in dispositions to be understood counter-factually, or some other way? Are colors dispositional or categorical properties? Can dispositional properties be reduced to categorical properties, or vice versa? Such questions, however, need not concern us here. Instead, it is sufficient to note that a thing’s dispositional properties are often just as important to us as their non-dispositional properties. There would be significantly fewer college students, for example, with avidity for beer were it not disposed to cause intoxication in those who drink it. Dispositions can help explain not only why past events happened, but also provide the grounds for future events.

Certain kinds of objects are dispositional in nature; thermostats, for example. While persons aren’t inherently dispositional in this way, they can and do have numerous dispositions. Persons have some dispositions in virtue of their physical bodies (such as solubility in certain solvents) and other dispositions in virtue of their mental lives (such as a disposition to play the piano when one is present, or to give to Oxfam if asked). In fact, Gilbert Ryle has famously suggested that the mind, rather than being another substance in addition to the body, is just a set of dispositions for the body to behave in certain ways (It is on this basis that Ryle argues that substance dualism is a category mistake; see Ryle 1949, Chapter 1). Whether one accepts Ryle’s claim, persons have behavioral and affective dispositions that impact our moral judgments of those persons. It is to these moral character traits that we now turn.

b. Virtues and Vices as Dispositions

Moral character traits are those dispositions of character for which it is appropriate to hold agents morally responsible. A trait for which the agent is deserving of a positive reactive attitude, such as praise or gratitude, is a virtue, and a vice is a trait for which the agent is deserving of a negative reactive attitude, such as resentment or blame. Moral character traits are relatively stable, fixed and reliable dispositions of action and affect that ought to be rationally informed. The subsequent sub-sections will further elucidate these various aspects of moral character traits.

i. Relatively Stable, Fixed and Reliable

Moral character traits are relatively stable and reliable dispositions, and thus should be reasonably good predictors over time of an agent’s behavior if that agent is in a trait-relevant situation. This does not mean, however, that such traits must be exceptionless. For example, a single case of dishonesty need not mean that an individual lacks a generally honest character. Thus, the dispositions should be understood as involving a particular level of probability. Furthermore, while such traits are malleable—individuals can change their moral character over time—such changes are usually not immediate, taking both time and effort.

ii. Dispositions of Action and Affect

Moral character traits are not just dispositions to engage in certain outward behaviors; they can also be dispositions to have certain emotions or affections. For example, justice is the disposition to treat others as they deserve to be treated, while courageousness is the disposition to feel the appropriate amount of fear called for by a situation. Additionally, as mentioned above with regard to dispositions in general, an individual can have a particular moral character trait and not currently be manifesting trait-relevant behavior or affect. An individual may be generous in her giving to charity, even if she is not engaged presently in any charitable action.

iii. Rationally Informed

In order for a moral character trait to be a virtue, it must not only be in accord with the relevant moral norms, but the disposition must also be informed by proper reasoning about the matter at hand. This is so because the virtues are excellences of character insofar as they are the best exercise of reason. In his discussion of the virtues, for example, Aristotle says that all the excellences of character must be informed by practical wisdom (phronēsis), itself a disposition to make morally discerning choices in practical matters. This suggests a link between intellectual virtues and virtues of character.

c. Three Central Features

With the above discussion of the nature of moral character traits in mind, the Traditional View can now be summarized as consisting primarily of three claims about moral character: the Robustness Claim, the Stability Claim and the Integrity Claim. The first two are claims about the nature of moral character traits, while the third is a claim about the relationship among traits within a particular individual.

i. Robustness Claim

According to the first central claim of the Traditional View, an individual with a particular moral character trait will exhibit trait-relevant behavior across a broad spectrum of trait-relevant situations. Such traits are said to be “robust” traits. For example, the Robustness Claim suggests that an honest person will tend to tell the truth in a wide range of honesty-related situations: honesty toward friends, family members, co-workers, students, etc. Given that moral character traits need not be exceptionless, a single counter-instance doesn’t rule out an individual’s possession of a particular trait and doesn’t contradict the Robustness Claim.

ii. Stability Claim

According to the Stability Claim, moral character traits are relatively stable over time. The Stability Claim doesn’t preclude the possibility of an individual changing his moral character over time. Rather, it holds that such changes take time. A soldier who has courageously proven himself in battle situations over the course of numerous years will not cease to be courageous overnight. If the soldier does act non-courageously in a particular battle, the Stability Claim suggests that we should still think of the soldier as possessing the virtue of courage unless the soldier behaves non-courageously for a significant period of time.

iii. Integrity Claim

According to the Integrity Claim, there is a probabilistic correlation between having one virtue and having other virtues. For example, an individual who is temperate with regard to the pleasures derived from food (the virtue of abstinence) is likely to also be temperate with regard to the pleasures derived from sexual intercourse (the virtue of chastity). Likewise, an individual with a particular vice is likely to possess other vices. Here, the Integrity Claim suggests that an individual who is disposed to lie for monetary gain will likely also be disposed to cheat for monetary gain. The Traditional View thus expects a fairly high level of inter-trait consistency.

This is the most contentious and perhaps counter-intuitive of the three claims of the Traditional View. Examples such as the courageous and self-controlled bomber appear to be counterexamples to the Integrity Claim insofar as such an individual appears to possess some virtues (such as courage) but lack others (such as justice). Nevertheless, the Integrity Claim has a substantial pedigree among virtue theorists. Aristotle held that the multiplicity of virtues are all related by practical wisdom: “It is clear… it is not possible to possess excellence in the primary sense without [practical] wisdom, nor to be wise without excellence of character” (Nicomachean Ethics, 1144b30-32). Given the role that phronēsis plays, the “evaluative considerations” involved in the virtues are so interdependent that any individual having one virtue will have them all (see Nicomachean Ethics, 1144b30-1145a11). Plato similarly held that the various virtues are all related by justice. More recently, Raymond Devettere embraces the unity of the virtues thesis as follows:

If you have one virtue, you have them all…. Virtues cannot be separated—a person lacking the virtue of temperance also lacks the virtues of justice, love, and so forth. At first, this thesis appears counterintuitive, but once the central role of practical wisdom in each and every moral virtue is understood, the unity of the virtues emerges as inevitable (Devettere 2002, 64).

Socrates took the unity among the virtues even further, arguing not only that the virtues are unified in this way, but that there is in fact ultimately only one virtue—wisdom; the apparent diversity of virtues is in reality just different expressions of this one virtue (Protagoras, 330e-333d).

3. Challenges to Moral Character

As indicated above, versions of the Traditional View of moral character outlined in the previous section have long been accepted within the virtue ethics tradition. Other ethical traditions such as utilitarianism and deontology have been less inclined to stress the importance of moral character, though there are exceptions. For example, Julia Driver’s Uneasy Virtue (2001) provides a consequentialist account of virtue. Similarly, as mentioned above, some of Kant’s ethical writings focus largely on virtue. Despite these exceptions, it is not surprising that many proponents of these other ethical traditions have critiqued the traditional understanding of moral character and its relation to virtue.

More recently, however, the traditional understanding of moral character outlined above has been criticized from other directions. One major source of criticism is motivated by the idea that normative ethics ought to be constrained by the best currently available psychological data. According to this view, theories of moral character ought to be constrained in certain regards by what social and cognitive psychology tells us moral agents are actually like. And recent empirical work suggests that agents lack the kind of robust moral character at the heart of the Traditional View. Other recent challenges arise from the fact that the preconditions for moral character cannot be met, either because they are undermined by moral luck, or because it is impossible for an agent to be morally responsible for anything, in which case moral character collapses. This section briefly considers these recent challenges.

a. Situationism

Recently, a number of philosophers and social scientists have begun to question the very presuppositions that robust theories of moral character and moral character traits are based on. The following quotation by John Doris captures this concern:

I regard this renaissance of virtue with concern. Like many others, I find the lore of virtue deeply compelling, yet I cannot help noticing that much of this lore rests on psychological theory that is some 2,500 years old. A theory is not bad simply because it is old, but in this case developments of more recent vintage suggest that the old ideas are in trouble. In particular, modern experimental psychology has discovered that circumstance has surprisingly more to do with how people behave than traditional images of character and virtue allow (Doris 2002, ix).

In other words, the Traditional View of moral character is empirically inadequate (see also Mischel 1968).

This criticism of the Traditional View began with attributionism, a branch of psychology that seeks to differentiate what is rightly attributable to an individual’s character from what is rightly attributable to outside features. Much of attribution theory attributes a significantly higher proportion of the causal basis of behavior to external factors and less to moral character than traditionally thought. According to such theorists, most individuals overestimate the role of dispositional factors such as moral character in explaining an individual’s behavior, and underestimate the role the situation plays in explaining an agent’s behavior. Gilbert Harmon expresses this idea as follows:

In trying to characterize and explain a distinctive action, ordinary thinking tends to hypothesize a corresponding distinctive characteristic of the agent and tends to overlook the relevant details of the agent’s perceived situation…. Ordinary attributions of character traits to people are often deeply misguided and it may even be the case that there… [are] no ordinary traits of the sort people think there are (Harman 1999, 315f).

Philosophers such as Doris and Harman have used this work in the social sciences to develop an alternative approach to moral character, commonly known as “Situationism.”

Like the Traditional View, Situationism can be understood as comprised of three central claims:

  1. Non-robustness Claim: moral character traits are not robust—that is, they are not consistent across a wide spectrum of trait-relevant situations. Whatever moral character traits an individual has are situation-specific.
  2. Consistency Claim: while a person’s moral character traits are relatively stable over time, this should be understood as consistency of situation specific traits, rather than robust traits.
  3. Fragmentation Claim: a person’s moral character traits do not have the evaluative integrity suggested by the Integrity Claim. There may be considerable disunity in a person’s moral character among her situation-specific character traits.

Thus, Situationism rejects the first and third claims of the Traditional View, and embraces only a modified version of the second claim.

According to Situationists, the empirical evidence favors their view of moral character over the Traditional View. To cite just one early example, Hugh Hartshorne and M. A. May’s study of the trait of honesty among school children found no cross-situational correlation. A child may be consistently honest with his friends, but not with his parents or teachers. From this and other studies, Hartshorne and May concluded that character traits are not robust but rather “specific functions of life situations” (Hartshorne and May 1928, 379f). Other studies further call into question the Integrity Claim of the Traditional View.

b. Moral Luck

A second challenge to the traditional view can be found in the idea of moral luck. While there are a number of varieties of moral luck, the underlying idea is that moral luck occurs when the moral judgment of an agent depends on factors beyond the agent’s control. There are number of ways that moral luck can motivate criticisms of moral character.

A species of moral luck that is particularly relevant to Situationism is circumstantial or situational luck, which is the luck involved in “the kind of problems and situations one faces” (Nagel 1993, 60). If all of an agent’s moral character traits are situation-specific rather than robust, what traits an agent manifests will depend on the situation that she finds herself in. But what situations an agent finds herself in is often beyond her control and thus a matter of situational luck. According to one experiment conducted by Isen and Levin, experimenters looked for helping behavior in unaware subjects after they left a public phone-booth. Whether or not the individuals helped a person in need was found significantly influenced by whether or not one had just found a dime in the phone-booth. In the initial experiment, the results for the 41 subjects are as follows (Doris 2002, 30):

Helping Behavior
No Helping Behavior
Found Dime
14
2
Didn’t Find Dime
1
24

These results suggest that morally significant behavior such as helping another in need depends largely on minute factors of the situation that are not in the control of the agent. (It should be noted that Isen and Levin’s results have not been replicated in all subsequent studies. See, for example, the discussion in Chapter 4 of Doris’s text. Doris concludes that the set of results from all these experiments “in any event… exemplifies an established pattern of results” [Doris 2002, 180 footnote 4]).

But there is a more significant challenge that luck plays to the idea of moral character, regardless of the outcome of the dispute between proponents of the Traditional View and Situationists. Whether moral character traits are robust or situation-specific, some have suggested that what character traits one has is itself a matter of luck. If our having certain traits is itself a matter of luck, this would seem to undermine one’s moral responsibility for one’s moral character, and thus the concept of moral character altogether. As Owen Flanagan and Amélie Oksenberg Rorty write:

It [the morality and meaning of an individual’s life] will depend on luck in an individual’s upbringing, the values she is taught, the self-controlling and self-constructing capacities her social environment enables and encourages her to develop, the moral challenges she faces or avoids. If all her character, not just temperamental traits and dispositions but also the reflexive capacities for self-control and self-construction, are matters of luck, then the very ideas of character and agency are in danger of evaporation (Flanagan and Rorty 1990, 5).

c. Impossibility of Being Responsible for One’s Character

Related to the problem posed by moral luck is the third recent challenge to the Traditional View, namely the idea that moral responsibility is impossible. Indeed, this option may be understood as taking the problem that moral luck proposes to its logical conclusion.

It was suggested above that what makes a character trait a specifically moral character trait, and thus a constituent of a person’s moral character, is an evaluative dimension of that trait. A moral character trait is a character trait for which the agent is morally responsible; in other words, the apt recipient of the reactive attitudes. If moral responsibility is impossible, however, then agents cannot be held responsible for their character traits or for the behaviors that they do as a result of those character traits.

Why might one think that moral responsibility, and thus moral character, is impossible? Galen Strawson (1994) summarizes the argument, which he calls the Basic Argument, in this way:

  1. In order to be morally responsible, an agent would have to be a cause of itself or causa sui.
  2. Nothing can be causa sui.
  3. Therefore, no agent can be morally responsible.

The idea behind the Basic Argument can be elaborated as follows. In order for an agent, Allison, to be responsible for some action of hers, that action must be a result of the kind of person that Allison is. We might say, for instance, that Allison is blameworthy for eating too much chocolate at time T because she is a gluttonous individual. But in order for Allison to be responsible for being a gluttonous individual at T, she would have to be responsible at some earlier time T-1 for being the kind of person that would later become a gluttonous person. But in order for Allison to be responsible for being the kind of person that would later become a gluttonous person, she would have to be responsible at some earlier time T-2 for being the kind of person that would later become the kind of person that would later become a gluttonous person. According to Strawson, this line of thinking begins an infinite regress: “True self-determination is impossible because it requires the completion of an infinite series of choices of principles of choice” (G. Strawson, 7).

A similar argument has also recently been advocated by Bruce Waller. According to Waller, no one is “morally responsible for her character or deliberative powers, or for the results that flow from them…. Given the fact that she was shaped to have such characteristics by environmental (or evolutionary) forces far beyond her control, she deserves no blame [nor praise]” (Waller, 85f).

Of course, if moral responsibility is impossible, then all moral theories that involve responsibility are wrong, not just the Traditional View of moral character. So the argument for the impossibility of moral responsibility is not just a challenge for the Traditional View, but for all views. And there is perhaps reason to think that character-based approaches are better able to deal with this problem than are choice-based theories.

d. Responses

These recent challenges to the Traditional View have not gone unnoticed. Some have attempted to modify the Traditional View to insulate it from these challenges, while others have tried to show how these challenges fail to undermine the Traditional View at all. For example, Dana Nelkin (2005), Christian Miller (2003), Gopal Sreenivasan (2002), and John Sabini and Maury Silver (2005), among others, have argued that the empirical evidence cited by the Situationists does not show that individuals lack robust character traits.

4. Conclusion

Given the importance of moral character to issues in philosophy, it is unlikely that the debates over the nature of moral character will disappear anytime soon.

5. References and Further Reading

a. Character and Virtue

  • Anscombe, G. E. M. (1958). “Modern Moral Philosophy,” Philosophy 33:1-19.
  • Aristotle (2002). Nicomachean Ethics, translated by Christopher Rowe (Oxford University Press). A good translation of Aristotle’s text which also contains a very helpful introduction to Aristotle’s ethical thought by Sarah Broadie.
  • Brandt, Richard (1992). Morality, Utilitarianism, and Rights (Cambridge University Press).
  • Crisp, Roger (1998). “Modern Moral Philosophy and the Virtues,” in How Should One Live? Essays on the Virtues, ed. Roger Crisp (Oxford University Press): 1-18. A very good discussion of the virtues in modern ethics.
  • Devettere, Raymond (2002). Introduction to Virtue Ethics (Georgetown University Press). A very readable introduction to virtue ethics.
  • Driver, Julia (2001). Uneasy Virtue (Cambridge University Press). A consequentialist account of virtue.
  • Flanagan, Owen, and Amélie Oksenberg Rorty (1990). Identity, Character, and Morality (MIT Press). A collection of interesting and wide-ranging essays on topics related to moral character.
  • Kupperman, Joel (1995). Character (New York: Oxford University Press). Focuses on the nature and acquisition of moral character.
  • MacIntyre, Alasdair (1981). After Virtue (London: Duckworth). An influential book on the virtues and their relationship to modern ethics.
  • McKinnon, Christine (1999). Character, Virtue Theories, and the Vices (Broadview Press). A clear and thorough discussion of central themes in virtue ethics, with a focus on moral character.
  • Rawls, John (1971). A Theory of Justice (Harvard University Press).
  • Strawson, Peter (1997). “Freedom and Resentment,” in Free Will, ed. Derk Pereboom (Hackett Press): 119-142. A seminal discussion of the nature of moral responsibility and its relation to the reactive attitudes.

b. Dispositions

  • Mellor, D. H. (1974). “In Defense of Dispositions,” Philosophical Review 83: 157-181.
  • Mumford, Stephen (1998). Dispositions (Oxford University Press). One of the most thorough and detailed discussion of dispositions in general.
  • Prior, Elizabeth (1985). Dispositions (Aberdeen: Aberdeen University Press).
  • Ryle, Gilbert (1949). The Concept of Mind (Hutchinson’s University Library). Contains Ryle’s famous argument that the mind is just the disposition of the body to behave in certain ways.

c. Challenges to the Traditional View

  • Doris, John (2002). Lack of Character: Personality and Moral Behavior (Cambridge University Press). A fascinating, and thorough, discussion of the psychological challenges to the Traditional View and a defense of Situationism.
  • Harman, Gilbert (1999). “Moral Philosophy Meets Social Psychology: Virtue Ethics and the Fundamental Attribution Error,” Proceedings of the Aristotelian Society 99: 315-331. Another influential philosophical defense of Situationism.
  • Hartshorne, Hugh, and M. A. May (1928). Studies in the Nature of Character (Macmillan). Widely influential discussion of psychological challenges to the Traditional View.
  • Mischel, Walter (1968). Personality and Assessment (John J. Wiley and Sons). Contains a discussion of the psychological literature on the problems with the Traditional View
  • Nagel, Thomas (1993). “Moral Luck,” in Moral Luck, ed. Daniel Statman (State University of New York Press): 57-61.
  • Nelkin, Dana (2005). “Freedom, Responsibility, and the Challenge of Situationism,” Midwest Studies in Philosophy 29 (Free Will and Moral Responsibility). An argument against Situationist conclusions.
  • Miller, Christian (2003). “Social Psychology and Virtue Ethics,” The Journal of Ethics 7: 365-392. A defense of the traditional view of moral character in the light of Situationist critiques.
  • Pervin, Lawrence (1994). “A Critical Analysis of Current Trait Theory,” Psychological Inquiry 5: 103-113.
  • Sabini, John and Maury Silver (2005). “Lack of Character? Situationism Critiqued,” Ethics 115: 535-562. A recent criticism of Situationism.
  • Sreenivasan, Gopal (2002). “Errors about Errors: Virtue Theory and Train Attribution,” Mind 111: 47-68. Another criticism of Situationism.
  • Strawson, Galen (1994). “The Impossibility of Moral Responsibility,” Philosophical Studies 75: 5-24. A well known and influential argument for the impossibility of moral responsibility.
  • Waller, Bruce N. (2006). “Denying Responsibility without Making Excuses,” American Philosophical Quarterly 43: 81-89.

Author Information

Kevin Timpe
Email: ktimpe@sandiego.edu
University of San Diego
U. S. A.

Giambattista Vico (1668—1744)

VicoGiambattista Vico is often credited with the invention of the philosophy of history. Specifically, he was the first to take seriously the possibility that people had fundamentally different schema of thought in different historical eras. Thus, Vico became the first to chart a course of history that depended on the way the structure of thought changed over time.

To illustrate the difference between modern thought and ancient thought, Vico developed a remarkable theory of the imagination. This theory led to an account of myth based on ritual and imitation that would resemble some twentieth century anthropological theories. He also developed an account of the development of human institutions that contrasts sharply with his contemporaries in social contract theory. Vico’s account centered on the class struggle that prefigures nineteenth and twentieth century discussions.

Vico did not achieve much fame during his lifetime or after. Nevertheless, a wide variety of important thinkers were influenced by Vico’s writings. Some of the more notable names on this list are Johann Gottfried von Herder, Karl Marx, Samuel Taylor Coleridge, James Joyce, Benedetto Croce, R. G. Collingwood and Max Horkheimer. References to Vico’s works can be found in the more contemporary writings of Jürgen Habermas, Hans-Georg Gadamer, Alasdair MacIntyre and many others.

There is no question that his work is difficult to grasp. Vico’s style is challenging. Further, he is heavily influenced by a number of traditions that many philosophers may find unfamiliar: the natural law tradition of thinkers like Grotius; the Roman rhetorical tradition of authors like Quintillian; and the current science and anthropology of his day. Nevertheless, Vico’s theories on culture, language, politics and religion are deeply insightful and have excited the imaginations of those who have read him.

Table of Contents

  1. Vico’s Life
  2. Early Works
    1. Vico as Anti-Cartesian and Anti-Enlightenment
    2. On the Study Methods of Our Time
    3. On the Ancient Wisdom of the Italians
      1. The Verum-Factum Principle
      2. Metaphysical Points and the Attack on Cartesian Stoicism
      3. Vico’s Use of Etymology
  3. Vico and Jurisprudence
    1. The Universal Law (Il Diritto Universale)
    2. The Verum/Certum Principle
    3. The Natural Law and the Law of the Gentes
  4. The New Science
    1. The Conceit of Nations and the Conceit of Scholars
    2. The New Critical Art and the Poetic Wisdom
    3. Vico’s Method
    4. The Ideal Eternal History
    5. The New Science and the Roman Catholic Church
    6. The Three Principles of History: Religion, Marriage and Burial
    7. The Imaginative Universal
    8. The Discovery of the True Homer
    9. The Barbarism of Reflection
  5. Autobiography
  6. References and Further Reading

1. Vico’s Life

Giambattista Vico was born in a small room above his father’s bookshop on the Via San Biagio dei Librai in the old center of Naples on June 23rd, 1668 . His family was poor, and Giambattista was the sixth of eight children (Auto 215-6). Vico recounts that at the age of seven he fell from the top of a ladder, probably in his father’s bookshop, and seriously injured his head. He had to spend three years recovering from the injury (Auto 111), and for most of his life he complained of bouts of ill health.

Upon his recovery, Vico studied scholastic philosophy and jurisprudence. He worked with a number of Jesuit tutors, but as he grew older he taught himself these traditions (Auto 118). From 1686 to 1695, Vico worked as a tutor for the Rocca family in Vatolla, approximately 100 kilometers from Naples. During this time, he gave up his study of scholastic philosophy, and concentrated on the study of Plato and poets such as Virgil, Dante and Petrarch (Auto 120-2). Vico depicts these years as a time when he lived in isolation and during which Naples was overrun by Cartesian scientists (Auto 132). However, Vico was in contact with Naples during this period, and he completed his law degree during this time.

In 1699, Vico became a professor of rhetoric at the University of Naples, a position he held until 1741. He also married and later had three children. In 1709, Vico published his first major work On the Study Methods of Our Time which was a defense of humanistic education. This was followed in 1710 by his work on metaphysics: On the Ancient Wisdom of the Italians Unearthed From the Origins of the Latin Language. This was intended to be the first part of a trilogy including a volume on physics and a volume on moral philosophy. However, he never completed the remaining volumes. During this period, Vico recognized four authors as his most important influences: Plato, Tacitus, Grotius and Bacon.

Vico’s job as a professor of rhetoric was primarily to prepare students for law school; however, he desired to be promoted to the superior position of professor of law. To achieve this goal, he published his longest work, in three volumes, from 1720 to 1722, generally referred to as Universal Law (Il Diritto Universale). However, due to political circumstances, he was defeated in the contest for the chair, despite having superior credentials and doing better in the oral competition for the job (Auto 163-4).

Vico then abandoned his search for a chair of law and dedicated himself to explicating his own philosophy. To reach a wider audience, he began to write in Italian instead of Latin. In 1725 he published the first edition of his major work, New Science. Vico was dissatisfied with that text, however, and in 1730 published a radically different second edition. He continued to revise that text throughout his later years and the variation that was published in 1744 is considered his definitive work.

Vico sent copies of his works to influential thinkers in other parts of Europe. While he had little success achieving fame in the north, he did make a large impact in Venice. In 1725, Vico was contacted by a Venetian journal that was going to publish a series of essays written by scholars about their lives; he was the first and only contributor to the series. He updated his essay a few times and had it published as his Autobiography.

Vico did have some political influence in his later years. In 1734 Naples was retaken by the Spanish from the Austrians who had ruled it from 1704. The new viceroy named Vico the Royal Historiographer of Naples. Due to failing health, Vico’s son Gennaro took his chair of rhetoric in 1741 and Giambattista Vico died in 1744.

2. Early Works

a. Vico as Anti-Cartesian and Anti-Enlightenment

Vico is rightfully cast as a counter-Enlightenment thinker. In the face of the Enlightenment emphasis on doing natural science through the search for clear and distinct ideas, Vico saw himself as a defender of rhetoric and humanism. Many of Vico’s ideas are most easily grasped through a contrast with Cartesian rationalism and specifically Descartes’ emphasis on the geometric method. However, it is unclear exactly the extent to which Vico disagreed with the overall project of the Enlightenment. In a number of respects, Vico engaged in the same type of philosophical investigations as other eighteenth-century thinkers. He calls his main work a ‘science’, and claims Bacon as a major influence. Vico searched for a universal mental dictionary, and his science may be seen as its own type of encyclopedia. Further, recent scholarship suggests that Vico was heavily influenced by Malebranche. So while there is absolutely no question that Vico remains a staunch defender of ancient rhetoric, how much of the rest of the Enlightenment he rejects is a question.

The main debate between Vico and Descartes is over the value of the imagination and of rhetoric. In the opening of the Discourse on Method, Descartes rejects rhetoric and culture as sources of certainty. This implies, for Descartes, that there really is no value for these institutions. If one can state an idea clearly, then there is no need for rhetoric to defend it. While Descartes’ view was probably more subtle than this, as Cartesian science swept into Naples people began teaching children math and critique at the expense of training imagination.

Vico would devote most of his writings to stemming this tide by defending the importance of rhetoric. Vico began this defense in the Study Methods by claiming that children should develop their imaginations when they are young. This defense would continue in different forms until the New Science when Vico articulated the poetic wisdom which is an entire way of thinking based on the imagination and rhetoric. These points will be articulated below.

b. On the Study Methods of Our Time

As professor of rhetoric, Vico was required to give inaugural orations each academic year. His first six orations are an extended defense of the study of virtue and the liberal arts; these orations have been translated and given the title On Humanistic Education. The seventh oration was expanded by Vico and published by him as a small book entitled On the Study Methods of Our Time. The subject of the work was to determine the best method by which to educate people: the Ancient method that emphasizes rhetoric and imagination; or the Cartesian method that emphasizes conceptual thought. His conclusion is that both methods are important (SM 6). However, because Vico actually defends the value of the Ancient method against the Cartesian method (which rejects the value of the ancient tradition), this work is seen as a cornerstone of Vico’s counter-Enlightenment stance.

Vico defines a study method as having three parts. The instruments are the systematic order by which the course of study progresses. The aids are the tools one would use along the course of study such as the books to read. The aims are the goals of the study (SM 6-8).

Vico spends the majority of the work criticizing the modern instruments of learning in favor of the ancient ones. The modern Cartesian method teaches the method of philosophical critique which concentrates on teaching students how to find error and falsity in one’s thinking. The emphasis is on critiquing ideas by finding weaknesses in their foundation (SM 13).

The ancient instrument is the art of topics. This is the art by which one uses the imagination to find connections between ideas. This art shows students how to make new arguments rather than critiquing the arguments of other people. In Aristotelean logic, it emphasizes finding middle terms in order to create persuasive syllogisms. Further, it shows how a speaker can find a connection with an audience that will make a speech persuasive (SM 14-16).

For Vico, the argumentis over whether to teach children to find faults with arguments or to create arguments imaginatively; he argues that both are necessary. However, it is essential to teach children the art of topics first. This is because children have naturally strong imaginations. This needs to be developed early. After the children have developed these strong imaginations, then they can learn Cartesian critique (SM 13-14).

Vico suggests it is vital to develop the imagination of children because imagination is essential for doing ethics. The Cartesian method is effective in those instances where geometric certainty may be found. However, in most ethical situations, this certainty will not be possible. In these cases, the art of topics is vital because it allows one to recognize the best course of action and persuade others to pursue that course. Prudent individuals are those who can use their imaginations to uncover new ways of looking at a situation rather than critiquing a pre-existing belief. So the imagination and the art of topics are vital for prudence in a way that the Cartesian method cannot satisfy (SM 33-34). This is Vico’s first attempt to defend the power of rhetoric against Descartes.

c. On the Ancient Wisdom of the Italians Unearthed from the Origins of the Latin Language

i. The Verum-Factum Principle

Perhaps the greatest significance of the Ancient Wisdom lies in its presentation of the verum-factum principle. This and the ideal eternal history are Vico’s two most famous ideas. The verum-factum principle holds that one can know the truth in what one makes. Vico writes, “For the Latins, verum (the true) and factum (what is made) are interchangeable, or to use the customary language of the Schools, they are convertible (Ancient Wisdom 45).”

This presents a serious challenge to Cartesian science. The Cartesians had always assumed that the natural world provided certain ideas while the human world — the world of culture — was uncertain. This principle turns that around. Because God made the natural world, only God can know it. Humans can understand the human world because humans made it. This provides the foundation for the New Science since it suggests that the true focus of science should be the human world not the natural world.

While Vico couches this in an etymology, he does provide another justification for it. Descartes famously used “I think therefore I am” to provide a first principle that refutes skepticism. Vico claims that this does not work because it does not entirely address the challenge of the skeptics. The skeptic knows that he or she exists. The skeptic does not, however, know anything significant about that existence because the skeptic cannot know the cause of his or her ideas (AW 55). The verum-factum principle solves the skeptic’s problem by explaining that since we are the cause of what we make, we can know what was made. Since humans have made the civil world, they can understand the cause of the civil world and know the truth about it. Thus the skeptic, who claims knowledge is impossible, is incorrect because it is possible to know the truth about what humans have made. For Vico, making something becomes the criteria for knowing the truth about it (AW 56).

It is important to note that Vico does not appear to hold that the only truth humans can know is of what humans make. Especially in his later writings, Vico holds that through the world humans make, humans can witness eternal truths such as the ideal eternal history and the verum-factum principle itself. The verum-factum principle ought to be read in conjunction with the verum/certum principle outlined in the Universal Law and discussed below (Verene, 1981, 56-7).

ii. Metaphysical Points and the Attack on Cartesian Stoicism

The majority of the Ancient Wisdom is spent on a metaphysics that culminates in Vico’s idea of metaphysical points. Vico regarded Descartes as a stoic who held a mechanistic view of the universe. Descartes himself was a dualist; however, Vico is looking at the Cartesian scientists who followed Descartes and saw in them an abandonment of any ultimate truth as well as a reduction of existence to the motion of bodies. Vico links this metaphysical view to the ethical stoic view that deemphasizes both freedom and the hope of finding transcendent wisdom. He argues for a dualistic view that establishes a strong separation between the physical and eternal. This allows for a Platonic ethics which calls for philosophers to move from the physical to witnessing a higher realm.

In the Ancient Wisdom, Vico tries to justify this separation by arguing that the physical world cannot move itself. The only source of motion is not found in the physical but in the infinite. The infinite lacks motion but can provide motion to the world through metaphysical points, those places in which the infinite provides motion (conatus) to the physical. Vico again provides a fanciful etymology for this, claiming that the Latin words for point and momentum were synonymous since both refer to indivisible entities (AW 69). While Vico attacks Descartes’ stoicism throughout his writings, it is unclear to what extent Vico retains to this particular metaphysical view.

iii. Vico’s Use of Etymology

The Ancient Wisdom is one of Vico’s first major attempts to use etymology as a philosophical tool. Vico claims that by understanding the origin of words, it is possible to understand an ancient wisdom that has valuable insight. In the Ancient Wisdom, this insight is into metaphysical truth. In the later works, these etymologies reveal the nature of human laws and customs. He often takes the names of mythological gods or Roman legal terms and uses them to derive lessons from the origins of these words. This use of etymology is consistent with Vico’s overriding goal of demonstrating that ancient wisdom is valuable and requires careful attention on the part of the reader.

These etymologies are almost always extremely problematic given later research that has been done on the origin of languages, which undercuts Vico’s interpretation. This presents a serious problem for people trying to find philosophical merit in Vico’s texts. However, two things are worth keeping in mind when looking at Vico’s etymologies and his later analysis of myth. First, Vico usually provides other forms of demonstration to make his points rather than just relying on etymology. Their failure rarely represents a serious undermining of the entire system. Second, Vico is trying to do philosophy in a new way that involves making connections rather than making Cartesian distinctions. It may be worth engaging these etymologies to see how Vico imaginatively constructs these connections without worrying as much about the validity of the etymologies. One does not want to be too apologetic for Vico; however, there are reasons for not dismissing his system entirely solely on the basis of the etymologies.

3. Vico and Jurisprudence

a. The Universal Law (Il Diritto Universale)

The Universal Law has been neglected in Vico scholarship because of its complexity and because it has only recently been translated into English. However, its three volumes taken together represent Vico’s longest work: On the One Principle and one End of Universal Law, On the Constancy of the Jurisprudent and Dissertations. It is often referred to as Il diritto universale. This is because the term diritto signifies a universal structure of law as opposed to legge which refers to particular laws made by particular individuals. English does not make this distinction.

The goal of this work is to show that all truth and all law (diritto) comes from God (On the One Principle 50, 54). Hence, he wants to demonstrate that there is truly one universal law in history. To do this, he needs to show that while there are different manifestations of the one law, they are all reducible to the one eternal law. He is not concerned with how one particular law (legge) may or may not fit the system, because there will be instances where bad judges make bad decisions. However, this does not mean that all law (diritto) is arbitrary. Indeed, Vico holds that there is still a consistency to history that reveals how God’s divine providence orchestrates the enactment of the natural law through the civil law.

The majority of the work consists in trying to understand the ways in which different societies in history enacted the eternal law differently. He does this through fanciful etymologies and extended interpretations of Roman law. This work has many of the same characteristics of the New Science but lacks a full explanation of the poetic wisdom underlying ancient myths.

b. The Verum/Certum Principle

The essential companion to the verum-factum principle is the verum/certum principle. Vico writes, “The certain is part of the true (On the One Principle 90).” This, as much as the verum-factum principle, represents Vico’s attitude toward history. By certain, Vico means the particular facts of history. So the principle is saying that by looking at particular facts of history, it is possible to discover universal truth. This principle justifies Vico’s use of philological and historical evidence to make metaphysical claims.

Not all certa are part of the true, however. Because humans are free, they can make bad choices. So legislators are capable of passing bad laws as well as good laws. When a choice is made contrary to reason, a certum occurs that does not connect with universal truth (On the One Principle 90). At other times, these laws are rational and therefore part of the true. So when the philosopher tries to deduce the verum from the certum, the primary difficulty is in establishing which certa represent rational and true choices and which are bad certa and ought to be disregarded.

Vico sees laws as being rational when they are in accord with public utility (On the One Principle 91). A legislator’s laws are certain not because of a direct insight into the mind of God; rather, divine providence orchestrates history such that when legislators make decisions they find useful, they are unknowingly doing the work of divine providence (On the One Principle 65). In order to understand the eternal law, then, one has to first understand the necessity that different legislators faced through history. By understanding their responses one can see the motion of divine providence. So Vico does not grasp universal truth through a direct analysis of God’s will but rather by analyzing the way in which necessity led legislators to produce the institutions of history.

c. The Natural Law and the Law of the Gentes

Vico defines the natural law by writing “the natural law proceeds from choosing the good that you know to be equitable (On the One Principle 66).” This law does not change; however, the way in which utility constitutes what it means to be equitable does change. Early in human history it is more equitable to give the rulers more power and more wealth to control the weak. As the need for this control lessens, wealth becomes distributed more evenly.

At the origin of humanity, there were families in which the fathers used violence and religious ritual to control their children. While the private law of the fathers was harsh, it gave stability to the families. These fathers were independent of each other and had no reason to fight. All the violence was directed internally in order to control their children.

Eventually, wandering people who did not have their own families and did not have anything checking their passions, wanted to benefit from the protection of the fathers. This created a practical problem for the fathers because they wanted to use the stragglers for their own ends but were afraid of revolution. Fathers from different families banded together to create the law of the greater gentes — clans or tribes — as a way of suppressing the newcomers (On the One Principle 97). Again, the fathers, who now constitute an aristocracy of nobles or heroes, are not particularly worried about fighting each other; they were worried primarily about controlling this new lower class of people.

Two things are of immediate significance in Vico’s account. First, Vico makes a strong connection between public law and private law. Indeed, the private law of the families leads to the public law of the nobles. Second, Vico is making an important case against social contract theory. Rather than society forming by an agreement of all its members, society is formed by the aristocrats who then, out of a sense of utility, impose a violent rule. Social contract theory does not make sense for Vico because it would take humans a long time to develop the ability to reason through such an agreement.

Much of the rest of Vico’s Universal Law explains history as an extended class struggle between the heroes who descended from the first fathers and the plebeians who descended from those who wandered into the gentes. Vico examines at length both ancient Roman myths and ancient Roman jurisprudence to show how utility, generated through the work of divine providence, directed this struggle. The detail with which Vico engages in this project is extraordinary. It is significant that Vico is unclear as to how this class struggle ends. He praises the Romans for their sense of virtue and the Law of the XII Tables (On the Constancy 257-276). However, what this means for the course of history is left unclear. Vico would not present his answer to this until he wrote the New Science.

4. The New Science

a. The Conceit of Nations and the Conceit of Scholars

The main problem Vico saw with the Universal Law is that it failed to portray clearly the origin of society. To grasp that origin, Vico developed a new critical art to reveal how the most ancient humans thought. This art rested on recognizing two conceits. Both of these conceits can be traced to a principle which Vico finds in Tacitus: “Because of the indefinite nature of the human mind, whenever it is lost in ignorance man makes himself the measure of all things (NS 120).” This axiom not only serves as a basis for these conceits but also the whole of poetic wisdom.

The conceit of nations holds that every nation thinks it is the oldest in the world and that all other nations derived their wisdom from them (NS 125). Because one nation does not understand the origin of others, it assumes all other nations learned from it. This conceit prevents nations from realizing that every nation actually had its own independent origin. Thus, they fail to realize that similarities between cultures do not indicate a common origin but instead indicate universal institutions that are necessary for all cultures.

The conceit of scholars is that scholars tend to assume that everyone thinks in the same way that contemporary scholars do (NS 127). This conceit has kept scholars from understanding both ancient mythology and ancient jurisprudence. By assuming the ancients thought the same way as moderns do, the scholars assume that ancient mythology is simply bad science and superstition. What the modern scholars fail to grasp is that the ancients actually were solving different problems in a radically different mental framework. The ancients were doing what they found to be useful; however, their way of thinking indicated radically different ideas of what was necessary and how to get it.

It is the conceit of scholars that thus provides the basis for the claim that Vico was the first true philosopher of history and an anticipation of Hegel. He was the first to try to explain how people thought differently in different eras. Further, he tries to show how one form of thinking led into another, thereby creating a cycle of history.

b. The New Critical Art and the Poetic Wisdom

In order to overcome the prejudice of the conceit of scholars, Vico created a new “metaphysical art of criticism (NS348).” This art goes beyond the philological art of criticism which simply verifies the authenticity of particular facts. This new art distinguishes the truth in history from the accidental — as dictated by the verum-certum principle — by grasping the manner in which the first humans thought. This will allow the philosopher to witness the universal truth of the ideal eternal history, described below. While Vico does not clearly define this critical art, it is marked by elements he has always been working with: using rhetoric, creative etymologies and seeing connections rather than making distinctions.

The art reveals the way the first humans thought, which Vico calls ‘poetic wisdom’. Vico uses the term wisdom to emphasize that this way of thinking has its own truth or validity that contemporary conceptual thinkers do not recognize. It is poetic because it is marked by imaginative creativity rather than discursive analysis.

Vico holds that poetic wisdom is fundamentally different from modern wisdom. The fundamental difference between the two is that modern wisdom uses reflection to create concepts while the poetic wisdom does not reflect but spontaneously generates imaginative universals which are described below. The poetic wisdom generates a common sense that is shared by an entire peoples (NS 142).

c. Vico’s Method

Vico places his new critical art in the context of a more general method for his New Science. The section of the New Science entitled ‘Method’ is a sharp departure from any sort of Cartesian science. It in no way involves the rigorous and clear movement from premises to conclusions advocated by Descartes. Instead, Vico describes three different types of proofs that will be employed by the science: 1) theological proofs which witness the movement of divine providence; 2) philosophical proofs which are based on the uniformity of poetic wisdom; and 3) philological proofs which recognize certain elements of history. These proofs rely more on recognizing the way in which ideas have to fit together to reveal hidden or divine patterns. The method of the science is to bring all these proofs together in a way that produces a coherent and true narrative. Vico writes, “We make bold to affirm that he who meditates this Science narrates to himself this ideal eternal history so far as he himself makes it for himself by that proof ‘it had, has, and will have to be’ (NS 348).” Rather than a Cartesian conceptual scheme, Vico’s science is one in which truth is attained by imaginatively linking different elements together to reveal the order of history.

An important example of the method of the New Science is revealed in Vico’s use of axioms (degnità). Traditionally, axioms have a fixed place in the order of geometric proofs following directly from definitions and proofs. Vico intends his axioms to be weaved imaginatively throughout all the ideas of the text (Goetsch). Vico describes this with this analogy, “just as the blood does in animate bodies, so will these elements (degnità) course through our Science and animate it (NS 199).”

d. The Ideal Eternal History

While the conceit of scholars may be what is at the core of Vico’s significance, the ideal eternal history is, along with the verum-factum principle, Vico’s most famous concept. The ideal eternal history can be thought of loosely as a Platonic ideal. Stated in the abstract, the ideal eternal history is the perfect course through which all nations pass. In practice, each nation travels through it slightly differently.

Vico describes this ideal eternal history most colorfully when he gives this axiom: “Men first felt necessity, then look for utility, next attend to comfort, still later amuse themselves with pleasure, thence grow dissolute in luxury, and finally go mad and waste their substance (NS 241).” It is possible in the quote to see the same emphasis on utility that Vico had in the Universal Law. However, what changes is that this history is now presented clearly as a circular motion in which nations rise and fall. Nations eternally course and recourse through this cycle passing through these eras over and over again.

Vico divides the ideal eternal history into three ages which he adopts from Varro. Vico first used these three ages in the Universal Law but now he presents it with more clarity. Indeed, Book IV of the New Science is a comparison of how different human institutions existed differently in the three ages of history. Clearly the history of Rome is again Vico’s primary model for the ideal eternal history.

The first age is the age of gods. In this age, poetic wisdom is very strong. Again, there is an aristocracy of fathers who know how to control themselves and others through religion. These fathers, which Vico calls theological poets, rule over small asylums and the famuli who are wandering outsiders who come to them seeking protection. The famuli is the term Vico now uses for those who wandered into the lands of the fathers in the Universal Law.

The second age is the age of heroes. In this age, the famuli transform from being simple slaves to plebeians who want some of the privileges of the rulers. The theological poets transform into heroes. These heroes show their strength by fighting each other as illustrated in Homer. However, for Vico, the most important conflict is not between the heroes but between the heroes and the plebeians fighting for their own privileges.

The third age is the age of humans. Divine providence orchestrates the class wars so that the heroes inadvertently undermine themselves by conceding certain powers to the plebeians. The plebeians are able to build these concessions in order to advance a new way of thinking. In the previous ages, society was ruled by poetic wisdom which controlled all actions through ritual. In order to undermine the power of these rituals, the plebeians slowly found ways to assert the power of conceptual wisdom, which is the ability to think scientifically and rationally. This way of thinking gives the plebeians more power and removes the stranglehold of poetic wisdom on humanity.

Unfortunately, while this conceptual wisdom gives the plebeians their freedom, it undermines the cultural unity provided by poetic wisdom. While all in society become free and equal, the religious inspiration to work for the common good rather than the individual becomes lost. Society eventually splinters into a barbarism of reflection in which civil wars are fought solely for personal gain. This is the barbarism of reflection which returns society to its origin.

One of the major debates about the ideal eternal history is whether it is a circle or a spiral. Those who suggest that it is a spiral hold that each time a nation goes through the ideal eternal history, it improves. Those who suggest it is a circle hold that each cycle of the ideal eternal history really does reduce it back to its beginning. Unfortunately, this appears to be an instance where Vico had to remain silent because, had he tried to resolve the issue, he would have had to make some sort of comment on the relation of the church to society which he was not prepared to do. As a result, the debate about how best to read the ideal eternal history continues.

e. The New Science and the Roman Catholic Church

It is helpful to note that during Vico’s life and especially during the production of the New Science, the Inquisition was quite active in Naples. The Inquisition put some Neapolitain works on the Index and tried close friends of Vico (Bedani, 7-21).

What this means for Vico’s faith is unclear; however, it seemed to cause Vico to make a very important and awkward decision. Vico claims that while the ideal eternal history applies to all gentile nations, it does not apply to the Hebrews. This is because the Hebrews always had the revealed wisdom of God and did not need the pattern of the ideal eternal history to develop (NS 369). Hence, Vico leaves out any discussion of the Bible or any evidence about early Judaism as he constructs his science. As illustrated by The Universal Law, Vico clearly held that God existed and that it is God’s order that history passes through. So there is good reason to think Vico had a theistic foundation. It is unclear, however, whether Vico really held that the Hebrews were exempt from the Ideal Eternal History or if this was just a way of avoiding the Index.

f. The Three Principles of History: Religion, Marriage and Burial

Vico uses his new critical art to provide a better account of the origin of society than provided in The Universal Law. Vico explains the three principles of history: religion, marriage and burial. These are principles both in the sense that they are the first things in society and in that they lie at the core of social existence.

Vico posits that before human society there were giants roaming the earth who had no ability to check their violent passions. Eventually, a thunder strike occurred that was so violent it caused some of the giants to stop their passionate wanderings. These giants felt a fear that was unique because unlike a natural danger, it was produced by a cause the giants did not recognize (NS 377, 504). Since the giants did not understand the cause of the fear, other than the sky, they took what they knew (which was their own passion) and attributed it to a giant who lived in the sky. This gave birth to Jove, the first imaginative universal, which is discussed below.

Out of this terror, giants felt shame for the first time. Specifically, they were ashamed about copulating randomly and out in the open. Vico writes, “So it came about that each of them would drag one woman into his cave and would keep her there in perpetual company for the rest of their lives (NS 504).” This created the second imaginative universal, Juno. It also caused the giants to settle down in a particular area. They saw the need to keep this area clean so they began to bury their dead.

There is no question that this account of the origin of humanity is peculiar. Nevertheless, Vico finds the account satisfying because it does not place any rational decision making at the origin of society. Society does not develop in a social contract but in the spontaneous checking of passions that produces poetic wisdom.

g. The Imaginative Universal

The bulk of the New Science is the description of Poetic Wisdom. This is the way of mythic thinkers at the origin of society. It is also the manner of thinking that dominated society until the plebeians gained control of society through the class struggle. Vico goes into detail explaining things such as the poetic metaphysics, poetic logic, poetic economics and poetic geography. Throughout this section, Vico spells out the details of the development of the age of gods and then the breakdown of the age of heroes into the age of humans.

In this section, Vico explains his perhaps most controversial notion: what he calls the imaginative universals or the poetic characters. Some scholars, most notably Benedetto Croce, hold that this notion is a tragic problem on Vico’s part and is best ignored. Other scholars use the imaginative universal as a way to defend Vico as a champion of the philosophical need to use imagination and rhetoric. Vico himself saw the imaginative universal as the ‘master key’ to his New Science which seems to make the topic worth investigating (NS 34).

The imaginative universals are tricky to grasp, but two fairly non-contentious axioms can help provide a background. The first is that first language would be a combination of mute gestures and rudimentary, monosyllabic words (NS 225, 231). The second is that “Children excel in imitation; we observe that they generally amuse themselves by imitating whatever they are able to apprehend (NS 215).” This is connected to Vico’s notion that people grasp what they do not understand by relating it to something familiar. In the case of children, they use their powerful imaginations to understand things by copying their movements.

Vico speculates that the first humans must have had minds that resembled children. So, when they first started to use language, rather than naming objects conceptually, they imitated those objects with mute gestures and monosyllabic cries. Thus, when the thunder struck, the first people imitated the shaking of the sky and shouted the interjection pa (father) thereby creating the first word (NS 448).

This makes imaginative universals quite distinct from intelligible universals. An intelligible universal would be constructed through an act similar to what we would ordinarily think of as ‘naming’. An imaginative universal is created through the repeated imitation of an event. Words are merely the associated sound that goes with that imitation. So, for Vico, the first words were actually rituals that served as metaphors for events.

A helpful passage for understanding this is found in Axiom XLVII. Vico writes, “Thence springs this important consideration in poetic theory: the true war chief, for example, is the Godfrey that Torquato Tasso imagines; and all the chiefs who do not conform throughout to Godfrey are not true chiefs of war (NS 205).” The imaginative universal, Godfrey, is the name used for anyone who performs the rituals of the true war chief. All true war chiefs actually become Godfrey through their actions. Vico applies this principle to the gods of the Roman pantheon. For example, anyone getting married becomes Juno and anyone practicing divination becomes Apollo. The bulk of the section on the poetic wisdom in the New Science endeavors to demonstrate how the first societies managed to create institutions solely through the use of these imaginative universals.

Many readers find Vico’s account of the imaginative universal utterly baffling. Vico’s challenging writing style, combined with the fanciful way in which he interprets ancient myths, make this section of the New Science a mystery for first-time readers. However, in approaching this section, it is helpful to remember that Vico holds that this type of thinking is by definition distinct from our more common way of reflective thought. Further, there are contemporary anthropologists who see Vico as a precursor to their discoveries. Ultimately, Vico’s idea may not really be so far-fetched.

h. The Discovery of the True Homer

Book III of the New Science contains one of Vico’s most remarkable insights. Vico was among the first, if not the first, to hold that Homer was not one individual writing poems but was a conglomeration of different poets who expressed the will of the entire people. His arguments for this are a combination of philological claims which show that there are many disparate elements in the work, as well as philosophical claims that when the work was composed, people could not have been using modern wisdom to write it as a modern epic.

Vico’s motivation for this reading of Homer is his quest to find a metaphysical truth to history. If the works of Homer were written by one person, then the truths held in it would be arbitrary. However, Vico argues that Homer’s poems spring from the common sense of all the Greek people. Therefore, the poems represent institutions universal to a culture that can then be used to justify universal truths. Whereas in the Universal Law, where Vico examined Roman law to see its universality, he has now replaced that idea with Homer’s poems since those poems date back earlier than the law.

i. The Barbarism of Reflection

The brief conclusion of the New Science largely pays homage to the glory of divine providence. Within it, Vico gives a brief statement about the barbarism of reflection. As indicated in the section on the Ideal Eternal History, Vico sees that history is cyclical. Vico claims that history begins in a barbarism of sense and ends in a barbarism of reflection. The barbarism of reflection is a returned barbarism in which the common sense established by religion through poetic wisdom holding a society together has been broken down by individual interests. The interests are spurred because individuals each think according to their own conceptual scheme without concern for the society, which makes it barbaric.

Vico describes the returned barbarism this way, “such peoples [in the barbarism], like so many beasts, have fallen into the custom of each man thinking only of his own private interests and have reached the extreme delicacy, or better of pride, in which like wild animals they bristle and lash out at the slightest displeasure (NS 1106).” These private interests lead into a civil war in which everyone betrays everyone else. This takes humanity back to where it started — individual giants acting solely on their own individual passions.

Unfortunately, Vico does not give a clear ethical position on what to do in the face of the barbarism of reflection. He wrote a section of the New Science called a Practic but decided not to include it. Clearly, Vico wants his readers to recognize universal truth and appreciate a rhetorical approach to philosophy. But, what this means in particular for an ethical theory is a matter of some debate.

5. Autobiography

Vico’s Autobiography is worthy of philosophical investigation. It was written by the invitation of a journal which was going to publish a series of essays by scholars describing their lives. Vico was the only one to contribute to the series. The journal was published in 1725 and he updated it in 1728 and 1731.

On one level, the Autobiography contains the basic facts of his life recounted above. However, it seems clear that Vico does have an important philosophical agenda that goes beyond any attempt to recount simply the facts of his life. The most immediate piece of evidence for this is that on the first line Vico gets the year of his birth wrong. He gives it as 1670 rather than 1668. Given how easy it would be to access his baptism records in Naples, it is entirely possible that Vico intended his audience to know he was being imprecise, and perhaps imaginative, when he composed his Autobiography.

One way of reading the Autobiography is as a further attack on Descartes. The Autobiography itself highlights his conflict with the Cartesians of Naples. Further, rather than using the first person, as Descartes does in the Discourse on Method, Vico refers to himself in the third person. The fact that Vico willfully gets his birth date wrong could be an indication that he dismisses Descartes’ calls for certainty.

Beyond that, there appear to be strong parallels between Vico’s task in the Autobiography and in the New Science. Returning to the verum-factum principle, Vico claims that the task of the New Science is not simply to retell the facts of history. Instead, it is to understand the workings of divine providence in this history by remaking it. As quoted above in the section on Method, Vico emphasizes that to witness the ideal eternal history, the reader must make it for oneself (NS 349). In saying this, Vico turns the entire New Science into a text that could be thought of as a type of fable. In the Autobiography, Vico, rather than giving a strictly accurate account of his life, makes a fable which actually parallels some elements of the ideal eternal history. For example, Vico’s fall in the bookstore may parallel the thunderstrike of Jove. Regardless of how strict this parallel is, Vico appears to be consciously applying some of his philosophical principles to his Autobiography (Verene 1990).

The Marquis of Villarosa wrote a conclusion to the Autobiography in 1818. He relates an odd story about Vico’s funeral. When Vico died, two groups, the professors at the University of Naples and the Confraternity of Santa Sophia, both wanted to carry the coffin to its resting place. A dispute broke out which could not be resolved. As a result, both sides abandoned the coffin and left. Vico was buried by officers of the Cathedral the next day (Auto 207-8).

6. References and Further Reading

Italian Editions of Vico

The standard Italian edition of Vico is: Opere di G. B. Vico, ed. Fausto Nicolini, 8 vols. (Bari: Laterza, 1911-1941). However, two other editions are being used more regularly. The first is: Vico, Giambattista. Opere, ed. Andrea Battistini, 2 vols. (Milan: Arnoldo Mondadori Editore, 1990). The second is a multi-volume edition edited by Paolo Cristofolini and published by Alfredo Guida under the auspices of the Instituto per la Storia del Pensiero Filosofico e Scientifico Moderno and the Centro di Studi Vichiani. This is an effort to systematically release all the works of Vico.

English Editions of Vico

  • The following are the English translations of Vico referred to in this article.
  • Vico, Giambattista. The Autobiography of Giambattista Vico. Translated by Thomas Goddard Bergin and Max Harold Fisch. Ithaca, N.Y.: Cornell University Press, 1983.
  • Vico, Giambattista. The First New Science. Edited and Translated by Leon Pompa. Cambridge: Cambridge University Press, 2002.
  • Vico, Giambattista. The New Science of Giambattista Vico (1744 edition). Including the “Practic of the New Science.” Translated by Thomas Goddard Bergin and Max Harold Fisch. Ithaca, N.Y.: Cornell University Press, 1984.
  • Vico, Giambattista. On Humanistic Education (Six Inaugural Orations, 1699-1707) from the Definitive Latin Text, Introduction and Noted of Gian Galeazzo Visconti. Translated by Georgio A. Pinton and Artuhur W. Shippee. Introduction by Donald Phillip Verene. Ithaca, N.Y.: Cornell University Press, 1993.
  • Vico, Giambattista. On the Most Ancient Wisdom of the Italians, Unearthed from the Origins of the Latin Language. Including the Disputations with the Giornale de’ Letterata d’Italia. Translated with an Introduction and Notes by L. M. Palmer. Ithaca and London: Cornell University Press, 1988.
  • Vico, Giambattista. On the Study Methods of Our Time. Translated by Elio Gianturco. Reissued with a Preface by Donald Phillip Verene, and including “The Academies and the Relation between Philosophy and Eloquence,” Translated by Donald Phillip Verene. Ithaca, N.Y.: Cornell University Press, 1990.
  • The Universal Law was translated by John D. Schaeffer and recently published in the following three separate volumes of New Vico Studies.
  • Vico, Giambattista. On the One Principle and One End of Universal Law. Translated by John D. Schaeffer. New Vico Studies vol. 21, 2003.
  • Vico, Giambattista. On the Constancy of the Jurisprudent. Translated by John D. Schaeffer. New Vico Studies vol. 23, 2005.
  • Vico, Giambattista. Dissertations [from the Universal Law]. Translated by John D. Schaeffer. New Vico Studies vol 24, 2006: 1-80.

Other Works Cited

  • Bedani, Gino. Vico Revisited: Orthodoxy, Naturalism and Science in the Scienza Nuova. Oxford: Berg, 1989.
  • Goetsch, James Robert. Vico’s Axioms: The Geometry of the Human World. New Haven: Yale University Press, 1995.
  • Verene, Donald Phillip. The New Art of Autobiography: An Essay on the Life of Giambattista Vico. Oxford: Clarendon Press, 1991.
  • Verene, Donald Phillip. Vico’s Science of the Imagination. Cornell: Cornell University Press, 1981.

Bibliographies on Vico

Benedetto Croce published a bibliography of works on Vico in 1904. This was updated by Fausto Nicolini in 1948. This bibliography was further updated: Donzelli, Maria. Contributo alla bibliografia vichiana (1948-1970). Naples: Guida Editori, 1973. And updated again: Battistini, Andrea. Nuovo contributo alla bibliografia vichiana (1971-1980). Studi vichiani 14. Naples: Guida 1983. Updates to this bibliography have been published as supplements to the Bolletino del Centro di Studi Vichiani.

For works in English, this volume compiles works on Vico as well as works citing Vico: Verene, Molly Black. Vico: A Bibliography of Works in English from 1884 to 1994. Bowling Green, OH: Philosophy Documentation Center, 1994. Supplements to this bibliography which update it from 1994 to the present have been appearing in New Vico Studies.

Author Information

Alexander Bertland
Email: bertland@niagara.edu
Niagara University
U. S. A.

Qualia

Qualia are the subjective or qualitative properties of experiences. What it feels like, experientially, to see a red rose is different from what it feels like to see a yellow rose. Likewise for hearing a musical note played by a piano and hearing the same musical note played by a tuba. The qualia of these experiences are what give each of them its characteristic “feel” and also what distinguish them from one another. Qualia have traditionally been thought to be intrinsic qualities of experience that are directly available to introspection. However, some philosophers offer theories of qualia that deny one or both of those features.

The term “qualia” (singular: quale and pronounced “kwol-ay”) was introduced into the philosophical literature in its contemporary sense in 1929 by C. I. Lewis in a discussion of sense-data theory. As Lewis used the term, qualia were properties of sense-data themselves. In contemporary usage, the term has been broadened to refer more generally to properties of experience. Paradigm examples of experiences with qualia are perceptual experiences (including nonveridical perceptual experiences like hallucinations) and bodily sensations (such as pain, hunger, and itching). Emotions (like anger, envy, or fear) and moods (like euphoria, ennui, or anxiety) are also usually taken to have qualitative aspects.

Qualia are often referred to as the phenomenal properties of experience, and experiences that have qualia are referred to as being phenomenally conscious. Phenomenal consciousness is often contrasted with intentionality (that is, the representational aspects of mental states). Some mental states—for example, perceptual experiences—clearly have both phenomenal and intentional aspects. My visual experience of a peach on the kitchen counter represents the peach and also has an experiential feel. Less clear is whether all phenomenal states also have intentional aspects and whether all intentional states also have phenomenal aspects. Is there really something that it is like to have the belief—even the occurrent belief—that there is a peach on the counter? What could be the representational content of the experience of an orgasm? Along these lines, the nature of the relationship between phenomenal consciousness and intentionality has recently generated considerable philosophical discussion. Some philosophers think that phenomenal consciousness reduces to intentional content, while others think that the reductive relationship goes in the other direction. Still other philosophers deny both claims.

From the standpoint of introspection, the existence of qualia seems indisputable. It has, however, proved remarkably difficult to accommodate qualia within a physicalist account of the mind. Many philosophers have argued that qualia cannot be identified with or reduced to anything physical, and that any attempted explanation of the world in solely physicalist terms would leave qualia out. Thus, over the last several decades, qualia have been the source of considerable controversy in philosophy of mind.

Table of Contents

  1. The Hard Problem of Consciousness
  2. Qualia and Functionalism
  3. Qualia and Physicalism
  4. Qualia and Representationalism
  5. Eliminativism about Qualia
  6. Naturalistic Dualism
  7. References and Further Reading

1. The Hard Problem of Consciousness

One of the most fundamental questions about the mind concerns its relationship to the body (and, more specifically, its relationship to the brain). This has become known as the mind-body problem. Although it dates back at least to Plato‘s Phaedo, the problem was thrust into philosophical prominence by René Descartes. In taking up these issues in his Meditations on First Philosophy, Descartes argued for a dualist view according to which the mind and the body are fundamentally different kinds of things: While the body is a material thing existing in space, the mind is an immaterial thing, one that altogether lacks spatial extension. In contrast to dualists, the materialists claim that everything that exists must be made of matter. Historically, materialism was associated with Thomas Hobbes. Starting in the twentieth century, this position has become known as physicalism, the claim that everything that exists—all things and all properties of things—must fundamentally be physical. Most philosophers today endorse some form of physicalism.

For some aspects of consciousness, it is relatively straightforward to see how they can be accommodated within a physicalist picture. Consider, for example, our abilities to access, report on, and attend to our own mental states. It seems reasonable to assume that as neuroscience progresses and we learn more and more about the brain, we will be able to explain these abilities in terms of neural mechanisms. Aspects of consciousness that can be explained in this way constitute what David Chalmers has referred to as the easy problems of consciousness. The assertion that these problems are easy does not mean that they have already been solved or even that we are close to finding solutions. As Chalmers explicitly notes, we should think of “easy” as a relative term. In most cases, we are still nowhere near having a complete explanation of the relevant phenomena. Rather, what makes the problems easy is that, even though the solutions to these problems probably still require decades or even centuries of difficult empirical investigation, we nonetheless have every reason to believe that we can reach them using the standard methods of cognitive science and neuroscience. (Chalmers 1995, 1996) Solving the problem of attention, for example, simply awaits the empirical identification of a relevant neural mechanism. But what kind of mechanism could account for qualia? Though we strongly suspect that the physical system of the brain gives rise to qualia, we do not have any understanding of how it does so. The problem of accounting for qualia has thus become known, following Chalmers, as the hard problem of consciousness.

The hard problem of consciousness relates quite closely to what Joseph Levine had previously referred to as the explanatory gap. Given the scientific identification of heat with the motion of molecules, there is no further explanation that needs to be given: “our knowledge of chemistry and physics makes intelligible how it is that something like the motion of molecules could play the causal role we associate with heat…. Once we understand how this causal role is carried out there is nothing more we need to understand.” (Levine 1983) In contrast, when we are told that pain is to be identified with some neural or functional state, while we have learned quite a bit, there is still something left unexplained. Suppose, for example, that we precisely identify the neural mechanism that accounts for pain—C-fiber firing, let’s say. Still, a further question would remain: Why does our experience of pain feel the way that it does? Why does C-fiber firing feel like this, rather than like that, or rather than nothing at all? Identifying pain with C-fiber firing fails to provide us with a complete explanation along the lines of the identification of heat with the motion of molecules.

Some philosophers have claimed that closing the explanatory gap and fully accounting for qualia is not merely hard but rather impossible. This position, often referred to as new mysterianism, is most closely associated with Colin McGinn. According to McGinn, we will in principle never be able to resolve the mystery of what it is about the brain that accounts for qualia. (McGinn 1989) A similar, though slightly weaker, view is held by Thomas Nagel. According to Nagel, we currently do not have the conceptual apparatus necessary to even begin to understand how physicalism might be true. In order to solve the hard problem of consciousness, we would have to undergo a complete overhaul of our entire conceptual apparatus—a conceptual revolution so radical that we cannot even begin to conceive what the resulting concepts would be like. (Nagel 1998) But other philosophers reject the pessimism of the new mysterians as unwarranted or premature. Chalmers, for example, suggests that an explanation of how consciousness relates to the physical, even if it does not reduce to it, may well be enlightening. (See Chalmers 1996, 379)

It is perhaps easiest to see why the hard problem of consciousness is so hard by looking at particular attempts to account for qualia. The following three sections review three different theories of mental states—functionalism, physicalism, and representationalism—and the problems they face in accounting for qualia.

2. Qualia and Functionalism

The contemporary debate about qualia was framed in large part by discussions of functionalism in the late 1960s and early 1970s. Some attention had earlier been paid to qualia in connection with type identity theory, the view that mental state types could be identified with physical state types (for example, the mental state type pain might be identified to the neural state type C-fiber firing). But it was with the emergence of functionalism as a theory of mind that the debate about qualia began to heat up.

The intuition underlying the functionalist view is that the function of a mental state is its defining feature. Mental states are defined in terms of the causal role that they play in the entire system of the mind—that is, in terms of their causal relations to sensory stimuli, behavioral outputs, and other mental states. By defining mental states in this way, functionalism avoids many of the objections aimed at philosophical behaviorism, an early 20th century theory of mental states that defines them simply in terms of their input-output relations. Moreover, because a causal role can be defined independently of its physical realization (that is, because functional states are multiply realizable), functionalism avoids many of the objections aimed at the type identity theory. Rather than define pain in terms of C-fiber firing, functionalism defines pain in terms of the causal role it plays in our mental life: causing avoidance behavior, warning us of danger, etc., in response to certain environmental stimuli.

As plausible as functionalism may seem, however, it has long faced the charge that it is unable to account adequately for qualia. The causal role of a state seems to come apart from its qualitative aspects. To show this, opponents of functionalism have mounted two different kinds of arguments: (1) those aiming to show that two systems might be functionally identical even though only one of them has any qualia at all, and (2) those aiming to show that two systems might be functionally identical even though they have vastly different qualia from one another.

Falling in the first of these two categories, the absent qualia argument tries to establish that a system could instantiate the functional state of, say, pain without having any pain qualia. Ned Block originated this objection to functionalism with the thought experiment of the homunculi-headed robot (Block 1978). Suppose a billion people were recruited to take part in a giant experiment. Each individual is given a very small task to perform—for example, to press a certain button when a certain light comes on. In doing so, each of them plays the causal role of an individual neuron, with the communications between them mirroring the synaptic connections among the neurons. Now suppose that signals from this network of people are appropriately connected to a robot body, so that the signals from the network cause the robot to move, talk, etc. If the network were set up in the right way, then it seems in principle possible that it could be functionally equivalent to a human brain. However, intuitively speaking, it seems very odd to attribute qualia to the robot. Though it might be in a state functionally equivalent to the state you are in when you have a pain in your right toe, it seems implausible to suppose that the robot is feeling pain. In fact, it seems implausible to suppose that the robot could have any phenomenal experience whatsoever. Thus, if the absent qualia objection is right, we can have functional equivalence without qualitative equivalence, so qualia escape functional explanation.

A related objection, falling into the second category, is the inverted qualia argument against functionalism, which arises from considering a possibility originally suggested by John Locke. Suppose that two people, Norma and Abby, are qualitatively inverted with respect to one another. Both of them refer to stop signs, Coke cans, and Elmo as “red,” and both refer to sugar snap peas, Heineken bottles, and Kermit the Frog as “green.” But Abby’s phenomenal experience when she sees a Coke can is like Norma’s phenomenal experience when she sees a Heineken bottle. When Norma sees the Coke can, she has a reddish experience; when Abby sees the Coke can, she has a greenish experience. Likewise, when Norma sees the Heineken bottle, she has a greenish experience; but when Abby sees the Heineken bottle, she has a reddish experience. Qualitatively, the two are inverted relative to each other.

Though most people find this scenario conceptually coherent, the functionalist can make no sense of this inversion. Abby and Norma both refer to the Coke can as “red.” They both indicate that it is the same color as stop signs and ripe tomatoes. Functionally speaking, there is nothing to differentiate the states that Abby and Norma are in when they see the Coke can. But, by hypothesis, they have different qualitative experiences when they see the Coke can. Thus, it looks as if functional definitions of mental states leave out the qualitative aspects of mental states.

In response to these qualia-related objections, the functionalist might try to argue that we have not really imagined the scenarios that we think we have imagined. For example, can we really imagine what would happen if we had a billion people participating in a network to operate the robot? (In fact, even a billion people would not be enough to simulate the human brain, which is estimated to have 100 billion neurons.) Along these lines, William Lycan (1995, 50-52) argues that our intuition that the robot does not have qualia stems from a misguided focus on each microscopic part of the system rather than on the macroscopic system as a whole. Likewise, the functionalist might offer considerations to show that, contrary to how it first seems, the notion of behaviorally undetectable qualia inversion is not conceptually coherent after all. For example, because saturated yellow is brighter than saturated blue, the inversion between Norma and Abby would be detectable if they were both shown patches of saturated blue and saturated yellow and asked which was brighter. (See Tye 1995, 203-4)

Alternatively, if the functionalist cannot convince us that the absent qualia and inverted qualia scenarios are incoherent, he might instead narrow the scope of the theory, restricting it to mental states that are not qualitative. As John Haugeland argues, we can “segregate” the states that can be functionalized from the states that cannot: “if felt qualities are fundamentally different, so be it; explaining them is somebody else’s business.” (Haugeland 1978, 222) However, while this kind of segregation might save functionalism as a theory of cognition, it does so only by ignoring the hard problem of consciousness.

3. Qualia and Physicalism

As described above, the absent qualia objection and the inverted qualia objection specifically target functionalism, but they can be generalized to apply to physicalism more broadly. For the inverted qualia argument, the generalization is straightforward. Just as we can conceive of Abby and Norma being in functionally identical states, it does not seem implausible to suppose that their brains might be physically identical to one another. If so, then just as qualia escape functional explanation, they also escape physical explanation.

The generalization is less straightforward with the absent qualia argument. The homunculi-headed robot, though functionally identical to a human being, is not physically identical to a human being. However, in recent work, Chalmers has argued that we can conceive of what he terms “zombies”—beings who are molecule-for-molecule identical with phenomenally conscious beings but who are not themselves phenomenally conscious. In appearance and action, a conscious being and his zombie replica would be indistinguishable, but for the zombie, as Chalmers says, “all is dark inside.” (Chalmers 1996, 96) When Zack and Zombie Zack each take a bite of chocolate cake, they each have the same reaction—they smile, exclaim how good it is, lick their lips, and reach for another forkful. But whereas Zack, a phenomenally conscious being, is having a distinctive (and delightful) qualitative experience while tasting the chocolate cake, Zombie Zack is experiencing nothing at all. This suggests that Zack’s consciousness is a further fact about him, over and above all the physical facts about him (since all those physical facts are true of Zombie Zack as well). Consciousness, that is, must be nonphysical.

Chalmers’ argument has the standard form of a conceivability argument, moving from a claim about conceivability to a claim about metaphysical possibility. Though zombies are probably not physically possible—not possible in a world that has laws of nature like our world—the fact that they are conceivable is taken to show that there is a metaphysically possible world in which they could exist. This form of argument is not entirely uncontroversial (see, for example, Hill and McLaughlin 1999), and there is also considerable debate about whether Chalmers is right that zombies are conceivable (see, for example, Searle 1997). But if Chalmers is right about the conceivability of zombies, and if this conceivability implies their metaphysical possibility, then it would follow that physicalism is false.

An early and influential discussion of the general problem that qualia pose for physicalism can be found in Thomas Nagel’s seminal paper, “What is it like to be a Bat?” (Nagel 1974). Although it might be that not all living creatures have phenomenal experiences, we can be pretty confident that bats do—after all, they are mammals who engage in fairly sophisticated behavior. In Nagel’s words, there is something that it is like to be a bat. But the physiology of bats is radically different from the physiology of human beings, and the way they interact with the world is radically different from the way that we interact with the world. What we do via vision, they do via echolocation (sonar). We detect objects by sight; bats detect objects by sending out high-frequency signals and detecting the reflections from nearby objects. Because this way of perceiving the world is so different from our own, it seems that their perceptual experiences must be vastly different from our own—so different, in fact, that Nagel argues that it is unimaginable from our perspective. We, who are not bats, cannot know what it is like to be a bat. Qualia are inherently subjective, and as such, Nagel argues that they cannot be accommodated by physicalism: “Every subjective phenomenon is essentially connected with a single point of view, and it seems inevitable that an objective, physical theory will abandon that point of view.” (Nagel 1974, 520)

Related worries about physicalism and qualia have been forcefully developed by Frank Jackson in his well-known thought experiment involving Mary, a brilliant color scientist who has spent her entire life in a black-and-white room. (Jackson 1982) Although she has normal color vision, her confinement has prevented her from ever having any color sensations. While in the room, Mary has studied color science through black and white textbooks, television, etc. And in that way she has learned the complete physical story about color experience, including all the physical facts about the brain and its visual system. She knows all the physical facts about color. But she has never seen anything in color. Now suppose that Mary is one day released from her room and presented with a ripe tomato. What should we imagine happens? Most people have the very strong intuition that Mary learns something from this perceptual experience. “Aha!” she might say. “Now I finally know what the color red is like.”

The Mary case is the centerpiece of Jackson’s knowledge argument against physicalism. While in the room, Mary knew all the physical facts about color, including the color red. When she is released from the room, Mary learns something about the color red, namely, what seeing red is like. What Mary learns consists of new, factual information. So there are facts about color in addition to all the physical facts about color (since Mary already knew all the physical facts about color). Thus, the argument goes, physicalism is false.

In the quarter century since Jackson’s development of the knowledge argument, a vast literature has developed in response to it. Attempting to save physicalism, some philosophers deny that Mary learns anything at all when she leaves the room. If we really imagine that Mary has learned all the physical facts about color while in the room, then there would be no “Aha!” moment when she is shown a ripe tomato. We are led to think otherwise only because we typically fall short of imagining what we’ve been asked to imagine—we imagine only that Mary knows an immense amount about colors, that she has mastered all the information contained in our present science of color, which still remains incomplete. As Patricia Churchland has argued, “How can I assess what Mary will know and understand if she knows everything there is to know about the brain? Everything is a lot, and it means, in all likelihood, that Mary has a radically different and deeper understanding of the brain than anything barely conceivable in our wildest flights of fancy.” (P.S. Churchland 1986, 332; see also Dennett 1991, 399-400)

Despite these reservations about what happens when Mary leaves the room, most philosophers—even most physicalists—accept Jackson’s assessment that Mary learns something from her experience with the ripe tomato. Physicalists who grant this point have typically attempted two different strategies to respond to the knowledge argument: (1) They might accept that Mary gains new knowledge that isn’t understood in terms of facts; or (2) they might accept that Mary’s knowledge is factual but deny that she’s learned anything new; rather, facts that she already knew are presented to her in a new way.

To pursue strategy (1), the physicalist might argue that the knowledge Mary gains when she leaves the room consists in nonfactual knowledge. Along these lines, David Lewis (1988) offers the ability hypothesis: When Mary leaves the room, all that happens is that she gains some new abilities regarding color that she didn’t have before. Unlike before, Mary is now able to imagine, recognize, and remember the color red. So she gains know-how, but she doesn’t learn any facts. Pursuing strategy (1) in a different way, Earl Conee (1994) offers the acquaintance hypothesis: When Mary leaves the room, all that happens is that she becomes acquainted with the color red. When you meet someone for the first time that you’ve previously heard or read a lot about, you don’t necessarily learn any facts about them; rather, you just become acquainted with them. Conee thus argues that acquaintance knowledge (like ability knowledge) should not be understood in terms of facts. If either the ability hypothesis or the acquaintance hypothesis is right, and Mary does not learn any facts when she leaves the room, then the knowledge argument does not show that the physical facts are incomplete.

To pursue strategy (2), the physicalist might argue that Mary doesn’t gain any new knowledge when she leaves the room; rather, she simply comes to apprehend an old fact under a new guise. While in the room, she did not have the conceptual apparatus she needed in order to apprehend certain color facts in a phenomenal way. Having seen color, she has now gained new concepts—phenomenal concepts—and thus is able to re-apprehend the same facts she already knew in a different way. (Loar 1990) Whether there are genuinely phenomenal concepts, and if so, whether they do the work in answering the knowledge argument that the physicalists want them to, has recently been generating a growing literature of its own.

4. Qualia and Representationalism

While functionalism and physicalism are put forth as general theories of mind, representationalism aims specifically to give an account of qualia. According to this view, the qualitative character of our phenomenal mental states depends on the intentional content of such states. Representationalist views divide into two categories depending on exactly how they characterize this dependence. Weak representationalism makes a claim only about supervenience: The qualitative character of our mental states supervenes on the intentional content of those states (that is, if two experiences are alike representationally, then they are alike phenomenally). Strong (or pure) representationalism makes a further claim: The qualitative character of our mental states consists in the intentional content of such states. Strong representationalism thus offers a theory of qualia—it attempts to explain what qualitative character is. This section addresses the strong representationalist theory of qualia; hereafter, the modifier “strong” will be omitted.

Recall the distinction above between the easy problems of consciousness and the hard problem. Accounting for representational content is supposed to be one of the easy problems. It may take us an enormous amount of empirical work to get to the solution, but the standard methods of cognitive science will be able to apply. Thus, if qualia can be reduced to intentionality, then we have turned the hard problem of consciousness into an easy problem. A full and satisfactory account of qualia awaits only a solution to the easy problem of intentionality.

Consider pain qualia. Traditionally, philosophers classified pain experiences as non-intentional. However, the representationalist claims that this is a mistake. When one has a pain in one’s leg, the experience represents damage in the leg. Moreover, its phenomenal feel—its painfulness—consists in its doing so. As Michael Tye argues, “[T]he phenomenal character of my pain intuitively is something that is given to me via introspection of what I experience in having the pain. But what I experience is what my experience represents. So, phenomenal character is representational.” (Tye 1990, 338)

Given that the representationalist typically does not want to claim that all intentional content is qualitative, he must explain what is special about the intentional content in which phenomenal character is supposed to consist. My belief that Thomas the Tank Engine is blue and my mental image of Thomas the Tank Engine have similar intentional content; they both represent him as blue. So, what about the intentional content of the latter gives it its distinctive phenomenology? Here Tye has a particularly well-developed answer. He suggests that phenomenal content is a species of nonconceptual intentional content, in particular, nonconceptual intentional content that is poised and abstract. (Tye 1995) Because we can experience many things for which we lack concepts—for example, a proud parent might visually experience his young child’s drawing without having a concept for the shape that the drawing is—it is important that phenomenal content be restricted to nonconceptual content. The requirement that the contents be poised means that they “stand ready and in position to make a direct impact on the belief/desire system.” (Tye 1995, 138) The requirement that the contents be abstract means that no particular concrete object is a part of them.

In support of their theory, representationalists often invoke what we might call the transparency thesis. According to this thesis, experience is alleged to be transparent in the sense that we “see” right through it to the object of that experience, analogously to the way that we see through a pane of glass to whatever is on the other side of it. Gilbert Harman introduced such considerations into the contemporary debate about qualia in a now-famous passage: “When Eloise sees a tree before her, the colors she experiences are all experienced as features of the tree and its surroundings. None of them are experienced as intrinsic features of her experience. Nor does she experience any features of anything as intrinsic features of her experiences.” (Harman 1990, 667) As Harman went on to argue, the same is true for all of us: When we look at a tree and then introspect our visual experience, all we can find to attend to are features of the presented tree. Our experience is thus transparent; when we attend to it, we can do so only by attending to what the experience represents. Representationalists contend that their theory offers the best and simplest possible explanation of this phenomenon. The best explanation of the fact that we cannot introspectively find any intrinsic features of our experience is that there are none to find; the phenomenal character of experience is wholly constituted by the representational content of the experience. (see especially Tye 1995, 2000)

Whether experience is really transparent in the way that the representationalists suppose has lately been the subject of some dispute, and there has also been considerable discussion about the relationship between experiential transparency and representationalism (See, for example, Kind 2003, Siewert 2004). Most problematic for the representationalists, however, has been the fact that their view falls victim to several persistent and compelling counterexamples. Many phenomenal states simply do not seem to be doing any representing—or, more cautiously, it seems that their phenomenal content far outruns their representational content. Ned Block has argued this point using the example of the orgasm: “Orgasm is phenomenally impressive and there is nothing very impressive about the representational content that there is an orgasm.” (Block 2003, 543) He also discusses phosphene experiences, the color sensations created by pressure on the eyeball when one’s eyelids are closed. Phosphene experiences do not seem to be representing anything; we don’t take the experience to suggest that there are colored moving expanses out there somewhere.

Consider also the experience of seeing something flying overhead and hearing something flying overhead. While these two experiences have quite different phenomenal characters, their representational contents are plausibly the same: there’s something flying overhead. (The most obvious way of differentiating them—by talking of the “way” of representing—brings in something nonrepresentational.) If this is right, then phenomenal character does not supervene on representational character. In response to objections of this sort, intramodal representationalists restrict their view so that it applies only within a given sensory modality. Unlike intermodal representationalists, who claim that all phenomenal differences, even differences between sensory modalities, can be explained in terms of representational content, intramodal representationalists think that we must offer some additional explanation to account for what makes a phenomenal experience auditory rather than visual, or visual rather than tactile. Typically, this additional explanation is provided in functionalist terms. (See Lycan 1996, esp. 134-35)

Along with these sorts of counterexamples, representationalism also falls victim to a version of the inverted qualia argument: the case of Inverted Earth (Block 1990). On Inverted Earth, the colors of objects are inverted relative to earth. Ripe tomatoes are green; unripe tomatoes are red. Big Bird is blue; the Cookie Monster is yellow. Other than this color inversion, everything else on Inverted Earth is exactly like earth. Now imagine that, without your knowledge, you are fitted with color-inverting lenses and transported to Inverted Earth. Since the lens-inversion cancels out the inversion of colors of Inverted Earth, you are unable to detect that you’re in a different environment. When you look at the sky on Inverted Earth, you have a blue experience even though the sky there is yellow; when you look at the green ripe tomatoes, you have a red experience. While originally on earth, your red experience while looking at ripe tomatoes represented red. But according to Block, after enough time passes and you have become embedded in the linguistic and physical environment of Inverted Earth, your reddish experience while looking at ripe tomatoes represents green (since that is the color of the ripe tomatoes on Inverted Earth). If Block’s description of the Inverted Earth case is correct, then two experiences having identical qualitative character can differ in their intentional contents; thus, qualia do not supervene on intentional content and representationalism must be false.

In response to the Inverted Earth scenario, representationalists often adopt a teleological account of intentionality according to which the intentional contents of an individual’s qualitative states are determined by the evolutionary history of its species. This allows them to reject Block’s assertion that your intentional contents switch to match the Inverted Earthlings intentional contents. Humans have evolved such that red experiences represent red things. Thus, no matter how long you spend on Inverted Earth, the intentional contents of your reddish experiences will never switch to match the intentional contents of the Inverted Earthlings.

A completely different source of worry about representationalism has been raised by John Searle. Searle agrees with the representationalist that there is a close connection between phenomenal consciousness and intentionality, but he thinks that the representationalist gets the explanatory connection backwards. Rather than explain consciousness in terms of intentionality, Searle claims that we need to explain intentionality in terms of consciousness: “There is a conceptual connection between consciousness and intentionality that has the consequence that a complete theory of intentionality requires an account of consciousness.” (Searle 1992, 132) Recent work by George Graham, Terry Horgan, and John Tienson argues along similar lines. On their view, “the most fundamental, nonderivative sort of intentionality is fully constituted by phenomenology.” (Graham and Horgan 2008, 92; see also Horgan and Tienson 2002)

5. Eliminativism about Qualia

Rather than trying to find some way to fit qualia into a physicalist theory of mind, some philosophers have taken an entirely different attitude towards qualia. They deny that qualia exist. This position is known as eliminativism about qualia, and it commonly constitutes a part of a larger eliminativist project about mental states in general. For example, Paul and Patricia Churchland have argued (both together and individually) that as we gain more and more neuroscientific understanding of our mental lives, we will come to see that our current mental state concepts—belief, pain, sensation, qualia, etc.—all need to be discarded.

The Churchlands offer numerous useful analogies to help make this point. To consider just one of their examples: Ptolemaic theory placed the Earth at the center of the universe, around which a giant celestial sphere revolved. This created all sorts of difficult problems in need of solutions, like determining the cause of the sphere’s rotation. When Newtonian theory displaced Ptolemaic theory, the notion of the celestial sphere was completely discarded. It wasn’t that Ptolemaic theorists had an inadequate account of the celestial sphere; rather, what was discovered was that there was no celestial sphere. Thus, the problem of what causes the sphere’s movement turned out to be a pseudo-problem. Similarly, the Churchlands predict that as our neuroscientific knowledge increases, we will come to see that the problem of qualia is a pseudo-problem, because we will come to see that there are no qualia—at least not as presently understood. Just as the celestial sphere did not turn out to be identifiable with or reducible to some element of Newtonian theory, qualia will not turn out to be identifiable with or reducible to some element of future neuroscientific theory. Rather, the concept will have to be eliminated entirely. (P.S. Churchland 1986, 292-293; P.M. Churchland 1984, 43-45)

Insofar as eliminative materialism merely makes a prediction about what will happen once we increase our neuroscientific knowledge, it is hard to evaluate. However, Daniel Dennett offers related arguments for eliminativism designed to show there is such internal inconsistency in our notion of qualia that we are hopelessly misguided in trying to retain it. According to Dennett, there are no properties that meet the standard conception of qualia (that is, properties of experience that are intrinsic, ineffable, directly and/or immediately introspectible, and private). He reaches this conclusion by consideration of numerous thought experiments that are designed to tease out the alleged confusions inherent in our concept of qualia. For example, consider two coffee drinkers, Chase and Sanborn. Both discover one day that they no longer like the Maxwell House coffee they’ve long enjoyed. Chase claims: “Even though the coffee still tastes the same to me, I now no longer like that taste.” In contrast, Sanborn claims: “The coffee now tastes different to me, and I don’t like the new taste.” But, asks Dennett, how do they know this? Perhaps Chase’s taste receptors have changed so gradually that he hasn’t noticed a change in taste; that is, perhaps he’s really in the situation that Sanborn purports to be in. Or perhaps Sanborn’s standards have changed so gradually that he hasn’t noticed that he now employs different criteria in evaluating the coffee; that is, perhaps he’s really in the situation that Chase purports to be in. There seems no first-personal way for Chase and Sanborn to settle the matter, calling into question the idea that they have any kind of direct or special access to private properties of their experience. We might try to devise some behavioral tests to detect the difference, but if we could do so, that would suggest that qualia could be defined relationally, in reference to behavior, and this would call into question the idea that they are intrinsic. Thus, concludes Dennett, our conception of qualia is so confused that it would be “tactically obtuse” to try to salvage the notion; rather, we should just admit that “there simply are no qualia at all.” (Dennett 1988)

6. Naturalistic Dualism

There is at least one further option available to philosophers when confronting the hard problem of consciousness. Without denying the reality of qualia, one might simply accept that they resist reduction in physical, functional, or representational terms and embrace some form of dualism. This is David Chalmers’ own approach to the hard problem. Because he believes that we can account for phenomenal consciousness within a solely natural framework, he adopts what he refers to as naturalistic dualism.

Descartes’ dualism was a version of substance dualism. According to Descartes, the mind is an immaterial substance existing independently of the body. In contrast, Chalmers’ dualism is a version of property dualism. This view does not posit the existence of any nonphysical or immaterial substances, but instead posits the existence of properties—qualia—that are ontologically independent of any physical properties. Though these properties are not entailed by physicalism (that is, though they do not logically supervene on physical properties) they may nonetheless somehow arise from them. As Chalmers describes his view: “[C]onsciousness arises from a physical substrate in virtue of certain contingent laws of nature, which are not themselves implied by physical laws.” (Chalmers 1996, 125)

Physics postulates a number of fundamental features of the world: mass, spin, charge, etc. Naturalistic dualism adds nonphysical phenomenal properties to this list. Correspondingly, it suggests we must add fundamental laws governing the behavior of the fundamental phenomenal features to the list of the fundamental laws governing the behavior of the fundamental physical features of the world. We don’t presently understand exactly what these new laws and the completed theory containing them will look like, and Chalmers admits that developing such a theory will not be easy, but in principle it should be possible to do so.

This commitment to lawfulness is what allows Chalmers to remain within a naturalistic framework, even as he abandons the physicalistic framework. On his view, “the world still consists in a network of fundamental properties related by basic laws, and everything is to be ultimately explained in those terms. All that has happened is that the inventory of properties and laws has been expanded [beyond the physical properties and laws].” (Chalmers 1996, 127-8) In a similar spirit, Gregg Rosenberg has recently offered a view he calls liberal naturalism.Though liberal naturalism holds that the fundamental properties of the world “are mutually related in a coherent and natural way by a single set of fundamental laws,” it denies that these properties and laws can all be completely captured in physical terms. (Rosenberg 2004, 9)

In giving up physicalism, naturalists argue that we can retain almost everything that’s important about our current scientific worldview. But the adoption of nonphysicalistic naturalism typically leads in two directions that many have thought problematic. First, it seems to imply panpsychism, the view that everything in the universe has consciousness. Once you accept the existence of nonphysical features of the world that are fundamental, it is hard to find a principled way of limiting exactly where those fundamental features are found. As Chalmers admits, “if experience is truly a fundamental property, it seems natural for it to be widespread.” (Chalmers 1996, 297; see also Nagel 1979) Second, it seems to commit one to epiphenomenalism, the view that qualia lack any causal power whatsoever. Intuitively, we believe that the qualitative character of pain—the fact that it hurts—causes us to react the way that we do when we feel pain. But if qualia are epiphenomenal, then the painfulness of pain is causally inert.

In addressing the first of these two worries, Chalmers denies that naturalistic dualism entails panpyschism. Though he recognizes that it provides a particularly elegant way of working out the details of the view that experience supervenes naturally on the physical, he believes that there remains the possibility that those details could be worked out another way. Benjamin Libet, for example, offers a theory that sees consciousness as fundamental without endorsing panpsychism (Libet 1996). In contrast to Chalmers and Libet, Rosenberg concedes that nonreductive naturalism will most likely require us to adopt at least a weak form of panpsychism, and he offers arguments to show why this consequence should not be seen as threatening.

Even if naturalism leads only to a mild form of panpyschism, however, most contemporary philosophers would find this extremely problematic. How could blades of grass, or rocks, or atoms be conscious? Panpsychism is almost universally regarded with skepticism, if not outright scorn. Colin McGinn, for example, has claimed that panpsychism is “metaphysically and scientifically outrageous.” (McGinn 1996, 34) Similarly, in reaction to Chalmers’ panpsychist musings, John Searle calls panpsychism “absurd” and claims that there is “not the slightest reason” to adopt it. (Searle 1997, 161)

The worries about epiphenomenalism are no less troublesome for the naturalist than are the worries about panpsychism. Intuitively speaking, qualia are important aspects of our mental lives. The itchiness of an itch makes us scratch, the delicious taste of chocolate leads us to reach for another piece, the wrenching feeling of grief erupts in a flood of tears. But if qualia are physically irreducible, then it seems they must be left out of the causal explanations of our actions. We typically assume that the physical world is causally closed; all physical events, including bodily movements, can be given complete causal explanations in wholly physical terms. Unless we reject causal closure, then assuming we do not want to embrace the possibility of causal overdetermination, qualia have no role to play in the causal story of our actions.

We can easily see why naturalism leads to epiphenomenalism by reconsidering the zombie world. By hypothesis, your zombie twin is behaviorally indistinguishable from you despite having no qualia. His actions can be causally explained entirely by the physical workings of his brain. But he’s a molecule-for-molecule duplicate of you, so the physical workings of your brain can provide a complete causal explanation of your actions. Your qualia play no role in causing the actions that you perform.

Chalmers addresses the threat of epiphenomenalism in two ways. First, he suggests that our inadequate understanding of the nature of causation may here be leading us astray: “it is possible that when causation is better understood we will be in a position to understand a subtle way in which consciousness may be relevant.” (Chalmers 1996, 150) Second, he tries to show that epiphenomenalism may not be as unpalatable as many have thought. In particular, he argues that we don’t have any reasons to reject epiphenomenalism except for its seeming counterintuitive; there are no effective arguments against it. (See also Jackson 1982.) Moreover, given the fatal flaws that threaten the competing alternatives to naturalistic dualism, it may turn out that accepting some degree of counterintuitiveness is the small price we have to pay in order to develop a coherent and unmysterious view of consciousness and its place in nature.

7. References and Further Reading

  • Block, N. 2007. Consciousness, Function, and Representation. Cambridge, Mass.: The MIT Press.
    • A very useful collection bringing together Block’s impressive body of work in philosophy of mind on issues relating to functionalism, qualia, and consciousness.
  • Block, N. 2003. “Mental Paint.” In Martin Hahn and Bjorn Ramberg, eds., Reflections and Replies: Essays on the Philosophy of Tyler Burge, 165-200. Cambridge, Mass.: The MIT Press, 2003. Reprinted in Block 2007, 533-563; page references are to the reprinted version.
    • A helpful characterization of the issues surrounding representationalism (which Block calls representationism) and a defense of a qualia realist view he calls phenomenism.
  • Block, N. 1994. “Qualia.” In Samuel Guttenplan, ed., A Companion to the Philosophy of Mind, 514-520. Oxford: Blackwell Publishers. Reprinted in Block 2007, 501-510.
  • Block, N. 1990. “Inverted Earth.” In James Tomberlin, ed., Philosophical Perspectives 4, Action Theory and Philosophy of Mind, 53-79. Atascadero, Calif.: Ridgeview. Reprinted in Block 2007, 511-532.
    • A reply to Harman’s “The Intrinsic Quality of Experience.” This paper introduces the much-discussed Inverted Earth thought experiment, a version of the inverted qualia argument targeting representationalism.
  • Block, N. 1978. “Troubles with Functionalism.” In C.W. Savage, ed., Perception and Cognition: Issues in the Foundations of Psychology, pp. 261-326. Reprinted with revision and abridgement in Block 2007, 63-101.
    • An influential work that develops in detail the absent qualia objection to functionalism.
  • Block, N., Flanagan, O., and Guzeldere, G., eds. 1997. The Nature of Consciousness. Cambridge, Mass.: The MIT Press.
    • An anthology collecting much of the classic work on consciousness.
  • Byrne, A. 2001. “Intentionalism Defended.” Philosophical Review 110: 199-240.
    • A very useful overview of the issues surrounding representationalism.
  • Chalmers, D. 1996. The Conscious Mind: In Search of a Fundamental Theory. Oxford: Oxford University Press.
    • One of the most important books in philosophy of mind over the last twenty years; introduces and discusses in detail the hard problem of consciousness. Although the book is technical in parts, the most technical sections are indicated by asterisk and can be skipped without losing the overall argument.
  • Chalmers, D. 1995. “Facing Up to the Problem of Consciousness.” Journal of Consciousness Studies 2: 200-219.
  • Churchland, P.M. 1984. Matter and Consciousness: A Contemporary Introduction to the Philosophy of Mind. Cambridge, Mass.: The MIT Press.
    • An accessible introductory text to the philosophy of mind, though Churchland’s own eliminativist leanings shade his treatment of the issues discussed.
  • Churchland, P.S. 1986. Neurophilosophy: Toward a Unified Science of the Mind-Brain. Cambridge, Mass.: The MIT Press.
  • Churchland, P.M. and Churchland, P.S. 1981. “Functionalism, Qualia, and Intentionality.” Philosophical Topics 12: 121-145.
  • Conee, E. 1994. “Phenomenal Knowledge.” Australasian Journal of Philosophy 72: 136-150. Reprinted in Ludlow et al, 2004.
    • A classic presentation of Conee’s “acquaintance hypothesis” in response to Jackson’s knowledge argument.
  • Dennett, D. 1991. Consciousness Explained. Boston: Little, Brown and Company.
  • Dennett, D. 1988. “Quining Qualia.” In A. Marcel and E. Bisiach, eds., Consciousness in Contemporary Science, 43-77. Oxford: Oxford University Press.
    • Argues, in Dennett’s characteristically jocular style, for eliminativism about qualia.
  • Dretske, F. 1995. Naturalizing the Mind. Cambridge, Mass.: The MIT Press.
    • A sustained argument for representationalism, with sustained discussion of how representation works.
  • Graham, G. and Horgan, T. “Qualia Realism’s Contents and Discontents.” In Edmond Wright, ed., The Case for Qualia. Cambridge, Mass.: The MIT Press (2008), 89-107.
  • Harman, G. 1990. “The Intrinsic Quality of Experience.” In James Tomberlin, ed., Philosophical Perspectives 4, Action Theory and Philosophy of Mind, 31-52. Atascadero, Calif.: Ridgeview. Reprinted in Block et al, 1997, 663-675; page references to the reprinted version.
    • Introduces considerations of the transparency of experience into contemporary discussions of qualia.
  • Haugeland, J. 1978. “The Nature and Plausibility of Cognitivism.” Behavioral and Brain Sciences 2: 215-260.
  • Hill, C. and McLaughlin, B. 1999. “There are Fewer Things in Reality than are Dreamt of in Chalmers’ Philosophy.” Journal of Phenomenological Research 59: 445-454.
  • Horgan, T. and Tienson, J. 2002. “The Intentionality of Phenomenology and the Phenomenology of Intentionality.” In David Chalmers, ed., Philosophy of Mind: Classical and Contemporary Readings. Oxford: Oxford University Press (2002), 520-533.
  • Jackson, F. 1982. “Epiphenomenal Qualia.” Philosophical Quarterly 32: 127-136. Reprinted in Ludlow et al, 2004.
    • Jackson’s classic paper first laying out the Mary case and the knowledge argument against physicalism.
  • Keeley, B. 2009. “The Early History of the Quale and Its Relation to the Senses.” In John Symons and Paco Calvo, eds., Routledge Companion to the Philosophy of Psychology. New York: Routledge Press.
    • Reviews the history of the use of the term “qualia,” both before and after C.I. Lewis introduced it into the philosophical literature in roughly its contemporary sense.
  • Kind, A. 2003. “What’s So Transparent About Transparency?” Philosophical Studies 115: 225-244.
  • Levine, J. 1983. “Materialism and Qualia: The Explanatory Gap.” Pacific Philosophical Quarterly 64: 354-361.
  • Lewis, C.I. 1929. Mind and the World Order. New York: Charles Scribner’s Sons.
    • Introduces the term “qualia” in its contemporary sense (introspectible, monadic, subjective properties), though Lewis uses it in the context of sense data.
  • Lewis, D. 1988. “What Experience Teaches.” In J. Copley-Coltheart, ed., Proceedings of the Russellian Society 13: 29-57. Reprinted in Ludlow et al, 2004.
    • An influential presentation of the “ability hypothesis” in response to Jackson’s knowledge argument.
  • Libet, B. 1996. “Solutions to the Hard Problem of Consciousness.” Journal of Consciousness Studies 3: 33-35.
  • Loar, B. 1990. “Phenomenal States.” In James Tomberlin, ed., Philosophical Perspectives 4, Action Theory and Philosophy of Mind, 81-108. Atascadero, Calif.: Ridgeview. Revised version reprinted in Ludlow et al, 2004.
  • Ludlow, P., Nagasawa, Y., and Stoljar, D. 2004. There’s Something About Mary: Essays on Phenomenal Consciousness and Frank Jackson’s Knowledge Argument. Cambridge, Mass.: The MIT Press.
    • An anthology that collects Jackson’s original two papers laying out the knowledge argument along with many important papers in response. Also contains Jackson’s recent surprising recantation of the original argument, published here for the first time. Jackson now believes that the representationalist view helps us to see how the argument goes wrong.
  • Lycan, W.G. 1996. Consciousness and Experience. Cambridge, Mass.: The MIT Press.
    • A development of Lycan’s intramodal representationalism.
  • Lycan, W. 1995. Consciousness. Cambridge, Mass.: The MIT Press.
  • McGinn, C. 1989. “Can We Solve the Mind-Body Problem?” Mind 98: 349-366. Reprinted in Block et al, 1997, 529-542.
    • Defends new mysterianism, that is, the view that the problem of consciousness cannot in principle be solved.
  • McGinn, C. 1996. The Character of Mind (Second Edition). Oxford: Oxford University Press.
  • Nagel, T. 1998. “Conceiving the Impossible and the Mind-Body Problem”, Philosophy 73: 337-352
  • Nagel, T. 1979. “Panpsychism.” In Mortal Questions. Cambridge University Press.
  • Nagel, T. 1974. “What is it Like to be a Bat?” Philosophical Review 83: 435-450. Reprinted in Block et al, 1997, 519-527; page references are to the reprinted version.
    • A classic paper arguing that physicalism cannot accommodate the subjective aspects of experience—much-cited and well worth reading.
  • Rosenberg, G. 2004. A Place for Consciousness. Oxford: Oxford University Press.
  • Searle, John. 1997. The Mystery of Consciousness. New York: New York Review of Books.
    • A collection of Searle’s essays from The New York Review of Books.
  • Searle, J. 1992. The Rediscovery of the Mind. Cambridge, Mass.: The MIT Press.
    • Argues for a conceptual connection between consciousness and intentionality.
  • Shoemaker, S. 1975. “Functionalism and Qualia.” Philosophical Studies 27, 291-315.
    • An interesting argument attempting to show that functionalism can handle inverted qualia. Shoemaker’s own view about qualia is somewhat idiosyncratic in that he denies they are directly introspectible.
  • Siewert, C. 2004. “Is Experience Transparent?” Philosophical Studies, 117: 15-41.
  • Tye, M. 2000. Consciousness, Color, and Content. Cambridge, Mass.: The MIT Press.
    • Further development of the representationalist view, including responses to common criticisms of the view.
  • Tye, M. 1995. Ten Problems of Consciousness. Cambridge, Mass.: The MIT Press.
    • Develops a strong representationalist view in an attempt to unravel several puzzling aspects of consciousness (its subjectivity, transparency, etc.).
  • Tye, M. 1990. “A Representational Theory of Pains and their Phenomenal Character.” In James Tomberlin, ed., Philosophical Perspectives 9. Atascadero, Calif.: Ridgeview.
    • An early statement of representationalism, here limited specifically to pain.

Author Information

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

René Descartes (1596—1650)

René Descartes is often credited with being the “Father of Modern Philosophy.” This title is justified due both to his break with the traditional Scholastic-Aristotelian philosophy prevalent at his time and to his development and promotion of the new, mechanistic sciences. His fundamental break with Scholastic philosophy was twofold. First, Descartes thought that the Scholastics’ method was prone to doubt given their reliance on sensation as the source for all knowledge. Second, he wanted to replace their final causal model of scientific explanation with the more modern, mechanistic model.

Descartes attempted to address the former issue via his method of doubt. His basic strategy was to consider false any belief that falls prey to even the slightest doubt. This “hyperbolic doubt” then serves to clear the way for what Descartes considers to be an unprejudiced search for the truth. This clearing of his previously held beliefs then puts him at an epistemological ground-zero. From here Descartes sets out to find something that lies beyond all doubt. He eventually discovers that “I exist” is impossible to doubt and is, therefore, absolutely certain. It is from this point that Descartes proceeds to demonstrate God’s existence and that God cannot be a deceiver. This, in turn, serves to fix the certainty of everything that is clearly and distinctly understood and provides the epistemological foundation Descartes set out to find.

Once this conclusion is reached, Descartes can proceed to rebuild his system of previously dubious beliefs on this absolutely certain foundation. These beliefs, which are re-established with absolute certainty, include the existence of a world of bodies external to the mind, the dualistic distinction of the immaterial mind from the body, and his mechanistic model of physics based on the clear and distinct ideas of geometry. This points toward his second, major break with the Scholastic Aristotelian tradition in that Descartes intended to replace their system based on final causal explanations with his system based on mechanistic principles. Descartes also applied this mechanistic framework to the operation of plant, animal and human bodies, sensation and the passions. All of this eventually culminating in a moral system based on the notion of “generosity.”

The presentation below provides an overview of Descartes’ philosophical thought as it relates to these various metaphysical, epistemological, religious, moral and scientific issues, covering the wide range of his published works and correspondence.

Table of Contents

  1. Life
  2. The Modern Turn
    1. Against Scholasticism
    2. Descartes’ Project
  3. Method
  4. The Mind
    1. Cogito, ergo sum
    2. The Nature of the Mind and its Ideas
  5. God
    1. The Causal Arguments
    2. The Ontological Argument
  6. The Epistemological Foundation
    1. Absolute Certainty and the Cartesian Circle
    2. How to Avoid Error
  7. Mind-Body Relation
    1. The Real Distinction
    2. The Mind-Body Problem
  8. Body and the Physical Sciences
    1. Existence of the External World
    2. The Nature of Body
    3. Physics
    4. Animal and Human Bodies
  9. Sensations and Passions
  10. Morality
    1. The Provisional Moral Code
    2. Generosity
  11. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Life

René Descartes was born to Joachim Descartes and Jeanne Brochard on March 31, 1596 in La Haye, France near Tours. He was the youngest of the couple’s three surviving children. The oldest child, Pierre, died soon after his birth on October 19, 1589. His sister, Jeanne, was probably born sometime the following year, while his surviving older brother, also named Pierre, was born on October 19, 1591. The Descartes clan was a bourgeois family composed of mostly doctors and some lawyers. Joachim Descartes fell into this latter category and spent most of his career as a member of the provincial parliament.

After the death of their mother, which occurred soon after René’s birth, the three Descartes children were sent to their maternal grandmother, Jeanne Sain, to be raised in La Haye and remained there even after their father remarried in 1600. Not much is known about his early childhood, but René is thought to have been a sickly and fragile child, so much so that when he was sent to board at the Jesuit college at La Fleche on Easter of 1607. There, René was not obligated to rise at 5:00am with the other boys for morning prayers but was allowed to rest until 10:00am mass. At La Fleche, Descartes completed the usual courses of study in grammar and rhetoric and the philosophical curriculum with courses in the “verbal arts” of grammar, rhetoric and dialectic (or logic) and the “mathematical arts” comprised of arithmetic, music, geometry and astronomy. The course of study was capped off with courses in metaphysics, natural philosophy and ethics. Descartes is known to have disdained the impractical subjects despite having an affinity for the mathematical curriculum. But, all things considered, he did receive a very broad liberal arts education before leaving La Fleche in 1614.

Little is known of Descartes’ life from 1614-1618. But what is known is that during 1615-1616 he received a degree and a license in civil and canon law at the University of Poiters. However, some speculate that from 1614-1615 Descartes suffered a nervous breakdown in a house outside of Paris and that he lived in Paris from 1616-1618. The story picks up in the summer of 1618 when Descartes went to the Netherlands to become a volunteer for the army of Maurice of Nassau. It was during this time that he met Isaac Beekman, who was, perhaps, the most important influence on his early adulthood. It was Beekman who rekindled Descartes’ interest in science and opened his eyes to the possibility of applying mathematical techniques to other fields. As a New Year’s gift to Beekman, Descartes composed a treatise on music, which was then considered a branch of mathematics, entitled Compendium Musicae. In 1619 Descartes began serious work on mathematical and mechanical problems under Beekman’s guidance and, finally, left the service of Maurice of Nassau, planning to travel through Germany to join the army of Maximilian of Bavaria.

It is during this year (1619) that Descartes was stationed at Ulm and had three dreams that inspired him to seek a new method for scientific inquiry and to envisage a unified science. Soon afterwards, in 1620, he began looking for this new method, starting but never completing several works on method, including drafts of the first eleven rules of Rules for the Direction of the Mind. Descartes worked on and off on it for years until it was finally abandoned for good in 1628. During this time, he also worked on other, more scientifically oriented projects such as optics. In the course of these inquiries, it is possible that he discovered the law of refraction as early as 1626. It is also during this time that Descartes had regular contact with Father Marin Mersenne, who was to become his long time friend and contact with the intellectual community during his 20 years in the Netherlands.

Descartes moved to the Netherlands in late 1628 and, despite several changes of address and a few trips back to France, he remained there until moving to Sweden at the invitation of Queen Christina in late 1649. He moved to the Netherlands in order to achieve solitude and quiet that he could not attain with all the distractions of Paris and the constant intrusion of visitors. It is here in 1629 that Descartes began work on “a little treatise,” which took him approximately three years to complete, entitled The World. This work was intended to show how mechanistic physics could explain the vast array of phenomena in the world without reference to the Scholastic principles of substantial forms and real qualities, while also asserting a heliocentric conception of the solar system. But the condemnation of Galileo by the Inquisition for maintaining this latter thesis led Descartes to suppress its publication. From 1634-1636, Descartes finished his scientific essays Dioptique and Meteors, which apply his geometrical method to these fields. He also wrote a preface to these essays in the winter of 1635/1636 to be attached to them in addition to another one on geometry. This “preface” became The Discourse on Method and was published in French along with the three essays in June 1637. And, on a personal note, during this time his daughter, Francine, was born in 1635, her mother being a maid at the home where Descartes was staying. But Francine, at the age of five, died of a fever in 1640 when he was making arrangements for her to live with relatives in France so as to ensure her education.

Descartes began work on Meditations on First Philosophy in 1639. Through Mersenne, Descartes solicited criticism of his Meditations from amongst the most learned people of his day, including Antoine Arnauld, Peirre Gassendi, and Thomas Hobbes. The first edition of the Meditations was published in Latin in 1641 with six sets of objections and his replies. A second edition published in 1642 also included a seventh set of objections and replies as well as a letter to Father Dinet in which Descartes defended his system against charges of unorthodoxy. These charges were raised at the Universities of Utrecht and Leiden and stemmed from various misunderstandings about his method and the supposed opposition of his theses to Aristotle and the Christian faith.

This controversy led Descartes to post two open letters against his enemies. The first is entitled Notes on a Program posted in 1642 in which Descartes refutes the theses of his recently estranged disciple, Henricus Regius, a professor of medicine at Utrecht. These Notes were intended not only to refute what Descartes understood to be Regius’ false theses but also to distance himself from his former disciple, who had started a ruckus at Utrecht by making unorthodox claims about the nature of human beings. The second is a long attack directed at the rector of Utrecht, Gisbertus Voetius in the Open Letter to Voetiusposted in 1643. This was in response to a pamphlet anonymously circulated by some of Voetius’ friends at the University of Leiden further attacking Descartes’ philosophy. Descartes’ Open Letter led Voetius to have him summoned before the council of Utrecht, who threatened him with expulsion and the public burning of his books. Descartes, however, was able to flee to the Hague and convince the Prince of Orange to intervene on his behalf.

In the following year (1643), Descartes began an affectionate and philosophically fruitful correspondence with Princess Elizabeth of Bohemia, who was known for her acute intellect and had read the Discourse on Method. Yet, as this correspondence with Elizabeth was beginning, Descartes was already in the midst of writing a textbook version of his philosophy entitled Principles of Philosophy, which he ultimately dedicated to her. Although it was originally supposed to have six parts, he published it in 1644 with only four completed: The Principles of Human Knowledge, The Principles of Material Things, The Visible Universe, and The Earth. The other two parts were to be on plant and animal life and on human beings, but he decided it would be impossible for him to conduct all the experiments necessary for writing them. Elizabeth probed Descartes about issues that he had not dealt with in much detail before, including free will, the passions and morals. This eventually inspired Descartes to write a treatise entitled The Passions of the Soul, which was published just before his departure to Sweden in 1649. Also, during these later years, the Meditations and Principles were translated from Latin into French for a wider, more popular audience and were published in 1647.

In late 1646, Queen Christina of Sweden initiated a correspondence with Descartes through a French diplomat and friend of Descartes’ named Chanut. Christina pressed Descartes on moral issues and a discussion of the absolute good. This correspondence eventually led to an invitation for Descartes to join the Queen’s court in Stockholm in February 1649. Although he had his reservations about going, Descartes finally accepted Christina’s invitation in July of that year. He arrived in Sweden in September 1649 where he was asked to rise at 5:00am to meet the Queen to discuss philosophy, contrary to his usual habit, developed at La Fleche, of sleeping in late,. His decision to go to Sweden, however, was ill-fated, for Descartes caught pneumonia and died on February 11, 1650.

2. The Modern Turn

a. Against Scholasticism

Descartes is often called the “Father of Modern Philosophy,” implying that he provided the seed for a new philosophy that broke away from the old in important ways. This “old” philosophy is Aristotle’s as it was appropriated and interpreted throughout the later medieval period. In fact, Aristotelianism was so entrenched in the intellectual institutions of Descartes’ time that commentators argued that evidence for its the truth could be found in the Bible. Accordingly, if someone were to try to refute some main Aristotelian tenet, then he could be accused of holding a position contrary to the word of God and be punished. However, by Descartes’ time, many had come out in some way against one Scholastic-Aristotelian thesis or other. So, when Descartes argued for the implementation of his modern system of philosophy, breaks with the Scholastic tradition were not unprecedented.

Descartes broke with this tradition in at least two fundamental ways. The first was his rejection of substantial forms as explanatory principles in physics. A substantial form was thought to be an immaterial principle of material organization that resulted in a particular thing of a certain kind. The main principle of substantial forms was the final cause or purpose of being that kind of thing. For example, the bird called the swallow. The substantial form of “swallowness” unites with matter so as to organize it for the sake of being a swallow kind of thing. This also means that any dispositions or faculties the swallow has by virtue of being that kind of thing is ultimately explained by the goal or final cause of being a swallow. So, for instance, the goal of being a swallow is the cause of the swallow’s ability to fly. Hence, on this account, a swallow flies for the sake of being a swallow. Although this might be true, it does not say anything new or useful about swallows, and so it seemed to Descartes that Scholastic philosophy and science was incapable of discovering any new or useful knowledge.

Descartes rejected the use of substantial forms and their concomitant final causes in physics precisely for this reason. Indeed, his essay Meteorology, that appeared alongside the Discourse on Method, was intended to show that clearer and more fruitful explanations can be obtained without reference to substantial forms but only by way of deductions from the configuration and motion of parts. Hence, his point was to show that mechanistic principles are better suited for making progress in the physical sciences. Another reason Descartes rejected substantial forms and final causes in physics was his belief that these notions were the result of the confusion of the idea of the body with that of the mind. In the Sixth Replies, Descartes uses the Scholastic conception of gravity in a stone, to make his point. On this account, a characteristic goal of being a stone was a tendency to move toward the center of the earth. This explanation implies that the stone has knowledge of this goal, of the center of the earth and of how to get there. But how can a stone know anything, since it does not think? So, it is a mistake to ascribe mental properties like knowledge to entirely physical things. This mistake should be avoided by clearly distinguishing the idea of the mind from the idea of the body. Descartes considered himself to be the first to do this. His expulsion of the metaphysical principles of substantial forms and final causes helped clear the way for Descartes’ new metaphysical principles on which his modern, mechanistic physics was based.

The second fundamental point of difference Descartes had with the Scholastics was his denial of the thesis that all knowledge must come from sensation. The Scholastics were devoted to the Aristotelian tenet that everyone is born with a clean slate, and that all material for intellectual understanding must be provided through sensation. Descartes, however, argued that since the senses sometimes deceive, they cannot be a reliable source for knowledge. Furthermore, the truth of propositions based on sensation is naturally probabilistic and the propositions, therefore, are doubtful premises when used in arguments. Descartes was deeply dissatisfied with such uncertain knowledge. He then replaced the uncertain premises derived from sensation with the absolute certainty of the clear and distinct ideas perceived by the mind alone, as will be explained below.

b. Descartes’ Project

In the preface to the French edition of the Principles of Philosophy, Descartes uses a tree as a metaphor for his holistic view of philosophy. “The roots are metaphysics, the trunk is physics, and the branches emerging from the trunk are all the other sciences, which may be reduced to three principal ones, namely medicine, mechanics and morals” (AT IXB 14: CSM I 186). Although Descartes does not expand much more on this image, a few other insights into his overall project can be discerned. First, notice that metaphysics constitutes the roots securing the rest of the tree. For it is in Descartes’ metaphysics where an absolutely certain and secure epistemological foundation is discovered. This, in turn, grounds knowledge of the geometrical properties of bodies, which is the basis for his physics. Second, physics constitutes the trunk of the tree, which grows up directly from the roots and provides the basis for the rest of the sciences. Third, the sciences of medicine, mechanics and morals grow out of the trunk of physics, which implies that these other sciences are just applications of his mechanistic science to particular subject areas. Finally, the fruits of the philosophy tree are mainly found on these three branches, which are the sciences most useful and beneficial to humankind. However, an endeavor this grand cannot be conducted haphazardly but should be carried out in an orderly and systematic way. Hence, before even attempting to plant this tree, Descartes must first figure out a method for doing so.

3. Method

Aristotle and subsequent medieval dialecticians set out a fairly large, though limited, set of acceptable argument forms known as “syllogisms” composed of a general or major premise, a particular or minor premise and a conclusion. Although Descartes recognized that these syllogistic forms preserve truth from premises to conclusion such that if the premises are true, then the conclusion must be true, he still found them faulty. First, these premises are supposed to be known when, in fact, they are merely believed, since they express only probabilities based on sensation. Accordingly, conclusions derived from merely probable premises can only be probable themselves, and, therefore, these probable syllogisms serve more to increase doubt rather than knowledge Moreover, the employment of this method by those steeped in the Scholastic tradition had led to such subtle conjectures and plausible arguments that counter-arguments were easily constructed, leading to profound confusion. As a result, the Scholastic tradition had become such a confusing web of arguments, counter-arguments and subtle distinctions that the truth often got lost in the cracks. (Rules for the Direction of the Mind, AT X 364, 405-406 & 430: CSM I 11-12, 36 & 51-52).

Descartes sought to avoid these difficulties through the clarity and absolute certainty of geometrical-style demonstration. In geometry, theorems are deduced from a set of self-evident axioms and universally agreed upon definitions. Accordingly, direct apprehension of clear, simple and indubitable truths (or axioms) by intuition and deductions from those truths can lead to new and indubitable knowledge. Descartes found this promising for several reasons. First, the ideas of geometry are clear and distinct, and therefore they are easily understood unlike the confused and obscure ideas of sensation. Second, the propositions constituting geometrical demonstrations are not probabilistic conjectures but are absolutely certain so as to be immune from doubt. This has the additional advantage that any proposition derived from some one or combination of these absolutely certain truths will itself be absolutely certain. Hence, geometry’s rules of inference preserve absolutely certain truth from simple, indubitable and intuitively grasped axioms to their deductive consequences unlike the probable syllogisms of the Scholastics.

The choice of geometrical method was obvious for Descartes given his previous success in applying this method to other disciplines like optics. Yet his application of this method to philosophy was not unproblematic due to a revival of ancient arguments for global or radical skepticism based on the doubtfulness of human reasoning. But Descartes wanted to show that truths both intuitively grasped and deduced are beyond this possibility of doubt. His tactic was to show that, despite the best skeptical arguments, there is at least one intuitive truth that is beyond all doubt and from which the rest of human knowledge can be deduced. This is precisely the project of Descartes’ seminal work, Meditations on First Philosophy.

In the First Meditation, Descartes lays out several arguments for doubting all of his previously held beliefs. He first observes that the senses sometimes deceive, for example, objects at a distance appear to be quite small, and surely it is not prudent to trust someone (or something) that has deceived us even once. However, although this may apply to sensations derived under certain circumstances, doesn’t it seem certain that “I am here, sitting by the fire, wearing a winter dressing gown, holding this piece of paper in my hands, and so on”? (AT VII 18: CSM II 13). Descartes’ point is that even though the senses deceive us some of the time, what basis for doubt exists for the immediate belief that, for example, you are reading this article? But maybe the belief of reading this article or of sitting by the fireplace is not based on true sensations at all but on the false sensations found in dreams. If such sensations are just dreams, then it is not really the case that you are reading this article but in fact you are in bed asleep. Since there is no principled way of distinguishing waking life from dreams, any belief based on sensation has been shown to be doubtful. This includes not only the mundane beliefs about reading articles or sitting by the fire but even the beliefs of experimental science are doubtful, because the observations upon which they are based may not be true but mere dream images. Therefore, all beliefs based on sensation have been called into doubt, because it might all be a dream.

This, however, does not pertain to mathematical beliefs, since they are not based on sensation but on reason. For even though one is dreaming, for example, that, 2 + 3 = 5, the certainty of this proposition is not called into doubt, because 2 + 3 = 5 whether the one believing it is awake or dreaming. Descartes continues to wonder about whether or not God could make him believe there is an earth, sky and other extended things when, in fact, these things do not exist at all. In fact, people sometimes make mistakes about things they think are most certain such as mathematical calculations. But maybe people are not mistaken just some of the time but all of the time such that believing that 2 + 3 = 5 is some kind of persistent and collective mistake, and so the sum of 2 + 3 is really something other than 5. However, such universal deception seems inconsistent with God’s supreme goodness. Indeed, even the occasional deception of mathematical miscalculation also seems inconsistent with God’s goodness, yet people do sometimes make mistakes. Then, in line with the skeptics, Descartes supposes, for the sake of his method, that God does not exist, but instead there is an evil demon with supreme power and cunning that puts all his efforts into deceiving him so that he is always mistaken about everything, including mathematics.

In this way, Descartes called all of his previous beliefs into doubt through some of the best skeptical arguments of his day But he was still not satisfied and decided to go a step further by considering false any belief that falls prey to even the slightest doubt. So, by the end of the First Meditation, Descartes finds himself in a whirlpool of false beliefs. However, it is important to realize that these doubts and the supposed falsehood of all his beliefs are for the sake of his method: he does not really believe that he is dreaming or is being deceived by an evil demon; he recognizes that his doubt is merely hyperbolic. But the point of this “methodological” or ‘hyperbolic” doubt is to clear the mind of preconceived opinions that might obscure the truth. The goal then is to find something that cannot be doubted even though an evil demon is deceiving him and even though he is dreaming. This first indubitable truth will then serve as an intuitively grasped metaphysical “axiom” from which absolutely certain knowledge can be deduced. For more, see Cartesian skepticism.

4. The Mind

a. Cogito, ergo sum

In the Second Meditation, Descartes tries to establish absolute certainty in his famous reasoning: Cogito, ergo sum or “I think, therefore I am.” These Meditations are conducted from the first person perspective, from Descartes.’ However, he expects his reader to meditate along with him to see how his conclusions were reached. This is especially important in the Second Meditation where the intuitively grasped truth of “I exist” occurs. So the discussion here of this truth will take place from the first person or “I” perspective. All sensory beliefs had been found doubtful in the previous meditation, and therefore all such beliefs are now considered false. This includes the belief that I have a body endowed with sense organs. But does the supposed falsehood of this belief mean that I do not exist? No, for if I convinced myself that my beliefs are false, then surely there must be an “I” that was convinced. Moreover, even if I am being deceived by an evil demon, I must exist in order to be deceived at all. So “I must finally conclude that the proposition, ‘I am,’ ‘I exist,’ is necessarily true whenever it is put forward by me or conceived in my mind” (AT VII 25: CSM II 16-17). This just means that the mere fact that I am thinking, regardless of whether or not what I am thinking is true or false, implies that there must be something engaged in that activity, namely an “I.” Hence, “I exist” is an indubitable and, therefore, absolutely certain belief that serves as an axiom from which other, absolutely certain truths can be deduced.

b. The Nature of the Mind and its Ideas

The Second Meditation continues with Descartes asking, “What am I?” After discarding the traditional Scholastic-Aristotelian concept of a human being as a rational animal due to the inherent difficulties of defining “rational” and “animal,” he finally concludes that he is a thinking thing, a mind: “A thing that doubts, understands, affirms, denies, is willing, is unwilling, and also imagines and has sense perceptions” (AT VII 28: CSM II 19). In the Principles, part I, sections 32 and 48, Descartes distinguishes intellectual perception and volition as what properly belongs to the nature of the mind alone while imagination and sensation are, in some sense, faculties of the mind insofar as it is united with a body. So imagination and sensation are faculties of the mind in a weaker sense than intellect and will, since they require a body in order to perform their functions. Finally, in the Sixth Meditation, Descartes claims that the mind or “I” is a non-extended thing. Now, since extension is the nature of body, is a necessary feature of body, it follows that the mind is by its nature not a body but an immaterial thing. Therefore, what I am is an immaterial thinking thing with the faculties of intellect and will.

It is also important to notice that the mind is a substance and the modes of a thinking substance are its ideas. For Descartes a substance is a thing requiring nothing else in order to exist. Strictly speaking, this applies only to God whose existence is his essence, but the term “substance” can be applied to creatures in a qualified sense. Minds are substances in that they require nothing except God’s concurrence, in order to exist. But ideas are “modes” or “ways” of thinking, and, therefore, modes are not substances, since they must be the ideas of some mind or other. So, ideas require, in addition to God’s concurrence, some created thinking substance in order to exist (see Principles of Philosophy, part I, sections 51 & 52). Hence the mind is an immaterial thinking substance, while its ideas are its modes or ways of thinking.

Descartes continues on to distinguish three kinds of ideas at the beginning of the Third Meditation, namely those that are fabricated, adventitious, or innate. Fabricated ideas are mere inventions of the mind. Accordingly, the mind can control them so that they can be examined and set aside at will and their internal content can be changed. Adventitious ideas are sensations produced by some material thing existing externally to the mind. But, unlike fabrications, adventitious ideas cannot be examined and set aside at will nor can their internal content be manipulated by the mind. For example, no matter how hard one tries, if someone is standing next to a fire, she cannot help but feel the heat as heat. She cannot set aside the sensory idea of heat by merely willing it as we can do with our idea of Santa Claus, for example. She also cannot change its internal content so as to feel something other than heat–say, cold. Finally, innate ideas are placed in the mind by God at creation. These ideas can be examined and set aside at will but their internal content cannot be manipulated. Geometrical ideas are paradigm examples of innate ideas. For example, the idea of a triangle can be examined and set aside at will, but its internal content cannot be manipulated so as to cease being the idea of a three-sided figure. Other examples of innate ideas would be metaphysical principles like “what is done cannot be undone,” the idea of the mind, and the idea of God.

Descartes’ idea of God will be discussed momentarily, but let’s consider his claim that the mind is better known than the body. This is the main point of the wax example found in the Second Meditation. Here, Descartes pauses from his methodological doubt to examine a particular piece of wax fresh from the honeycomb:

It has not yet quite lost the taste of the honey; it retains some of the scent of flowers from which it was gathered; its color shape and size are plain to see; it is hard, cold and can be handled without difficulty; if you rap it with your knuckle it makes a sound. (AT VII 30: CSM II 20)

The point is that the senses perceive certain qualities of the wax like its hardness, smell, and so forth. But, as it is moved closer to the fire, all of these sensible qualities change. “Look: the residual taste is eliminated, the smell goes away, the color changes, the shape is lost, the size increases, it becomes liquid and hot” (AT VII 30: CSM II 20). However, despite these changes in what the senses perceive of the wax, it is still judged to be the same wax now as before. To warrant this judgment, something that does not change must have been perceived in the wax.

This reasoning establishes at least three important points. First, all sensation involves some sort of judgment, which is a mental mode. Accordingly, every sensation is, in some sense, a mental mode, and “the more attributes [that is, modes] we discover in the same thing or substance, the clearer is our knowledge of that substance” (AT VIIIA 8: CSM I 196). Based on this principle, the mind is better known than the body, because it has ideas about both extended and mental things and not just of extended things, and so it has discovered more modes in itself than in bodily substances. Second, this is also supposed to show that what is unchangeable in the wax is its extension in length, breadth and depth, which is not perceivable by the senses but by the mind alone. The shape and size of the wax are modes of this extension and can, therefore, change. But the extension constituting this wax remains the same and permits the judgment that the body with the modes existing in it after being moved by the fire is the same body as before even though all of its sensible qualities have changed. One final lesson is that Descartes is attempting to wean his reader from reliance on sense images as a source for, or an aid to, knowledge. Instead, people should become accustomed to thinking without images in order to clearly understand things not readily or accurately represented by them, for example, God and the mind. So, according to Descartes, immaterial, mental things are better known and, therefore, are better sources of knowledge than extended things.

5. God

a. The Causal Arguments

At the beginning of the Third Meditation only “I exist” and “I am a thinking thing” are beyond doubt and are, therefore, absolutely certain. From these intuitively grasped, absolutely certain truths, Descartes now goes on to deduce the existence of something other than himself, namely God. Descartes begins by considering what is necessary for something to be the adequate cause of its effect. This will be called the “Causal Adequacy Principle” and is expressed as follows: “there must be at least as much reality in the efficient and total cause as in the effect of that cause,” which in turn implies that something cannot come from nothing (AT VII 40: CSM II 28). Here Descartes is espousing a causal theory that implies whatever is possessed by an effect must have been given to it by its cause. For example, when a pot of water is heated to a boil, it must have received that heat from some cause that had at least that much heat. Moreover, something that is not hot enough cannot cause water to boil, because it does not have the requisite reality to bring about that effect. In other words, something cannot give what it does not have.

Descartes goes on to apply this principle to the cause of his ideas. This version of the Causal Adequacy Principle states that whatever is contained objectively in an idea must be contained either formally or eminently in the cause of that idea. Definitions of some key terms are now in order. First, the objective reality contained in an idea is just its representational content; in other words, it is the “object” of the idea or what that idea is about. The idea of the sun, for instance, contains the reality of the sun in it objectively. Second, the formal reality contained in something is a reality actually contained in that thing. For example, the sun itself has the formal reality of extension since it is actually an extended thing or body. Finally, a reality is contained in something eminently when that reality is contained in it in a higher form such that (1) the thing does not possess that reality formally, but (2) it has the ability to cause that reality formally in something else. For example, God is not formally an extended thing but solely a thinking thing; however, he is eminently the extended universe in that it exists in him in a higher form, and accordingly he has the ability to cause its existence. The main point is that the Causal Adequacy Principle also pertains to the causes of ideas so that, for instance, the idea of the sun must be caused by something that contains the reality of the sun either actually (formally) or in some higher form (eminently).

Once this principle is established, Descartes looks for an idea of which he could not be the cause. Based on this principle, he can be the cause of the objective reality of any idea that he has either formally or eminently. He is formally a finite substance, and so he can be the cause of any idea with the objective reality of a finite substance. Moreover, since finite substances require only God’s concurrence to exist and modes require a finite substance and God, finite substances are more real than modes. Accordingly, a finite substance is not formally but eminently a mode, and so he can be the cause of all his ideas of modes. But the idea of God is the idea of an infinite substance. Since a finite substance is less real than an infinite substance by virtue of the latter’s absolute independence, it follows that Descartes, a finite substance, cannot be the cause of his idea of an infinite substance. This is because a finite substance does not have enough reality to be the cause of this idea, for if a finite substance were the cause of this idea, then where would it have gotten the extra reality? But the idea must have come from something. So something that is actually an infinite substance, namely God, must be the cause of the idea of an infinite substance. Therefore, God exists as the only possible cause of this idea.

Notice that in this argument Descartes makes a direct inference from having the idea of an infinite substance to the actual existence of God. He provides another argument that is cosmological in nature in response to a possible objection to this first argument. This objection is that the cause of a finite substance with the idea of God could also be a finite substance with the idea of God. Yet what was the cause of that finite substance with the idea of God? Well, another finite substance with the idea of God. But what was the cause of that finite substance with the idea of God? Well, another finite substance . . . and so on to infinity. Eventually an ultimate cause of the idea of God must be reached in order to provide an adequate explanation of its existence in the first place and thereby stop the infinite regress. That ultimate cause must be God, because only he has enough reality to cause it. So, in the end, Descartes claims to have deduced God’s existence from the intuitions of his own existence as a finite substance with the idea of God and the Causal Adequacy Principle, which is “manifest by the natural light,” thereby indicating that it is supposed to be an absolutely certain intuition as well.

b. The Ontological Argument

The ontological argument is found in the Fifth Meditation and follows a more straightforwardly geometrical line of reasoning. Here Descartes argues that God’s existence is deducible from the idea of his nature just as the fact that the sum of the interior angles of a triangle are equal to two right angles is deducible from the idea of the nature of a triangle. The point is that this property is contained in the nature of a triangle, and so it is inseparable from that nature. Accordingly, the nature of a triangle without this property is unintelligible. Similarly, it is apparent that the idea of God is that of a supremely perfect being, that is, a being with all perfections to the highest degree. Moreover, actual existence is a perfection, at least insofar as most would agree that it is better to actually exist than not. Now, if the idea of God did not contain actual existence, then it would lack a perfection. Accordingly, it would no longer be the idea of a supremely perfect being but the idea of something with an imperfection, namely non-existence, and, therefore, it would no longer be the idea of God. Hence, the idea of a supremely perfect being or God without existence is unintelligible. This means that existence is contained in the essence of an infinite substance, and therefore God must exist by his very nature. Indeed, any attempt to conceive of God as not existing would be like trying to conceive of a mountain without a valley – it just cannot be done.

6. The Epistemological Foundation

a. Absolute Certainty and the Cartesian Circle

Recall that in the First Meditation Descartes supposed that an evil demon was deceiving him. So as long as this supposition remains in place, there is no hope of gaining any absolutely certain knowledge. But he was able to demonstrate God’s existence from intuitively grasped premises, thereby providing, a glimmer of hope of extricating himself from the evil demon scenario. The next step is to demonstrate that God cannot be a deceiver. At the beginning of the Fourth Meditation, Descartes claims that the will to deceive is “undoubtedly evidence of malice or weakness” so as to be an imperfection. But, since God has all perfections and no imperfections, it follows that God cannot be a deceiver. For to conceive of God with the will to deceive would be to conceive him to be both having no imperfections and having one imperfection, which is impossible; it would be like trying to conceive of a mountain without a valley. This conclusion, in addition to God’s existence, provides the absolutely certain foundation Descartes was seeking from the outset of the Meditations. It is absolutely certain because both conclusions (namely that God exists and that God cannot be a deceiver) have themselves been demonstrated from immediately grasped and absolutely certain intuitive truths.

This means that God cannot be the cause of human error, since he did not create humans with a faculty for generating them, nor could God create some being, like an evil demon, who is bent on deception. Rather, humans are the cause of their own errors when they do not use their faculty of judgment correctly. Second, God’s non-deceiving nature also serves to guarantee the truth of all clear and distinct ideas. So God would be a deceiver, if there were a clear and distinct idea that was false, since the mind cannot help but believe them to be true. Hence, clear and distinct ideas must be true on pain of contradiction. This also implies that knowledge of God’s existence is required for having any absolutely certain knowledge. Accordingly, atheists, who are ignorant of God’s existence, cannot have absolutely certain knowledge of any kind, including scientific knowledge.

But this veridical guarantee gives rise to a serious problem within the Meditations, stemming from the claim that all clear and distinct ideas are ultimately guaranteed by God’s existence, which is not established until the Third Meditation. This means that those truths reached in the Second Meditation, such as “I exist” and “I am a thinking thing,” and those principles used in the Third Meditation to conclude that God exists, are not clearly and distinctly understood, and so they cannot be absolutely certain. Hence, since the premises of the argument for God’s existence are not absolutely certain, the conclusion that God exists cannot be certain either. This is what is known as the “Cartesian Circle,” because Descartes’ reasoning seems to go in a circle in that he needs God’s existence for the absolute certainty of the earlier truths and yet he needs the absolute certainty of these earlier truths to demonstrate God’s existence with absolute certainty.

Descartes’ response to this concern is found in the Second Replies. There he argues that God’s veridical guarantee only pertains to the recollection of arguments and not the immediate awaRenéss of an argument’s clarity and distinctness currently under consideration. Hence, those truths reached before the demonstration of God’s existence are clear and distinct when they are being attended to but cannot be relied upon as absolutely certain when those arguments are recalled later on. But once God’s existence has been demonstrated, the recollection of the clear and distinct perception of the premises is sufficient for absolutely certain and, therefore, perfect knowledge of its conclusion (see also the Fifth Meditation at AT VII 69-70: CSM II XXX).

b. How to Avoid Error

In the Third Meditation, Descartes argues that only those ideas called “judgments” can, strictly speaking, be true or false, because it is only in making a judgment that the resemblance, conformity or correspondence of the idea to things themselves is affirmed or denied. So if one affirms that an idea corresponds to a thing itself when it really does not, then an error has occurred. This faculty of judging is described in more detail in the Fourth Meditation. Here judgment is described as a faculty of the mind resulting from the interaction of the faculties of intellect and will. Here Descartes observes that the intellect is finite in that humans do not know everything, and so their understanding of things is limited. But the will or faculty of choice is seemingly infinite in that it can be applied to just about anything whatsoever. The finitude of the intellect along with this seeming infinitude of the will is the source of human error. For errors arise when the will exceeds the understanding such that something laying beyond the limits of the understanding is voluntarily affirmed or denied. To put it more simply: people make mistakes when they choose to pass judgment on things they do not fully understand. So the will should be restrained within the bounds of what the mind understands in order to avoid error. Indeed, Descartes maintains that judgments should only be made about things that are clearly and distinctly understood, since their truth is guaranteed by God’s non-deceiving nature. If one only makes judgments about what is clearly and distinctly understood and abstains from making judgments about things that are not, then error would be avoided altogether. In fact, it would be impossible to go wrong if this rule were unwaveringly followed.

7. Mind-Body Relation

a. The Real Distinction

One of Descartes’ main conclusions is that the mind is really distinct from the body. But what is a “real distinction”? Descartes explains it best at Principles, part 1, section 60. Here he first states that it is a distinction between two or more substances. Second, a real distinction is perceived when one substance can be clearly and distinctly understood without the other and vice versa. Third, this clear and distinct understanding shows that God can bring about anything understood in this way. Hence, in arguing for the real distinction between mind and body, Descartes is arguing that 1) the mind is a substance, 2) it can be clearly and distinctly understood without any other substance, including bodies, and 3) that God could create a mental substance all by itself without any other created substance. So Descartes is ultimately arguing for the possibility of minds or souls existing without bodies.

Descartes argues that mind and body are really distinct in two places in the Sixth Meditation. The first argument is that he has a clear and distinct understanding of the mind as a thinking, non-extended thing and of the body as an extended, non-thinking thing. So these respective ideas are clearly and distinctly understood to be opposite from one another and, therefore, each can be understood all by itself without the other. Two points should be mentioned here. First, Descartes’ claim that these perceptions are clear and distinct indicates that the mind cannot help but believe them true, and so they must be true for otherwise God would be a deceiver, which is impossible. So the premises of this argument are firmly rooted in his foundation for absolutely certain knowledge. Second, this indicates further that he knows that God can create mind and body in the way that they are being clearly and distinctly understood. Therefore, the mind can exist without the body and vice versa.

The second version is found later in the Sixth Meditation where Descartes claims to understand the nature of body or extension to be divisible into parts, while the nature of the mind is understood to be “something quite simple and complete” so as not to be composed of parts and is, therefore, indivisible. From this it follows that mind and body cannot have the same nature, for if this were true, then the same thing would be both divisible and not divisible, which is impossible. Hence, mind and body must have two completely different natures in order for each to be able to be understood all by itself without the other. Although Descartes does not make the further inference here to the conclusion that mind and body are two really distinct substances, it nevertheless follows from their respective abilities to be clearly and distinctly understood without each other that God could create one without the other.

b. The Mind-Body Problem

The famous mind-body problem has its origins in Descartes’ conclusion that mind and body are really distinct. The crux of the difficulty lies in the claim that the respective natures of mind and body are completely different and, in some way, opposite from one another. On this account, the mind is an entirely immaterial thing without any extension in it whatsoever; and, conversely, the body is an entirely material thing without any thinking in it at all. This also means that each substance can have only its kind of modes. For instance, the mind can only have modes of understanding, will and, in some sense, sensation, while the body can only have modes of size, shape, motion, and quantity. But bodies cannot have modes of understanding or willing, since these are not ways of being extended; and minds cannot have modes of shape or motion, since these are not ways of thinking.

The difficulty arises when it is noticed that sometimes the will moves the body, for example, the intention to ask a question in class causes the raising of your arm, and certain motions in the body cause the mind to have sensations. But how can two substances with completely different natures causally interact? Pierre Gassendi in the Fifth Objections and Princess Elizabeth in her correspondence with Descartes both noted this problem and explained it in terms of contact and motion. The main thrust of their concern is that the mind must be able to come into contact with the body in order to cause it to move. Yet contact must occur between two or more surfaces, and, since having a surface is a mode of extension, minds cannot have surfaces. Therefore, minds cannot come into contact with bodies in order to cause some of their limbs to move. Furthermore, although Gassendi and Elizabeth were concerned with how a mental substance can cause motion in a bodily substance, a similar problem can be found going the other way: how can the motion of particles in the eye, for example, traveling through the optic nerve to the brain cause visual sensations in the mind, if no contact or transfer of motion is possible between the two?

This could be a serious problem for Descartes, because the actual existence of modes of sensation and voluntary bodily movement indicates that mind and body do causally interact. But the completely different natures of mind and body seem to preclude the possibility of this interaction. Hence, if this problem cannot be resolved, then it could be used to imply that mind and body are not completely different but they must have something in common in order to facilitate this interaction. Given Elizabeth’s and Gassendi’s concerns, it would suggest that the mind is an extended thing capable of having a surface and motion. Therefore, Descartes could not really come to a clear and distinct understanding of mind and body independently of one another, because the nature of the mind would have to include extension or body in it.

Descartes, however, never seemed very concerned about this problem. The reason for this lack of concern is his conviction expressed to both Gassendi and Elizabeth that the problem rests upon a misunderstanding about the union between mind and body. Though he does not elaborate to Gassendi, Descartes does provide some insight in a 21 May 1643 letter to Elizabeth. In that letter, Descartes distinguishes between various primitive notions. The first is the notion of the body, which entails the notions of shape and motion. The second is the notion of the mind or soul, which includes the perceptions of the intellect and the inclinations of the will. The third is the notion of the union of the soul with the body, on which depend the notion of the soul’s power to move the body and the body’s power to cause sensations and passions in the soul.

The notions entailed by or included in the primitive notions of body and soul just are the notions of their respective modes. This suggests that the notions depending on the primitive notion of the union of soul and body are the modes of the entity resulting from this union. This would also mean that a human being is one thing instead of two things that causally interact through contact and motion as Elizabeth and Gassendi supposed. Instead, a human being, that is, a soul united with a body, would be a whole that is more than the sum of its parts. Accordingly, the mind or soul is a part with its own capacity for modes of intellect and will; the body is a part with its own capacity for modes of size, shape, motion and quantity; and the union of mind and body or human being, has a capacity for its own set of modes over and above the capacities possessed by the parts alone. On this account, modes of voluntary bodily movement would not be modes of the body alone resulting from its mechanistic causal interaction with a mental substance, but rather they would be modes of the whole human being. The explanation of, for example, raising the arm would be found in a principle of choice internal to human nature and similarly sensations would be modes of the whole human being. Hence, the human being would be causing itself to move and would have sensations and, therefore, the problem of causal interaction between mind and body is avoided altogether. Finally, on the account sketched here, Descartes’ human being is actually one, whole thing, while mind and body are its parts that God could make exist independently of one another.

However, a final point should be made before closing this section. The position sketched in the previous couple of paragraphs is not the prevalent view among scholars and requires more justification than can be provided here. Most scholars understand Descartes’ doctrine of the real distinction between mind and body in much the same way as Elizabeth and Gassendi did such that Descartes’ human being is believed to be not one, whole thing but two substances that somehow mechanistically interact. This also means that they find the mind-body problem to be a serious, if not fatal, flaw of Descartes’ entire philosophy. But the benefit of the brief account provided here is that it helps explain Descartes’ lack of concern for this issue and his persistent claims that an understanding of the union of mind and body would put to rest people’s concerns about causal interaction via contact and motion.

8. Body and the Physical Sciences

a. Existence of the External World

In the Sixth Meditation, Descartes recognizes that sensation is a passive faculty that receives sensory ideas from something else. But what is this “something else”? According to the Causal Adequacy Principle of the Third Meditation, this cause must have at least as much reality either formally or eminently as is contained objectively in the produced sensory idea. It, therefore, must be either Descartes himself, a body or extended thing that actually has what is contained objectively in the sensory idea, or God or some creature more noble than a body, who would possess that reality eminently. It cannot be Descartes, since he has no control over these ideas. It cannot be God or some other creature more noble than a body, for if this were so, then God would be a deceiver, because the very strong inclination to believe that bodies are the cause of sensory ideas would then be wrong; and if it is wrong, there is no faculty that could discover the error. Accordingly, God would be the source of the mistake and not human beings, which means that he would be a deceiver. So bodies must be the cause of the ideas of them, and therefore bodies exist externally to the mind.

b. The Nature of Body

In part II of the Principles, Descartes argues that the entire physical universe is corporeal substance indefinitely extended in length, breadth, and depth. This means that the extension constituting bodies and the extension constituting the space in which those bodies are said to be located are the same. Here Descartes is rejecting the claim held by some that bodies have something over and above extension as part of their nature, namely impenetrability, while space is just penetrable extension in which impenetrable bodies are located. Therefore, body and space have the same extension in that body is not impenetrable extension and space penetrable extension, but rather there is only one kind of extension. Descartes maintains further that extension entails impenetrability, and hence there is only impenetrable extension. He goes on to state that: “The terms ‘place’ and ‘space,’ then, do not signify anything different from the body which is said to be in a place . . .” (AT VIIIA 47: CSM I 228). Hence, it is not that bodies are in space but that the extended universe is composed of a plurality or plenum of impenetrable bodies. On this account, there is no place in which a particular body is located, but rather what is called a “place” is just a particular body’s relation to other bodies. However, when a body is said to change its place, it merely has changed its relation to these other bodies, but it does not leave an “empty” space behind to be filled by another body. Rather, another body takes the place of the first such that a new part of extension now constitutes that place or space.

Here an example should prove helpful. Consider the example of a full wine bottle. The wine is said to occupy that place within the bottle. Once the wine is finished, this place is now constituted by the quantity of air now occupying it. Notice that the extension of the wine and that of the air are two different sets of bodies, and so the place inside the wine bottle was constituted by two different pieces of extension. But, since these two pieces of extension have the same size, shape and relation to the body surrounding it, that is, the bottle, it is called one and the same “place” even though, strictly speaking, it is made up of two different pieces of extension. Therefore, so long as bodies of the same shape, size and position continue to replace each other, it is considered one and the same place.

This assimilation of a place or space with the body constituting it gives rise to an interesting philosophical problem. Since a place is identical with the body constituting it, how does a place retain its identity and, therefore, remain the “same” place when it is replaced by another body that now constitutes it? A return to the wine bottle example will help to illustrate this point. Recall that first the extension of the wine constituted the place inside the bottle and then, after the wine was finished, that place inside the body was constituted by the extension of the air now occupying it. So, since the wine’s extension is different from the air’s extension, it seems to follow that the place inside the wine bottle is not the exactly same place but two different places at two different times. It is difficult to see how Descartes would address this issue.

Another important consequence of Descartes’ assimilation of bodies and space is that a vacuum or an empty space is unintelligible. This is because an empty space, according to Descartes, would just be a non-extended space, which is impossible. A return to the wine bottle will further illustrate this point. Notice that the place inside the wine bottle was first constituted by the wine and then by air. These are two different kinds of extended things, but they are extended things nonetheless. Accordingly, the place inside the bottle is constituted first by one body (the wine) and then by another (air). But suppose that all extension is removed from the bottle so that there is an “empty space.” Now, distance is a mode requiring extension to exist, for it makes no sense to speak of spatial distance without space or extension. So, under these circumstances, no mode of distance could exist inside the bottle. That is, no distance would exist between the bottle’s sides, and therefore the sides would touch. Therefore, an empty space cannot exist between two or more bodies.

Descartes’ close assimilation of body and space, his rejection of the vacuum, and some textual issues have lead many to infer an asymmetry in his metaphysics of thinking and extended things. This asymmetry is found in the claim that particular minds are substances for Descartes but not particular bodies. Rather, these considerations indicate to some that only the whole, physical universe is a substance, while particular bodies, for example, the wine bottle, are modes of that substance. Though the textual issues are many, the main philosophical problem stems from the rejection of the vacuum. The argument goes like this: particular bodies are not really distinct substances, because two or more particular bodies cannot be clearly and distinctly understood with an empty space between them; that is, they are not separable from each other, even by the power of God. Hence, particular bodies are not substances, and therefore they must be modes. However, this line of reasoning is a result of misunderstanding the criterion for a real distinction. Instead of trying to understand two bodies with an empty space between them, one body should be understood all by itself so that God could have created a world with that body, for example, the wine bottle, as its only existent. Hence, since it requires only God’s concurrence to exist, it is a substance that is really distinct from all other thinking and extended substances. Although difficulties also arise for this argument from Descartes’ account of bodily surfaces as a mode shared between bodies, these are too complex to address here. But, suffice it to say that the textual evidence is also in favor of the claim that Descartes, despite the unforeseen problem about surfaces, maintained that particular bodies are substances. The most telling piece of textual evidence is found in a 1642 letter to Gibeuf:

From the simple fact that I consider two halves of a part of matter, however small it may be, as two complete substances . . . I conclude with certainty that they are really divisible. (AT III 477: CSMK 202-203

These considerations in general, and this quotation in particular, lead to another distinct feature of Cartesian body, namely that extension is infinitely divisible. The point is that no matter how small a piece of matter, it can always be divided in half, and then each half can itself be divided in half, and so on to infinity. These considerations about the vacuum and the infinite divisibility of extension amount to a rejection of atomism. Atomism is a school of thought going back to the ancients, which received a revival in the 17th century most notably in the philosophy and science of Pierre Gassendi. On this account, all change in the universe could be explained by the movements of very small, indivisible particles called “atoms” in a void or empty space. But, if Descartes’ arguments for rejecting the vacuum and the infinite divisibility of matter are sound, then atomism must be false, since the existence of indivisible atoms and an empty space would both be unintelligible.

c. Physics

Descartes devised a non-atomistic, mechanistic physics in which all physical phenomena were to be explain by the configuration and motion of a body’s miniscule parts. This mechanistic physics is also a point of fundamental difference between the Cartesian and Scholastic-Aristotelian schools of thought. For the latter (as Descartes understood them), the regular behavior of inanimate bodies was explained by certain ends towards which those bodies strive. Descartes, on the other hand, thought human effort is better directed toward the discovery of the mechanistic causes of things given the uselessness of final causal explanations and how it is vain to seek God’s purposes. Furthermore, Descartes maintained that the geometric method should also be applied to physics so that results are deduced from the clear and distinct perceptions of the geometrical or quantifiable properties found in bodies, that is, size, shape, motion, determination (or direction), quantity, and so forth.

Perhaps the most concise summary of Descartes’ general view of the physical universe is found in part III, section 46 of the Principles:

From what has already been said we have established that all the bodies in the universe are composed of one and the same matter, which is divisible into indefinitely many parts, and is in fact divided into a large number of parts which move in different directions and have a sort of circular motion; moreover, the same quantity of motion is always preserved in the universe. (AT VIIIA 100: CSM I 256)

Since the matter constituting the physical universe and its divisibility were previously discussed, a brief explanation of the circular motion of bodies and the preservation of motion is in order. The first thesis is derived from God’s immutability and implies that no quantity of motion is ever added to or subtracted from the universe, but rather quantities of motion are merely passed from one body to another. God’s immutability is also used to support the first law of motion, which is that “each and everything, in so far as it can, always continues in the same state; and thus what is once in motion always continues in motion” (AT VIIIA 62-63: CSM I 241). This principle indicates that something will remain in a given state as long as it is not being affected by some external cause. So a body moving at a certain speed will continue to move at that speed indefinitely unless something comes along to change it. The second thesis about the circular motion of bodies is discussed at Principles, part II, section 33. This claim is based on the earlier thesis that the physical universe is a plenum of contiguous bodies. On this account, one moving body must collide with and replace another body, which, in turn, is set in motion and collides with another body, replacing it and so on. But, at the end of this series of collisions and replacements, the last body moved must then collide with and replace the first body in the sequence. To illustrate: suppose that body A collides with and replaces body B, B replaces C, C replaces D, and then D replaces A. This is known as a Cartesian vortex.

Descartes’ second law of motion is that “all motion is in itself rectilinear; and hence any body moving in a circle always tends to move away from the center of the circle which it describes” (AT VIIIA 63-64: CSM I 241-242). This is justified by God’s immutability and simplicity in that he will preserve a quantity of motion in the exact form in which it is occurring until some created things comes along to change it. The principle expressed here is that any body considered all by itself tends to move in a straight line unless it collides with another body, which deflects it. Notice that this is a thesis about any body left all by itself, and so only lone bodies will continue to move in a straight line. However, since the physical world is a plenum, bodies are not all by themselves but constantly colliding with one another, which gives rise to Cartesian vortices as explained above.

The third general law of motion, in turn, governs the collision and deflection of bodies in motion. This third law is that “if a body collides with another body that is stronger than itself, it loses none of its motion; but if it collides with a weaker body, it loses a quantity of motion” (AT VIIIA 65: CSM I 242). This law expresses the principle that if a body’s movement in a straight line is less resistant than a stronger body with which it collides, then it won’t lose any of its motion but its direction will be changed. But if the body collides with a weaker body, then the first body loses a quantity of motion equal to that given in the second. Notice that all three of these principles doe not employ the goals or purposes (that is, final causes) utilized in Scholastic-Aristotelian physics as Descartes understood it but only the most general laws of the mechanisms of bodies by means of their contact and motion.

d. Animal and Human Bodies

In part five of the Discourse on Method, Descartes examines the nature of animals and how they are to be distinguished from human beings. Here Descartes argues that if a machine were made with the outward appearance of some animal lacking reason, like a monkey, it would be indistinguishable from a real specimen of that animal found in nature. But if such a machine of a human being were made, it would be readily distinguishable from a real human being due to its inability to use language. Descartes’ point is that the use of language is a sign of rationality and only things endowed with minds or souls are rational. Hence, it follows that no animal has an immaterial mind or soul. For Descartes this also means that animals do not, strictly speaking, have sensations like hunger, thirst and pain. Rather, squeals of pain, for instance, are mere mechanical reactions to external stimuli without any sensation of pain. In other words, hitting a dog with a stick, for example, is a kind of input and the squeal that follows would be merely output, but the dog did not feel anything at all and could not feel pain unless it was endowed with a mind. Humans, however, are endowed with minds or rational souls, and therefore they can use language and feel sensations like hunger, thirst, and pain. Indeed, this Cartesian “fact” is at the heart of Descartes’ argument for the union of the mind with the body summarized near the end of part five of the Discourseand laid out in full in the Sixth Meditation.

Yet Descartes still admits that both animal and human bodies can be best understood to be “machine[s] made of earth, which God forms.” (AT XI 120: CSM I 99). The point is that just as the workings of a clock can be best understood by means of the configuration and motion of its parts so also with animal and human bodies. Indeed, the heart of an animal and that of a human being are so much alike that he advises the reader unversed in anatomy “to have the heart of some large animal with lungs dissected before him (for such a heart is in all respects sufficiently like that of a man), and be shown the two chambers or cavities which are present in it” (AT VI 47: CSM I 134). He then goes on to describe in some detail the motion of the blood through the heart in order to explain that when the heart hardens it is not contracting but really swelling in such a way as to allow more blood into a given cavity. Although this account goes contrary to the (more correct) observation made by William Harvey, an Englishman who published a book on the circulation of the blood in 1628, Descartes argues that his explanation has the force of geometrical demonstration. Accordingly, the physiology and biology of human bodies, considered without regard for those functions requiring the soul to operate, should be conducted in the same way as the physiology and biology of animal bodies, namely via the application of the geometrical method to the configuration and motion of parts.

9. Sensations and Passions

In his last published work, Passions of the Soul, Descartes provides accounts of how various motions in the body cause sensations and passions to arise in the soul. He begins by making several observations about the mind-body relation. The whole mind is in the whole body and the whole in each of its parts but yet its primary seat is in a little gland at the center of the brain now known as the “pineal gland.” Descartes is not explicit about what he means by “the whole mind in the whole body and the whole in each of its parts.” But this was not an uncommon way of characterizing how the soul is united to the body at Descartes’ time. The main point was that the soul makes a human body truly human; that is, makes it a living human body and not merely a corpse. Given Descartes’ unexplained use of this phrase, it is reasonable to suppose that he used it in the way his contemporaries would have understood it. So the mind is united to the whole body and the whole in each of its parts insofar as it is a soul or principle of life. Accordingly, the body’s union with the soul makes it a living human body or a human body, strictly speaking (see letter to Mersenne dated 9 February 1645). But, the “primary seat”, that is, the place where the soul performs its primary functions, is the point where the mind is, in some sense, affected by the body, namely the pineal gland.

Descartes maintains further that all sensations depend on the nerves, which extend from the brain to the body’s extremities in the form of tiny fibers encased by tube-like membranes. These fibers float in a very fine matter known as the “animal spirits.” This allows these fibers to float freely so that anything causing the slightest motion anywhere in the body will cause movement in that part of the brain where the fiber is attached. The variety of different movements of the animals spirits cause a variety of different sensations not in the part of the body originally affected but only in the brain and ultimately in the pineal gland. So, strictly speaking, pain does not occur in the foot when a toe is stubbed but only in the brain. This, in turn, may cause the widening or narrowing of pores in the brain so as to direct the animals spirits to various muscles and make them move. For example, the sensation of heat is produced by the imperceptible particles in the pot of boiling water, which caused the movement of the animal spirits in the nerves terminating at the end of the hand. These animal spirits then move the fibers extending to the brain through the tube of nerves causing the sensation of pain. This then causes various pores to widen or narrow in the brain so as to direct the animals spirits to the muscles of the arm and cause it to quickly move the hand away from the heat in order to remove it from harm. This is the model for how all sensations occur.

These sensations may also cause certain emotions or passions in the mind. However, different sensations do not give rise to different passions because of the difference in objects but only in regards to the various ways these things are beneficial, harmful or important for us. Accordingly, the function of the passions is to dispose the soul to want things that are useful and to persist in this desire Moreover, the same animal spirits causing these passions also dispose the body to move in order to attain them. For example, the sight of an ice cream parlor, caused by the movement of the animal spirits in the eye and through the nerves to the brain and pineal gland, might also cause the passion of desire to arise. These same animal spirits would then dispose the body to move (for example, toward the ice cream parlor) in order to attain the goal of eating ice cream thereby satisfying this desire. Descartes goes on to argue that there are only six primitive passions, namely wonder, love, hatred, desire, joy and sadness. All other passions are either composed of some combination of these primitives or are species of one of these six genera. Much of the rest of parts 2 and 3 of the Passions of the Soul is devoted to detailed explications of these six primitive passions and their respective species.

10. Morality

a. The Provisional Moral Code

In Part 3 of the Discourse on Method, Descartes lays out a provisional moral code by which he plans to live while engaged in his methodological doubt in search of absolute certainty. This code of “three or four” rules or maxims is established so that he is not frozen by uncertainty in the practical affairs of life. These maxims can be paraphrased as follows:

  1. To obey the laws and customs of my country, holding constantly to the Catholic religion, and governing myself in all other matters according to the most moderate opinions accepted in practice by the most sensible people.
  2. To be as firm and decisive in action as possible and to follow even the most doubtful opinions once they have been adopted.
  3. Try to master myself rather than fortune, and change my desires rather than the order of the world.
  4. Review the various professions and chose the best (AT VI 23-28: CSM I 122-125).

The main thrust of the first maxim is to live a moderate and sensible life while his previously held beliefs have been discarded due to their uncertainty. Accordingly, it makes sense to defer judgment about such matters until certainty is found. Presumably Descartes defers to the laws and customs of the country in which he lives because of the improbability of them leading him onto the wrong path while his own moral beliefs have been suspended. Also, the actions of sensible people, who avoid the extremes and take the middle road, can provide a temporary guide to action until his moral beliefs have been established with absolute certainty. Moreover, although Descartes does seems to bring his religious beliefs into doubt in the Meditations, he does not do so in the Discourse. Since religious beliefs can be accepted on faith without absolutely certain rational justification, they are not subject to methodological doubt as employed in the Discourse. Accordingly, his religious beliefs can also serve as guides for moral conduct during this period of doubt. Therefore, the first maxim is intended to provide Descartes with guides or touchstones that will most likely lead to the performance of morally good actions.

The second maxim expresses a firmness of action so as to avoid the inaction produced by hesitation and uncertainty. Descartes uses the example of a traveler lost in a forest. This traveler should not wander about or even stand still for then he will never find his way. Instead, he should keep walking in a straight line and should never change his direction for slight reasons. Hence, although the traveler may not end up where he wants, at least he will be better off than in the middle of a forest. Similarly, since practical action must usually be performed without delay, there usually is not time to discover the truest or most certain course of action, but one must follow the most probable route. Moreover, even if no route seems most probable, some route must be chosen and resolutely acted upon and treated as the most true and certain. By following this maxim, Descartes hopes to avoid the regrets experienced by those who set out on a supposedly good course that they later judge to be bad.

The third maxim enjoins Descartes to master himself and not fortune. This is based on the realization that all that is in his control are his own thoughts and nothing else. Hence, most things are out of his control. This has several implications. First, if he has done his best but fails to achieve something, then it follows that it was not within his power to achieve it. This is because his own best efforts were not sufficient to achieve that end, and so whatever effort would be sufficient is beyond his abilities. The second implication is that he should desire only those things that are within his power to obtain, and so he should control his desires rather than try to master things beyond his control. In this way, Descartes hopes to avoid the regret experienced by those who have desires that cannot be satisfied, because this satisfaction lies beyond their grasp so that one should not desire health when ill nor freedom when imprisoned.

It is difficult to see why the fourth maxim is included. Indeed, Descartes himself seems hesitant about including it when he states at the outset that his provisional moral code consists of “three or four maxims.” Although he does not examine other occupations, Descartes is content with his current work because of the pleasure he receives from discovering new and not widely known truths. This seems to imply the correct choice of occupation can ensure a degree of contentedness that could not be otherwise achieved if one is engaged in an occupation for which one is not suited. Descartes also claims that his current occupation is the basis of the other three maxims, because it is his current plan to continue his instruction that gave rise to them. He concludes with a brief discussion of how his occupational path leads to the acquisition of knowledge, which, in turn, will lead to all the true goods within his grasp. His final point is that learning how best to judge what is good and bad makes it possible to act well and achieve all attainable virtues and goods. Happiness is assured when this point is reached with certainty.

b. Generosity

After the Discourse of 1637, Descartes did not take up the issue of morality in any significant way again until his correspondence with Princess Elizabeth in 1643, which culminated in his remarks about generosity in part 3 of the Passions of the Soul. Given the temporal distance between his main reflections on morality, it is easy to attribute to Descartes two moral systems – the provisional moral code and the ethics of generosity. But Descartes’ later moral thinking retains versions of the second and third maxim without much mention of the first and fourth. This indicates that Descartes’ later moral theory is really an extension of his earlier thought with the second and third maxims at its core. At Passions, part 3, section 153, Descartes claims that the virtue of generosity “causes a person’s self-esteem to be as great as it may legitimately be” and has two components. First is knowing that only the freedom to dispose volitions is in anyone’s power. Accordingly, people should only be praised or blamed for using one’s freedom either well or poorly. The second component is the feeling of a “firm and constant resolution” to use one’s freedom well such that one can never lack the will to carry out whatever has been judged to be best.

Notice that both components of generosity relate to the second and third maxim of the earlier provisional moral code. The first component is reminiscent of the third maxim in its acknowledgment of people’s freedom of choice and the control they have over the disposition of their will or desire, and therefore they should be praised and blamed only for those things that are within their grasp. The second component relates to the second maxim in that both pertain to firm and resolute action. Generosity requires a resolute conviction to use free will correctly, while the second maxim is a resolution to stick to the judgment most likely to lead to a good action absent a significant reason for changing course. However, a difference between these two moral codes is that the provisional moral code of the Discourse focuses on the correct use and resolute enactment of probable judgments, while the later ethics of generosity emphasizes a firm resolution to use free will correctly. Hence, in both moral systems, the correct use of mental faculties, namely judgment and free will, and the resolute pursuit of what is judged to be good is to be enacted. This, in turn, should lead us to a true state of generosity so as to legitimately esteem ourselves as having correctly used those faculties through which humans are most in the likeness of God.

11. References and Further Reading

a. Primary Sources

  • Descartes, René, Oeuvres de Descartes, eds. Charles Adam and Paul Tannery, Paris: Vrin, originally published 1987-1913.
    • This is still the standard edition of all of Descartes’ works and correspondence in their original languages. Cited in the text as AT volume, page.
  • Descartes, René, The Philosophical Writings of Descartes, trans. John Cottingham, Robert Stoothoff, Dugald Murdoch and Anthony Kenny, Cambridge: Cambridge Universiety Press, 3 vols.1984-1991.
    • This is the standard English translation of Descartes philosophical works and correspondence. Cited in the text as CSM or CSMK volume, page.

b. Secondary Sources

  • Ariew, Roger, Marjorie GRené, eds., Descartes and His Contemporaries: Meditations, Objections, and Replies, Chicago: University of Chicago Press, 1995.
    • This is a collection of essays by prominent scholars about various issues raised in the Meditations, objections to them and the adequacy or inadequacy of Descartes’ replies.
  • Broughton, Janet, Descartes’s Method of Doubt, Princeton: Princeton University Press, 2003.
    • A study of Descartes’ method and its results.
  • Dicker, Georges, Descartes: An Analytical and Historical Introduction, Oxford: Oxford University Press, 1993.
    • A clear and concise introduction to Descartes’ philosophy.
  • Frankfurt, Harry, Demons, Dreamers and Madmen: the Defense of Reason in Descartes’ Meditations, Indianapolis: Bobbs-Merrill, 1970.
    • A classic examination of Descartes’ Meditations.
  • Garber, Daniel, Descartes’ Metaphysical Physics, Chicago and London: University of Chicago Press, 1992.
    • Provides a detailed account of Cartesian science and its metaphysical foundations.
  • Gaukroger, Stephen, Descartes: An Intellectual Biography, Oxford: Clarendon Press, 1995.
    • Though somewhat technical, this is a very good biography of Descartes’ intellectual development emphasizing his early years and his interests in mathematics and science.
  • Kenny, Anthony, Descartes: A Study of His Philosophy, New York: Random House, 1968.
    • A classic study of Descartes’ philosophy through the Meditations.
  • Marshall, John, Descartes’s Moral Theory, Ithaca and London: Cornell University Press, 1998.
    • One of the few book length explications of Descartes’ moral theory.
  • Rodis-Lewis, Genevieve, Descartes: His Life and Thought, trans. Jane Marie Todd, Ithaca and London: Cornell University Press, 1998
    • This is a very readable and enjoyable biography.
  • Rozemond, Marleen, Descartes’s Dualism, Cambridge: Harvard University Press, 1998.
    • Provides an interpretation of the real distinction between mind and body, their causal interaction and theory of sensation within the context of late Scholastic theories of soul-body union and sensation.
  • Secada, Jorge, Cartesian Metaphysics: The Late Scholastic Origins of Modern Philosophy, Cambridge: Cambridge University Press, 2000.
    • An at times technical, though readable, account of the whole of Descartes’ metaphysics from within the context of late Scholasticism.
  • Skirry, Justin, Descartes and the Metaphysics of Human Nature, London: Thoemmes-Continuum Press, 2005.
    • Provides an account of Descartes’ theory of mind-body union and how it helps him to avoid the mind-body problem.
  • Verbeek, Theo, Descartes and the Dutch: Early Reactions to Cartesian Philosophy 1637-1650,Carbondale: Southern Illinois University Press, 1994.
    • Provides a history and account of the controversies at Utrecht and Leiden.
  • Williston, Byron and Andre Gomby, eds., Passion and Virtue in Descartes, New York: Humanity Books, 2003.
    • An anthology of essays by many noted scholars on Descartes’ theory of the passions and aspects of his later moral theory.
  • Williams, Bernard, Descartes: The Project of Pure Enquiry, Sussex: Harvester Press, 1978.
    • Classic account of Descartes’ philosophy in general.
  • Wilson, Margaret, Descartes, London and Boston: Routledge and Kegan Paul, 1978.
    • A classic in Descartes scholarship covering the whole of his philosophy as expressed in the Meditations.

Author Information

Justin Skirry
Email: jskirry@yahoo.com
Nebraska-Wesleyan University
U. S. A.

Russian Philosophy

RussiaThis article provides a historical survey of Russian philosophers and thinkers. It emphasizes Russian epistemological concerns rather than ontological and ethical concerns, hopefully without neglecting or disparaging them. After all, much work in ethics, at least during the Soviet period, strictly supported the state, such that what is taken to be good is often that which helps secure the goals of Soviet society. Unlike most other major nations, political events in Russia’s history played large roles in shaping its periods of philosophical development.

Various conceptions of Russian philosophy have led scholars to locate its start at different moments in history and with different individuals. However, few would dispute that there was a religious orientation to Russian thought prior to Peter the Great (around 1700) and that professional, secular philosophy—in which philosophical issues are considered on their own terms without explicit appeal to their utility—arose comparatively recently in the country’s history.

Despite the difficulties, we can distinguish five major periods in Russian philosophy. In the first period (The Period of Philosophical Remarks), there is a clear emergence of something resembling what we would now characterize as philosophy. However, religious and political conservativism imposed many restrictions on the dissemination of philosophy during this time. The second period (The Philosophical Dark Age) was marked by much forced silence of the Russian philosophical community. Many subsumed philosophy under the scope of religion or politics, and the discipline was evaluated primarily by whether it was of any utility. The third period (The Emergence of Professional Philosophy) showed an increase in many major Russian thinkers, many of which were influenced by philosophers of the West, such as Plato, Kant, Spinoza, Hegel, and Husserl. The rise of Russian philosophy that was not beholden to religion and politics also began in this period. In the fourth period (The Soviet Era), there were significant concerns about the primacy of the natural sciences. This spawned, for example, the debate between those who thought all philosophical problems would be resolved by the natural sciences (the mechanists) and those who defended the existence of philosophy as a separate discipline (the Deborinists). The fifth period (The Post-Soviet Era) is surely too recent to fully describe. However, there has certainly been a rediscovery of the works of the religious philosophers that were strictly forbidden in the past.

Table of Contents

  1. Overview of the Problem
    1. Masaryk
    2. Lossky and Zenkovsky
    3. Shpet
    4. Concluding Remarks
  2. Historical Periods
    1. The Period of Philosophical Remarks (c.1755-1825)
    2. The Philosophical Dark Age (c. 1825-1860)
    3. The Emergence of Professional Philosophy (c. 1860-1917)
    4. The Soviet Era (1917-1991)
    5. The Post-Soviet Era (1991-)
  3. Concluding Remarks
  4. References and Further Reading

1. Overview of the Problem

The very notion of Russian philosophy poses a cultural-historical problem. No consensus exists on which works it encompasses and which authors made decisive contributions. To a large degree, a particular ideological conception of Russian philosophy, of what constitutes its essential traits, has driven the choice of inclusions. In turn, the various conceptions have led scholars to locate the start of Russian philosophy at different moments and with different individuals.

a. Masaryk

Among the first to deal with this issue was T. Masaryk (1850-1937), a student of Franz Brentano’s and later the first president of the newly formed Czechoslovakia. Masaryk, following the lead of a pioneering Russian scholar E. Radlov (1854-1928), held that Russian thinkers have historically given short shrift to epistemological issues in favor of ethical and political discussions. For Masaryk, even those who were indebted to the ethical teachings of Immanuel Kant (1724-1804), scarcely understood and appreciated his epistemological criticism, which they viewed as essentially subjectivistic. True, Masaryk does comment that the Russian mind is “more inclined” to mythology than the Western European—a position that could lead us to conclude that he viewed the Russian mind as in some way innately different from others. However, he makes clear that the Russian predilection for unequivocal acceptance or total negation of a viewpoint stems, at least to a large degree, from the native Orthodox faith. Church teachings had “accustomed” the Russian mind to accept doctrinaire revelation without criticism. For this reason, Masaryk certainly placed the start of Russian philosophy no earlier than the 19th century with the historiosophical musings of P. Chaadaev (1794-1856), who not surprisingly also pinned blame for the country’s position in world affairs on its Orthodox faith.

b. Lossky and Zenkovsky

Others, particularly ethnic Russians, alarmed by what they took to be Masaryk’s implicit denigration of their intellectual character, have denied that Russian philosophy suffered from a veritable absence of epistemological inquiry. For N. Lossky (1870-1965), Russian philosophers admittedly have, as a rule, sought to relate their investigations, regardless of the specific concern, to ethical problems. This, together with a prevalent epistemological view that externality is knowable—and indeed through an immediate grasping or intuition—has given Russian philosophy a form distinct from much of modern Western philosophy. Nevertheless, the relatively late emergence of independent Russian philosophical thought was a result of the medieval “Tatar yoke” and of the subsequent cultural isolation of Russia until Peter the Great’s opening to the West. Even then, Russian thought remained heavily indebted to developments in Germany until the emergence of 19th century Slavophilism with I. Kireyevsky (1806-56) and A. Khomiakov (1804-60).

Even more emphatically than Lossky, V. Zenkovsky (1881-1962) denied the absence of epistemological inquiry in Russian thought. In his eyes, Russian philosophy rejected the primacy accorded, at least since Kant, to the theory of knowledge over ethical and ontological issues. A widespread, though not unanimous, view among Russian philosophers, according to Zenkovsky, is ontologism (that is, that knowledge plays but a secondary role in human existential affairs). Yet, whereas many Russians historically have advocated such an ontologism, it is by no means unique to that nation. More characteristic of Russian philosophy, for Zenkovsky, is its anthropocentrism (that is, a concern with the human condition and humanity’s ultimate fate). For this reason, philosophy in Russia has historically been expressed in terms noticeably different from those in the West. Furthermore, like Lossky, Zenkovsky saw the comparatively late development of Russian philosophy as a result of the country’s isolation and subsequent infatuation with Western modes of thought until the 19th century. Thus, although Zenkovsky placed Kireyevsky only at the “threshold” of a mature, independent “Russian philosophy” (understood as a system), the former believed it possible to trace the first independent stirrings back to G. Skovoroda (1722-94), who, strictly speaking, was the first Russian philosopher.

Largely as a result of rejecting the primacy of epistemology and the Cartesian model of methodological inquiry, Lossky (and Zenkovsky even more) included within “Russian philosophy” figures whose views would hardly qualify for inclusion within contemporary Western treatises in the history of philosophy. During the Soviet period, Russian scholars appealed to the Marxist doctrine linking intellectual thought to the socio-economic base for their own rather broad notion of philosophy. Any attempt at confining their history to what passes for professionalism today in the West was simply dismissed as “bourgeois.” In this way, such literary figures as Dostoyevsky and Tolstoy were routinely included in texts, though just as routinely condemned for their own supposedly bourgeois mentality. Western studies devoted to the history of Russian philosophy have largely since their emergence acquiesced in this acceptance of a broad understanding of philosophy. F. Copleston, for example, conceded that “for historical reasons” philosophy in Russia tended to be informed by a socio-political orientation. Such an apology for his book-length study can be seen as somewhat self-serving, since he recognizes that philosophy as a theoretical discipline never flourished in Russia. Likewise, A. Walicki fears viewing the history of Russian philosophy from the contemporary Western technical standpoint would result in an impoverished picture populated with wholly unoriginal authors. Obviously, one cannot write a history of some discipline if that discipline lacks content!

c. Shpet

Of those seemingly unafraid to admit the historical poverty of philosophical thought in Russia, Gustav Shpet (1879-1937) stands out not only for his vast historical erudition but also because of his own original philosophical contributions. Shpet, almost defiantly, characterized the intellectual life of Russia as rooted in an “elemental ignorance.” Unlike Masaryk, however, Shpet did not view this dearth as stemming from Russia’s Orthodox faith but from his country’s linguistic isolation. The adopted language of the Bulgars lacked a cultural and intellectual tradition. Without a heritage by which to appreciate ideas, intellectual endeavors were valued for their utility alone. Although the government saw no practical benefit in it, the Church initially found philosophy useful as a weapon to safeguard its position. This toleration extended no further, and certainly the clerical authorities countenanced no divergence or independent creativity. With Peter the Great’s governmental reforms, the state saw the utility of education and championed those and only those disciplines that served a bureaucratic and apologetic function. After the successful military campaign against Napoleon, many young Russian officers had their first experience of Western European culture and returned to Russia with incipient revolutionary ideas that, in a relatively short time, found expression in the abortive Decembrist Uprising of 1825. Finally, towards the end of the 1830s a new group, a “nihilistic intelligentsia,” appeared that preached a toleration of cultural forms, including philosophy, but only insofar as they served the “people.” Such was the fate of philosophy in Russia that it was virtually never viewed as anything but a tool or weapon and had to incessantly demonstrate this utility on fear of losing its legitimacy. Shpet concludes that philosophy as knowledge, as being of value for its own sake, was never given a chance.

d. Concluding Remarks

Regardless of the date from which we place the start of Russian philosophy and its first practitioner—and we will have more to say on this topic as we go—few would dispute the religious orientation of Russian thought prior to Peter the Great and that professional secular philosophy arose comparatively recently in the country’s history. If we are to avoid a double standard, one for “Western” thought and another for Russian, which is not merely self-serving but also condescending, then we must examine the historical record for indisputable instances of philosophical thought that would be recognized as such regardless of where they originated. Although, on the whole, our inclusions, omissions, and evaluations may more closely resemble those of Shpet than, say, Lossky, we thereby need not invoke any metaphysical historical scheme to justify them.

How precisely to subdivide the history of Russian philosophy has also been a subject of some controversy. In his pioneering study from 1898, A. Vvedensky (see below), Russia’s foremost neo-Kantian, found three periods up to his time. Of course, in light of 20th century events his list must be revisited, reexamined, and expanded. We can readily discern five periods in Russian philosophy, the last of which is still too recent to characterize. Unlike most major nations, specific extra-philosophical (namely, political) events clearly played a major role, if not the sole role, in terminating a period.

2. Historical Periods

a. The Period of Philosophical Remarks (c.1755-1825)

Although one can find scattered remarks of a philosophical nature in Russian writings before the mid-eighteenth century, these are at best of marginal interest to the professionally trained philosopher. For the most part, these remarks were not intended to stand as rational arguments in support of a position. Even in the ecclesiastic academies, the thin scholastic veneer of the accepted texts was merely a traditional schematic device, a relic from the time when the only appropriate texts available were Western. For whatever reason, only with the opening of the nation’s first university in Moscow in 1755 do we see the emergence of something resembling philosophy, as we use that term today. Even then, however, the floodgates did not burst wide open. The first occupant of the chair of philosophy, N. Popovsky (1730-1760), was more suited to the teaching of poetry and rhetoric, to which chair he was shunted after one brief year.

Sensing the dearth of adequately trained native personnel, the government invited two Germans to the university, thus initiating a practice that would continue well into the next century. The story of the first ethnic Russian to hold the professorship in philosophy for any significant length of time is itself indicative of the precarious existence of philosophy in Russia for much of its history. Having already obtained a magister’s degree in 1760 with a thesis entitled “Rassuzhdenie o bessmertii dushi chelovechoj” (“A Treatise on the Immortality of the Human Soul”), Dmitry Anichkov (1733-1788) submitted in 1769 a dissertation on natural religion. Anichkov’s dissertation was found to contain atheistic opinions and was subjected to a lengthy 18-year investigation. Legend has it that the dissertation was publicly burned, although there is no firm evidence for this. As was common at the time, Anichkov used Wolffian philosophy manuals and during his first years taught in Latin.

Another notable figure at this time was S. Desnitsky (~1740-1789), who taught jurisprudence at Moscow University. Desnitsky attended university in Glasgow, where he studied under Adam Smith (1723-1790) and became familiar with the works of David Hume (1711-1776). The influence of Smith and British thought in general is evident in memoranda from February 1768 that Desnitsky wrote on government and public finance. Some of these ideas, in turn, appeared virtually verbatim in a portion of Catherine the Great’s famous Nakaz, or Instruction, published in April of that year.

Also in 1768 appeared Ya. Kozelsky’s Filosoficheskie predlozhenija (Philosophical Propositions), an unoriginal but noteworthy collection of numbered statements on a host of topics, not all of which were philosophical in a technical, narrow sense. By his own admission, the material dealing with “theoretical philosophy” was drawn from the Wolffians, primarily Baumeister, and that dealing with “moral philosophy” from the French Enlightenment thinkers, primarily Rousseau, Montesquieu, and Helvetius. The most interesting feature of the treatise is its acceptance of a social contract, of an eight-hour workday, the explicit rejection of great disparities of wealth and its silence on religion as a source of morality. Nevertheless, in his “theoretical philosophy,” Kozelsky (1728-1795) rejected atomism and the Newtonian conception of the possibility of empty space.

During Catherine’s reign, plans were made to establish several universities in addition to that in Moscow. Of course, nothing came of these. Moscow University itself had a difficult time attracting a sufficient number of students, most of whom came from poorer families. Undoubtedly, given the state of the Russian economy and society, the virtually ubiquitous attitude was that the study of philosophy was a sheer luxury with no utilitarian value. In terms of general education, the government evidently concluded that sending students abroad offered a better investment than spending large sums at home where the infrastructure needed much work and time to develop. Unfortunately, although there were some who returned to Russia and played a role in the intellectual life of the country, many more failed to complete their studies for a variety of reasons, including falling into debt. Progress, however, skipped a beat in 1796 when Catherine’s son and successor, Paul, ordered the recall of all Russian students studying abroad.

Despite its relatively small number of educational institutions, Russia felt a need to invite foreign scholars to help staff these establishments. One of the scholars, J. Schaden (1731-1797), ran a private boarding school in Moscow in addition to teaching philosophy at the university. The most notorious incident from these early years, however, involves the German Ludwig Mellman, who in the 1790s introduced Kant’s thought into Russia. Mellman’s advocacy found little sympathy even among his colleagues at Moscow University, and in a report to the Tsar the public prosecutor charged Mellman with “mental illness.” Not only was Mellman dismissed from his position, but he was forced to leave Russia as well.

Under the initiative of the new Tsar, Alexander I, two new universities were opened in 1804. With them, the need for adequately trained professors again arose. Once more the government turned to Germany, and, with the dislocations caused by the Napoleonic Wars, Russia stood in an excellent position to reap an intellectual harvest. Unfortunately, many of these invited scholars left little lasting impact on Russian thought. For example, one of the most outstanding, Johann Buhle (1763-1821), had already written a number of works on the history of philosophy before taking up residence in Moscow. Yet, once in Russia, his literary output plummeted, and his ignorance of the local language certainly did nothing to extend his influence.

Nonetheless, the sudden influx of German scholars, many of whom were intimately familiar with the latest philosophical developments, acted as an intellectual tonic on others. The arrival of the Swiss physicist Franz Bronner (1758-1850) at the new University of Kazan may have introduced Kant’s epistemology to the young future mathematician Lobachevsky. The Serb physicist, A. Stoikovich (1773-1832), who taught at Kharkov University, prepared a text for class use in which the content was arranged in conformity with Kant’s categories. One of the earliest Russian treatments of a philosophical topic, however, was A. Lubkin’s two “Pis’ma o kriticheskoj filosofii” (“Letters on Critical Philosophy”) from 1805. Lubkin (1770/1-1815), who at the time taught at the Petersburg Military Academy, criticized Kant’s theory of space and time for its agnostic implications saying that we obtain our concepts of space and time from experience. Likewise, in 1807 a professor of mathematics at Kharkov University, T. Osipovsky (1765-1832), delivered a subsequently published speech “O prostranstve i vremeni” (“On Space and Time”), in which he questioned whether, given the various considerations, Kant’s position was the only logical conclusion possible. Assuming the Leibnizian notion of a preestablished harmony, we can uphold all of Kant’s specific observations concerning space and time without concluding that they exist solely within our cognitive faculty. Osipovsky went on to make a number of other perceptive criticisms of Kant’s position, though Kant’s German critics already voiced many of these during his lifetime.

In the realm of social and political philosophy, as understood today, the most interesting and arguably the most sophisticated document from the period of the Russian Enlightenment is A. Kunitsyn’s Pravo estestvennoe (Natural Law). In his summary text consisting of 590 sections, Kunitsyn (1783-1840) clearly demonstrated the influence of Kant and Rousseau, holding that rational dictates concerning human conduct form moral imperatives, which we feel as obligations. Since each of us possesses reason, we must always be treated morally as ends, never as means toward an end. In subsequent paragraphs, Kunitsyn elaborated his conception of natural rights, including his belief that among these rights is freedom of thought and expression. His outspoken condemnation of serfdom, however, is not one that the Russian authorities could either have missed or passed over. Shortly after the text reached their attention, all attainable copies were confiscated, and Kunitsyn himself was dismissed from his teaching duties at St. Petersburg University in March 1821.

Another scholar associated with St. Petersburg University was Aleksandr I. Galich (1783-1848). Sent to Germany for further education, he there became acquainted with the work of Friedrich Wilhelm Joseph von Schelling (1775-1854). With his return to Russia in 1813, he was appointed adjunct professor of philosophy at the Pedagogical Institute in St. Petersburg; and in 1819, when the institute was transformed into a university, Galich was named to the chair of philosophy. His teaching career, however, was short-lived, for in 1821 Galich was charged with atheism and revolutionary sympathies. Although stripped of teaching duties, he continued to draw a full salary until 1837. Galich’s importance lays not so much in his own quasi-Schellingian views as his pioneering treatments of the history of philosophy, aesthetics and philosophical anthropology. His two-volume Istorija filosofskikh sistem (History of Philosophical Systems) from 1818-19 concluded with an exposition of Schelling’s position and contained quite probably the first discussion in Russian of G.W.F. Hegel (1770-1831) and, in particular, of his Science of Logic. Galich’s Opyt nauki izjashchnogo (An Attempt at a Science of the Beautiful) from 1825 is certainly among the first Russian treatises in aesthetics. For Galich, the beautiful is the sensuous manifestation of truth and as such is a sub-discipline within philosophy. His 1834 work, Kartina cheloveka (A Picture of Man), marked the first Russian foray into philosophical anthropology. For Galich all “scientific” disciplines, including theology, are in need of an anthropological foundation; and, moreover, such a foundation must recognize the unity of the human aspects and functions, be they corporeal or spiritual.

The increasing religious and political conservativism that marked Tsar Alexander’s later years imposed onerous restrictions on the dissemination of philosophy, both in the classroom and in print. By the time of the Tsar’s death in 1825, most reputable professors of philosophy had already been administratively silenced or cowed into compliance. At the end of that year, the aborted coup known as the “Decembrist Uprising”—many of whose leaders had been exposed to the infection of Western European thought—only hardened the basically anti-intellectual attitude of the new Tsar Nicholas. Shortly after I. Davydov (1792/4-1863), hardly either an original or a gifted thinker, had given his introductory lecture “O vozmozhnosti filosofii kak nauki” (“On the Possibility of Philosophy as Science”) in May 1826 as professor of philosophy at Moscow University, the chair was temporarily abolished and Davydov shifted to teaching mathematics.

b. The Philosophical Dark Age (c. 1825-1860)

The reign of Nicholas I (1825-1855) was marked by intellectual obscurantism and an enforced philosophical silence, unusual even by Russian standards. The Minister of Public Education, A. Shishkov, blamed the Decembrist Uprising explicitly on the contagion of foreign ideas. To prevent their spread, he and Nicholas’s other advisors restricted the access of non-noble youths to higher education and had the tsar enact a comprehensive censorship law that held publishers legally responsible even after the official censor’s approval of a manuscript. Yet the scope of this new “cast-iron statute” was conceived so broadly that even at the time it was remarked that the Lord’s Prayer could be interpreted as revolutionary speech. While prevented an outlet in a dedicated professional manner at the universities, philosophy found energetic, though amateurish, expression first in the faculties of medicine and physics and then later in fashionable salons and social gatherings—where discipline, rigor and precision were held of little value. During these years, those empowered to teach philosophy at the universities struggled with the task of justifying the very existence of their discipline, not in terms of a search for truth, but as having some social utility. Given the prevailing climate of opinion, this proved to be a hard sell. The news of revolutions in Western Europe in 1848 was the last straw. All talk of reform and social change was simply ruled impermissible, and travel beyond the Empire’s borders was forbidden. Finally, in 1850, the minister of education took the step that was thought too extreme in the 1820s: in order to protect Russia from the latest philosophical systems, and therefore intellectual infection, the teaching of philosophy in public universities was simply to be eliminated. Logic and psychology were permitted, but only in the safe hands of theology professors. This situation persisted until 1863, when, in the aftermath of the humiliating Crimean War, philosophy reentered the public academic arena. Even then, however, severe restrictions on its teaching persisted until 1889!

Nevertheless, despite the oppressive atmosphere, some independent philosophizing emerged during the Nicholas years. At first, Schelling’s influence dominated abstract discussions, particularly those concerning the natural sciences and their place with regard to the other academic disciplines. However, the two chief Schellingians of the era—D. Vellansky (1774-1847) and M. Pavlov (1793-1840)—both valued German Romanticism, more for its sweeping conclusions than for either its arguments or its being the logical outcome of a philosophical development that had begun with Kant. Though both Vellansky and Pavlov penned a considerable number of works, none of them would find a place within today’s philosophy curriculum. Slightly later, in the 1830s and ’40s, the discussion turned to Hegel’s system, again with great enthusiasm but with little understanding either with what Hegel actually meant or with the philosophical backdrop of his writings. Not surprisingly, Hegel’s own self-described “voyage of discovery,” the Phenomenology of Spirit, remained an unknown text. Suffice it to say that, but for the dearth of original competent investigations at this time, the mere mention of the Stankevich and the Petrashevsky circles, the Slavophiles and the Westernizers, etc. in a history of philosophy text would be regarded a travesty.

Nevertheless, amid the darkness of official obscurantism, there were a few brief glimmers of light. In his 1833 Vvedenie v nauku filosofii (Introduction to the Science of Philosophy), F. Sidonsky (1805-1873) treated philosophy as a rational discipline independent of theology. Although conterminous with theology, Sidonsky regarded philosophy as both a necessary and a natural searching of the human mind for answers that faith alone cannot adequately supply. By no means did he take this to mean that faith and reason conflict. Revelation provides the same truths, but the path taken, though dogmatic and therefore rationally unsatisfying, is considerably shorter. Much more could be said about Sidonsky’s introductory text, but both it and its author were quickly consigned to the margins of history. Notwithstanding his book’s desired recognition in some secular circles, Sidonsky soon after its publication was shifted first from philosophy to the teaching of French and then simply dismissed from the St. Petersburg Ecclesiastic Academy in 1835. This time it was the clerical authorities who found his book, it was said, insufficiently rigorous from the official religious standpoint. Sidonsky spent the next 30 years (until the re-introduction of philosophy in the universities) as a parish priest in the Russian capital.

Among those who most resolutely defended the autonomy of philosophy during this “Dark Age” were O. Novitsky (1806-1884) and I. Mikhnevich (1809-1885), both of whom taught for a period at the Kiev Ecclesiastic Academy. Although neither was a particularly outstanding thinker and left no enduring works on the perennial philosophical problems, both stand out for refusing simply to subsume philosophy to religion or politics. Novitsky in 1834 accepted the professorship in philosophy at the new Kiev University, where he taught until the government’s abolition of philosophy, after which he worked as a censor. Mikhnevich, on the other hand, became an administrator.

One of the most interesting pieces of philosophical analysis from this time came from another Kiev scholar, S. Gogotsky (1813-1889). In his undergraduate thesis “Kriticheskij vzgljad na filosofiju Kanta” (“A Critical Look at Kant’s Philosophy”) from 1847, Gogotsky approached his topic from a moderate and informed Hegelianism, unlike that of his more vocal but dilettantish contemporaries. For Gogotsky, Kant’s thought represented a distinct improvement over the positions of empiricism and rationalism. However, he demonstrated his own extremism through his advocacy of such ideas as that of the uncognizability of things in themselves, the rejection of the real existence of things in space and time, the sharp dichotomy between moral duty and happiness, and so on. During this “Dark Age,” Gogotsky continued at Kiev University but taught pedagogy and remained silent on philosophical issues.

From our standpoint today, one of the most important characteristics of the philosophizing of the early “Kiev School” is the stress placed on the history of Western philosophy and particularly on epistemology. Mikhnevich, for example, wrote, “philosophy is the Science of consciousness… of the subject and the nature of our consciousness.” Based on statements such as this, some (A.Vvedensky, A. Nikolsky) have seen the influence of Johann Gottlieb Fichte (1762-1814).

The teaching of philosophy at this time was not eliminated from the ecclesiastic academies; the separate institutions of higher education were parallel to the secular universities for those from a clerical background. Largely with good reason, the government felt secure about their political and intellectual passivity. Among the most noteworthy of the professors at an ecclesiastic academy during the Nicholaevan years was F. Golubinsky (1798-1854), who taught in Moscow. Generally recognized as the founder of the “Moscow School of Theistic Philosophy,” his historical importance lies solely in his unabashed subordination of philosophy to theology and epistemology to ontology. For Golubinsky, humans seek knowledge in an attempt to recover an original diremption, a lost intimacy with the Infinite! Nevertheless, the idea of God is felt immediately within us. Owing to this immediacy, there is no need for and cannot be a proof of God’s existence. Such was the tenor of “philosophical” thought in the religious institutions of the time.

At the very end of the “Dark Age” one figure—the Owl of Minerva (or was it a phoenix?)—emerged who combined the scholarly erudition of his Kiev predecessors with the dominating “ontologism” of the theistic apologists, such as Golubinsky. P. Jurkevich (1826-1874) stood with one foot in the Russian philosophical past and one in the future. Serving as the bridge between the eras, he largely defined the contours along which philosophical discussions would be shaped for the next two generations.

c. The Emergence of Professional Philosophy (c. 1860-1917)

While a professor of philosophy at the Kiev Ecclesiastic Academy, Jurkevich in 1861 caught the attention of a well-connected publisher with a long essay in the obscure house organ of the Academy attacking Chernyshevsky’s materialism and anthropologism, which at the time were all the rage among Russia’s youth. Having decided to re-introduce philosophy to the universities, the government, nevertheless, worried, lest a limited and controlled measure of independent thought get out of hand. The decision to appoint Jurkevich to the professorship at Moscow University, it was hoped, would serve the government’s ends while yet combating fashionable radical trends.

In a spate of articles from his last three years in Kiev, Jurkevich forcefully argued in support of a number of seemingly disconnected theses but all of which demonstrated his own deep commitment to a Platonic idealism. His most familiar stance, his rejection of the popular materialism of the day, was directed not actually at metaphysical materialism but at a physicalist reductionism. Among the points Jurkevich made was that no physiological description could do justice to the revelations offered by introspective psychology and that the transformation of quantity into quality occurred not in the subject, as the materialists held, but in the interaction between the object and the subject. Jurkevich did not rule out the possibility that necessary forms conditioned this interaction, but, in keeping with the logic of this notion, he ruled out an uncognizable “thing in itself” conceived as an object without any possible subject.

Although Jurkevich already presented the scheme of his overall philosophical approach in his first article “Ideja” (“The Idea”) from 1859, his last, “Razum po ucheniju Platona i opyt po ucheniju Kanta” (“Plato’s Theory of Reason and Kant’s Theory of Experience”), written in Moscow, is today his most readable work. In it, he concluded (as did Spinoza and Hegel before him) that epistemology cannot serve as first philosophy—that is, that a body of knowledge need not and, indeed, cannot begin by asking for the conditions of its own possibility; in Jurkevich’s best-known expression: “In order to know it is unnecessary to have knowledge of knowledge itself.” Kant, he held, conceived knowledge not in the traditional, Platonic sense, as knowledge of what truly is, but in a radically different sense as knowledge of the universally valid. Hence, for Kant, the goal of science was to secure useful information, whereas for Plato science secured truth.

Unfortunately, Jurkevich’s style prevented a greater dissemination of his views. In his own day, his unfashionable views, cloaked as they were in scholastic language with frequent allusions to scripture, hardly endeared him to a young, secular audience. Jurkevich remained largely a figure of derision at the university. Today, it is these same qualities, together with his failure to elucidate his argument in distinctly rational terms, that make studying his writings both laborious and unsatisfying. In terms of immediate impact, he had only one student—V.Solovyov (see below). Yet, notwithstanding his meager direct impact, Jurkevic’s Christian Platonism proved deeply influential until at least the Bolshevik Revolution of 1917.

Unlike Jurkevich, P. Lavrov (1823-1900), a teacher of mathematics at the Petersburg Military Academy, actively aspired to a university chair in philosophy (namely, the one in the capital when the position was restored in the early 1860s). However, the government apparently already suspected Lavrov of questionable allegiance and, despite a recommendation from a widely respected scholar (K. Kavelin), awarded the position instead to Sidonsky.

In a series of lengthy essays written when he had university aspirations, Lavrov developed a position, which he termed “anthropologism,” that opposed metaphysical speculation, including the then-fashionable materialism of left-wing radicalism. Instead, he defended a simple epistemological phenomenalism that at many points bore a certain similarity to Kant’s position, though without the latter’s intricacies, nuances, and rigor. Essentially, Lavrov maintained that all claims regarding objects are translatable into statements about appearances or an aggregate of them. Additionally, he held that we have a collection of convictions concerning the external world, convictions whose basis lies in repeated experiential encounters with similar appearances. The indubitability of consciousness and our irresistible conviction in the reality of the external world are fundamental and irreducible. The error of both materialism and idealism, fundamentally, is the mistaken attempt to collapse one into the other. Since both are fundamental, the attempt to prove either is ill-conceived from the outset. Consistent with this skepticism, Lavrov argued that the study of “phenomena of consciousness,” a “phenomenology of spirit,” could be raised to a science only through introspection, a method he called “subjective.” Likewise, the natural sciences, built on our firm belief in the external world, need little support from philosophy. To question the law of causality, for example, is, in effect, to undermine the scientific standpoint.

Parallel to the two principles of theoretical philosophy, Lavrov spoke of two principles underlying practical philosophy. The first is that the individual is consciously free in his worldly activity. Unlike for Kant, however, this principle is not a postulate but a phenomenal fact; it carries no theoretical implications. For Lavrov, the moral sphere is quite autonomous from the theoretical. The second principle is that of “ideal creation.” Just as in the theoretical sphere we set ourselves against a real world, so in the practical sphere we set ourselves against ideals. Just as the real world is the source of knowledge, the world of our ideals serves as the motivation for action. In turning our own image of ourselves into an ideal, we create an ideal of personal dignity. Initially, the human individual conceives dignity along egoistic lines. In time, however, the individual’s interaction, including competition, with others gives rise to his conception of them as having equal claims to dignity and to rights. In linking rights to human dignity, Lavrov thereby denied that animals have rights.

Of a similar intellectual bent, N. Mikhailovsky (1842-1904) was even more of a popular writer than Lavrov. Nevertheless, Mikhailovsky’s importance in the history of Russian philosophy lies in his defense of the role of subjectivity in human studies. Unlike the natural sciences, the aim of which is the discovery of objective laws, the human sciences, according to Mikhailovsky, must take into account the epistemologically irreducible fact of conscious, goal-oriented activity. While not disclaiming the importance of objective laws, both Lavrov and Mikhailovsky held that social scientists must introduce a subjective, moral evaluation into their analyses. Unlike natural scientists, social scientists recognize the malleability of the laws under their investigation.

Comtean positivism, which for quite some years enjoyed considerable attention in 19th century Russia, found its most resolute and philosophically notable defender in V. Lesevich (1837-1905). Finding that it lacked a scientific grounding, Lesevich believed that positivism needed an inquiry into the principles that guide the attainment of knowledge. Such an inquiry must take for granted some body of knowledge without simply identifying itself with it. To the now-classic Hegelian charge that such a procedure amounted to not venturing into the water before learning how to swim, Lesevich replied that what was sought was not, so to speak, how to swim but, rather, the conditions that make swimming possible. In this vein, he consciously turned to the Kantian model while remaining highly critical of any talk of the a priori. In the end, Lesevich drew heavily upon psychology and empiricism for establishing the conditions of knowledge, thus leaving himself open to the charge of psychologism and relativism.

As the years passed, Lesevich moved from his early “critical realism,” which abhorred metaphysical speculation, to an appreciation for the positivism of Richard Avenarius and Ernst Mach. However, this very abhorrence, which was decidedly unfashionable, as well as his political involvement somewhat limited his influence.

Undoubtedly, of the philosophical figures to emerge in the 1870s, indeed arguably in any decade, the greatest was Vladimir Solovyov (1853-1900). In fact, if we view philosophy not as an abstract, independent inquiry but as a more or less sustained intellectual conversation, then we can precisely date the start of Russian secular philosophy: 24 November 1874, the day of Solovyov’s defense of his magister’s dissertation, Krizis zapadnoj filosofii (The Crisis of Western Philosophy). For only from that day forward do we find a sustained discussion within Russia of philosophical issues considered on their own terms, that is, without overt appeal to their extra-philosophical ramifications, such as their religious or political implications.

After completion and defense of his magister’s dissertation, Solovyov penned a highly metaphysical treatise entitled “Filosofskie nachala tsel’nogo znanija” (“Philosophical Principles of Integral Knowledge”), which he never completed. However, at approximately the same time, he also worked on what became his doctoral dissertation, Kritika otvlechennykh nachal (Critique of Abstract Principles)—the very title suggesting a Kantian influence. Although originally intended to consist of three parts, one each covering ethics, epistemology, and aesthetics, the completed work omitted the latter. For more than a decade, Solovyov remained silent on philosophical questions, preferring instead to concentrate on topical issues. When his interest was rekindled in the 1890s in preparing a second edition of his Kritika, a recognition of a fundamental shift in his views led him to recast their systemization in the form of an entirely new work, Opravdanie dobra (The Justification of the Good). Presumably, he intended to follow up his ethical investigations with respective treatises on epistemology and aesthetics. Unfortunately, Solovyov died having completed only three brief chapters of the “Theoretical Philosophy.”

Solovyov’s most relentless philosophical critic was B. Chicherin (1828-1904), certainly one of the most remarkable and versatile figures in Russian intellectual history. Despite his sharp differences with Solovyov, Chicherin himself accepted a modified Hegelian standpoint in metaphysics. Although viewing all of existence as rational, the rational process embodied in existence unfolds “dialectically.” Chicherin, however, parted with the traditional triadic schematization of the Hegelian dialectic, arguing that the first moment consists of an initial unity of the one and the many. The second and third moments, paths, or steps are antithetical and take various forms in different spheres, such as matter and reason or universal and particular. The final moment is a fusion of the two into a higher unity.

In the social and ethical realm, Chicherin placed great emphasis on individual human freedom. Social and political laws should strive for moral neutrality, permitting the flowering of individual self-determination. In this way, he remained a staunch advocate of economic liberalism, seeing essentially no role for government intervention. The government itself had no right to use its powers either to aim at a moral ideal or to force its citizens to seek an ideal. On the other hand, the government should not use its powers to prevent the citizenry from the exercise of private morality. Despite receiving less treatment than the negative conception of freedom, Chicherin nevertheless upheld the idealist conception of positive freedom as the striving for moral perfection and, in this way, reaching the Absolute.

Another figure to emerge in the late 1870s and 1880s was the neo-Leibnizian A. Kozlov (1831- 1901), who taught at Kiev University and who called his highly developed metaphysical stance “panpsychism.” As part of this stance, he, in contrast to Hume, argued for the substantial unity of the Self or I, which makes experience possible. This unity he held to be an obvious fact. Additionally, rejecting the independent existence of space and time, Kozlov held that they possessed being only in relation to thinking and sensing creatures. Like Augustine, however, Kozlov believed that God viewed time as a whole without our divisions into past, present, and future. To substantiate space and time, to attribute an objective existence to either, demands an answer to where and when to place them. Indeed, the very formulation of the problem presupposes a relation between a substantiated space or time and ourselves. Lastly, unlike Kant, Kozlov thought all judgments are analytic.

An unfortunately largely neglected figure to emerge in this period was M. Karinsky (1840- 1917), who taught philosophy at the St. Petersburg Ecclesiastic Academy. Unlike many of his contemporaries, Karinsky devoted much of his attention to logic and an analysis of arguments in Western philosophy, rather than metaphysical speculation. Unlike his contemporaries, Karinsky came to philosophy with an analytical bent rather than with a literary flair—a fact that made his writing style often decidedly torturous. True to those schooled in the Aristotleian tradition, Karinsky, like Brentano (to whom he has been compared) held that German Idealism was essentially irrationalist. Arguing against Kant, Karinsky believed that our inner states are not merely phenomenal, that the reflective self is not an appearance. Inner experience, unlike outer, yields no distinction between reality and appearance. In his general epistemology, Karinsky argued that knowledge was built on judgments, which were legitimate conclusions from premises. Knowledge, however, could be traced back to a set of ultimate unprovable, yet reliable, truths, which he called “self-evident.” Karinsky argued for a pragmatic interpretation of realism, saying that something exists in another room unperceived by me means I would perceive it if I were to go into that room. Additionally, he accepted an analogical argument for the existence of other minds similar to that of John Stuart Mill and Bertrand Russell.

In his two-volume magnum opus Polozhitel’nye zadachi filosofii (The Positive Tasks of Philosophy), L. Lopatin (1855-1920), who taught at Moscow University, defended the possibility of metaphysical knowledge. He claimed that empirical knowledge is limited to appearances, whereas metaphysics yields knowledge of the true nature of things. Although Lopatin saw Hegel and Spinoza as the definitive expositors of rationalistic idealism, he rejected both for their very transformation of concrete relations into rational or logical ones. Nevertheless, Lopatin affirmed the role of reason particularly in philosophy in conscious opposition to, as he saw it, Solovyov’s ultimate surrender to religion. In the first volume, he attacked materialism as itself a metaphysical doctrine that elevates matter to the status of an absolute that cannot explain the particular properties of individual things or the relation between things and consciousness. In his second volume, Lopatin distinguishes mechanical causality from “creative causality,” according to which one phenomenon follows another, though with something new added to it. Despite his wealth of metaphysical speculation, quite foreign to most contemporary readers, Lopatin’s observations on the self or ego derived from speculation that is not without some interest. Denying that the self has a purely empirical nature, Lopatin emphasized that the undeniable reality of time demonstrated the non-temporality of the self, for temporality could only be understood by that which is outside time. Since the self is extra-temporal, it cannot be destroyed, for that is an event in time. Likewise, in opposition to Solovyov, Lopatin held that the substantiality of the self is immediately evident in consciousness.

In the waning years of the 19th century, neo-Kantianism came to dominate German philosophy. Because of the increasing tendency to send young Russian graduate students to Germany for additional training, it should come as no surprise that that movement gained a foothold in Russia too. In one of the very few Russian works devoted to philosophy of science A. Vvedensky (1856-1925) presented, in his lengthy dissertation, a highly idealistic Kantian interpretation of the concept of matter as understood in the physics of his day. He tried therein to defend and update Kant’s own work as exemplified in the Metaphysical Foundations of Natural Science. Vvedensky’s book, however, attracted little attention and exerted even less influence. Much more widely recognized were his own attempts in subsequent years, while teaching at St. Petersburg University, to recast Kant’s transcendental idealism in, what he called, “logicism.” Without drawing any conclusions based upon the nature of space and time, Vvedensky believed it possible to prove the impossibility of metaphysical knowledge and, as a corollary so to speak, that everything we know, including our own self, is merely an appearance, not a thing in itself. Vvedensky was also willing to cede that the time and the space in which we experience everything in the world are also phenomenal. Although metaphysical knowledge is impossible, metaphysical hypotheses, being likewise irrefutable, can be brought into a world-view based on faith. Particularly useful are those demanded by our moral tenets such as the existence of other minds.

The next two decades saw a blossoming of academic philosophy on a scale hardly imaginable just a short time earlier. Most fashionable Western philosophies of the time found adherents within the increasingly professional Russian scene. Even Friedrich Nietzsche’s thought began to make inroads, particularly among certain segments of the artistic community and among the growing number of political radicals. Nonetheless, few, particularly during these formative years, adopted any Western system without significant qualifications. Even those who were most receptive to foreign ideas adapted them in line with traditional Russian concerns, interests, and attitudes. One of these traditional concerns was with Platonism in general. Some of Plato’s dialogues appeared in a Masonic journal as early as 1777, and we can easily discern an interest in Plato’s ideas as far back as the medieval period. Possibly the Catholic assimilation of Aristotelianism had something to do with the Russian Orthodox Church’s emphasis on Plato. And again possibly this interest in Plato had something to do with the metaphysical and idealistic character of much classic Russian thought as against the decidedly more empirical character of many Western philosophies. We have already noted the Christian Platonism of Jurkevich, and his student Solovyov, who with his central concept of “vseedinstvo” (“total-unity”) can, in turn, also be seen as a modern neo-Platonist.

In the immediate decades preceding the Bolshevik Revolution of 1917, a veritable legion of philosophers worked in Solovyov’s wide shadow. Among the most prominent of these was S. Trubetskoi (1862-1905). The Platonic strain of his thought is evident in the very topics Trubetskoi chose for his magister’s and doctoral theses: Metaphysics in Ancient Greece, 1890 and The History of the Doctrine of Logos, 1900, respectively. It is, however, in his programmatic essays “O prirode chelovecheskovo soznanija” (“The Nature of Human Consciousness”), 1889-1891 and “Osnovanija idealizma” (“The Foundations of Idealism”), 1896 that Trubetskoi elaborated his position with regard to modern philosophy. Holding that the basic problem of contemporary philosophy is whether human knowledge is of a personal nature, Trubetskoi maintained that modern Western philosophers relate personal knowledge to a personal consciousness. Herein lies their error. Human consciousness is not an individual consciousness, but, rather, an on-going universal process. Likewise, this process is a manifestation not of a personal mind but of a cosmic one. Personal consciousness, as he puts it, presupposes a collective consciousness, and the latter presupposes an absolute consciousness. Kant’s great error was in conceiving the transcendental consciousness as subjective. In the second of the essays mentioned above, Trubetskoi claims that there are three means of knowing reality: empirically through the senses, rationally through thought, and directly through faith. For him, faith is what convinces us that there is an external world, a world independent of my subjective consciousness. It is faith that underlies our accepting the information provided by our sense organs as reliable. Moreover, it is faith that leads me to think there are in the world other beings with a mental organization and capacity similar to mine. However, Trubetskoi rejects equating his notion of faith with the passive “intellectual intuition” of Schelling and Solovyov. For Trubetskoi, faith is intimately connected with the will, which is the basis of my individuality. My discovery of the other is grounded in my desire to reach out beyond myself, that is, to love.

Although generally characterized as a neo-Leibnizian, N. Lossky (1870-1965) was also greatly influenced by a host of Russian thinkers including Solovyov and Kozlov. In addition to his own views, Lossky, having studied at Bern and Goettingen among other places, is remembered for his pioneering studies of contemporary German philosophy. He referred to Edmund Husserl‘s Logical Investigations already as early as 1906, and in 1911 he gave a course on Husserl’s “intentionalism.” Despite this early interest in strict epistemological problems, Lossky in general drew ever closer to the ontological concerns and positions of Russian Orthodoxy. He termed his epistemological views “intuitivism,” believing that the cognitive subject apprehends the external world as it is in itself directly. Nevertheless, the object of cognition remains ontologically transcendent, while epistemologically immanent. This direct penetration into reality is possible, Lossky tells us, because all worldly entities are interconnected into an “organic whole.” Additionally, all sensory properties of an object (for example, its color, texture, temperature, and so on) are actual properties of the object, our sense stimulation serving merely to direct our mental attention to those properties. That different people see one object in different ways is explained as a result of different ways individuals have of getting their attention directly towards one of the object’s numerous properties. All entities, events, and relations that lack a temporal and spatial character possess “ideal being” and are the objects of “intellectual intuition.” Yet, there is another, a third, realm of being that transcends the laws of logic (here we see the influence of Lossky’s teacher, Vvedensky), which he calls “metalogical being” and is the object of mystical intuition.

Another kindred spirit was S. Frank (1877-1950), who in his early adult years was involved with Marxism and political activities. His magister’s thesis Predmet znanija (The Object of Knowledge), 1915, is notable as much for its masterful handling of current Western philosophy as for its overall metaphysical position. Demonstrating a grasp not only of German neo-Kantianism, Frank drew freely from, among many others, Husserl, Henri-Louis Bergson, and Max Scheler; he may even have been the first in Russian to refer to Gottlob Frege, whose Foundations of Arithmetic Frank calls “one of the rare genuinely philosophical works by a mathematician.” Frank contends that all logically determined objects are possible thanks to a metalogical unity, which is itself not subject to the laws of logic. Likewise, all logical knowledge is possible thanks solely to an “intuition,” an “integral intuition,” of this unity. Such intuition is possible because all of us are part of this unity or Absolute. In a subsequent book Nepostizhimoe (The Unknowable), 1939, Frank further elaborated his view stating that mystical experience reveals the supra-logical sphere in which we are immersed but which cannot be conceptually described. Although there is a great deal more to Frank’s thought, we see that we are quickly leaving behind the secular, philosophical sphere for the religious, if not mystical.

No survey, however brief, of Russian thinkers under Solovyov’s influence would be satisfactory without mention of the best known of these in the West, namely N. Berdjaev (1874-1948). Widely hailed as a Christian existentialist, he began his intellectual journey as a Marxist. However, by the time of his first publications he was attempting to unite a revolutionary political outlook with transcendental idealism, particularly a Kantian ethic. Within the next few years, Berdjaev’s thought evolved quickly and decisively away from Marxism and away from critical idealism to an outright Orthodox Christian idealism. On the issue of free will versus determinism, Berdjaev moved from an initial acceptance of soft determinism to a resolute incompatibilist. Morality, he claimed, demanded his stand. Certainly, Berdjaev was among the first, if not the first, philosopher of his era to diminish the importance of epistemology in place of ontology. In time, however, he himself made clear that the pivot of his thought was not the concept of Being, as it would be for some others, and even less that of knowledge, but, rather, the concept of freedom. Acknowledging his debt to Kant, Berdjaev too saw science as providing knowledge of phenomenal reality but not of actuality, of things as they are in themselves. However applicable the categories of logic and physics may be to appearances, they are assuredly inapplicable to the noumenal world and, in particular, to God. In this way Berdjaev does not object to the neo-Kantianism of Vvedensky, for whom the objectification of the world is a result of functioning of the human cognitive apparatus, but only that it does not go far enough. There is another world or realm, namely one characterized by freedom.

Just as all of the above figures drew inspiration from Christian neo-Platonism, so too did they all feel the need to address the Kantian heritage. Lossky’s dissertation Obosnovanie intuitivizma (The Foundations of Intuitivism), for example, is an extended engagement with Kant’s epistemology, Lossky himself having prepared a Russian translation of Kant’s Critique of Pure Reason comparable in style and adequacy to Norman Kemp Smith’s famous rendering into English. Trubetskoi called Kant the “Copernicus of modern philosophy,” who “discovered that there is an a priori precondition of all possible experience.” Nevertheless, among the philosophers of this era, not all saw transcendental idealism as a springboard to religious and mystical thought. A student of Vvedensky’s, I. Lapshin (1870-1952) in his dissertation, Zakony myshlenija i formy poznanija (The Laws of Thought and the Forms of Cognition), 1906, attempted to show that, contrary to Kant’s stand, space and time were categories of cognition and that all thought, even logical, relies on a categorical synthesis. Consequently, the laws of logic are themselves synthetic, not analytic, as Kant had thought and are applicable only within the bounds of possible experience.

G. Chelpanov (1863-1936), who taught at Moscow University, was another with a broadly conceived Kantian stripe. Remembered as much, if not more so, for his work in experimental psychology as in philosophy, Chelpanov, unlike many others, wished to retain the concept of the thing-in-itself, seeing it as that which ultimately “evokes” a particular representation of an object. Without it, contended Chelpanov, we are left (as in Kant) without an explanation of why we perceive this, and not that, particular object. In much the same manner, we must appeal to some transcendent space in order to account for why we see an object in this spot and not another. For these reasons, Chelpanov called his position “critical realism” as opposed to the more usual construal of Kantianism as “transcendental idealism.” In psychology, Chelpanov upheld the psychophysical parallelism of Wilhelm Wundt.

As the years of the First World War approached, a new generation of scholars came to the fore who returned to Russia from graduate work in Germany broadly sympathetic to one or even an amalgam of the schools of neo-Kantianism. Among these young scholars, the works of B. Kistjakovsky (1868-1920) and P. Novgorodtsev (1866-1924) stand out as arguably the most accessible today for their analytic approach to questions of social-science methodology.

During this period, Husserlian phenomenology was introduced into Russia from a number of sources, but its first and, in a sense, only major propagandist was G. Shpet (1879-1937), whom we have referred to earlier. In any case, besides his historical studies Shpet did pioneering work in hermeneutics as early as 1918. Additionally, in two memorable essays he respectively argued, along the lines of the early Husserl and the late Solovyov, against the Husserlian view of the transcendental ego and in the other traced the Husserlian notion of philosophy as a rigorous science back to Parmenides.

Regrettably, Shpet was permanently silenced during the Stalinist era, but A. Losev (1893-1988), whose early works fruitfully employed some early phenomenological techniques, survived and blossomed in its aftermath. Concentrating on ancient Greek thought, particularly aesthetics, his numerous publications have yet to be assimilated into world literature, although during later years his enormous contributions were recognized within his homeland and by others to whom they were linguistically accessible. It must be said, nonetheless, that Losev’s personal pronouncements hark back to a neo-Platonism completely at odds with the modern temperament.

d. The Soviet Era (1917-1991)

The Bolshevik Revolution of 1917 ushered in a political regime with a set ideology that countenanced no intellectual competition. During the first few years of its existence, Bolshevik attention was directed towards consolidating political power, and the selection of university personnel in many cases was left an internal matter. In 1922, however, most explicitly non-Marxist philosophers who had not already fled were banished from the country. Many of them found employment, at least for a time, in the major cities of Europe and continued their personal intellectual agendas. None of them, however, during their lifetimes significantly influenced philosophical developments either in their homeland or in the West, and few, with the notable exception of Berdyaev, received wide recognition.

During the first decade of Bolshevik rule, the consuming philosophical question concerned the role of Marxism with regard to traditional academic disciplines, particularly those that had either emerged since Karl Marx’s death or had seen recent breathtaking developments that had reshaped the field. The best known dispute occurred between the “mechanists” and the “dialecticians” or “Deborinists,” after its principal advocate A. Deborin (1881-1963). Since a number of individuals composed both groups and the issues in dispute evolved over time, no simple statement of the respective stances can do complete justice to either. Nevertheless, the mechanists essentially held that philosophy as a separate discipline had no reason for being within the Soviet state. All philosophical problems could and would be resolved by the natural sciences. The hallowed dialectical method of Marxism was, in fact, just the scientific method. The Deborinists, on the other hand, defended the existence of philosophy as a separate discipline. Indeed, they viewed the natural sciences as built on a set of philosophical principles. Unlike the mechanists, they saw nature as fundamentally dialectical, which could not be reduced to simpler mechanical terms. Even human history and society proceeded dialectically in taking leaps that resulted in qualitatively different states. The specifics of the controversy, which raged until 1929, are of marginal philosophical importance now, but to some degree the basic issue of the relation of philosophy to the sciences, of the role of the former with regard to the latter, endures to this day. Regrettably, politics played as much of a role in the course of the dispute as abstract reasoning, and the outcome was a simple matter of a political fiat with the Deborinists gaining a temporary victory. Subsequent events over the next two decades, such as the defeat of the Deborinists, have nothing to do with philosophy. What philosophy did continue to be pursued during these years within Russia was kept a personal secret, any disclosure of which was at the expense of one’s life. To a certain degree, the issue of the role of philosophy arose again in the 1950s when the philosophical implications of relativity theory became a disputed subject. Again, the issue arose of whether philosophy or science had priority. This time, however, with atomic weapons securely in hand there could be no doubt as to the ultimate victor with little need for political intervention.

Another controversy, though less vociferous, concerned psychological methodology and the very retention of such common terms as “consciousness,” “psyche,” and “attention.” The introspective method, as we saw advocated by many of the idealistic philosophers, was seen by the new ideologues as subjective and unscientific in that it manifestly referred to private phenomena. I. Pavlov (1849-1936), already a star of Russian science at the time of the Revolution, was quickly seen as utilizing a method that subjected psychic activity to the objective methods of the natural sciences. The issue became, however, whether the use of objective methods would eliminate the need to invoke such traditional terms as “consciousness.” The central figure here was V. Bekhterev (1857-1927), who believed that since all mental processes eventually manifested themselves in objectively observable behavior, subjective terminology was superfluous. Again, the discussion was silenced through political means once a victory was secured over the introspectionists. Bekhterev’s behaviorism was itself found to be dangerously leftist.

As noted above, during the 1930s and ’40s, independent philosophizing virtually ceased to exist, and what little was published is of no more than historical interest. Indicative of the condition of Russian thought at this time is the fact that when in 1946 the government decided to introduce logic into the curriculum of secondary schools the only suitable text available was a slim book by Chelpanov dating from before the Revolution. After Joseph Stalin’s death, a relative relaxation or “thaw” in the harsh intellectual climate was permitted, of course within the strict bounds of the official state ideology. In addition to the re-surfacing of the old issue of the role of Marxism with respect to the natural sciences, Russian scholars sought a return to the traditional texts in hopes of understanding the original inspiration of the official philosophy. Some, such as the young A. Zinoviev (1922-2006) sought an understanding of “dialectical logic” in terms of the operations, procedures and techniques employed in political economics. Others, for example, V. Tugarinov, drew heavily on Hegel’s example in attempting to delineate a system of fundamental categories.

After the formal recognition in the validity of formal logic, it received significant attention in the ensuing years by Zinoviev, D. Gorsky, and E. Voishvillo, among many others. Their works have deservedly received international attention and made no use of the official ideology. What sense, if any, to make of “dialectical logic” was another matter that could not remain politically neutral. Until the last days of the Soviet period, there was no consensus as to what it is or its relation to formal logic. One of the most resolute defenders of dialectical logic was E. Ilyenkov, who has received attention even in the West. In epistemology too, surface agreement, demonstrated through use of an official vocabulary obscured (but did not quite hide) differences of opinion concerning precisely how to construe the official stand. It certainly now appears that little of enduring worth in this field was published during the Soviet years. However, some philosophers who were active at that time produced works that only recently have been published. Perhaps the most striking example is M. Mamardashvili (1930-1990), who during his lifetime was noted for his deep interest in the history of philosophy and his anti-Hegelian stands.

Most work in ethics in the Soviet period took a crude apologetic form of service to the state. In essence, the good is that which promotes the stated goals of Soviet society. Against such a backdrop, Ja. Mil’ner-Irinin’s study Etika ili printsy istinnoj chelovechnosti (Ethics or The Principles of a True Humanity) is all the more remarkable. Although only an excerpt appeared in print in the 1960s, the book-length manuscript, which as a whole was rejected for publication, was circulated and discussed. The author presented a normative system that he held to be universally valid and timeless. Harking back to the early days of German Idealism, Mil’ner-Irinin urged being true to one’s conscience as a moral principle. However, he claimed he deduced his deontology from human social nature rather than from the idea of rationality (as in Kant).

After the accession of L. Brezhnev to the position of General Secretary and particularly after the events that curtailed the Prague Spring in 1968, all signs of independent philosophizing beat a speedy retreat. The government anxiously launched a campaign for ideological vigilance, which a German scholar, H. Dahm, termed an “ideological counter-reformation,” that persisted until the “perestroika” of the Gorbachev years.

e. The Post-Soviet Era (1991-)

Clearly, the dissolution of the Soviet Union and the relegation of the Communist Party to the political opposition has also ushered in a new era in the history of Russian philosophy. What trends will emerge is still too early to tell. How Russian philosophers will eventually evaluate their own recent, as well as tsarist, past may turn to a large degree on the country’s political and economic fortunes. Not surprisingly, the 1990s saw, in particular, a “re-discovery” of the previously forbidden works of the religious philosophers active just prior to or at the time of the Bolshevik Revolution. Whether Russian philosophers will continue along these lines or approach a style resembling Western “analytical” trends remains an open question.

3. Concluding Remarks

In the above historical survey we have emphasized Russian epistemological over ontological and ethical concerns, hopefully without neglecting or disparaging them. Admittedly, doing so may reflect a certain “Western bias.” Nevertheless, such a survey, whatever its deficiencies, shows that questions regarding the possibility of knowledge have never been completely foreign to the Russian mind. This we can unequivocally state without dismissing Masaryk’s position, for indeed during the immediate decades preceding the 1917 Revolution epistemology was not accorded special attention, let alone priority. Certainly at the time when Masaryk formulated his position, Russian philosophy was relatively young. Nonetheless, were the non-critical features of Russian philosophy, which Masaryk so correctly observed, a reflection of the Russian mind as such or were they a reflection of the era observed? If one were to view 19th century German philosophy from the rise of Hegelianism to the emergence of neo-Kantianism, would one not see it as shortchanging epistemology? Could it not be that our error lay in focussing on a single period in Russian history, albeit the philosophically most fruitful one? In any case, the mere existence of divergent opinions during the Soviet era—however cautiously these had to be expressed—on recurring fundamental questions testifies to the tenacity of philosophy on the human mind.

Rather than ask for the general characteristics of Russian philosophy, should we not ask why philosophy arose so late in Russia compared to other nations? Was Vvedensky correct that the country lacked suitable educational institutions until relatively recently, or was he writing as a university professor who saw no viable alternative to make a living? Could it be that Shpet was right in thinking that no one found any utilitarian value in philosophy except in modest service to theology, or was he merely expressing his own fears for the future of philosophy in an overtly ideological state? Did Masaryk have grounds for linking the late emergence of philosophy in Russia to the perceived anti-intellectualism of Orthodox theology, or was he simply speaking as a Unitarian. Finally, intriguing as this question may be, are we not in searching for an answer guilty of what some would label the mistake of reductionism, that is, of trying to resolve a philosophical problem by appeal to non-philosophical means?

4. References and Further Reading

Secondary works in Western languages:

  • Copleston, Frederick C. Philosophy in Russia, From Herzen to Lenin and Berdyaev, Notre Dame, 1986.
  • Dahm, Helmut. Der gescheiterte Ausbruch: Entideologisierung und ideologische Gegenreformation in Osteuropa (1960-1980), Baden-Baden, 1982.
  • DeGeorge, Richard T. Patterns of Soviet Thought, Ann Arbor, 1966.
  • Goerdt, W. Russische Philosophie: Zugaenge und Durchblicke, Freiburg/Muenchen, 1984.
  • Joravsky, David. Soviet Marxism and Natural Science 1917-1932, NY, 1960.
  • Koyre, Alexandre. La philosophie et le probleme national en Russie au debut du XIXe siecle, Paris, 1929.
  • Lossky, Nicholas O. History of Russian Philosophy, New York, 1972.
  • Masaryk, Thomas Garrigue. The Spirit of Russia, trans. Eden & Cedar Paul, NY, 1955.
  • Scanlan, James P. Marxism in the USSR, A Critical Survey of Current Soviet Thought, Ithaca, 1985
  • Walicki, Andrzej. A History of Russian Thought from the Enlightenment to Marxism, Stanford, 1979.
  • Zenkovsky, V. V. A History of Russian Philosophy, trans. George L. Kline, London, 1967.

Author Information

Thomas Nemeth
Email: t_nemeth@yahoo.com
U. S. A.

Sablé, Madeleine de Souvré, Marquise De (1598—1678)

sableA prominent salonnière in seventeenth-century Paris, Madame de Sablé has long occupied the background of early modern French philosophy. She has survived in intellectual history as the patron of La Rochefoucauld, as the hostess of a theological salon, and as the correspondent of Blaise Pascal and Antoine Arnauld. These ancillary roles have obscured her original contributions to moral philosophy in her writings. In her maxims, Sablé develops a distinctive critique of moral virtue. She claims that virtue is a mask of vice; usually of pride, and that self-interest is the habitual motor behind altruistic actions. This critique of virtue is a social critique inasmuch as it unmasks the mechanism of self-aggrandizement under the cover of virtue in the court hierarchy of the period. With her characteristic moderation, Sablé insists that friendship constitutes an exception to the social charade of masked self-interest. In the intimacies of mutually sacrificial friendship, authentic virtue can flourish. Sablé’s dismissal of the claims of natural moral virtue, and her fideistic insistence that true moral order can only be grasped in the light of faith, reflect her adherence to Jansenism, the neo-Augustinian movement in Catholicism which she defended in both civil and ecclesiastical circles.

Table of Contents

  1. Biography
  2. Works
  3. Philosophical Theses
    1. Virtue Theory
    2. Ethics of Love
    3. Moral Rigorism
    4. Epistemology and Skepticism
  4. Interpretation and Relevance
  5. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Biography

Madeleine de Souvré was born in 1598 to an ancient aristocratic family in Le Perche, a region in western France. Prominent in court circles, her father Gilles de Souvré was a marshal of France and served as the governor of Louis XIII in his minority. Her mother was Françoise de Bailleul, dame de Renouard. In the political controversies of the period, the Souvré family sided with the parti dévot, a faction of militant Catholics who wanted France’s foreign policy to stress an international Catholic alliance (notably with Spain and Austria) against the Protestant, Orthodox, and Islamic powers. In 1610 Madeleine de Souvré was named lady-in-waiting to Queen Marie de Medicis, the mother of Louis XIII and the regent of France. Although little is known about Mademoiselle de Souvré’s education, it is clear that early in her education she acquired a knowledge of Spanish literature. Balthasar Gracián’s L’oraculo manual would prove especially influential in Sablé’s later reflections on the nature of virtue.

In 1614, Madeleine de Souvré married Philippe Emmanuel de Laval, marquis de Sablé. Although Madame de Sablé would bear nine children, only four survived childhood: Urbain, marquis de Bois-Dauphin; Henri, Bishop of La Rochelle; Guy, a military officer; and Marie, a cloistered nun. By all accounts, the marriage was an unhappy one, for both spouses conducted scarcely concealed romantic affairs as they led increasingly separate existences.

From the beginning of her marriage, Sablé frequented the literary salons of Paris. Three in particular developed her philosophical culture. In the celebrated chambre bleu of Madame de Rambouillet, Sablé became an ardent reader of the works of Montaigne and was introduced to the theories of Descartes. At the literary samedis of Mademoiselle de Scudéry, Sablé studied the gradations of love that were the central preoccupation of the salon’s literary production. At the salon of Mademoiselle de Montpensier, Sablé practiced the literary vogue of the portrait moral, in which the author sketched the characteristic vices and virtues of a prominent courtier presented under a pseudonym. This predilection for moral psychology and skepticism concerning the claims of knowledge helped shape the philosophical themes Sablé would treat in her writings of maturity.

The 1640s inaugurated a more somber period in Sablé’s life. In 1640, the death of her husband left her in a precarious financial situation, and a family quarrel over the inheritance provoked a lawsuit against her eldest son, Urbain. In 1646, the death of her son Guy at the battle of Dunkirk plunged her into prolonged mourning.

The period also marked a religious conversion. Sablé increasingly frequented the Parisian convent of Port-Royal, the citadel of the Jansenist movement. Jansenism stressed the depth of human depravity, complete reliance on grace for salvation, and the need to lead an austere moral life opposed to the amusements of the world. Sablé’s moral qualms about frequent reception of the sacraments occasioned Antoine Arnauld’s composition of On Frequent Communion (1642), a treatise attacking the alleged moral laxism of the Jesuits. By the 1650s Sablé would emerge as a partisan of Jansenism and as a prominent defender of the embattled convent of Port-Royal, but her continued participation in the salon culture of the capital would raise doubts as to the depth of her conversion to the cause’s moral rigorism.

By the end of the decade, Sablé emerged as the hostess of her own salon, first in the fashionable Place Royale (1648-1655) and then in the apartment she had constructed on the grounds of the Port-Royal convent (1655-1678). The salon specialized in the production of the literary genre of the maxime, a concise, epigrammatic phrase that explored the contradictions of human psychology. A salon member, François, duc de La Rochefoucauld, quickly emerged as the master of the genre. Sablé served as a critic and editor for La Rochefoucauld’s maxims, but she also composed her own maxims, which were published posthumously. Philosophical sessions included papers by Madame de Brégy on the Stoicism of Epictetus, Clausure on Cartesianism, Sourdis on the problem of the vacuum, and Arnauld d’Andilly on the limits of patriotism. As in other salons, the nature and varieties of love were the primary topic of debate. Leading philosophical members of the salon included Blaise Pascal, Gilberte Pascal Périer, Antoine Arnauld, Pierre Nicole, and Madame de Sévigné.

As she reemerged into Parisian high society, Sablé revealed her diplomatic skills. During the Fronde (1648-1653), the intermittent civil war that pitted aristocrats and parliamentarians against the throne, she managed to maintain close friendships with members of both sides. Despite her allegiance to Jansenism, she included Jesuits and anti-Jansenist laity among her salon guests. When the persecution of the Jansenists, especially the nuns of Port-Royal, intensified in the 1660s, she labored to affect the reconciliation of the warring factions. Pope Clement IX’s “Peace of the Church” (1669), which lifted the censures from the Port-Royal community, reflected in part her interventions at the papal court.

Madame de Sablé died in her Port-Royal apartment on January 16, 1678.

2. Works

Sablé’s extant writings fall into three categories: a collection of maxims, a treatise on friendship, and her letters.

Published posthumously in 1678 by Abbé Nicolas d’Ailly, Maximes de Mme la Marquise de Sablé constitutes Sablé’s most substantial contribution to moral philosophy. In this collection of maxims, Sablé analyzes the vices that mask themselves as virtues in the aristocratic society of the period. Unlike her colleague La Rochefoucauld, however, she insists that love constitutes an exception to the domination of vice. Although her maxims focus primarily on questions of virtue and vice, Sablé also studies epistemological questions, especially those surrounding the relationship between power and knowledge. In her skeptical study of virtue and power, Sablé is clearly influenced by Montaigne, Graci‡n, and La Rochefoucauld. She differs from her sources, however, in the characteristic moderation by which she judges the influence of self-interest in social relations.

The subsequent history of Sablé’s maximes constitutes a cautionary tale on the survival of works by women philosophers. Often published in anthologies featuring La Rochefoucauld’s maxims, Sablé’s maxims were often falsely attributed to her protégé. Sablé’s most extensive maxim, actually a miniature essay condemning attendance at theatrical performances (maxim no. 80), was attributed for centuries to Blaise Pascal. A passage in Pascal’s Pensées condemning the theater bears a striking resemblance to the phrases of Sablé. Critics concluded that it must have been Sablé who copied Pascal, given the literary preeminence of the latter. The influential Brunschvicg (1904) and Lafuma (1951) editions of Pascal in the early twentieth century continued this misattribution. Only at the end of the twentieth century was this critique of theater reattributed to Sablé herself. Sellier’s recent edition of the Pensées (1991, 2000) notes that it was clearly Pascal who copied and altered the critique of theater originally authored by Sablé.

First published by Victor Cousin in the nineteenth-century, Sablé’s brief treatise On Friendship argues that virtue can be experienced within the confines of intimate friendship. Unlike other social relationships, where motivations remain masked and vulnerable to misinterpretation, friendship permits one to discover the internal motivation behind the external action of one’s partner.

An extensive correspondence of Sablé also survives in the archives of the Bibliothèque nationale de France and in scattered biographical publications. Barthélemy’s scholarly study of Sablé’s salon associates (1865) provides an ample selection of the letters written by and to the marquise. Although most of the letters deal with practical affairs concerning Sablé’s person, family, and salon, some of the letters deal with philosophical issues related to the religious controversies of the period. Such issues include the relationship between grace and free will, the limits of civil and ecclesiastical authority in matters of conscience, and the immortality of the human soul. Philosophical correspondents include Blaise Pascal, Antoine Arnauld, Mère Angélique Arnauld, Mère Agnès Arnauld, Mère Angélique de Saint-Jean Arnauld d’Andilly, Pierre Nicole, Antoine Menjot, and Jean Domat.

3. Philosophical Theses

Sablé’s philosophical reflections are limited to the areas of ethics and epistemology. In moral philosophy, she focuses on the tendency of the vice of pride to disguise itself as virtue. In epistemology, she examines the relationship between power and the claims to truth. In both her moral theory and her theory of knowledge, she mitigates her skepticism. Despite the presence of vice behind many surface virtues, some apparently virtuous actions actually reflect authentic virtue in the agent. Although power has corrupted some claims to truth in court society, certain claims to truth – notably claims to religious truth based on obedience to divine revelation – are more than credible.

a. Virtue Theory

In many passages, Sablé condemns apparent exercises of virtue as expressions of vice. Altruism often masks the will to dominate the other. Self-aggrandizement is the motor of apparently charitable action. Her critique of virtue is a political critique, inasmuch as she examines the depredations of occulted egoism in the culture of the court.

Sablé analyzes how this masked vice operates within the polite society of the period. “Virtue is not always where one sees actions that appear virtuous. Sometimes one only recognizes a favor in order to establish one’s reputation or even to be more firmly ungrateful toward favors one does not wish to recognize” (Maxim no. 74). Rather than expressing spontaneous gratitude, public expressions of thanksgiving are a calculated expression of one’s desire to acquire social power or to elude the moral duty to recognize one’s actual debts. The pivot of salon culture, polite conversation, similarly turns on the self’s desire to remain the center of attention rather than on any concern to accommodate the needs of others. “Everyone is so busy with her interests and passions that she always wants to talk about them without entering into the interests and passions of those with whom she is speaking, although they have the same need to be heard and helped” (Maxim no. 29). Under the guise of charitable speech and action, high society’s conventions of politeness permit the individual to remain enclosed within selfish interests that refuse to recognize, let alone yield to, the more pressing claims of the neighbor.

Sablé’s moral critique of society is especially pronounced in her treatment of wealth. Genteel society’s surface claim to prize the acquisition of virtue is undercut by its emotional concentration on the vagaries of material fortune. It is social status, not moral status, that actually dominates human concern. “Good fortune almost always makes some change in the procedure, the tone, and the manner of conversation and action…if we esteemed virtue more than any other thing, then neither any favor nor any promotion would ever change the heart or the face of people” (Maxim no.32). Our emotional reaction to the slightest promotion or demotion in social status, contrasted with our emotional indifference to the commission of a vice, indicates that it is social power rather than perfection in virtue that constitutes our supreme good in the hierarchy of values. In particular, the acquisition of money focuses our desires. “It is quite a common fault never to be happy with one’s fortune and never unhappy with one’s soul” (Maxim no.67). Despite the insistence on the paramount value of religious and moral values in the political and educational rhetoric of the period, it is economic status that actually occupies pride of place. The hope of enhancement of that status and the fear of its erosion stubbornly poisons public virtuous action.

b. Ethics of Love

Despite the omnipresence of vice posing as virtue in the public arena, authentic virtue survives in the arena of interpersonal friendship. Sablé argues that in the experience of love, one acquires knowledge of the other’s moral motivation that cannot be doubted. It is here that altruism and self-sacrifice actually operate.

Unlike political exercises of altruism, love by its nature possesses an internal transparency that does not permit it to be mistaken for another disposition. “Love has a character so particular that one can neither hide it where it is nor pretend it exists where it is not” (Maxim no.80). Other virtues may be feigned if the agent has ulterior motives for dominating the other. In love, however, the external acts and the internal dispositions of the agent become one. “Love is to the soul of the one who loves what the soul is to the body of the one it animates” (Maxim no. 79).

Sablé insists that it is friendship rather than romance that constitutes the proper locus for the emergence of this virtuous love. Freed from passion, the mature experience of friendship permits one to appreciate the other moral virtues of one’s partner disclosed in the transparency of mutual love. “Friendship is a species of virtue which can only be founded upon the esteem of the person loved, that is, upon qualities of the soul, such as fidelity, generosity and discretion, and on good qualities of mind” (Of Friendship). This disclosure of the other person’s moral constitution through the experience of friendship requires a basic equality between the partners. “It is also necessary that friendship be reciprocal, because in friendship one cannot, as in romantic love, love without being loved” (On Friendship). Whereas romantic love can veil the moral motivations of the moral agent due to passion and the inequality of the partners, the sober, egalitarian relation of friendship permits a veridical disclosure of moral character through mutual respect and sacrifice.

Sablé’s praise of the virtue present in friendship contrasts sharply with the critique of love developed by her colleague La Rochefoucauld. In his own maxims, La Rochefoucald condemns friendship as only another outcropping of vicious self-centeredness. “What humanity has named friendship is only a business, a reciprocal arrangement of interests, only an exchange of services. At bottom, it is only a type of commerce where self-love is always designing to win something” (Maxim. No 83). For La Rochefoucauld, the egotism disguised as virtue permeates both the public and private spheres of human interaction. For Sablé, however, the empire of vice is more limited. In the intimate sphere of interpersonal love, authentic virtue can manifest itself and be properly interpreted by the beloved other. It is only in egalitarian friendship, however, that virtue can make such a rare and transparent manifestation, and not in the passion of romance nor in the hierarchy of marriage.

c. Moral Rigorism

In critiquing the predominant vices of her society, Sablé devotes particular attention to the theater. Her most famous maxim is an extended paragraph-long meditation on the dangers of attendance at theatrical performances. Her condemnation of the theater is categorical. “All the great diversions are dangerous for the Christian life, but among all those which the world has invented, there is none greater to fear than the theater” (Maxim no. 80). This censure of the theater is typical of the moral rigorism of the Jansenist movement. Pierre Nicole, a close friend and correspondent of Sablé, presented the most sustained Jansenist brief against theatrical performances in his Traité de la Comédie (1667).

Sablé’s argument against attendance at theatrical performances differs sensibly from the standard arguments used by Christian moralists of the period. The moral argument against Christian involvement in the theater usually appeared for two reasons. First, many of the pieces played upon the stage of the period were licentious in nature. As such, they could only constitute occasions of sin, which the upright Christian should scrupulously avoid. Second, the theaters themselves were venues for moral licentiousness. Several Parisian theaters were notorious for the prostitution openly practiced in their corridors. Such moral considerations had led both the Catholic and Protestant churches to ban actors from the sacraments and to deny church burial to them.

For Sablé, however, it is not the licentiousness of the theater that constitutes its greatest moral danger. The actual moral danger lies in the attractiveness with which the theater can present counterfeits of reasonable love among the characters on the stage. Imitating the romantic plays they watch, audience members can easily develop sentiments of affection that have been ripped out of their proper place in the sober cultivation of friendship in actual life. “”It [the theater] is so natural and so delicate a representation of the passions that it makes them come alive and makes them arise in our hearts. This is especially true of love when one presents a chaste and honest love, because the more it seems innocent to innocent souls, the more are those souls susceptible to theater’s effects” (Maxim no. 81). The temptation of obvious vice in licentious plays can be easily combated, but the seduction of a more innocent, sentimental love in decent plays is more difficult to resist. By a mimetic effect, such romantic idylls encourage the audience to cultivate loving relationships rooted in sentiment for phantom partners rather than in virtuous sacrifice for actual partners. The one social venue where authentic virtue has the greatest place to emerge, egalitarian friendship, has been distorted by the theater into a realm of fantasy untethered from moral endeavor. The primness of the sentiments celebrated by decent theatrical pieces does not diminish the moral dangers fostered by such an illusion of love.

d. Epistemology and Skepticism

Echoing Montaigne, whom she had studied during her early career as a salonnière, Sablé often confesses skepticism concerning the claims of human knowledge. Authentic science ultimately affirms the incertitude of its own propositions and the depth of human ignorance. To this Renaissance vein of skepticism, Sablé adds her own distinctive emphases. Human error is not due to the generic infirmity of the human mind alone; it is often induced by the manipulations of power practiced in cultivated society. Faithful to her Jansenist creed, Sablé insists that religious and moral knowledge grounded upon divine self-revelation is exempt from the dangers of self-deception.

In several passages, Sablé develops her own version of Socratic ignorance. The truly wise person acknowledges his or her lack of knowledge. “The greatest wisdom of humanity is to know its folly” (Maxim no. 8). Authentic pursuit of knowledge permits the seeker to affirm the utter lack of certain knowledge that is the lot of the human mind. “The study of and search for truth only make us see, by experience, the ignorance that is naturally ours” (Maxim no. 38).

If error is endemic to human noetic experience, due to the finitude and the fallibility of the human intellect, then contemporary society has increased the risk of error by the emphasis it places upon external rhetorical devices. The polite conversation of the salon is exemplary of the ease with which an inquiring subject can be seduced into error by the power of a seductive rhetoric that masks insubstantial or fallacious truth-claims. “The exterior and the circumstances often elicit greater respect than the interior and the reality. A poor manner spoils everything, even justice and reason. The how is the most important of things. The appearance we give gilds, trims, and sweetens even the most troubling things” (Maxim no. 48). In a society that prizes external ornament, persuasive rhetoric can easily make the false credible; conversely, threadbare rhetoric can easily make the truth appear implausible. The development of knowledge is not a serene adjudication of the conflicting evidence concerning a controverted issue; it is embedded in a network of power where the most attractive, rather than the most truthful, proposition wins adherence.

In this universe of human incertitude and error, there is one exception. While one must suspend judgment as much as possible concerning claims to truth by other human beings, one must surrender one’s judgments to what God himself has revealed for one’s salvation. Only in the realm of salvific truth, revealed by an omniscient God, can the human person discover a truth perfectly safeguarded from error. “As nothing is weaker and less reasonable than to submit one’s judgment to that of someone else, rather than using one’s own, nothing is greater and more intelligent than to blindly submit one’s judgment to God, by believing on His word everything that He says” (Maxim no. 1). This affirmation of the necessity of blind submission to God’s self-revelation bears the imprint of Jansenist fideism. Skeptical of the philosophical arguments for God’s existence proposed by neo-scholastic theologians as preambles to the act of faith, many Jansenist theologians argued that authentic knowledge of God’s existence and attributes can only be found through attentive reception of the scriptural portrait of God revealed by God himself. For Sablé, it is this revealed truth alone that bears the stamp of infallibility and that stands exempt from her skeptical scrutiny of claims to knowledge.

4. Interpretation and Relevance

The vagaries of the publication history of Madame de Sablé’s works indicate how easily the philosophical reflection developed by women in the early modern period can disappear. Frequently reprinted in the eighteenth century as part of anthologies, the maxims of Sablé were often ascribed to an anonymous author or to her two prestigious male colleagues, La Rochefoucauld and Pascal. Only in 1870 would Jouaust’s scholarly edition of the entirety of Sablé’s maxims correct the history of misattribution and properly restore the work to Sablé’s authorship. Victor Cousin, the preeminent French philosopher during the July Monarchy, championed a revival of interest in the marquise by the publication of his biography of Sablé (1859). This erudite work, based on archival research, featured the publication of previously unpublished Sablé writings, notably her treatise On Friendship and extracts from her correspondence. Cousin’s work, however, tends to dismiss the value of Sablé’s thought as it celebrates the personality of the paradigmatic salonnière. Cousin declined to publish the entirety of Sablé’s maxims on the grounds of their general mediocrity and their inferiority to the maxims produced by her protégé, La Rochefoucauld. A similar apologetic tone emerges in Jean Lafond’s commentary on the integral edition of Sablé’s maxims he presents in his popular edition of La Rochefoucauld’s Maximes et Réflexions diverses (1976). “If we present the maxims of Madame de Sablé here, it is not to suggest a comparison [with La Rochefoucauld] that would turn too often to the disadvantage of the marquise” (303).

The barbed remarks of Cousin and Lafond indicate a persistent problem in the interpretation of Sablé: the tendency to treat her as a La Rochefoucauld manqué. In this interpretation, Sablé’s piety, sentimental defense of love, and moderation in her critique of masked vice make her a pale version of the more radical critique of virtue and knowledge developed by La Rochefoucauld. This interpretation occults the originality of Sablé’s philosophical argument, however. It is disagreement, not timidity, that leads her to argue that mature friendship can be a locus for the exercise of authentic virtue and that La Rochefoucauld’s dismissal of all public virtues as hidden vices is wrong. Her claim that certain moral and religious knowledge can be obtained from divine self-revelation does not derive from a certain religious conventionality in the face of La Rochefoucauld’s skeptical dismissal of all claims to noetic certitude. Rather, it springs from her conviction, well honed through her Jansenist associations, that only such revelation-based propositions concerning God and the moral order can claim the unreserved assent of the noetic subject.

Only recently has Sablé emerged as a subject of philosophical, rather than literary, interest. Like other moralistes of early French modernity, the study of her works has been confined to literature rather than philosophy departments. But as with her fellow moralistes Montaigne and Pascal, the epigrammatic writings of Sablé treat issues of enduring philosophical interest. Her maxims develop concise arguments on the illusion of virtue, the nature of love, the sources of authentic religious knowledge, the relationship between power and knowledge, and the vices typical of a status-centered society. Her correspondence pursues philosophical questions central to a theology of grace in the company of preeminent philosophers of the period, such as Pascal and Arnauld. In her writings, the salon (the era’s central venue for the philosophical formation of women) becomes the subject of ethical analysis. It is the salon’s rituals of power, codes of politeness, and quest for scientific knowledge that provide the principal data for Madame de Sablé’s critique of the human pretension to virtue and to certitude.

5. References and Futher Reading

All French to English translations above are by the author.

a. Primary Sources

  • Sablé, Madeleine de Souvré, marquise de. Maximes de Madame de Sablé in La Rochefoucauld. Maximes et Réflexions diverses, ed. Jean Lafond. Paris: Gallimard, 1976. Pp 227-247.
  • Sablé, Madeleine de Souvré, marquise de. Maximes de Mme de Sablé 1678, ed. Damase Jouaust. Paris: Librairie des bibliophiles, 1870. (Available online at the Projet Gallica on the webpage of the Bibliothèque nationale de France.)

b. Secondary Sources

  • Barthélemy, Édouard de. Les amis de la marquise de Sablé: recueil de lettres des principaux habitués de son salon. Paris: E. Dentu, 1865.
  • Conley, John J. The Suspicion of Virtue: Women Philosophers in Neoclassical France Ithaca: Cornell University Press, 2002. Pp 20-44.
  • Conley, John J. “Madame de Sablé’s Moral Philosophy: A Jansenist Salon” in Presenting Women Philosophers, ed. Cecile T. Tougas. Philadelphia: Temple University Press, 2000. Pp 201-211.
  • Cousin, Victor. Madame de Sablé: études sur les femmes illustres et la société du XVIIe siècle. Paris: Didier, 1859.
  • Ivanoff, Nicolas. La Marquise de Sablé et son salon. Paris: Les Presses Modernes, 1927.
  • Van Delft, Louis. “Madame de Sablé et Gracián,” Saggi e Ricerche di Letteratura Francese, 1983. 22: 265-285.

Author Information

John J. Conley
Email: jconley1@loyola.edu
Loyola University
U. S. A.

Carl Gustav Hempel (1905—1997)

Carl Hempel, a German-born philosopher who immigrated to the United States, was one of the prominent philosophers of science in the twentieth century. His paradox of the ravens—as an illustration of the paradoxes of confirmation—has been a constant challenge for theories of confirmation. Together with Paul Oppenheim, he proposed a quantitative account of degrees of confirmation of hypotheses by evidence. His deductive-nomological model of scientific explanation put explanations on the same logical footing as predictions; they are both deductive arguments. The difference is a matter of pragmatics, namely that in an explanation the argument’s conclusion is intended to be assumed true whereas in a prediction the intention is make a convincing case for the conclusion. Hempel also proposed a quantitative measure of the power of a theory to systematize its data.Later in his life, Hempel abandoned the project of an inductive logic. He also emphasized the problems with logical positivism (logical empiricism), especially those concerning the verifiability criterion. Hempel eventually turned away from the logical positivists’ analysis of science to a more empirical analysis in terms of the sociology of science.

Hempel studied mathematics, physics, and philosophy in Gottingen, Heidelberg, Vienna, and Berlin. In Vienna, he attended some of the meetings of the Vienna Circle. With the help of Rudolf Carnap , he managed to leave Europe before the Second World War, and he came to Chicago on a research grant secured by Carnap. He later taught at the City University of New York, Yale University and Princeton University.

Table of Contents

  1. Life
  2. Scientific Explanation
  3. Paradoxes of Confirmation
  4. Concept Formation in Empirical Science
  5. The Late Hempel
  6. References and Further Reading

1. Life

One of the leading members of logical positivism, he was born in Oranienburg, Germany, in 1905. Between March 17 and 24, 1982, Hempel gave an interview to Richard Nolan; the text of that interview was published for the first time in 1988 in Italian translation (Hempel, “Autobiografia intellettuale” in Oltre il positivismo logico, Armando: Rome, Italy, 1988). This interview is the main source of the following biographical notes.

Hempel studied at the Realgymnasium at Berlin and, in 1923, he was admitted at the University of Gottingen where he studied mathematics with David Hilbert and Edmund Landau and symbolic logic with Heinrich Behmann. Hempel was very impressed with Hilbert’s program of proving the consistency of mathematics by means of elementary methods; he also studied philosophy, but he found mathematical logic more interesting than traditional logic. The same year he moved to the University of Heidelberg, where he studied mathematics, physics, and philosophy. From 1924, Hempel studied at Berlin, where he met Reichenbach who introduced him to the Berlin Circle. Hempel attended Reichenbach’s courses on mathematical logic, the philosophy of space and time, and the theory of probability. He studied physics with Max Planck and logic with von Neumann.

In 1929, Hempel took part in the first congress on scientific philosophy organized by logical positivists. He meet Carnap and—very impressed by Carnap—moved to Vienna where he attended three courses with Carnap, Schlick, and Waismann, and took part in the meetings of the Vienna Circle. In the same years, Hempel qualified as teacher in the secondary school and eventually, in 1934, he gained the doctorate in philosophy at Berlin, with a dissertation on the theory of probability. In the same year, he immigrated to Belgium, with the help of a friend of Reichenbach, Paul Oppenheim (Reichenbach introduced Hempel to Oppenheim in 1930). Two years later, Hempel and Oppenheim published the book Der Typusbegriff im Lichte der neuen Logik on the logical theory of classifier, comparative and metric scientific concepts.

In 1937, Hempel was invited—with the help of Carnap—to the University of Chicago as Research Associate in Philosophy. After another brief period in Belgium, Hempel immigrated to the United States in 1939. He taught in New York, at City College (1939-1940) and at Queens College (1940-1948). In those years, he was interested in the theory of confirmation and explanation, and published several articles on that subject: “A Purely Syntactical Definition of Confirmation,” in The Journal of Symbolic Logic, 8, 1943; “Studies in the Logic of Confirmation” in Mind, 54, 1945; “A Definition of Degree of Confirmation” (with P. Oppenheim) in Philosophy of Science, 12, 1945; “A Note on the Paradoxes of Confirmation” in Mind, 55, 1946; “Studies in the Logic of Explanation” (with P. Oppenheim) in Philosophy of Science, 15, 1948.

Between 1948 and 1955, Hempel taught at Yale University. His work Fundamentals of Concept Formation in Empirical Science was published in 1952 in the International Encyclopedia of Unified Science. From 1955, he taught at the University of Princeton. Aspects of Scientific Explanation and Philosophy of Natural Science were published in 1965 and 1966 respectively. After the pensionable age, he continued teaching at Berkley, Irvine, Jerusalem, and, from 1976 to 1985, at Pittsburgh. In the meantime, his philosophical perspective was changing and he detached from logical positivism: “The Meaning of Theoretical Terms: A Critique of the Standard Empiricist Construal” in Logic, Methodology and Philosophy of Science IV (ed. by Patrick Suppes), 1973; “Valuation and Objectivity in Science” in Physics, Philosophy and Psychoanalysis (ed. by R. S. Cohen and L. Laudan), 1983; “Provisoes: A Problem Concerning the Inferential Function of Scientific Theories” in Erkenntnis, 28, 1988. However, he remained affectionately joined to logical positivism. In 1975, he undertook the editorship (with W. Stegmüller and W. K. Essler) of the new series of the journal Erkenntnis. Hempel died November 9, 1997, in Princeton Township, New Jersey.

2. Scientific Explanation

Hempel and Oppenheim’s essay “Studies in the Logic of Explanation,” published in volume 15 of the journal Philosophy of Science, gave an account of the deductive-nomological explanation. A scientific explanation of a fact is a deduction of a statement (called the explanandum) that describes the fact we want to explain; the premises (called the explanans) are scientific laws and suitable initial conditions. For an explanation to be acceptable, the explanans must be true.

According to the deductive-nomological model, the explanation of a fact is thus reduced to a logical relationship between statements: the explanandum is a consequence of the explanans. This is a common method in the philosophy of logical positivism. Pragmatic aspects of explanation are not taken into consideration. Another feature is that an explanation requires scientific laws; facts are explained when they are subsumed under laws. So the question arises about the nature of a scientific law. According to Hempel and Oppenheim, a fundamental theory is defined as a true statement whose quantifiers are not removable (that is, a fundamental theory is not equivalent to a statement without quantifiers), and which do not contain individual constants. Every generalized statement which is a logical consequence of a fundamental theory is a derived theory. The underlying idea for this definition is that a scientific theory deals with general properties expressed by universal statements. References to specific space-time regions or to individual things are not allowed. For example, Newton’s laws are true for all bodies in every time and in every space. But there are laws (e.g., the original Kepler laws) that are valid under limited conditions and refer to specific objects, like the Sun and its planets. Therefore, there is a distinction between a fundamental theory, which is universal without restrictions, and a derived theory that can contain a reference to individual objects. Note that it is required that theories are true; implicitly, this means that scientific laws are not tools to make predictions, but they are genuine statements that describe the world—a realistic point of view.

There is another intriguing characteristic of the Hempel-Oppenheim model, which is that explanation and prediction have exactly the same logical structure: an explanation can be used to forecast and a forecast is a valid explanation. Finally, the deductive-nomological model accounts also for the explanation of laws; in that case, the explanandum is a scientific law and can be proved with the help of other scientific laws.

Aspects of Scientific Explanation, published in 1965, faces the problem of inductive explanation, in which the explanans include statistical laws. According to Hempel, in such kind of explanation the explanans give only a high degree of probability to the explanandum, which is not a logical consequence of the premises. The following is a very simple example.

The relative frequency of P with respect to Q is r
The object a belongs to P
————————————————–
Thus, a belongs to Q

The conclusion “a belongs to Q” is not certain, for it is not a logical consequence of the two premises. According to Hempel, this explanation gives a degree of probability r to the conclusion. Note that the inductive explanation requires a covering law: the fact is explained by means of scientific laws. But now the laws are not deterministic; statistical laws are admissible. However, in many respects the inductive explanation is similar to the deductive explanation.

  • Both deductive and inductive explanation are nomological ones (that is, they require universal laws).
  • The relevant fact is the logical relation between explanans and explanandum: in deductive explanation, the latter is a logical consequence of the former, whereas in inductive explanation, the relationship is an inductive one. But in either model, only logical aspects are relevant; pragmatic features are not taken in account.
  • The symmetry between explanation and prediction is preserved.
  • The explanans must be true.

3. Paradoxes of Confirmation

During his research on confirmation, Hempel formulated the so-called paradoxes of confirmation. Hempel’s paradoxes are a straightforward consequence of the following apparently harmless principles:

  • The statement (x)(Rx → Bx) is supported by the statement (Ra & Ba)
  • If P1 and P2 are logically equivalent statements and O1 confirms P1, then O1 also supports P2.

Hence, (~Ra & ~Ba), which confirms (x)(~Bx → ~Rx), also supports (x)(Rx → Bx). Now suppose Rx means “x is a raven” and Bx means “x is black.” Therefore, “a isn’t a raven and isn’t black” confirms “all ravens are black.” That is, the observation of a red fish supports the hypothesis that all ravens are black.

Note also that the statement (x)((~Rx ∨ Rx) → (~Rx ∨ Bx)) is equivalent to (x)(Rx → Bx). Thus, (~Ra ∨ Ba) supports “all ravens are black” and hence the observation of whatever thing which is not a raven (tennis-ball, paper, elephant, red herring) supports “all ravens are black.”

4. Concept Formation in Empirical Science

In his monograph Fundamentals of Concept Formation in Empirical Science (1952), Hempel describes the methods according to which physical quantities are defined. Hempel uses the example of the measurement of mass.

An equal-armed balance is used to determine when two bodies have the same mass and when the mass of a body is greater than the mass of the other. Two bodies have the same mass if, when they are on the pans, the balance remains in equilibrium. If a pan goes down and the other up, then the body in the lowest pan has a greater mass. From a logical point of view, this procedure defines two relations, say E and G, so that:

  • E(a,b) if and only if a and b have the same mass;
  • G(a,b) if and only if the mass of a is greater that the mass of b.

The relations E and G satisfy the following conditions:

  1. E is a reflexive, symmetric and transitive relation.
  2. G is an irreflexive, asymmetric and transitive relation.
  3. E and G are mutually exclusive—that is, if E(a,b), then not G(a,b).
  4. For every a and b, one and only one of the following assertions is true:
E(a,b) G(a,b) G(b,a)

Relations E and G thus define a partial order.

The second step consists in defining a function m which satisfies the following three conditions:

  1. A suitable prototype is chosen, whose mass is one kilogram.
  2. If E(a,b) then m(a)=m(b).
  3. There is an operation, say ©, which combines two bodies a and b, so that

    m(a © b) = m(a) + m(b)

Conditions (1)-(7) describe the measurement not only of mass but also of length, of time and of every extensive physical quantity. (A quantity is extensive if there is an operation which combines the objects according to condition 7, otherwise it is intensive; temperature, for example, is intensive.)

5. The Late Hempel

In “The Meaning of Theoretical Terms” (1973), Hempel criticizes an aspect of logical positivism’s theory of science: the distinction between observational and theoretical terms and the related problem about the meaning of theoretical terms. According to Hempel, there is an implicit assumption in neopositivist analysis of science, namely that the meaning of theoretical terms can be explained by means of linguistic methods. Therefore, the very problem is how can a set of statements be determined that gives a meaning to theoretical terms. Hempel analyzes the various theories proposed by logical positivism.

According to Schlick, the meaning of theoretical concepts is determined by the axioms of the theory; the axioms thus play the role of implicit definitions. Therefore, theoretical terms must be interpreted in a way that makes the theory true. But according to such interpretation—Hempel objects—a scientific theory is always true, for it is true by convention, and thus every scientific theory is a priori true. This is a proof—Hempel says—that Schlick’s interpretation of the meaning of theoretical terms is not tenable. Also the thesis which asserts that the meaning of a theoretical term depends on the theory in which that term is used is, according to Hempel, untenable.

Another solution to the problem of the meaning of theoretical terms is based on the rules of correspondence (also known as meaning postulates). They are statements in which observational and theoretical terms occur. Theoretical terms thus gain a partial interpretation by means of observational terms. Hempel raises two objections to this theory. First, he asserts that observational concepts do not exist. When a scientific theory introduces new theoretical terms, they are linked with other old theoretical terms that usually belong to another already consolidated scientific theory. Therefore, the interpretation of new theoretical terms is not based on observational terms but it is given by other theoretical terms that, in a sense, are more familiar than the new ones. The second objection is about the conventional nature of rules of correspondence. A meaning postulate defines the meaning of a concept and therefore, from a logical point of view, it must be true. But every statement in a scientific theory is falsifiable, and thus there is no scientific statement which is beyond the jurisdiction of experience. So, a meaning postulate can be false as well; hence, it is not conventional and thus it does not define the meaning of a concept but it is a genuine physical hypothesis. Meaning postulates do not exist.

“Provisoes: A Problem concerning the Inferential Function of Scientific Theories,” published in Erkenntnis (1988), criticizes another aspect of logical positivism’s theory of science: the deductive nature of scientific theories. It is very interesting that a philosopher who is famous for his deductive model of scientific explanation criticized the deductive model of science. At least this fact shows the open views of Hempel. He argues that it is impossible to derive observational statements from a scientific theory. For example, Newton’s theory of gravitation cannot determine the position of planets, even if the initial conditions are known, for Newton’s theory deals with the gravitational force, and thus the theory cannot forecast the influences exerted by other kinds of force. In other words, Newton’s theory requires an explicit assumption—a provisoe, according to Hempel—which assures that the planets are subjected only to the gravitational force. Without such hypothesis, it is impossible to apply the theory to the study of planetary motion. But this assumption does not belong to the theory. Therefore, the position of planets is not determined by the theory, but it is implied by the theory plus appropriate assumptions. Accordingly, not only observational statements are not entailed by the theory, but also there are no deductive links between observational statements. Hence, it is impossible that an observational statement is a logical consequence of a theory (unless the statement is logically true). This fact has very important consequences.

One of them is that the empirical content of a theory does not exist. Neopositivists defined it as the class of observational statements implied by the theory; but this class is an empty set.

Another consequence is that theoretical terms are not removable from a scientific theory. Known methods employed to accomplish this task assert that, for every theory T, it is possible to find a theory T* without theoretical terms so that an observational statement O is a consequence of T* if and only if it is a consequence of T. Thus, it is possible to eliminate theoretical terms from T without loss of deductive power. But—Hempel argues—no observational statement O is derivable from T, so that T* lacks empirical consequence.

Suppose T is a falsifiable theory; therefore, there is an observational statement O so that ~O → ~T. Hence, T → ~O; so T entails an observational statement ~O. But no observational statement is a consequence of T. Thus, the theory T is not falsifiable. The consequence is that every theory is not falsifiable. (Note: Hempel’s argument is evidently wrong, for according to Popper the negation of an observational statement usually is not an observational statement).

Finally, the interpretation of science due to instrumentalism is not tenable. According to such interpretation, scientific theories are rules of inference, that is, they are prescriptions according to which observational statements are derived. Hempel’s analysis shows that these alleged rules of inference are indeed void.

6. References and Further Reading

  • Essler, W. K., Putnam, H., & Stegmuller, W. (Eds.). (1985). Epistemology, Methodology, and Philosophy of Science: Essays in Honour of Carl G. Hempel on the Occasion of his 80th Birthday, January 8th, 1985. Dordrecht, Holland: D. Reidel Pub. Co.
  • Hempel, C. G. (1934). Beitrage zur logischen analyse des wahrscheinlichkeitsbegriffs. Universitats-buchdruckerei G. Neuenhahn, Jena.
  • Hempel, C. G. (1937). “Le problème de la vérité.” Theoria, 3.
  • Hempel, C. G. (1942). “The Function of General Laws in Hystory.” The Journal of Philosophy, 39.
  • Hempel, C. G. (1943). “A Purely Syntactical Definition of Confirmation.” The Journal of Symbolic Logic, 8.
  • Hempel, C. G. (1945). “Studies in the Logic of Confirmation.” Mind, 54.
  • Hempel, C. G. (1952). Fundamentals of Concept Formation in Empirical Science. Chicago: University of Chicago Press.
  • Hempel, C. G. (1958). “The Theoretician’s Dilemma.” In H. Feigl, M. Scriven & G. Maxwell (Eds.), Minnesota Studies in the Philosophy of Science (Vol. 2). Minneapolis: University of Minnesota Press.
  • Hempel, C. G. (1962). “Deductive-Nomological vs. Statistical Explanation.” In H. Feigl & G. Maxwell (Eds.), Minnesota Studies in the Philosophy of Science (Vol. 3). Minneapolis: University of Minnesota Press.
  • Hempel, C. G. (1965). Aspects of Scientific Explanation and other Essays in the Philosophy of Science. New York: Free Press.
  • Hempel, C. G. (1966). Philosophy of Natural Science. Englewood Cliffs, N.J.: Prentice-Hall.
  • Hempel, C. G. (1973). “The Meaning of Theoretical Terms: A Critique to the Standard Empiricist Construal.” In Logic, Methodology and Philosophy of Science (Vol. IV): North Holland Publishing Company.
  • Hempel, C. G. (1981). “Turns in the Evolution of the Problem of Induction.” Synthese (46).
  • Hempel, C. G. (1983). “Valutation and Objectivity in Science.” In R. S. Cohen & L. Laudan (Eds.), Physics, Philosophy and Psychoanalysis. Dordrecth, Holland: D. Reidel Pub. Co.
  • Hempel, C. G. (1985). “Thoughts on the Limitation of Discovery by Computer.” In K. F. Schaffner (Ed.), Logic of Discovery and Diagnosis in Medicine: University of California Press.
  • Hempel, C. G. (1988). “Provisoes: A Problem concerning the Inferential Function of Scientific Theories.” Erkenntnis, 28.
  • Hempel, C. G., & Oppenheim, P. (1936). Der Typusbegriff im Lichte der neuen Logik. Leiden: A. W. Sijthoff.
  • Hempel, C. G., & Oppenheim, P. (1945). “A Definition of Degree of Confirmation.” Philosophy of Science, 12.
  • Hempel, C. G., & Oppenheim, P. (1948). “Studies in the Logic of Explanation.” Philosophy of Science, 15.
  • Rescher, N. (Ed.). (1970). Essays in Honor of Carl G. Hempel: A Tribute on the Occasion of his Sixty-fifth Birthday. Dordrecht, Holland: D. Reidel Pub. Co.
  • Salmon, W. C. (1989). Four Decades of Scientific Explanation: Regents of the University of Minnesota.
  • Scheffler, I. (1963). The Anatomy of Inquiry. New York: Knopf.

Author Information

Mauro Murzi
Email: murzim@yahoo.com
Italy

Bertrand Russell: Metaphysics

russellMetaphysics is not a school or tradition but rather a sub-discipline within philosophy, as are ethics, logic and epistemology. Like many philosophical terms, “metaphysics” can be understood in a variety of ways, so any discussion of Bertrand Russell’s metaphysics must select from among the various possible ways of understanding the notion, for example, as the study of being qua being, the study of the first principles or grounds of being, the study of God, and so forth. The primary sense of “metaphysics” examined here in connection to Russell is the study of the ultimate nature and constituents of reality.

Since what we know, if anything, is assumed to be real, doctrines in metaphysics typically dovetail with doctrines in epistemology. But in this article, discussion of Russell’s epistemology is kept to a minimum in order to better canvas his metaphysics, beginning with his earliest adult views in 1897 and ending shortly before his death in 1970. Russell revises his conception of the nature of reality in both large and small ways throughout his career. Still, there are positions that he never abandons; particularly, the belief that reality is knowable, that it is many, that there are entities – universals – that do not exist in space and time, and that there are truths that cannot be known by direct experience or inference but are known a priori.

The word “metaphysics” sometimes is used to describe questions or doctrines that are a priori, that is, that purport to concern what transcends experience, and particularly sense-experience. Thus, a system may be called metaphysical if it contains doctrines, such as claims about the nature of the good or the nature of human reason, whose truth is supposed to be known independently of (sense) experience. Such claims have characterized philosophy from its beginnings, as has the belief that they are meaningful and valuable. However, from the modern period on, and especially in Russell’s own lifetime, various schools of philosophy began to deny the legitimacy and desirability of a priori metaphysical theorizing. In fact, Russell’s life begins in a period sympathetic to this traditional philosophical project, and ends in a period which is not. Concerning these “meta-metaphysical” issues (that is, doctrines not in metaphysics but about it and its feasibility), Russell remained emphatically a metaphysician throughout his life. In fact, in his later work, it is this strand more than doctrines about the nature of reality per se that justify his being considered as one of the last, great metaphysicians.

Table of Contents

  1. The 1890s: Idealism
    1. Neo-Hegelianism
    2. F. H. Bradley and Internal Relations
    3. Neo-Kantianism and A Priori Knowledge
    4. Russell’s Turn from Idealism to Realism
      1. His Rejection of Psychologism
      2. His Rejection of Internal Relations
  2. 1901-1904: Platonist Realism
    1. What has Being
    2. Propositions as Objects
    3. Analysis and Classes
    4. Concepts’ Dual Role in Propositions
    5. Meaning versus Denoting
    6. The Relation of Logic to Epistemology and Psychology
  3. 1905-1912: Logical Realism
    1. Acquaintance and Descriptive Psychology
    2. Eliminating Classes as Objects
      1. “On Denoting” (1905)
      2. Impact on Analysis
    3. Eliminating Propositions as Objects
    4. Facts versus Complexes
    5. Universals and Particulars
    6. Logic as the Study of Forms of Complexes and Facts
    7. Sense Data and the Problem of Matter
  4. 1913-1918: Occam’s Razor and Logical Atomism
    1. The Nature of Logic
    2. The Nature of Matter
    3. Logical Atomism
      1. The Atoms of Experience and the Misleading Nature of Language
      2. The Forms of Facts and Theory of Truth
      3. Belief as a New Form of Fact
      4. Neutral Monism
  5. 1919-1927: Neutral Monism, Science, and Language
    1. Mind, Matter, and Meaning
    2. Private versus Public Data
    3. Language, Facts, and Psychology
    4. Universals
    5. The Syntactical View
  6. 1930-1970: Anti-positivist Naturalism
    1. Logical Truths
    2. Empirical Truths
    3. A Priori Principles
    4. Universals
    5. The Study of Language
  7. References and Further Reading
    1. Primary Sources
      1. Monographs
      2. Collections of Essays
      3. Articles
      4. The Collected Papers of Bertrand Russell
      5. Autobiographies and Letters
    2. Secondary Sources
      1. General Surveys
      2. History of Analytic Philosophy
      3. Logic and Metaphysics
      4. Meaning and Metaphysics
      5. Beliefs and Facts
      6. Constructions
      7. Logical Atomism
      8. Naturalism and Psychology
      9. Biographies

1. The 1890s: Idealism

Russell’s earliest work in metaphysics is marked by the sympathies of his teachers and his era for a particular tradition known as idealism. Idealism is broadly understood as the contention that ultimate reality is immaterial or dependent on mind, so that matter is in some sense derivative, emergent, and at best conditionally real. Idealism flourished in Britain in the last third of the nineteenth century and first two decades of the twentieth. British idealists such as Bernard Bosanquet, T.H. Green, Harold Joachim, J.M.E. McTaggart and F.H. Bradley – some of whom were Russell’s teachers – were most influenced by Hegel’s form of absolute idealism, though influences of Immanuel Kant’s transcendental idealism can also be found in their work. This section will explore British Idealism’s influence on the young Bertrand Russell.

a. Neo-Hegelianism

Until 1898, Russell’s work a variety of subjects (like geometry or space and time) is marked by the presumption that any area of study contains contradictions that move the mind into other, related, areas that enrich and complete it. This is similar to Hegel’s dialectical framework. However, in Hegel’s work this so-called “dialectic” is a central part of his metaphysical worldview, characterizing the movement of “absolute spirit” as it unfolds into history. Russell is relatively uninfluenced by Hegel’s broader theory, and adopts merely the general dialectical approach. He argues, for example, that the sciences are incomplete and contain contradictions, that one passes over into the other, as number into geometry and geometry into physics. The goal of a system of the sciences, he thinks, is to reveal the basic postulates of each science, their relations to each other, and to eliminate all inconsistencies but those that are integral to the science as such. (“Note on the Logic of the Sciences,” Papers 2) In this way, Russell’s early work is dialectical and holistic rather than monistic. On this point, Russell’s thinking was probably influenced by his tutors John McTaggart and James Ward, who were both British idealists unsympathetic to Bradley’s monism.

b. F. H. Bradley and Internal Relations

Bradley, most famous for his book Appearance and Reality, defines what is ultimately real as what is wholly unconditioned or independent. Put another way, on Bradley’s view what is real must be complete and self-sufficient. Bradley also thinks that the relations a thing stands in, such as being to the left of something else, are internal to it, that is, grounded in its intrinsic properties, and therefore inseparable from those properties. It follows from these two views that the subjects of relations, considered in themselves, are incomplete and dependent, and therefore ultimately unreal. For instance, if my bookcase is to the left of my desk, and if the relation being to the left of is internal to my bookcase, then being to the left of my desk contributes to the identity or being of my bookcase just as being six feet tall and being brown do. Consequently, it is not unconditioned or independent, since its identity is bound up with my desk’s. Since the truly real is independent, it follows that my bookcase is not truly real. This sort of argument can be given for every object that we could conceivably encounter in experience: everything stands in some relation or other to something else, thus everything is partially dependent on something else for its identity; but since it is dependent, it is not truly real.

The only thing truly real, Bradley thinks, is the whole network of interrelated objects that constitutes what we might call “the whole world.” Thus he embraces a species of monism: the doctrine that, despite appearances to the contrary, no plurality of substances exists and that only one thing exits: the whole. What prevents us from apprehending this, he believes, is our tendency to confuse the limited reality of things in our experience (and the truths based on that limited perspective)- with the unconditioned reality of the whole, the Absolute or One. Hence, Bradley is unsympathetic to the activity of analysis, for by breaking wholes into parts it disguises rather than reveals the nature of reality.

The early Russell, who was familiar with Bradley’s work through his teachers at Cambridge, was only partly sympathetic to F. H. Bradley’s views. Russell accepts the doctrine that relations are internal but, unlike Bradley, he does not deny that there is a plurality of things or subjects. Thus Russell’s holism, for example, his view of the interconnectedness of the sciences, does not require the denial of plurality or the rejection of analysis as a falsification of reality, both of which doctrines are antithetic to him early on.

c. Neo-Kantianism and A Priori Knowledge

Russell’s early views are also influenced by Kant. Kant argued that the mind imposes categories (like being in space and time) that shape what we experience. Since Kant defines a priori propositions as those we know to be true independently of (logically prior to) experience, and a posteriori propositions as those whose truth we know only through experience, it follows that propositions about these categories are a priori, since the conditions of any possible experience must be independent of experience. Thus for Kant, geometry contains a priori propositions about categories of space that condition our experience of things as spatial.

Russell largely agrees with Kant in his 1898 Foundations of Geometry, which is based on his dissertation. Other indications of a Kantian approach can be seen, for example, in his 1897 claim that what is essential to matter is schematization under the form of space (“On Matter,” Papers 2).

d. Russell’s Turn from Idealism to Realism

There are several points on which Russell’s views eventually turn against idealism and towards realism. The transition is not sudden but gradual, growing out of discomfort with what he comes to see as an undue psychologism in his work, and out of growing awareness of the importance of asymmetrical (ordering) relations in mathematics. The first issue concerns knowledge and opposes neo-Kantianism; the second issue concerns the nature of relations and the validity of analysis and opposes Neo-Hegelianism and Monism. The former lends itself to realism and mind/matter dualism, that is, to a view of matter as independent of minds, which apprehend it without shaping it. The latter lends itself to a view of the radical plurality of what exists. Both contribute to a marked preference for analysis over synthesis, as the mind’s way of apprehending the basic constituents of reality. By the time these developments are complete, Russell’s work no longer refers to the dialectic of thought or to the form of space or to other marks of his early infatuation with idealism. Yet throughout Russell’s life there remains a desire to give a complete account of the sciences, as a kind of vestige of his earlier views.

i. His Rejection of Psychologism

When Russell begins to question idealism, he does so in part because of the idealist perspective on the status of truths of mathematics. In his first completely anti-idealist work, The Principles of Mathematics (1903), Russell does not reject Kant’s general conception of the distinction between a priori and a posteriori knowledge, but he rejects Kant’s idealism, that is, Kant’s doctrine that the nature of thought determines what is a priori. On Russell’s view, human nature could change, and those truths would then be destroyed, which he thinks is absurd. Moreover, Russell objects that the Kantian notion of a priori truth is conditional, that is, that Kant must hold that 2 + 2 equals 4 only on condition that the mind always thinks it so (Principles, p. 40.) On Russell’s view, in contrast, mathematical and logical truths must be true unconditionally; thus 2 + 2 equals 4 even if there are no intelligences or minds. Thus Russell’s attack on Kant’s notion of the a priori focuses on what he sees as Kant’s psychologism, that is, his tendency to confuse what is objectively true even if no one thinks it, with what we are so psychologically constructed as to have to think. In general, Russell begins to sharply distinguish questions of logic, conceived as closely related to metaphysics, from questions of knowledge and psychology. Thus in his 1904 paper “Meinong’s Theory of Complexes and Assumptions” (Essays in Analysis, pp. 21-22), he writes, “The theory of knowledge is often regarded as identical with logic. This view results from confounding psychical states with their objects; for, when it is admitted that the proposition known is not the identical with the knowledge of it, it becomes plain that the question as to the nature of propositions is distinct from all questions of knowledge…. The theory of knowledge is in fact distinct from psychology, but is more complex: for it involves not only what psychology has to say about belief, but also the distinction of truth and falsehood, since knowledge is only belief in what is true.”

ii. His Rejection of Internal Relations

In his early defense of pluralism, external relations ( relations which cannot be reduced to properties) play an important role. The monist asserts that all relations within a complex or whole are less real than that whole, so that analysis of a whole into its parts is a misrepresentation or falsification of reality, which is one. It is consonant with this view, Russell argues, to try to reduce propositions that express relations to propositions asserting a property of something, that is, some subject-term (Principles, p. 221.) The monist therefore denies or ignores the existence of relations. But some relations must be irreducible to properties of terms, in particular the transitive and asymmetrical relations that order series, as the quality of imposing order among terms is lost if the relation is reduced to a property of a term. In rejecting monism, Russell argues that at least some relations are irreducible to properties of terms, hence they are external to those terms (Principles, p. 224); and on the basis of this doctrine of external relations, he describes reality as not one but many, that is, composed of diverse entities, bound but not dissolved into wholes by external relations. Since monism tends to reduce relations to properties, and to take these as intrinsic to substances (and ultimately to only one substance), Russell’s emphasis on external relations is explicitly anti-monistic.

2. 1901-1904: Platonist Realism

When Russell rebelled against idealism (with his friend G.E. Moore) he adopted metaphysical doctrines that were realist and dualist as well as Platonist and pluralist. As noted above, his realism and dualism entails that there is an external reality distinct from the inner mental reality of ideas and perceptions, repudiating the idealist belief that ultimate reality consists of ideas and the materialist view that everything is matter, and his pluralism consists in assuming there are many entities bound by external relations. Equally important, however, is his Platonism.

a. What has Being

Russell’s Platonism involves a belief that there are mind-independent entities that need not exist to be real, that is, to subsist and have being. Entities, or what has being (and may or may not exist) are called terms, and terms include anything that can be thought. In Principles of Mathematics (1903) he therefore writes, “Whatever may be an object of thought,…, or can be counted as one, I call a term. …I shall use it as synonymous with the words unit, individual, and entity. … [E]very term has being, that is, is in some sense. A man, a moment, a number, a class, a relation, a chimera, or anything else that can be mentioned, is sure to be a term….” (Principles, p. 43) Russell links his metaphysical Platonism to a theory of meaning as well as a theory of knowledge. Thus, all words that possess meaning do so by denoting complex or simple, abstract or concrete objects, which we apprehend by a kind of knowledge called acquaintance.

b. Propositions as Objects

Since for Russell words mean objects (terms), and since sentences are built up out of several words, it follows that what a sentence means, a proposition, is also an entity — a unity of those entities meant by the words in the sentence, namely, things (particulars, or those entities denoted by names) and concepts (entities denoted by words other than names). Propositions are thus complex objects that either exist and are true or subsist and are false. So, both true and false propositions have being (Principles, p. 35). A proposition is about the things it contains; for example, the proposition meant by the sentence “the cat is on the mat” is composed of and is about the cat, the mat, and the concept on. As Russell writes to Gottlob Frege in 1904: ‘I believe that in spite of all of its snowfields Mount Blanc itself is a component part of what is actually asserted in the proposition “Mount Blanc is more than 40,000 meters high.” We do not assert the thought, for that is a private psychological matter; we assert the object of the thought, and this is, to my mind, a certain complex (an objective proposition, one might say) in which Mount Blanc is itself a component part.’ (From Frege to Gödel, pp. 124-125)

This Platonist view of propositions as objects bears, furthermore, on Russell’s conception of logical propositions. In terms of the degree of abstractness in the entities making them up, the propositions of logic and those of a particular science sit at different points on a spectrum, with logical propositions representing the point of maximum generality and abstraction (Principles, p. 7). Thus, logical propositions are not different in kind from propositions of other sciences, and by a process of analysis we can come to their basic constituents, the objects (constants) of logic.

c. Analysis and Classes

Russell sometimes compares philosophical analysis to a kind of mental chemistry, since, as in chemical analysis, it involves resolving complexes into their simpler elements (Principles, p. xv). But in philosophical analyses, the process of decomposing a complex is entirely intellectual, a matter of seeing with the mind’s eye the simples involved in some complex concept. To have reached the end of such an intellectual analysis is to have reached the simple entities that cannot be further analyzed but must be immediately perceived. Reaching the end of an analysis – that is, arriving at the mental perception of a simple entity, a concept – then provides the means for definition, in the philosophical sense, since the meaning of the term being analyzed is defined in terms of the simple entities grasped at the end of the process of analysis. Yet in this period Russell is confronted with several logical and metaphysical problems. We see from his admission in the Principles that he has been unable to grasp the concept class which, he sees, leads to contradictions, for example, to Russell’s paradox (Principles, pp. xv-xvi).

Russell’s extreme Platonist realism involves him in several difficulties besides the fact that class appears to be a paradoxical (unthinkable) entity or concept. These additional concerns, which he sees even in the Principles, along with his difficulty handling the notion of a class and the paradoxes surrounding it, help determine the course of his later metaphysical (and logical) doctrines.

d. Concepts’ Dual Role in Propositions

One difficulty concerns the status of concepts within the entity called a proposition, and this arises from his doctrine that any quality or absence of quality presupposes being. On Russell’s view the difference between a concept occurring as such and occurring as a subject term in a proposition is merely a matter of their external relations and not an intrinsic or essential difference in entities (Principles, p. 46). Hence a concept can occur either predicatively or as a subject term. He therefore views with suspicion Frege’s doctrine that concepts are essentially predicative and cannot occur as objects, that is, as the subject terms of a proposition (Principles, Appendix A). As Frege acknowledges, to say that concepts cannot occur as objects is a doctrine that defies exact expression, for we cannot say “a concept is not an object” without seemingly treating a concept as an object, since it appears to be the referent of the subject term in our sentence. Frege shows little distress over this problem of inexpressibility, but for Russell such a state of affairs is self-contradictory and paradoxical since the concept is an object in any sentence that says it is not. Yet, as he discovers, to allow concepts a dual role opens the way to other contradictions (such as Russell’s paradox), since makes it possible for a predicate to be predicated of itself. Faced with paradoxes on either side, Russell chooses to risk the paradox he initially sees as arising from Frege’s distinction between concepts and objects in order to avoid more serious logical paradoxes arising from his own assumption of concepts’ dual role. (See Principles, Chapter X and Appendix B.) This issue contributes to his emerging attempt to eliminate problematic concepts and propositions from the domain of what has being. In doing so he implicitly draws away from his original belief that what is thinkable has being, as it is not clear how he can say that items he earlier entertained are unthinkable.

e. Meaning versus Denoting

Another difficulty with Russell’s Platonist realism concerns the way concepts are said to contribute to the meaning of propositions in which they occur. As noted earlier, propositions are supposed to contain what they are about, but the situation is more complex when these constituent entities include denoting concepts, either indefinite ones like a man or definite ones like the last man. The word “human” denotes an extra-mental concept human, but the concept human denotes the set of humans: Adam, Benjamin, Cain, and so on. As a result, denoting concepts have a peculiar role in objective propositions: when a denoting phrase occurs in a sentence, a denoting concept occurs in the corresponding proposition, but the proposition is not about the denoting concept but about the entities falling under the concept. Thus the proposition corresponding to the sentence “all humans are mortal” contains the concept human but is not about the concept per se – it is not attributing mortality to a concept – but is about individual humans. As a result, it is difficult to see how we can ever talk about the concept itself (as in the sentence “human is a concept”), for when we attempt to do so what we denote is not what we mean. In unpublished work from the period immediately following the publication of Principles (for example, “On Fundamentals,” Papers 4) Russell struggles to explain the connection between meaning and denoting, which he insists is a logical and not a merely psychological or linguistic connection.

f. The Relation of Logic to Epistemology and Psychology

In his early work, Russell treats logical questions quite like metaphysical ones and as distinct from epistemological and psychological issues bearing on how we know. As we saw (in section 1.d.i above), in his 1904 “Meinong’s Theory of Complexes and Assumptions” (Papers 4), Russell objects to what he sees as the idealist tendency to equate epistemology (that is, theory of knowledge) with logic, the study of propositions, by wrongly identifying states of knowing with the objects of those states (for example, judging with what is judged, the proposition). We must, he says, clearly distinguish a proposition from our knowledge of a proposition, and in this way it becomes clear that the study of the nature of a proposition, which falls within logic, in no sense involves the study of knowledge. Epistemology is also distinct from and more inclusive than psychology, for in studying knowledge we need to look at psychological phenomena like belief, but since “knowledge” refers not merely to belief but to true belief, the study of knowledge involves investigation into the distinction between true and false and in that way goes farther than psychology.

3. 1905-1912: Logical Realism

Even as these problems are emerging, Russell is becoming acquainted with Alexius Meinong’s psychologically oriented philosophical concerns. At the same time, he is adopting an eliminative approach towards classes and other putative entities by means of a logical analysis of sentences containing words that appear to refer to such entities. These forces together shape much of his metaphysics in this early period. By 1912, these changes have resulted in a metaphysic preoccupied with the nature and forms of facts and complexes.

a. Acquaintance and Descriptive Psychology

Russell becomes aware of the work of Alexius Meinong, an Austrian philosopher who studied with Franz Brentano and founded a school of experimental psychology. Meinong’s most famous work, Über Gegenstandstheorie (1904), or Theory of Objects, develops the concept of intentionality, that is, the idea that consciousness is always of objects, arguing, further, that non-existent as well as existent objects lay claim to a kind of being – a view to which Russell is already sympathetic. Russell’s 1904 essay “Meinong’s Theory of Complexes and Assumptions” (Papers 4) illustrates his growing fascination with descriptive psychology, which brings questions concerning the nature of cognition to the foreground. After 1904, Russell’s doctrine of the constituents of propositions is increasingly allied to epistemological and psychological investigations. For example, he begins to specify various kinds of acquaintance – sensed objects, abstract objects, introspected ones, logical ones, and so forth. Out of this discourse comes the more familiar terminology of universals and particulars absent from his Principles.

b. Eliminating Classes as Objects

Classes, as Russell discovers, give rise to contradictions, and their presence among the basic entities assumed by his logical system therefore impedes the goal, sketched in the Principles, of showing mathematics to be a branch of logic. The general idea of eliminating classes predates the discovery of the techniques enabling him to do so, and it is not until 1905, in “On Denoting,” that Russell discovers how to analyze sentences containing denoting phrases so as to deny that he is committed to the existence of corresponding entities. It is this general technique that he then employs to show that classes need not be assumed to exist, since sentences appearing to refer to classes can be rewritten in terms of properties.

i. “On Denoting” (1905)

For Russell in 1903, the meaning of a word is an entity, and the meaning of a sentence is therefore a complex entity (the proposition) composed of the entities that are the meanings of the words in the sentence. (See Principles, Chapter IV.) The words and phrases appearing in a sentence (like the words “I” and “met” and “man” in “I met a man”) are assumed to be those that have meaning (that is, that denote entities). In “On Denoting” (1905) Russell attempts to solve the problem of how indefinite and definite descriptive phrases like “a man” and “the present King of France,” which denote no single entities, have meaning. From this point on, Russell begins to believe that a process of logical analysis is necessary to locate the words and phrases that really give the sentence meaning and that these may be different than the words and phrases that appear at first glance to comprise the sentence. Despite advocating a deeper analysis of sentences and acknowledging that the words that contribute to their meaning may not be those that superficially appear in the sentence, Russell continues to believe (even after 1905), that a word of phrase has meaning only by denoting an entity.

ii. Impact on Analysis

This has a marked impact on his conception of analysis, which makes it a kind of discovery of entities. Thus Russell sometimes means by “analysis” a process of devising new ways of conveying what a particular word or phrase means, thereby eliminating the need for the original word. Sometimes the result of this kind of analysis or construction is to show that there can be no successful analysis in the first sense with respect to a particular purported entity. It is not uncommon for Russell to employ both kinds of analysis in the same work. This discovery, interwoven with his attempts to eliminate classes, emerges as a tactic that eventually eliminates a great many of the entities he admitted in 1903.

c. Eliminating Propositions as Objects

In 1903, Russell believed subsistence and existence were modalities of those objects called propositions. By 1906, Russell’s attempt to eliminate propositions testifies to his movement away from this view of propositions. (See “On the Nature of Truth, Proc. Arist. Soc., 1906, pp. 28-49.) Russell is already aware in 1903 that his conception of propositions as single (complex) entities is amenable to contradictions. In 1906, his worries about propositions and paradox lead him to reject objective false propositions, that is, false subsisting propositions that have being as much as true ones.

In seeking to eliminate propositions Russell is influenced by his success in “On Denoting,” as well as by Meinong. As he adopts the latter’s epistemological and psychological interests, he becomes interested in cognitive acts of believing, supposing, and so on, which in 1905 he already calls ‘propositional attitudes’ (“Meinong’s Theory of Complexes and Assumptions,” Papers 4) and which he hopes can be used to replace his doctrine of objective propositions. He therefore experiments with ways of eliminating propositions as single entities by accounting for them in terms of psychological acts of judgment that give unity to the various parts of the proposition, drawing them together into a meaningful whole. Yet the attempts do not go far, and the elimination of propositions only becomes official with the theory of belief he espouses in 1910 in “On the Nature of Truth and Falsehood” (Papers 6), which eliminates propositions and explains the meaning of sentences in terms of a person’s belief that various objects are unified in a fact.

d. Facts versus Complexes

By 1910 the emergence of the so-called multiple relation theory of belief brings the notion of a fact into the foreground. On this theory, a belief is true if things are related in fact as they are in the judgment, and false if they are not so related.

In this period, though Russell sometimes asks whether a complex is indeed the same as a fact (for example, in the 1913 unpublished manuscript Theory of Knowledge (Papers 7, p. 79)), he does not yet draw the sharp distinction between them that he later does in the 1918 lectures published as the Philosophy of Logical Atomism (Papers 8), and they are treated as interchangeable. That is, no distinction is yet drawn between what we perceive (a complex object, such as the shining sun) and what it is that makes a judgment based on perception true (a fact, such as that the sun is shining). He does, however, distinguish between a complex and a simple object (Principia, p. 44). A simple object is irreducible, while a complex object can be analyzed into other complex or simple constituents. Every complex contains one or more particulars and at least one universal, typically a relation, with the simplest kind of complex being a dyadic relation between two terms, as when this amber patch is to the right of that brown patch. Both complexes and facts are classified into various forms of increasing complication.

e. Universals and Particulars

In this period, largely through Meinong’s influence, Russell also begins to distinguish types of acquaintance – the acquaintance we have with particulars, with universals, and so on. He also begins to relinquish the idea of possible or subsisting particulars (for example, propositions), confining that notion to universals.

The 1911 “On the Relations of Universals and Particulars” (Papers 6) presents a full-blown doctrine of universals. Here Russell argues for the existence of diverse particulars – that is, things like tables, chairs, and the material particles that make them up that can exist in one and only one place at any given time. But he also argues for the existence of universals, that is, entities like redness that exist in more than one place at any time. Having argued that properties are universals, he cannot rely on properties to individuate particulars, since it is possible for there to be multiple particulars with all the same properties. In order to ground the numerical diversity of particulars even in cases where they share properties, Russell relies on spatial location. It is place or location, not any difference in properties, that most fundamentally distinguishes any two particulars.

Finally, he argues that our perceived space consists of asymmetrical relations such as left and right, that is, relations that order space. As he sees it, universals alone can’t account for the asymmetrical relations given in perception – particulars are needed. Hence, wherever a spatial relation holds, it must hold of numerically diverse terms, that is, of diverse particulars. Of course, there is also need for universals, since numerically diverse particulars cannot explain what is common to several particulars, that is, what occurs in more than one place.

f. Logic as the Study of Forms of Complexes and Facts

Though he eliminates propositions, Russell continues to view logic in a metaphysically realist way, treating its propositions as objects of a particularly formal, abstract kind. Since Russell thinks that logic must deal with what is objective, but he now denies that propositions are entities, he has come to view logic as the study of forms of complexes. The notion of the form of a complex is linked with the concept of substituting certain entities for others in a complex so as to arrive at a different complex of the same form. Since there can be no such substitution of entities when the complex doesn’t exist, Russell struggles to define the notions of form and substitution in a complex in a way that doesn’t rule out the existence of forms in cases of non-existent complexes. Russell raises this issue in a short manuscript called “What is Logic?” written in September and October of 1912 (Papers 6, pp. 54-56). After considering and rejecting various solutions Russell admits his inability to solve difficulties having to do with forms of non-existent complexes, but this and related difficulties plague his analysis of belief, that is, the analysis given to avoid commitment to objective false propositions.

g. Sense Data and the Problem of Matter

An interest in questions of what we can know about the world – about objects or matter – is a theme that begins to color Russell’s work by the end of this period. In 1912 Russell asks whether there is anything that is beyond doubt (Problems of Philosophy, p. 7). His investigation implies a particular view of what exists, based on what it is we can believe with greatest certainty.

Acknowledging that visible properties, like color, are variable from person to person as well as within one person’s experience and are a function of light’s interaction with our visual apparatus (eyes, and so forth), Russell concludes that we do not directly experience what we would normally describe as colored – or more broadly, visible – objects. Rather, we infer the existence of such objects from what we are directly acquainted with, namely, our sense experiences. The same holds for other sense-modalities, and the sorts of objects that we would normally describe as audible, scented, and so forth. For instance, in seeing and smelling a flower, we are not directly acquainted with a flower, but with the sense-data of color, shape, aroma, and so on. These sense-data are what are immediately and certainly known in sensation, while material objects (like the flower) that we normally think of as producing these experiences via the properties they bear (color, shape, aroma) are merely inferred.

These epistemological doctrines have latent metaphysical implications: because they are inferred rather than known directly, ordinary sense objects (like flowers) have the status of hypothetical or theoretical entities, and therefore may not exist. And since many ordinary sense objects are material, this calls the nature and existence of matter into question. Like Berkeley, Russell thinks it is possible that what we call “the material world” may be constructed out of elements of experience – not ideas, as Berkeley thought, but sense-data. That is, sense-data may be the ultimate reality. However, although Russell thought this was possible, he did not at this time embrace such a view. Instead, he continued to think of material objects as real, but as known only indirectly, via inferences from sense-data. This type of view is sometimes called “indirect realism.”

Although Russell is at this point willing to doubt the existence of physical objects and replace them with inferences from sense-data, he is unwilling to doubt the existence of universals, since even sense-data seem to have sharable properties. For instance, in Problems, he argues that, aside from sense data and inferred physical objects, there must also be qualities and relations (that is, universals), since in “I am in my room,” the word “in” has meaning and denotes something real, namely, a relation between me and my room (Problems, p. 80). Thus he concludes that knowledge involves acquaintance with universals.

4. 1913-1918: Occam’s Razor and Logical Atomism

In 1911 Ludwig Wittgenstein, a wealthy young Austrian, came to study logic with Russell, evidently at Frege’s urging. Russell quickly came to regard his student as a peer, and the two became friends (although their friendship did not last long). During this period, Wittgenstein came to disagree with Russell’s views on logic, meaning, and metaphysics, and began to develop his own alternatives. Surprisingly, Russell became convinced that Wittgenstein was correct both in his criticisms and in his alternative views. Consequently, during the period in question, Wittgenstein had considerable impact on the formation of Russell’s thought.

Besides Wittgenstein, another influence in this period was A.N. Whitehead, Russell’s collaborator on the Principia Mathematica, which is finally completed during this period after many years’ work.

The main strands of Russell’s development in this period concern the nature of logic and the nature of matter or physical reality. His work in and after 1914 is parsimonious about what exists while remaining wedded to metaphysical realism and Platonism. By the end of this period Russell has combined these strands in a metaphysical position called logical atomism.

a. The Nature of Logic

By 1913 the nature of form is prominent in Russell’s discussion of logical propositions, alongside his discussion of forms of facts. Russell describes logical propositions as constituted by nothing but form, saying in Theory of Knowledge that they do not have forms but are forms, that is, abstract entities (Papers 7, p. 98). He says in the same period that the study of philosophical logic is in great part the study of such forms. Under Ludwig Wittgenstein’s influence, Russell begins to conceive of the relations of metaphysics to logic, epistemology and psychology in a new way. Thus in the Theory of Knowledge (as revised in 1914) Russell admits that any sentence of belief must have a different logical form from any he has hitherto examined (Papers 7, p. 46), and, since he thinks that logic examines forms, he concludes, contra his earlier view (in “Meinong’s Theory of Complexes and Assumptions,” Papers 4), that the study of forms can’t be kept wholly separate from the theory of knowledge or from psychology.

In Our Knowledge of the External World (1914) the nature of logic plays a muted role, in large part because of Russell’s difficulties with the nature of propositions and the forms of non-existent complexes and facts. Russell argues that logic has two branches: mathematical and philosophical (Our Knowledge, pp. 49-52; 67). Mathematical logic contains completely general and a priori axioms and theorems as well as definitions such as the definition of number and the techniques of construction used, for example, in his theory of descriptions. Philosophical logic, which Russell sometimes simply calls logic, consists of the study of forms of propositions and the facts corresponding to them. The term ‘philosophical logic’ does not mean merely a study of grammar or a meta-level study of a logical language; rather, Russell has in mind the metaphysical and ontological examination of what there is. He further argues, following Wittgenstein, that belief facts are unlike other forms of facts in so far as they contain propositions as components (Our Knowledge, p, 63).

b. The Nature of Matter

In 1914 -1915, Russell rejects the indirect realism that he had embraced in 1912. He now sees material objects as constructed out of, rather than inferred from, sense-data. Crediting Alfred North Whitehead for his turn to this “method of construction,” in Our Knowledge of the External World (1914) and various related papers Russell shows how the language of logic can be used to interpret material objects in terms of classes of sense-data like colors or sounds. Even though we begin with something ultimately private – sense-data viewed from the space of our unique perspective – it is possible to relate that to the perspective of other observers or potential observers and to arrive at a class of classes of sense data. These “logical constructions” can be shown to have all the properties supposed to belong to the objects of which they are constructions. And by Occam’s Razor – the principle not to multiply entities unnecessarily – whenever it is possible to create a construction of an object with all the properties of the object, it is unnecessary to assume the existence of the object itself. Thus Russell equates his maxim “wherever possible, to substitute constructions for inferences” (“On the Relation of Sense Data to Physics, Papers 8) with Occam’s razor.

c. Logical Atomism

In the 1918 lectures published as Philosophy of Logical Atomism (Papers 8) Russell describes his philosophical views as a kind of logical atomism, as the view that reality consists of a great many ultimate constituents or ‘atoms’. In describing his position as “logical” atomism, he understands logic in the sense of “philosophical logic” rather than “technical logic,” that is, as an attempt to arrive through reason at what must be the ultimate constituents and forms constituting reality. Since it is by a process of a priori philosophical analysis that we reach the ultimate constituents of reality – sense data and universals – such constituents might equally have been called “philosophical” atoms: they are the entities we reach in thought when we consider what sorts of things must make up the world. Yet Russell’s metaphysical views are not determined solely a priori. They are constrained by science in so far as he believes he must take into account the best available scientific knowledge, as demonstrated in his attempt to show the relation between sense-data and the “space, time and matter” of physics (Our Knowledge, p. 10).

i. The Atoms of Experience and the Misleading Nature of Language

Russell believed that we cannot move directly from the words making up sentences to metaphysical views about which things or relations exist, for not all words and phrases really denote entities. It is only after the process of analysis that we can decide which words really denote things and thus, which things really exist. Analysis shows that many purported denoting phrases – such as words for ordinary objects like tables and chairs – can be replaced by logical constructions that, used in sentences, play the role of these words but denote other entities, such as sense-data (like patches of color) and universals, which can be included among the things that really exist.

Regarding linguistics, Russell believed that analysis results in a logically perfect language consisting only of words that denote the data of immediate experience (sense data and universals) and logical constants, that is, words like “or” and “not” (Papers 8, p. 176).

ii. The Forms of Facts and Theory of Truth

These objects (that is, logical constructions) in their relations or with their qualities constitute the various forms of facts. Assuming that what makes a sentence true is a fact, what sorts of facts must exist to explain the truth of the kinds of sentences there are? In 1918, Russell answers this question by accounting for the truth of several different kinds of sentences: atomic and molecular sentences, general sentences, and those expressing propositional attitudes like belief.

So-called atomic sentences like “Andrew is taller than Bob” contain two names (Andrew, Bob) and one symbol for a relation (is taller than). When true, an atomic sentence corresponds to an atomic fact containing two particulars and one universal (the relation).

Molecular sentences join atomic sentences into what are often called “compound sentences” by using words like “and” or “or.” When true, molecular sentences do not correspond to a single conjunctive or disjunctive fact, but to multiple atomic facts (Papers 8, pp. 185-86). Thus, we can account for the truth of molecular propositions like “Andrew is kind or he is young” simply in terms of the atomic facts (if any) corresponding to “Andrew is kind” and “Andrew is young,” and the meaning of the word “or.” It follows that “or” is not a name for a thing, and Russell denies the existence of molecular facts.

Yet to account for negation (for example, “Andrew is not kind”) Russell thinks that we require more than just atomic facts. We require negative facts; for if there were no negative facts, there would be nothing to verify a negative sentence and falsify its opposite, the corresponding positive atomic sentence (Papers 8, pp. 187-90).

Moreover, no list of atomic facts can tell us that it is all the facts; to convey the information expressed by sentences like “everything fair is good” requires the existence of general facts.

iii. Belief as a New Form of Fact

Russell describes Wittgenstein as having persuaded him that a belief fact is a new form of fact, belonging to a different series of facts than the series of atomic, molecular, and general facts. Russell acknowledges that belief-sentences pose a difficulty for his attempt (following Wittgenstein) to explain how the truth of the atomic sentences fully determines the truth or falsity of all other types of sentences, and he therefore considers the possibility of explaining-away belief facts. Though he concedes that expressions of propositional attitudes, that is, sentences of the form “Andrew believes that Carole loves Bob,” might, by adopting a behaviorist analysis of belief, be explained without the need of belief facts (Papers 8, pp. 191-96), he stops short of that analysis and accepts beliefs as facts containing at least two relations (in the example, belief and loves).

iv. Neutral Monism

By 1918, Russell is conscious that his arguments for mind/matter dualism and against neutral monism are open to dispute. Neutral monism opposes both materialism (the doctrine that what exists is material) and British and Kantian idealism (the doctrine that only thought or mind is ultimately real), arguing that reality is more fundamental than the categories of mind (or consciousness) and matter, and that these are simply names we give to one and the same neutral reality. The proponents of neutral monism include John Dewey and William James (who are sometimes referred to as American Realists), and Ernst Mach. Given the early Russell’s commitment to mind/matter dualism, neutral monism is to him at first alien and incredible. Still, he admits being drawn to the ontological simplicity it allows, which fits neatly with his preference for constructions over inferences and his increasing respect for Occam’s razor, the principle of not positing unnecessary entities in one’s ontology (Papers 8, p. 195).

5. 1919-1927: Neutral Monism, Science, and Language

During this period, Russell’s interests shift increasingly to questions belonging to the philosophy of science, particularly to questions about the kind of language necessary for a complete description of the world. Many distinct strands feed into Russell’s thought in this period.

First, in 1919 he finally breaks away from his longstanding dualism and shifts to a kind of neutral monism. This is the view that what we call “mental” and what we call “material” are really at bottom the same “stuff,” which is neither mental nor material but neutral. By entering into classes and series of classes in different ways, neutral stuff gives rise to what we mistakenly think of distinct categories, the mental and the material (Analysis of Mind, p. 105).

Second, Russell rather idiosyncratically interweaves his new monist ideas with elements of behaviorism, especially in advancing a view of language that moves some of what he formerly took to be abstract entities into the domain of stimuli or events studied by psychology and physiology. In neither case is his allegiance complete or unqualified. For example, he rejects a fully behaviorist account of language by accepting that meaning is grounded in mental images available to introspection but not to external observation. Clearly, this is incompatible with behaviorism. Moreover, this seems to commit Russell to intrinsically mental particulars. This would stand in opposition to neutral monism, which denies there are any intrinsically mental (or physical) particulars. (See Analysis of Mind, Lecture X.)

Third, he begins in this same period to accept Ludwig Wittgenstein’s conception (in the Tractatus Logico Philosophicus) of logical propositions as tautologies that say nothing about the world.

Though these developments give Russell’s work the appearance of a retreat from metaphysical realism, his conception of language and logic remains rooted in realist, metaphysical assumptions.

a. Mind, Matter, and Meaning

Because of his neutral monism, Russell can no longer maintain the distinction between a mental sensation and a material sense-datum, which was crucial to his earlier constructive work. Constructions are now carried out in terms that do not suppose mind and matter (sensations and sense-data) to be ultimately distinct. Consciousness is no longer seen as a relation between something psychical, a subject of consciousness, and something physical, a sense datum (Analysis of Mind, pp. 142-43). Instead, the so-called mental and so-called physical dimensions are both constructed out of classes of classes of perceived events, between which there exist – or may exist – correlations.

Meaning receives a similar treatment: instead of a conception of minds in a relation to things that are the meanings of words, Russell describes meaning in terms of classes of events stimulated or caused by certain other events (Analysis of Mind, Chapter X). Assertions that a complex exists hereafter reduce to assertions of some fact about classes, namely that the constituents of classes are related in a certain way.

His constructions also become more complex to accommodate Einstein’s theory of relativity. This work is carried out in particular both in his 1921 Analysis of Mind, which is occupied in part with explaining mind and consciousness in non-mental terms, and in his 1927 Analysis of Matter, which returns to the analysis of so-called material objects, that in 1914 were constructed out of classes of sense-data.

b. Private versus Public Data

Despite his monism, Russell continues to distinguish psychological and physical laws (“On Propositions,” Papers 8, p. 289), but this dualist element is mitigated by his belief that whether an experience exists in and obeys the laws of physical space is a matter of degree. Some sensations are localized in space to a very high degree, others are less so, and some aren’t at all. For example, when we have an idea of forming the word “orange” in our mouth, our throat constricts just a tiny bit as if to mouth, “orange.” In this case there exists no clear distinction between the image we have of words in the mouth and our mouth-and-lip sensations (Papers 8, p. 286). Depending on your choice of context the sensation can be labeled either mental or material.

Moreover, tactile images of words in the mouth do not violate the laws of physics when seen as material events located in the body, specifically, in the mouth or jaw. In contrast, visual images have no location in a body; for instance, the image of your friend seated in a chair is located neither in your mouth, jaw, nor anywhere else in your body. Moreover, many visual images cannot be construed as bodily sensations, as images of words can, since, no relevant physical event corresponding to the visual image occurs. His admission that visual images are always configured under psychological laws seems to commit Russell to a doctrine of mental particulars. For this reason, Russell appears not so much to adopt neutral monism, which rejects such entities, as to adapt it to his purposes.

c. Language, Facts, and Psychology

Immediately after the lectures conclude, while in prison writing up notes eventually published in the 1921 Analysis of Mind (Papers 8, p. 247), Russell introduces a distinction between what a proposition expresses and what it asserts or states. Among the things that are expressed in sentences are logical concepts, words like “not” and “or,” which derive meaning from psychological experiences of rejection and choice. In these notes and later writings, belief is explained in terms of having experiences like these about image propositions (Analysis of Mind, p. 251). Thus what we believe when we believe a true negative proposition is explained psychologically as a state of disbelief towards a positive image proposition (Analysis of Mind, p. 276). Despite this analysis of the meaning of words for negation, Russell continues to think that negative facts account for what a negative belief asserts, that is, for what makes it true. The psychological account doesn’t do away with the need for them, Russell explains, because the truth or falsity of a proposition is due to some fact, not to a subjective belief or state.

d. Universals

Russell continues to analyze truth in terms of relation to facts, and to characterize facts as atomic, negative, and so on. Moreover, he continues to assume that we can talk about the constituents of facts in terms of particulars and universals. He does not abandon his belief that there are universals; indeed, in the 1920s he argues that we have no images of universals but can intend or will that an image, which is always a particular, ‘mean’ a universal (“On Propositions,” Papers 8, p. 293). This approach is opposed by those like Frank P. Ramsey, for whom notions like “atomic fact” are analogous to “spoken word”: they index language rather than reality. For Ramsey – and others in the various emerging schools of philosophy for which metaphysics is anathema – Russell’s approach confuses categories about language with categories of things in the world and in doing so is too metaphysical and too realist.

e. The Syntactical View

To some extent, Russell accepts the syntactical view in the following sense. Beginning in 1918 he concedes that logical truths are not about the world but are merely tautologies, and he comes to admit that tautologies are nothing more than empty combinations of meaningless symbols. Yet Russell’s conception of language and logic remains in some respects deeply metaphysical. For example, when, following Ramsey’s suggestion, Russell claims in the 1925 second edition of Principia that a propositional function occurs only in the propositions that are its values (Principia, p. xiv and Appendix C), he again aligns that idea with a doctrine of predicates as incomplete symbols, that is, with a metaphysical doctrine of the distinction between universals and particulars. Opposing this, Ramsey praises what he thinks is Wittgenstein’s deliberate attempt to avoid metaphysical characterizations of the ultimate constituents of facts, a view he infers from Wittgenstein’s cryptic remark in the Tractatus Logico-Philosophicus that, in a fact, objects “hang together” like links in a chain.

6. 1930-1970: Anti-positivist Naturalism

The choice of years framing this final category is somewhat artificial since Russell’s work retains a great deal of unity with the doctrines laid down in the 1920s. Nevertheless, there is a shift in tone, largely due to the emergence of logical positivism, that is, the views proposed by the members of the Vienna Circle. Russell’s work in the remaining decades of his life must be understood as metaphysical in orientation and aim, however highly scientific in language, and as shaped in opposition to doctrines emanating from logical positivism and the legacy following Ludwig Wittgenstein’s claim that philosophical (metaphysical) propositions are nonsensical pseudo-propositions. Yet even as it remains metaphysical in orientation, with respect to logic Russell’s work continues to draw back from his early realism.

a. Logical Truths

In his 1931 introduction to second edition of Principles of Mathematics, Russell writes that, “logical constants…must be treated as part of the language, not as part of what the language speaks about,” adopting a view that he admits is “more linguistic than I believed to be at the time I wrote the Principles” (Principles, p. xi) and that is “less Platonic, or less realist in the medieval sense of the word” (Principles, p. xiv). At the same time he says that he was too generous when he first wrote the Principles in saying that a proposition belongs to logic or mathematics if it contains nothing but logical constants (understood as entities), for he now concedes there are extra-logical propositions (for example “there are three things”) that can be posed in purely logical terms. Moreover, though he now thinks that (i) logic is distinguished by the tautological nature of its propositions, and (ii) following Rudolf Carnap he explains tautologies in terms of analytic propositions, that is, those that are true in virtue of form, Russell notes that we have no clear definition of what it is to be true in virtue of form, and hence no clear idea of what is distinctive to logic (Principles, p. xii). Yet, in general, he no longer thinks of logical propositions as completely general truths about the world, related to those of the special sciences, albeit more abstract.

b. Empirical Truths

In his later work, Russell continues to believe that, when a proposition is false, it is so because of a fact. Thus against logical positivists like Neurath, he insists that when empirical propositions are true, “true” has a different meaning than it does for propositions of logic. It is this assumption that he feels is undermined by logical positivists like Carnap, Neurath and others who treat language as socially constructed, and as isolable from facts. But this is wrong, he thinks, as language consists of propositional facts that relate to other facts and is therefore not merely constructed. It is this he has in mind, when in the 1936 “Limits of Empiricism” (Papers 10), he argues that Carnap and Wittgenstein present a view that is too syntactical; that is, truth is not merely syntactical, nor a matter of propositions cohering. As a consequence, despite admitting that his view of logic is less realist, less metaphysical, than in the past, Russell is unwilling to adopt metaphysical agnosticism, and he continues to think that the categories in language point beyond language to the nature of what exists.

c. A Priori Principles

Against logical positivism, Russell thinks that to defend the very possibility of objective knowledge it is necessary to permit knowledge to rest in part on non-empirical propositions. In Inquiry into Meaning and Truth (1940) and Human Knowledge: Its Scope and Limits (1948) Russell views the claim that all knowledge is derived from experience as self-refuting and hence inadequate to a theory of knowledge: as David Hume showed, empiricism uses principles of reason that cannot be proved by experience. Specifically, inductive reasoning about experience presupposes that the future will resemble the past, but this belief or principle cannot similarly be proved by induction from experience without incurring a vicious circle. Russell is therefore willing to accept induction as involving a non-empirical logical principle, since, without it, science is impossible. He thus continues to hold that there are general principles, comprised of universals, which we know a priori. Russell affirms the existence of general non-empirical propositions on the grounds, for example, that the incompatibility of red/blue is neither logical nor a generalization from experience (Inquiry, p. 82). Finally, against the logical positivists, Russell rejects the verificationist principle that propositions are true or false only if they are verifiable, and he rejects the idea that propositions make sense only if they are empirically verifiable.

d. Universals

Though Russell’s late period work is empiricist in holding that experience is the ultimate basis of knowledge, it remains rationalist in that some general propositions must be known independently of experience, and realist with respect to universals. Russell argues for the existence of universals against what he sees as an overly syntactical view that eliminates them as entities. That is, he asserts that (some) relations are non-linguistic. Universals figure in Russell’s ontology, in his so-called bundle theory, which explains thing as bundles of co-existing properties, rejecting the notion of a substance as an unknowable ‘this’ distinct from and underlying its properties. (See Inquiry, Chapter 6.) The substance-property conception is natural, he says, if sentences like “this is red” are treated as consisting of a subject and a predicate. However, in sentences like “redness is here,” Russell treats the word “redness” as a name rather than as a predicate. On the substance-property view, two substances may have all their properties in common and yet be distinct, but this possibility vanishes on the bundle theory since a thing is its properties. Aside from his ontology, Russell’s reasons for maintaining the existence of universals are largely epistemological. We may be able to eliminate a great many supposed universals, but at least one, such as is similar, will remain necessary for a full account of our perception and knowledge (Inquiry, p. 344). Russell uses this notion to show that it is unnecessary to assume the existence of negative facts, which until the 1940s he thought necessary to explain truth and falsity. For several decades his psychological account of negative propositions as a state of rejection towards some positive proposition coexisted with his account, using negative facts, of what justifies saying that a negative belief is true and a positive one is false. Thus Russell does not eliminate negative facts until 1948 in Human Knowledge: Its Scope and Limits, where one of his goals is to explain how observation can determine the truth of a negative proposition like “this is not blue” and the falsity of a positive one like “this is blue” without being committed to negative facts (Human Knowledge, Chapter IX). In that text, he argues that what makes “this is not blue” true (and what makes “this is blue” false) is the existence of some color differing from blue. Unlike his earlier period he now thinks this color other than blue neither is nor implies commitment to a negative fact.

e. The Study of Language

Russell’s late work assumes that it is meaningful and possible to study the relation between experience and language and how certain extra-linguistic experiences give rise to linguistic ones, for example, how the sight of butter causes someone to assert “this is butter” or how the taste of cheese causes someone to “this is not butter.” Language, for Russell, is a fact and can be examined scientifically like any other fact. In The Logical Syntax of Language (1934) Rudolph Carnap had argued that that a science may choose to talk in subjective terms about sense data or in objective terms about physical objects since there are multiple equally legitimate ways to talk about the world. Hence Carnap does not believe that in studying language scientifically we must take account of metaphysical contentions about the nature of experience and its relation to language. Russell opposes Rudolf Carnap’s work and logical positivism, that is, logical empiricism, for dismissing his kind of approach as metaphysical nonsense, not a subject of legitimate philosophical study, and he defends it as an attempt to arrive at the truth about the language of experience, as an investigation into an empirical phenomenon.

7. References and Further Reading

The following is a selection of texts for further reading on Russell’s metaphysics. A great deal of his writing on logic, the theory of knowledge, and on educational, ethical, social, and political issues is therefore not represented here. Given the staggering amount of writing by Russell, not to mention on Russell, it is not intended to be exhaustive. The definitive bibliographical listing of Russell’s own publications takes up three volumes; it is to be found in Blackwell, Kenneth, Harry Ruja, and Sheila Turcon. A Bibliography of Bertrand Russell, 3 volumes. London and New York: Routledge, 1994.

a. Primary Sources

i. Monographs

  • 1897. An Essay on the Foundations of Geometry. Cambridge, UK: Cambridge University Press.
  • 1900. A Critical Exposition of the Philosophy of Leibniz. Cambridge, UK: University Press.
  • 1903. The Principles of Mathematics. Cambridge, UK: Cambridge University Press.
  • 1910-1913. Principia Mathematica, with Alfred North Whitehead. 3 vols. Cambridge, UK: Cambridge Univ. Press. Revised ed., 1925-1927.
  • 1912. The Problems of Philosophy. London: Williams and Norgate.
  • 1914. Our Knowledge of the External World as a Field for Scientific Method in Philosophy. Chicago: Open Court. Revised edition, London: George Allen & Unwin, 1926.
  • 1919. Introduction to Mathematical Philosophy. London: George Allen & Unwin.
  • 1921. The Analysis of Mind. London: George Allen & Unwin.
  • 1927. The Analysis of Matter. London: Kegan Paul.
  • 1940. An Inquiry into Meaning and Truth. New York: W. W. Norton.
  • 1948. Human Knowledge: Its Scope and Limits. London: George Allen & Unwin.

ii. Collections of Essays

  • 1910. Philosophical Essays. London: Longmans, Green. Revised ed., London: George Allen & Unwin, 1966.
  • 1918. Mysticism and Logic and Other Essays. London: Longmans, Green.
  • 1956. Logic and Knowledge: Essays 1901-1950, ed. Robert Charles Marsh. London: George Allen & Unwin.
  • 1973. Essays in Analysis, edited by Douglas Lackey. London: George Allen & Unwin.

iii. Articles

  • “Letter to Frege.” (Written in 1902) In From Frege to Gödel, ed. J. van Heijenoort, 124-5. Cambridge, Mass.: Harvard Univ. Press, 1967.
  • “Meinong’s Theory of Complexes and Assumptions.” Mind 13 (1904): 204-19, 336-54, 509-24. Repr. Essays in Analysis.
  • “On Denoting.” Mind 14 (1905): 479-493. Repr. Logic and Knowledge.
  • Review of Meinong et al., Untersuchungen zur Gegenstandstheorie und Psychologie. Mind 14 (1905): 530-8. Repr. Essays in Analysis.
  • “On the Substitutional Theory of Classes and Relations.” In Essays in Analysis. Written 1906.
  • “On the Nature of Truth.” Proceedings of the Aristotelian Society 7 (1906-07): 28-49. Repr. (with the final section excised) as “The Monistic Theory of Truth” in Philosophical Essays.
  • “Mathematical Logic as Based on the Theory of Types.” American Journal of Mathematics 30 (1908): 222-262. Repr. Logic and Knowledge.
  • “On the Nature of Truth and Falsehood.” In Philosophical Essays.
  • “Analytic Realism.” Bulletin de la société française de philosophie 11 (1911): 53-82. Repr. Collected Papers 6.
  • “Knowledge by Acquaintance and Knowledge by Description.” Proceedings of the Aristotelian Society 11 (1911): 108-128. Repr. Mysticism and Logic.
  • “On the Relations of Universals and Particulars.” Proceedings of the Aristotelian Society 12 (1912): 1-24. Repr. Logic and Knowledge.
  • “The Ultimate Constituents of Matter.” The Monist, 25 (1915): 399-417. Repr. Mysticism and Logic.
  • “The Philosophy of Logical Atomism.” The Monist 28 (1918): 495-27; 29 (1919): 32-63, 190-222, 345-80. Repr. Logic and Knowledge. Published in 1972 as Russell’s Logical Atomism, edited and with an introduction by David Pears. London: Fontana. Republished in 1985 as Philosophy of Logical Atomism, with a new introduction by D. Pears.
  • “On Propositions: What They Are and How They Mean.” Proceedings of the Aristotelian Society. Sup. Vol. 2 (1919): 1 – 43. Repr. Logic and Knowledge.
  • “The Meaning of ‘Meaning.’” Mind 29 (1920): 398-401.
  • “Logical Atomism.” In Contemporary British Philosophers, ed. J.H. Muirhead, 356-83. London: Allen & Unwin, 1924. Repr. Logic and Knowledge.
  • Review of Ramsey, The Foundations of Mathematics. Mind 40 (1931): 476- 82.
  • “The Limits of Empiricism.” Proceedings of the Aristotelian Society 36 (1936): 131-50.
  • “On Verification.” Proceedings of the Aristotelian Society 38 (1938): 1-20.
  • “My Mental Development.” In The Philosophy of Bertrand Russell, ed. P.A. Schilpp, 1-20. Evanston: Northwestern University, 1944.
  • “Reply to Criticisms.” In The Philosophy of Bertrand Russell, ed. P.A. Schilpp. Evanston: Northwestern, 1944.
  • “The Problem of Universals.” Polemic, 2 (1946): 21-35. Repr. Collected Papers 11.
  • “Is Mathematics Purely Linguistic?” In Essays in Analysis, 295-306.
  • “Logical Positivism.” Revue internationale de philosophie 4 (1950): 3-19. Repr. Logic and Knowledge.
  • “Logic and Ontology.” Journal of Philosophy 54 (1957): 225-30. Reprinted My Philosophical Development.
  • “Mr. Strawson on Referring.” Mind 66 (1957): 385-9. Repr. My Philosophical Development.
  • “What is Mind?” Journal of Philosophy 55 (1958): 5-12. Repr. My Philosophical Development.

iv. The Collected Papers of Bertrand Russell

  • Volume 1. Cambridge Essays, 1888-99. (Vol. 1) Ed. Kenneth Blackwell, Andrew Brink, Nicholas Griffin, Richard A. Rempel and John G. Slater. London: George Allen & Unwin, 1983.
  • Volume 2. Philosophical Papers, 1896-99. Ed. Nicholas Griffin and Albert C. Lewis. London: Unwin Hyman, 1990.
  • Volume 3. Towards the “Principles of Mathematics,” 1900-02. Ed. Gregory H. Moore. London and New York: Routledge, 1994.
  • Volume 4. Foundations of Logic, 1903-05. Ed. Alasdair Urquhart. London and New York: Routledge, 1994.
  • Volume 6. Logical and Philosophical Papers, 1909-13. Ed. John G. Slater. London and New York: Routledge, 1992.
  • Volume 7. Theory of Knowledge: The 1913 Manuscript. Ed. Elizabeth Ramsden Eames. London: George Allen & Unwin, 1984.
  • Volume 8. The Philosophy of Logical Atomism and Other Essays, 1914-1919. Ed. John G. Slater. London: George Allen & Unwin, 1986.
  • Volume 9. Essays on Language, Mind, and Matter, 1919-26. Ed. John G. Slater. London: Unwin Hyman, 1988.
  • Volume 10. A Fresh Look at Empiricism, 1927-1942. Ed. John G. Slater. London and New York: Routledge, 1996.
  • Volume 11. Last Philosophical Testament, 1943-1968. Ed. John G. Slater. London and New York: Routledge, 1997.

v. Autobiographies and Letters

  • 1944. “My Mental Development.” The Philosophy of Bertrand Russell, ed. Paul A. Schilpp, 1-20. Evanston: Northwestern University.
  • 1956. Portraits from Memory and Other Essays. London: George Allen & Unwin.
  • 1959. My Philosophical Development. London: George Allen & Unwin.
  • 1967-9. The Autobiography of Bertrand Russell. 3 vols. London: George Allen & Unwin.

b. Secondary sources

i. General Surveys

  • Ayer, A.J.. Bertrand Russell. New York: Viking Press, 1972.
  • Dorward, Alan. Bertrand Russell: A Short Guide to His Philosophy. London: Longmans, Green, and Co, 1951.
  • Eames, Elizabeth Ramsden. Bertrand Russell’s Dialogue with His Contemporaries. Carbondale, Ill.: Southern Illinois Univ. Press, 1989.
  • Griffin, Nicholas, ed. The Cambridge Companion to Bertrand Russell. Cambridge, UK: Cambridge University Press, 2003.
  • Jager, Ronald. The Development of Bertrand Russell’s Philosophy. London: George Allen and Unwin, 1972.
  • Klemke, E.D., ed. Essays on Bertrand Russell. Urbana: Univ. of Illinois Press, 1970.
  • Sainsbury, R. M. Russell. London: Routledge & Kegan Paul, 1979.
  • Schilpp, Paul, ed. The Philosophy of Bertrand Russell. Evanston: Northwestern University, 1944.
  • Schoenman, Ralph, ed. Bertrand Russell: Philosopher of the Century. London: Allen & Unwin, 1967.
  • Slater, John G. Bertrand Russell. Bristol: Thoemmes, 1994.

ii. History of Analytic Philosophy

  • Griffin, Nicholas. Russell’s Idealist Apprenticeship. Oxford: Clarendon, 1991.
  • Hylton, Peter. Russell, Idealism and the Emergence of Analytic Philosophy. Oxford: Clarendon Press, 1990.
  • Irvine, A.D. and G.A. Wedeking, eds. Russell and Analytic Philosophy. Toronto: University of Toronto Press, 1993.
  • Monk, Ray, and Anthony Palmer, eds. Bertrand Russell and the Origins of Analytic Philosophy. Bristol: Thoemmes Press, 1996.
  • Pears, David. Bertrand Russell and the British Tradition in Philosophy. London: Fontana Press, 1967.
  • Savage, C. Wade and C. Anthony Anderson, eds. Rereading Russell: Essays on Bertrand Russell’s Metaphysics and Epistemology. Minneapolis: University of Minnesota Press, 1989.
  • Stevens, Graham. The Russellian Origins of Analytical Philosophy: Bertrand Russell and the Unity of the Proposition. London and New York: Routledge, 2005.

iii. Logic and Metaphysics

  • Costello, Harry. “Logic in 1914 and Now.” Journal of Philosophy 54 (1957): 245-263.
  • Frege, Gottlob. Philosophical and Mathematical Correspondence. Chicago: University of Chicago Press, 1980.
  • Griffin, Nicholas. “Russell on the Nature of Logic (1903-1913).” Synthese 45 (1980): 117-188.
  • Hylton, Peter. “Logic in Russell’s Logicism.” In The Analytic Tradition, ed. Bell and Cooper, 137-72. Oxford: Blackwell, 1990.
  • Hylton, Peter. “Functions and Propositional Functions in Principia Mathematica.” In Russell and Analytic Philosophy, ed. Irvine and Wedeking, 342-60. Toronto: Univ. of Toronto Press, 1993.
  • Linsky, Bernard. Russell’s Metaphysical Logic. Stanford: CSLI Publications, 1999.
  • Ramsey, Frank P. The Foundations of Mathematics. Paterson, NJ: Littlefield, Adams and Co, 1960. Repr. as Philosophical Papers. Cambridge, UK: Cambridge Univ. Press, 1990
  • Frege, Gottlob. “Letter to Russell.” In From Frege to Gödel, ed. J. van Heijenoort, 126-8. Cambridge, Mass.: Harvard Univ. Press, 1967.
  • Ramsey, F.P. “Mathematical Logic.” Mathematical Gazette 13 (1926), 185-194. Repr. Philosophical Papers, F.P. Ramsey, 225-44. Cambridge, UK: Cambridge Univ. Press, 1990.
  • Rouilhan Philippe de. “Substitution and Types: Russell’s Intermediate Theory.” In One Hundred Years of Russell’s Paradox, ed. Godehard Link, 401-16. Berlin: De Gruyter, 2004.

iv. Meaning and Metaphysics

  • Burge, T. “Truth and Singular Terms.” In Reference, Truth and Reality, ed. M. Platts, 167-81. London: Routledge & Keegan Paul, 1980.
  • Donnellan, K.S. “Reference and Definite Descriptions.” Philosophical Review 77 (1966): 281-304.
  • Geach, P., (1962). Reference and Generality. Ithaca, NY: Cornell University Press, 1962.
  • Hylton, Peter. “The Significance of On Denoting.” In Rereading Russell, ed. Savage and Anderson, 88-107. Minneapolis: Univ. of Minnesota, 1989.
  • Kneale, William. “The Objects of Acquaintance.” Proceedings of the Aristotelian Society 34 (1934): 187-210.
  • Kripke, S. Naming and Necessity. Cambridge, Mass.: Harvard University Press, 1980.
  • Linsky, B. “The Logical Form of Descriptions.” Dialogue 31 (1992): 677-83.
  • Marcus, R. “Modality and Description.” Journal of Symbolic Logic 13 (1948): 31-37. Repr. in Modalities: Philosophical Essays. New York: Oxford University Press, 1993.
  • Neale, S. Descriptions. Cambridge, Mass.: MIT Press Books, 1990.
  • Searle, J. “Proper Names.” Mind 67 (1958): 166-173.
  • Sellars, Wilfrid. “Acquaintance and Description Again.” Journal of Philosophy 46 (1949): 496-504.
  • Strawson, Peter F. “On Referring.” Mind 59 (1950): 320-344. Urmson, J.O. “Russell on Acquaintance with the Past.” Philosophical Review 78 (1969): 510-15.

v. Beliefs and Facts

  • Blackwell, Kenneth. “Wittgenstein’s Impact on Russell’s Theory of Belief.” M.A. thesis., McMaster University, 1974.
  • Carey, Rosalind. Russell and Wittgenstein on the Nature of Judgment. London: Continuum, 2007.
  • Eames, Elizabeth Ramsden. Bertrand Russell’s Theory of Knowledge. London: George Allen and Unwin, 1969.
  • Griffin, Nicholas. “Russell’s Multiple-Relation Theory of Judgment.” Philosophical Studies 47 (1985): 213-247.
  • Hylton, Peter. “The Nature of the Proposition and the Revolt Against Idealism.” In Philosophy in History, ed. Rorty, et al., 375-97. Cambridge, UK: Cambridge Univ. Press, 1984.
  • McGuinness, Brian. “Bertrand Russell and Ludwig Wittgenstein’s Notes on Logic.” Revue Internationale de Philosophie 26 (1972): 444-60.
  • Oaklander, L. Nathan and Silvano Miracchi. “Russell, Negative Facts, and Ontology.” Philosophy of Science 47 (1980): 434-55.
  • Pears, David. “The Relation Between Wittgenstein’s Picture Theory of Propositions and Russell’s Theories of Judgment.” Philosophical Review 86 (1977): 177-96.
  • Rosenberg, Jay F. “Russell on Negative Facts.” Nous 6 (1972), 27-40.
  • Stevens, Graham. “From Russell’s Paradox to the Theory of Judgment: Wittgenstein and Russell on the Unity of the Proposition.” Theoria, 70 (2004): 28-61.

vi. Constructions

  • Blackwell, Kenneth. “Our Knowledge of Our Knowledge.” Russell: The Journal of the Bertrand Russell Archives, no. 12 (1973): 11-13.
  • Carnap, Rudolf. The Logical Structure of the World & Pseudo Problems in Philosophy, trans. R. George. Berkeley: Univ. of California Press, 1967.
  • Fritz, Charles Andrew, Jr. Bertrand Russell’s Construction of the External World. London: Routledge and Kegan Paul, 1952.
  • Goodman, Nelson. The Structure of Appearance. Cambridge Mass: Harvard University Press, 1951.
  • Pincock, Christopher. “Carnap, Russell and the External World.” In The Cambridge Companion to Carnap, ed. M. Friedman and R. Creath. Cambridge, UK: Cambridge University Press, 2007.
  • Pritchard, H. R. “Mr. Bertrand Russell on Our Knowledge of the External World.” Mind 24 (1915), 1-40.
  • Sainsbury, R.M. “Russell on Constructions and Fictions.” Theoria 46 (1980): 19-36.
  • Wisdom, J. “Logical Constructions (I.).” Mind 40 (April 1931): 188-216.

vii. Logical Atomism

  • Hochberg, Herbert. Thought, Fact and Reference: The Origins and Ontology of Logical Atomism. Minneapolis: Univ. of Minnesota Press, 1978.
  • Lycan, William. “Logical Atomism and Ontological Atoms.” Synthese 46 (1981), 207-229.
  • Linsky, Bernard. “The Metaphysics of Logical Atomism.” In The Cambridge Companion to Bertrand Russell, ed. N. Griffin, 371-92. Cambridge, UK: Cambridge Univ. Press, 2003.
  • Livingston, Paul. “Russellian and Wittgensteinian Atomism.” Philosophical Investigations 24 (2001): 30-54.
  • Lycan, William. “Logical Atomism and Ontological Atoms.” Synthese 46 (1981): 207-29.
  • Patterson, Wayne A. Bertrand Russell’s Philosophy of Logical Atomism. New York: Peter Lang Publishing, 1993.
  • Pears, David. ‘Introduction.’ In The Philosophy of Logical Atomism, B. Russell, 1-34. Chicago: Open Court, 1985.
  • Rodríguez-Consuegra, Francisco. “Russell’s Perilous Journey from Atomism to Holism 1919-1951.” In Bertrand Russell and the Origins of Analytical Philosophy, ed. Ray Monk and Anthony Palmer, 217-44. Bristol: Thoemmes, 1996.
  • Simons, Peter. “Logical Atomism.” In The Cambridge History of Philosophy, 1870-1945, ed. Thomas Baldwin, 383-90. Cambridge, UK: Cambridge Univ. Press, 2003.

viii. Naturalism and Psychology

  • Garvin, Ned S. “Russell’s Naturalistic Turn.” Russell: The Journal of Bertrand Russell Studies, n.s. 11, no. 1 (Summer 1991).
  • Gotlind, Erik. Bertrand Russell’s Theories of Causation. Uppsala: Almquist and Wiksell, 1952.
  • O’Grady, Paul. “The Russellian Roots of Naturalized Epistemology.” Russell: The Journal of Bertrand Russell Studies, n.s. 15, no. 1 (Summer 1995).
  • Stevens, Graham. “Russell’s Re-Psychologising of the Proposition.” Synthese 151, no. 1 (2006): 99-124.

ix. Biographies

  • Clark, Ronald W. The Life of Bertrand Russell. London: Jonathan Cape Ltd, 1975.
  • Monk, Ray. Bertrand Russell: The Spirit of Solitude, 1872-1921. New York: The Free Press, 1996.
  • Monk, Ray. Bertrand Russell 1921-1970: The Ghost of Madness. London: Jonathan Cape, 2000.
  • Moorehead, Caroline. Bertrand Russell. New York: Viking, 1992.
  • Wood, Alan. Bertrand Russell: The Passionate Sceptic. London: Allen and Unwin, 1957.

Author Information

Rosalind Carey
Email: rosalind.carey@lehman.cuny.edu
City University of New York
U. S. A.

Joseph Priestley (1733—1804)

priestleyA notable Enlightenment polymath, Joseph Priestley published almost two hundred works on natural philosophy, theology, metaphysics, political philosophy, politics, education, history and linguistics. Remembered today primarily as a scientist who isolated oxygen, Priestley considered his calling to be that of a theologian, and he spent most of his life working as a minister and teacher. He combined his Unitarian theology with an associationist, materialist and determinist philosophy to create a coherent world-view that was the subject of bitter controversy.

The implications of his metaphysics were challenging. Priestley posited that matter, far from being impenetrable and inert, was subject to internal forces such as attraction and compulsion. This enabled him to assert that the matter of the brain is sensitive to certain vibrations that form the basis of thought. He went on to argue in favor of a material basis for the soul and its complete physical unity with the body. Priestley believed that perception, knowledge, intellect, and memory were acquired through sensory experience and that simple ideas combined into complex ideas through a process of association. This mechanism was entirely material and therefore based on necessary causal laws determined by God.

Priestley tended to prioritize the practical and the experimental above the purely theoretical. His metaphysical beliefs grew in part from his passion for natural philosophy and his careful scientific investigation. His understanding of the world was based on an assumption that truths were demonstrable and revealed through observation and experience. This included studying scripture alongside the natural world in order to gain knowledge of a God who orchestrated and determined all events for the ultimate good of humanity. Priestley was a “rational dissenter” whose careful biblical exploration allowed him to argue for the unity of God. Jesus was wholly human and did not die as an atonement for inherently sinful humanity, but lived to exemplify the perfect moral life that all people could potentially attain.

Priestley argued that the truths of scripture were available to all through the careful application of reason. This influenced his liberal political position, as he penned many works in favor of complete toleration and minimal governmental intervention. Priestley believed that the story of humanity was a march of progress towards ultimate perfection. Liberal government was one means by which truth could triumph in an atmosphere of free and unfettered debate. Priestley was also a fervent millenarian, trusting in biblical prophecy and waiting for the second coming of Christ, the ultimate aim of all human progress. This optimistic liberalism saw Priestley through a barrage of vitriolic criticism and the infamous “Church and King” riots which destroyed his Birmingham home in 1791. Despite the disappointments of the French Revolution and his forced emigration, Priestley stuck tenaciously to his belief in progress and Providence. A hopeful advocate of reason and rational religion, he died with the conviction that his physical resurrection and perfect life with Christ would not be long coming

Table of Contents

  1. Biographical Sketch
    1. Religious Beliefs
    2. Education and Marriage
    3. Life as a Minister and Teacher
    4. Natural Philosophy
    5. Portrayal, Reception and Legacy
  2. Theology
    1. Method
    2. Principal Ideas
      1. Unitarianism
      2. The Atonement
      3. Predestination
      4. Original Sin and Grace
      5. The Soul
      6. The Millennium
    3. Reactions and Criticisms
  3. Politics and Political Philosophy
    1. Principal Ideas
    2. Priestley and the Law
    3. Toleration and the Pursuit of Truth
    4. Reactions and Criticisms
  4. Association of Ideas
    1. Principal Ideas
    2. Links to Other Ideas
    3. Reactions and
  5. 5. Matter and Spirit
    1. Principal Ideas
    2. Priestley, Newton and Boscovitch
    3. Theology
    4. Reactions and Criticisms
  6. Philosophical Necessity
    1. Principal Ideas
    2. Links to Other Ideas
    3. Reactions and Criticisms
  7. Philosophy of Education, History and Linguistics
    1. Principal Ideas
    2. History and Language
    3. Reactions and Criticisms
  8. References and Further Reading
    1. Primary Works
      1. Theology
      2. Politics and Political Philosophy
      3. Association of Ideas
      4. Matter and Spirit
      5. Philosophical Necessity
      6. Philosophy of Education, History and Linguistics
    2. General Secondary Sources
      1. Theology
      2. Politics
      3. Association of Ideas
      4. Matter and Spirit
      5. Philosophical Necessity
      6. Education

1. Biographical Sketch

Priestley’s childhood was marked by upheaval, rejection and spiritual doubt, while his education granted him considerable intellectual liberty and independence of thought. To understand these early years of rejection, isolation and freedom is a significant step towards understanding Priestley’s adult thought as earnest and rational but at times controversial, idiosyncratic and consistently misunderstood.

The following account of Priestley’s life is taken mainly from his autobiography.

Priestley was born on March 13th, 1733 at Birstall Fieldhead, a small village just southwest of Leeds where his family had lived and worked for several generations. His father, Jonas Priestley, was a wool-cloth dresser and his mother, Mary Swift, came from a farming family. Priestley was their first-born child, but three brothers and two sisters soon followed in quick succession. The demands of a large family meant that the young Priestley was sent first to live his grandfather and later, after the death of his mother, to the home of his childless uncle and aunt.

a. Religious Beliefs

Priestley recalls religious devotion on the part of his parents, his uncle and his aunt. However, while Priestley shared his family’s religiosity and remained a committed believer all his life, he was profoundly affected by early theological doubts. He tells us that he was “much distressed” because he could not “feel a proper repentance for the sin of Adam” and was equally disturbed by his failure to experience the “new birth” regarded as “necessary to salvation.” Having a weak constitution and facing death during adolescence, Priestley was faced with the “horror” of feeling that God had forsaken him (Autobiography 71).

It is fortunate that Priestley had the intellectual and spiritual resources to deal with these fears. Although a strict Calvinist, his aunt often entertained liberal Armenian and Baxterian theologians, so the young Priestley was able to explore the rational theology that would quell the horrors that haunted him. He was eventually able to view his doubts as part of his progression towards truth. He writes that his illness, rigorous religious upbringing and failure to experience a conversion allowed him to acquire a “serious turn of mind,” and his doubts were compensated by a rational understanding of God and proper action. However, as his theology drifted from that of his family and community, Priestley faced rejection and isolation. Priestley had grown up attending the Heckmondwike congregation and tells us that he desired to be admitted as a communicant. However, his membership was refused “because, when they interrogated me on the subject of the sin of Adam, I appeared not to be quite orthodox.” When Priestley adopted Arianism at Daventry it marked a break with the family that would not be reversed (Autobiography 73).

b. Education and Marriage

As a boy Priestley attended several schools in the local area and learned Latin, Greek and Hebrew. When his illness prevented him from going to school, he continued his education at home. These early years of self-education were marked with the seriousness, hard work and intellectual isolation that Priestley found so productive in later life. During these years Priestley taught himself French, Italian, and High Dutch “without a master,” while also learning geometry and algebra and reading the work of John Locke and Isaac Watts. In 1752 Priestley entered Daventry Academy, as his dissenting views prevented him from subscribing to the Westminster Confession and thus excluded him from the traditional universities. With young informal tutors and a liberal curriculum, Priestley found intellectual freedom and companionship and discovered the associationist ideas of David Hartley (Autobiography 70-75).

Priestley flourished at Daventry, enjoying the discipline and hard work and building “warm friendships.” In contrast to the rejection and isolation of his childhood, Priestley found himself part of a community of likeminded thinkers. As an adult he was to continue to find intellectual companionship with middle class dissenters and liberals, such as the Lunar society in Birmingham and his fellow tutors at Warrington. In 1762 he also married happily Mary Wilkinson (1743-1796), the daughter of the famous iron master Isaac Wilkinson, whose sons John and William continued to expand the family’s fortunes. He writes fondly although not passionately of Mary, calling his marriage a “very suitable and happy connexion” (Autobiography 87).

c. Life as a Minister and Teacher

Priestley graduated from Daventry in 1755 and moved to Needham Market, Suffolk, to work as a minister at the local chapel. It was not a happy time: lacking the financial assistance originally promised by his aunt, Priestley struggled for money and also struggled to be accepted into the community. No one came to the school he established and most were unable to accept his Arian theology.

Despite these problems, it was this combination of educator and minister that would keep Priestley employed throughout his life. In 1758 he moved to Nantwich in Cheshire and again took on a congregation and established a school. This time he was much more successful and his ideas were communicated and received with ease. In 1761 Priestley took up a tutorship in languages and belles lettres at Warrington Academy and again combined this with a position as a minister.

In 1767 Priestley left Warrington to become a minister for the Mill Hill Chapel in Leeds, a post with increased financial security, allowing Priestley to put the role of minister at the center of his life once again. In the county of his childhood Priestley was accepted by the liberal dissenting congregation where once he had experienced theological rejection. Of course, he also continued to teach and set up a series of classes of religious instruction for members of the chapel.

Suffering financially at Leeds, and keen to broaden his horizons, Priestley took up an offer to sail with James Cook to the South Seas as the ship’s astronomer. However, the arrangement fell through, and after toying with the idea of moving to the colonies, Priestley finally, in 1773, took up residence in Calne, Wiltshire, in order to work in a varied and ill-defined role as Lord Shelburne’s companion. Priestley was given a house for his growing family and a healthy salary; in return he acted as intellectual companion and political ally to Lord Shelburne. He practised many of his now famous experiments for Shelburne’s guests, took over much of the education of his children and considerably expanded the library. Priestley was thus able to continue his role as a teacher, but he preached only occasionally.

His life with Shelburne was never as successful as either party had hoped, and in 1780 Priestley left the service with a good pension to become senior minister of the New Meeting in Birmingham, a large, wealthy and influential congregation. Priestley seems to have been very content in this role of minister, which he continued to see as the most important activity in his life. He also taught children from the congregation and established a number of Sunday schools that taught reading, writing and mathematics as well as religious tenets. However, these happy times did not last long. Priestley left Birmingham after his house and belongings were destroyed in the notorious Church and King riots of 1791. He moved the family to Hackney where they stayed until 1794. He succeeded Richard Price at the Gravel Pit meeting as morning preacher. Increasingly well known as a liberal political philosopher and theologian, Priestley was elected a citizen of France but declined an offer to be a representative to the National Convention.

Priestley faced continuing pressure and the fear of further riots while he lived in London. Significantly, he had to obtain official notice that he was not evading arrest before he could emigrate to the United States in 1794 where he hoped to find freedom and tolerance in the new world. Priestley lived in Pennsylvania until his death in 1804 in a house built in Northumberland and shared with his son Joseph and his family. Mary Priestley and their son Harry both died during this time, and Priestley’s health slowly deteriorated. Priestley preached only occasionally in the following years but published much and continued to write until the day of his death, February 6th. That evening, although very ill, Priestley finished dictating some changes to some pamphlets. When these were complete he said “That is right; I have done now” and died just hours later (Autobiography 139).

d. Natural Philosophy

As a young teacher and minister in Nantwich, Priestley had acquired the basic apparatus needed for natural philosophy: an air pump and electrical machine used in lessons with the older pupils. As a tutor at Warrington, recently married, settled and part of a stimulating community, Priestley allowed his interest in natural philosophy to flourish.  After moving to Leeds Priestley continued to experiment with electricity and researched optics. Turning to pneumatic chemistry he published his Directions for Impregnating Water with Fixed Air in 1772.  The same year Priestley’s Observations on Different Kinds of Air was published in the Philosophical Transactions of the Royal Society. The paper was significant—Priestley had isolated nitric oxide, anhydrous hydrochloride and acid gases. It also introduced the ideas of eudiometry and photosynthesis. In 1773 Priestley won the Copley medal from the Royal Society.

Priestley used the resources provided by Shelburne at Calne to continue his experiments in pneumatic chemistry and published many of his findings. He isolated samples of what we would now call ammonia gas, nitrous oxide, nitrogen dioxide, sulphur dioxide and most notably oxygen. He also continued to investigate refraction, heat expansion, sound transmission of gases and photosynthesis. Priestley’s scientific interests also found an outlet in Birmingham through his membership of the Lunar Society. Here he met many well-known scientists and businessmen including Erasmus Darwin, Josiah Wedgwood, Matthew Boulton and James Watt. Priestley also entered into a debate with Antoine Lavoisier about how best to interpret his experiments identifying oxygen.  He built a new laboratory and published more of his findings while living in the United States. Until his dying day, he stubbornly stuck to his phlogiston theory despite convincing arguments in favor of Lavoisier.

e. Portrayal, Reception and Legacy

Priestley was a man with a great deal to say but found it a struggle to speak and make himself understood. He stammered from early childhood, yet he followed a career demanding effective communication. His speech impediment caused him significant distress at school and at Daventry and contributed to his rejection at Needham where, he tells us, he found preaching “very painful” (Autobiography 80). Misunderstanding and miscommunication seem to be significant themes in Priestley’s life. The ideas that he saw as reasonable and pleasing to God were received as dangerously revolutionary both in politics and theology. Although he regarded himself as a rational advocate of truth who wrote according to the respectable precepts of the doctrine of candor, his adversaries called him arrogant and incendiary. He advocated political, religious and intellectual freedom and the pursuit of truth through unfettered debate, yet he could be stubborn and uncompromising and believed in absolute truth. This led him into heated controversy and acrimonious debate despite his insistence that he simply wanted a frank exchange of opinions. Priestley was portrayed by his enemies as a dangerous radical with a political and religious philosophy that would undermine the moral and social order. In print and in cartoon Priestley was “gunpowder Joe,” an explosive enemy of church authority, the truth of revealed religion and the political status quo.

2. Theology

We find a set of sophisticated religious and theological beliefs at the very heart of Priestley’s intellectual and moral life, his career and politics, his social networks, behavior and sentiments. To understand Priestley’s faith is to understand the central motivation for the majority of his published works.

a. Method

Priestley’s most striking contribution to theological debate was his approach to the study of Christian scripture. He was one of a small group of Unitarian thinkers who devised a new translation of the Bible with the distinguishing feature that it should be in a state of continual improvement. Priestley had confidence in the project because he held that although truth itself was absolute and uniform, human attainment of truth was a fluid and gradual process. Knowledge must not be allowed to stagnate, and there was much work still to be done. At the heart of this slow progression toward absolute truth was Priestley’s belief that all humanity could reach the perfect understanding attained by Christ.

Priestley argues that reason is a tool for the use of all humankind and that application of reason alone is enough to convince us of the existence of a unified, benevolent, creator God. The empirical evidences of natural religion and the precepts of rationality are God-given resources provided in order for us to understand the deity as a self-comprehending, omnipresent and omniscient being. However, other essential knowledge is not available through reason and natural religion alone. Revelation is also needed in order to teach us important lessons such as the proper use of prayer and other teachings of Jesus.

Priestley approached scriptural study extremely seriously because of the essential role of revealed religion. He tells us that rational evaluation of the Bible is the only way in which truth can be attained. He denounced all the mystery and irrationality of orthodox theology, denying the Trinity and the Atonement as examples of such muddled and disordered thought. Without mystery and without the need for unfounded faith the individual was free to interpret scripture by the light of reason. Only rational thought, good education and complete liberty of conscience were needed for understanding the words of revealed law in their plainest sense and as a coherent whole. This was open to all individuals who possessed the powers of reason and thus religious authority and the need for a clergy–seen by him as distant and elite–were undermined in one sweep.

Priestley also developed a critical method in his approach to scripture based on careful linguistic and historical study. He emphasized the highly figurative nature of the scriptures and argued that many misunderstandings were merely verbal, the result of taking ancient languages out of their cultural context. Furthermore, Priestley studied history in order to explain the ways in which Christianity had become corrupted over time as misunderstandings crept in, disfiguring the pure and simple beliefs of the early church.

b. Principal Ideas

i. Unitarianism

Application of his theological methods allowed Priestley to develop a set of religious beliefs which he regarded as highly rational and as close as possible to the pure Christianity of the early church. Already denying the Trinity, Priestley left Daventry Academy an Arian and tells us that it was after reading Nathaniel Lardner’s Letter on the Logos of1759that he adopted the Unitarian creed he held for most of his adult life. Priestley argued that the notion of the Trinity is an essentially irrational tenet of an unquestioning faith. It requires a willingness to replace individual reason with trust in the teaching of church authorities whose power is perpetuated by ideas shrouded in superstition and mystery. He compared this belief to the simple idea of a unified God, a rational truth present in both natural and revealed religion. His historical work allowed Priestley to argue that the early Christians and Church Fathers were Unitarian and that belief in the Trinity was a corruption that had crept into scripture over the centuries. The Trinity slowly developed over time as gentile and heathen beliefs infiltrated simple “pristine” understanding of the unlearned. The most important message of the Old Testament, argues Priestley, is that God is unified and indivisible. In the New Testament, while the role of Jesus is essential, the Father is entirely exclusive of the Son. He tells us that when scripture appears to say that the Father, Son and the Holy Spirit are equally divine, the language is highly figurative and should not be read literally. This leaves Jesus as wholly human and the powers he possessed as those granted by God to an ordinary man. Christ has the power for resurrection and ascension, but he is not God, according to Priestley. He is not divine and should not be worshipped, despite being an object of our utmost respect.

ii. The Atonement

Priestley undermined the divinity of Jesus and in doing so deeply altered the whole interpretation of his death and resurrection. Priestley insisted that the death of Jesus was only a sacrifice in the figurative sense. His death was not a means by which the wrath of God had been diverted, and his sacrifice was not an atonement for sin. Jesus was not a divine mediator between God and humanity; he was a savior simply because his life was a demonstration of perfect moral duty and the truth of physical resurrection.

iii. Predestination

Priestley argued that the Calvinist notion of predestination was irrational and had only a flimsy basis in scripture. Arguing from utilitarian premises, Priestley writes that God’s manifest plan is to produce the greatest happiness for his people; a system which condemns many to eternal torment and therefore produces exceptional misery cannot be part of this plan. Priestley was drawn to the idea of universal salvation, the only system to ensure the greatest happiness. He acknowledged the role of punishment as an important part of divine justice and even wrote that it should be long and severe in order to be effective. However, he could not accept that finite humans would be punished infinitely.

iv. Original Sin and Grace

The notion of grace that was prevalent among the clergy and orthodox believers was based on the idea of original sin pardoned by the death of Christ, a sacrifice for the sake of fallen humankind. Instead of believing in this idea of innate sinfulness and supernatural reconciliation, Priestley held that everyone had the potential to attain the perfect moral knowledge that Jesus had exemplified and taught. Part of this potential for perfection, writes Priestley, is that God has given us moral laws that we are perfectly capable of following. Although he concedes that everyday fallible humans are unlikely to be morally perfect, he contends that we can choose to lead a life pleasing to God and make constant effort to repent and change our behavior. He places this at the center of Christian life, rather than the emotional evangelical faith, the Calvinist “experience” or the fallacy of the death bed conversion. He tells us that it is not arrogance or pride which allows us to dismiss the idea of original sin and believe that all humankind can do what God tells us. It is simply the power that God has given to all of us. The idea that we are justified by faith or predestination diminishes this power that every person has to do the will of God.

v. The Soul

The metaphysical basis for Priestley’s disavowal of the existence of the soul is explored in the section of this article on “Matter and Spirit.” Priestley combined exploration of the nature of matter with scriptural study to argue for the unity of body and spirit, insisting on the biblical basis for a belief in physical resurrection. He writes that there is no scriptural basis for a split between body and soul. Not only is belief in the soul unreasonable based on the evidence around us, writes Priestley, it is also a belief which careful historical exploration shows was an idolatrous heathen tenet that crept into Christianity and slowly corrupted it.

vi. The Millennium

Priestley was a fervent millenarian, trusting in biblical prophecy and waiting for the second coming of Christ. He read widely on the millennium and placed himself within a well established scholarly tradition of millenarian study. Priestley was hopeful that he was living in the “last days” before the foretold return of Christ. Reading Daniel and Revelation, Priestley believed that the return of the Jews to their homeland would precede the glorious second coming and waited eagerly for such an event. He carefully watched worldwide political developments for signs that Christ’s rule on earth was soon to begin, and it is likely that looking for such evidence that the bible contained absolute truths and tangible proofs of the existence of the deity appealed to Priestley’s scientific mindset. The American Revolution seemed a good sign and his optimism intensified after the French Revolution and the Birmingham riots. At the end of his life Priestley became increasingly preoccupied with the millennium, putting a great deal of hope in the imminent arrival of Christ and studying scriptural prophecy in great detail.

c. Reactions and Criticisms

For Priestley there was an order, even a beauty, which stemmed from the process of obtaining truth through reason, and in the pure, rational and simple truth that this process revealed. Although his enemies called him “gunpowder Joe,” his grains of gunpowder were no more than a series of necessarilyrelated ideas which, when marshaled by strict reason and controlled by rational thought, would always have the same outcome. However, to some of Priestley’s Anglican opponents his reason-driven truth was subversive and seditious. He was accused of demolishing the foundations of revealed truth and, in consequence, of morality. They saw moral upheaval where Priestley saw rationality and order.

Contemporary reactions to Priestley’s theological and religious works often involved in-depth scriptural analysis. This kind of discussion has been seen as less relevant today. Some secondary comment has focused on the interaction between Priestley’s theological position and his political beliefs, often identifying interesting conceptual links. For example, J.C.D. Clark stated that theological heterodoxy and radicalism were ‘conceptually basic’ (281). A.M.C. Waterman has added to the debate, arguing that although challenging the Trinity is enough to undermine the principle of subordination in church and society, there is no necessary link between dissent and subversive politics (Haakonssen 214). Other comment has examined Priestley’s belief in miracles and biblical prophecy in light of his highly rational stance. For example, Martin Fitzpatrick asks us to consider whether Priestley’s obsession with apocalyptic texts in his later life was the sign of an unbalanced mind (Fitzpatrick 1991 106). However, Clark-Garrett argues that, far from a weakness or drift in old age, Priestley’s millenarian speculations were consistent with his overall outlook. His attention focused by the French Revolution, Priestley was simply using his scientific method to observe the unfolding patterns of Providence, and the fulfilment of prophecy was a key part of this search for facts and evidence to bolster his rational religion (53).

3. Politics and Political Philosophy

a. Principal Ideas

At the heart of Priestley’s political philosophy lie the twin themes of progress and perfectibility. His work is shot-through with an optimism that arises from his unswerving belief in progress and a perfect future state. Priestley’s work rests on an assumption that humankind will be better off in the future than it is at present and that society in the present is already more perfect than life in the past. Unlike brute animals who continue in the same way without change, human society is constantly in a state of development, change and improvement. He tells us of the happiness he experiences because of the realization that whatever the world was like at the beginning the end will be perfect and “paradisiacal.” Importantly, mankind’s unbounded potential for future development requires good government, and, going full circle, good government here means government conducive to progress.

Priestley conjectures a social contract to illustrate his ideas on liberty. He tells us of a group of unconnected individuals who lead separate lives. They are exposed to many wrongs and have few advantages. If the people voluntarily submit to join forces as part of a group they resign some of their natural liberty in return for protection, alliance and other advantages. Some liberty has to be given up just for the society to function. A large group of people would need representatives in order to make decisions on behalf of society and, although this may seem like a sacrifice of liberty, these men would act purely for the good of society and reflect the sentiments of the whole body. The only thing that gives them power is that they are there to act for the public good. Reason and conscience guide them and the people judge them.

Significantly, Priestley divides “natural” liberty into civil and political liberty after the contractual agreement. This is a distinction which Robert E. Schofield says was only commonplace after Mill and that Priestley felt was necessary for the sake of clarity (1997 210). Political liberty, Priestley tells us, is the power of holding or electing public office. It is the “right of magistracy,” the power of the private opinion made public. Civil liberty is the power an individual has over their actions and only refers to their own conduct. It is the right to be exempt from the control of others.  Priestley tells us that when natural liberty is resigned upon entering into society, it is civil liberty that is relinquished for the sake of increased political liberty.

Once elaborated, Priestley’s articulation of two types of liberty allows him to place his theory on utilitarian grounds. The good and happiness of the whole of society is made identical with the good and happiness of the majority of its members. Happiness, good and progress become inextricably linked within this theory, as Priestley had insisted that progress towards perfection is the ultimate goal for mankind and would result in unbounded happiness. He tells us that government is required to identify what is most conducive to progress, and therefore to happiness, and to eradicate barriers and limits to progress. For example, division of labor is useful and should be encouraged, as it aids the economy and increases knowledge. Specialization helps everyone reach their potential and means that the arts and sciences are likely to flourish. Meanwhile, progress is hindered by encroachments on civil liberty. Priestley was concerned that progress would stagnate if education and religion were not left free to flourish and reach perfection. He wrote against established religion and against state education, wary of uniformity and unnecessary authority. He insisted that diversity of opinion was essential for free debate and ultimate progress and therefore advocated complete religious liberty and freedom of speech.

b. Priestley and the Law

Although Priestley celebrated freedom and was concerned to limit government intervention for the sake of individual liberty, he did not have an antagonistic opinion of the law. Good government plays an important role within Priestley’s philosophy, protecting liberty and rights but also serving as an active agent of change. Priestley’s political philosophy has a psychological foundation based on the doctrine of association. Human perfection was to be achieved along associationist lines. Good government and society was crucial to this process. Government should explore what circumstances are most conducive to progress and happiness and apply these principles, even if this means intervening or limiting freedom to some extent.

c. Toleration and the Pursuit of Truth

Priestley’s theology and his status as a dissenter informed much of his political work. At a political level Priestley was keen to speak on behalf of rational dissent and outline the political principles most often associated with Protestant dissent in general. Eager to inform the Anglican clergy of the political opinions to be found amongst their dissenting counterparts, Priestley writes that there is no reason to assume that dissenters are anarchists or republicans. The vast majority are peaceful, law-abiding and property-owning. He tells us that dissenters respect human authority in most matters, respect the government and support the Hanoverian succession. However, they do not recognize human authority in religion, seeing no spiritual or scriptural reason for church authority or established religion. The church has no business in civil government, and one of the many reforms required was a full separation of church and state, as well as a purging of other popish ways still left within the Church of England.

At a philosophical level, Priestley’s demands for religious liberty were often for utilitarian reasons, recognizing the need for liberty in order to foster truth and aid progress. He was skilled in illustrating these abstract arguments with numerous historical examples to consolidate his case. Priestley did believe firmly in the absolute nature of divine truth, but he argued for full toleration for dissenters, Catholics and even atheists. This was because at the root of his call for toleration was a powerful conviction that to uncover divine truth should be the ultimate aim of all human endeavors, and this needed an atmosphere of free and unrestrained debate. Rational dissent held that truth arose from the application of human reason and conversely that unnecessary intervention could be extremely harmful. If laws were in place that stifled free discussion and forced belief in superstition or falsehood, the cause of truth was left in the dark

d. Reactions and Criticisms

Priestley’s Essay on the First Principles of Government went swiftly through two editions and continued to be published throughout the nineteenth century. Clearly influential at the time, the work also had significant long-term impact. Jeremy Bentham acknowledged the Essay as the inspiration for his utilitarian “greatest happiness” principle. Although Bentham’s famous words do not appear anywhere in the work of Priestley, it is fair to say that this is a significant legacy. However, in his own time, Priestley’s work was met with criticism and attack. Priestley backed the campaign for the repeal of the test and corporation acts, and this provoked a huge conservative backlash fuelled in part by heightened reactionary fears following the French revolution. In this heated atmosphere, accusations of sedition and treason were common currency, and Priestley came under serious criticism for his political and theological views. Priestley’s critics entangled religion and politics and made little attempt to identify Priestley’s own first principles. Priestley was accused of attempting to undermine the authority of the church and the government. His political philosophy seemed dangerously egalitarian and his insistence on continual progress was a dangerous threat to the old order. Priestley’s insistence on the importance of unfettered individual reason had dangerous consequences. His enemies explicitly stated that Priestley’s concern for the truth had inverted the order of things. Priestley had destroyed the necessity for a separate Clergy and attacked the sacredness of their profession. By questioning the need for obedience and asserting the authority of the individual, it seemed to nervous minds that he had inverted the whole social hierarchy.

One way this division has manifested itself is in the interesting relationship between natural law and utility as it appears in Priestley’s political philosophy. For example, both Margaret Canovan and Robert Schofield comment on the relationship as it appears in Priestley’s Essay on the First Principles of Government (Canovan 1984, Schofield 1997 209). Schofield suggests that Priestley’s brand of utilitarianism is significantly less relativist than Bentham’s. While Bentham used the happiness principle as the only guiding force of government, Priestley never doubted that there was a perfect way of governing and that it was towards this that mankind should progress. Canovan also questions the idea that Priestley was a proto-Benthamite. She says that the underlying assumptions of the two men are significantly different. Priestley firmly believed in the existence of a benign and all powerful God who presided over a well-ordered and structured universe. So it was in this realm of natural law that Priestley’s utilitarianism was supposed to operate. Priestley believed in the existence of an objective moral order so while happiness for Bentham could be whatever society or any individual decided it should be, happiness for Priestley was universal, fixed and could be evaluated in moral terms. While Bentham constructed a moral order from utilitarian grounds, Priestley simply used the principle in order to evaluate and discern moral laws. This places Priestley firmly in the natural law tradition. It allows him to use the language of rights as part of his political philosophy without compromising his utilitarianism.

The real extent of Priestley’s liberalism is debated in a variety of different ways in the secondary literature. For example, Martin Fitzpatrick has highlighted that, while Priestley supported toleration whole-heartedly, this was because of his conviction that absolute truth would eventually prevail, rather than the pluralistic outlook of Richard Price (1982 18-23). Margaret Canovan has pointed out that, although Priestley is rightly remembered as a liberal, he often celebrated a paternalistic view of class relations (1983). Celebrating the bourgeois station, he stressed the importance of middle class charity to the poor, which would encourage their ambition and create useful social bonds. He also wrote that inequalities were part of God’s plan for the present, despite his general support for social mobility. Isaac Kramnick has also pointed out this ‘ominous’ side to Priestley’s liberalism, examining the new layers of authority Priestley was prepared to impose on society in the name of progress and reform. Kramnick argues that the scientifically minded Priestley viewed the state as a kind of laboratory where intervention was required to perfect humankind, and so his thought is shot-through with a regard for authority and discipline (11, 20-22).

4. Association of Ideas

a. Principal Ideas

The principle of association states that ideas are generated from external sensations. Complex ideas are made up of simple ideas. These complex ideas are formed through repeated juxtaposition or “association” over time. This means that ideas become united in the mind so that one idea will be invariably followed by the other.

Hartley tells us that this principle has not escaped the notice of writers both ancient and modern but that it was John Locke who affixed the word “association” to the theory. Locke had argued that ideas are not innate but derived from experience. In mechanistic terms he explained the ways in which simple ideas become associated in experience and therefore build up complex ideas. Locke had posited a mind blank before experience of sense impressions had made their mark.  Hartley picked up this idea and added to it a physiological basis for the associationist theory, an idea that it was vibrations acting on the brain that laid down ideas and that when two vibrations occurred simultaneously over time they become associated in the mind. Hartley used Locke’s epistemology but removed Locke’s emphasis on reflection as a means to knowledge. Locke had written that all knowledge is based on sensation and then reflection. Hartley simply said that all types of ideas were derived from sensation. Priestley followed Hartley and dropped Locke’s need for reflection as a distinct source of knowledge. Priestley also read the Rev. John Gay who had used Locke’s associationist principle to argue against the innatist theory of morals of Francis Hutcheson. Gay had argued that morality and the passions were acquired through experience; as we attempt to avoid pain and seek pleasure our morals and passions are formed.

Enjoying debate and finding creativity in opposition, Priestley expounded his most coherent theory of association as an attack on the notion that innate common sense can stand above reason when it comes to religious belief. Published in 1774 Priestley’s Examination of Dr. Reids Inquiry…Dr. Beatties Essay…and Dr. Oswalds Appeal is a harsh and rigorous refutation of common sense in favor of association. Like Hartley, Priestley was keen to make association the sole basis of human understanding. Hobbes had written of association as one means that certain ideas become linked by resemblance or causality. In contrast to Hobbes, Locke was more interested in unnaturally associated ideas, or when two things that have nothing in common end up united. However, for Priestley association was the foundation and excluded all other epistemological sources. This certainly ruled out what he took to be Reid’s theory, that sensations are made into ideas by innate principles implanted by God, and it excluded the argument that sensations act on the passive matter of the brain and that innate instincts act to turn them into knowledge. Priestley writes that living is about experience. That something seems instinctive does not mean that it has not derived ultimately from external experience.

b. Links to Other Ideas

Associationism allowed Priestley to identify the general laws of human nature he was looking for and is therefore the basis for much of his metaphysical, educational and political writing, as well as informing his theology. For example, Priestley’s work on the nature of matter enabled him to add a physiological basis to the doctrine of association. Once association was understood physiologically Priestley was able to argue against Cartesian dualism, against the existence of an immaterial soul, and in favor of the material unity of body and mind. In his political and educational philosophy the doctrine of association furnished Priestley with a means by which circumstances could be understood to shape the intellectual and moral life of individuals. This allows for progress in society and in the acquisition of knowledge because it allows for controlled change through experience. It gives teachers and legislators the power to shape others through altering circumstances or environment. Association consolidated Priestley’s determinist doctrine of philosophical necessity as it allowed all actions to be traced back to motives and ideas formed entirely from experience and therefore potentially determined by Providence. Finally, association also appears in Priestley’s theology. In the Institutes of Natural and Revealed Religion (1772) Priestley explains that revealed religion has followed the same pattern historically as an individual does when learning through association. The development from the Old Testament to the New is like the process of acquiring knowledge of pain and difficulty but also love of god and the pleasures of life as an individual.

c. Reactions and Criticisms

Priestley’s devotion to the doctrine of association was one of the less controversial aspects of his thought. The system was already part of a respected tradition and Priestley’s ideas were not especially innovative or shocking. However, the polemic feel of his attacks on Reid, Beattie and Oswald did provoke some sharp replies and Priestley actually issued an apology for the tone he had struck. Robert E. Schofield has argued that Priestley played a crucial role in maintaining Hartley’s ideas, especially among the utilitarians, and therefore had an important influence on the nineteenth century. While late nineteenth-century associationist psychology is often regarded as the precursor to the behaviorism of the twentieth century, studying Priestley allows us to locate the ideas considerably further back (2004 52).

5. Matter and Spirit

a. Principal Ideas

Priestley wanted to elucidate a physiological theory to refute his interpretation of the Scottish “common sense” system of separate instinctive perceptions. Priestley writes that all sensations are the same. They arise from experience as vibrations in the brain. Priestley argued that this system offered a simplicity that the theory of separate and original instincts could not. An outside stimulus causes the brain to vibrate. For example, “seeing” is actually the result of vibrations of the optic nerve caused by light. Vibrations consisted of tiny movements of small particle, of the nerves and then of the brain. These movements were caused by the impressions made by external objects on any of the five senses.

Priestley tells us that all matter vibrates and that all matter can transmit these vibrations to our brains.  Following Hartley, Priestley tells us that once the brain has been made to vibrate a trace of that vibration is left behind. Hartley calls this a “vibratiuncle.” Although Priestley cuts down on such technical terms the theory is the same. A “vibratiuncle” is laid down as a tendency for the brain to vibrate the same way again. If the initial vibration was strong or intense, then so too will be the vibratiuncle. If the vibration is weak or small, then the vibratiuncle too is weaker. If the vibration occurs many times, this has the same affect, strengthening the trace and increasing the tendency to vibrate. When two vibrations occur together they act on each other or modify each other so that, as they occur repeatedly together, they become associated in the brain. This association means that when one occurs the other will also occur. Vibrations can build up sets of vibratriuncles so that if only one vibrates, the others in the system will vibrate too. One occurrence triggers all of them.

This is the physiological basis of the associationist doctrine. It explains how sensations become ideas and how simple ideas can build up into complex ones through this process. While Hartley did acknowledge the parallel process between ideas and physiological vibrations, he was keen to leave room in his theory for the existence of an immaterial soul. Priestley lacked his caution and was driven to question the means by which a non-physical substance could act upon a physical one. While Hartley had left this a mystery and posited an “elementary substance” that was neither matter nor spirit but linked them both, Priestley’s answer was to abandon any kind of dualism at all. He writes that our understanding is troubled simply because of the way in which matter appears to us. Superficially it seems solid and inert. However, Priestley tells us, experiments reveal that this is not the case. Matter is far from solid or impenetrable, it is made up of atoms and particles and these are subject to forces of attraction and repulsion depending on their arrangement. It is these forces that make matter seem solid. Matter had been assumed to be incapable of thought or perception because it was solid and not affected by outside forces. It was seen as inert, sluggish even, and therefore incompatible with the capacity for sensation. Now that this assumption had been undermined, it remained entirely possible that matter could form the basis for our mind and spirit as well as physical being.

When the matter of the brain was subject to vibrations and vibratriuncles, it was engaged in thought. Priestley does not tell us how vibrations become ideas. He admitted that, although he did not know how material substances think over and above this basic supposition, he argued that the possibility remained and that this scenario seemed more likely than the existence of separate and immaterial soul. The distinction between matter and spirit was therefore unnecessary and untrue. Priestley writes that his materialism leaves fewer questions unanswered than the notion of a soul. It prevents the need for speculation about how and why the soul leaves the body and how it may return, what happens to the soul before resurrection and how a soul comes to choose a certain body to start with. Priestley claimed he had resolved the problems of Cartesian dualism and the tricky distinction that had corrupted Christianity. He had redefined the nature of matter and made the composition of the body single and uniform.

b. Priestley, Newton and Boscovitch

Priestley’s regard for Newtonian theory is communicated strongly in his works on matter and spirit. Robert E. Schofield has explained the ways in which Priestley’s career can be seen as dedicated to the Newtonian idea of matter (1964 291-294). At the end of principia mathematica,IsaacNewton gives us a physical explanation for the association of ideas. Unlike John Locke, who was wary of looking for a physical basis of his idea of association, Newton used a theory of vibrations to explain how perception and memory are formed. Hartley then relied on Newton’s idea of an elastic ether and the possibility for vibrating motions to occur within it. In the same way, it was Newtonian ideas about matter, that “solids” retain an impression when vibrations or forces act upon them, that allowed Priestley to explain the lasting affect of vibrations on the matter of the brain. Furthermore, it was Newton who had suggested that objects in the world cause light sensations which vibrate the optic nerve and allow us to “see,” and it was a Newtonian desire to uncover simple, universal laws of explanation that linked Priestley’s ideas on association and matter and spirit so neatly.

c. Theology

It is impossible to separate Priestley’s metaphysical opinions about matter and spirit from his theology. His speculations on the nature of matter provided Priestley with scientific and physiological evidence to deny the existence of the soul. Some thinkers insisted that matter was inert and animated only by a God-given soul. Priestley’s matter was different. It was not inert. Matter was complex and active. It was possible for the brain to be wholly material and also to vibrate and therefore to “think” rather than a passive vehicle moved by an immaterial soul. When Priestley examined the atheism of Baron d’Holbach he stated that it was one of the most convincing arguments he had come across. This was because d’Holbach shared some of his ideas on the nature of matter. However, d’Holbach held that forces of attraction and repulsion, gravity and electricity were simply the “energy of nature.” Priestley said that this was another name for God, an energy which should be acknowledged as having intelligence and design. His continued faith meant that Priestley never relinquished scriptural study and examined the Bible in relation to his understanding of matter.

Priestley’s reading of scripture convinced him that the idea of soul was actually a “corruption” of Christianity and that resurrection, when it occurred, was of a physical and not a spiritual nature. He attacked the dualism of Descartes but argued that the idea of an immaterial mind and soul was actually of ancient pagan origin, having crept into Christian belief and undermined “monist” Hebrew doctrines. His opinion on the material nature of the soul allowed him to explain the resurrection of matter and spirit as a single, material event.  Priestley argues from scripture alongside his exploration of matter. He writes that the idea of the soul only appears in some badly interpreted and unconnected passages of the bible and that, if such duality had actually been part of God’s design, it would have been revealed with clarity. Priestley insisted that removing this corruption from our understanding of scripture would strengthen the foundations of revealed religion and lead to stronger, rational, belief. While the notion of the soul had debased the whole idea of resurrection, Priestley believed his materialist ideas explained the process by which the body would die and decompose, only to be recomposed and physically restored to immortality through the power of the divine.

d. Reactions and Criticisms

Robert E. Schofield has shown evidence that Michael Faraday had read Priestley and claims that British scientists showed so much interest in Boscovichian atomism because Priestley had advocated his ideas (2004 71-72). Boscovich’s own reaction was more typical. He was absolutely furious that Priestley had reduced his ideas to materialism. Other commentators were similarly outraged. Priestley’s edition of Hartley came under severe criticism and his further publications on the subject heightened the controversy. Materialism was feared by many; it could easily slip into atheism. The theological speculations that accompanied Priestley’s metaphysics were regarded with suspicion and met with outright anger.

Joseph Berington, a Roman Catholic, and the Anglican Bishop Samuel Horsley both penned fierce refutations of Priestley’s works on the nature of matter and spirit. His ideas provoked vitriol from a wide variety of believers. A respectful debate with Richard Price reveals the extent to which Priestley’s ideas were a challenge even to other rational dissenters. Price refused to agree that matter was not inert. For him, matter was solid and could not be imbued with sensation or perception. Matter was subject to forces such as gravity but only because God had added these properties onto matter; they were not innate. Price argued strongly in favor of the existence of the soul. He said that although he did not see the body as something corrupt and something that trapped the soul, he did think that there was an immaterial part of the body and that this needed a link to the physical body in order to exercise certain powers. He saw two separate substances connected and dependent but distinct. Priestley’s engagement with such a diverse selection of critics served to ensure that his views on matter and spirit would become infamous and added to his reputation as an idiosyncratic, controversial and even dangerous figure.

6. Philosophical Necessity

a. Principal Ideas

Priestley writes that he published his principle work on philosophical necessity out of concern for the ambiguous definitions of liberty and necessity. He tightened the meaning of these words and argued that, under the system of philosophical necessity, everyone is free; everyone is entirely at liberty to do anything they will as long as there are no external constraints. So all people can think whatever they chose and act however they chose. However, everyone is also operating under divine necessity. Everyone is bound by causal laws fixed by God and directed by him for the ultimate good of all humanity. This means that there is no way that two different events, decisions or acts can occur when the circumstances are exactly identical. Provided the circumstances are identical, there is only one possible outcome. This removes any possibility for random occurrences and eliminates all chance. No room is left for the possibility of variation. Everything becomes part of an entirely determined chain of causes and effects.

Priestley asserts that when most people examine their views on free will, they will see that those ideas actually fit better into his system of philosophical necessity than they immediately realize. Once liberty and necessity are properly understood, he writes, they are actually compatible with each other. It is chance or randomness that is incompatible with freedom or voluntary action. Priestley puts it in terms of motives for acting. He says that throughout nature there are fixed, unalterable laws. David Hume had said that every cause and effect is just a conjunction; the connection could be arbitrary. The cause and effect may appear to be linked, but there is no way of knowing for sure that they are. Priestley, on the other hand, was keen to refute Hume. He said there is an invariable connection between cause and effect. Furthermore, in the case of human choice and action, the cause is often a motive. If one has a state of mind and then acts, the same action will occur again if the state of mind is unaltered. The choice made is voluntary, but the motives that led to that choice form part of an unbroken necessary chain of causes and events.

Priestley also discusses the role of God within this system in more detail. He tells us that God knows everything, but he would not be able to foresee contingent events–this alone eradicates the possibility of contingency and consolidates Priestley’s determinist position. Aware of the controversial conclusions of this position, Priestley admits that this means that God is the author of sin. However, as God determines everything for the ultimate good, vice and bad behavior are in fact part of a greater divine plan to bring humankind to perfection. Priestley was careful to distinguish this system of necessity from the predestination of Calvinism. Calvinists held that God uses supernatural methods in order to bring about change and chooses an elect few for salvation. Priestley’s God worked naturally through a string of necessary causes and effects only, and although sinners would be punished, Providence did not allow for eternal damnation.

Priestley’s ideas on determinism and providence were not new. He cites Hobbes and Hartley as major influences, as well as drawing from Locke and Hume. What is more interesting here is the extent to which these ideas were part of a personal journey for Priestley. He tells us that it is his happiness to find a resolution to his anxieties that motivated him to publish on the subject. The security and satisfaction that comes from contemplating every event as part of the divine plan of Providence gave Priestley his characteristic optimism and self-assurance. It was this that he was keen to make known to the public.

b. Links to Other Ideas

Philosophical necessity works well with Priestley’s idea of matter. Priestley had insisted that the human body and spirit were both physical. As matter is subject to the universal or unchanging laws of nature, it follows that no decision in the mind or act in the body can be random or spontaneous.

Philosophical necessity and the association of ideas are also closely related. Priestley acknowledged the importance of human will and the sense that this was free. Association explained how the will was created. All motives were part of a causal chain of associated ideas. Basil Willey has argued that it is the associationist foundation of philosophical necessity that means it promotes moral behavior (171-174). Priestley posited a universe created by God in which vice is less attractive than virtue in terms of the rewards it brings. Although physical pleasure and sin bring short term benefits, it is more compelling in the long term to follow a virtuous path. According to his system, it is possible for people to change their motives and their circumstances and therefore to alter their behavior for the positive. This suffuses the necessarian doctrine with human agency. It means that humankind cannot simply sit back and let Providence take its course. We may be instruments of God, but in understanding that our own motives and choices are part of a chain of cause and effect, we can act to alter them and become more virtuous. Although all events are determined and God is the ultimate author of sin, on a day-to-day level we have freedom to shun vice and chose virtue. Unlike God, humankind does not have the power to use sin and wrongdoing for the sake of good, and therefore we must chose to live virtuous lives.

Finally, understanding philosophical necessity is important in order to get to grips with Priestley’s notions of reward and punishment. Priestley spends a lot of time writing about the ways in which necessity is the only system that allows punishment to make rational sense. A person acts because of a set of motives, these are caused by circumstances. Therefore circumstances and motives can be altered. There is no reason to punish behavior is if it not caused and not based on a rational intention

c. Reactions and Criticisms

Priestley entered into a number of debates concerning his determinism including a long and respectful debate with Richard Price. Price argued that free-will was essential in order to ensure that we take responsibility for our choices and actions before God. He added that a determined system was less of an achievement of creation than the reality of human freedom God had granted. Priestley was aware of the accusation that the system of philosophical necessity removed any imperative towards moral behavior. Although he tried to address this by arguing that on an everyday level all people can chose to act or not to act. He used his associationist theory to explain that people could actively change their circumstances in order to alter their motives over time. Most contemporary and modern commentators have pointed out that this has the feeling of a clever paradox. Robert E. Schofield calls it “sophistry” and Basil Willey has pointed out that the liberty granted to humankind under Priestley’s system of philosophical necessity is free will under a different name (Willey 171-174, Schofield 2004 79).

7. Philosophy of Education, History and Linguistics

a. Principal Ideas

In his educational works, Priestley tells us that the education provided at dissenting academies and universities is often ill-suited to the young men in attendance. The curriculum provided did not prepare them for a civil and active life. He emphasized that the traditional subjects, such as philosophy, mathematics and logic, were important but could not alone fit a young mind for work in anything but the clergy and learned professions. Instead he wanted to educate a generation that was destined for a life of commerce and for magistrates, lawyers, powerful merchants, statesmen and even the landed. The broad liberal education that Priestley recommended was to turn out useful liberal minds from among the middle classes and included modern history, law, economics and the arts. He also turned his attention to women, refuting the notion that they were intellectually inferior and arguing that many women would need to subsist alone and should be given the tools to do so. Women were moral creatures just like men, and as education was the basis of morality their exclusion was counter to Priestley’s hopes of progress and perfection. Priestley’s attitude to the education of the poor was less enthusiastic. His liberalism meant that he stood against state education but did not extend his interest in a more positive direction.

Priestley’s educational philosophy was based on his metaphysics. It is a fine example of the ways in which he brought associationism, materialism and philosophical necessity together in practical ways. Priestley thought that all knowledge, intellect, perception and memory were acquired through sensory experience and that simple ideas combined into complex ideas through association. This mechanism was entirely material and therefore based on necessary causal laws which could be identified and manipulated. It was important because any two ideas could be associated together to control the environment of children so that they were exposed to the most useful and virtuous associations. Denying any chance that knowledge or morality is innate put extra emphasis on the importance of environment, especially when minds were young and malleable and the potential for progress and perfection was at its peak.  Priestley’s optimism now had a practical outlet. It was up to the educator, whose actions had a sole and necessary effect on children, to prepare the next generation for virtue and improvement that could be unlimited.

Priestley was careful to prepare a curriculum which would optimize healthy physical, moral and intellectual development, and this meant using the theory of association to design learning aids and make practical recommendations. Association meant that the most useful learning involved natural discussions and digressions and that experience rather than theory was always to be more memorable. Priestley’s ideal lessons involved question and answer sessions and group discussions. Both sides of a controversy were to be understood and all queries and objections brought to light. Priestley was keen on the use of mechanical aids in teaching, such as his successful charts of history and biography. He wanted to convey knowledge in an ordered and regular manner so that it was easily learned and remembered.

b. History and Language

Priestley made significant contribution to the development of a modern curriculum. His philosophical work was enriched by his experience as a teacher. Priestley put together a philosophy of history and a linguistic theory while preparing lectures for publication. For Priestley, history was a useful practical tool. It appealed to him because it could be used to demonstrate God’s divine purpose and could be observed in order to understand political and economic developments more fully. Priestley writes that history is like the experiments made by the air pump or electrical machine. It demonstrates the workings of nature and God and therefore provides the foundations for theoretical speculation. Like personal experience, history was a swifter teacher than abstract ideas. It allowed one to assemble the evidences of the divine plan and unveiled the plans of Providence. History could increase our understanding of God and the ways in which he used short-term suffering for the greater good; that which appeared evil was actually essential for progress and would terminate in the perfection of humanity.

Priestley hoped that to view history in this way would increase virtue and piety in the minds of his pupils and infuse all with a sense of optimism. He also wanted to encourage his students to see history as a laboratory, where all manner of political systems had been tried and tested. It provided the data needed for sound political philosophy. A liberal government, unfettered thought and belief and free trade could be seen historically to stimulate progress. Furthermore, accurate study of all aspects of the past, from domestic lives to warfare, would increase knowledge of humanity and therefore help future advancements. This meant that Priestley advocated the study of modern history including arts, language, food, clothing, manners and sentiments. He extended the number of sources traditionally seen as relevant to historical study to include material evidence such as coins, medals, inscriptions, fortifications and town plans.

Alongside history Priestley had a long standing fascination with linguistics, and over the course of life as a teacher developed a coherent philosophy of language. He stressed the importance to teaching language and insisted his student be well educated in the vernacular. He tells us that English is as vital as Latin, adding that it is a serious defect in any gentleman not to be able to read and write well in his own language. Priestley made a number of contributions to the study of English grammar, and his influence in the field extended well into the nineteenth century. As part of his grammatical work, Priestley highlighted the importance of understanding that language is in a continual process of development and that the only really useful standard by which to establish rules of language was to look at custom and usage.

These observations were part of a broader theory of language development. Priestley tells us that language is human, not a direct gift from God. It grows up slowly as words gain meaning through association, first simple words and then more complicated constructs. It develops slowly and irregularly and its symbols are arbitrary and often subject to changes of use and meaning. This means that, in order to translate accurately and fully understand the languages of the past, careful cultural study is needed in order to furnish us with enough information to understand meaning and usage. Individual language acquisition to some extent mirrors this process. Young children grasp the meaning of words through constant association between object and word. Furthermore, Priestley tells us that the association of ideas is important for understanding the impact of language, especially figurative language, on the mind. Words can trigger whole strings of associations based on both cultural and individual experience.

c. Reactions and Criticisms

Priestley’s publications on education were generally well received at the time and ran into many editions. Modern commentators, however, have highlighted concern that Priestley used his status as a historian and educator to propagate his Unitarian theology. Arthur Sheps says that history was often written for “pugnacious and apologetic” reasons and that being a historian was a way of gaining moral authority. Priestley gained a historical reputation and was then able to use it to provide evidence for his scriptural exegesis (Belleguic 149). John McLachlan goes even further. He sees Priestley as someone whose religious belief overruled his more rational pursuits. He let a hopeful optimism in the workings of Providence get in the way of careful historical thinking (260).

8. References and Further Reading

a. Primary Works

i. Theology

Priestley’s first religious publications grew out of his role as a teacher of youth while employed as a minister at Leeds. In 1767 he published A Catechism for Children and Young Persons and followed this in 1772 with A Scripture Catechism, consisting of a Series of Questions, with References to the Scriptures instead of Answers. Although these early works were intended to lay down the basics rather than spark doctrinal controversy, hints of Priestley’s unorthodox views creep through the conventional veneer. In 1772 Priestley published his Institutes of Natural and Revealed Religion, a long and detailed exposition of the central beliefs of rational dissent, drawn from a variety of rational and liberal theologians. Many of Priestley’s works contain a similar emphasis on summarizing and streamlining the views of other thinkers, such as A Free Address to Protestant Dissenters on the Subject of the Lords Supper (1768) and Considerations on Differences of Opinion among Christians (1769).These formed part of a plethora of publications answering his already fierce critics, and Priestley continued to court controversy when he published An Appeal to the Serious and Candid professors of Christianity in 1770. Many answers and many replies followed, and the same opinions were repeated in Familiar Illustration (1772).

In 1768 Priestley established the Theological Repository,a theological journal with lofty aims to further truth through unfettered and candid debate. This allowed Priestley to rewrite some of his now familiar arguments under a variety of pseudonyms, while his long-running series of Letters to a Philosophical Unbeliever gave him space to challenge the views of those whose faith had been lost through the reading of modern philosophers. With strong leaning towards historical modes of arguments and an interest in the history of early Christianity, Priestley published his 1777 A Harmony of the Evangelists, in Greek,followed by a version in English in 1780. Other important historical studies include Priestley’s History of the Corruptions of Christianity,first published in 1782, and An History of Early Opinions concerning Jesus Christ in 1786. In the 1790s and following his emigration, Priestley continued to defend his heterodox opinions on the Trinity with his Defences of Unitarianism series and the 1795 Unitarianism Explained and Defended, and he showed an increasing interest in biblical prophecy and the impending millennium, for example in his 1794 The Present State of Europe Compared with Antient Prophecies.

ii. Politics and Political Philosophy

In 1768 Priestley published his Essay on the First Principles of Government. Widely read and well regarded, the Essay was Priestley’s first political publication. The following year Priestley published a pamphlet, The Present State of Liberty in Great Britain and her colonies, which reiterated many of the concerns grappled with in the Essay. 1769 also saw the publication of three works dealing with Protestant dissent, each addressed to liberal dissenters themselves or intended to inform others about their principles. In 1787 Priestley again entered political terrain with An Account of a Society for encouraging the Industrious Poor,in which his liberal individualism was more than obvious. Many of Priestley’s political publications are evidence of the close link between his politics and theology. In 1769 he published Considerations on Church Authority, A View of the Principles and Conduct of Protestant Dissenters and A Free Address to Protestant Dissenters as such,all of which highlight the influence of Priestley’s theology on his political philosophy. Priestley also wrote on religious liberty in An Address to Protestant Dissenterson the Approaching Election of Members of Parliament and overviewed current arguments in favor of toleration for his patron Lord Shelburne in 1773. In 1780 Priestley controversially came out in favor of toleration for Roman Catholics, and again stirred up trouble a decade later by entering the vitriolic debate on the repeal of the Test and Corporation Acts, with letters to Pitt and Burke and a defense of his opinions addressed to the people of Birmingham.

iii. Association of Ideas

We first encounter Priestley’s associationist opinions in his Institutes of Natural and Revealed Religion, which he began writing while still at Daventry and published in three volumes between 1772 and 1774. The Institutes and a number of later publications on the same topicinclude an attack on the principles of the common sense philosophy of Oswald, Reid and Beattie. The theme is continued in Priestley’s edition of Hartley’s Observations on Man in 1775, where Priestley cut out much of Hartley’s work on physiology and theology in order to concentrate solely on expounding the doctrine of associationism.

iv. Matter and Spirit

David Hartley had vigorously denied accusations of materialism, but Priestley’s own monist views emerged first in his edition of Hartley’s Observations on Man in 1775. Although he removed some of Hartley’s physiological exploration and theological concerns, Priestley appended a number of essays to his edition of the work that took Hartley’s doctrine of vibrations and its materialist implications much further than the author would have liked. In 1777 Priestley set out to elucidate and defend his ideas on the unity of body and soul in his Disquisitions relating to Matter and Spirit,causing further offense and controversy. The following year, Priestley engaged in an exchange with Richard Price in which he defended his view of matter as capable of thought and perception and his disbelief in the existence of a nonphysical soul.

v. Philosophical Necessity

Priestley’s interest in the determinist philosophy he called “philosophical necessity” emerges first in his Institutes of Natural and Revealed Religion,where Priestley’s utilitarianism entails the direct intervention of a divine Providence in order to ensure that all suffering is ultimate good and the unhappiness of a few will always benefit the majority. The doctrine also plays a crucial part in his Examination of the Scottish common sense philosophers and his Disquisitions…. In 1777 Priestley outlined and defined these ideas in a work dedicated to the system, the Doctrine of Philosophical Necessity Illustrated.

vi. Philosophy of Education, History and Linguistics

Priestley’s ideas on education emerge first in his Essay on the First Principles of Government, which actually took form out of his remarks on a well known code of education. In 1765, while working as a tutor at Warrington, he published a major work, the Essay on a Course of Liberal Education. In 1778 the Miscellaneous Observations Relating to Education outlined this syllabus in detail. In his 1788 Lectures on History and General Policy,Priestley’s thoughts on education are elucidated with clarity and, along with his published syllabuses, lectures and teaching aids, the work allow us valuable insight into his educational philosophy. Priestley also produced teaching aids: a Chart of Biography in 1765 and New Chart of History in 1769, which used timelines to illustrate the major figures and time periods in history. Some of Priestley’s earliest publications were about language and grew from his post as tutor of languages and belles-lettres at Warrington. In 1761 Priestley published The Rudiments of English Grammar,and this was followed a year later by A Course of Lectures on the Theory of Language and Universal Grammar. Priestley was an influential grammarian, and his publications were widely read and well received; he is notable for his emphasis on custom and usage as the most useful standards by which to assess correct language. In 1777 his Course of Lectures on Oratory and Criticism explored rhetoric, style and taste, introducing the importance of psychology and human nature as the means by which to understand these aspects of language.

b. General Secondary Sources

  • Priestley, Joseph. Autobiography of Joseph Priestley. Bath: Adams and Dart, 1970.
  • Schofield, Robert E. The Enlightenment of Joseph Priestley: A Study of his Life and Work from 1733-1773. Pennsylvania: The Pennsylvania State University Press, 1997.
  • Schofield, Robert E. The Enlightened Joseph Priestley: A Study of His Life and Work from 1773-1804. Pennsylvania: The Pennsylvania State University Press, 2004.
  • Truman Schwartz, and John McEvoy, eds. Motion toward perfection: The Achievement of Joseph Priestley. Boston MA: Unitarian Universalist Association, 1990.
  • Willey, Basil. The Eighteenth-Century Background. Harmondsworth: Penguin, 1962.

i. Theology

  • Brooks, Marilyn. “Priestley’s Plan for a Continually Improving Translation of the Bible.” Enlightenment and Dissent 15 (1996): 89-106.
  • Clark, Jonathan C.D. English Society, 1688-1832: Ideology, Social Structure and Political Practice during the Ancien Regime. Cambridge: Cambridge University Press, 1985.
  • Fitzpatrick, Martin. “Joseph Priestley, politics and ancient prophecy.” Enlightenment and Dissent 10 (1991): 104-109.
  • Fruchtman, Jack. “The Apocalyptic Politics of Richard Price and Joseph Priestley: A Study in Late Eighteenth-Century English Republican Millennialism.” Transactions of the American Philosophical Society 4 (1983):
  • Garrett, Clarke. “Joseph Priestley, the Millennium and the French Revolution.” Journal of the History of Ideas 34. 1 (1973): 51-66.
  • Haakonssen, Knud, ed. Enlightenment and Religion: Rational Dissent in Eighteenth-Century Britain. Cambridge: Cambridge University Press, 1996.

ii. Politics

  • Canovan, Margaret. “Paternalistic Liberalism: Joseph Priestley on Rank and Inequality.” Enlightenment and Dissent 2 (1983): 23-37.
  • Canovan, Margaret. “The Un-Benthamite Utilitarianism of Joseph Priestley.” Journal of the History of Ideas 45. 3 (1984): 435-450.
  • Fitzpatrick, Martin. “Toleration and Truth.” Enlightenment and Dissent 1 (1982): 3-31.
  • Kramnick, Isaac. “Eighteenth-Century Science and Radical Social Theory: The case of Joseph Priestley’s Scientific Liberalism.” The Journal of British Studies 25. 1 (1986): 1-30.

iii. Association of Ideas

  • Bowen Oberg, Barbara. “David Hartley and the Association of Ideas.” Journal of the History of Ideas 37. 3 (1976): 441-454.
  • Faurot. JH. “Reid’s Answer to Joseph Priestley.” Journal of the History of Ideas 39. 2 (1978): 285-292.
  • Kallich, Martin. “The Association of Ideas and Critical Theory: Hobbes, Locke, and Addison.” ELH 12. 4 (1945): 290-315.

iv. Matter and Spirit

  • Schofield, Robert E. “Joseph Priestley, the Theory of Oxidation and the Nature of Matter.” Journal of the History of Ideas 25. 2 (1964): 285-294.
  • Schofield, Robert E. “Monism, Unitarianism and Phlogiston in Joseph Priestley’s Natural Philosophy.” Enlightenment and Dissent 19 (2000): 78-90.
  • Laboucheix, Henri. “Chemistry, Materialism and Theology in the Work of Joseph Priestley.” Price-Priestley Newsletter 1 (1977): 31-48.

v. Philosophical Necessity

  • Fitzpatrick, Martin. ” ‘In the Glass of History’: The Nature and Purpose of Historical Knowledge in the Thought of Joseph Priestley.” Enlightenment and Dissent 17 (1998): 172-209.
  • Harris, James A. “Joseph Priestley and the ‘Proper Doctrine of Philosophical Necessity.” Enlightenment and Dissent 20 (2001): 23-44.
  • Hatch, Ronald B. ” Joseph Priestley: An Addition to Hartley’s Observations.” Journal of the History of Ideas 36. 3 (1975): 548-550.

vi. Education

  • Belleguic, Thierry ed. Representations of Time in Eighteenth-Century London. London Ont.:  Academic Printing and Publishing,1999.
  • McLachlan, John. “Joseph Priestley and the study of History.” Transactions of the Unitarian Historical Society 19. 4 (1990): 452-463.
  • Watts, Ruth. “Joseph Priestley and Education.” Enlightenment and Dissent 2 (1983): 83-100.

Author Information

Elizabeth Kingston
Email: e.s.kingston@sussex.ac.uk
University of Sussex
Great Britain

Phenomenology and Time-Consciousness

Edmund Husserl, founder of the phenomenological movement, employs the term “phenomenology” in its etymological sense as the activity of giving an account (logos) of the way things appear (phainomenon). Hence, a phenomenology of time attempts to account for the way things appear to us as temporal or how we experience time. Phenomenology offers neither metaphysical speculation about time’s relation to motion (as does Aristotle), nor the psychological character of time’s past and future moments (as does Augustine), nor transcendental-cognitive presumptions about time as a mind-dependent construct (as does Kant). Rather, it investigates the essential structures of consciousness that make possible the unified perception of an object that occurs across successive moments. In its nuanced attempts to provide an account of the form of intentionality presupposed by all experience, the phenomenology of time-consciousness provides important contributions to philosophical issues such as perception, memory, expectation, imagination, habituation, self-awareness, and self-identity over time.Within the phenomenological movement, time-consciousness is central. The most fundamental and important of all phenomenological problems, time-consciousness pervades Husserl’s theories of constitution, evidence, objectivity and inter-subjectivity. Within continental philosophy broadly construed, the movements of existential phenomenology, hermeneutics, post-modernism and post-structuralism, as well as the work of Martin Heidegger, Jean-Paul Sartre, Maurice Merleau-Ponty, Hans George Gadamer and Jacques Derrida, all return in important ways to Husserl’s theory of time-consciousness. After devoting considerable attention to Husserl’s reflections on time-consciousness, this article treats the developments of the phenomenological account of time in Heidegger, Sartre, and Merleau-Ponty.

Table of Contents

  1. Husserl, Phenomenology, and Time-consciousness
    1. Phenomenological Reduction and Time-Consciousness
    2. Phenomenology, Experienced Time and Temporal Objects
    3. Phenomenology Not to be Confused with Augustine’s Theory of Time
    4. Phenomenology and the Consciousness of Internal Time: Living-Present
    5. The Living-Present’s Double-Intentionality
  2. Heidegger on Phenomenology and Time
    1. Heidegger and Dasein’s Temporality
  3. Sartre and the Temporality of the “For-Itself”
  4. Merleau-Ponty and the Phenomenology of Ambiguity: The Subject as Time
  5. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Husserl, Phenomenology, and Time-Consciousness

Phenomenology maintains that consciousness, in its very nature as activity, is intentional. In its care for and interest in the world, consciousness transcends itself and attends to the world by a myriad of intentional acts, e.g., perceiving, remembering, imagining, willing, judging, etc.—hence Husserl’s claim that intentional consciousness is correlated (that is, co-related) to the world. Although the notion of intentionality includes the practical connotations of willful interest, it fundamentally denotes the relation conscious has to objects in the world. Of these many modes of intentionality, time-consciousness arguably constitutes the central one for understanding consciousness’s intentional, transcending character. Put differently, time-consciousness underscores these other intentional acts because these other intentional acts presuppose or include the consciousness of internal time. For this and other reasons, Husserl, in his On the Phenomenology of the Consciousness of Internal Time (1893-1917) (1991), deemed time-consciousness the most “important and difficult of all phenomenological problems” (PCIT, No. 50, No. 39). Together with Analyses Concerning Passive and Active Syntheses (2001), Cartesian Meditations (1997) and Die ‘Bernaur Manuskripte’ über das Zeitbewußtseins 1917/18 (2001), this work seeks to account for this fundamental form of intentionality that the experience of temporal (e.g., spatial and auditory) and non-temporal (e.g., mathematical and logical) objects alike presupposes.

All experience entails a temporal horizon, according to phenomenology. This claim seems indisputable: we rush, we long, we endure, we plan, we reminisce, we perceive, we speak, we listen, etc. To highlight the difficulty and importance of explaining the structures of consciousness that make possible the experience of time, Husserl, like his contemporaries Henri Bergson and William James, favored the example of listening to a melody. For a melody to be a melody, it must have distinguishable though inseparable moments. And for consciousness to apprehend a melody, its structure must have features capable of respecting these features of temporal objects. Certainly, we can “time” the moments of a temporal object, a melody, with discrete seconds (measured by clocks). But this scientific and psychological account of time, which, following Newton, considers time as an empty container of discrete, atomistic nows, is not adequate to the task of explaining how consciousness experiences a temporal object. In this case of Newtonian time, each tone spreads its content out in a corresponding now but each now and thus each tone remains separated from every other. Newtonian time can explain the separation of moments in time but not the continuity of these moments. Since temporal objects, like a melody or a sentence, are characterized by and experienced as a unity across a succession, an account of the perception of a temporal object must explain how we synthesize a flowing object in such a way that we (i) preserve the position of each tone without (ii) eliminating the unity of the melody or (iii) relating each tone by collapsing the difference in the order between the tones.

Bergson, James and Husserl realized that if our consciousness were structured in such a way that each moment occurred in strict separation from every other (like planks of a picket fence), then we never could apprehend or perceive the unity of our experiences or enduring objects in time otherwise than as a convoluted patchwork. To avoid this quantitative view of time as a container, Husserl’s phenomenology attempts to articulate the conscious experience of lived-time as the prerequisite for the Newtonian, scientific notion of time’s reality as a march of discrete, atomistic moments measured by clocks and science. In this way, Husserl’s approach to time-consciousness shares much in common with these popular nineteenth Century treatments of time-consciousness. Yet to appreciate fully Husserl’s account of time-consciousness—the uniqueness of his contribution beyond other popular nineteenth Century accounts (deWarren 2008), and the priority he affords it in his own thinking—we first must understand phenomenology’s methodological device, the phenomenological reduction.

a. Phenomenological Reduction and Time-consciousness

Husserl believed that every experience for intentional conscious has a temporal character or background. We experience spatial objects, both successive (e.g., a passing automobile) and stationary (e.g., a house), as temporal. We do not, on the other hand, experience all temporal objects (e.g., an imagined sequence or spoken sentence) as spatial. For the phenomenologist, even non-temporal objects (e.g., geometrical postulates) presuppose time because we experience their timeless character over time; for example, it takes time for me to count from one to five although these numbers themselves remain timeless, and it takes some a long time to understand and appreciate the force of timeless geometrical postulates (PCIT § 45; see Brough 1991). To this point, common sense views of time may find Husserl agreeable. Such agreement ceases, however, for those who expect Husserl to proclaim that time resembles an indefinite series of nows (like seconds) passing from the future through the present into the past (as a river flows from the top of a mountain into a lake). This common sense conception of time understands the future as not-yet-now, the past as no-longer-now, and the present as what now-is, a thin, ephemeral slice of time. Such is the natural attitude’s view of time, the time of the world, of measurement, of clocks, calendars, science, management, calculation, cultural and anthropological history, etc. This common sense view is not the phenomenologist’s, who suspends all naïve presuppositions through the reduction.

Phenomenology’s fundamental methodological device, the “phenomenological reduction,” involves the philosopher’s bracketing of her natural belief about the world, much like in mathematics when we bracket questions about whether numbers are mind-independent objects. This natural belief Husserl terms the “natural attitude,” under which label he includes dogmatic scientific and philosophical beliefs, as well as uncritical, every-day, common sense assumptions. Not a denial of the external world, like Descartes methodologically proposed, the phenomenological reduction neutralizes these dimensions of the natural attitude towards experience in order to examine more closely experience and its objects just as they appear to conscious experience (Ideas I §§ 44-49; Sokolowski 2000). Put less technically, one could consider phenomenology a critical rather than habitual or dogmatic approach to understanding the world. To call phenomenology a critical enterprise means that it is an enterprise guided by the goal of faithfully describing what experience gives us—thus phenomenology’s famed return to the things themselves—rather than defaulting to what we with our dogmas and prejudices expect from experience—thus phenomenology’s famed self-description as a “pressupositionless science” (Logical Investigations)

That the phenomenologist suspends her natural attitude means that a phenomenology of time bypasses the inquiry into both natural time considered as a metaphysical entity and scientific world time considered as a quantitative construct available for observation and necessary for calculation (PCIT § 2). Without prejudice to the sciences, the reduction also suspends all philosophical presuppositions about time’s metaphysical, psychological or transcendental-cognitive nature. Hence, the phenomenological reduction enables Husserl to examine the structures of consciousness that allow us to apprehend and thus characterize the modes of temporal objects appearing as now, past or future. As Husserlians often express it, Husserl concerns himself not with the content of an object or event in time (e.g., listening to a sentence) but with how an object or event appears as temporal (Brough 1991).

As this discussion about the effect of the reduction on Husserl’s account of time implies, Husserl distinguishes three levels of time for our consideration: (3) world[ly] or objective time; (2) personalistic or subjective time; and (1) the consciousness of internal time. We can make assessments and measurements, e.g., declaring things simultaneous or enduring, at the level of objective time only because we experience a succession of mental states in our subjective conscious life. Our awareness of objective time thus depends upon our awareness of subjective time. We are aware of subjective time, however, as a unity across succession of mental states because the consciousness of internal time provides a consciousness of succession that makes possible the apprehension and unification of successive mental states (PCIT No. 40; Sokolowski 2000).

Husserl’s contention that all experience presupposes (1) at first appears as an exhaustively subjective denial of time’s reality, particularly in light of the reduction. Moreover, since we believe that natural time precedes and will outlast our existence, we tend to consider (3) more fundamental than (1). As such, some may find Husserl’s privileging of (1) counterintuitive (Sokolowski 2000). Of course, such a passively received attitude or belief about time and our place therein amounts to cultural prejudice in favor of the scientific view of human beings as mere physical entities subject to the relentless march of time. A brief example may help us better understand Husserl’s objective and thus dispel these reservations: When listening to a fifty minute lecture (level 3), one may experience it as slow or as fast (level 2). Still, each listener’s consciousness has a structure (level 1) that makes it possible for her to apprehend (3) and (2). This structure in (1) functions in such a way that each listener can agree about the objective duration of the lecture while disagreeing about their subjective experience of it. If (1) changed subjectively as (2), then we never could reach a consensus or objective agreement about (3). For the phenomenologist, who seeks to give an account (logos) of the way things appear as temporal, the manifest phenomenon of time is not fundamentally worldly/objective or psychological/subjective time (Brough, 1991). Concerned with how temporal phenomena manifest themselves to conscious perceivers, the phenomenologist examines (1), namely the structures of intentional consciousness that make possible the disclosure of time as a worldly or psychological phenomenon. To begin to explain the priority of (1), Husserl highlights how the now and past are not a part of time considered according to the natural attitude view of (3) or (2).

b. Phenomenology, Experienced Time and Temporal Objects

It should be clear already that Husserl does not privilege the Newtonian view of time as a series of now, past and future moments considered as “things,” containers for “things,” or points on the imagined “time-line” (PCIT §§ 1-2, No. 51). Conversely, he considers the present, past, and future as modes of appearing or modes by which we experience things and events as now, no longer (past) or not yet (future). For example, though I experience the event of the space shuttle Columbia’s explosion as past, the past is not some metaphysical container of which the Columbia shuttle tragedy is a part; the past is the mode in which the Columbia shuttle tragedy appears to me. This does not mean that Husserl views time as something that flows willy-nilly, or that the time of the Columbia shuttle tragedy is contemporaneous with the time of your reading this entry. Husserl acknowledges that “time is fixed and that time flows” (PCIT § 31, No. 51). When we count from one to ten, two always occurs after one and before three regardless of how far our counting progresses; likewise, the temporal event of the Columbia shuttle tragedy occupies an unchanging, determinate temporal position in world-time, “frozen” between what came before and after it, ever-receding into the past of world time (history) without losing its place. Phenomenology helps to clarify the common sense understanding of time as a container—a metaphysical placeholder—that contains events. This common sense understanding of time as a container persists because we forget that we first understand these fixed temporal relations and position thanks to the modes of appearing, namely now, past and future (Brough, 1991).

As Husserlians put it, Husserl considers the now as conscious life’s absolute point of orientation from which things appearing as past and future alter (PCIT §§ 7, 14, 31, 33). Since the now and past are not a part of time but the modes by which things appear to me as temporal, each now that becomes past can accommodate many events simultaneously, e.g., one may remember where one was when the shuttle exploded, what anchor man one might have heard, what channel one was watching, who one was with, etc. (PCIT § 33; Brough 2005). The very fact that this experience becomes part of one’s conscious life implies that one experienced it in the now. Moreover, I can remember what events preceded and succeeded this tragedy, e.g., that my grade-school class filed into the auditorium or that my teacher sniffled as she led us back to our classroom. The very fact that one can place the event in relation to preceding and succeeding events implies both that one never experiences the now in isolation from the past and future and that one experiences the relation between now, past and future without collapsing these three modes of appearing (PCIT § 31).

These reflections on temporal objects and experienced time indicate that the flow of our conscious life is the condition for the possibility of the disclosure of temporal objects and experienced time, a condition that begins from the privileged standpoint of the now, which, again, nevertheless occurs in an interplay with past and future rather than in isolation from them. More than this descriptive account of some essential features of time’s appearance, however, Husserl’s phenomenology of time-consciousness concerns itself with the structure of the act of perceiving that allows us to apprehend a temporal object as unified across its manifold moments. Indeed, our preliminary reflections on time depend upon a series of successive events but a succession of experiences or perceptions is not yet an experience or perception of succession. Husserl turns his attention toward (1)—the transcendental level of internal time-consciousness—in order to explain how (2) and (3) become constituted conscious experiences.

c. Phenomenology Not to be Confused with Augustine’s Theory of Time

When we say that Husserl focuses his attention on (2) and (1), we mean that his writings on time-consciousness attempt to explain how time and experienced time appear to consciousness. This explanation begins, for Husserl, by confronting the paradox of how to account for the unity of a process of change that continues for an extended period of time, a unity that develops in succession, e.g., listening to a sentence or watching a film (PCIT No. 50). To unravel this theoretical knot, Husserl believed, philosophy must realize that, beyond the temporality of the object, the act of perceiving has its own temporal character (PCIT No. 32). Consider the phrase, “Peter Piper picked a pack of pickled peppers” at the word, “picked.” In this example, I hear “picked” yet somehow must hold onto “Peter” and “Piper” in just the order in which I originally apprehended them. Husserl contends that insofar as a temporal object such as a sentence occurs across time in a now that includes what is no longer, consciousness too must extend beyond the now; indeed, if all I heard were different words in each new now without connecting them to past related words, then I never would hear a sentence but only a barrage of sounding words. Consciousness not only must extend beyond the now, but it also must extend in such a way that it preserves the determinate temporal order of the words and modifies their orientation to the now. Indeed, if I preserved the words in a simultaneous or haphazard order, then I never would hear a sentence but only a jumble of words.

To account for the unity of succession in a way that avoids these difficulties, Husserl will not explain consciousness’ extension beyond the now in an act of perception by merely importing a view of Newtonian time into the mind or translating such a view of natural time into a transcendental condition of the mind. This was Kant’s dogmatic failure in the “Transcendental Aesthetic” of his Critique of Pure Reason (Crisis 104 ff.). Nor will Husserl’s account of the “perception” of a temporal object conclude, as Augustine’s did, that consciousness extends beyond the now thanks to its “present of things no longer” and a “present of thing yet to come” that echoed Augustine’s description of the soul’s distention (PCIT § 1; Kelly 2005). Such an Augustinian account of “the present of thing no longer” cannot explain the perception of a temporal object because it traps the heard contents in the now (as a present of things no longer remains present nevertheless). Augustine’s notion of a “present of things no longer” can explain consciousness’ extension beyond the now only as a result of a memorial recollection. But memory drags past nows—and the contents occurring therein—back into the present, thereby rendering past moments simultaneous with a present moment and effectively halting time’s flow. Any account of temporal awareness that explains consciousness’’ extension beyond the now by recourse to memory conflates the acts of memory and perception and thus proves inadequate to explain the conscious perception of a temporal object. Memory gives not the perception of a temporal object but always only what it is capable of giving: a memory (PCIT No. 50; Brough, 1991).

With respect to this problem of conflating memory and perception, Husserl indicates two consequences. First, the distention of the now through memory leaves us with a situation where, as Husserl admits, at any given moment I perceive only the actually present word of the sentence; hence, the whole of the enduring sentence appears in an act that is predominantly memory and only marginally perception (PCIT § 12). Experience tells us, however, that we “perceive” (hear) the whole sentence across its present (now) and absent (past or future) words rather than hearing its present word and remembering (or expecting) the others (PCIT § 7). Indeed, something quite different occurs when I hear a sentence and when I remember the event of the Columbia shuttle tragedy. Second, having conflated the past and the present by making recourse to memory as a means to explain consciousness’ extension beyond the now, such a theory violates the law of non-contradiction, for the mode of the present cannot present something as past, but only as present, and vice versa (PCIT No. 14). In short, on such Augustinian theory, everything remains ‘now’ and nothing can overcome that fact (Brough 1993; Kelly 2005).

The problem of the consciousness of time becomes properly phenomenological when Husserl asks how one explains the original consciousness of the past upon which one can recognize an object as past rather remembering a past moment. Put differently, the problem of time becomes phenomenological when Husserl begins to seek an account of the generation of a sense or consciousness of pastness upon which (the) perception (of a temporal object) and memory depend. Indeed, to claim that we remember something presupposes the very sense of the past we are trying to explain (Sokolowski 2000). An adequate account of the perception of a temporal object first requires a discussion of how consciousness extends beyond the now, i.e., an account of the difference between the consciousness of succession and the remembrance of a succession of consciousnesses (PCIT No. 47; Brough 1972).

d. Phenomenology and the Consciousness of Internal Time: Living-Present

Unlike previous theories addressing the consciousness of time, Husserl shifts his attention from an account of what is perceived as temporal to an account of the temporality of that which does the perceiving. Put differently, he tightens his focus, so to speak, recognizing that when one perceives a temporal object one also experiences the flow of the intentional act of perception (Brough 1991). In order to solve the aforementioned paradox of how to account for the unity of a temporal object over the succession of its parts (e.g., the sentence across it many words), Husserl turns his attention to consciousness’ lived experience, to the structures of consciousness at level (1) that make possible the unification of the manifold moments of that act of perception at level (2) and the perceived object at level (3) (PCIT No. 41).

To explain how consciousness extends beyond the now in its act of perception, Husserl begins to think that consciousness itself must have a “width.” And this is just to say that consciousness must have a sense of the past and a sense of the future to begin with (Sokolowski 2000). To this end, Husserl attempts to argue that consciousness extends to capture past moments of experience and temporal objects therein by “retaining” and “protending” the elapsed and yet to come phases of its experience and thereby the past words that do not presently exist (when I reach a certain point in listening to a sentence) yet remain related to the present experience (PCIT, No. 54; Zahavi, 2000). Rather than attempt to explain the unity of a succession of discrete consciousnesses correlated with a succession of discrete moments in a temporal object, Husserl attempts to explain the consciousness of succession that makes possible the apprehension of a succession of consciousnesses.

Husserl thus speaks almost exclusively of consciousness’ living-present, and he characterizes this life of consciousness with three distinguishable yet inseparable moments: primal impression, retention, and protention. This tripartite form or intentional structure of the living-present should not be thought of as discrete, independently occurring pieces in a process (or procession). Such an atomistic view of the living-present’s structure will not work. Were the moments of the living-present thought as such, we would have to remember or re-present each past state of consciousness. Not a knife-edged moment, Husserl describes the life of consciousness, the living-present, as extended like a comets tail, or saddle-back, to use the image William James preferred, moments comprising an identity in a manifold (James) (PCIT § 10).

Consciousness is no longer a punctual box with several acts functioning in it simultaneously and directing themselves to the appropriate instances of the object. Admittedly, it is difficult to talk of this level of the consciousness of internal time, and Husserl himself claims we are reduced to metaphors (PCIT §§ 34-36). In a perhaps inadequate metaphor, Husserl’s theory of the living-present might be thought of as presenting a picture of consciousness as a “block” with relevant “compartments” distinguished by “filters” or “membranes,” each connected to and aware of the other. In this life of consciousness, Husserl maintains, consciousness apprehends itself and that which flows within it. As Husserl describes it, retention perceives the elapsed conscious phase of experience at level (1) and thereby the past of the experience at level (2) and the past of the object at level (3). The moments of retention and protention in the tripartite form of consciousness that is the living-present make possible consciousness’ extension beyond the now in such a way that avoids the problem of simultaneity and enables consciousness to attend determinately to the temporal phases of the object of perception. Unlike Augustine’s notion of a present of things no longer, which remembered or re-presented a past content in the now, Husserl draws a distinction between memory and retention. On the one hand, memory provides a “consciousness of the [instant] that has been” (PCIT § 12). On the other hand, retention “designates the intentional relation of phase of consciousness to phase of consciousness” (PCIT No. 50), i.e., a “consciousness of the past of the [experience]” (PCIT No. 47) and thereby the instant of the object that has been.

This distinction does not mean that memory differs from retention merely as a matter of temporal distance, the former reaching back further into time. Rather, Husserl draws a structural distinction between memory and retention: The former is an active, mediated, objectifying awareness of a past object, while the latter is a passive, immediate, non-objectifying, conscious awareness of the elapsed phase of conscious experience. First, memory reveals itself to be an act under the voluntary auspices of consciousness, whereas retention occurs passively. Second, while memories occur faster or slower and can be edited or reconstructed, retention occurs “automatically” and cannot be varied at one’s whim (though it can, at level 2, be experienced as faster or slower, as noted above in our example of listening to a lecture). Third, remembering re-produces a completed temporal object, whereas retention works at completing the consciousness of a temporal object, unifying its presence and absence. Fourth, as the representation of a new intentional object, memory is an act of presenting something as past, as absent, whereas the retention that attempts to account for the perception of an object over time constitutes an intuition of that which has just passed and is now in some sense absent, an act of presenting something as a unity in succession. Fifth, memory provides us with a new intentional object not now intuitively presented as the thing itself “in person”—e.g., remembering my friend’s face when she is absent from me in this moment—whereas retention accounts for the perception across time of an object now intuitively presented for me—e.g., the progressive clarity of my perception of my friends face as she approaches me from the street. Sixth, despite memory’s character as a presenting act, when it represents to me my friend’s face it represents it in the now with a change in temporal index or a qualification of the remembered object as past, whereas retention holds on to that which is related to my present perception in a mode of absences (e.g., as when I hear “picked” while retaining “Peter Piper”). Seventh, memory depends upon or is “founded” upon retention as the condition of its very possibility, for memory could never represent an object as a completed whole if retention did not first play its role in constituting across time the object now remembered (PCIT, No 50; Zahavi; Brough 1991.

To explain time-consciousness at level (1), then, Husserl comes to favor the theory that consciousness of the past and future must be explained by the intentional direction of retention and protention to the past and future of consciousness’ lived experience rather than a mode of memorial apprehension that issues from the now to animate past impressions. Returning to our above example of listening to a sentence, when I hear “picked,” I do not remember “Peter Piper.” Rather, I intuitively perceive the sentence as a temporally differentiated yet nonetheless related to the current [of this] experience. To be sure, the words do not occur simultaneously; each word passes and yet remains relevant to the presently lived experience. The interpreter of Husserl must take care at this point not to read the turn to consciousness as entailing a loss of the perceived; rather, what is retained is precisely the impressional moment as experienced in that moment and having been retained in this experience. In fact, this account allows that the words, “Peter Piper,” have passed, metaphysically, but remain on hand in this apprehension of “picked” thanks to consciousness’ retention of its past phase of experience wherein it heard the related words, “Peter Piper.” As a moment of the intentional relationship between the phases of consciousness’ living-present, retention “automatically” experiences its intuitively present conscious life and determinately provides a consciousness of the past of the experience.

Husserl’s account of the living-present ultimately articulates the condition for the possibility of all objectifying acts, a condition itself not objectified. As such, the discussion of retention brings us to the bottom line, the final and most difficult layer of intentional analysis, namely consciousness’ double-intentionality (PCIT No. 54).

e. The Living-Present’s Double-Intentionality

The living-present marks the essence of all manifestation, for in its automatic or passive self-givenness the living-present makes possible the apprehension of the elapsed phases of the life of consciousness and thereby the elapsed moments of the transcendent spatio-temporal object of which the conscious self is aware. This is possible, Husserl argues, because the “flow” (PCIT § 37) of conscious life enjoys two modes of simultaneously operative intentionality. One mode of intentionality, which he terms Langsintentionalität, or horizontal intentionality, runs along protention and retention in the flow of the living-present. The other mode of intentionality, which Husserl terms the Querintentionalität, or transverse intentionality, runs from the living-present to the object of which consciousness is aware (PCIT No. 45; Brough 1991).

Husserl explains the unity of these two intentional modes as a consciousness wherein the Querintentionalität is capable of intending a temporal object across its successive appearings because the Langsintentionalität provides consciousness’ self-awareness and awareness of its experiences over time. As an absolute flowing identity in a manifold—of primal impression, retention and protention—the stream of conscious life in the living-present constitutes the procession of words in the sentence that appears and is experienced sequentially in accordance with the temporally distinct position of each word. Husserl thus describes consciousness as having a “double-intentionality”: the Querintentionalität, which objectively and actively grasps the transcendent object—the heard sentence—and the Langsintentionalität, which non-objectively and automatically or passively grasps consciousness’ lived-experience—the flow of the living-present (PCIT No. 45). That I hear the words of the fifty-minute lecture and feel myself inspired or bored is possible only on the basis of my self-awareness or consciousness of internal time.

Though Husserl terms this consciousness that is the special form of horizontal intentionality in the living-present a “flow,” he employs the label “metaphorically” because the living-present’s flow manifests itself, paradoxically, as a non-temporal temporalizing (PCIT § 32, No. 54). That the living-present temporalizes means that it grasps its past and future as absent without reducing its past and future to the present, thus freezing consciousness temporal flow. To capture Husserl’s image of a non-temporal flow more aptly, some commentators prefer the image of shimmering (Sokolowski 1974). As Husserl himself admits that we have no words for this time-constituting phenomenon, the image of shimmering seems a more appropriate descriptor, for Husserl understand the living-present paradoxically as a standing-streaming (PCIT No. 54). Though non-temporal, Husserl assigns the living-present a time-constituting status, for this absolute consciousness makes possible the disclosure of temporal objects insofar as it makes possible the disclosure of consciousness’’ temporality by accounting for our original sense of the past and of the future in the retentional and protentional dimension of the living-present (PCIT § 37).

Husserl must characterize the flow as non-temporal. If that which makes possible the awareness of a unity in succession itself occurred in succession, then we would need to account for the apprehension of the succession unique to the living-present, and so on and so forth, ad infnitum (PCIT, No. 39, No. 50). An infinite regress of consciousness, however, would mean that we never would achieve an answer to the question of what makes possible the consciousness of time. In order to avoid an infinite regress, then, and in accordance with experience, which tells us that we do apprehend time and temporal objects, Husserl describes the living-present’s flow as a non-temporal temporalizing. This argument in favor of the non-temporal character of the living-present brings us to the two senses in which the special form of intentional consciousness is an absolute consciousness.

First, Husserl characterizes the living-present as absolute because a non-temporal consciousness that needs no other consciousness behind it to account for its self-apprehension is just that, absolute, the bottom line. Second, as the absolute bedrock of intentional analysis (Sokolowski 2000), the absolute flow as a mode of intentionality peculiar to the living-present conveys a move away from a model of awareness or intentionality dependent upon a subject’s relation to an object. If philosophy construes all awareness according to an object-intentionality model of awareness, i.e., the dyadic relation of a subject (knower) to an object (known), then it can never account for the relation between knower and known in the case of self-consciousness. For example, when I am writing this entry, I am conscious of the computer on which I am typing, as well as myself as the one typing. To explain, philosophically, however, how I apprehend myself as the one typing, the dyadic object-intentionality model of awareness will not suffice. The issue, of course, concerns self-awareness and thus philosophy’s standard understanding of self-identity over time.

In the classic treatment of self-consciousness, John Locke in his Essay Concerning Human Understanding accounts for self-identity over time thanks to consciousness’ reflective grasp on its past states. Locke establishes this account by distinguishing (i) simple ideas of sense directed toward (iia) objects from (i) simple ideas of reflection directed toward (iib) the self. In both cases, (i) knows (iia) and (iib) in the same manner insofar as (i) takes (iia) and (iib) as objects while (i) itself goes unnoticed or unaccounted for. Locke’s account thus turns the self or subject into an object without ever really presenting the self. Even if a simple idea of reflection directs itself toward the self, one self (the reflecting self) remains subject while the other self (the reflected self) becomes the object. In self-awareness, however, no difference, distance or separation exists between the knower and the known. Forced to apprehend itself as an object in an exercise of simple sense reflection, the Lockean subject never coincides with itself, caught as it is in a sequence of epistemic tail chasing (Locke, 1959 I; Zahavi, 1999). Such tail chasing, moreover, entails an infinite regress of selves themselves never self-aware. Locke’s failure stems from his restriction of intentionality to the model of object-awareness, the dyadic model of awareness, where all awareness requires a subject knowing an object.

Husserl’s account of the unity of (1) this dynamic, shimmering living-present makes possible the consciousness of (2) psychological or subjective time and (3) worldly or objective time provides an alternative to the traditional account of awareness as merely an objectivating relation of a subject to object (Brough, 1991; Sokolowski, 1973; Zahavi, 1999). By retaining the elapsed phase of consciousness and thereby the past of the object, retention unifies consciousness’ flow and the time-span of the perceived temporal object, thus providing at once a non-objective self-awareness and an objective awareness of spatio-temporal entities.

Despite the heady accomplishments of Husserl’s theory of time-consciousness as founded in the living-present’s double-intentionality, contemporary phenomenologists still disagree about Husserl’s discovery. Some commentators, under the influence of Derrida’s critique of Husserl’s theory of the living-present (Derrida 1973), express reservations over the legitimacy of the status of the living-present as an absolute, non-temporal temporalizing, arguing that it amounts to a mythical construct (Evans, 1990). Yet decisive refutations of these criticisms, based on their insensitivity to the nuances of Husserl’s theory, are plenty (Brough, 1993; Zahavi, 1999). Still, even those who accept its legitimacy disagree about how best to explain the relation between levels (1) and (2) of time-consciousness (see Zahavi, 1999; Brough 2002). Interestingly, the very complexities and details of Husserl’s theory of internal time-consciousness, which remain a central point of debate for contemporary phenomenologists, proved germane to phenomenology’s development and alteration throughout the Twentieth Century.

2. Heidegger on Phenomenology and Time

If the double-intentionality of Husserl’s theory of consciousness proves fruitful, it is because it allows us to given an account of the temporality of individual experiences (e.g., listening to a sentence) as well as the temporal ordering of a multiplicity of experience (e.g., recognizing the classroom to which I return each week as the same room differentiated over a span of time) and all of these experiences as mine, as belonging to me. Husserl’s first follower, Martin Heidegger, took up the benefits of Husserl’s theory and developed them into his own unique brand of phenomenology. In fact, Heidegger developed his brand of phenomenology precisely in light of Husserl’s reflections on the intentionality unique to absolute time-constituting consciousness. As we shall see, Heidegger might put the point more forcefully, claiming that he developed his phenomenology in opposition to Husserl’s theory of absolute time-constituting consciousness. In any event, we can begin by identifying a fundamental difference between Husserl and Heidegger: Husserl emphasized the retentional side of the life of consciousness because he was interested in cognition, which builds up over time, while Heidegger emphasized the protentional or futural side of the subject because he is more interested in practical activity (the “in order to” or “for the sake of”).

According to Heidegger, the essence of absolute time-constituting consciousness amounted to a subject divorced and isolated from the world because Husserl construed absolute consciousness as a theory only about the a priori, presuppositionless and essential structures of consciousness that made possible the unified perception of an object occurring in successive moments. As an alternative to what he considered Husserl’s abstracted view of the human being, Heidegger suggests that philosophy cannot advance a proper understanding of the being of the human being by bracketing its and the world’s existence. Instead, we must understand the human being as being-in-the-world, Dasein, literally there-being; we only can understand what the world contributes to us and what we contribute to the world if we consider each as co-dependent without reducing one to the other. To put it differently, Husserl’s transcendental phenomenology provides an “upward” oriented approach while Heidegger’s ontological phenomenology provides a “downward” oriented approach, and their approaches stem from their different views of time (Macann 1991).

Heidegger maintains that Husserl’s phenomenology proves inadequate to the task of understanding Dasein’s relation to the world because Husserl fails to articulate adequately the relation between consciousness, or being, and time. Specifically, Husserl’s construction of the fundamental form of intentionality as absolute time-constituting consciousness remains, according to Heidegger, prisoner to the bias of pure presence. As Heidegger puts it, the bias of pure presence entails the reduction of “being” to the moment that “is” fully articulated in the conscious now at the expense of absence, i.e., what falls outside the conscious now, i.e., the moments of past and future. Such a view of consciousness, Heidegger insists, capitulates to the prejudice of presence because it implies that something can appear to consciousness only in the form of an object now given or before one in person and unified by consciousness across its manifold moments (BT, § 67c). At a general level of intentionality, Heidegger wants to correct Husserl’s overly cognitive assessment of the subject. For Heidegger, an intention or intentio literally conveys a sense of “stretching out” or “straining” (Heidegger 1925). For Heidegger, Dasein is being in the world, a being with goals and projects toward which it comports itself or toward which it stretches out. The projects toward which it stretches itself makes Dasein fundamentally futural in its intentional directedness toward the world.

Having failed to investigate the practical comportment of the subject, Heidegger argues, Husserl’s view of consciousness seems to reduce all awareness to awareness of an object in the present, thus reducing the past to the present and consciousness’ self-awareness to an object among objects (Dahlstron 1999). Together, these related consequences motivate Heidegger’s conclusion that Husserl fails to perform the phenomenological reduction completely. Or, better, Heidegger concluded that the performance of the reduction adulterates the view of the subject and thus should be abandoned. Heidegger’s version of phenomenology thus does not begin from a phenomenological reduction although competing views of this matter exist (Crowell 1990; Blattner 1999).

As mentioned already, Heidegger’s very conception of Dasein as co-dependent with the world displays, he believes, his difference from Husserl’s view of the human being as absolute time-constituting consciousness. Put negatively and in terms of his History of the Concept of Time (1925), Heidegger criticizes Husserl for not considering fully the existence of the human being, bracketing its existence in favor of an analysis of the essential features of consciousness’ intentional structures (Heidegger 1925). Put positively and in terms of his Being and Time (1927), Heidegger claims that Dasein’s essence is its existence (BT § 9). Hence, one might claim, Heidegger introduces the movement of existential phenomenology, a development in phenomenology concerned with the very existence of the human being, which we have seen is termed Dasein by Heidegger.

Concern with Dasein’s existence as its essence does necessarily reduce to the assumption that Heidegger takes existence in the sense of biological or genetic determinants. Though such factors may condition Dasein’s manner of existing, they do not determine it, according to Heidegger. Dasein is neither fully determined nor uninhibitedly free (BT 144). She exists in the mode of her possibilities and her possibilities are motivated by environmental influences, her skills and interests, etc. (Blattner, 1999). Dasein, for Heidegger, is thus a being concerned about her being, reckoning with the world through her activities and commitments. Centering his existential phenomenology on how the world appears to a being concerned about its being, Heidegger’s inquiry starts from how Dasein comports herself as manifest in the everyday activities of her life, activities to which she commits herself or about which she cares (BT § 7). Heideggerian phenomenology thus begins from an interest in how the world appears to a being that cares about its existence, an intentional being but one who, in intending the world, is primarily practical and secondarily contemplative. Less concerned with the Husserlian search for presuppositionless certainty and essential structures, Heidegger’s existential phenomenology amounts to an interpretive description or hermeneutics that attempts to express the unexpressed (or articulate the pre-predicative) mode of Dasein’s engagement with the world (BT § 7). And this manner of engagement finds its fullest expression in Heidegger’s account of Dasein’s temporality.

a. Heidegger and Dasein’s Temporality

The notion of Dasein’s projects proves crucial to understanding Heidegger’s analysis of Dasein’s temporality and its difference from Husserl’s phenomenology. In discussing Dasein’s projects, Heidegger takes the term etymologically; to pro-ject means to put out there or to put forward. That Dasein projects itself in the world implies something fundamental about it. Dasein finds itself thrown into a world historical circumstance and projects itself in that world. Born (thrown) into a time and culture not of one’s choosing, Dasein always already exists in the world and suffers some limitations from which she nevertheless may wiggle free thanks to her interests and concerns about the world and her existence therein. The way things matter to Dasein—how she finds herself affected, in Heidegger’s language—and her skills and interest constitute different possibilities for her, different ways of being-in-the-world. These possibilities, in turn, manifest themselves in Dasein’s projects, i.e., in how she puts herself forward or projects or comports herself. These conditions suggest to Heidegger that the essential mode of being in the world for Dasein is a temporal one. Of the three temporal dimensions characterizing Dasein, we may say: First, the fact that Dasein finds herself thrown into a world and characterized by certain dispositions, etc. implies a “pastness” to her being. Second, the fact she projects herself implies a “futurity” to her being. And, third, the fact that she finds herself busied with the world as she projects herself in an effort to fulfill the present tasks required by the goal that is her project implies a “presentness” to her being (Blattner 1999).

The fundamental characteristic of the being that cares about its being, Dasein, then, is temporality. But things are not as simple (or common-sense) as they seem thus far. Time resembles Dasein insofar as time projects itself or stands outside itself in its future and past without losing itself—time and Dasein thus appear ontologically similar, or similar in their ontological structure. Since the question concerns the being for whom its being is a concern, and since the fundamental structure of this being is its temporality, philosophy’s very attempt to understand Dasein fundamentally concerns the relation between being and time at a pre-predicative level of worldly-engagement, a level prior to articulated judgment, prior to the conscious conceptualizations of traditional metaphysics or Husserlian phenomenology; hence, the title of Heidegger’s famous work, Being and Time (Richardson 1967). In Heidegger’s terms, an “authentic” understanding of the being concerned about its being rests upon a proper understanding of that being’s temporality.

To understand Dasein, then, Heidegger first distinguishes originary or authentic time understood as Dasein’s way of being in the world from worldly- and ordinary-time understood inauthentically or uncritically by the common-sense, pre-philosophical mind (BT § 80). As the labels imply, Heidegger articulates a hierarchical structure between these levels of time, much like Husserl’s levels of time (Sokolowski 1974). The hierarchical structure envisioned by Heidegger looks like this: World-time grounds ordinary-time, and both in turn are grounded by originary-time.

To establish the fundamental feature of Dasein as originary temporality, Heidegger distances his view of Dasein’s temporality from all common sense understandings of time as a series of nows, thereby deferring the common sense understanding of past as no-longer-now and future as not-yet-now. His position depends on a distinction between how time shows itself to Dasein as world-time and ordinary-time, the latter being derivative of the former. World-time denotes the manner in which the world appears as significant to Dasein in its everyday reckoning with the world at a practical level through its projects. For example, the world appears to an academic with certain significances or importance. Objects like chalk, books, computers, and libraries all manifest themselves with a particular value, and time does, as well (just consider the fact that the new year begins in late August rather than the first day of January). When I sit in my office, the approaching time of three in the afternoon does not appear merely as an indifferent hour on the clock. Rather, it appears to me as the time when, according to my project, I must head to class—just as it may appear to a postal work as the time when she should return to the station from her route. For me, the time-span of my class does not merely appear as seventy-five successive minutes. Rather, the classroom time of my project appears to me as the time when I project myself toward my students, the material for the day’s discussion and the material equipment in the class that facilitates my teaching well. If my class begins to go poorly, however, I may become self-conscious about how well I meet the demands of my project as a teacher. When the focus of my attention shifts from my project to my failures, the time of my project ceases to be my primary focus. Perhaps in this case I shift my focus to the passing nows or seconds of each increasingly long minute. If such a shift occurs, Heidegger might claim that I shift from the mode of world-time to the mode of ordinary-time, the time understood as a measurable succession of nows, seconds, minutes, etc.

This time that measures successive nows, Heidegger deems ordinary-time, which depends upon world-time. Heidegger distinguishes the two by pointing out that the significance which colors world-time goes missing in the view of ordinary time and time appears no longer as the span of my project but the mere succession of punctual, atomistic nows (the Newtonian scientific view of time as an empty container or place holder). When the time-span of practical reckoning with the world ceases for Dasein, ordinary-time emerges (BT§ 80; Blattner 1999). The above example does not quite get Heidegger exactly right, however, for in it I remain interested in human concerns (except that now I am worried about them). What the example does convey is the shift in understanding time from a mode of time as an extended reckoning with the world laden with significance to a mode of time considered as a purely abstract marching of moments, a view of time most accurately associated with the mathematical and scientific view of time (but not to the mathematician or scientist working with this view of time).

All of these distinctions between world- and ordinary-time are meant to elaborate Heidegger’s view that as a series of projects Dasein is no mere entity in the world but a temporal structure peculiar to its kind of being-in-the-world that makes manifest world- and ordinary-time. For Heidegger, the now denotes a mode of Dasein’s manner of being that discloses the appearance of the world to us, i.e., Dasein’s way of being-in-the-world. As a series of projects, Dasein in its originary temporality is characterized by a tripartite mode of transcendence or process (albeit a non-sequential process, since Heidegger has distanced himself from the ordinary view of time). First, as transcendence, as that which goes from itself and to which the world comes, Dasein has a futural moment. Second, as transcendence, as that which manifests itself non-objectively while reckoning with that which stands before it, Dasein has a present moment as the place wherein the world appears to, or manifests itself to, that which cares about it. And, third, as transcendence, as that to which the world comes, Dasein has a past moment because that which comes and manifests itself comes and manifests itself to one who always already is there (Heidegger 1927; Richardson 1967). As transcendence, as temporality, Heidegger describes Dasein as “ecstatic,” where ecstatic means to stand out (Sokolowski 2000). As the kind of being that is always outside itself without leaving itself behind, Dasein is a process of separating and consolidating itself (Sokolowski 1974). Outside of itself in the future, Dasein projects itself and reckons with that about which it cares; outside of itself in the present, Dasein makes manifest or present the appearance of that to which it goes out in its interest and according to its projects; outside of itself in the past, Dasein drags along that which it has been, its life, which, in turn, colors its present experiences and future projects.

This union of past, present and future as modes of originary-time in Dasein’s being-in-the-world renders Dasein authentic—one with itself or its own—because the projection into the future makes the present and the past part of Dasein’s project—its essence is its existence. However, insofar as I assume a project or life-orientation passively and without realizing myself as responsible for that project, argues Heidegger, I live inauthentically. And this is because I am engaged in the world without a full understanding of myself within the world. Put differently, rather than consciously make myself who I am through my choices, I passively assume a role within society—hence the temptation to label Heidegger an existentialist, a label the he himself rejected.

Many rhetorical differences exist between how Husserl and Heidegger execute the phenomenological method, particularly the phenomenology of temporality. Despite these differences, Heidegger begins his inquiry into Dasein’s temporality much like Husserl began his consideration of absolute, time-constituting consciousness. Just as Husserl established that neither the now nor the consciousness of the now is itself a part of time, Heidegger begins his account of Dasein’s originary temporality with the observation that neither the now nor Dasein is itself a part of time (BT § 62). As Heidegger puts it, as always already being-in-the-world, Dasein’s temporality is neither before nor after nor already in terms of the way common sense understands time as a sequence of discrete, empty nows (BT § 65). Hence, Heidegger translates Husserl’s account of the levels of time into an account of Dasein’s originary temporality. Moreover, Heidegger and Husserl seemingly end on the same note, for Husserl describes the living-present as a non-objectivating transcendence, an intentional being that transcends itself toward the world, and this description equally characterizes Heidegger’s more practically oriented discussion of Dasein’s originary-temporality. Like Husserl’s notion of the living-present, Heidegger’s theory of Dasein’s structure as originary temporality considers Dasein a mode of objectivating not itself objectified, the condition for the possibility of all awareness of objects at the levels of worldly- and ordinary-time (BT § 70).

Still, an important difference exists with respect to their phenomenologies of time and time-consciousness. First, despite the implicit levels of time, Heidegger employs the phenomenological reduction quite ambivalently and ambiguously. Second, Heidegger explicitly rejects the outcome of the phenomenological reduction as a privileged access to absolute time-constituting consciousness. Third, Heidegger quite unequivocally privileges the moment of the future in his account of Dasein’s originary temporality. By emphasizing Dasein’s being-in-the-world as manifest through its throwness in the world, and its care for the world as manifest through its projects, Heidegger’s focuses on Dasein’s futural character distinguishes his account from Husserl’s, for Husserl emphasized the moment of retention in the living-present almost to the exclusion of any remarks on protention, the anticipatory moment of the living-present. For these reasons, Heidegger considered his phenomenology radically different from Husserl’s. In particular, Heidegger thought Husserl’s overly cognitive account of how consciousness constitutes a unified temporal object across a succession of moments articulated only one of the many issues surrounding the temporality of Dasein, a merely scientific or cognitive account of how consciousness presents an object in the world to itself. Husserl’s restrictive phenomenology of time, Heidegger argues, overlooks the existential dimension of Dasein’s temporality, how Dasein reckons with the world at a tacit level rather than how it cognizes the world. And in particular, Heidegger thought philosophy could assess Dasein’s manner of reckoning with the world only by examining its futural moment as manifest in the projects that characterize Dasein’s mode of existence as the ongoing realization of its possibilities or construction of its essence.

3. Sartre and the Temporality of the “For-Itself”

Heidegger’s innovative contributions to the phenomenology of time did not go unnoticed by later phenomenologists. Both Sartre and Merelau-Ponty adopted Heidegger’s view of Dasein as being-in-the-world, an entity whose essence is its existence. The originality of Sartre’s phenomenology of time lies not in his reflections on time, which, as we shall see, return to some rather pedestrian claims. Rather, Sartre’s unique contribution to the phenomenology of time lies in his understanding of how consciousness, the “for-itself,” relates to the world, the “in-itself.” What in their discussions of this fundamental mode of transcendence Husserl labeled absolute time-constituting consciousness, and Heidegger Dasein, Sartre termed the “for-itself.” Given Husserl and Heidegger’s differing views of consciousness’ mode of intentionality and its fundamental self-transcending nature in its mode of temporality, Sartre’s theory presents an unlikely marriage of the two.

Fusing Heidegger’s view of being-in-the-world with what he considered was a greater fidelity to Husserl’s notion of intentionality, Sartre considered the being of the “for-itself” an ecstatic temporal structure characterized by a sheer transcendence or intentionality. In his earliest work, Transcendence of the Ego (1939), Sartre defines the “for-itself” by intentionality, i.e., the Husserlian claim that consciousness transcends itself (Sartre 1936). As self-transcending, Sartre further delimits the “for-itself” as a being-in-itself-in-the-world. The “for-itself” is a field of being always already engaged with the world, as Heidegger expressed Dasein as intentional and thrown. For Sartre, however, in its activity of engaging the world the “for-itself” reveals itself as nothing, a “no-thing,” or not-the-being-of-which-it-is-conscious. Sartre further qualifies the being of the “for-itself” that always already is engaged with the world as a non-positional consciousness (Sartre 1936). A non-positional consciousness always already engaged the world, Sartre contends, consciousness does not take a position on itself but on the world; hence, consciousness is non-positional. To evidence his point, Sartre maintains that I, when late for a meeting and running to catch the subway, do not primarily concern myself with myself but only have a consciousness of the subway to be caught (Sartre 1936). Rather than taking a position on myself as I pursue the subway, I implicitly carry myself along as I tarry explicitly with the world. For this reason, Sartre argues that absolute consciousness in Husserl’s sense of the living-present does not unify a temporal experience because the unity of consciousness itself is found in the object (Sartre 1936).

This Sartrean view that the experience unifies itself not only recalls Heidegger’s insistence that Dasein is a self-consolidating process, but also renders the notion of an absolute time-constituting consciousness superfluous, according to Sartre. Indeed, Sartre believed that a deep fidelity to Husserl’s theory of intentionality necessitated the abandonment of Husserl’s notion of absolute consciousness; hence, he dramatically declared that the Husserlian notion of an absolute consciousness would mean the death of consciousness (Sartre 1936). If one assumes, with Husserl, the notion of a living-present characterized by the moments of retention, primal impression and protention, Sartre argues, consciousness dies of asphyxiation, so to speak. A consciousness divided in this way, according to Sartre, amounts to a series of instantaneous and discrete moments that themselves require connection. Such an instantaneous series of consciousness amounts to a caricature of intentionality, in Sartre’s view, because this kind of consciousness cannot transcend itself; as Sartre expresses it, an internally divided consciousness will suffocate itself as it batters in vain against the window-pains of the present without shattering them (Sartre 1943).

Sartre’s critique of the living-present or absolute time-constituting consciousness seems rather questionable. Indeed, this image leaves one wondering whether or not Sartre derives this caricatured view of time-consciousness from a caricature of Husserl’s view of intentionality. Nevertheless, Sartre abandons Husserl’s notion of the tripartite structure of absolute time-constituting consciousness in favor of something like Heidegger’s notion of Dasein’s ecstatic temporality and its projects and possibilities. And yet Sartres’ adaptation of Heidegger’s notion of Dasein’s possibilities seems questionable as well. Recall that Dasein’s possibilities were not purely uninhibited, that Dasein did not simply choose its projects and possibilities from a position of total freedom because of its thrown condition and affective dispositions. Sartre’s theory of the “for-itself” seems to reject the kinds of limiting conditions entailed by Heidegger’s notion of thrownness. Indeed, Sartre’s melodramatic image of a consciousness with cabin fever implies that he cannot fully embrace any limiting factors on how the “for-itself” fashions its essence through its existence. For Sartre, the “for-itself” is radically free (Blattner 1999), and the result of Sartre’s reflections on the temporality of the “for-itself” is a rather pedestrian view of temporality.

Like Husserl and Heidegger, Sartre does not consider the past, present and future as moments of time considered as contents or containers for contents. Rather, each marks a mode in which the “for-itself” makes manifest itself and the world. But Sartre’s account neither surpasses nor achieves either the rigor of Husserl’s analyses or the descriptive quality of Heidegger’s. For Sartre, the past of the “for-itself” amounts to that which was but is no longer—similar to the view of the past itself, which Augustine rejected, as that which was but is no-longer. By mirror opposite, the future of the “for-itself” amounts to which it intends to be but is not yet—similar to the view of the future itself, which Augustine rejected, as that which will be but is not yet. And between the two, the present of the “for-itself” is that which it is not, for its being is characterized as being-not-the-thing-of-which-it-is-conscious—similar to the view of the present, which Augustine rejected, as the thin, ephemeral slice of the now.

4. Merleau-Ponty and the Phenomenology of Ambiguity: The Subject as Time

Whether Husserl’s, Heidegger’s or Sartre’s account, for phenomenology we cannot separate the issue of time from the issue of subjectivity’s structure. And Merleau-Ponty’s discussion of temporality in Phenomenology of Perception (1945) is no exception. It is, however, the most exceptional case of the intertwining of these issues. Developing Heidegger’s notion of Dasein as being-in-the-world, Merleau-Ponty emphasizes the being of Dasein as its bodily comportment and declares the body an essentially intentional part of the subject. Since Merleau-Ponty wants to make the body itself intentional, it is no surprise that he intertwines time and the subject, (in)famously remarking that “we must understand time as the subject and the subject as time” (Merleau-Ponty 1945).

To situate Merleau-Ponty’s account in this trajectory of phenomenological theories of time, it is useful to bear in mind that his account amounts to an innovative synthesis of Husserl and Heidegger’s understandings of time. Though the same can and has been said of Sartre’s account, Merleau-Ponty’s synthesis of Husserl and Heidegger differs from Sartre’s on three important scores. First, Merleau-Ponty rejects the dualistic ontology of the “for-itself” and the “in-itself” that led Sartre to rashly criticize Husserl’s notion of absolute consciousness and superficially adopt Heidegger’s phenomenological account of Dasein’s temporality as manifest in its projects and possibilities.” Second, Merleau-Ponty will not adopt Heidegger’s notion of Dasein’s temporality as an alternative to some purported shortcoming of Husserl’s account of the mode of intentionality unique to absolute time-constituting consciousness. Rather, third, more sensitive to the subtleties of Husserl’s theory of absolute time-constituting consciousness in the living-present than even Heidegger, Merleau-Ponty proposes to think the “unthought” of Husserl’s account of time through an intensified version of Heidegger’s account of the self’s inseparability from time.

From the outset, the “Temporality” chapter of his Phenomenology of Perception explicitly links time to the problem of subjectivity, noting that the analysis of time cannot follow a “pre-established conception of subjectivity” (Merleau-Ponty 1945). On the one hand, Merleau-Ponty rejects the traditional idealist conception of subjectivity in favor of an account of subjectivity in “its concrete structure;” on the other hand, since we must seek subjectivity “at the intersections of its dimensions,” which intersections concern “time itself and … its internal dialectic,” Merleau-Ponty rejects the realistic conception of subjectivity’s states as Nacheinander, i.e., successive, punctual, atomistic instants that lack intersection (Merleau-Ponty 1945). Hence, our understanding of Merleau-Ponty’s account of temporality and subjectivity’s temporality should follow the “triadic” structure of the Phenomenology: reject realism and idealism to demonstrate the merits of phenomenology (Sallis 1971).

The intellectualist account of time as (in) the subject fails because it extracts the subject from time and reduces time to consciousness’ quasi-eternity. The realist account of the subject as (in) time fails because it reduces the subject to a perpetually new present without unity to its flow. Both failures force upon the philosopher the realization that she can resolve the problem of time and subjectivity only by forfeiting the commitment to a “notion of time … as an object of our knowledge.” If we no longer can consider time “an object of our knowledge,” we must consider it a “dimension of our being” (Merleau-Ponty 1945). Hence, an account of subjectivity’s temporality—of time as a dimension of our being—necessarily entails the development of a model of bodily consciousness’ pre-reflective, non-objectifying awareness beyond the “pre-established conception of subjectivity” that takes time as an object of our knowledge.

This means not that (1) “time is for someone” but that (2) “time is someone” (Merleau-Ponty 1945). Phenomenologists and commentators alike often attribute (1) to Husserl and (2) to Heidegger. This should not surprise us given that Heidegger himself seemed to ascribe (2) to himself and his examination of Dasein’s lived-temporality in opposition to (1) Husserl’s account of how consciousness synthesizes an object across time. Often one of Husserl’s most sympathetic and accurate commentators (in Phenomenology of Perception, at least) Merleau-Ponty suggests that Husserl’s theory of absolute time-constituting consciousness in the living-present with its tripartite intentional structure provided an account of how (2) made time appear for reflection as (1). In short, Merleau-Ponty understood better than Heidegger that Husserl’s theory of the living-present articulated a theory of lived-time. What remained unthought by Husserl according to Merleau-Ponty was the inseparability of time and the subject in the theory of the living-present. Hence, an ambiguity intentionally pervades the account of time provided in Phenomenology of Perception.

This ambiguity at hand in Phenomenology of Perception stems from Merleau-Ponty’s honest admission that one never can fully execute the phenomenological reduction: “the most important lesson the reduction teaches us is the impossibility of a complete reduction” (Merleau-Ponty 1945). Merleau-Ponty does not advocate discarding the reduction, however, as Heidegger somewhat equivocally did. Rather, he aims to explain that Husserl merely meant the reduction as a critical device that ensured phenomenologists would retain the stance of presuppositionlessness, the stance of a perpetual beginner. The motivation for Merleau-Ponty’s reading of Husserl’s phenomenological reduction is the fact that philosophical reflection always depends upon a pre-reflective lived experience, a lived experience that always occurs in the temporal flux of bodily consciousness. Under the influence of Heidegger’s theory of Dasein’s being-in-the-world, Merleau-Ponty fashions his starting point in the exploration of time as an attempt to provide an account of the structures of pre-reflective consciousness that make reflection possible. And much like Heidegger, who sought to articulate the pre-predicative element of lived experience, Merleau-Ponty believed that these structures of pre-reflective consciousness reveal themselves as primarily temporal. (For his part, Merleau-Ponty will refer to this pre-reflective consciousness as the “tacit cogito,” his expression for the non-objectivating, pre-reflective consciousness articulated throughout the phenomenologists we have considered in this entry.) Hence, one could argue, despite the watershed reflections Merleau-Ponty provides on embodiment, time proves the most fundamental investigation of Phenomenology of Perception (Sallis 1971).

Since phenomenology’s task includes providing an account of the pre-reflective’, lived experience that makes possible reflection, Merleau-Ponty turns to the structure of time as an exemplar of that which makes explicit the implicit. For Merleau-Ponty, time provides a model that sheds light on the structure of subjectivity because “temporal dimensions … bear each other out and ever confine themselves to making explicit what was implied in each, being collectively expressive of that one single explosion or thrust that is subjectivity itself” (Merleau-Ponty 1945). Since to make explicit that which is implied in each moment means to transcend, to go beyond, one could say that Merleau-Ponty’s paradoxical expression means that time and the subject share the same structure of transcendence. That time is the subject and the subject is time means that the subject exists in a world that always outstrips her yet remains a world lived through by the subject (Sallis 1971). To clarify this structure, Merleau-Ponty invokes “with Husserl the ‘passive synthesis’ of time,” for the passive and non-objectivating characteristic of time’s structure in (what Husserl called) the living-present marks the archetype of the self’s structure, its transcendence that makes possible self- and object-manifestation. The Husserlian notion of double-intentionality thus pervades Merleau-Ponty’s account (Merleau-Ponty 1945).

That the matter of a passive and non-objectivating synthesis takes Merleau-Ponty to a consideration of the structure of absolute time-constituting consciousness’ double-intentionality—its transcendence and self-manifestation—as the structure of time we know to be the case for two reasons. First, Merleau-Ponty tells us, “in order to become explicitly what it is implicitly, that is, consciousness, [the self] needs to unfold itself into multiplicity;” second, in addition to the distinction just implied between non-objectivating and objectivating awareness, i.e., pre-reflective’ and reflective consciousness, Merleau-Ponty elaborates this manner of unfolding by claiming that “what we [mean] by passive synthesis [is] that we make our way into multiplicity, but that we do not synthesize it” as intellectualist accounts of time such as Augustine’s suggest. A synthesis of the multiplicity of time’s moments and the moments of the self must be avoided because it would require a constituting consciousness that stands outside time, and “we shall never manage to understand how a … constituting subject is able to posit or become aware of itself in time.” To avoid this error of separating consciousness from that of which it is aware, Merleau-Ponty appeals to Husserl’s theory of the living-present’s absolute flow, a “[consciousness that] is the very action of temporalization—of flux, as Husserl has it—a self anticipatory … flow which never leaves itself” (Merleau-Ponty 1945).

Merleau-Ponty seemingly provides an existential-phenomenological account of Husserl’s theory of absolute time-constituting consciousness’ double-intentionality. Nevertheless, he adopts Husserl’s theory according to his characteristic philosophy of ambiguity. Indeed, Merleau-Ponty insists that “it is of the essence of time to be not only actual time, or time which flows, but also time which is aware of itself … the archetype of the relationship of self to self” (Merleau-Ponty 1945). Ultimately with such remarks Merleau-Ponty was on the verge of bringing phenomenology toward a theory of ontology, which theory emerged in earnest in his later work, The Visible and the Invisible (1961). In that work, Merleau-Ponty expressly rejects his Phenomenology of Perception for having retained the Husserlian philosophy of consciousness. And this move from phenomenology to ontology manifests itself in some of his most provocative observations about time. To say that he moves from phenomenology to ontology is to say that he rejects any privileging of the subject or consciousness as constituting time either as a perceptual object or through a lived experience. As he puts it in the working notes of his The Visible and the Invisible, “it is indeed the past that adheres to the present and not the consciousness of the past that adheres to the consciousness of the present” (Merleau-Ponty 1961). Time now is characterized as an ontologically independent entity and not a construct disclosed by consciousness. It is the essence of time to be time that is aware of itself, to be sure. But this time is no longer an archetype of the self’s non-objectivating self-awareness. Rather, time constitutes the subject according to Merleau-Ponty, who puts to rest the phenomenological notion of absolute time-constituting consciousness, arguably Husserl’s most important discovery.

5. References and Further Reading

a. Primary Sources

  • Augustine, A. Confessions. Trans. F. J. Sheed. Indianapolis: Hackett Publishing Co, 1999.
  • Derrida, J. Speech and Phenomena. Trans. D. Allison. Evanston: Northwestern University Press, 1973.
  • Heidegger, M. Sein und Zeit. Tübingen: Max Niemeyer, 1986; Being and Time. Trans. J. Macquarrie and E. Robinson. New York: Harper and Row, Publishers Inc, 1963.
  • Heidegger, M. Gesamtausgabe Band 20: Prolegomena zur Geschichte des Zeitbefriffs. Frankfut am Main: Vittorio Klosterman, 1979; The History of the Concept of Time Trans. T. Kisiel. Bloomington: Indian University Press, 1985.
  • Husserl, E. Zur Phänomenologie des inneren Zeitbewußtseins (1983-1917). Ed. R. Boehm. The Hague: Martinus Nijhoff, 1966; On the Phenomenology of the Consciousness of Internal Time (1983-1917). Trans. J. Brough. Dordrecht: Kluwer Academic Publishers, 1991.
  • Husserl, E. Analysen zur passiven Synthesis. Aus Vorlessungs- und Forschungsmauskripten (1918-1926). Ed. M. Fleisher. The Hague: Martinus Nijhoff, 1966; Analyses Concerning Passive and Active Synthesis: Lectures on Transcendental Logic. Trans. A. Steinbock. Dordrecht: Kluwer Academic Publishers, 2001. Husserl, E. Phatasie, Bildbewußtseins, Erinnerung. Ed. E. Marbach. Dordrecht: Kluwer Academic Publishers, 1980; Fantasy, Image-Consciousness, Memory. Trans. J. Brough. Dordrecht: Springer, 2005.
  • Husserl, E. Aktive Synthesen: Aus der Vorlesung ‘Transzendental Logik’ 1920-21. Ergäzungsband zu ‘Analysen sur passiven Synthesis.’ Ed. R. Breur. Dordrecht: Kluwer Academic Publishers, 2000; Analyses Concerning Passive and Active Synthesis: Lectures on Transcendental Logic. Trans. A. Steinbock. Dordrecht: Kluwer Academic Publishers, 2001.
  • Husserl, E. Die ‘Bernaur Manuskripte’ über das Zeitbewußtseins 1917/18. Ed. R. Bernet and D. Lohmar. Dordrecht: Kluwer Academic Publishers, 2001.
  • Locke, J. An Essay Concerning Human Understanding. New York: Oxford University Press, 1990.
  • Merleau-Ponty, M. Phenomenology of Perception. Trans. C. Smith. New York: Routledge & Keegan Paul Ltd, 1962.
  • Merleau-Ponty, M. The Visible and the Invisible. Trans. A. Lingis. Evanston: Northwestern University Press, 1969.
  • Sartre, J. P. Transcendence of the Ego. Trans. F. Williams and R. Kirkpatrick. New York: Farrar, Straus and Giroux, 1957.
  • Sartre, J. P. Being and Nothingness. Trans. H. Barnes. New York: Philosophical Library, 1956.

b. Secondary Sources

  • Blattner, W. Heidegger’s Temporal Idealism. New York: Cambridge University Press, 1999.
  • Brough, J. B. “The Emergence of Absolute Consciousness in Husserl’s Early Writings on Time-Consciousness.” Man and World (1972).
  • Brough, J. B. “Translator’s Introduction.” In E. Husserl, On the Phenomenology of the Consciousness of Internal Time (1893-1917). Trans. by J. Brough. Dordrecht: Kluwer Academic Publishers, 1991.
  • Brough, J. B. “Husserl and the Deconstruction of Time,” Review of Metaphysics 46 (March 1993): 503-536.
  • Brough, J. B. “Time and the One and the Many (In Husserl’s Bernaur Manuscripts on Time Consciousness),” Philosophy Today 46:5 (2002): 14-153.
  • Dalhstrom, D. “Heidegger’s Critique of Husserl.” In Reading Heidegger from the Start: Essays in His Earliest Thought. Edited by T. Kisiel and J. van Buren. Albany: State University of New York Press, 1994.
  • de Warren, N. The Promise of Time. New York: Cambridge University Press, forthcoming.
  • Evans, J. C. “The Myth of Absolute Consciousness.” In Crises in Continental Philosophy. Edited by A Dallery, et. al. Albany: State University of New York Press, 1990.
  • Held, K. Lebendige Gegenwart. The Hague: Martinus Nijhoff, 1966.
  • Kelly, M. “On the Mind’s ‘Pronouncement’ of Time: Aristotle, Augustine and Husserl on Time-consciousness. Proceedings of the American Catholic Philosophical Association, 2005.
  • Macann, Christopher. Presence and Coincidence. Dordrecht: Kluwer Academic Publishers, 1991.
  • Richardson, W. Heidegger: Through Phenomenology to Thought. The Hague: Martinus Nijhoff, 1967.
  • Sallis, J. “Time, Subjectivity and the Phenomenology of Perception.” The Modern Schoolman XLVIII (May 1971): 343-357.
  • Sokolowski, R. Husserlian Meditations. Evanston: Northwestern University Press, 1974.
  • Sokolowski, R. Introduction to Phenomenology. New York: Cambridge University Press, 2000.
  • Wood, D. The Deconstruction of Time. Atlantic Highlands: Humanities Press International, 1989.
  • Zahavi, D. Self-awareness and Alterity: A Phenomenological Investigation. Evanston: Northwestern University Press, 1999.
  • Zahavi, D. Husserl’s Phenomenology. Palo Alto: Stanford University Press, 2003.

Author Information

Michael R. Kelly
Email: michaelkelly@sandiego.edu
University of San Diego
U. S. A.

Deshoulières, Antoinette du Ligier de la Garde (1638—1694)

deshouliA major poet during the reign of Louis XIV in France, Madame Deshoulières used her writings to defend philosophical naturalism. Like her intellectual model Lucretius, she employed verse to argue that natural causes can adequately explain such apparently spiritual phenomena as thought, volition, and love. In metaphysics, Deshoulières argues that the real is comprised of variations of matter and that material causation adequately explains observed changes in the real. In anthropology, she claims that the difference between animal and human is one of degree, not of kind. Material organs, and not the occult powers of a spiritual soul, produce such human phenomena as thought and choice. In ethics, she insists that such instincts as self-preservation govern the virtuous activity customarily ascribed to an elusive free will. In particular, she emphasizes that the human phenomenon of love, endlessly debated in the salons she frequented, owes far more to instinctual attraction and repulsion than rationalist philosophers would admit. A friend and disciple of Pierre Gassendi, she constructed a distinctive chapter in Renaissance naturalism and in its struggle against the philosophical alternatives of Aristotelianism and Cartesianism.

Table of Contents

  1. Biography
  2. Works
  3. Philosophical Naturalism
    1. Metaphysics
    2. Anthropology
    3. Critique of Virtue
    4. Environmental Ethics
  4. Interpretations and Relevance
  5. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Biography

Antoinette du Ligier de la Garde was born into an aristocratic Parisian family on January 1, 1638. Her father Melchior du Ligier, sieur de la Garde, occupied a prominent position in court circles as a chevalier de l’ordre du roi. He served as maître d’hôtel for Queen Anne of Austria, the wife of Louis XIII, and performed important services for the queen mother Marie de Médicis, the regent of France.

Even by the standards of the court aristocracy, Mademoiselle du Liger de la Garde’s early education was unusually sophisticated. She learned Latin, a rare achievement for a woman of the period, as well as learning Spanish and Italian. She studied the fashionable novels of La Calpranède, Urfé, and Scudéry, though she would later dismiss the novel as an inferior species of literature. Through her tutor Jean Hesnault, Du Ligier de la Garde became a partisan of philosophical naturalism. A disciple of Pierre Gassendi, Hesnault argued that all human action, like all movement in the cosmos, could be explained by physical causes. The tutor allied his metaphysical naturalism to religious skepticism (which is opposed to the thesis of the immortality of the soul), and also to ethical libertinism, which celebrated the rational pursuit of pleasure as the supreme moral good. Hesnault deepened this apprenticeship of naturalism by guiding Du Ligier de la Garde’s reading of the major texts of Gassendi and of the classical Latin philosopher Lucretius.

In 1651 Du Ligier de la Garde married Guillaume de la Fon-de-Boisguérin, seigneur Deshoulières. By all accounts, the marriage was an aristocratic alliance of convenience that permitted the spouses to pursue separate lives. A military officer attached to the Prince de Condé, Seigneur Deshoulières was embroiled in the Fronde (1648-1653), the intermittent civil war that pitted the French throne against dissident aristocrats, led by Condé. During the beginning of her husband’s war-related exile in the Lowlands, Madame Deshoulières studied philosophical works at her parent’s home in Paris. Her renewed study of Gassendi confirmed her allegiance to the philosophical naturalism she had imbibed from Hesnault.

In 1656, Madame Deshoulières joined her husband in exile in Belgium. Due to her persistent efforts to obtain the back pay owed her husband, she was imprisoned at the chateau of Wilworden in 1657. After a daring rescue by her husband, the couple fled to France, where they received a personal pardon from Louis XIV. Their reintegration into French society was quickly followed by the collapse of their marriage. In 1658, Seigneur Deshoulières successfully sued for a permanent separation of goods and persons. Declaring bankruptcy, he consigned his few remaining assets to his creditors. An impoverished Madame Deshoulières faced a grim social future in the anomalous position of a woman who was neither single, divorced, nor truly united to her legal husband.

Despite her penury, Deshoulières began her literary ascent in 1658 when she began to conduct a salon in her modest apartment on the Rue de l’Homme armé in Paris. The salon quickly attracted a coterie of authors noted for their libertinism: Benserade, Des Barreaux, Ménage, Quinault, Pellisson, and La Monnoye. In 1662, she published her first poem: a portrait of the skeptic Linières. An influential arbiter of literary disputes, she defended the modernist party in the querelle des anciens et modernes over the comparative merits of classical and contemporary French literature. A partisan of Corneille, she led an ill-fated campaign against the drama of Racine.

In 1672 Deshoulières published her first nature idyll in Le Mercure galant. Acclaimed as a poet of the first rank, Deshoulières published a flood of poetry during the next two decades. Her works explored the theme of nature and man’s immersion in it. Many of her more philosophical poems demonstrated how physical instinct is the cause of the intellectual and volitional activity philosophers wrongly attribute to a spiritual soul. Her poetry dealing with flora and fauna denied a substantial difference between human beings and other species of the organic world. In recognition of her literary achievement and philosophical prowess, the Academy of the Ricovrati of Padua (1684) and the Academy of Arles (1689) elected her to membership. Despite being banned from membership due to her gender, Deshoulières received recognition from the Académie française. During the inauguration of Fontenelle as a member in 1691, Académie officials recited poetry of Deshoulières as part of the official proceedings. Louis XIV granted her an annual pension of 2,000 pounds in 1688, consecrating her status as one of the nation’s leading authors.

In 1682, as Deshoulières showed the first symptoms of breast cancer, her poetry become more austere. Her older pastoral poetry yielded to a more abstract analysis of the characteristic virtues and vices of human nature. Toward the end of the decade, Deshoulières reverted to the Catholic faith of her youth. Her final poems, paraphrases of psalms in the Latin Vulgate, renounced the skeptical views of her earlier years and refuted a materialist explanation of human spiritual activity.

Madame Deshoulières died from cancer on February 17, 1694.

2. Works

First published in 1687, the collected poetical works of Madame Deshoulières demonstrated her literary dexterity. Deshoulières wrote in multiple literary genres: ode, idyll, ballad, madrigal, rondeau, portrait, maxim, biblical paraphrase, comedy, tragedy, and opera libretto. Immensely popular throughout the eighteenth century, her poetry underwent twenty distinct editions until the final edition of her complete works in 1810. The odes, pastorals, and satires no longer charmed a literary public avid for the more bombastic fare of Romanticism.

Anthologies of French poetry routinely include several of Deshoulière’s poems as exceptional specimens of neoclassical nature idylls. Many literary critics have noted the philosophical skepticism that permeates Deshoulières’s poetical exploration of nature. Antoine Adam’s argument is typical: “She [Deshoulières] had the reputation of being foreign to all religious belief and her poetry seems in fact to carry the reflection of this incredulity.”

The philosophical reception of Deshoulières has been less consistent. In the decades following her death, Deshoulières was acclaimed as a bold philosophical thinker who prepared the path to the religious skepticism of the Enlightenment. In his influential Dictionnaire historique et critique (1696; 1702) Pierre Bayle discusses the skepticism of Deshoulières concerning human immortality: “It is certain that anyone who spoke this way literally would be denying the immortality of the soul. But to save the honor of Madame Deshoulières, let’s just say that she was following certain poetical conventions we are not supposed to take too seriously—not that one can’t hide a good deal of libertinage under the privilege of versifying.” Veiled in his characteristic irony, Bayle’s judgment clearly pegs Deshoulières as a libertine skeptic. In their respective correspondences, both Voltaire and Rousseau praise the work of Deshoulières.

Subsequent history of philosophy has largely ignored Deshoulières. Just as her antiquated genres of expression closed her work to literary audiences after the French Revolution, her non-treatise style of argument masked the philosophical nature of her work. Only in the recent feminist expansion of the philosophical canon has the properly philosophical nature of Deshoulières’s work imposed itself anew.

3. Philosophical Naturalism

In the poetry written until her reconversion to Catholicism, Deshoulières defends a comprehensive philosophical naturalism. Her metaphysics conceives the world as an interactive network of atomically structured bodies. All phenomena, including the human phenomena traditionally interpreted as spiritual, could be explained in terms of material causation. Her theory of human nature denies a substantial difference between human beings and nonrational animals. The alleged human differences, such as the power of intellection and volition, for her suggest the comparative inferiority of human nature. Her ethical theory claims that alleged moral virtues are in fact the outcroppings of physical instincts. Deshoulières’s naturalism is normative as well as descriptive. The complete immersion of the real (which includes the human person) in nature demands a respectful treatment of the natural environment.

a. Metaphysics

The clearest expression of Deshoulières’s naturalistic metaphysics is found in her early work, “Imitation of Lucretius.” Faithfully following De Rerum Natura by the Roman poet and philosopher Lucretius, Deshoulières depicts the universe as founded on a simple, original principle of matter. “The order of an extrinsic cause/ Makes, by invisible moves,/ Enter into the form of various bodies/ All the sympathy described by academics.” This material principle of the cosmos requires a divine being, or an uncaused cause, to bring it into existence. Once matter exists, however, its internal principles and activities account for the subsequent evolution of the universe. This matter already has present within it the attraction and repulsion (“the sympathy”) that will create, destroy, and alter the various bodies that will proceed from this material matrix.

This vitalist material cosmos is an atomic one. “Imitation of Lucretius” explains how the atomic structure of the universe and of the discrete bodies that emerge from this universe causes change through the charged interaction of the atoms. “These atoms conjoined with the light,/ By their extreme fluidity,/ Are always in communion/ With the governing essence.” Just as the entire universe experiences flux through the dynamic interaction of its material parts which undergo the rhythm of attraction and repulsion, each distinct body represents a microcosm where change occurs through alteration of internal atomic structure due to incessant encounters with external bodies.

In Deshoulières’s metaphysics, the human person is not exempt from this network of material causation and atomic change. Like other bodies in the cosmos, human beings emerge from and are governed by the same principle of matter. “In a cyclone of subtle matter/ Placing them everywhere in inequality,/ The entire human race is the blessed offspring./ Its multiplicity rises to infinity.” Deshoulières insists that the allegedly spiritual powers, and not only the physical traits, of the human person can be explained by this material causation. The activity of thought is caused by the functioning of the physical organ of the brain, not by the impulses of an elusive spiritual power called reason. “The more one examines, the more one digs/ Into the confusion of what is true,/ Where particular individuals move in every way,/ It is evident that our organs, rather than our reason, figure things out.” Careful examination of human intellectual activity reveals its dependence on and origination in the physical organs of the body, preeminently in the brain. “Imitation of Lucretius” repeatedly appeals to the “envelope of matter” as the sole principle which explains the actions and changes of the embodied beings (including human beings) which populate the cosmos.

The naturalist metaphysics of “Imitation of Lucretius” indicates Dechoulières’s adherence to the atomic vitalism of Lucretius and Democritus. It also indicates a more radical cast of naturalism in comparison with that of her mentor Gassendi. Whereas Gassendi affirmed the existence of an immortal human soul specially created by God in light of the Beatific Vision, Deshoulières only briefly affirms the existence of a god necessary for the initial creation of matter. Once matter exists, its internal principles and activities are the unique cause for the existence and constitution of all subsequent beings, including human beings in their entirety. For Deshoulières, the real is coterminous with material nature, even if this nature has a decidedly lyrical character due to its fundamental dynamic of attraction and repulsion.

b. Anthropology

In her poetry, Deshoulières explores the relationship of human nature to the enveloping material nature of the cosmos. As she compares human beings to other animals, she insists that the allegedly spiritual activities of human beings can be explained by physical causation. Rather than being superior to other animals, human beings are actually inferior, inasmuch as they claim to possess a reason and freedom that are in fact illusory. The mute obedience of other animals to natural instinct compares favorably with the human propensity to self-destruction in trying to create a future that vainly attempts to alter the laws of nature. Traditional claims concerning human reason, free will, and immortality are subjected to critical scrutiny.

The nature idyll “The Sheep” (1674) criticizes the faculty of reason, which philosophers often exalt as the sign of human spirituality. In actual exercise, reason appears to be subordinate to the senses and the instincts possessed by all members of the animal kingdom. This distinctively human power appears impotent when challenged by the arational forces of passion. “This proud reason about which they make so much noise/ Is not a sure remedy against the passions./ A bit of wine disturbs it; a child charms it./ Ripping apart a heart that calls it for help/ Is the only effect it produces./ Always important and severe,/ It opposes everything but resolves nothing.” Deshoulières allies her critique of the claims of human reason to epistemological skepticism. For all its vaunted power, reason habitually leads to uncertain conclusions. Emotions govern the vacillating activity of reason far more powerfully than philosophical defenders of the light of reason would admit.

Like reason, free will is constructed on an illusion concerning the difference between human and animal natures. For Deshoulières, perfect freedom is found in following natural instinct rather than eluding it in fantasies of alternatives to natural causation. The nature idyll “The Birds” (1678) explains how authentic freedom is found in fidelity to natural instinct. “Little birds that charm me!/ You want to love? You love./ You dislike some place?/ You go to another./ You are known neither for virtue nor for faults…There is no freedom except among animals.” Authentic freedom consists in the capacity to follow one’s natural impulse. The praise of the birds’ freedom to love at will suggests the libertinism of Deshoulières’s intellectual milieu.

Later in the poem, Deshoulières explains that the only true obstacles to freedom are physical ones, such as the fowler’s net. Human freedom, the chimera of free will that produces “virtues and faults,” is illusory. Human agents claim to exercise free will to create a future that could have been otherwise. In actual fact, natural causation dictates future outcomes that cannot be altered by human wish. Deshoulières’s critique of free will as a human illusion rests on a deterministic theory of action that interprets human acts, as well as animal movements, as the product of physical causes.

In the same poem, Deshoulières extends a similar critique to the human phenomenon of love. Rather than being specific to human beings and rooted in the human possession of a will, love exists among all animals in their various expressions of attraction and repulsion. For her, the entire physical universe is built upon this amatory structure. “If Love were not mixed into this change [of the landscape from winter into spring],/ We would see all things perish. Love is the soul of the universe. As it triumphs over the winters,/ Which desolate our fields by a rude war,/ It banishes the chill from an indifferent heart.” Rather than being limited to the realm of the human psyche, love governs the entire movement of atoms as they effect change in the cosmos. The affectivity of the human heart is not superior to the physical forces that surround it. Like the seasonal changes of the cosmos, alterations in human temperament are directed by the play of external natural powers.

The illusory exaltation of the intellect and the will is rooted in a false conception of the human soul. “Ode to La Rochefoucauld” (1678) contests the theory of a human soul that would exist independently of the body. Deshoulières insists that everyday experience clearly demonstrates the interpenetration between body and soul. “Although the soul is divine,/ Invisible connections unite it to the body./ Does the soul have some bitterness?/ The body beats itself and consumes itself/ And shares its anguish./ Is the body a captive of pain?/ The soul no longer feels joy./ It itself weakens as the body does.” The strict parallel between the mental state and physical state in the human person indicates the identity between soul and body. The thesis of a spiritual soul existing independently of the body is rejected as an illusion, and is contradicted by the empirical evidence of the soul’s reciprocal dependence on the body.

In many passages, Deshoulières draws the explicit conclusion that the human individual cannot be immortal from her denial of a transcendent human soul. She argues that the psyche of the human person is governed more strictly by the laws of material nature than most philosophers of the period would concede. “The Flowers” (1677) compares the inevitable death of the human person to the extinction of flowers after a brief existence. In both cases, the death undergone is total. “Sad reflections! Useless wishes [of immortality]!/ When once we cease to be,/ Lovely flowers, it is forever. One fearful instant destroys us without exception.” While human beings might experience a metaphorical survival after death as “a faint memory of our names conserved by our society,” this mnemonic after-life is clearly not the survival of the personal soul. In Deshoulières’s demythologized account of human nature, the denial of personal immortality is the most radical of her efforts to demonstrate the complete circumscription of human nature within material nature.

c. Critique of Virtue

In criticizing the human pretension to superiority over nature through its alleged possession of reason and free will, Deshoulières devotes particular attention to the human claims of moral virtue. In her later works, she operates an umasking of virtue as the simple operation of natural instinct. What is often claimed to be a moral attribute developed by free will is revealed to be the natural reaction of an embodied subject to particular stimuli in his or her material environs. Her epigrammatic “Diverse Reflections” (1686) typifies this demythologization of virtue. She critically analyzes three moral virtues in particular: wisdom, prudence, and courage.

Philosophers often claim that wisdom is acquired by human beings as they age. This virtue is alleged to be the fruit of careful reflection on alternative courses of action. Unlike the rashness of youth, this cautious thoughtfulness frees the elderly to abandon certain dangerous habits that compromise their health. According to Deshoulières, however, this enlightenment is more instinctual than intellectual. “We believe we’ve become wise/ When, after having seen the autumnal fall of leaves more than fifty times,/ We abandon the dangerous use of certain pleasures./ We delude ourselves./ Such changes are not the work of free choice./ It is only the pride cloaking humanity/ Which, using every pretext/ Gives to the cause of virtue/ What we owe to the cause of aging.” As the human body ages, with the concomitant risk of illness and accident and the growing risk of death, the human agent instinctively moderates the use of dangerous drink or food or sport. This instinctual moderation owes far more to biology than to any deliberate choice. The alleged virtue of the elderly derives more from the natural reaction of the body to the threat of destruction, than to some mysterious internal act of election.

Similarly, the capstone moral virtue of prudence is little more than the instinctual exercise of common sense in the face of imminent peril. The alleged virtue might permit the moral agent to foresee danger but in and of itself it can not remove that danger. The common estimate of prudence gravely exaggerates the power of human reason and will to create the future. “The incense we give to prudence/ Leads my mood to despair./ What is its purpose? To see in advance/ The evils we must endure./ Is it such a benefit to predict them?/ If this cruel virtue had some certain rule/ That could remove them from us,/ I’d find the worries it gives bearable enough,/ But nothing is so misleading as human prudence./ Alas! Almost always the detour it takes/ In order to help us avoid a looming misfortune/ Is the path that takes us right to it.” Like the praise of other alleged virtues, the esteem for prudence overestimates the scope of human agency. While the human agent can detect dangers in its immediate environment, it can do little to alter that environment since it is bound by the laws of material nature, and so its future course is largely determined by the causative activity of that nature.

The cardinal moral virtue of courage is similarly dismissed as the product of sensible self-protection rather than of heroic freedom. Deshoulières attacks the courage of classical pagan warriors often lauded in the pedagogical literature of the period. The politically motivated suicides of disgraced civic leaders in the classical era are a predictable response to an unbearable physical and emotional environment. “We scarcely recognize ourselves in discussions of courage/ When we elevate to the rank of the generous/ Those Greeks and Romans whose suicidal deaths / Have made the name of courage so famous./ What have they done that is so great? They left life/ When, after crushing disgrace, Life had nothing pleasant left for them./ By one single death they spared themselves a thousand.” The suicide of a disgraced politician awaiting imminent arrest and probable execution reflects rational self-interest rooted in the instinct for sparing oneself greater pain than immediate death. There is nothing particularly surprising nor meritorious in executing such an act. In the circumstances, it could not have been otherwise.

In her demythologization of virtue, Deshoulières manifests the comprehensive scope of her naturalist conception of human nature. Virtue and vice, allegedly the manifestations of free will, are simply the instinctual reactions of the moral agent to the stimuli of pain and pleasure in his or her environment. Prudence, courage, temperance, and justice permit one to negotiate the perils in one’s surroundings in the interest of self-preservation. The repertory of virtue is not different in kind from the various defensive responses to threatening stimuli evinced by the other members of the animal kingdom as they confront the challenges of the material cosmos.

d. Environmentalist Ethics

Deshoulières’s philosophical naturalism includes a deontology (or ethics of duty) as well as a metaphysics. It is not anachronistic to claim that Deshoulières defends an environmentalist ethics. The total dependence of humanity upon nature requires the human agent to treat the material environment with respect. A properly naturalistic concept of human nature emphasizes the duty to reverence the cosmos that is humanity’s sole origin and end. Conversely, a rationalistic exaltation of humanity as set over and above material nature by dint of its allegedly superior reason justifies the subordination and destruction of nature.

In Deshoulières’s primitivist account of history, humanity reverenced nature in the first stages of its development. Ancient gathering societies respected the material world they gently used for their rustic lifestyle. “Ode to La Rochefoucauld” evokes this environmentalist golden age. “In that happy country when without prejudice/ Morals were permitted to run freely,/ Humanity was not avid/ For riches and honors./ It lived on wild fruit,/ Slept under open-air blankets,/ Drank in a clear stream./ Without goods, without rank, without envy/ It entered the tomb/ As it entered life.” This primitive humanity in tranquil communion with nature possesses its own politics. It is an egalitarian as well as frugal society. Its spontaneous moral life free of the constraints of social prejudice contains Deshoulières’s habitual libertine accents.

In modern society, technology has turned humanity into nature’s enemy. The human enterprise of land clearage, farming, dams, mines, and canals has disfigured material nature. “The Stream” (1684) argues that human exaltation of its allegedly superior reason has justified this domination and destruction of nature. “It is humanity itself that tells us that by a just choice/ Heaven placed, when it formed human beings,/ the other beings under its laws./ Let us not flatter ourselves./ We are their tyrants rather than their kings./ Why do we torture you [the streams]?/ Why do we shut you up in a hundred canals?/ And why do we reverse the order of nature/ By forcing you to spring up into the air?” The error of rationalism in refusing to see humanity as a part of nature is not a purely theoretical one; by exalting humanity as a rational being superior to the rest of nature, it has justified the human destruction of the environment as a species of moral good. This critique of environmental destruction also reflects Deshoulières’s religious skepticism. Clearly alluding to the Book of Genesis’s account of the divine grant of dominion over nature to humanity, the ode argues that it was human pride rather than divine inspiration that created such theological justifications for environmental destruction.

Deshoulières proposes that justification for the destruction of nature through an appeal to an illusory superior human reason has taken dangerous political and religious forms in modern society. “The Stream” criticizes the political claim to human rights since such a claim often justifies the human mutilation of nonhuman material beings that do not allegedly possess such rights. “Do not brag to me about these imaginary goods,/ These prerogatives, these rights/ Invented by our pride.” Similarly, the theological claim that human beings are made in God’s image justifies the destruction of other creatures allegedly not made in the divine image. “The more I see the weakness and malice of humanity,/ The less of the divinity/ I recognize in its image.” Rather than enhancing human dignity and human moral conduct, the claim of imago Dei actually increases human violence since it justifies the destruction of the material environment in the name of the ontological superiority of the human.

4. Interpretation and Relevance

Critical commentary on the works of Deshoulières has tended to highlight two strands of her philosophy. Earlier philosophical analysis (Bayle) underlined her religious skepticism, in particular her denial of human immortality. Recent literary exegesis (Adam, Lachèvre) has dwelt upon her libertinism. This approach has focused on the neo-Epicurian justification of the pursuit of pleasure and the avoidance of pain as a central ethical code in her works. It has noted her ethical theory’s critical distance from traditional Christian morality, especially in matters of sexuality.

The limitation in these approaches lies in their relative lack of attention to the broader naturalist metaphysics of Deshoulières. Her religious skepticism is grounded on the metaphysical conviction that the real is nothing other than the movement of material substance, structured in atomic patterns. All claims of spiritual substance, with the possible exception of an aloof deity who provides the initial matter, are illusory. The claims for the existence of an immortal human soul are part of a greater error concerning the nature of reality itself. Similarly, her moral libertinism is rooted in a naturalist conception of human nature. Since all mental activity is an epiphenomenon of corporeal activity, specifically in the brain, moral action rightly focuses on the preservation and care of the body. The maximization of pleasure and the reduction of pain thus becomes an imperative moral duty for the human individual and community. Her neo-Epicurean moral principles rest on the naturalist thesis that human nature is entirely immersed within the web of material nature and that claims of human transcendence due to a spiritual soul are erroneous. One of the challenges for contemporary exegesis of Deshoulières is to excavate the naturalist metaphysics in which her theological skepticism and utilitarian ethics are embedded.

Another challenge for contemporary analysis and appreciation of Deshoulières’s philosophy lies in the arcane genres in which she expresses her theories. Like other philosophical salonnières of the period, Deshoulières does not use the standard academic genre of the treatise to state her claims concerning metaphysics, anthropology, and ethics. If Lucretius’s poetic version of philosophical argument can challenge the contemporary student of philosophy, Deshoulières’s bewildering variety of poetical genres can overwhelm. The pastoral, the ode, and the idyll no longer have currency in literary circles, let alone in academic philosophical circles who determine the shape of the philosophical canon. Patient literary analysis of these antiquated forms is the necessary complement to a philosophical exploration of Deshoulières’s comprehensive naturalism. Behind the quaint quatrains of the shepherds stand a substantial environmentalist metaphysics and ethics.

5. References and Further Reading

All French to English translations above are by the author of this article.

a. Primary Sources

  • Deshoulières, Antoinette du Ligier de la Garde. Oeuvres de Madame et de Mademoiselle Deshoulières, 2 vols.(Paris: H. Nicolle, 1810).
    • A digital version of this edition is available online at Gallica: Bibliothèque numérique on the webpage of the Bibliothèque nationale de France.
  • Deshoulières, Antoinette du Ligier de la Garde. Poésies de Madame Deshoulières (Paris: Mabre-Cramoisy, 1688).
    • A digital version of this edition is available online at Gallica: Bibliothèque numérique on the webpage of the Bibliothèque nationale de France.

b. Secondary Sources

  • Adam, Antoine. Les Libertins au XVIIe siècle (Paris: Buchet/ Chastel, 1986).
    • Adam studies the libertine milieu of Deshoulières and her colleagues.
  • Bayle, Pierre, Dictionnaire historique et critique (Rotterdam: R. Leers, 1697).
    • Bayle discusses Deshoulières’s skepticism in the articles “Hesnault” and “Ovid.” A digital version of this book is available online at Gallica: Bibliothèque numérique on the webpage of the Bibliothèque nationale de France.
  • Conley, John. The Suspicion of Virtue: Women Philosophers in Neoclassical France(Ithaca, NY: Cornell University Press, 2002): 45-74.
    • The author analyzes and critiques the naturalism of Deshoulières.
  • Lachère, Frédéric. Les derniers libertins (Paris: E. Champion, 1924)
    • Lachèvre discusses Deshoulières’s salon as the link between the skepticism of Montaigne and the free thought of the Regency.
  • Perkins, Wendy. “Le libertinage de quelques poètes épicuréens à la fin du XVIIe” in Laclos et le libertinage, eds. Pomeau and Versini (Paris: Presses universitaires de France, 1983): 21-46.
    • Perkins analyzes the neo-Epicurean ethics of Deshoulières.

Author Information

John J. Conley
Email: jconley1@loyola.edu
Loyola College of Maryland
U. S. A.

La Sablière, Marguerite Hessein de (1640—1693)

lasablieMadame de la Sablière made distinctive contributions to moral and religious philosophy in 17th century France. Her ethical theory implies that the natural moral virtues are disguised vices and that only the theological virtues can sustain an authentic moral life. Her moral rigorism appears in the severity with which she treats questions of moral agency and responsibility. In her treatment of religious knowledge, she focuses on the spiritual conditions necessary for a proper grasp of the attributes of God. Self-abandonment, marked by detachment from the faculties of imagination and intellect, is the necessary condition for an apophatic (or negative theological) recognition of God’s essence.

Madame de la Sablière has long occupied a modest niche in literary, religious, and scientific history. French literature textbooks cite her as the hostess of a prominent literary salon and as the patron of La Fontaine. French Catholic devotional tracts celebrate her as the model convert, the savante who abandoned the skepticism and sexual license of the salon to become a pious servant of the incurably ill. Several histories of science present her as one of the first woman astronomers, due to her research undertaken at the Observatory of Paris. Only in the late 20th century has La Sablière the philosopher emerged into view.

Table of Contents

  1. Biography
  2. Works
  3. Philosophical Themes
    1. Critique of Virtue
    2. Theological Virtues
    3. Moral Passions
    4. Religious Epistemology
  4. Reception and Relevance
  5. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Biography

In 1640 Marguerite Hessein was born into the Huguenot elite of Paris. Like other members of the Protestant high bourgeoisie, Hessein belonged to a family prominent in the field of finance. Her father Gilbert Hessein acquired a substantial fortune through the bank he had founded. Her mother Marguerite Menjot Hessein was the daughter of a high-ranking official in the treasury. The spiritual and social life of the family focused on the Huguenot church at Charenton, a Paris suburb where public Protestant worship was permitted. Marguerite was baptized at the church on March 18, 1640.

After the death of her mother in 1649, Marguerite Hessein’s education was placed under the care of her maternal uncle Antoine Menjot and her cousin Madeleine Gaudon de la Raillière. A medical doctor and Protestant apologist, Menjot devised a sophisticated curriculum to be taught by a series of specialized tutors. The study of the classics was so successful that the pupil would later be renowned for her mastery of both Latin and Greek, an unusual accomplishment for a woman of the period. The rigorous instruction in mathematics initiated her lifelong love for science and her avid participation, also unusual for a woman of the period, in the scientific circles of Paris. Menjot personally instructed his niece in the theological principles of Calvinism and introduced her to philosophy. This early formation in philosophy stressed contemporary philosophy, with particular emphasis on the schools of René Descartes and Pierre Gassendi.

An arranged marriage between Marguerite Hessein and Antonie de Rambouillet de la Sablière was held on March 15, 1654. Like his wife, Monsieur de la Sablière descended from an affluent Huguenot family prominent in finance. In addition to wealth, he brought artistic distinction to the marriage. Fluent in Italian, he had already established himself as a leading poet through the publication of his madrigals. Despite the economic, religious, and cultural affinities of the spouses, the marriage unraveled in its second decade. The infidelities of the husband and the physical and emotional violence he directed toward his wife became increasingly more pronounced. After failed efforts at reconciliation, Madame de la Sablière obtained a legal separation of goods and persons in 1668. Recognizing the wife as the innocent partner in the failed marriage, the court required the delinquent husband to return her dowry to her and to pay her substantial alimony. It was Monsieur de la Sablière, however, who maintained custody of the three children from their marriage.

In 1669 a newly independent Madame de la Sablière started a literary salon in her home on the Rue Neuve-des-Petits-Champs in Paris. The salon quickly established itself as one of the capital’s cultural centers. Prominent writers habituating the salon included Molière, Racine, and Madame de Sévigné. Several salon members were prominent in the philosophical debates of the era: Fontenelle, Huet, and Queen Christina of Sweden. During this period, La Sablière also deepened her knowledge of scientific and philosophical culture. A series of tutors instructed her on the latest scientific developments: Roberval on calculus, Sauveur on geometry, and Barthélemy d’Herbelot on anatomy. She attended the public lectures of D’Alencé on physics, Verney on anatomy, and Cassini on astronomy. Actively involved in the practical experiments at Cassini’s observatory, La Sablière distinguished herself by her astronomical research.

Her principal tutor François Bernier focused on philosophy. An opponent of Descartes, he explained to her the contemporary controversies concerning Cartesian physics and metaphysics. He composed his Summary of the Philosophy of Gassendi for her use and dedicated his Pyrrhonic treatise Doubts to her. The personal philosophical opinions of La Sablière during her career as a salonnière remain uncertain. Although some chroniclers classify her as a salon Cartesian, her old mentor Antoine Menjot describes her mature philosophical position as a synthesis between Pyrrhonic skepticism and Epicureanism.

One salon member quickly became an intimate friend and protégé of La Sablière; Jean de la Fontaine. The celebrated author of Fables, La Fontaine joined La Sablière’s circle in 1670 and became her permanent houseguest in 1673. The impoverished poet frequently praised his benefactress in public. His Discourse for Madame de la Sablière attacked the philosophy of Descartes, in particular the Cartesian mechanistic theory of animal nature. During his inaugural speech as a newly elected member of the Académie française in 1684, La Fontaine praised his patron under the pseudonymn of Iris.

At the end of the 1670s La Sablière underwent a personal crisis. An affair with a military officer, Charles de la Fare, turned sour when the multiple affairs of La Fare become public knowledge in salon gossip. The death of her estranged husband in 1679 left her without the financial resources he had provided through alimony support. Finances forced her in 1680 to abandon her home for a more modest apartment on the Rue Saint-Honoré. The psychological crisis became a spiritual one, culminating in her conversion to Catholicism.

In the early 1680s La Sablière began a new life as a penitent and contemplative. La Sablière devoted herself to meditation and theological study under the spiritual direction of the Jesuit priest Rapin until 1687, and then under the Trappist abbot Rancé until her death. She also began to work as a volunteer at the Hospice des Incurables, a dangerous and unfashionable apostolate since it involved ministry to patients suffering from contagious diseases, including venereal diseases. Devoted to this new life of prayer and charity, La Sablière rented a small apartment on the grounds of the hospital and spent an increasing amount of time in this secluded cell rather than in her official residence. Old salon acquaintances, notably La Fontaine, lamented her reclusiveness and her growing attraction to monastic life.

During these years she maintained an extensive correspondence on theological matters with Rancé and composed the reflections on the moral virtues and passions that constitute her extant philosophical works. The austere life of prayer and service at the Incurables did not end La Sablière’s philosophical and scientific interests. Her well-thumbed personal library, inventoried at the time of her death, contained volumes by Descartes, Malebranche, Marcus Aurelius, Epictetus, and Saint Augustine. Despite the entreaties of her spiritual directors, La Sablière refused to abandon her beloved telescope. Until the last weeks of her life, she continued to observe the movements of the stars and the planets from her apartment and to confide her observations in a notebook.

Madame de la Sablière died on January 6, 1693.

2. Works

The three surviving works of Madame de la Sablière date from the last decade of her life, when she led a contemplative existence as a lay volunteer at the Hospice des Incurables. Christian Maxims is a collection of observations on the moral life, focused on the virtues, the vices, and the passions. A popular literary genre in the salons of the period, the maxime was an epigram that dissected the contradictory currents of the human heart. Sablière transformed the genre by giving it a theological armature. Her maxims repeatedly use Scripture, the sacraments, and church tradition to demonstrate her theses on the illusions of natural moral virtue. A brief spiritual treatise, Christian Thoughts explores the spirituality of total abandonment of the human soul to the will of a hidden God. This collection of spiritual counsels argues that authentic knowledge of God requires the quieting of human intellectual, volitional, and imaginative powers. Her surviving correspondence, addressed primarily to her spiritual director Jean-Armand le Bouthillier de Rancé, abbot of La Trappe, concerns the spiritual difficulties encountered by La Sablière in her effort to renounce the worldliness of her earlier life as a salonnière and to lead an ascetical life of contemplation, penance, and service amid the terminally ill. It also reflects her substantial theological culture as she comments on the works of patristic authors who analyzed the virtue of humility. Saint Gregory the Great, Saint Dorotheus, and Saint Bernard of Clairvaux are the most frequently cited.

The history of the survival of the works of La Sablière indicates how easily the work of women philosophers in the early modern period can be lost and forgotten.

Christian Maxims was first published anonymously in 1705 in an edition of the maxims of La Rochefoucauld. The title was simply Les Maximes Chrétiennes de M*****. A subsequent edition of La Rochefoucauld in 1736 reprinted La Sablière’s work anonymously. Only in 1743 did a new edition of La Rochefoucald attribute the Maximes Chrétiennes to Madame de la Sablière. The attribution cited a 1736 royal permission to publish the work granted to the publisher Étienne Ganeau as the authority for the attribution. A subsequent 1777 edition reaffirmed La Sablière as the rightful author of the work. The close match between the style and concerns of the work to her correspondence with Rancé confirmed the attribution of authorship to La Sablière. The convoluted itinerary of Christian Maxims as an anonymous work, occasionally misconstrued as the work of La Rochefoucauld, demonstrates how anonymous and pseudonymous authorship, often employed by women of aristocratic rank during this period, could lead to the loss of the works by women authors.

La Sablière’s correspondence and Christian Thoughts followed a more tortuous itinerary. In the late nineteenth century Menjot d’Elbenne, the erudite biographer of La Sablière, investigated a manuscript collection of letters housed at the Chateau of Chantilly. Labeled Letters of Madame de Sablé, the letters were addressed to Abbé de Rancé and discussed spiritual concerns related to service at the Hospice des Incurables and to the three adult children of La Sablière. Menjot d’Elbenne immediately recognized that it was La Sablière, not Sablé, who had composed the letters. An ambiguous reference to “M.D.L.S.” as the author of the collection had apparently misled an earlier manuscript editor. Fragmentary transcriptions of La Sablière’s letters by Mademoiselle de la Jonchapt, the secretary to Madame de Maintenon, provided external confirmation of the attribution to La Sablière. Pensées Chrétiennes de D.M.D.L.S., a small spiritual treatise contained in the Chantilly manuscript collection, was also clearly identified as the work of La Sablière due to external and internal evidence.

Only in Menjot d’Elbenne’s critical edition of her writings (1923) were the three extant works of La Sablière finally available to the public. Her skill as a moraliste in Christian Maxims, Christian Thoughts, and in her correspondence with Rancé was now apparent.

3. Philosophical Themes

The philosophical reflection of La Sablière focuses primarily on moral and religious questions. In the field of ethics, she dwells on the question of virtue. She critiques natural moral virtues as masks of vice, in particular as outcroppings of pride. Conversely, she exalts the theological virtues of faith, hope, and charity as the necessary foundation for the conduct of a moral life. Like the moral virtues, the passions are treated with skepticism. It is the will, and not the emotions, that must ground the moral agent in the practice of authentic virtue. In her religious philosophy, she stresses the ascetical and mystical conditions necessary for a proper knowledge of the godhead shrouded in obscurity.

a. Critique of Virtue

In Christian Maxims, La Sablière analyzes the moral life in terms of its characteristics of virtue and vice. On the surface, the moral life is a civil war between the paramount virtue of humility and the cardinal vice of pride. Beneath the surface, however, the moral virtues are often nothing more than disguised expressions of vice. Without the redemptive power of grace, the moral virtues are only frail counterfeits of authentic virtue and incapable of sustaining an ethical life.

On a superficial level, the moral life is a transparent struggle between the opposed forces of virtue and vice. For La Sablière, this struggle is ultimately a conflict between the virtue of humility and the vice of pride. Humility is the central moral virtue for the upright moral agent. “The true glory of a Christian does not consist in elevating oneself above others but in humbling oneself [CM no.59].” Pride is the vice corrupting much of human moral conduct. “Pride is the source of all our commotions and all our disturbances [CM no.75].” External moral conflict is the expression of this often hidden psychological conflict between pride and humility in the soul of the moral agent.

At a deeper level, the moral constitution of vice and virtue is more ambiguous. La Sablière argues that virtue is often scarcely masked vice. Many public displays of rigorous virtuous action are secretly fueled by the vice of pride. “We often lay down severe principles of conduct out of arrogance. We like to decorate ourselves with the appearance of virtue and it costs us nothing to give others an unsupportable yoke we would never give ourselves [CM no.23].” Even apparently humble actions are often vitiated by vice. “The sentiments of humility apparent in our words are insincere if at the same time we are angrily trying to convince others to accept what we say about ourselves [CM no.24].” Like the other virtues, humility in word and action often serves strategies of conquest rooted in self-interest.

La Sablière’s deflation of natural moral virtue does not spare the cardinal virtues. Prudence, a central cardinal virtue in the neo-Aristotelian ethics of the period, is dismissed as a species of self-interested risk management. “Prudence is cowardly and timid if it is not animated by the virtue of charity [CM no.72].” This hallowed virtue is only the disguised vice of cowardice. Similarly, La Sablière contests the humanist esteem of the alleged virtues of the pagan heroes of classical antiquity. Their vaunted courage has nothing to do with authentic virtue. “The virtue of the pagans occasionally induced them to scorn the world but only Christian virtue can make being scorned by the world something desirable [CM no.48].” The pagan contempt of the world, motivated by pride and the desire to manifest one’s superiority, has nothing in common with the saint’s contempt of the world, motivated by the love of God.

The enlightened moral agent should shun the cultivation of the natural moral virtues, given his fragility and proneness to hide substantial destructive vices. “If one recognized that virtues acquired with so much effort can quickly disappear in the commotion of the world, one would not seek his or her happiness in them. On the contrary, one would flee them as an enemy who only thinks about stealing our most precious treasures [CM no.51].” From La Sablière’s perspective, efforts to cultivate the moral virtues independently of the treasures of faith and grace can only produce disguised vices that will provide the moral agent with neither temporal nor eternal happiness. The good pagan, made virtuous through the self-disciplined exercise of freedom, is illusory in a human race ravaged by sin and concupiscence.

b. Theological Virtues

Christian Maxims argues that the possession of theological virtues is necessary for a proper perception of the moral order and for a personal capacity to adhere to the goods of that order. As gifts of God’s grace, these infused habits of the soul free their moral agent to abandon moral illusions (which are fabricated by a darkened intellect) and overcome the inconstancy of a will corrupted by sin. In her exaltation of the theological virtues as the foundations of an authentic moral life, La Sablière focuses on the principal theological virtues of faith, hope, and charity.

Faith gives its believers a veridical vision of the moral order, she says, for it is an assent of the mind to truths revealed by God. It is only through faith, and not through the work of an intellect weakened by sin, that the moral agent can properly perceive the moral order and its demands. “Faith makes us regard as goods what the world regards as evils and as evils what the world regards as goods. And it is from the difference between these ideas that is born the different conduct of the just and of the sinful [CM no.11].” Rather than deepening the moral vision of the human intellect operating in the state of concupiscent weakness, faith initiates a perception of the moral order that contradicts the moral vision of fallen humanity. Rather than complementing it, faith squarely opposes the interpretation of morality proposed by the world in its confusion. Only in the light of faith, can the contours of the authentic moral order appear.

The theological virtue of hope is essential for endurance by the moral agent in the combat to be faithful to the demands of the moral order. Only hope for eternal union with God can sustain the moral agent in a spiritual warfare that contains many opportunities for despair. “If the hopes that we develop for our salvation are not rounded in God’s Word, they are false and misleading. In vain do we promise ourselves what God does not promise [CM no.80].” The hope here is none other than the hope of eternal life with God, rooted in the resurrection of Christ proclaimed by the Scriptures. The earthly hopes of self-improvement or social success are only counterfeits of authentic hope and incapable of sustaining the moral agent in the combat to adhere to the moral order.

The theological virtue of charity enjoys the primacy of the virtues grounding a proper moral life. La Sablière insists that charity is a matter of the will and not of the emotions. “The love that God demands of us is not a sensate love, but a preferential love, which commits us to sacrifice everything rather than displease Him [CM no.11].” The moral life is ultimately theocentric. For the mature moral agent, the deepest motivation for moral conduct is a love and fear of God that issues in sacrificial service.

For La Sablière, the theological virtues do not crown the natural moral virtues already operating in the moral agent. Without the theological virtues, the alleged moral virtues of the unredeemed moral agent are only the expressions of masked vice. Without faith, the perception of the moral order is illusory. Without hope, the moral combat against the world’s allures cannot be maintained. Without charity as the motive of ethical conduct, self-interest inevitably corrupts the will of the moral agent.

c. Moral Passions

Like the moral virtues, the moral passions receive a critical assessment in Christian Maxims. For La Sablière, the emotions accompanying the moral and religious activity of the upright moral agent can easily mislead. It is the posture of the will, and not the vacillating passions accompanying the will, that determines the moral constitution of the agent. The confusion between the order of the will and the order of the passions often permits the moral and religious life to deteriorate into sentimentality.

Passions constitute a major obstacle to the work of moral reformation inspired by grace. Resolutions to pursue moral conduct requiring self-change are easily countered by the emotions of the moral agent. “Generally, we easily embrace the resolution to reform ourselves. We gladly toy with the idea of virtue. But as soon as we might fight some passion, the resolution weakens. We no longer feel capable of executing an intention we had formed without difficulty but that we cannot execute without doing violence to ourselves [CM no.254].” For La Sablière, the passions are simply the enemy of the will, especially in the painful work of moral reformation. Whereas other moralists of the period distinguished between beneficent and malevolent passions, La Sablière condemns the ensemble of emotions as a lethal threat to the moral life. “The desires inspired by the passions are the wishes of the sick. We cannot satisfy them without destroying ourselves and making ourselves miserable [CM no.84.].” La Sablière’s thoroughgoing critique of the passions reflects the voluntarism of her ethical theory. It is the will alone that is central in determining the character of the moral life. It also expresses her radical Augustinian view of concupiscent humanity, however. Even the emotions of the redeemed bear the distortions of sin; reliance on the emotions for moral guidance easily leads to error and moral decline.

In her critique of the passions, La Sablière devotes particular attention to the emotions surrounding the virtue of repentance. Authentic repentance resides in sorrow for past transgressions, restitution for the damage caused by the transgressions, and a firm resolution to avoid committing similar transgressions in the future. Sorrowful feelings that appear penitential, such as remorse and regret, are not necessarily the expression of virtue. “Only the sadness of penance is a reasonable sadness. All the others are marks of weakness or of the corruption of nature [CM no.54].” It is the will’s decisions, not vague feelings of sorrow, that indicate whether the moral agent has truly embraced the path of repentance central to authentic moral reformation.

Only in prayer can the soul successfully resist the empire of the passions. This combative prayer requires a certain amount of solitude. “We must separate ourselves from the world and in a certain way from ourselves in order to hear God in retreat. The tumult of the world and of the passions often prevents us from hearing Him [CM no.76].” For La Sablière, ethics is ultimately a question of ascetical and mystical theology. The resources to sustain a moral life grounded in the theological virtues and undimmed by the sentimentality of the passions can only emerge in a life of disciplined religious meditation. Contemplative attentiveness to God’s spirit is the pathway to the union with God’s will that is the wellspring of authentic moral conduct.

d. Religious Epistemology

The faith-centered struggle to live a moral life free of illusory virtues and distorting passions reaches its culmination in the union of the human will with the divine will. Christian Thoughts [CT] describes the abandonment of the soul to God that seals the efforts of the upright moral agent to conduct a life grounded on the theological virtues. This account of mystical union as a species of psychological abandonment is also an exercise in religious epistemology. The fullest knowledge of God possible for the human person is a negative one: a grasp of God’s essence through the immediate presence of God and not through the path of images or concepts referring to God. This apophatic knowledge of God requires an abolition of the work of the imagination and of the intellect.

The essential spiritual condition for this union with and knowledge of God is complete detachment. Renunciation of the world is psychic as well as moral. “Consider everything created as if it did not exist and as if it had already returned to the nothingness toward which it runs [CT no.6].” Detachment from self is even more demanding than detachment from the world. The memory requires purification. “Forget everything that the memory has retained. Use it only for God and for our state in life [CT no.4].” Similarly, the intellect must be freed from worldly concerns. “Empty our understanding. Use its operations only for God and for the state where he has placed us [CT no.3].” The will should avoid dissipation and should focus its affections on God alone. “We must keep our mind for considering God alone and our heart for loving God alone [CT no.15].” This insistence on a severe asceticism of the human faculties of memory, intellect, and will reflects the radical theocentrism of La Sablière’s ethics. Only a complete absorption within God can permit the moral agent to conduct an authentic moral life. But it also reflects the apophatic cast of La Sablière’s theory of religious knowledge. The quieting of the faculties of memory, intellect, and will is essential for the immediate recognition of God’s being that emerges in mystical union.

Christian Thoughts evokes the union with God that is the ultimate goal of the ascetical and mystical itinerary of the moral agent. The immediate grasp of God abolishes the need for discursive reflection. “Only consider God working in our soul. We should not add any of our own reflections [CT no.10].” Using the rhetoric of the via negativa (or negative way), La Sablière describes this mature knowledge of God as a species of forgetting. “We should hold our state of being lost in God, considering only Him as our only principle [CT no.11].” Repeated references to the void, nothingness, and sense of loss typifying this state of union reinforce the apophatic nature of mature religious knowledge according to Christian Thoughts.

This account of the knowledge of and union with God affected through self-abandonment reflects the austerity of the spirituality defended by La Sablière’s spiritual director Rancé and the longstanding tradition of apophatic mysticism within Catholicism. It also echoes the spirituality of Quietism, the dissident movement in early modern Catholicism that reached its apogee of influence in the 1690s. For the Quietists, authentic union with God required the abandonment of meditation, which they based on imaginative projection and discursive reflection in favor of meditation conceived as simple self-abandonment to the will of God. For La Sablière, the most mature knowledge of God emerges in the immediate recognition of Him by a human will abandoned to Him. It is this mystical union, veiled in obscurity, that points to God more accurately than can discursive reflection on the divine attributes. Like ethics, religious epistemology ultimately flowers in mystical theology.

4. Reception and Relevance

Until recently, the canon of La Sablière has received only cursory philosophical attention. Several facts explain this eclipse of an author celebrated as a savante and as a moraliste during her lifetime. The misattribution of the works of La Sablière during the two centuries following her death primarily contributed to her name becoming obscured. Only the scholarly work of Menjot d’Elbenne in the early twentieth century permitted the reconstitution of the canon of her works. Her presence in intellectual history as the patron of La Fontaine also obscured her own philosophical contributions. Philosophical chronicles occasionally characterized her as a salon Cartesian (though there are few traces of Descartes in her actual writings) and as the protector of the anti-Cartesian La Fontaine, but her own philosophical and theological views disappeared from view. Like other salonnières of the period, La Sablière suffered from the ridicule with which the culture of the salon was treated by leading male authors of the era. In Book X of his influential Satires, the literary critic Boileau mocked La Sablière as an amateurish pedant who possessed only the veneer of literary and scientific culture. Her telescope (compared to inverted drinking glasses) and her Latin phrases (allegedly full of grammatical errors) are dismissed as a caricature of true intellectual distinction. Unsurprisingly, such misogynist stereotypes of the salonnière stamped La Sablière’s work as devoid of philosophical interest.

Recent commentaries on La Sablière’s writings have restored her status as a moraliste. Her contributions to virtue theory and to moral psychology are more evident. The theological framework in which she develops her ethical arguments, however, is still obscured. Part of the contemporary interest in the moral philosophy of La Sablière is her construction of a distinctively theological, indeed mystical, account of the mature moral life. The theological virtues emerge as the source of, and not the complement to, a life of authentic moral virtue. Sacramental practice and personal meditation are the necessary conditions for the creation and maintenance of a human will truly devoted to the moral good. Like certain contemporary Christian ethicists, La Sablière contests the value of a natural-law ethics because the “nature” on which such an ethics is based is a nature corrupted by sin and indentured to the vices of the world. Her neo-Augustinian moral philosophy is a defense of an ethical code explicitly rooted in grace, the theological virtues, and divine illumination.

5. References and Further Reading

All French to English translations above are by the author of this article.

a. Primary Sources

  • La Sablière, Marguerite Hessein de. Maximes Chrétiennes, Pensées Chrétiennes, and Lettres, in Menjot d’Elbenne, Samuel, vicomte, Madame de la Sablière; Ses Pensées Chrétiennes et ses Lettres à l’Abbé de Rancé (Paris: Plon, 1923).
    • A critical edition of the three extant works of La Sablière.

b. Secondary Sources

  • Boileau-Despréaux, Nicolas. Oeuvres complètes, ed. Françoise Escal (Paris: Gallimard, 1966).
    • In Book X of his Satires, Boileau mocks La Sablière as a superficial pedant.
  • Conley, John J. The Suspicion of Virtue: Women Philosophers in Neoclassical France (Ithaca, NY: Cornell University Press: 2002): 75-96.
    • An exposition and critique of La Sablière’s theological ethics.
  • Ganim, Russell. “Scientific Verses: Subversion of Cartesian Theory and Practice in the ‘Discours à Madame de la Sablière,’” in Refiguring La Fontaine: Tercentenary Essays, ed. Anne Birberick (Charlottesville, VA: Rookwood, 1996): 101-125.
    • A detailed analysis of the anti-Cartesian theories in La Sablière’s entourage.
  • Menjot d’Elbenne, Samuel, vicomte. Madame de la Sablière; Ses Pensées Chrètiennes et ses Lettres à l’Abbé de Rancé (Paris: Plon, 1923).
    • Erudite and definitive biography of La Sablière.
  • Ogilvie-Bailey, Marilyn. “La Sablière, Marguerite Hessein de la,” in Women in Science: Antiquity through the Nineteenth Century (Cambridge, Mass.: MIT Press, 1986): 118-119.
    • Informative sketch of La Sablière’s scientific achievements and reputation.
  • Wall, Glenda. “La Sablière, Marguerite Hessein de la,” in An Encyclopedia of Continental Women Philosophers, ed. K. Wilson (New York: Garland, 1991): 2: 1086-1087.
    • Literary sketch of La Sablière’s biography and bibliography.

Author Information

John J. Conley
Email: jconley1@loyola.edu
Loyola College in Maryland
U. S. A.

The Aesthetics of Popular Music

music-poPopular music is widely assumed to be different in kind from the serious music or art music that, until very recently, monopolized attention in philosophical discussions of music. In recent years, however, popular music has become an important topic for philosophers pursuing either of two projects. First, popular music receives attention from philosophers who see it as a test case for prevailing philosophies of music. Even now, most philosophy of music concentrates on the European classical repertoire. Therefore, if there are important differences between popular and art music, widening the discussion to include popular music might encourage us to reconsider the nature of music. Second, popular music increasingly serves as a focal point in general debates about art and aesthetic value. A growing number of philosophers regard popular music as a vital and aesthetically rich field that has been marginalized by traditional aesthetics. They argue that popular music presents important counterexamples to entrenched doctrines in the philosophy of art. Similar issues arise for the aesthetics of jazz, but the special topic of jazz is beyond the scope of this article.

Although the category of popular music presupposes differences from serious music, there is limited consensus about the nature of these differences beyond the near-tautology that most people prefer popular music to art music. This obvious disparity in popular reception generates philosophical (and not merely sociological) issues when it is combined with the plausible assumption that popular music is aesthetically different from folk music, art music, and other music types. There is general agreement about the concept’s extension or scope of reference – agreement that the Beatles made popular music but Igor Stravinsky did not. However, there is no comparable agreement about what “popular music” means or which features of the music are distinctively popular. Recent philosophizing about popular music generally sidesteps the issue of defining it. Discussion of particular genres or examples of popular music can be used to advance broader philosophical projects. Such arguments have concentrated on rock music, blues, and hip-hop.

Among the topics that have benefited from this reconsideration are the nature of music’s aesthetic value, music’s claim to autonomy, and the ontology of music.

Table of Contents

  1. Historical Background
  2. Adorno and Standard Criticisms
  3. Defending Popular Music
  4. Race, Gender, and Expressive Authenticity
  5. Ontology of Music
  6. References and Further Reading

1. Historical Background

Since both Plato and Aristotle philosophized about music, philosophy of music predates and is not identical with modern philosophy of art. Nonetheless, most philosophy of music is strongly influenced by the aesthetic assumptions of modernism. Eighteenth-century philosophers organized a new field of study, aesthetics, around the search for a unifying principle for the disparate “fine arts” of post-Renaissance Europe. This principle would distinguish science and craft from such activities as music, poetry, theater, dance, painting, and sculpture. Following this precedent, most subsequent theorizing about music inherited distinctively modernist biases about art. Three ideas proved to be particularly relevant to later efforts to distinguish art from popular art. First, art is the product of genius. Art is constantly evolving, so successful new art involves progress. Second, the value of art is aesthetic, and aesthetic value is autonomous. Artistic value cannot be reduced to utility, moral effects, or social functions. Third, whatever is true about fine art is true about music. From the middle of the eighteenth century until the middle of the nineteenth, philosophers regarded music as a pillar of the emerging system of the fine arts. As a result, music could not be regarded as art if it lacked genius and autonomy. By the beginning of the twentieth century, most intellectuals endorsed the elitist consensus that popular music lacks these features.

Despite its influence on subsequent theorizing, the eighteenth-century intellectual framework did not recognize a clear distinction between fine art and popular art. For example, Immanuel Kant’s philosophy of art is a landmark work in eighteenth-century aesthetics. It places great emphasis on genius and artistic autonomy. These elements of the Kantian aesthetic are often cited to dismiss the art status of popular music. Many subsequent philosophical analyses of the distinction between art music and popular music draw on his proposal that the lesser arts dull the mind. Lacking the interplay of ideas and formal experimentation that characterizes fine art, the popular arts are mere entertainment (see Kaplan, 354-55). Nonetheless, it is important to note that Kant does not himself recognize the field of popular art, so he does not align the lesser arts and popular art. Furthermore, his general position on the value of music is inconclusive. Given his subsequent reputation as a formalist, readers are often surprised to discover his worry that instrumental music “merely plays with sensations” and therefore “has the lowest place among the fine arts” (Kant, 199). Taken seriously, Kant’s remarks suggest that songs are to be ranked higher than instrumental music. As such, Kant might assign greater artistic value to a folk song than to J. S. Bach’s Brandenburg concertos.

Eighteenth century philosophy’s silence on differences between art songs and popular songs must not be construed as evidence that no one yet discussed “popular” music. Where we do find discussion of this topic in the eighteenth-century, popularity is not yet opposed to art. For instance, at roughly the same time that Kant questions instrumental music’s merits as a fine art, the composer W. A. Mozart writes of the importance of providing his operas with memorable, popular melodies. Even here, however, it would be anachronistic to suppose that Enlightenment categories support a clear distinction between art music and popular music. At best, philosophers of this period postulated differences between refined and vulgar taste. This distinction between better and worse taste gradually developed into an explicit recognition of a distinctive sphere of popular culture and music, with a corresponding stigmatization of the “low” or popular (Shiner, 94-98).

A more rigid distinction between art music and other music gradually emerges during the nineteenth century. By the middle of the century, philosophical discussions of music begin to make sporadic reference to what we now recognize as popular music. Philosophy of music increasingly concentrates on explaining why recent European concert music is musically distinctive and superior. Emphasizing Kant’s idea of autonomous aesthetic value, Eduard Hanslick focuses on pure instrumental music. The art of music is the art of structuring tones. Only structural properties matter, and they matter only for themselves. Impure music that relies on words or emotional expression pleases audiences with non-musical attractions. In this analysis, most popular music pleases its audience by its extra-musical rewards. In defending the aesthetic superiority of instrumental music, Hanslick’s aesthetic formalism reinforces the view that popular music, which emphasizes song, lacks artistic merit. Hanslick deploys a Kantian aesthetic to undermine Kant’s concerns about instrumental music’s lack of artistic value.

A quarter century later, Edmund Gurney provides additional arguments for musical autonomy. Although he allows that popular music can be melodically valuable, Gurney’s attack on the distractions of emotional expression clearly consigns most popular music to an inferior category. Hanslick and Gurney are both reacting against the Romantic tendency to value music’s expressive capacity. Responding to the longstanding idea that music expresses emotion by generating a felt, bodily response, both Hanslick and Gurney insist that bodily engagement indicates an inferior response. Again, they extend a Kantian theme. Kant argues that bodily responses create a personal interest that is incompatible with a universalizable and “pure” aesthetic judgment. Together, Hanslick and Gurney are an important source of the view that popular music is inferior because its primary appeal is visceral, bodily, and felt. In contrast, the abstract structures of classical music demand an intellectual response. The body hears, but only the intellect listens (see Baugh 1993, Gracyk 2007).

Gurney is not entirely negative about popular music. He distinguishes between popular music as “low” commercial music found “in common theaters and places of public entertainment” and popular music as that which appeals to virtually anyone in a society who is exposed to it (407). Folk music comprises most of the latter category. This category also includes appealing melodies of operatic arias and other classical works. Gurney already recognizes, in 1880, that the maintenance of social strata requires stereotypes that unnecessarily limit access to a wide variety of music. Consequently, true popularity is seldom cultivated. Gurney is particularly critical of Richard Wagner’s idea that genuine popularity is constrained by nationalism. For Gurney, music cannot be popular if its appeal is limited by social boundaries of any sort.

Setting a different precedent, Friedrich Nietzsche’s views on music are a byproduct of his general philosophy of culture. Nietzsche initially defends the superiority of certain strains of European classical music. He praises composers whose irrational genius provides the Dionysian energy needed to correct the rational excesses of European culture. Nietzsche eventually reverses himself. In an extended attack on Richard Wagner’s operas, he rejects the continuing value of the “great” style that characterizes art music. In what amounts to a reversal of Kantian aesthetic priorities, Nietzsche praises Georges Bizet’s widely popular opera Carmen (1875) for its triviality and simplicity (see Sweeney-Turner). However, most philosophers ignore Nietzsche’s defense of “light” music.

Nietzsche aside, philosophy of music has been dominated by the view that the best music is autonomous and formally complex (John Dewey is almost alone in defending the vitality of popular art during this time period. Unfortunately, Dewey said very little about music.). As recently as 1990, philosophy of popular music consisted of variations on a single theme. Philosophers defended the twin assumptions that popular music is essentially different from “serious” or art music, and that the former is aesthetically inferior to the latter. As a result, most philosophers who bothered to discuss popular music concentrated on identifying the aesthetic deficiencies inherent in such music.

2. Adorno and Standard Criticisms

Theodor Adorno offers an influential, philosophically sophisticated account of the nature of twentieth-century popular music. He is the single best source for the view that popular music is simplistic, repetitive, and boring, and that it remains this way because commercial forces manipulate it in order to placate and manipulate the masses who passively respond to it. Although a Marxist orientation influences almost all of his arguments, his influence is apparent in many writers who are not explicitly Marxists. Unfortunately, Adorno is a notoriously difficult writer. His writings on music are subtle, dense, and fill many hundreds of pages.

Adorno begins with the insight that popular music is characterized by the synthesis of entertainment values and mass art. Twentieth-century popular music is mass art because commercial forces now produce it on an industrial model. It is a commodity aimed at the largest possible number of consumers. Therefore it must combine a high degree of standardization with relative accessibility, and so the same rhythms and structures appear again and again. Yet a constant supply of new “product” must be marketed to consumers. As a result, popular music competes with and replaces local and regional folk traditions (In the wake of the industrial revolution, genuine folk art is no longer possible.). In a commercial world where one popular song sounds much like any other, popular music cannot function as a medium of genuine communication. At best, a philosophically reflective stance sees that its standardization and commercial presentation reflects important facets of the socio-economic conditions that shape it. Its standardization reflects the alienating, oppressive standardization of modern capitalism. The momentarily pleasurable diversions offered by popular music are mere distractions from this alienation – a process that the music itself reinforces. Since it fails to satisfy any genuine needs, exposure to popular music encourages an endless repetition of the cycle of consumption, boredom, alienation, and fresh distraction through consumption.

Adorno’s analysis of popular music is transformed into outright criticism of it when he contrasts it with “art” music. We cannot complain about popular music if our culture cannot provide a more satisfying alternative. If nothing better is available, then there is nothing especially wrong with popular music. Adorno argues that objectively better music is available. He is sophisticated enough to avoid a simple contrast of classical and popular music. For Adorno, almost all of the music that passes as art music is just as bad. It is barely comprehended by its audience, most of whom respond approvingly to its familiarity. Radical composers such as Arnold Schoenberg, however, provide art music that is socially progressive. This music challenges listeners by presenting them with more “truth” than other twentieth-century music. For Adorno, artistic truth is neither a matter of saying conventionally true things nor of making socially oppositional statements (Within the socio-economic framework of capitalism, the political stance of punk or hip-hop is just another “hook” and marketing tool.). Artistic truth is relative to the time and place of its creation and reception. It requires music that is sufficiently autonomous from socio-economic pressures to permit compositional integrity. For example, our expectations for aesthetic pleasure previously placed a premium on beauty. The quest for beauty curtails genuine autonomy. Therefore musical integrity comes at a cost: good music no longer offers us the beauty of conventional fine art. Instead, it must be compositionally complex enough to incorporate and display the contradictory demands that we impose on art. By comparison, music that is readily understood and immediately pleasurable is not autonomous. It neither discloses nor opposes society’s dominant socio-economic framework. Given these requirements, very little music succeeds in forcing listeners to deal with the contradictions of modernity. Popular music fares worst of all. Its requirement of accessibility deprives it of social truth, so it lacks any genuinely progressive social role.

Adorno sees no important distinctions within popular music. His analysis is subject to challenge on the grounds that some popular music lacks conventional beauty and easy pleasures. However, Adorno can reply that such music cannot simultaneously achieve popularity while offering artistic truth, for that truth cannot be conveyed by music that is accessible enough to generate a commercial profit. Several philosophers (Brown 2005, Gracyk 1996) have responded that some jazz and rock musicians are counterexamples to Adorno’s analysis. Charlie Parker and John Coltrane made commercial recordings and so must be “popular,” as Adorno understands the category. Yet they created autonomous, challenging music. The commercial framework of twentieth century music has not eradicated artistic truth as Adorno defines it.

Adorno aside, popular music received limited philosophical attention before the early 1960s. Then the British Journal of Aesthetics published articles on the topic by Frank Howes and Peter Stadlen. Although the Beatles are not mentioned in either article, it is interesting to note that this pair of essays appeared in the same year and country that gave the world the Beatles’s debut recordings, “Love Me Do” and “Please Please Me.” Within two years, the Beatles’s musical intelligence and emergence as an international cultural force invited serious reconsideration of the claim that repetition and cognitive vapidity define popular music. Although neither Howes nor Stadlen cites Adorno, their analyses endorse many of his basic ideas. Howes sets out to explain why “there is little bad folk music and much bad popular music” (247). Where Gurney treats folk music as a species of popular music, Howes opposes the two categories. Howes proposes that the communal composition and ongoing re-fashioning of folk music ensures a unique combination of simplicity and excellence. In contrast, popular music is created for immediate widespread consumption and thus prioritizes “ease of comprehension,” discouraging musical development and subtlety. Popular music is more often “indifferent” than it is bad through incompetence. Like Adorno, Howes thinks that popular music must employ excessive repetition and crude clichés.

Stadlen departs from Howes in recognizing that the emergence of blues music represented a “novel type of virtuosity” and an unheralded combination of tragic and comic elements (359). Otherwise, Stadlen regards popular or “light” music as aesthetically impoverished for its avoidance of musical complication and for its juvenile emotional ambivalence about sex, which it exploits for its emotional impact. In a few short paragraphs, Stadlen encapsulates most of the position that Allan Bloom revived more hyperbolically in 1987.

3. Defending Popular Music

To summarize the modernist view, genres of art develop a hierarchy. “Higher” forms of music satisfy the most advanced modes of response. Superior genres require attention to abstract structures, so they require active, focused listening. Therefore the best music is found in the classical repertoire, where composers have emphasized autonomy and cognitive complexity. By comparison, popular music is aesthetically deficient. It sacrifices autonomy because its design is driven by functional demands for emotional expression and for dance rhythms. Popularity requires accessibility, so popular music cannot combine popularity and complexity.

Richard Shusterman has produced several essays that challenge these standard dismissals of popular music. Bringing a more balanced perspective to the philosophical debate, these essays demonstrate that popular music is philosophically more interesting than modernism suggests. Inspired by Dewey’s pragmatism, Shusterman argues that the social distinction between high and low music does not correspond to any distinctive aesthetic differences. He offers no analysis of either “popular art” or “popular music.” Instead, he focuses on highly selective examples of popular music that achieve “complex aesthetic effects,” thereby satisfying our “central artistic criteria” (2000b, pp. 215-16). Good popular music satisfies the aesthetic criteria routinely used to praise serious music. Although Shusterman concedes that a great deal of popular music is aesthetically poor and may have negative social effects, he argues that at least some of it succeeds aesthetically while offering a socially progressive challenge to prevailing cultural biases.

Shusterman’s arguments are based on a very small sample of rock, hip-hop, and country music. He identifies and criticizes a core set of criticisms that are typically directed against popular music. He focuses on its alleged lack of creativity, originality, and artistic autonomy. He also replies to claims that it degrades culture generally by offering an inferior substitute for better music, that its escapism makes for shallow rewards, and that it encourages an uncritical passivity that generates a disengaged populace (2000b, pp. 173-77). (Most of these arguments originate in Adorno. Several of them are found in Roger Scruton and Julian Johnson, neither of whom endorses Adorno’s Marxism.) Against these criticisms, Shusterman argues that the rewards and pleasures of art music are no less transitory than those of popular music, that critics over-emphasize art’s capacity to engage the intellect, and that the standards used to discredit popular art are essentially Romantic in origin and therefore offer a historically limited perspective on the nature and value of art.

Directly responding to Adorno, Shusterman’s pragmatism rejects the modernist opposition of art and “life” (2000b). Shusterman recommends aesthetic criteria that are broad enough to endorse the functional dimension of every art form. These proposals gain specificity in Shusterman’s response to the charge that popular music is formulaic and falls short of the formal achievement of good music. Resisting the traditional association of form and intellectual engagement, he argues that musical form should be rooted in “organic bodily rhythms” and the social conditions that make them meaningful (199). Popular music’s continuing reliance on dance rhythms returns Western music to its “natural roots” (2000a, p. 4). The fundamental structure of popular music lies in its bodily rhythms, so movement is necessary for appreciating it. Since these movements bear meanings, a genuine response to music is both physical and intellectual. This active, bodily engagement is also supplemented by awareness of lyrics because songs dominate popular music. When language is connected to the music’s rhythms, the integrated experience of music and language is as creative and complex as is the experience of “high” or classical music.

Shusterman’s most important essays are “Form and Funk: The Aesthetic Challenge of Popular Art” and “The Fine Art of Rap” (both in 2000b). The latter focuses on hip-hop recordings that are verbally complex, philosophically insightful, and rhythmically funky. They are aesthetically satisfying in a way that integrates both bodily and intellectual responses. The best hip-hop presents a life philosophy. However, concentrating on a handful of exemplary cases does not demonstrate that popular music is generally complex in this manner. For this purpose, Shusterman’s arguments should be considered in light of the recent outpouring of books that discuss philosophy’s relevance to different popular musicians. These books feature essays that explore the philosophical underpinnings of groups such as the Beatles, the Grateful Dead, Metallica, and U2. These analyses show that Shusterman’s limited examples cannot be dismissed as the rare exceptions in popular music. They also correct another major bias. Adopting Hanslick’s position that an aesthetics of music must be an aesthetics of instrumental or “absolute” music, traditional philosophy of music pays little attention to songs. It is clear that many accessible popular songs grapple with complex ideas and issues, however.

Finally, Shusterman argues that some popular music has the additional merit of presenting a postmodern challenge to the modernist categories that have dominated philosophical aesthetics (2000a). In particular, hip-hop often highlights postmodern strategies of recycling and appropriation. It engages with the concerns of subcultures and localized communities rather than with an allegedly universal perspective. These strategies reverse and thus repudiate modernist standards of artistic value. This line of argument does little to address traditional criticisms of popular music, however. Instead, it acknowledges that popular music is deficient according to traditional standards while also contending that cultural change renders those standards irrelevant. This argument does not answer critics who still endorse traditional views about art because the force of this argument depends on a complex understanding of historical developments in art and aesthetics. Furthermore, Shusterman’s appeal to postmodernism suggests that when we find anything in popular music that is not endorsed by traditional aesthetic theory, its presence can be interpreted as a challenge to the dominant tradition. Shusterman thus weakens his earlier charge that aesthetic theory has systematically misrepresented the nature of most art. Traditional aesthetic categories still frame the debate as popular music divides into two broad categories. Good popular music succeeds according to either modernist or postmodernist values. Either way, popular music is evaluated according to fine art standards (see Gracyk 2007). Shusterman supplements his discussions of rock and hip-hop with an independent essay on country music (2000a). He focuses on a small genre of films about the careers of fictional country singers. This essay moves Shusterman away from the bifurcation just outlined. Country music is discussed without reference to either modernist or postmodernist standards. Instead of arguing that country music is aesthetically complex and socially progressive, Shusterman focuses on the issue of how country music succeeds in conveying emotional authenticity to its fans. He thus endorses a line of analysis that is found in many ethnomusicological analyses of popular music. Shusterman concedes that country music is excessively sentimental and that commercial processes undercut its claim to authenticity. Nonetheless, it is comparatively authentic to its fans for a variety of reasons. First, its working class white audience is generally “uncritical” and, due to social circumstances, seeks “easy emotional release” in music (86). Second, it is commercially positioned as more authentic than contemporary alternatives in popular music. Third, its emphasis on first-person storytelling has a self-validating authority. Together, these factors give country music an aura of authenticity that explains its appeal. It is striking that this analysis cites neither aesthetic excellence nor progressive ideas to account for the music’s popular success, however. Hence Shusterman’s analysis offers no answer to critics who dismiss country music as simplistic and politically reactionary.

Inspired by Shusterman’s analysis of hip-hop, Crispin Sartwell offers an alternative and arguably more satisfying account of the value of blues and country music. Building on the general theme that a modernist aesthetic does not apply to most art produced by most cultures, Sartwell builds on Dewey’s theme that healthy arts involve form and expression that give a unifying coherence to everyday experiences. Hence, popular music should not be judged against the elitist ideals that have dominated aesthetic theory. It must be judged in relation to its capacity to embody and consolidate social relationships and values that are central to the society that creates and assimilates it.

In place of Shusterman’s appeal to a comparative authenticity, Sartwell calls attention to the importance of genuine tradition in blues and country music. For several generations, both kinds of music have evolved organically in response to social change. These musical traditions have not changed for the sake of originality and novelty, as encouraged by modernist aesthetics. Art music embraces progress that dictates continuously new forms, experiments, and innovations. Blues and country music constantly re-adapt established forms and signifiers. They change as necessary to remain relevant in the face of changing circumstances. As a result, ongoing styles of American popular music are extraordinarily successful at expressing racial, generational, and class-specific values in a way that remains comprehensible and emotionally satisfying to almost everyone in their respective audiences. As such, the vitality of popular music is best seen by highlighting its commonalities with non-Western art. Sartwell argues that the continuity of American popular music does an admirable job of satisfying non-Western expectations for art, especially those articulated in Asian traditions infused with Confucianism.

Bruce Baugh (1993) defends popular music by concentrating on rock music. His position recalls Shusterman’s argument that the best popular music exhibits a postmodern rejection of modernist aesthetic standards. Baugh contends that rock music and European concert music succeed according to different and opposing aesthetic standards. Traditional musical aesthetics was formulated by reference to the European classical repertoire. Therefore what is valuable about rock music cannot be explained by appeal to aesthetic standards appropriate to Mozart or Wagner. Baugh proposes that rock music is best appreciated by “turning Kantian or formalist aesthetics on its head” (26), literally reversing traditional priorities. Rock places more value on performance than composition, more on material embodiment than structure, more on rhythm than melody and harmony, more on expressivity than formal beauty, and more on heteronomy than autonomy. Like Shusterman, Baugh thinks that this music is fundamentally experienced in the body, especially through dancing, rather than by listening intellectually, without moving. Rock music thus serves as evidence of the limitations of traditional musical aesthetics. Traditional aesthetics concentrates on aesthetic standards “appropriate to only a very small fragment of the world’s music” (28).

Against Baugh, James O. Young and Stephen Davies argue that rock and classical music do not invite evaluation under distinct standards. Young argues that Baugh merely shows that rock music tends to employ different means of expression, not that the music has different ends. The European concert tradition includes a great deal of music that prioritizes expressivity and requires performance practices that highlight the music’s material embodiment. Consequently, Baugh has not identified standards that are unique to rock. Davies (1999) criticizes Baugh’s strategy of aligning classical and rock with intellect and body, respectively. Since music is patterned sound, anything that counts as listening to music will require attention to both form and matter. Davies also attacks Baugh’s assumption that a bodily or somatic response is noncognitive. A somatic response to music is a response to its pattern of movement. This response requires awareness of its distinctive pattern of tensions and relaxations, which requires knowledge of the “grammar” of the appropriate musical style. A visceral, somatic response seems immediate and nonintellectual to listeners. The response actually requires a considerable amount of cognitive processing, however. In a similar manner, the expressive power of rock music is due to, and not opposed to, a cognitive response.

In their responses to Baugh, Young and Davies spend much of their time summarizing and refuting the alleged differences between rock and classical music. As a consequence, it is easy to lose sight of the larger issue that emerges. To what extent is there such a thing as “traditional musical aesthetics,” and to what extent have philosophers adequately formulated the standards for any music? Shusterman and Baugh assume that Hanslick and Gurney accurately describe European art music and its associated listening standards. This assumption leads them to reason that because popular music is different from art music, popular music cannot be understood by appeal to prevailing standards of musical value. Young and Davies suggest a more radical response, however, by proposing that classical music is far more varied than modernism allows. To the extent that modernist standards of musical excellence fail to make sense of popular music, those standards may be equally distorting for most of the European classical repertoire. (To some extent, Adorno already recognizes this point when he argues that Stravinsky and Schoenberg are engaged in very different aesthetic projects, so that Stravinsky has more in common with popular music than with Schoenberg’s rejection of a tonal hierarchy.)

4. Race, Gender, and Expressive Authenticity

In the second half of the twentieth century, philosophy of art came to be seen as a kind of meta-criticism, identifying legitimate and illegitimate patterns of critical activity directed toward the arts. Derived from analytic philosophy’s concern for language and logic, this approach must not be confused with Adorno’s Marxist position that the best art is always a powerful vehicle for cultural criticism, demonstrating a corresponding failure of the popular arts due to their critical passivity. For the most part, philosophers in the so-called “analytic” tradition do not claim to have any special insights into the nature of music. With a few notable exceptions, such as Roger Scruton, they have abandoned the traditional project of developing a privileged critical perspective from which to sort music into better and worse kinds. Today, analytic philosophers are more likely to examine what is characteristically said about music as a starting point for examining our implicit assumptions about it. Once the emphasis shifts to an examination of the logic of what is said about music, popular and art music are revealed to be equally rich fields for philosophical analysis. As a result, an increasing number of philosophers have investigated popular music by identifying and critiquing key concepts that shape our response to this music. These investigations frequently incorporate insights gained from social and political philosophy.

Joel Rudinow adopts the analytic method in order to summarize and respond to the enormous body of non-philosophical writing about authenticity and the blues. He calls attention to the logic that supports criticisms of musical borrowing or appropriation of African-American music by white musicians and audiences. Addressing selected critics of white appropriation, Rudinow focuses on the social and conceptual issues embodied by white blues musicians.

Rudinow identifies, summarizes, and challenges the two most common arguments advanced against the phenomenon of blues music performed by white musicians. The first is the proprietary argument. It says that when one cultural community owns a musical style, its appropriation by another group constitutes a serious wrong. According to this argument, white blues players participate in a racist appropriation that deprives African-Americans of what is rightfully theirs. The second argument addresses experiential access. It says that white musicians lack relevant experiences that are necessary for expressive authenticity in the blues tradition. At best, white musicians produce blues-sounding music that cannot mean what the blues have traditionally meant. Unable to draw on the full cultural resources that inform the blues, white appropriations will be expressively superficial.

Rudinow responds to the proprietary argument by arguing there is no plausible analysis of ownership according to which a community or culture can “own” an artistic style. He responds to the experiential access argument by arguing that, absent a double standard, it will assign inauthenticity to recent African-American blues performances as readily as to white appropriations. In an argument that echoes Sartwell’s reflections on tradition, Rudinow points out that, after a century of development and change, the African-American experiences that were expressed in early blues cannot plausibly be the standard for evaluating contemporary blues. An evolving tradition that includes white participants is neither more nor less a departure from the core tradition than was, for example, the introduction of electric guitars. Furthermore, African-American experience is sufficiently diverse to allow some white musicians routes of initiation into experiences that can, in combination with mastery of the musical idiom, defuse the charge of mere posturing.

Paul Taylor responds by reviving the experiential access argument. He argues that the blues tradition was, and remains, a racial project. A blues performance is authentic only if it “can properly bear witness to the racialized moral pain that the blues is about” (314), and it only does so if it generates an appropriate feeling in informed listeners. These listeners care very much about the racial identity of performers and regard white performers as less capable of bearing witness about African-American experience. As a result, white appropriations do not generate the proper feeling in blues fans. Therefore white blues performances are not expressively authentic. Rudinow responds with two arguments. First, Taylor postulates a criterion for expressive authenticity that cannot be applied to most other music. Second, Taylor’s argument involves a question-begging assumption that the blues is a homogenous and static racial project. Because this assumption cannot be accepted a priori, it is readily challenged a posteriori by the fact that many African-American musicians and audiences admire the best white blues performers. Since Taylor’s argument links authenticity with audience response, these facts about audience response appear to certify the expressive authenticity of some white blues performances.

As Rudinow predicts (1996, p. 317), his exchange with Taylor merely sets the stage for further argument. Lee B. Brown (2004) explores the overlap between arguments about blues authenticity and longstanding debates about white jazz musicians. He documents and criticizes the outmoded essentialism found in such arguments. Expanding this topic to embrace the popularity of “world music,” Theodore Gracyk (2001) outlines and criticizes common assumptions about the communicative processes involved in popular music. Given that so much popular music is created and heard in recorded form, it is foolish to postulate a unified audience that responds uniformly. There are at least four distinct kinds of musical appropriation that can affect expressive authenticity, and there are at least three kinds of musical reception for any music listening that cross cultural boundaries. So it is implausible to maintain that blues music, to take one example, continues to be a unified cultural project. Popular music authenticity can only be determined on a case-by-case basis, by inspecting the complex interplay of cultural processes, musician’s intentions, and listener’s activities.

Jeanette Bicknell argues that the logic of authenticity is particularly complicated when it involves the singing of songs, as is the case with most popular music. Although some popular musicians compose their own material, such is not always the case. When listening to a song performance, audiences for popular music do not necessarily demand authenticity, narrowly construed. Because singing is akin to acting, each singer’s public persona influences the audience’s aesthetic response whenever a song is sung. This persona includes relatively obvious facts about a singer, such as ethnicity and gender, together with readily available information about the singer’s personal history. Bicknell proposes that most of the popular audience understands that few singers have a public persona that closely matches their “true personality” (263). Hence the actual standard of authenticity is the degree to which the material’s meaning seems appropriate to the singer’s public persona. Furthermore, singing is a physical activity. Few singers will seem authentic when they perform material that the audience regards as unsuitable for someone of their apparent race, gender, or age. For example, Johnny Cash’s performance of “Hurt” in the final year of his life is more expressively authentic than are performances by its composer, rock musician Trent Reznor. Due to the prominence of race in a singer’s persona, most white musicians will find it difficult to sing the blues convincingly. It is not impossible, however.

Feminist aesthetics raises many of the same issues that dominate debates about race and ethnicity. Furthermore, feminist aesthetics frequently discusses performance art. Exploring song performance, Bicknell argues that gender and race are equally relevant for popular song reception. Renée Cox and Claire Detels have provided a philosophical foundation for further work and Gracyk has outlined several philosophically rich issues that deserve further attention (Gracyk 2001). Yet as is the case with aesthetics in general, explicitly feminist analyses are usually directed at fine art and far more attention is paid to the visual arts than to music. In contrast, musicologists have produced many essays and books that highlight feminist perspectives on popular music.

5. Ontology of Music

Philosophy contains the sub-field of ontology. Proceeding from the assumption that different kinds of things exist in very different ways, ontology examines different categories of things that exist. Philosophers engage in musical ontology when they identify and analyze the various distinct kinds of things that count as music. For example, traditional philosophy of music distinguishes between a musical work and its performances. Unlike physical objects, the same musical work can be in different places at the same time, simply by being performed in two places simultaneously. Furthermore, not every performance seems to require reference to a pre-existing musical work. Many musicians improvise without performing any recognizable work. What kind of thing, then, is a musical work, such that George Gershwin’s “Summertime” remains the same musical work in a jazz performance by Billie Holiday and a rock performance by Janis Joplin? What is the shared object of musical attention when current audiences access these performances through the mediation of recording?

A number of philosophers think that popular music complicates the traditional ontology of music because the established distinction between works and performances has been supplemented by music that exists as recorded sound. Reflecting on popular music’s reliance on mass-mediation, Gracyk (1996, 2001), Fisher, Brown (2000), Davies (2001), and Kania argue that there are important aesthetic dimensions to the processes by which popular music, particularly rock music, is created and shared as recorded music. It is here, rather than in stylistic differences, that recent popular music differs most sharply from the classical repertoire.

Granted, most popular musicians make a significant amount of their income from live performances. Dedicated fans will often follow their favorite performers from show to show on the concert circuit. Others pay exorbitantly inflated prices to ticket agencies in order to secure prime seats when their favorite singer performs. Nonetheless, the audience for popular music generally spends more time with recorded music than with live music. Furthermore, the enormous return on investment made by the recording industry throughout most of the twentieth century led the industry to invest considerable time and creative energy in the process of recording music. These shifts of listening activity and creative investment have encouraged philosophers to examine the kinds of musical objects that are involved.

Before music was recorded, musical works were known almost exclusively by listening to musical performances or, for those with the proper training, by reading a score. This state of affairs presented a simple ontological or metaphysical analysis of the fundamental nature of musical works. Musical works are not physical particulars. Particular events and objects (performances and scores) provide access to the repeatable sound structures that constitute musical works. For example, Beethoven’s “Moonlight” piano sonata (Opus 27, No. 2) has received many thousands of performances since its composition in 1801. Each complete performance exists at a particular location for about a quarter hour. However, the musical work is an abstract structure that cannot be identified with any of its particular instantiations. The musical work is distinct from its performances, and the performances exist in order to make the work accessible to listeners.

Recordings complicate this straightforward ontological distinction between works and performances. Once recording technology became advanced enough to allow for the production of multiple copies of the same recording, it became necessary to distinguish between a recording (for example, Aretha Franklin’s 1967 hit record “Respect”), its various physical copies (for example, your 8-track and my vinyl 45), and the particular events that listeners hear (for example, the sounds produced from various car radios when a radio station broadcasts a copy of the record). Gracyk (1996) proposes that the experience of popular music now involves a complex web of particulars (for example, distinct performances and recording playbacks) and abstract objects (the song “Respect” and the 1967 “track” or recording of it). The song “Respect” was written by Otis Redding. Franklin subsequently performed the song in a studio, from which record producer Jerry Wexler created a recorded track. Gracyk proposes that Wexler’s recorded track is a distinct musical work, a work-for-playback related to but distinct from both Redding’s song and Franklins’ performance of it.

The relevance of ontological analysis begins to emerge in Davies’s (1999) response to Baugh’s analysis of rock music. Baugh contends that rock music places more emphasis on performances than compositions. Davies responds by noting that Baugh’s sweeping generalization arises from his failure to discuss ontology. Rock musicians, blues singers, and wedding bands do not fill their performances with free improvisations. They perform musical works. Successful performances of both “Respect” and Beethoven’s “Moonlight” piano sonata require performers to correctly perform that musical work and not some other. Whenever Franklin performs “Respect,” she is constrained by Redding’s musical composition (minimal as it may be). For Davies, the most important difference between the rock and classical traditions is that two very different kinds of musical works are normally performed. Beethoven’s sonatas are compositions of the European concert tradition and these works are ontologically “thicker” than popular songs. This simply means a work like the “Moonlight” sonata specifies relatively more of what should be heard during an authentic performance than is the case with the song “Respect” and other musical works in folk and popular music. The sonata is presented in a performance only if a high degree of what occurs during the performance is work-determinative. In other words, far more of the properties of a performance of the piano sonata are dictated by the musical work than is the case for a performance of “Respect.” In contrast, popular songs are generally “thinner” than works of the classical repertoire. Relatively few of the properties that appear in a given performance of “Respect” are present because they are essential to the identity of the musical work that is being performed.

Based on this distinction between thicker and thinner musical works, Baugh is wrong to contrast rock music and European art music by saying that rock music requires far less “faithfulness” to the music being performed. It is certainly true that performances of “Respect” will vary greatly in their performance arrangements and particular realizations. Where Redding is the only vocalist present on his 1965 recording of it, Franklin’s features backing vocalists. Where Franklin spells out the word “respect,” Redding does not. Both Redding and Franklin perform the same song, and they produce equally faithful or authentic performances of the same musical work despite their very different presentations of it. Their interpretative freedom is due to the fact that popular songs are thin with respect to work-constitutive properties and not because the performance matters more than the work that is being performed (Davies 1999).

Additional ontological complications arise when we address the nature of recorded music in each tradition. In the classical tradition, recordings function either to capture the sound of a particular live performance or they attempt to present the sound of an ideal performance (Davies 2001). Popular music developed a third function by exploiting studio technology to create inventive sonic presentations that are not meant to be judged by reference to what can be duplicated in live performance. Philosophers debate whether these recorded tracks constitute distinct, thick musical works. Gracyk (1996) and Kania propose that the studio engineering that is typical of rock and other popular music identifies such recordings as musical works in their own right. Like some electronic music of the European art tradition, the tracks created by many record producers are musical works that can only be instantiated through electronic playback (In fact, some popular music simply is electronic music.). Tracks are extremely thick musical works. The work (the track) determines most of what is heard during its instantiations, which are its playbacks.

Unlike works-for-playback in the art music tradition, popular music tracks feature songs or instrumental compositions that can also be performed live. Returning to the 1968 hit recording of “Respect,” Wexler’s track offers access to Redding’s song. Just as there are multiple performances of “Respect,” there are multiple recordings of it. Where each performance of “Respect” is a distinct instantiation of the song, something else must be said about Wexler’s track, which itself has distinct instantiations in its various playbacks. Listening to recorded music, the popular audience attends to both an ontologically thick work-for-playback and an ontologically thin song. A track’s production style can be distinguished from the song’s musical style. Thus there is a way in which popular music tracks are more complex than is electronic art music Electronic music offers no parallel distinction between track and composition.

Davies (2001) rejects the proposal that most popular song recordings feature two distinct musical works, the track and the song. He contends that there are very few cases in which two musical works are simultaneously available to an audience. For Davies, a recording is a distinct musical work only if the music cannot possibly be performed live. With music that can be performed live, one of two situations holds. Either way, the recorded track does not count as a distinct musical work. First, some recordings represent a studio performance of an ordinary musical work. An example is Franklin’s recorded performance of “Respect.” Second, the recording studio is sometimes used to create compositions or arrangements that are too complex or too electronically sophisticated to be performed live. Only derivative arrangements can be performed live. For example, the Beatles’s studio production of their 1966 song “Rain” features guitar and vocal parts that were created by reversing the tape on which the music was recorded. Treating the studio as special kind of performance space, Davies classifies “Rain” as a work for studio performance. Other musicians have since performed this song for an audience, but to do so they must substitute different guitar passages. According to Davies, these performances require the musicians to perform a simpler, derivate musical work, an ordinary song for performance. By distinguishing between three kinds of musical works (works for performance, works for studio performance, and works-for-playback), Davies maintains that recorded tracks of popular music seldom count as works-for-playback.

Gracyk and Kania disagree with Davies on the grounds that popular music audiences regard tracks as distinct objects of critical attention. In the same way that an audience for a live performance of a song can critically distinguish between the song and its performance (for example, recognizing a weak performance of a superior song), audiences distinguish between and critically assess songs, performances, and their recordings. As evidence, Kania notes that “cover” versions or remakes are discussed and assessed by reference to previous recordings, not simply as new recordings of familiar songs. Furthermore, because recordings have sonic properties that belong to neither songs nor their originating performances, they ought to be regarded as distinct musical works. Like electronic music, popular music tracks are ontologically thick works-for-playback. Unlike electronic art music, popular music tracks generally present the audience with a distinct, ontologically thin work that can be authentically instantiated in other recordings and in live performance. Thus, when a Beatles cover band gives a live performance of the song “Rain,” the song that is being performed is not, as Davies contends, a different work from the one that the Beatles recorded. Where Davies thinks that a work for performance has been derived from a work for studio performance, Gracyk and Kania recognize one song, “Rain,” which is the same song in either case.

This debate about the ontology of recorded tracks might seem to be a dispute over mere semantics. However, it has many implications for the aesthetics of popular music. In part, it reveals disagreement on whether a musical event can belong to multiple ontological categories at the same time. Davies thinks not; Gracyk and Kania regard this result as relatively common with recorded popular music. The debate also reveals assumptions about what counts as genuine music making. Elevating tracks to the status of full-fledged musical works implies that record producers and sound engineers are as important as songwriters and performers. This status will, in turn, complicate attributions of authorship and thus interpretation. Furthermore, treating tracks as works suggests that a great deal of popular music might be better understood by exploring its connections with film rather than with other music (Gracyk 1996, Kania).

One need not classify tracks as musical works in order to see that a great deal of popular music culture centers on recorded music. This phenomenon has consequences for philosophy of music. Although Davies and his opponents disagree on the correct analysis of these recordings, both lines of analysis imply that listening to popular music is cognitively quite complex. Contrary to stereotypes about passive reception, listening involves complex discriminations regarding multiple objects of interest. Furthermore, this debate demonstrates the incompleteness of a philosophy of music derived from reflection on the European classical tradition. Analyses of popular music must develop conceptual tools that move beyond discussion compositions and performances. For good or ill, recordings are ubiquitous in our musical culture. Philosophy of music must come to grips with its status and its role in musical culture.

6. References and Further Reading

  • Adorno, Theodor W. “On Popular Music” In Essays on Music. Ed. Richard Leppert. Berkeley and Los Angeles: University of California Press, 2002, pp. 437-69.
    • This 1941 essay is the most accessible place to begin reading Adorno on popular music.
  • Baugh, Bruce. “Music for the Young at Heart.” The Journal of Aesthetics and Art Criticism 53:1 (1995): 81-83.
    • Responds to criticisms of his analysis of the contrast between rock music and classical music.
  • Baugh, Bruce. “Prolegomena to Any Aesthetics of Rock Music.” The Journal of Aesthetics and Art Criticism 51:1 (1993): 23-29.
    • Analysis of rock music that contrasts it with classical music in order to show that traditional music aesthetics does not adequately account for some music.
  • Baur, Michael, and Stephen Baur, eds. The Beatles and Philosophy: Nothing You Can Think That Can’t Be Thunk. Chicago: Open Court, 2006.
    • Multiple essays demonstrate that a popular group can be socially progressive and philosophically insightful.
  • Bicknell, Jeanette. “Just a Song? Exploring the Aesthetics of Popular Song Performance.” The Journal of Aesthetics and Art Criticism 63:3 (2005): 261-70.
    • Sophisticated analysis of what audiences find authentic about a popular song performance.
  • Bloom, Allan. The Closing of the American Mind. New York: Simon and Schuster, 1987.
    • A much-discussed and frequently cited book on American culture, one chapter of which utilizes Plato’s philosophy of art to condemn American popular music.
  • Brown, Lee B. “Adorno’s Case Against Popular Music.” Aesthetics: A Reader in Philosophy of the Arts. 2nd ed. Ed. David Goldblatt and Lee B. Brown. Upper Saddle River: Pearson/Prentice Hall, 2005, pp. 378-85.
    • Extremely accessible introduction to Adorno’s philosophy of music.
  • Brown, Lee B. “Marsalis and Baraka: An Essay in Comparative Cultural Discourse.” Popular Music 23 (2004): 241-55.
    • Argues that major accounts of the authenticity of African-American music are burdened by a philosophically questionable essentialism.
  • Brown, Lee B. “Phonography, Rock Records, and the Ontology of Recorded Music.” The Journal of Aesthetics and Art Criticism 58:4 (2000): 361-72.
    • Criticizes, revises, and extends Gracyk’s account of recording technology in popular music.
  • Carroll, Noël. The Philosophy of Mass Art. Oxford: Clarendon Press, 1998.
    • Defends the importance of thinking about mass art instead of popular art. Although it is not Carroll’s primary focus, he often discusses popular music.
  • Collingwood, R. G. The Principles of Art. Oxford: Oxford University Press, 1938, reprint 1958.
    • Classic statement of the position that popular music and other popular arts are insufficiently expressive to be genuine art.
  • Cox, Renée. “A History of Music.” The Journal of Aesthetics and Art Criticism 48:4 (1990): 395-409.
    • An overview of how music has been conceptualized in the Western tradition that concludes with interesting reflections on popular music.
  • Davies, Stephen. Musical Works and Performances: A Philosophical Exploration. Oxford: Clarendon Press, 2001.
    • Extremely thorough examination of the nature of musical works and their presentation in performances; takes seriously the need to address these topics in relation to popular music.
  • Davies, Stephen. “Rock versus Classical Music.” The Journal of Aesthetics and Art Criticism 57:2 (1999): 193-204.
    • Criticizes Baugh’s contrast of rock music and classical music.
  • Detels, Claire. Soft Boundaries: Re-Visioning the Arts and Aesthetics in American Education. Westport, CT: Berfin and Garvey, 1999.
    • Challenges standard disciplinary and cultural boundaries imposed on music, including boundaries between art and popular music.
  • Dewey, John. Art as Experience. New York: Minton, Balch and Co., 1934.
    • Despite its limited discussion of music, presents a non-elitist, pragmatist aesthetic that opposes the thesis of artistic autonomy.
  • Eliot, T. S. “Marie Lloyd.” Selected Prose of T. S. Eliot. Ed. Frank Kermode. New York: Harcourt Brace Jovanovich, 1976, pp. 172-74.
    • Although Eliot is regarded as an exponent of aesthetic modernism, this 1922 essay applauds the “art” of a popular music-hall singer and comedian.
  • Fisher, John Andrew. “Rock ‘n’ Recording: The Ontological Complexity of Rock Music.” Musical Works: New Directions in the Philosophy of Music. Ed. Philip Alperson. University Park: Pennsylvania State University Press, 1998, pp. 109-23.
    • Argues that rock music is distinctive in placing recordings, rather than performances or compositions, as its primary musical object.
  • Frith, Simon. Performing Rites: On the Value of Popular Music. Cambridge, MA: Harvard University Press, 1996.
    • Engages with philosophical aesthetics but ultimately argues that sociology of music is the basis of all music aesthetics.
  • Gracyk, Theodore. I Wanna Be Me: Rock Music and the Politics of Identity. Philadelphia: Temple University Press, 2001.
    • Begins with an account of how popular music expresses meanings and cultural values, then analyzes and responds to controversies surrounding musical appropriation and gendered communication in popular music.
  • Gracyk, Theodore. Listening to Popular Music: Or, How I Learned to Stop Worrying and Love Led Zeppelin. Ann Arbor: University of Michigan Press, 2007.
    • Analyzes aesthetic value in music and argues that popular music’s aesthetic value is a central element of its appeal.
  • Gracyk, Theodore. Rhythm and Noise: An Aesthetics of Rock. Durham: Duke University Press, 1996.
    • The opening three chapters explore the ontological and interpretive implications of rock music’s exploitation of recording technology; the remainder defends rock against a range of common criticisms, including those offered by Adorno and Bloom.
  • Gurney, Edmund. The Power of Sound. London: Smith, Elder, and Company,1880. Reprint New York: Basic Books, 1966.
    • Long article that offers important arguments against musical expression and in favor of musical autonomy.
  • Hanslick, Eduard. On the Musically Beautiful. Trans. Geoffrey Payzant. Indianapolis: Hackett Publishing, 1986.
    • A historically influential work that emphasizes musical autonomy.
  • Howes, Frank. “A Critique of Folk, Popular, and ‘Art’ Music.” British Journal of Aesthetics 2:3 (1962): 239-48.
    • Provides an analysis of the differences between art music, folk music, and popular music and offers reasons why popular music is generally inferior to music in the other categories.
  • Irwin, William, ed. Metallica and Philosophy: A Crash Course in Brain Surgery. Malden, MA: Blackwell, 2007.
    • Multiple essays demonstrate that a popular rock band can be philosophically insightful.
  • Johnson, Julian. Who Needs Classical Music? Cultural Choice and Musical Value. New York and Oxford: Oxford University Press, 2002.
    • An articulate defense of traditional elitism that regards the classical repertoire as superior to popular music.
  • Kania, Andrew. “Making Tracks: The Ontology of Rock Music.” The Journal of Aesthetics and Art Criticism 64:4 (2006): 401-14.
    • Summarizes the debate between Davies and Gracyk about the ontology of recorded music and offers original arguments against Davies.
  • Kant, Immanuel. Critique of Judgment. Trans. Werner Pluhar. Indianapolis: Hackett, 1987. Contains Kant’s aesthetic theory.
    • Although Kant does not distinguish between art music and popular music, his theory of aesthetic judgment is an important source for the doctrines of artistic genius and autonomy that have been used against popular music.
  • Kaplan, Abraham. “The Aesthetics of the Popular Arts.” The Journal of Aesthetics and Art Criticism 24:3 (1966): 351-364.
    • Argues that popular art is essentially formulaic, and therefore of limited aesthetic value.
  • Kraut, Robert. “Why Does Jazz Matter to Aesthetic Theory?” The Journal of Aesthetics and Art Criticism 63:1 (2005): 3-15.
    • Using the example of jazz, argues that prevailing aesthetic theory pays insufficient attention to the ways that some music functions linguistically.
  • Meltzer, Richard. The Aesthetics of Rock. New York: Something Else Press, 1970.
    • The argument is free-form and not intended as serious philosophy, yet Meltzer is philosophically knowledgeable and occasionally makes connections between popular music and philosophical aesthetics.
  • Nietzsche, Friedrich. The Birth of Tragedy and The Case of Wagner. Trans. Walter Kaufmann. New York: Random House, 1967.
    • Contains both Nietzsche’s original position on European classical music and his later misgivings.
  • Porter, Carl, and Peter Vernezze, eds. Bob Dylan and Philosophy: It’s Alright, Ma (I’m Only Thinking). Chicago: Open Court Publishing, 2006.
    • Multiple essays demonstrate that the work of a prominent popular songwriter and performer can be philosophically engaging.
  • Rudinow, Joel. “Race, Ethnicity, Expressive Authenticity: Can White People Sing the Blues?” The Journal of Aesthetics and Art Criticism 52:1 (1994): 127-37.
    • An important essay on white appropriation of African-American music.
  • Rudinow, Joel. “Reply to Taylor.” The Journal of Aesthetics and Art Criticism 53:3 (1995): 316-18.
    • Continuation of an exchange about the expressive authenticity of white blues performers.
  • Sartwell, Crispin. The Art of Living: Aesthetics of the Ordinary in World Spiritual Traditions. Albany: State University of New York Press, 1995.
    • Contains a chapter defending the vitality of blues and country music.
  • Shiner, Larry. The Invention of Art: A Cultural History. Chicago and London: University of Chicago Press, 2001.
    • Examines the social transformations that accompanied the modern development of the category of fine art.
  • Scruton, Roger. The Aesthetics of Music. Oxford: Oxford University Press, 1997.
    • A review of all major topics in the aesthetics of music; argues, at some length, that the aesthetic inferiority of recent popular music is calamitous for Western culture.
  • Shusterman, Richard. Performing Live: Aesthetic Alternatives for the End of Art. Ithaca and London: Cornell University Press, 2000a.
    • Continues ongoing project of defending popular art; contains several essays on popular music.
  • Shusterman, Richard. “Popular Art and Entertainment Value,” in Philosophy and the Interpretation of Pop Culture. Ed. William Irwin and Jorge Gracia. Lanham, MD: Rowman & Littlefield, 2006: pp. 131-57.
    • Provides a historically informed analysis of the concept of entertainment as distinct from the concept of the popular.
  • Shusterman, Richard. Pragmatist Aesthetics: Living Beauty, Rethinking Art. 2nd edition. Lanham, MD: Rowman & Littlefield, 2000b.
    • Outlines a pragmatist aesthetic as an antidote to traditional, elitist accounts of art and collects two seminal papers on popular music.
  • Stadlen, Peter. “The Aesthetics of Popular Music.” British Journal of Aesthetics 2:4 (1962), pp. 351-61.
    • Argues that popular music is not inherently non-artistic and then concentrates on explaining why it is nonetheless so aesthetically impoverished.
  • Taylor, Paul. “Black and Blue: Response to Rudinow.” The Journal of Aesthetics and Art Criticism53:3 (1995): 313-16.
    • Challenges Rudinow by offering a reformulated and more sophisticated criticism of white appropriations of African-American music.
  • von Appen, Ralf. “On the Aesthetics of Popular Music.” Music Therapy Today 8:1 (2007): 5-25.
    • Distinguishing among three dimensions of aesthetic experience, argues that popular music often invites the same response as does art music.
  • Wicke, Peter. Rock Music: Culture, Aesthetics and Sociology. Trans. Rachel Fogg. Cambridge: Cambridge University Press, 1990.
    • More sociology than philosophy, explores the opposition of popular and art music and suggests several major aesthetic differences.
  • Wrathall, Mark, ed. U2 and Philosophy: How to Dismantle an Atomic Band. Chicago: Open Court Press, 2006. Multiple essays demonstrate that a popular rock band can be socially progressive and philosophically insightful.
  • Young, James O. “Between Rock and a Harp Place.” The Journal of Aesthetics and Art Criticism 53:1 (1995): 78-81.
    • Criticizes Baugh’s contrast of rock music and classical music.
  • Zabel, Gary. “Adorno on Music: A Reconsideration.” The Musical Times 130:1754 (April 1989): 198-201.
    • A good starting point for those seeking a very brief introduction to Adorno.

Author Information:

Theodore Gracyk
Email: gracyk@mnstate.edu
Minnesota State University Moorhead
U. S. A.

Functionalism

Functionalism is a theory about the nature of mental states. According to functionalism, mental states are identified by what they do rather than by what they are made of. This can be understood by thinking about artifacts like mousetraps and keys. In particular, the original motivation for functionalism comes from the helpful comparison of minds with computers. But that is only an analogy. The main arguments for functionalism depend on showing that it is superior to its primary competitors: identity theory and behaviorism. Contrasted with behaviorism, functionalism retains the traditional idea that mental states are internal states of thinking creatures. Contrasted with identity theory, functionalism introduces the idea that mental states are multiply realized.

Objectors to functionalism generally charge that it classifies too many things as having mental states, or at least more states than psychologists usually accept. The effectiveness of the arguments for and against functionalism depends in part on the particular variety in question, and whether it is a stronger or weaker version of the theory. This article explains the core ideas behind functionalism and surveys the primary arguments for and against functionalism.

In one version or another, functionalism remains the most widely accepted theory of the nature of mental states among contemporary theorists. Nevertheless, in view of the difficulties of working out the details of functionalist theories, some philosophers have been inclined to offer supervenience theories of mental states as alternatives to functionalism.

Table of Contents

  1. Functionalism Introduced
  2. The Core Idea
  3. Being as Doing
  4. The Case for Functionalism
  5. Searle’s Chinese Room
  6. Zombies
  7. Stronger and Weaker Forms of Functionalism
  8. Conclusion
  9. References and Further Reading
    1. References
    2. Suggested Reading

1. Functionalism Introduced

Functionalism is a theory about the nature of mental states. According to functionalists, mental states are identified by what they do rather than by what they are made of. Functionalism is the most familiar or “received” view among philosophers of mind and cognitive science.

2. The Core Idea

Consider, for example, mouse traps. Mouse traps are devices for catching or killing mice. Mouse traps can be made of most any material, and perhaps indefinitely or infinitely many designs could be employed. The most familiar sort involves a wooden platform and a metal strike bar that is driven by a coiled metal spring and can be released by a trigger. But there are mouse traps designed with adhesives, boxes, poisons, and so on. All that matters to something’s being a mouse trap, at the end of the day, is that it is capable of catching or killing mice.

Contrast mouse traps with diamonds. Diamonds are valued for their hardness, their optical properties, and their rarity in nature. But not every hard, transparent, white, rare crystal is a diamond—the most infamous alternative being cubic zirconia. Diamonds are carbon crystals with specific molecular lattice structures. Being a diamond is a matter of being a certain kind of physical stuff. (That cubic zirconia is not quite as clear or hard as diamonds explains something about why it is not equally valued. But even if it were equally hard and equally clear, a CZ crystal would not thereby be a diamond.)

These examples can be used to explain the core idea of functionalism. Functionalism is the theory that mental states are more like mouse traps than they are like diamonds. That is, what makes something a mental state is more a matter of what it does, not what it is made of. This distinguishes functionalism from traditional mind-body dualism, such as that of René Descartes, according to which minds are made of a special kind of substance, the res cogitans (the thinking substance.) It also distinguishes functionalism from contemporary monisms such as J. J. C. Smart’s mind-brain identity theory. The identity theory says that mental states are particular kinds of biological states—namely, states of brains—and so presumably have to be made of certain kinds of stuff, namely, brain stuff. Mental states, according to the identity theory, are more like diamonds than like mouse traps. Functionalism is also distinguished from B. F. Skinner’s behaviorism because it accepts the reality of internal mental states, rather than simply attributing psychological states to the whole organism. According to behaviorism, which mental states a creature has depends just on how it behaves (or is disposed to behave) in response to stimuli. In contrast functionalists typically believe that internal and psychological states can be distinguished with a “finer grain” than behavior—that is, distinct internal or psychological states could result in the same behaviors. So functionalists think that it is what the internal states do that makes them mental states, not just what is done by the creature of which they are parts.

As it has thus far been explained, functionalism is a theory about the nature of mental states. As such, it is an ontological or metaphysical theory. And this is how it will be discussed, below. But it is also worthwhile to note that functionalism comes in other varieties as well. Functionalism could be a philosophical theory about psychological explanations (that psychological states are explained as functional states) or about psychological theories (that psychological theories take the form of functional theories.) Functionalism can also be employed as a theory of mental content, both as an account of the intentionality of mental states in general (what makes some states intentional is that they function in certain ways) or of particular semantic content (what makes some state have the content “tree” is that it plays a certain role vis-à-vis trees.) Finally, functionalism may be viewed as a methodological account of psychology, the theory that psychology should be pursued by studying how psychological systems operate. (For detailed discussion of these variations, see Polger, 2004, ch. 3.)

Often philosophers and cognitive scientists have subscribed to more than one of these versions of functionalism together. Sometimes it is thought that some require others, or at least that some entail others when combined with certain background assumptions. For example, if one believes, following Franz Brentano, that “intentionality is the mark of the mental,” then any theory of intentionality can be converted into a theory of the ontological nature of psychological states. If so, intentional functionalism may entail metaphysical functionalism.

All this being said, metaphysical functionalism is the central doctrine and probably the most widely endorsed. So in what follows the metaphysical variety will be the focus.

3. Being as Doing

Before looking at the arguments for and against functionalism, it is necessary to clarify the idea that, for mental states, being is doing.

Plausibly a physical stuff kind such as diamond has a physical or structural essence, i.e., being a thing of a certain composition or constitution, quite independently of what they do or can be used to do. It happens that diamonds can cut glass, but so can many other things that are not diamonds. And if no diamond ever did or could cut glass (perhaps Descartes’ evil demon assures that all glass is impenetrable), then they would not cease to be diamonds.

But it is also plausible that not all stuffs are made up in this way. Some things may be essentially constituted by their relations to other things, and by what they can do. The most obvious examples are artifacts like mousetraps and keys. Being a key is not a matter of being a physical thing with a certain composition, but it is a matter of being a thing that can be used to perform a certain action, namely, opening a lock. Lock is likewise not a physical stuff kind, but a kind that exists only in relation to (among other things) keys. There may be metal keys, wood keys, plastic keys, digital keys, or key-words. What makes something a key is not its material composition or lack thereof, but rather what it does, or could do, or is supposed to do. (Making sense of the claim that there is something that some kinds of things are supposed to do is one of the important challenges for functionalists.)

The activities that a key does, could do, or is supposed to do may be called its functions. So one can say that keys are essentially things that have certain functions, i.e., they are functional entities. (Or the kind key is a functional kind.)

The functionalist idea is, in some forms, quite ancient. One can find in Aristotle the idea that things have their functions or purposes—their telos— essentially. In contemporary theories applied to the mind, the functions in question are usually taken to be those that mediate between stimulus (and psychological) inputs and behavioral (and psychological) outputs. Hilary Putnam’s contribution was to model these functions using the contemporary idea of computing machines and programs, where the program of the machine fixes how it mediates between its inputs and standing states, on one hand, and outputs and other standing states, on the other. Modern computers demonstrate that quite complex processes can be implemented in finite devices working by basic mechanical principles. If minds are functional devices of this sort, then one can begin to understand how physical human bodies can produce the tremendous variety of actions and reactions that are associated with our full, rich mental lives. The best theory, Putnam hypothesized, is that mental states are functional states—that the kind mind is a functional kind.

The initial inspiration for functionalism comes from the useful analogy of minds with computing machines, as noted above. Putnam was certainly not the first to notice that this comparison could be theoretically fruitful. But in his “functionalist papers” of the 1950s and 1960s, he methodically explored the utility, and oversaw the transition of the idea from mere analogy to comprehensive theory, culminating with his classic defense of the functional state theory in his 1967 paper, “The Nature of Mental States.” There Putnam advanced the case for functionalism as a serious theoretical hypothesis, and his argument goes beyond the mere claim that it is fruitful to think of minds as being in many ways similar to machines. This argument aims to establish the conclusion that the best theory is the one that holds that minds “just are” machines of a certain sort.

4. The Case for Functionalism

Many arguments for functionalism depend on the actuality or possibility of systems that have mental states but that are either physically or behaviorally distinct from human beings. These arguments are mainly negative arguments that aim to show that the alternatives to functionalism are unacceptable. For example, behaviorists famously held that psychological states are not internal states at all, whether physical or psychical. But, the argument goes, it is easy to imagine two creatures that are behaviorally indistinguishable and that differ in their mental states. This line of reasoning is one of a family of “perfect actor” or “doppelgänger” arguments, which are common fare in philosophy of mind:

P1. If behaviorism is true, it is not possible for there to be a perfect actor or doppelgänger who behaves just like me but has different mental states or none at all.

P2. But it is possible for there to be a perfect actor or doppelgänger who behaves just like me but has different mental states or none at all.

P3. Therefore, behaviorism is not true. (by modus tollens)

In a well-known version of this argument, one imagines that there could be “Super-Spartans” who never exhibit pain behavior (such as flinching, saying “ouch”) or even any dispositions to produce pain behavior (Putnam 1963).

The most famous arguments for functionalism are responses not to behaviorism but to the mind-brain identity theory. According to the identity theory, “sensations are brain processes” (Smart 1959). If mental state kinds are (identical to) kinds of brain states, then there is a one-to-one relation between mental state kinds and brain state kinds. Everything that has sensation S must have brain state B, and everything that has brain state B must have sensation S. Not only that, but this one-to-one correlation must not be accidental. It must be a law of nature, at least, and perhaps must hold with an even stronger sort of necessity. Put this way, the mind-brain identity theory seems to make a very strong claim, indeed. As Hilary Putnam notes,

the physical-chemical state in question must be a possible state of a mammalian brain, a reptilian brain, a mollusc’s brain (octopuses are mollusca, and certainly feel pain), etc. At the same time, it must not be a possible (physically possible) state of the brain of any physically possible creature that cannot feel pain. Even if such a state can be found, it must be nomologically certain that it will also be a state of the brain of any extraterrestrial life that may be found that will be capable of feeling pain before we can even entertain the supposition that it may be pain. (Putnam 1967: 436)

The obvious implication is that the mind-brain identity theory is false. Other mammals, reptiles, and mollusks can experience pain, but they do not have brains like ours. It seems to follow that there is not a one-to-one relation between sensations and brain processes, but rather a one-to-many relation. Mental states, then, are not uniquely realized (as the identity theory requires); they are instead multiply realized.

And even if (by chance) it turns out that mammals, reptiles, and mollusks all have similar brains (so that in fact there is a one-to-one correlation), certainly one can recognize the possibility that it might be discovered that terrestrial or extraterrestrial creatures who experience pains but do not have brains like those of human beings. So it is surely not necessary that there is a one-to-one relation between mental state kinds and brain states kinds, but that is exactly what the identity theory would require. This is bad news for the identity theory, but it is good news for functionalism. For functionalism says that what makes something a mental state is what it does, and it is fully compatible with the diverse brains of mammals, reptiles, and mollusks that they all have mental states because their different brains do the same things, that is, they function in the same ways. Functionalism is supported because it is a theory of mind that is compatible with the likely degree of multiple realization of mental states.

Another pair of arguments for functionalism are what can be called the Optimistic and Pessimistic Arguments. The optimistic argument leans on the possibility of building artificial minds. The Optimistic Argument holds that even if no one ever discovers a creature that has mental states but differs from humans in its brain states, surely one could build such a thing. That is, the possibility of artificial intelligence seems to require the truth of something like functionalism. Functionalism views the mind very much as an engineer does: minds are mechanisms, and there is usually more than one way to build a mechanism. The Optimistic Argument, then, is a variation on the multiple realization argument discussed above; but this version does not depend on empirical facts about how our world is in fact, as the multiple realization argument does.

The Pessimistic Argument claims that the alternatives to functionalism would leave people unable to know about and explain the mental states of one another, or of other creatures. After all, if two creatures function in the same ways, achieve the same results, have isomorphic internal states, etc., then what could justify the claim that one has mental states and the other does not? The identity theory says that the justification has to do with what kinds of stuff the creatures are made of—only the one with the right kind of brain counts as having mental states. But this flies in the face of our ordinary practices of understanding, attributing, and explaining mental states. If someone says, “I am in pain,” or “I believe that it is sunny outside,” one doesn’t have to cut the speaker open and find out whether they have a human brain in order to know that they have a pain or a belief. One knows that because the speaker not only produce those noises (as the behaviorist might say), but because they have internal states that function in certain ways. One can test this, as psychologists often do, by running experiments in a laboratory or, as ordinary people do, by asking questions and observing replies. That is, we can find out how the systems function. And if functionalism is correct, that is all we need to know in order to have knowledge of other minds. But if the identity theory is correct, then those methods are at best heuristics, and the observer may yet be wrong. One cannot know for certain that the speaker has pains or beliefs unless one knows what kind of brain the speaker has. Without knowing about brains, we can only infer that others have beliefs on the basis of the behavioral symptoms they exhibit, and we already know (see above, regarding behaviorism and Super-Spartans) that those can lead us astray. But that is crazy, the argument goes, and if one really believed it then (given that in general one doesn’t know what kinds of brains other people have) nobody would be justified in believing anything about the beliefs of other people and creatures . And that is crazy.

The trouble with the Optimistic Argument is that it is question-begging. It assumes that one can create artificial thinking things without duplicating the kinds of brain states that human beings have, and that is just what the identity theory denies. The trouble with the Pessimistic Argument is that it seems to exploits a very high standard for knowledge of other minds — namely infallibility or certainty. The objection gets its grip only if the requirement to infer facts about others minds does undermine the possibility of knowledge about those minds. But we regularly acquire knowledge by inference or induction, and there is no special reason to think that inferences about minds are more problematic than other inferences.

The multiple realization argument is much more nuanced. Its interpretation is a matter of some dispute. Although there has been increasing resistance to the argument lately, it remains the most influential reason for favoring functionalism over the alternatives. And even if the multiple realization argument is unsound, that result would only undermine one argument for functionalism and not the thesis itself.

The next two sections will consider two objections to functionalism that aim to show that the theory is untenable. Both objections assume that mental states are, as the functionalist insists, multiply realizable. The objections try to show that because of its commitment to multiple realization, functionalism must accept certain unpalatable consequences. The conclusion of each argument is that functionalism is false.

5. Searle’s Chinese Room

John Searle’s “Chinese Room Argument is aimed at computational versions of functionalism, particularly those that specify the relevant functions in terms of inputs and outputs without fixing the internal organization of the processes. Searle stipulates that “Strong AI” is the thesis than an appropriately programmed computer literally has mental states, and that its program thereby constitutes an explanation of its mental states and (following the functionalist inspiration) of human mental states (1980). Searle then describes a scenario in which a system that carries out the program consists in some books and pieces of paper, a pencil, he himself—John Searle—all inside a room. People on the outside pass questions written in Chinese into the room. And Searle, by following the directions (the program) in the books, is able to produce answers to those questions. But Searle insists that he does not understand Chinese and has no beliefs about the questions and answers. After all, one may suppose with him, he doesn’t even recognize that they are questions and answers written in Chinese, or any language at all for that matter. And he thinks it would be absurd to say that the room itself understands Chinese or has beliefs about the questions and answers. So, he concludes, the version of functionalism represented by Strong AI must be false. Having the right functions, at least when they are specified only by inputs and outputs, is not sufficient for having mental states.

Searle’s Chinese Room is a version of the “twin” or “doppelgänger” style objections to functionalism, in which some system is specified to be functionally isomorphic to a mental system, e.g., one that understands stories written in Chinese. Since functionalism holds that being is doing, two systems that do the same things (that is, that are functionally the same) should also be the same with respect to their mental states. But if Searle is correct, the system including the books and himself is functionally but not psychologically identical to a person who understands Chinese. And if so, this is incompatible with functionalism.

Searle considers a number of responses to his thought experiment, and offers his own replies. Probably the most serious response is that Searle begs the question when he asserts that the whole collection of stuff in the room including the books and himself, i.e., the whole system, does not understand. The “Systems Reply” holds that if functionalism is true then the whole system does understand Chinese, just as a Chinese speaker does even though it would be wrong to say that her brain or her tongue or some part of her understands Chinese by itself.

On the other hand, Searle’s example does dramatically illustrate a worry that has been expressed by others: Even if there are many ways of being a thinking thing, it does not follow that anything goes. In the Chinese Room thought experiment, nothing is specified about the details of instructions that Searle follows, the program. It is simply stipulated that it produces the correct outputs appropriate to the inputs. But many philosophers think that it would undermine the claim that the room understands if, for example, the program turned out to be a giant look-up table, a prepared list of all possible questions with the corresponding appropriate answer (Block 1978). The giant look-up table seems like too “dumb” a way to implement the system to count as understanding. So it’s not unreasonable to say that Searle has shown that input-output functionalism can’t be the whole story about mental states. Still, that’s a much more modest conclusion than Searle aimed for.

6. Zombies

Searle’s Chinese Room objection focuses on contentful mental states like belief and understanding, what are generally called intentional states. But some philosophers conclude that functionalism is a good theory of intentional states but that it nevertheless fails because it cannot explain other sorts of mental states—in particular, they say that it cannot explain sensations and other conscious mental states.

Putting the point in terms of Searle’s Chinese Room: the whole system might, in some sense, understand Chinese or produce responses that are about the questions; but, in Thomas Nagel’s famous phrase, there is nothing that “it is like” to be the Chinese Room. The whole system does not enjoy what it is doing, it does not experience sensations or emotions, and it does not feel pains or pleasures. But Searle himself does have experiences and sensations—he is a conscious being. So, the reasoning goes, even if functionalism works for intentional states, it does not work for consciousness.

Early versions of this concern were discussed under the name “absent qualia.” But the current fashion is to cast the discussion in term of twins or doppelgängers called zombies. (This terminology was introduced by Robert Kirk 1974, but has recently, for lack of a better expression, taken on a life of its own.) The general idea is that there might be two creatures which are physically or functionally identical but that differ in the mental states in a particularly dramatic way: one has normal conscious mental states, and the other has none at all. The second twin is the philosophical “zombie.”

The logical structure of the zombie argument is just the same as with the other twin and doppelgänger arguments, like the Super-Spartans discussed above:

P1*. If functionalism is true, it is not possible for me to have a zombie twin, i.e., a doppelgänger who functions just like me but has no mental states.

P2*. But it is possible for me to have a zombie twin.

P3*. Therefore, functionalism is not true. (by modus tollens)

There are several differences between the premises of the zombies argument and those of the earlier argument against behaviorism. First, while most versions of functionalism entail P1*, it is not obvious that all must. Fred Dretske, for example, endorses a version of functionalism that rejects P1* (1995). But more crucially, the justification for P2* is far less clear than that for P2. P2 makes a very weak claim, because mere behavior—movement, rather than what some philosophers would call action—is relatively easy to generate. This much as been commonplace among those who theorize about the mind at least as far back as Descartes’ familiarity with mechanical statues in European water gardens. P2* makes a potentially much stronger claim. It seems to suggest that the zombie could be not just behaviorally identical but also functionally identical in any arbitrary sense of function and in as much specificity as one might want. But this is quite controversial. In the most controversial form, one might suppose that “functional” identity could be arbitrarily fine-grained so as to include complete physical identity. In this variation, the twins would be physically identical creatures, one of whom has conscious mental states and the other of whom lacks consciousness altogether.

The challenge for the functionalist, as Ned Block has argued, is to find a notion of function and a corresponding version of functionalism that solve “the problem of inputs and outputs” (Block 1978). Functionalism must be specified in terms of functions (inputs and outputs) that are sufficiently general to allow for multiple realization of mental states, but sufficiently specific to avoid attributing mental states to just about everything. This is tricky. A version of functionalism that is too specific will rule out certain genuinely psychological systems, and thereby prove to be overly “chauvinistic.” A version of functionalism that is too general will attribute mental states to all sorts of things that one doesn’t ordinarily take to have them, and thereby prove to be overly “liberal.” Is there any non-arbitrary cut-off between liberalism and chauvinism? Is there any way to navigate between this Scylla and Charybdis? This is the big unanswered question for functionalists.

7. Stronger and Weaker Forms of Functionalism

At this point two clarifications are in order. These clarifications reveal some ways in which functionalism comes in stronger or weaker versions.

The first clarification pertains to the varieties of functionalism. As noted in Section 2, there are many versions of functionalism. Here the focus has been on metaphysical versions. But the variations described earlier (metaphysical, intentional, semantic, explanatory, methodological, and theoretical) represent only one dimension of the ways in which various functionalisms differ. Functionalist theories can also be distinguished according to which mental phenomena they are directed toward. The standard way of classifying mental states is as intentional (such as beliefs and desires) or conscious or qualitative (such as sensations and feelings.) Of course some philosophers and psychologists believe that all mental states turn out to be of one sort. (Most commonly they hold that all kinds of mental states are intentional states of one sort or another.) But that need not be a factor here, for the classification is only for expository purposes. Specifically, one can hold that functionalism is a theory of intentional states, of conscious states, or of both. The strongest claim would be that functionalism applies to all mental states. William Lycan (1987) seems to hold this view. Weaker versions of functionalism apply to only one sort of mental state or the other. For example, Jaegwon Kim (2005) appears to hold that something like functionalism applies to intentional states but not to qualitative states.

The second clarification pertains to the scope or completeness of a functionalist theory. Functionalism claims that the nature of mental states is determined by what they do, by how they function. So a belief that it is sunny, for example, might be constituted in part by its relations to certain other beliefs (such as that the sun is a star), desires (such as the desire to be on a beach), inputs (such as seeing the sun), and outputs (such as putting on sunglasses.) Now consider the other beliefs and desires (in the above example) that partially constitute the nature of the belief that it is sunny. In the strongest versions of functionalism, those beliefs and desires are themselves functional states, defined by their relations to inputs, outputs, and other mental states that are in turn functionally constituted; and so on. In this case, every mental state is completely or purely constituted by its relations to other things, without remainder. Nothing can exist as a mental state on its own, only in relation to the others. In contrast, weaker versions of functionalism could allow some mental states to be basic and non-functional For example, if functionalism applies to all mental states, one could hope to explain intentional states functionally while allowing for conscious mental states to be basic. Then the belief that it is sunny might be constituted, in part, by its relations to certain sensations of warmth or yellowness, but those sensations might not be functional states. Generally speaking, philosophers who do not specify otherwise are assuming that functionalism should be the strong or pure variety. Impure or weak versions of functionalism—what Georges Rey calls “anchored” versions—do not succeed in explaining the mental in terms of purely non-mental ingredients. So whatever other value they might have, they fall short as metaphysical theories of the nature of mental states. Some would deny that weak theories should count as versions of functionalism at all.

8. Conclusion

There are many more variations among functionalist theories than can be discussed herein, but the above clarifications are sufficient to give a flavor of the various nuances. It is safe to say that in one version or another, functionalism remains the most widely accepted theory of the nature of mental states among contemporary theorists. Nevertheless, recently, perhaps in view of the difficulties of working out the details of functionalist theories, some philosophers have been inclined to offer supervenience theories of mental states as alternatives to functionalism. But as Jaegwon Kim correctly pointed out, supervenience simply allows us to pose the question about the nature of mental states, it is not an answer. The question is: Why do mental states supervene on the physical states of the creatures that have them, or at least of the world altogether? Functionalism provides one possible answer: Mental states supervene on physical states because mental states are functional states, i.e., they are realized by physical states. Much remains to be said about such a theory, and to many philosophers the arguments for it do not seem as decisive as when they were initially offered. But there is no denying that it is an intriguing and potentially powerful theory.

9. References and Further Reading

a. References

  • Block, N. (ed.) 1980a. Readings in Philosophy of Psychology, Volume One. Cambridge, MA: Harvard University Press.
  • Block, N. (ed.) 1980b. Readings in Philosophy of Psychology, Volume Two. Cambridge, MA: Harvard University Press.
  • Block, N. and J. Fodor. 1972. What Psychological States Are Not. Philosophical Review 81: 159-181.
  • Chalmers, D. 1995. Facing up to the problem of consciousness. Journal of Consciousness Studies, 2, 3: 200-219.
  • Cummins, R. 1975. Functional analysis. The Journal of Philosophy LXXII, 20: 741-765.
  • Fodor, J. 1968. Psychological Explanation. New York: Random House.
  • Fodor, J. 1974. Special sciences, or the disunity of science as a working hypothesis. Synthese 28: 97-115. Reprinted in Block 1980a.
  • Kim, J. 2005. Physicalism, or Something Near Enough. Princeton: Princeton University Press.
  • Kirk, R. 1974. Zombies v. Materialists. Proceedings of the Aristotelian Society, 48: 135-152.
  • Lewis, D. 1970. How to Define Theoretical Terms. Journal of Philosophy 68: 203-211.
  • Lewis, D. 1972. Psychophysical and Theoretical Identifications. The Australasian Journal of Philosophy 50: 249-258.
  • Lewis, D. 1980. Mad Pain and Martian Pain. In Block (ed.) 1980b.
  • Lycan, W. 1981. Form, Function, and Feel. Journal of Philosophy 78: 24-50.
  • Lycan, W. 1987. Consciousness. Cambridge, MA: The MIT Press.
  • Millikan, R. 1989. In Defense of Proper Functions. Philosophy of Science 56: 288-302.
  • Polger, T. 2000. Zombies Explained. In Dennett’s Philosophy: A Comprehensive Assessment, D. Ross, A. Brook, and D. Thompson (Eds). Cambridge, MA: The MIT Press.
  • Putnam, H. 1960. Minds and Machines. In Hook (ed) Dimensions of Mind (New York: New York University Press). Reprinted in Putnam (1975c).
  • Putnam, H. 1963. Brains and Behavior. Analytical Philosophy, Second Series, ed. R. J. Butler (Oxford: Basil Blackwell): 211-235. Reprinted in Putnam (1975c).
  • Richardson, R. 1979. Functionalism and Reductionism. Philosophy of Science 46: 533-558.
  • Richardson, R. 1982. How not to reduce a functional psychology. Philosophy of Science, 49, 1: 125-137.
  • Searle, J. 1980. Minds, Brains, and Programs. The Behavioral and Brain Sciences 3, 3: 417-424.
  • Shapiro, L. 2000. Multiple Realizations, The Journal of Philosophy, 97, 635-654.
  • Shapiro, L. 2004. The Mind Incarnate, Cambridge, MA: The MIT Press.
  • Shoemaker, S. 1975. Functionalism and Qualia. Philosophical Studies 27: 291-315. Reprinted in Block (1980a).
  • Shoemaker, S. 1984. Identity, Cause, and Mind. New York: Cambridge University Press.
  • Smart J. J. C. 1959. Sensations and Brain Processes. Philosophical Review, LXVIII: 141-156.
  • Sober, E. 1985. Panglossian Functionalism and the Philosophy of Mind. Synthese 64: 165-193.
  • Wright, L. 1973. Functions. Philosophical Review 82, 2: 139-168.

b. Suggested Reading

  • Block, N. 1978. Troubles with functionalism. C. W. Savage (ed.), Minnesota Studies in the Philosophy of Science, Vol. IX (Minneapolis, MN: University of Minnesota Press). Reprinted in Block (1980a).
  • Block, N. 1980c. Introduction: What is functionalism? In Block (1980b).
  • Kim, J. 1996. Philosophy of Mind. Boulder, CO: Westview.
  • Polger, T. 2004. Natural Minds. Cambridge, MA: The MIT Press.
  • Putnam, H. 1967. Psychological Predicates. Reprinted in Block (1980) and elsewhere as “The Nature of Mental States.”
  • Rey, G. 1997. Contemporary Philosophy of Mind. Boston: Blackwell Publishers.
  • Shoemaker, S. 1981. Some Varieties of Functionalism. Philosophical Topics 12, 1: 83-118. Reprinted in Shoemaker (1984).
  • Van Gulick, R. 1983. Functionalism as a Theory of Mind. Philosophy Research Archives: 185-204.

Author Information

Thomas W. Polger
Email: thomas.polger@uc.edu
University of Cincinnati
U. S. A.

Abortion

This article gives an overview of the moral and legal aspects of abortion and evaluates the most important arguments. The central moral aspect concerns whether there is any morally relevant point during the biological process of the development of the fetus from its beginning as a unicellular zygote to birth itself that may justify not having an abortion after that point. Leading candidates for the morally relevant point are: the onset of movement, consciousness, the ability to feel pain, and viability. The central legal aspect of the abortion conflict is whether fetuses have a basic legal right to live, or, at least, a claim to live. The most important argument with regard to this conflict is the potentiality argument, which turns on whether the fetus is potentially a human person and thus should be protected. The question of personhood depends on both empirical findings and moral claims.

The article ends with an evaluation of a pragmatic account. According to this account, one has to examine the different kinds of reasons for abortion in a particular case to decide about the reasonableness of the justification given. Take the example of a young, raped woman. The account suggests that it would seem cruel and callous to force her to give birth to “her” child. So, if  this pragmatic account is correct, some abortions may be morally justifiable whereas other abortions may be morally reprehensible.

Table of Contents

  1. Preliminary Distinctions
    1. Three Views on Abortion
    2. The Standard Argument
    3. The Modified Standard Argument
  2. Personhood
  3. Moral Aspects of the Abortion Conflict
    1. Moral Rights
    2. At Birth
    3. Viability
    4. First Movement
    5. Consciousness and the Ability to Feel Pain
    6. Unicellular Zygote
    7. Thomson and the Argument of The Sickly Violinist
  4. Legal Aspects of the Abortion Conflict
    1. The Account of Quasi-Rights
    2. The Argument of Potentiality
  5. A Pragmatic Account
    1. First Order Reasons
      1. Rape
      2. Endangerment of the Woman’s Life
      3. Serious Mentally or Physically Disabled Fetuses
    2. Second Order Reasons
      1. A Journey to Europe
      2. Financial and Social Reasons
    3. First Order Reasons vs. Second Order Reasons
  6. Public Policy and Abortion
  7. Clinical Ethics Consultation and Abortion
  8. References and Further Reading

1. Preliminary Distinctions

One of the most important issues in biomedical ethics is the controversy surrounding abortion. This controversy has a long history and is still heavily discussed among researchers and the public—both in terms of morality and in terms of legality. The following basic questions may characterize the subject in more detail: Is abortion morally justifiable? Does the fetus (embryo, conceptus, and zygote) have any moral and/or legal rights? Is the fetus a human person and, thus, should be protected? What are the criteria for being a person? Is there any morally relevant break along the biological process of development from the unicellular zygote to birth? This list of questions is not meant to be exhaustive, but it describes the issues of the following analysis.

a. Three Views on Abortion

There are three main views: first, the extreme conservative view (held by the Catholic Church); second, the extreme liberal view (held by Singer); and third, moderate views which lie between both extremes. Some opponents (anti-abortionists, pro-life activists) holding the extreme view, argue that human personhood begins from the unicellular zygote and thus – according to the religious stance – one should not have an abortion by virtue of the imago dei of the human being (for example, Schwarz 1990). To have an abortion would be, by definition, homicide. The extreme liberal view is held by proponents (abortionists). They claim that human personhood begins immediately after birth or a bit later (Singer). Thus, they consider the relevant date is at birth or a short time later (say, one month). The proponents of the moderate views argue that there is a morally relevant break in the biological process of development – from the unicellular zygote to birth – which determines the justifiability and non-justifiability of having an abortion. According to them, there is a gradual process from being a fetus to being an infant where the fetus is not a human being but a human offspring with a different moral status.

The advantage of the extreme conservative view is the fact that it defines human personhood from the beginning of life (the unicellular zygote); there is no slippery slope. However, it seems implausible to say that the zygote is a human person. The advantage of the extreme liberal view is that its main claim is supported by a common philosophical usage of the notion “personhood” and thus seems more sound than the extreme conservative view because the offspring is far more developed; as the unicellular zygote. This view also faces severe problems; for example, it is not at all clear where the morally relevant difference is between the fetus five minutes before birth and a just born offspring. Some moderate views have commonsense plausibility especially when it is argued that there are significant differences between the developmental stages. The fact that they also claim for a break in the biological process, which is morally relevant, seems to be a relapse into old and unjustified habits. As Gillespie stresses in his article “Abortion and Human Rights” (1984, 94-102) there is no morally relevant break in the biological process of development. But, in fact, there are differences, which make a comparative basis possible without having to solve the problem of drawing a line. How should one decide?

b. The Standard Argument

The standard argument is the following practical syllogism:

  1. The killing of human beings is prohibited.
  2. A fetus is a human being.
  3. The killing of fetuses is prohibited.

Hence, abortion is not allowed since homicide is prohibited. It seems obvious to question the result of the practical syllogism since one is able to argue against both premises. First, there are possible situations where the first premise could be questioned by noting, for example that killing in self-defense is not prohibited. Second, the second premise could also be questioned since it is not at all clear whether fetuses are human beings in the sense of being persons, although they are of course human beings in the sense of being members of the species of homo sapiens. Consecutively, one would deny that fetuses are persons but admit that a young two year old child may be a person. Although, in the end, it may be difficult to claim that every human being is a person. For example, people with severe mental handicaps or disorder seem not to have personhood. That is, if personhood is defined with regard to specific criteria like the capacity to reason, or to have consciousness, self-consciousness, or rationality, some people might be excluded. But, in fact, this does not mean that people with severe mental handicaps who lack personhood can be killed. Even when rights are tied to the notion of personhood, it is clearly prohibited to kill disabled people. Norbert Hoerster, a well-known German philosopher, claims that fetuses with severe handicaps can be – like all other fetuses – aborted, as born human beings with severe handicaps they have to be protected and respected like all other human beings, too (1995, 159).

c. The Modified Standard Argument

However, it seems appropriate to modify the standard argument and to use a more sophisticated version. Replace the notion “human being” with “human life form.” The new practical syllogism is:

  1. The killing of human life forms is prohibited.
  2. A fetus is a human life form.
  3. The killing of fetuses is prohibited.

The objection against the first premise of the standard argument still holds for the new more sophisticated version. But, the second modified premise is much stronger than the previous one because one has to determine what a human life form really is. Is a fetus a human life form? But, even if the fetus is a human life form, it does not necessarily follow that it should be protected by that fact, simpliciter. The fetus may be a human life form but it hardly seems to be a person (in the ordinary sense of the notion) and thus has no corresponding basic right to live. However, as already stated, this kind of talk seems to go astray because the criteria for personhood may be suitable for just-borns but not appropriate for fetuses, embryos, or unicellular zygotes, like some biological (human being), psychological (self-consciousness), rational (ability to reasoning), social (sympathy/love), or legal (being a human life form with rights) criteria may indicate (for example, Jane English 1984). Jane English persuasively argues in “Abortion and the Concept of a Person” that even if the fetus is a person, abortion may be justifiable in many cases, and if the fetus is no person, the killing of fetuses may be wrong in many cases.

2. Personhood

What does it mean to claim that a human life form is a person? This is an important issue since the ascription of rights is at stake. I previously stated that it is unsound to say that a fetus is a person or has personhood since it lacks, at least, rationality and self-consciousness. It follows that not every human being is also a person according to the legal sense, and, thus, also lacks moral rights (extreme case). The fetus is by virtue of his genetic code a human life form but this does not mean that this would be sufficient to grant it legal and moral rights. Nothing follows from being a human life form by virtue of one’s genes, especially not that one is able to derive legal or moral rights from this very fact (for example, speciesism). Is a human person exclusively defined by her membership of the species Homo sapiens sapiens and thus should be protected? To accept this line of argumentation would entail the commitment of the existence of normative empirical features. It seems premature to derive the prohibition to kill a life form from the bare fact of its genetic feature – including the human life form – unless one argues that human beings do have the basic interest of protecting their offspring. Is a human life form a moral entity? This seems to be a good approach. The argument runs as follows: It seems plausible to claim that human beings create values and, if they have the basic interest of protecting their offspring, human beings may establish a certain morality by which they can argue, for example, for the prohibition of abortions. The moral judgment can be enforced through legal norms (see below).

To be more precise about the assumption of the existence or non-existence of normative, empirical features: Critics of the view to tie the right to live and the biological category of being a human being claim that the protagonists effect the is-ought fallacy. Why is it unsound to take the bare fact of being a member of the biological species Homo sapiens as a solid basis for granting the right to live? The linkage seems only justified when there are sound factual reasons. If there are none, the whole line of reasoning would “hang in the air” so that one could also easily argue for the right to live for cats and dogs. Only factual relevant features may be important for the linkage. What could these relevant features look like?

Jane English presents in her article “Abortion and the Concept of a Person” several features of personhood which characterize the human person. Her notion of personhood can be grouped into five sectors (English 1984, pp. 152): (i) the biological sector (being a human being, having extremities, eating and sleeping); (ii) the psychological sector (perception, emotions, wishes and interests, ability to communicate, ability to make use of tools, self-consciousness); (iii) the rational sector (reasoning, ability to make generalizations, to make plans, learning from experience); (iv) the social sector (to belong to different groups, other people, sympathy and love); and (v) the legal sector (to be a legal addressee, ability to make contracts, to be a citizen). According to English, it is not necessary for a human life form to comply with all five sectors and different aspects to count as a person. A fetus lies right in the penumbra where the concept of personhood is hard to apply. There is no core of necessary and sufficient features that could be ascribed to a human life form in order to be sure that these features constitute a person (English 1984, 153).

Mary Anne Warren claims that a human life form should qualify as a person when, at least, some of the following aspects (especially i-iii) are at stake: (i) consciousness and the ability to feel pain; (ii) reasoning; (iii) a self-motivated activity; (iv) ability to communicate; and (v) the existence of a self-concept (for example, individual, racial) and self-consciousness (Warren 1984, 110-113). Warren argues that the fetus is no person since it lacks the criteria of personhood and, thus, an abortion is justified.

The aim is not to give an airtight definition of the concept of personhood. The main question is whether a fetus could qualify as a person. The following can be stated: The fetus is a human offspring but is not a legal, social, and rational person in the ordinary sense of the notions. Some aspects of the psychological sector for example, the ability to feel and perceive can be ascribed to the fetus but not to the embryo, conceptus, or the (unicellular) zygote. It seems implausible to say that a fetus (or embryo, conceptus, zygote) is a person, unless one additionally claims that the genetic code of the fetus is a sufficient condition. However, this does not mean, in the end, that one could always justify an abortion. It only shows that the fetus could hardly be seen as a human person.

It is hard to keep the legal and moral aspects of the conflict of abortion apart. There are overlaps which are due to the nature of things since legal considerations are based on the ethical realm. This can also be seen according to the notion person. What a person is is not a legal question but a question which is to be decided within a specific ethics. If one characterizes the notion of a person along some criteria, then the question of which criteria are suitable or not will be discussed with regard to a specific moral approach (for example, Kantianism, utilitarianism, virtue ethics). The relevant criteria, in turn, may come from different areas like the psychological, rational, or social sphere. If the criteria are settled, this influences the legal sector because the ascription of legal rights – especially the right to live in the abortion debate – is tied to persons and respectively to the concept of personhood.

3. Moral Aspects of the Abortion Conflict

The main question with regard to the moral sphere concerns identification of the right developmental point of the fetus (or the embryo, conceptus, zygote) to decide which break may morally justify an abortion or not (proponents of the moderate view and the extreme liberal view claim that there is such a break). The main arguments in the debate will be evaluated in the following. Before we analyze the arguments, it is necessary to say something about moral rights.

a. Moral Rights

Some authors claim that the talk of moral rights and moral obligations is an old never-ending tale. There are no “moral rights” or “moral obligations” per se; at least, in the sense that there are also moral rights and moral obligations apart from legal rights and legal obligations. There is no higher ethical authority which may enforce a specific moral demand. Rights and obligations rest on law. According to ethics, one should better say “moral agreements” (for example, Gauthier). The proponents claim that moral agreements do have a similar status to legal rights and legal obligations but stress that no person has an enforceable demand to have her moral rights prevail over others. The suitability is the essential aspect of the metaphysics of rights and obligations. Only the formal constraint establishes rights and obligations within a given society (for example, Hobbes); the informal constraint within a given society – though it may be stronger – is not able to do so. Without a court of first instance there are no rights and obligations. Only by using the legal system is one able to establish specific moral rights and specific moral obligations. Those authors claim that there are no absolute moral rights and moral obligations which are universally valid; moral agreements are always subjective and relative. Hence, there are also no (absolute) moral rights which the fetus (embryo, conceptus, or zygote) may call for. The only solution may be that the survival of the fetus rests on the will of the human beings in a given moral society. According to their view, it is only plausible to argue that an abortion is morally reprehensible if the people in a given society do have a common interest not to abort and make a moral agreement which is enforced by law.

b. At Birth

Proponents of the liberal view contend that the morally significant break in the biological development of the fetus is at birth. This means that it is morally permitted to have an abortion before birth and morally prohibited to kill the offspring after birth. The objection against this view is simple because there seems to be no morally relevant difference between a short time (say five minutes) before birth and after it. Factually, the only biological difference is the physical separation of the fetus from the mother. However it seems unsound to interpret this as the morally significant difference; the bare evidence with regard to the visibility of the offspring and the physical separation (that is, the offspring is no longer dependent on the woman’s body) seems insufficient.

c. Viability

Proponents of the moderate view often claim that the viability criterion is a hot candidate for a morally significant break because the dependence of the nonviable fetus on the pregnant woman gives her the right to make a decision about having an abortion. The aspect of dependence is insufficient in order to determine the viability as a possible break. Take the following counter-example: A son and his aged mother who is nonviable without the intensive care of her son; the son has no right to let his mother die by virtue of her given dependence. However, one may object that there is a difference between “needing someone to care for you” and “needing to live off a particular person’s body.” Furthermore, one may stress that the nonviable and the viable fetus both are potential human adults. But as we will see below the argument of potentiality is flawed since it is unclear how actual rights could be derived from the bare potentiality of having such rights at a later time. Hence, both types of fetuses cannot make claim for a right. There is also another objection that cannot be rebutted: the viability of the fetus regarding the particular level of medical technology. On the one hand, there is a temporal relativity according to medical technology. The understanding of what constitutes the viability of the fetus has developed over time according to the technical level of embryology in the last centuries and decades. Today, artificial viability allows physicians to rescue many premature infants who would have previously died. On the other hand, there exists a local relativity according to the availability of medical supplies in and within countries which determines whether the life of a premature infant will be saved. The medical supply may vary greatly. Consequently, it seems inappropriate to claim that viability as such should be regarded as a significant break by being a general moral justification against abortions.

d. First Movement

The first movement of the fetus is sometimes regarded as a significant break because proponents stress its deeper meaning which usually rests on religious or non-religious considerations. Formerly the Catholic Church maintained that the first movement of the fetus shows that it is the breathing of life into the human body (animation) which separates the human fetus from animals. This line of thinking is out-of-date and the Catholic Church no longer uses it. Another point is that the first movement of the fetus that women experience is irrelevant since the real first movement of the fetus is much earlier. Ultrasonic testing shows that the real first movement of the fetus is somewhere between the 6th and 9th week. But even if one considers the real first movement problems may arise. The physical ability to move is morally irrelevant. One counter-example: What about an adult human being who is quadriplegic and is unable to move? It seems out of the question to kill such people and to justify the killing by claiming that people who are disabled and simply lack the ability to move are, therewith, at other people’s disposal.

e. Consciousness and the Ability to Feel Pain

In general, proponents of moderate views believe that consciousness and the ability to feel pain will develop after about six months. However the first brain activities are discernable after the seventh week so that it is possible to conclude that the fetus may feel pain after this date. In this respect, the ability to suffer is decisive for acknowledging a morally significant break. One may object to this claim, that the proponents of this view redefine the empirical feature of “the ability to suffer” as a normative feature (is-ought fallacy). It is logically unsound to conclude from the bare fact that the fetus feels pain that it is morally reprehensible or morally prohibited per se to abort the fetus.

f. Unicellular Zygote

Proponents of the extreme conservative view claim that the morally significant break in the biological development of the fetus is given with the unicellular human zygote. They argue that the unicellular zygote is a human person, and thus, it is prohibited to have an abortion because one kills a human being (for example, Schwarz).

The extreme conservative proponents argue that biological development from the fetus to a human being is an incremental process which leaves no room for a morally significant break (liberals deny this line of thinking). If there is no morally significant break, then the fetus has the same high status of a newborn, or the newborn has the same low status of the fetus.

To many opponents of the “extreme” conservative position, it seems questionable to claim that a unicellular zygote is a person. At best, one may maintain that the zygote will potentially develop into a human being. Except the potentiality argument is flawed since it is impossible to derive current rights from the potential ability of having rights at a later time. Opponents (for example, Gert) also object to any attempt to base conclusions on religious considerations that they believe cannot stand up to rational criticism. For these reasons, they argue that the conservative view should be rejected.

g. Thomson and the Argument of The Sickly Violinist

Judith Jarvis Thomson presents an interesting case in her landmark article “A Defense of Abortion” (1971) in order to show that, even if the fetus has a right to live, one is still able to justify an abortion for reasons of a woman’s right to live/integrity/privacy. Thomson’s famous example is that of the sickly violinist: You awake one morning to find that you have been kidnapped by a society of music lovers in order to help a violinist who is unable to live on his own by virtue of his ill-health. He has been attached to your kidneys because you alone have the only blood type to keep him alive. You are faced with a moral dilemma because the violinist has a right to live by being a member of the human race; there seems to be no possibility to unplug him without violating this right and thus killing him. However, if you leave him attached to you, you are unable to move for months, although you did not give him the right to use your body in such a way (Thomson 1984, 174-175).

First, Thomson claims that the right to live does not include the right to be given the means necessary for survival. If the right to live entails the right to those means, one is not justified in preventing the violinist from the on-going use of one’s kidneys. The right to the on-going use of the kidneys necessarily implies that the violinist’s right to his means for survival always trumps the right to another person’s body. Thomson refuses this and claims that “the fact that for continued life that violinist needs the continued use of your kidneys does not establish that he has a right to be given the continued use of your kidneys” (Thomson 1984, 179). She argues that everybody has a right of how his own body is used. That is, the violinist has no right to use another person’s body without her permission. Therefore, one is morally justified in not giving the violinist the use of one’s own kidneys.

Second, Thomson contends that the right to live does not include the right not to be killed. If the violinist has the right not to be killed, then another person is not justified in removing the plug from her kidneys although the violinist has no right to their use. According to Thomson, the violinist has no right to another person’s body and hence one cannot be unjust in unplugging him: “You surely are not being unjust to him, for you gave him no right to use your kidneys, and no one else can have given him any such right” (Thomson 1984, 180). If one is not unjust in unplugging oneself from him, and he has no right to the use of another person’s body, then it cannot be wrong, although the result of the action is that the violinist will be killed.

4. Legal Aspects of the Abortion Conflict

What is the legal status of the fetus (embryo, conceptus, and zygote)? Before the question is answered, one should pay some attention to the issue of the genesis of a legal system. Which ontological status do legal rights have? Where do they come from? Usually we accept the idea that legal rights do not “fall from the blue sky” but are made by human beings. Other conceptions which had been provided in the history of human kind are:

  1. rights rest on God’s will;
  2. rights rest on the strongest person; or
  3. rights rest on a specific human feature like a person’s wisdom or age.

However, let us take the following description for granted: There is a legal community in which the members are legal entities with (legal) claims and legal addressees with (legal) obligations. If someone refuses the addressee’s legal obligation within such a system, the legal entity has the right to call the legal instance in order to let his right be enforced. The main question is whether the fetus (or the embryo, conceptus, zygote) is a legal person with a basic right to live or not and, furthermore, whether there will be a conflict of legal norms, that is a conflict between the fetus’ right to live and the right of self-determination of the pregnant woman (principle of autonomy). Is the fetus a legal entity or not?

a. The Account of Quasi-Rights

It was previously stated that the fetus as such is no person and that it seems unsound to claim that fetuses are persons in the ordinary sense of the notion. If rights are tied to the notion of personhood, then it seems appropriate to say that fetuses do not have any legal rights. One can object that animals of higher consciousness (or even plants, see Korsgaard 1996, 156) have some “rights” or quasi-rights because it is prohibited to kill them without good reason (killing great apes and dolphins for fun is prohibited in most countries). Their “right” not to be killed is based on the people’s will and their basic interest not to kill higher developed animals for fun. But, it would be wrong to assume that those animals are legal entities with “full” rights, or that they have only “half” rights. Thus, it seems reasonable to say that animals have “quasi-rights.” There is a parallel between the so-called right of the fetus and the quasi-rights of some animals: both are not persons in the normal sense of the notion but it would cause us great discomfort to offer them no protection and to deliver them to the vagaries of the people. According to this line of argument, it seems sound to claim that fetuses also have quasi-rights. It does not follow that the quasi-rights of the fetuses and the quasi-rights of the animals are identical; people would normally stress that the quasi-rights of fetuses are of more importance than that of animals.

However, there are some basic rights of the pregnant woman, for example, the right of self-determination, the right of privacy, the right of physical integrity, and the right to live. On the other hand, there is the existential quasi-right of the fetus, that is, the quasi-right to live. If the presumption is right that legal rights are tied to the notion of personhood and that there is a difference between rights and quasi-rights, then it seems right that the fetus has no legal right but “just” a quasi-right to live. If this is the case, what about the relation between the existential quasi-right of the fetus and the basic legal rights of the pregnant woman? The answer seems obvious: quasi-rights cannot trump full legal rights. The fetus has a different legal status that is based on a different moral status (see above). On this view there is no legal conflict of rights.

b. The Argument of Potentiality

Another important point in the debate about the ascription of legal rights to the fetus is the topic of potential rights. Joel Feinberg discusses this point in his famous article “Potentiality, Development, and Rights” (1984, 145-151) and claims that the thesis that actual rights can be derived from the potential ability of having such rights is logically flawed because one is only able to derive potential rights from a potential ability of having rights. Feinberg maintains that there may be cases where it is illegal or wrong to have an abortion even when the fetus does not have any rights or is not yet a moral person. To illustrate his main argument – that rights do not rest on the potential ability of having them – Feinberg considers Stanley Benn’s argument which I slightly modified:

If person X is President of the USA and thus is Commander in Chief of the army, then person X had the potential ability to become the President of the USA and Commander in Chief of the army in the years before his rule.

But, it does not follow that:

The person X has the authority to command the army as potential President of the USA.

Thus, it seems incorrect to derive actual rights from the bare potential ability to have legal rights at a later time. It should be added that Benn – despite his criticism on the argument of potential rights – also claims that there are valid considerations which do not refer to the talk of rights and may provide plausible reasons against infanticide and late abortions even when fetuses and newborns are lawless beings with no personhood.

5. A Pragmatic Account

There is always a chance that women get pregnant when they have sex with their (heterosexual) partners. There is not a 100% certainty of not getting pregnant under “normal circumstances”; there is always a very small chance even by using contraception to get pregnant. However, what does the sphere of decisions look like? A pregnancy is either deliberate or not. If the woman gets deliberately pregnant, then both partners (respectively the pregnant woman) may decide to have a baby or to have an abortion. In the case of having an abortion there may be good reasons for having an abortion with regard to serious health problems, for example, a (seriously) disabled fetus or the endangerment of the woman’s life. Less good reasons seem to be: vacation, career prospects, or financial and social grievances. If the pregnancy is not deliberate, it is either self-caused in the sense that the partners knew about the consequences of sexual intercourses and the contraception malfunctioned or it is not self-caused in the sense of being forced to have sex (rape). In both cases the fetus may be aborted or not. The interesting question concerns the reasons given for the justification of having an abortion.

There are at least two different kinds of reasons or justifications: The first group will be called “first order reasons”; the second “second order reasons.” First order reasons are reasons of justifications which may plausibly justify an abortion, for example, (i) rape, (ii) endangerment of the woman’s life, and (iii) a serious mentally or physically disabled fetus. Second order reasons are reasons of justifications which are, in comparison to first order reasons, less suitable in providing a strong justification for abortion, for example, (i) a journey, (ii) career prospects, (iii) by virtue of financial or social grievances.

a. First Order Reasons

i. Rape

It would be cruel and callous to force the pregnant woman who had been raped to give birth to a child. Judith Jarvis Thomson maintains in her article “A Defense of Abortion” that the right to live does not include the right to make use of a foreign body even if this means having the fetus aborted (Thomson 1984, pp. 174 and pp. 177). Both the fetus and the raped woman are “innocent,” but this does not change “the fact” that the fetus has any rights. It seems obvious in this case that the raped woman has a right to abort. Forcing her not to abort is to remind her of the rape day-by-day which would be a serious mental strain and should not be enforced by law or morally condemned.

However, this assumption would be premature from John Noonan’s viewpoint according to his article “An Almost Absolute Value in History” (Noonan 1970, 51-59). He claims that

the fetus as human [is] a neighbor; his life [has] parity with one’s own […] [which] could be put in humanistic as well as theological terms: do not injure your fellow man without reasons. In these terms, once the humanity of the fetus is perceived, abortion is never right except in self-defense. When life must be taken to save life, reason alone cannot say that a mother must prefer a child’s life to her own. With this exception, now of great rarity, abortion violates the rational humanist tenet of the equality of human lives.

Hence, the woman has no right to abort the fetus even if she had been raped and got pregnant against her will. This is the consequence of Noonan’s claim since he only permits having an abortion in self-defense while Thomson argues that women, in general, have a right to abort the fetus when the fetus is conceived as an intruder (for example, due to rape). But, it remains unclear what Noonan means by “self-defense.” At the end of his article he states that “self-sacrifice carried to the point of death seemed in extreme situations not without meaning. In the less extreme cases, preference for one’s own interests to the life of another seemed to express cruelty or selfishness irreconcilable with the demands of love” (Noonan 1970). On this view, even in the standard case of self-defense — for example, either the woman’s life or the life of the fetus — the pregnant woman’s death would not be inappropriate and in less extreme cases the raped woman would express cruelty or selfishness when she aborts the fetus — a judgment not all people would agree with.

ii. Endangerment of the Woman’s Life

Furthermore, there is no good reason to proceed with a pregnancy when the woman’s life is in serious danger. Potential life should not be more valued then actual life. Of course, it is desirable to do everything possible to rescue both but it should be clear that the woman’s life “counts more” in this situation. To force her at the risk of her life means to force her to give up her right of self-defense and her right to live. There seems to be no good reason to suspend her basic right of self-defense.

iii. Serious Mentally or Physically Disabled Fetuses

It is hard to say when exactly a fetus is seriously mentally or physically disabled because this hot issue raises the vital question of whether the future life of the disabled fetus is regarded as worth living (problem of relativity). Hence, there are simple cases and, of course, borderline cases which lie in the penumbra and are hard to evaluate. Among the simple cases take the following example: Imagine a human torso lacking arms and legs that will never develop mental abilities like self-consciousness, the ability to communicate, or the ability to reason. It seems quite obvious to some people that such a life is not worth living. But what about the high number of borderline cases? Either parents are not entitled to have a healthy and strong offspring, nor are the offspring entitled to become healthy and strong. Society should not force people to give birth to seriously disabled fetuses or morally worse to force mothers who are willing to give birth to a disabled fetus to have an abortion (for example, Nazi Germany). It seems clear that a rather small handicap of the fetus is not a good reason to abort it.

Often radical groups of disabled persons claim that, if other people hold the view that it is all right to abort fetuses with (serious) genetic handicaps, the same people therewith deny the basic right to live of disabled adults with serious handicaps (see Singer debate). This objection is unreasonable since fetuses in contrast to adult human beings have no basic interest in continuing to live their lives. Disabled fetuses may be aborted like other fetuses, disabled (adult) human persons have to be respected like other people.

b. Second Order Reasons

i. A Journey to Europe

With regard to the reasons of justification according to the second group, there is a specific view which is based on the argument that it is the decision of the woman to have an abortion or not.

There is a related view that rests on the assumption of the pregnant woman who claims that the fetus is a part of her body like a limb so that she has the right to do what ever she wants to do with the fetus. The argument is wrong. The fetus is certainly not a simple part of the pregnant woman but, rather, a dependent organism that relies on the woman.

The following example, the journey to Europe from North America, is based on the feminist argument but it is somewhat different in stressing another point in the line of argumentation: A young woman is pregnant in the seventh month and decides to make a journey to Europe for a sight-seeing tour. Her pregnancy is an obstacle to this and she decides to have an abortion. She justifies her decision by claiming that it will be possible for her to get pregnant whenever she wants but she is only able to make the journey now by virtue of her present career prospects. What can be said of her decision? Most authors may feel a deep discomfort not to morally condemn the action of the woman or not to reproach her for her decision for different reasons. But, there seems only two possible answers which may count as a valid basis for morally blaming the woman for her decision: First, if the young woman lives in a moral community where all members hold the view that it is immoral to have an abortion with regard to the reason given, then her action may be morally reprehensible. Furthermore, if the (moral) agreement is enforced by law, the woman also violated the particular law for which she has to take charge of. Second, one could also blame her for not showing compassion for her potential child. People may think that she is a callous person since she prefers to make the journey to Europe instead of giving birth to her almost born child (seventh month). If the appeal to her mercy fails, one will certainly be touched by her “strange” and “inappropriate” action. However, the community would likely put some informal pressure on the pregnant woman to influence her decision not to have an abortion. But some people may still contend that this social pressure will not change anything about the fact that the fetus has no basic right to live while claiming that the woman’s decision is elusive.

ii. Financial and Social Reasons

A woman got pregnant (not deliberately) and wants to have an abortion by virtue of her bad financial and social background because she fears that she will be unable to offer the child an appropriate life perspective. In this case, the community should do everything possible to assist the woman if she wants to give birth to her child. Or, some may argue, that society should offer to take care of her child in special homes with other children or to look for other families who are willing to house another child. According to this line of thinking, people may claim that the financial or social background should not be decisive for having an abortion if there is a true chance for help.

c. First Order Reasons vs. Second Order Reasons

There is a difference between the first order reasons and the second order reasons. We already saw that the first order reasons are able to justify an abortion while the second order reasons are less able to do so. That is because people think that the second order reasons are weaker than the reasons of the first group. It seems that the human ability to show compassion for the fetus is responsible for our willingness to limit the woman’s basic right of autonomy where her reasons are too elusive. However, one may state that there are no strong compulsive reasons which could morally condemn the whole practice of abortion. Some people may not unconvincingly argue that moral agreements and legal rights are due to human beings so that reasons for or against abortion are always subjective and relative. According to this view, one is only able to contend the “trueness” or “wrongness” of a particular action in a limited way. Of course, there are other people who argue for the opposite (for example, Kantians, Catholic Church). One reason why people have strong feelings about the conflict of abortion is that human beings do have strong intuitive feelings, for example, to feel compassion for fetuses as helpless and most vulnerable human entities. But moral intuitionism falls short by being a valid and objective basis for moral rights.

In the end, it is a question of a particular moral approach whether one regards an abortion as morally justifiable or not. But not every approach is justified. There is no anything goes.

6. Public Policy and Abortion

One of the most difficult issues is how to make a sound policy that meets the needs of most people in a given society without focusing on the extreme conservative view, or the extreme liberal view, or the many moderate views on the conflict of abortion. The point is simple, one cannot wait until the philosophical debate is settled, for maybe there is no one solution available. But, in fact, people in a society must know what the policy is; that is, they have to know when and under what circumstances abortion is permitted or altogether prohibited. What are the reasons for a given policy? Do they rest on religious beliefs or do they depend on cultural claims? Whose religious beliefs and whose cultural claims? Those beliefs and claims of most people or of the dominant group in a given society ? What about the problem of minority rights? Should they be respected or be refused? These are hard questions; no one is able to yet give a definite response.

But, of course, the problem of abortion has to be “solved,” at least, with regard to practical matters. This means that a good policy does not rest on extreme views but tries to cover as many points of views, although being aware of the fact that one is not able to please every person in society. This would be an impossible task. It seems that one should adopt a moderate view rather than the proposed extreme views. This is not because the moderate view is “correct” but because one needs a broad consensus for a sound policy. The hardliners in the public debate on the conflict of abortion, be they proponents or opponents, may not be aware of the fact that neither view is sustainable for most people.

A sound way for governments with regard to a reasonable policy could be the acceptance of a more or less neutral stance that may function as a proper guide for law. But, in fact, the decisive claim of a “neutral stance” is, in turn, questionable. All ethical theories try to present a proper account of a so-called neutral stance but there is hardly any theory that could claim to be sustainable with regard to other approaches. However, the key seems to be, again, to accept a middle way to cover most points of views. In the end, a formation of a policy seeks a sound compromise people could live with. But this is not the end of the story. One should always try to find better ways to cope with hard ethical problems. The conflict of abortion is of that kind and there is no evidence to assume otherwise.

7. Clinical Ethics Consultation and Abortion

The vital issue of how one chooses whether or not to have an abortion is of utmost importance since people, in particular women, want to have a proper “guideline” that can support them in their process of ethical decision-making. According to pregnant women, the most crucial point seems not to be whether abortion is morally legitimate or not but, rather, how one should deliberate in the particular case. In fact, observations regularly show that women will nearly have the same number of abortions in contexts in which it is legal or not.

Gert is right in claiming that “the law can allow behavior that some people regard as morally unacceptable, such as early abortion, and it can prohibit behavior that some people regard as morally acceptable, such as late abortion. No one thinks that what the law decides about abortion settles the moral issue” (Gert 2004, 138). But what follows from that? What aspects should one consider and how should one decide in a particular case?

It would be best to consult a neutral person who has special knowledge and experiences in medicine and medical ethics (for example, clinical ethics consultation). Most people are usually not faced with hard conflicts of abortion in their daily lives and get simply swamped by it; they are unable to determine and evaluate all moral aspects of the given case and to foresee the relevant consequences of the possible actions (for example, especially with regard to very young women who get pregnant by mistake). They need professional help without being dominated by the person in order to clarify their own (ethical) stance.

However, the conflict of abortion as such may not be solvable, in the end, but the experienced professional is able to provide persons with feasible solutions for the particular case.

8. References and Further Reading

  • Boonin, David (2002), A Defense of Abortion Cambridge: Cambridge University Press.
  • Boylan, Michael (2002), “The Abortion Debate in the 21st Century” in Medical Ethics, ed. Michael Boylan. Upper Saddle River, NJ: Prentice Hall.
  • Chadwick, Ruth, Kuhse, Helga, Landman, Willem et al. (2007), The Bioethics Reader. Editor’s Choice Oxford: Blackwell Publishers.
  • English, Jane (1984), “Abortion and the Concept of a Person,” in: The Problem of Abortion, 151-161.
  • Feinberg, Joel (1984), “Potentiality, Development, and Right,” in: The Problem of Abortion, 145-150.
  • Feinberg, Joel (1984), The Problem of Abortion, Belmont: Wadsworth.
  • Gauthier, David (1986), Morals by Agreement, Oxford: Oxford University Press.
  • Gert, Bernard (2004), Common Morality. Deciding What to Do, Oxford: Oxford University Press.
  • Gillespie, Norman (1984), “Abortion and Human Rights,” in: The Problem of Abortion, 94-102.
  • Gordon, John-S. (2005), “Die moralischen und rechtlichen Dimensionen der Abtreibungsproblematik,” in: Conjectura, 43-62.
  • Hoerster, Norbert (1995), Abtreibung im säkularen Staat, Frankfurt am Main: Suhrkamp.
  • Hobbes, Thomas (1996), Leviathan, Ed. Richard Tuck Cambridge: Cambridge University Press.
  • Korsgaard, Christine (1996), The Sources of Normativity, Cambridge: Cambridge University Press.
  • Noonan, John T. (1970), “An Almost Absolute Value in History,” in: The Morality of Abortion: Legal and Historical Perspectives, Cambridge: Harvard University Press, 51-59.
  • Noonan, John T. (1970), The Morality of Abortion: Legal and Historical Perspectives, Cambridge: Harvard University Press.
  • Schwarz, Stephen (1990), Moral Questions of Abortion, Chicago: Loyola University Press.
  • Singer, Peter (1993), Practical Ethics, Cambridge: Cambridge University Press.
  • Sumner, Wayne (1980), Abortion and Moral Theory, Princeton: Princeton University Press.
  • Thomson, Judith J. (1984), “A Defense of Abortion,” in: The Problem of Abortion, 173-188.
  • Tooley, Michael (1983), Abortion and Infanticide, Oxford: Oxford University Press.
  • Warren, Mary A. (1984), “On the Moral and Legal Status of Abortion,” in: The Problem of Abortion, 102-119.
  • Warren, Mary A. (1997), “Abortion,” in: A Companion to Ethics, Oxford: Blackwell Publishers, 303-314.

Author Information

John-Stewart Gordon
Email: john-stewart.gordon@rub.de
Ruhr-University Bochum
Germany

Charles Sanders Peirce (1839—1914)

peirceC.S. Peirce was a scientist and philosopher best known as the earliest proponent of pragmatism. An influential thinker and polymath, Peirce is among the greatest of American minds. His thought was a seminal influence upon William James, his life long friend, and upon John Dewey, his one-time student. James and Dewey went on to popularize pragmatism thereby achieving what Peirce’s inability to gain lasting academic employment prevented him from doing.

Pragmatism takes the meaning of a concept to depend upon its practical bearings. The upshot of this maxim is that a concept is meaningless if it has no practical or experiential effect on the way we conduct our lives or inquiries. Similarly, within Peirce’s theory of inquiry, the scientific method is the only means through which to fix belief, eradicate doubt and progress towards a final steady state of knowledge.

Although Peirce applied scientific principles to philosophy, his understanding and admiration of Kant also colored his work. Peirce was analytic and scientific, devoted to logical and scientific rigor, and an architectonic philosopher in the mold of Kant or Aristotle. His best-known theories, pragmatism and the account of inquiry, are both scientific and experimental but form part of a broad architectonic scheme. Long considered an eccentric figure whose contribution to pragmatism was to provide its name and whose importance was as an influence upon James and Dewey, Peirce’s significance in his own right is now largely accepted.

Table of Contents

  1. Peirce’s Life
  2. Peirce’s Works and Influence
  3. The Interpretation of Peirce’s Philosophy
  4. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Peirce’s Life

Charles Sanders Peirce was born September 10th, 1839, in Cambridge, MA to Benjamin Peirce, the brilliant Harvard mathematician and astronomer, and Sarah Hunt Mills, the daughter of Senator Elijah Hunt Mills. Peirce led a privileged early life; parental indulgences meant his father refused to discipline his children for fear of suppressing their individuality. Further, the academic and intellectual climate of the family home meant intellectual dignitaries were frequent visitors to the Peirce household. These visitors included mathematicians and men of science, poets, lawyers and politicians. This environment saw young Charles Peirce’s precocious intellect readily indulged.

Peirce was the second of five children and four talented brothers, one of whom, James Mills Peirce (his elder brother), followed their father to a mathematics professorship at Harvard. Another brother, Herbert Henry Davis Peirce, carved out a distinguished career in the Foreign Service whilst Peirce’s youngest brother, Benjamin Mills Peirce, showed promise as an engineer but died young. The talent of the Peirce brothers, and particularly Charles, stems in large part from the colossal intellect and influence of their father.

Benjamin Peirce was instrumental in the development of American Sciences in the 19th Century through his own intellectual achievements and by lobbying Washington for funds. He was influential in the creation of Harvard’s Lawrence Scientific School and in the foundation of a National Academy of the Sciences. A further role, which was to prove important in Charles Peirce’s life, was Peirce Senior’s influential position in the U.S Coastal and Geodetic Survey from 1852 until his death in 1880. Benjamin Peirce provided a mighty role model, guiding the prodigious development of the young Peirce’s intellect through heuristic teaching. This gave Peirce a love of science and commitment to rigorous inquiry from a young age.

The influence of Benjamin Peirce on Charles’ intellect and, through refusing discipline, his fierce independence of spirit, is immense. The devotion to mathematical thoroughness and love of science colored Peirce’s endeavors for the rest of his life. Further, Peirce’s free spirited independence of mind undoubtedly contributed to the stubbornness and arrogance that surfaced in moments of adversity to compound the professional difficulties that he continually faced.

Despite some problems in school due to Peirce’s unsettled behavior, he graduated from Harvard in 1859. Peirce remained consistently in the lower quarter of his class but his indifference to the work and disdain at the intellectual requirements asked of him seem to be the cause of his poor performance. He remained at Harvard as a resident for a further year receiving a Master of Arts degree. Further, in 1863, he graduated from Harvard’s Lawrence Scientific School with the first Bachelor of Science degree awarded Summa cum Laude.

By 1863, with his education complete and having secured employment with the U.S Coastal Survey, Peirce’s marriage to Harriet Melusina Fay, a feminist campaigner of good Cambridge patrician stock, appeared to lay the foundation for a fruitful career and stable life. Peirce’s star began to burn brightly and in 1865 he delivered a lecture series at Harvard and gave the Lowell Institute Lectures a year later at age twenty-six. He published early well-received responses to Kant’s system of categories in 1867 and to Descartes account of knowledge, science and doubt in 1868.

His research in geodesy and gravimetrics at the U.S. Coastal Survey gained him international respect and, through European research tours, enabled him to make contact with British and European logicians. During an early research tour of Europe, Peirce’s work on Boolean logic and relatives gained him respect and attention from the British Logicians W.S. Jevons and Augustus De Morgan. In 1867, The Academy of Arts and Science elected Peirce as a member and The National Academy of Sciences followed suit in 1877. Peirce also began extra work at the Harvard Observatory in 1869 and published a book from his research there, the 1878 Photometric Researches.

Other work in Philosophy saw Peirce begin the now legendary Metaphysical Club in 1872 with, amongst others, William James. He also published his best-known body of work, The Popular Science Monthly series, in 1877 and 1878. This included “The Fixation of Belief” and “How to Make Our Ideas Clear,” a continuation of his earlier anti-Cartesian thoughts and the first developed statements of his theories of inquiry and pragmatism. By 1879, Peirce obtained an academic appointment at Johns Hopkins University, teaching logic for the philosophy department. Here he continued to make strides in logic, developing a theory of relatives and quantifiers (independently of Frege). He published this work with his student O.H. Mitchell in the 1883 Studies in Logic. This volume contained a range of collaborative papers from Peirce and his JHU students.

All looked well for Peirce by the early 1880’s, and with the promise of tenure at Johns Hopkins he felt he could commit himself to a life pursuing his greatest love, logic. However, the beginnings of Peirce’s downfall were already stirring during this early successful period. Peirce’s work for the U.S. Coastal Survey and Harvard Observatory had led to tensions with the President of the Harvard Corporation, C.W. Elliot, about pay. Also, Peirce’s rise through the ranks of the Coastal Survey was partly nepotistic and at the expense of other men who expected to take the positions he gained. Further, the death of Benjamin Peirce in 1880 left Peirce without his most powerful backer in the Coastal Survey.

This need not have mattered had the Johns Hopkins appointment gone smoothly but earlier occurrences had also damaged this opportunity. Peirce had separated from his wife in 1876 and openly liased with a French mistress. Peirce’s wife had long suspected him of extra-marital affairs, even with the wives of his Coastal Survey colleagues, but the public nature of this particular liaison proved too much for her and she left him. Peirce lived openly with his mistress during the period from separation in 1876 to divorce in 1883 when he and his mistress married, seven days after the decree fini.

The affair itself need not have caused excessive moral consternation, but the indecorous manner in which it was conducted resulted in outrage: both the patrician families of Cambridge, and academic establishment of Harvard and Johns Hopkins were appalled. The President of JHU, Daniel Coit Gilman, withdrew renewal of all contracts in Philosophy, and later reinstated all positions but that of Peirce, thereby “resigning” Peirce from his post. Peirce had lost the only academic position he was ever to hold. His problems continued to mount.

The Coastal Survey, now his only means of income, was subject to government audit after accusations of wide spread financial impropriety. Although subsequent reports exonerated Peirce, the new climate led him into difficulties with work, and his inclination to complete it. By 1891 Peirce had left his only secure means of income at the Coastal Survey and, living on a Pennsylvanian farm purchased from inheritance in 1888, he retreated to a life of hardship and academic isolation with his now frail and consumptive second wife, Juliette.

Despite repeated efforts by friends to find him work, Peirce’s poor reputation consistently saw him rejected. Such was Peirce’s low standing that a lecture series organized by William James and Josiah Royce in 1898 (initially in the hope that it might open a door to a position at Harvard) took place in a private home in Cambridge. It seems that fear of Peirce’s potential to corrupt the morals of the young led the Harvard Corporation to refuse permission for Peirce to lecture on campus. Later lectures at Harvard in 1903 did take place on campus after the Corporation had softened its stance, but the academic establishment, particularly at Harvard, never came to accept or forgive Peirce.

Lecture series, such as those organized by James and Royce, along with hack writing for dictionaries and popular magazines, were Peirce’s main philosophical outlet and primary source of income. Attempts to secure money from the Carnegie Institution to fund a full statement of his philosophical system in 1902 failed and between the 1890’s and his death from cancer in April 1914, Peirce lived in a state of penury struggling to find an outlet for his work. Some important publications appeared in The Monist during the 1890’s and again in1907 following a brief renewal of interest in his work. This was due in large part to James’ acknowledgment of his role in founding pragmatism. However, Peirce’s published work petered out into a series of rejections and incomplete projects and although he did not stop writing until his death, he failed to publish a mature account of his philosophy whilst alive. Peirce died lost and unappreciated by all but a few of his American contemporaries.

2. Peirce’s Works and Influence

During his lifetime, Peirce’s philosophy influenced, and took influence from, the work of William James. The two men where close friends and exchanged ideas for most of their adult lives. However, despite similarities and mutual influence, they strove hard to distinguish their own brand of pragmatism from each other’s. This is particularly so after James’ California Union Address where he attributed the discovery of the doctrine to Peirce and identified the early papers, “The Fixation of Belief” and “How to Make our Ideas Clear,” as the source of pragmatism. Peirce thought James too “nominalistic” in his pragmatism and too wary of logic; James thought Peirce too dense and obscure in his formulations. Nevertheless, the connections between the two founding fathers of pragmatism are clear.

Also well-acknowledged is the influence of Peirce upon John Dewey and a generation of young Johns Hopkins logic students and colleagues including: Oscar Mitchell, Fabien Franklin and Christine Ladd-Franklin. Peirce’s work at JHU had a profound effect upon his students and, although John Dewey initially found Peirce’s logic classes obscure and not like logic as he understood it, he later came to realize the importance of Peirce’s approach. Peirce’s own response to Dewey’s pragmatism was much the same as his response to James’: too “nominalistic.” Dewey, however, fully acknowledged the influence and importance of Peirce, even hailing his work as more pragmatic in spirit than that of William James.

Within the field of logic, Peirce’s greatest passion, he also exercised some influence in his own lifetime. Peirce’s development of Boolean algebra influenced the logician and mathematician Ernst Schröder, with whom Peirce exchanged correspondence and mutual admiration. The outcome of this influence is an interesting and often unacknowledged effect upon the development of modern logic: it is Peirce’s account of quantification and logical syntax that leads to twentieth century logic, not Frege’s. Of course, Frege’s work is important and predates much of Peirce’s development by five years or so, but at the time, it was all but ignored. It is from Peirce that we can trace a direct line of influence and development, through Schröder to Peano, and finally to Russell and Whitehead’s Principia Mathematica.

Beyond his work in the development of pragmatism and modern logic, Peirce identified his own ideas with that of James’ Harvard colleague, Josiah Royce. Peirce felt that of all his contemporaries, Royce’s work most closely reflected his own, and indeed, Peirce’s semiotics and metaphysics greatly influenced Royce. Royce’s respect for Peirce’s work continued with the relish that Royce displayed at the chance to edit the eighty thousand or so pages of unpublished manuscripts sold to Harvard in 1914 by Juliette Peirce, after Charles’ death. Unfortunately, Royce died in 1916, too soon to accomplish anything with the disorganized manuscripts. However, by bringing the papers to Harvard, Royce effectively secured the long-term influence of Peirce beyond his own lifetime.

The editorial task of organizing the Peirce papers did not continue smoothly after Royce’s death, but eventually passed to a young C.I. Lewis, who had already shown some appreciation of Peirce’s work in the development of logic in his 1918 publication A Survey of Symbolic Logic. Although Lewis quickly found the task of editing Peirce’s manuscripts not to his taste, his contact with them allowed him to develop answers to his own philosophical problems and much of Peirce’s systematicity is reflected in Lewis’ work. Instead, the Peirce papers that inspired both Royce and Lewis came to fruition under the joint editorship of Charles Hartshorne and Paul Weiss. Their editorial work culminated in six volumes of The Collected Papers of C.S. Peirce between 1931 and 1935, and for fifty years this was the most important primary source in Peirce scholarship. Hartshorne and Weiss remained interested in Peirce’s work throughout their working lives. Further, both men supervised the young Richard Rorty, which may account for some of his early favorable accounts of Peirce. Of course, Rorty later rejected the value and status of Peirce as a pragmatist.

In the late 1950’s, The Collected Papers, begun by Hartshorne and Weiss, were completed with two volumes, edited by Arthur Burks. Burks had, prior to his editorship of The Collected Papers, worked on some Peirce inspired accounts of names and indexical reference. Burks’ readings of Peirce on names and indices have recently inspired the Referential/Reflexive account of names and indexical expressions by the Stanford philosopher, John Perry.

Other than The Collected Papers and the influence that it has had, Peirce was published posthumously in 1923 in a volume called Chance, Love and Logic, edited by Morris Cohen who worked on the Harvard manuscripts to create this small volume. Along with an appendix in Ogden and Richards’ 1923, The Meaning of Meaning, based mainly on Peirce’s correspondence with his English friend, Victoria Lady Welby, Peirce exercised his most interesting and most contentious influence.

The young Cambridge philosopher and mathematician, F.P. Ramsey, knew of these early volumes, and was greatly interested by them. Ramsey clearly acknowledges the influence of Peirce in his 1926 article, “Truth and Probability,” where he claims to base certain parts of his paper upon Peirce’s work. Ramsey’s interest in Peirce is not contentious. The influence of Ramsey upon the later Wittgenstein is also widely acknowledged. However, the subject of some speculation is the influence of Peirce upon Wittgenstein, via Ramsey. There is no direct acknowledgment of Peirce by Wittgenstein, but Ramsey’s review of the Tractatus recommends Peirce’s type/token distinction to Wittgenstein, a recommendation that Wittgenstein accepted. Wittgenstein did not hide the effect of Ramsey’s advice on his later work, and although the exact nature of the advice is unknown, it is common knowledge that Ramsey thought the Tractatus could overcome its problems by moving towards pragmatism. Potentially then, Peirce can claim an indirect influence over the later Wittgenstein.

The effect of Peirce’s work, through The Collected Papers and early posthumous publications, is not merely of historical interest though. His work is in many ways still alive in contemporary debate. Within pragmatism, the work of both Susan Haack and Christopher Hookway has a distinctly Peircian flavor. Susan Haack in particular has vigorously defended Peirce’s claim to pragmatism against the anti-Peircian strain of Rorty’s new pragmatism. A further influence in contemporary debate has been the presence of Peircian views in the Philosophy of Science. Peirce’s views on science combine distinctly Popperian and Kuhnian views and Popper even names Peirce as one of the greatest of philosophers. Also within the philosophy of science, Peirce’s theories of induction and probability have influenced the work of R.B. Braithewaite. Further, Peirce’s theory of the economics of research is now coming to be understood as a potential response to problems like Hempel’s Paradox of the Ravens and Goodman’s New Puzzle of Induction.

In other areas, some modern epistemologists have embraced virtue epistemology, an attempt to conduct the theory of knowledge by defining the qualities of the knower or true believer rather than knowledge or true belief directly. Two of the leading players in this approach to epistemology, Christopher Hookway and Linda Zagzebski, both acknowledge the thought of Peirce upon their work, and as a precursor to their discipline. Also, Jaakko Hintikka and Risto Hilpinen et al. point out the debt that their long running project, to define semantic concepts like quantifiers and propositions in terms of zero-sum games, owes to Peirce’s work.

Apart from these strictly analytic influences, Peirce also exercises some influence in European philosophy. Particularly noteworthy is the influence of Peirce upon the Neo-Kantian philosophies of Karl-Otto Apel and Helmut Pape, which emphasize a more Kantian reading of Peirce’s philosophy. Perhaps most important, though, is Peirce’s influence upon Jürgen Habermas. Habermas uses and refines crucial elements of Peirce’s account of inquiry in his own political and social philosophy. Particularly central is Peirce’s notion of a community of inquirers. For Peirce, the community of inquirers is a trans-historical notion, acting as a regulative ideal for the growth of knowledge through science. Habermas adapts the Peircian notion of community in two ways. First, the regulative ideal becomes a more concrete notion ranging across actual communities and political and social dialogue occurring within them. Second, the scientific and epistemological purpose of the intersubjective community becomes a social and political purpose on Habermas’ view. Clearly, Habermas uses Peirce’s ideas in ways that move away from simple Peircian concerns. Nonetheless, Peirce’s ideas are of importance to him.

Besides these influences, the potential for further and continued involvement of Peirce’s thought in philosophical debate has grown considerably over the last few years as the tools of Peirce scholarship have entered a new period. The Collected Papers edited by Hartshorne, Weiss and Burks, have been an invaluable source for anyone interested in Peirce, but the editorial policy employed there is idiosyncratic in the way it gathers Peirce’s work together. The Collected Papers takes Peirce’s manuscripts from across a fifty-year period and edits them topically. Often, Peirce’s views from early and late work are presented together as though they are a single connected thought on some topic. This has the effect of making Peirce’s thought seem disjointed and often self-contradictory within the space of two or three passages. However, new tools are now emerging and since the early 1980’s, the reorganization of Peirce’s manuscripts in chronological order by the Peirce Edition Project has given rise to eight volumes of a projected thirty. This reorganized edition, published as The Writings of C.S. Peirce, has already led to an increased understanding of the subtle development of Peirce’s ideas. The hope is that as The Writings of C.S. Peirce continues to grow, our understanding will grow also and with this greater understanding will come increased involvement of Peirce’s ideas in contemporary debate.

3. The Interpretation of Peirce’s Philosophy

Peirce’s approach to philosophy is that of an established scientist; he treated philosophy as an interactive and experimental discipline. This scientific approach to Philosophy, which Peirce labeled “laboratory philosophy,” reflects important themes throughout his work. Pragmatism, for instance, takes the meaning of a concept to depend upon its practical bearings. The upshot of this maxim is that a concept is meaningless if it has no practical or experiential effect on the way we conduct our lives or inquiries. Similarly, within Peirce’s theory of inquiry, the scientific method is the only means through which to fix belief, eradicate doubt and progress towards a final steady state of knowledge.

Clearly then, Peirce is a scientifically minded philosopher, and on some readings appears to trump the Vienna positivists to a verificationist principle of meaning and scientific vision of philosophy. In other respects, though, Peirce often focuses on topics outside the remit of scientific and naturalistic philosophy. For instance, Peirce wrote extensively on issues in metaphysics where he defined universal categories of experience or phenomena, after Kant. He also constructed vast systems of signs and semiotics. Of course, all of these endeavors are colored, in some respects, by his distinctly scientific turn of mind. However, the point is that Peirce’s philosophical writings cover more than half a century and a wide range of topics.

The breadth of Peirce’s philosophical interests has lead to some difficulty in interpreting his work as a whole. How, for instance, do his metaphysical writings relate to his work on truth and inquiry? Thomas Goudge (1950) argues that Peirce’s works consist of two conflicting strands, one naturalistic and hard headedly scientific, the other metaphysical and transcendental. Others take Peirce’s work, both naturalistic and transcendental, to be part of an interrelated system. Murray Murphey (1961) argues that Peirce never quite succeeded in integrating his various philosophical themes into a unified whole and identifies four separate attempts. However, the view that a single architectonic system exists has since replaced this view. Important work by Christopher Hookway (1985), Douglas Anderson (1995) and Nathan Houser (1992) shows how fruitful this treatment of Peirce is and now constitutes the orthodox position in interpreting his work. Their view treats Peirce’s philosophy as a panoramic connected vision, containing themes, issues and areas that Peirce worked upon and moved between at various points in his life. However, treating Peirce’s work as a connected whole can prove awkward when encountering this material for the first time.

Peirce is a difficult philosopher to understand at times, his work is full of cumbersome terminology and often assumes knowledge of his other work. Often, trying to understand Peirce’s theories on individual topics is an involved task in itself; attempting to understand how it fits into a broader, interrelated, system can seem like an unwelcome complication. One approach, then, is to tackle Peirce’s work topic by topic without too much emphasis upon the interconnectedness of this work. The most common topics are Peirce’s account of truth and inquiry or his pragmatism. If the systematic nature of Peirce’s philosophy is approached at all, it is after some familiarity with individual topics has been attained. This approach is not without its merits since it makes Peirce more immediately digestible. However, it can have the effect of leaving certain important elements in Peirce’s work unappreciated. For instance, why is there an all-pervasive penchant for triads, or “threes,” in Peirce’s work? This is a common Peircian theme and is best appreciated by understanding the systematic vision that Peirce has for his philosophy.

The difficulty, then, is finding a balance between the completeness of the architectonic approach to Peirce’s work, and its related complexity. The strategy employed here is to introduce Peirce’s work through a series of entries which detail both his broader philosophical system and individual topics within it. The hope is that the reader can approach Peirce’s work topic by topic through reading the relatively self-contained entries on individual elements of his philosophy. However, the provision of an introductory entry giving an overview of Peirce’s philosophical system enables the reader to see how these individual topics hang together within his broader vision.

4. References and Further Reading

a. Primary Sources

  • Peirce, C.S. 1931-58. The Collected Papers of Charles Sanders Peirce, eds. C. Hartshorne, P. Weiss (Vols. 1-6) and A. Burks (Vols. 7-8). (Cambridge MA: Harvard University Press).
    • The first wide spread presentation of Peirce’s work both published and unpublished; its topical arrangement makes it misleading but it is still the first source for most people.
  • Peirce, C.S. 1982-. The Writings of Charles S. Peirce: A Chronological Edition, eds. M. Fisch, C. Kloesel, E. Moore, N. Houser et al. (Bloomington IN: Indiana University Press).
    • The ongoing vision of the late Max Fisch and colleagues to produce an extensive presentation of Peirce’s views on a par with The Collected Papers, but without its idiosyncrasies. Currently published in eight volumes (of thirty) up to 1884, it is rapidly superseding its predecessor).
  • Peirce, C.S. 1992-94. The Essential Peirce, eds. N. Houser and C. Kloesel (Vol. 1) and the Peirce Edition Project (Vol. 2), (Bloomington IN: Indiana University Press).
    • A crucial two volume reader of the cornerstone works of Peirce’s writings. Equally important are the introductory commentaries, particularly by Nathan Houser in Volume 1.

b. Secondary Sources

  • Anderson, D. 1995. The Strands of System. (West Lafayette, IN: Purdue University Press).
    • A systematic reading of Peirce’s thought which, in its introduction, makes an in-depth breakdown of the elements of the system and their relation to each other. Its main body reproduces two important papers by Peirce with accompanying commentary.
  • Brent, J. 1993. Charles Sanders Peirce: A Life. (Bloomington, IN: Indiana University Press).
    • The definitive biography of Peirce, it takes a warts-and-all approach to Peirce’s character and life, and attempts to show the relationship between the events of his life, and his philosophical development.
  • Goudge, T. 1950. The Thought of C.S. Peirce. (Toronto: University of Toronto Press).
    • Early and important view of Peirce’s philosophy which emphasizes an unbridgeable schism between the scientific and metaphysical strands of Peirce’s work. Long superseded but still a good secondary source.
  • Hookway, C.J. 1985. Peirce. (London: Routledge and Kegan Paul).
    • Important treatment of Peirce as a systematic philosopher but with emphasis on Peirce’s Kantian inheritance and later rejection of the transcendental approach to truth, logic and inquiry.
  • Murphey, M. 1961. The Development of Peirce’s Philosophy. (Cambridge, MA: Harvard University Press).
    • Early work that identifies four periods and separate systems in Peirce’s work. Again, superseded by the single system interpretation of Anderson, Hookway and Houser et al.

Author Information

Albert Atkin
Email: pip99aka@sheffield.ac.uk
University of Sheffield
United Kingdom

Mind and Multiple Realizability

The claim that mental types are multiply realizable has played an important role in supporting antireductionism in philosophy of mind. The multiple-realizability thesis implies that mental types and physical types are correlated one-many not one-one. A mental state such as pain might be correlated with one type of physical state in a human and another type of physical state in, say, a Martian or pain-capable robot. This has often been taken to imply that mental types are not identical to physical types since their identity would require one type of mental state to be correlated with only one type of physical state. The principal debate about multiple realizability in philosophy of mind concerns its compatibility or incompatibility with reductionism. On the assumption that reduction requires mental-physical type identities, the apparent multiple realizability of mental types, such as a pain being both a type of human brain state and a type of robot state, has been understood to support antireductionism. More recent work has challenged this understanding.

The antireductionist argument depends on the following premises:

  1. Mental types are multiply realizable;
  2. If mental types are multiply realizable, then they are not identical to physical types;
  3. If mental types are not identical to physical types, then psychological discourse (vernacular or scientific) is not reducible to physical theory.

Among these claims, the most controversial has been Premise 1, the multiple-realizability thesis. Antireductionists have supported it both a priori by appeal to conceivability-possibility principles, and a posteriori by appeal to findings in biology, neuroscience, and artificial intelligence research. Reductionists have criticized these arguments, and they have also directly challenged the antireductionist premises.

Reductionist challenges to Premises 1 and 2 claim that antireductionists dubiously assume that psychophysical relations must be reckoned relative to our current mental and physical typologies. Contrary to this assumption, some reductionists argue that future scientific investigation will result in the formulation of new mental and/or physical typologies which fail to support the antireductionist premises. Typology-based arguments of this sort have been among the most important and most widely discussed reductionist responses to the multiple-realizability argument. Responses that target Premise 3 have been less popular. They argue either that psychophysical reduction can be carried out without identity statements linking mental and physical types, or else that ontological issues concerning the identity or nonidentity of mental and physical types are completely orthogonal to the issue of reduction.

The multiple-realizability thesis has also played an important role in recent discussions about nonreductive physicalism. The antireductionist argument has often been taken to recommend some type of nonreductive physicalism. Recently, however, Jaegwon Kim has effectively stood the argument on its head. He argues that physicalists who endorse multiple realizability are committed either to denying that mental types are genuine properties, ones that make a causal difference to their bearers, or else they are committed to endorsing some type of reductionism which identifies mental types with physical types.

Table of Contents

  1. Multiple Realizability and the Antireductionist Argument
    1. Multiple Realizability and Multiple Correlatability
    2. Identity Theory, Functionalism and the Realization Relation
    3. Defining Multiple Realizability
    4. Multiple Realizability and Mental-Physical Type Identities
    5. Type Identities and Psychophysical Reductionism
  2. Arguments for the Multiple-Realizability Thesis
    1. Conceptual Arguments for the MRT
    2. Empirical Arguments for the MRT
  3. Responses to the Antireductionist Argument
    1. Typology-Based Responses
      1. New Mental Typologies: The Local Reduction Move
      2. New Physical Typologies I
      3. New Physical Typologies II: The Disjunctive Move
        1. Law-Based Criticisms
        2. Metaphysical Criticisms
      4. Coordinate Typologies
    2. Reduction-Based Responses
  4. Multiple Realizability and Nonreductive Physicalism
  5. References and Further Reading

1. Multiple Realizability and the Antireductionist Argument

Multiple-realizability theses claim that it is possible for the tokens of a certain type to be realized by tokens of two or more distinct types. Multiple-realizability theses can be applied to a broad range of types: chemical, biological, social, mathematical. But what has been of primary interest in philosophy of mind is the purported multiple realizability of mental types. In what follows, the multiple-realizability thesis (MRT) will be understood as the claim that specifically mental types are multiply realizable.

Roughly, a type φ is multiply realizable if and only if it is possible for φ-tokens to be realized by tokens of two or more distinct types. If, for instance, it is possible for tokens of the mental type pain to be realized by tokens of the types c-fiber firing and q-fiber firing, where c-fiber firingq-fiber firing, then pain is a multiply-realizable mental type. Debate about the MRT in philosophy of mind has principally concerned its compatibility or incompatibility with reductionism. The MRT has been widely understood to have antireductionist implications. It seems to imply that mental types are not identical to physical types. If psychophysical reduction requires mental-physical type identities, then the MRT seems to imply that psychophysical reductionism is false.

The antireductionist argument is roughly as follows: Suppose a certain type of mental state – pain, say – is multiply realizable. We discover, for instance, that Alexander’s pains are intimately correlated in a way we label ‘realization’ with a certain type of physical occurrence, the firing of his c-fibers. We also discover, however, that Madeleine’s pains are realized not by c-fiber firing but by a distinct type of physical occurrence, q-fiber firing. Since c-fiber firing does not in any way involve q-fiber firing, and q-fiber firing does not in any way involve c-fiber firing, we conclude that pain can occur without c-fiber firing, and that it can also occur without q-fiber firing. We conclude, in other words, that neither c-fiber firing nor q-fiber firing is by itself necessary for the occurrence of pain. In that case, however, it seems that pain cannot be identical to either type of physical occurrence since identity implies necessary coextension. If having a mass of 1 kilogram is identical to having a mass of 2.2 pounds, then necessarily something has a mass of 1 kilogram if and only if it has a mass of 2.2 pounds. Likewise, if pain is identical to c-fiber firing, then necessarily anything that has pain will also have c-fiber firing; and if pain is identical to q-fiber firing, then necessarily anything that has pain will also have q-fiber firing. Madeleine, however, experiences pain without c-fiber firing, and Alexander experiences pain without q-fiber firing. Since pain is not correlated with a single physical type, it seems that pain cannot be identical to a physical type. Moreover, because the identity of type M and type P implies that necessarily every M-token is a P-token, we need not actually discover the correlation of pain with diverse physical types; the bare possibility of such correlations is sufficient for the argument to succeed. If the case of Alexander and Madeleine is even possible, it would follow that pain is not a physical type; and, says the argument, it seems intuitively certain or at least overwhelmingly probable that this type of situation is possible not only for pain, but for all mental types. Since psychophysical reductionism requires that mental types be identical to physical types, psychophysical reductionism must be false.

The foregoing line of reasoning has been extremely influential since 1970. It is largely responsible for what has been and continues to be a widespread, decades-long consensus that psychophysical reductionism must be false. The argument trades on the following premises:

  1. Mental types are multiply realizable;
  2. If mental types are multiply realizable, then they are not identical to physical types;
  3. If mental types are not identical to physical types, then psychological discourse (vernacular or scientific) is not reducible to physical theory.

These premises will be considered in order.

a. Multiple Realizability and Multiple Correlatability

The term ‘multiple realizability’ is often used as a label for any claim to the effect that mental and physical types are correlated one-many. Properly speaking, however, multiple realizability is tied to the notion of realization. Since the notion of realization is tied to a particular account of mental properties and psychological language it will be helpful to distinguish the multiple-realizability thesis from a more general multiple-correlatability thesis (MCT), a claim to the effect that φ-tokens might be correlated with tokens of more than one type.

The form of a bare multiple-correlatability argument against psychophysical identification is something like the following:

1. If mental type M = physical type P, then necessarily every M-token is a P-token and vice versa;

2. It is not necessarily the case that every M-token is a P-token and vice versa;

Therefore, mental type M ≠ physical type P.

Given reasonable assumptions the first premise follows from Leibniz’s law: type-identity implies necessary token coextension. Premise 2 states the MCT: M-tokens and P-tokens needn’t be correlated one-one. An MCT does not specify whether M- and P-tokens are systematically related to each other or in what way. It is thus weaker than the MRT which claims specifically that tokens of one type realize tokens of the other type.

One important observation here is that the MRT is not the only way of endorsing an MCT. Bealer (1994), for instance, defends an MCT in a way that does not appeal to realization at all. Moreover, even Putnam, who is often credited with having been the first to advance a multiple-realizability argument against psychophysical identity theory, appealed to a bare MCT as opposed to an MRT:

Consider what the brain-state theorist has to do to make good his claims. He has to specify a physical-chemical state such that any organism… is in pain if and only if (a) it possesses a brain of a suitable physical-chemical structure; and (b) its brain is in that physical-chemical state. This means that the physical-chemical state in question must be a possible state of a mammalian brain, a reptilian brain, a mollusc’s brain… etc. At the same time, it must not be a possible… state of the brain of any physical possible creature that cannot feel pain… [I]t is not altogether impossible that such a state will be found… [I]t is at least possible that parallel evolution, all over the universe, might always lead to one and the same physical “correlate” of pain. But this is certainly an ambitious hypothesis (Putnam 1967a: 436).

Putnam claims it is highly unlikely that pain is correlated with exactly one physico-chemical state. There is no mention of realization.

The notion of realization was introduced in connection with functionalism, the theory Putnam advanced as an alternative to the identity theory. According to functionalism mental types are not identical to physical types; they are instead realized by physical types. Putnam argued that functionalism was more plausible than the identity theory precisely because it was compatible with mental types being correlated one-many with physical types. Before discussing this point, however, it will be helpful to say a word about functionalism since the term ‘functionalism’ has been used to refer to theories of at least two different types: a type originally inspired by a computational model of psychological discourse and developed in a series of papers by Putnam (1960, 1964, 1967a, 1967b); and a type of identity theory endorsed by Lewis (1966, 1970, 1972, 1980) and independently by Armstrong (1968, 1970). Talk of realization has been used in connection with both.

b. Identity Theory, Functionalism and the Realization Relation

Early identity theorists claimed that psychological discourse was like theoretical discourse in the natural sciences. Mental states, they said, were entities postulated by a theory to explain the behavior of persons in something analogous to the way atoms, forces, and the like were entities postulated by a theory to explain motion and change generally (Sellars 1956: 181-87; 1962: 33-34; Putnam 1963: 330-331, 363; Feigl 1958: 440ff.; Fodor 1968a: 93; Churchland 1989: 2-6). The entities postulated by psychological discourse – beliefs, desires, pains, hopes, fears – were to be identified on the basis of empirical evidence with entities postulated by the natural sciences, most likely entities postulated by neuroscience. Originally, identity theorists supposed that theoretical identifications of this sort were a matter of choice. Empirical data would support correlations between mental and physical types such as ‘Whenever there is pain, there is c-fiber firing’, and scientists would then choose to identify the correlated types on grounds of parsimony. Identifying pain with c-fiber firing would yield a more elegant theory than merely correlating the two, and it would avoid the potentially embarrassing task of having to explain why pain and c-fiber firing would be correlated one-one if they were in fact distinct (Smart 1962). Lewis (1966) criticized this model of theoretical identification, and advanced an alternative which was also endorsed independently by Armstrong (1968, 1970).

According to the Lewis-Armstrong alternative, theoretical identifications are not chosen on grounds of parsimony, but are actually implied by the logic of scientific investigation. In our ordinary, pre-scientific dealings we often introduce terms to refer to things which we identify on the basis of their typical environmental causes and typical behavioral effects. We introduce the term ‘pain’, for instance, to refer to the type of occurrence, whatever it happens to be, that is typically caused by pinpricks, burns, and abrasions, and that typically causes winces, groans, screams, and similar behavior. That type of occurrence then becomes a target for further scientific investigation which aims to discover what it is in fact. Pain is thus identified by definition with the type of occurrence that has such-and-such typical causes and effects, and that type of occurrence is then identified by scientific investigation with c-fiber firing. Pain is thus identified with c-fiber firing by the transitivity of identity. Call this sort of view the Lewis-Armstrong identity theory.

By contrast with the Lewis-Armstrong identity theory, functionalism claims that psychological states are postulates of abstract descriptions which deploy categories analogous to those used in computer science or information-theoretic models of cognitive functioning. Functionalists agree with identity theorists that psychological discourse constitutes a theory, but they disagree about what type of theory it is. Psychological discourse is not like a natural scientific theory, functionalists claim, but like an abstract one. The mental states it postulates are analogous to, say, the angles and lines postulated by Euclidean geometry. We arrive at Euclidean principles by abstraction, a process in which we focus on a narrow range of properties and then construct “idealized” descriptions of them. We focus, for instance, on the spatial properties of the objects around us. We ignore what they are made of, what colors they have, how much they weigh, and the like, and focus simply on their dimensions. We then idealize our descriptions of them: slightly crooked lines, for instance, we describe as straight; deviant curves we describe as normal, and so on. According to functionalists, something analogous is true of psychological discourse. It provides abstract descriptions of real-world systems, descriptions which ignore the physical details of those systems (the sorts of details described by the natural sciences), and focus simply on a narrow profile of their features. Originally Putnam suggested that those features were analogous to the features postulated by Turing machines.

A Turing machine is an abstract description which postulates a set of states related to each other and to various inputs and outputs in certain determinate ways described by a machine table. A certain machine table might postulate states, S1,…,Sn, inputs, I1,…, Im, and outputs O1,…,Op, for instance, which are related in ways expressed by a set of statements or instructions such as the following:

If the system is in state S13 and receives input I7, then the system will produce output O32, and enter state S3.

According to Putnam’s original proposal, which has come to be called machine functionalism, psychological descriptions are abstract descriptions of this sort. They postulate relations among sensory inputs, motor outputs, and internal mental states. The only significant difference between Turing machine descriptions and psychological descriptions, Putnam (1967a) suggested, was that psychological inputs, outputs, and internal states were related to each other probabilistically not deterministically. If, for instance, Eleanor believes there are exactly eight planets in our solar system, and she receives the auditory input, “Do you believe there are exactly eight planets in our solar system,” then she will produce the verbal output, “Yes,” not with a deterministic probability of 1, but with a probability between 1 and 0.

Functionalists need not endorse a Turing machine model of psychological discourse; they could instead understand psychological discourse by appeal to models in, say, cognitive psychology; but in general, they make two claims. First, psychological discourse is abstract discourse which postulates an inventory of objects, properties, states or the like which are related to each other in ways expressed by the theory’s principles. Second, the behavior of certain concrete systems maps onto the objects, properties, or states that psychological discourse postulates. The notion of realization concerns this second claim.

Let T be a theory describing various relations among its postulates, S1,…,Sn.The relations among the concrete states of a certain concrete system might be in some way isomorphic to the relations among S1,…,Sn. If T says that state S1 results in state S2 with a probability of .73 given state S15, it might turn out that, for instance, Alexander’s brain state B5 results in brain state B67 with a probability of .73 given neural stimulus B4. It might turn out, in other words, that states B5, B67, and B4 in Alexander’s brain provide a model of the relations among S1, S2, and S15 in T. If this were true for all of Alexander’s brain states, one might say that T described a certain type of functional organization, an organization which was realized by Alexander’s brain, and one might call Alexander’s brain a realization of T. The states of Alexander’s brain are related to each other in ways that are isomorphic with the ways in which S1,…,Sn, are related according to T. In fact, concrete systems in general might be said to realize the states postulated by abstract descriptions. The wooden table realizes a Euclidean rectangle; the movements of electrons through the silicon circuitry of a pocket calculator realize a certain algorithm; the movements of ions through the neural circuitry of Alexander’s brain realize a belief that 2 + 2 = 4, and so forth.

Realization, then, is a relation between certain types of abstract descriptions, on the one hand, and concrete systems whose states are in a relevant sense isomorphic with those postulated by abstract descriptions, on the other. Philosophers of mind have offered several different accounts of this relation. Putnam (1970: 313-315) suggested a type of account which has proved very influential. Realization, he said, can be understood as a relation between higher-order and lower-order types (he used the term ‘properties’) or tokens of such types. Higher-order types are ones whose definitions quantify over other types. Second-order types, for instance, are types whose definitions quantify over first-order types, and first-order types are types whose definitions quantify over no types. Effectively what Putnam suggested is that having mental states amounted to having some set of (first-order) internal states related to each other in ways that collectively satisfied a certain functional description. Being in pain, for instance, might be defined as being in some concrete first-order state S1 which results in a concrete first-order state S2 with a probability of .73 given a concrete state S15. In other words, the various Si postulated by theory T can be understood as variables ranging over concrete first-order state types such as brain state types. To say, then, that Alexander’s brain is currently realizing a state of pain is just to say that the triple < B5, B67, B4 > of concrete first-order states of his brain satisfies the definition of being in pain, a definition which quantifies over concrete first-order states of some sort.

The concept of realization is understood slightly differently in connection with the Lewis-Armstrong identity theory. That difference reflects the more general difference between the identity theory and functionalism. Functionalism takes mental states to be states postulated by an abstract description, whereas the Lewis-Armstrong identity theory takes mental states to be concrete physical states which have been described in terms of an abstract vocabulary. To help illustrate this difference consider a very rough analogy with a Platonic versus Aristotelian understanding of geometrical objects. The Platonist claims that ‘rectangle’ refers to an abstract object postulated and/or described by Euclidean geometry. The Aristotelian, by contrast, claims that ‘rectangle’ is a way of referring to various concrete objects in terms of their dimensions. There is a roughly analogous sense in which the functionalist claims that ‘pain’ expresses a type of abstract state whereas the Lewis-Armstrong identity theorist claims that ‘pain’ expresses a concrete type of physical state such as c-fiber firing. According to the identity theorist ‘pain’ refers to a physical state by appeal to a narrow profile of that state’s properties such as its typical causes and effects. According to the Lewis-Armstrong identity theory, then, what a theory such as T provides is not an inventory of abstract states, but an apparatus for referring to certain physical ones. On the Lewis-Armstrong theory those physical states, the ones expressed by the predicates and terms of T, provide a realization of T.

Because the multiple-realizability argument for antireductionism principally concerns the functionalist notion of realization, the term ‘realize’ and its cognates should be taken to express that notion in what follows.

c. Defining Multiple Realizability

Let us consider again the rough definition of multiple realizability stated earlier: a type φ is multiply realizable if and only if it is possible for φ-tokens to be realized by tokens of two or more distinct types. To make this more precise it will be helpful to draw some distinctions.

First, Shoemaker (1981) distinguishes what he calls a state’s core realizer from what he calls its total realizer. Consider again the theory T and Alexander’s brain. If B5 is the type of brain state which corresponds to S1 in T, then B5-tokens are core realizers of S1-tokens in Alexander’s brain. The total realizer of an S1-token, on the other hand, includes tokens of B5 together with tokens of the other types of states in Alexander’s brain whose relations to one another are collectively isomorphic with the relations among S1,…,Sn, expressed in T. The MRT has typically been understood to be a claim about core realizers.

Second, it is helpful to clarify ambiguities in the scope of the modal operator. The foregoing definition of multiple realizability is unclear, for instance, about whether or not -tokens must be realized by tokens of more than one type in the same world, or whether it is sufficient that -tokens be realized by tokens of more than one type in different worlds. Similarly, it is unclear about which worlds are relevant: nomologically possible worlds? metaphysically possible worlds? The following definition clears up these ambiguities:

[Def] A type M is multiply realizable iffdf. (i) possiblyM, P-tokens are core realizers of M-tokens, and (ii) possiblyM, Q-tokens are core realizers of M-tokens, and (iii) PQ.

Here, ‘possiblyM’ designates metaphysical possibility. (The subscript ‘M’ will be used henceforth to indicate that a modal operator covers metaphysically possible worlds.) Metaphysical possibility is all that is needed for the multiple-realizability argument to proceed. If M were identical to P, then it would not be possible for M-tokens to exist without P-tokens (or vice versa) in any possible world irrespective of other factors such the laws of nature obtaining at those worlds.

Consider again the original example concerning pain. According to the foregoing definition of multiple realizability, pain is multiply realizable if and only if there is a metaphysically possible world in which tokens of, say, c-fiber firing are core realizers of pain-tokens, and there is a metaphysically possible world in which tokens of a different type – say, q-fiber firing – are core realizers of pain-tokens. Hence, if token c-fiber firings are core realizers of Alexander’s pain-tokens in world w1, and token q-fiber firings are core realizers of Madeleine’s pain-tokens in world w2, then pain is a multiply-realizable mental type. Moreover, if w1 and w2 are identical with the actual world, then we can say not only that pain is multiply realizable, but that pain is also multiply realized.

d. Multiple Realizability and Mental-Physical Type Identities

As mentioned earlier, the MRT is one way of endorsing an MCT. The second premise of the antireductionist argument reflects this idea. It claims that if mental types are multiply realizable, then they are not identical to physical types. The argument for this premise trades on the following claim:

P1. Necessarily, for mental type M and physical type P, if M is multiply realizable, then it is not necessarilyM the case every M-token is a P-token and vice versa.

The antecedent of this conditional expresses the MRT, and the consequent expresses an MCT.

Claim P1 is supported by an additional assumption: mental types are not necessarilyMcorealized. If, for instance, a Q-token realizes an M-token, then the M-token needn’t be realized by some other token in addition. Hence, to show that M-tokens and P-tokens needn’t be correlated one-one it is sufficient to show that it is possible to have an M-token without having a P-token. Suppose, then, that in world w there is a Q-token that realizes an M-token. In order for it to follow from this that M-tokens couldM occur without P-tokens, we need to assume that, say, a Q-token doesn’t itself require a P-token – that a Q-token could realize an M-token on its own. We might call this assumption Corealizer Contingency: mental types don’t needM to be co-realized. Corealizer Contingency implies that it is possibleM for an M-token to be realized by, say, a Q-token alone, and hence it is possibleM that there might be an M-token without there being a P-token. The conclusion that M is not identical to P if M is multiply realizable now follows from the following premise:

P2. If type M = type P, then necessarilyM every M-token is a P-token and vice versa.

According to P2 the identity of M- and P-types requires the necessaryM coextension of M- and P-tokens. By the foregoing argument, however, if M is multiply realizable it is not necessarilyM the case that there is an M-token if and only if there is a P-token. Hence, it follows that if M is multiply realizable, it is not identical to P.

Now for some terminology. For types φ and ψ, call φ one of ψ’s realizing types just in case possiblyM a φ-token realizes a ψ-token. In that case, one can say that the argument based on P1 and P2 purports to show that if M is multiply realizable, M is not identical to any of its realizing types.

e. Type Identities and Psychophysical Reductionism

Psychophysical reductionism claims that psychological discourse is reducible to some type of natural scientific theory such as a neuroscientific one. Paradigmatically, intertheoretic reduction reflects a certain type of ontological and epistemological situation. Domain A is included within Domain B, but for reasons concerning the way people are outfitted epistemically, they have come to know A-entities in a way different from the way they have come to know other B-entities. They have therefore come to describe and explain the behavior of A-entities using a theoretical framework, TA, which is different from the theoretical framework they have used to describe and explain the behavior of other B-entities, the framework TB. The result is that they do not initially recognize the inclusion of Domain A in Domain B. People later discover, however, that Domain A is really part of Domain B; A-entities really just are B-entities of a certain sort, and hence the behavior of A-entities can be exhaustively described and explained in B-theoretic terms. This situation is reflected in a certain relationship between TA and TB. The principles governing the behavior of A-entities, the principles expressed by the law statements of TA, are just special applications of the principles governing the behavior of B-entities in general – the principles expressed by the law statements of TB. The laws of TA, they say, are reducible to the laws of TB; and they say that they are able to provide a reductive description and explanation of A-behavior in B-theoretic terms. A-statements can be derived from B-statements given certain assumptions about the conditions that distinguish A-entities from B-entities of other sorts – so-called boundary conditions. The descriptive and explanatory roles played by the law statements of TA, the reduced theory, are thus taken over by the law statements of the more inclusive reducing theory, TB.

Consider an example. Kepler’s laws are thought to have been reduced to Newton’s. Newton’s laws imply that massive bodies will behave in certain ways given the application of certain forces. If those laws are applied to planetary bodies in particular – if, in other words, people examine the implications of those laws within the boundaries of our planetary system – the laws predict that those bodies will behave in roughly the way Kepler’s laws describe. Kepler’s laws, the laws of the reduced theory, are therefore shown to be special applications of Newton’s laws, the laws of the reducing theory. To the extent that they are accurate, Kepler’s laws really just express the application of Newton’s laws to planetary bodies. One upshot of this circumstance is that people can appeal to Newton’s laws to explain why Kepler’s laws obtain: they obtain because Newtonian laws imply that a system operating within the parameters of our planetary system will behave in roughly the way Kepler’s laws describe.

Intertheoretic reduction is thus marked by the inclusion of one domain in another, and by the explanation of the laws governing the included domain by the laws governing the inclusive one. There have been many attempts to give a precise formulation of the idea of intertheoretic reduction. Those attempts trade on certain assumptions about the nature of theories and the nature of explanation. One of the earliest and most influential attempts was Ernest Nagel’s (1961). Nagel endorsed a syntactic model of theories and a covering-law model of explanation. Roughly, the syntactic model of theories claimed that theories were sets of law statements, and the covering-law model of explanation claimed that explanation was deduction from law statements (Hempel 1965). According to Nagel’s model of reduction, to say that TA was reducible to TB was to say that the law statements of TA were deducible from the law statements of TB in conjunction with statements describing various boundary conditions and bridge principles if necessary. Bridge principles are empirically-supported premises which connect the vocabularies of theories which do not share the same stock of predicates and terms. On the Nagel model of reduction, bridge principles are necessary for intertheoretic reduction if the reduced theory’s vocabulary has predicates and terms which the vocabulary of the reducing theory lacks. Suppose, for instance, that LA is a law statement of TA which is slated for deduction from LB, a law statement of TB:

LA For any x, if A1(x), then A2(x);
LB For any x, if B1(x), then B2(x).

Since the vocabulary of TB does not include the predicates A1 or A2, additional premises such as the following are required for the deduction:

ID1 A1 = B1
ID2 A2 = B2;

Given ID1 and ID2, LA can be derived from LB by the substitution of equivalent expressions.

The reduction of thermodynamics to statistical mechanics is often cited as an example of reduction via bridge principles. The term ‘heat’, which occurs in the law statements of thermodynamics, is not included in the vocabulary of statistical mechanics. As a result, the deduction of thermodynamic law statements from mechanical ones requires the use of additional premises connecting the theories’ respective vocabularies. An example might be the following:

Heat = mean molecular kinetic energy.

Identity statements of this sort are called theoretical identifications. The theoretical identification of X with Y is supposed to be marked by two features. First, the identity is supposed to be discovered empirically. By analogy, members of a certain linguistic community might use the name ‘Hesperus’ to refer to a star that appears in the West in early evening, and they might use the name ‘Phosphorus’ to refer to a star that appears in the East in early morning, and yet they might not know but later discover that those names refer to the same star. Second, however, unlike the Hesperus–Phosphorus case, in the case of theoretical identifications, at least one of the predicates or terms, ‘X’ or ‘Y’, is supposed to belong to a theory.

There are numerous episodes of theoretical identification in the history of science, cases in which we developed descriptive and explanatory frameworks with different vocabularies the predicates and terms of which we later discovered to refer to or express the very same things. The terms ‘light’ and ‘electromagnetic radiation with wavelengths of 380 – 750nm’, for instance, originally belonged to distinct forms of discourse: one to electromagnetic theory, the other to a prescientific way of describing things. Those terms were nevertheless discovered to refer to the very same phenomenon. In the Nagel model of reduction, theoretical identifications operate as bridge principles linking the vocabulary of the reduced theory with vocabulary of the reducing theory. They therefore underwrite the possibility of intertheoretic reduction.

The Nagel model of reduction has been extensively criticized, and alternative models of reduction have been based on different assumptions about the nature of theories and explanation. But the idea that reduction involves the inclusion of one domain in another implies that the entities postulated by the reduced theory be identical to entities postulated by the reducing theory. In claiming to have reduced Kepler’s laws to Newton’s, for instance, the assumption is that planets are massive bodies, not merely objects the behaviors of which are correlated with the behaviors of massive bodies.

To illustrate the necessity of identity for reduction, imagine that Domains A and B comprise completely distinct entities whose behaviors are nevertheless correlated with each other. It turns out, for instance, that the principles governing the instantiation of A-types and those governing the instantiation of B-types are isomorphic in the following sense: for every A-law there is a corresponding B-law, and vice versa; and in addition, tokens of A-types are correlated one-one with tokens of B-types. Given this isomorphism, biconditionals such as the following end up being true:

BC1 Necessarily, for any x, A1(x) if and only if B1(x);
BC2 Necessarily, for any x, A2(x) if and only if B2(x).

Such biconditionals could underwrite the deduction of law statements such as LA from law statements such as LB. What they could not underwrite, however, is the claim that TA is reducible to TB. The reason is that A and B are completely distinct domains which merely happen to be correlated. This is not a case in which one domain is discovered to be part of another, more inclusive domain, and hence it is not a case in which the laws of one domain can be explained by appeal to the laws of another. Without identity statements such as ID1 and ID2, there is no inclusion of one domain in another, and without that sort of inclusion, there is no explanation of the reduced theory’s laws in terms of the reducing theory’s laws. (See Causey 1977: Chapter 4; Schaffner 1967; Hooker 1981: Part III.)

Sklar (1967) argued that reduction requires bridge principles taking the form of identity statements by appeal to an example: the Wiedemann-Franz law. The Wiedemann-Franz law expresses a correlation between thermal conductivity and electrical conductivity in metals. It allows for the deduction of law statements about the latter from law statements about the former. This deducibility, however, has never been understood to warrant the claim that the theory of electrical conductivity is reducible to the theory of heat conductivity, or vice versa. Rather, it points in the direction of a different reduction, the reduction of the macroscopic theory of matter to the microscopic theory of matter.

Suppose, then, that we apply the foregoing account of reduction to psychological discourse. Since that account claims that theoretical identifications are necessary for intertheoretic reduction, the upshot is that psychophysical reduction requires mental-physical type identities. The reduction of psychological discourse to some branch of natural science would require that mental entities be identified with entities postulated by the relevant branch of natural science. It could not involve two distinct yet coordinate domains. This is clear if we imagine a case involving psychophysical parallelism. Suppose two completely distinct ontological domains, one comprising bodies, the other nonphysical Cartesian egos, were governed by principles that happened to be isomorphic in the sense just described: the laws governing the behavior of bodies parallel the laws governing the behavior of the Cartesian egos, and the states of the Cartesian egos are distinct from but nevertheless correlated one-one with certain bodily states. In that case, it would be possible to make deductions about the behavior of Cartesian egos on the basis of the behavior of bodies, but this deducibility would not warrant the claim that the behavior of Cartesian egos was reducible to the behavior of bodies. The behavior of bodies might provide a helpful model or heuristic for understanding or predicting the behavior of Cartesian egos, but it would not provide a reducing theory which explained why the laws governing Cartesian egos obtained. The same point would follow if some type of neutral monism were true – if, say, mental and physical phenomena were correlated, but were both reducible to some third conceptual framework which was neither mental nor physical but neutral. Mere correlations between mental and physical types, even ones which are lawlike, are not sufficient to underwrite psychophysical reduction. Psychophysical reductionism requires the identity of mental and physical types.

Consider now the putative implications of this claim in conjunction with the MRT. Psychophysical reduction requires psychophysical type identities. If mental types are multiply realizable, then they are not identical to any of their physical realizing types. But if mental types are not identical to physical types (the tacit assumption being that the only physical candidates for identification with mental types are their realizing types), then psychological discourse is not reducible to physical theory.

2. Arguments for the Multiple-Realizability Thesis

Section 1 discussed the connection between multiple realizability and antireductionism. Antireductionists argue that if mental types are multiply realizable, then psychophysical reductionism is false. But why suppose that mental types are multiply realizable? Why suppose the MRT is true? The MRT has been supported in at least two ways: by appeal to conceptual or intuitive considerations, and by appeal to empirical findings in biology, neuroscience, and artificial intelligence research. In this section, arguments of both types will be considered.

a. Conceptual Arguments for the MRT

Conceivability arguments for the MRT claim that conceivability or intuition is a reliable guide to possibility. If that is the case, and it is conceivable that mental types might be correlated one-many with physical types, then it is possible that mental types might be correlated one-many with physical types. And, say exponents of the argument, one-many psychophysical correlations are surely conceivable. Consider the broad range of perfectly intelligible scenarios science fiction writers are able to imagine – scenarios in which robots and extraterrestrials with physiologies very different from ours are able to experience pain, belief, desire, and other mental states without the benefit of c-fibers, cerebral hemispheres, or other any of the other physical components that are correlated with mental states in humans. If these scenarios are conceivable and conceivability is a more or less reliable guide to possibility, then we can conclude that these scenarios really are possible. Conceivability arguments for the MRT, then, trade on the following premises:

CA1 If it is conceivable that mental types are multiply realizable, then mental types are multiply realizable;

CA2 It is conceivable that mental types are multiply realizable.

Therefore, mental types are multiply realizable.

Conceivability-Possibility Principles (CPs) have been a staple in philosophy of mind at least since Descartes. He used a CP to argue for the real distinction of mind and body in Meditation VI:

…because I know that everything I clearly and distinctly conceive can be made by God as I understand it, it is sufficient that I am able clearly and distinctly to conceive one thing apart from another to know with certainty that the one is different from the other – because they could be separated, at least by God… Consequently, from the fact that I know that I exist, and I notice at the same time that nothing else plainly belongs to my nature or essence except only that I am a thinking thing, I rightly conclude that my essence consists solely in being a thinking thing… [B]ecause I have on the one hand a clear and distinct idea of myself, insofar as I am merely a thinking thing and not extended, and on the other hand, a distinct idea of the body insofar as it is merely an extended thing and not thinking, it is certain that I am really distinct from my body, and can exist without it (AT VII, 78).

Descartes’ argument trades on three premises. First, clear and distinct conceivability is a reliable guide to possibility. In particular, if it is clearly and distinctly conceivable that x can exist apart from y, then it is possible for x to exist apart from y. Second, I can form a clear and distinct conception of myself apart from my body. Hence, I can exist without it. But third, if x can exist without y, then clearly x cannot be y. Hence, I cannot be my body. CPs have become controversial in part because of their association with arguments of this sort. Jackson’s (1982, 1986) knowledge argument and Searle’s (1980) Chinese Room argument as well as a host of other arguments concerning the possibility of inverted spectra, absent qualia, and the like trade on CPs.

Unrestricted CPs, ones that do not qualify the notion of conceivability or limit the scope of the modal operator, have clear counterexamples. Some of those counterexamples concern the scope of the operator. DaVinci, for instance, conceived of humans flying with birdlike wings despite the physical impossibility of such flight. Similarly, prior to the twentieth century people might have conceived that it was possible for there to be a solid uranium sphere with a mass exceeding 1,000 kg – another physical impossibility. Other counterexamples concern the notion of conceivability. It is unclear, for instance, whether the conceptions people form of things while drunk or drugged or in various other circumstances can serve as reliable guides to possibility.

Because of examples of this sort, exponents of CPs do not endorse unrestricted versions of them, but versions limited to a particular type of conceivability, a particular scope for the modal operator, and a particular subject matter for the claim or scenario being conceived. Descartes, for instance, spoke of clear and distinct conceivability, and took the scope of the modal operator to cover metaphysically possible worlds – or as he puts it, the range of circumstances God could have brought about. A CP along these lines is immune to counterexamples such as the uranium sphere and human birdlike flight since these examples pertain to nomological or physical possibility. Roughly, p is nomologically possible exactly if p is consistent with the laws of nature, and p is physically possible exactly if p is consistent with the laws of physics (physical possibility and nomological possibility are the same if the laws of physical are the same as the laws of nature). Since we can know these laws only through scientific investigation, it seems likely that our conceptions of nomological and physical possibilities can only be as reliable as our best scientific knowledge allows them to be. The same can be said of technological possibility or other kinds of possibility that involve consistency with conditions that are knowable only a posteriori.

Metaphysical possibility, on the other hand, involves compossibility with essences – the features things need to exist in any metaphysically possible world. Knowledge of essences does not necessarily depend on empirical considerations. Whether or not it does marks the difference between empirical essentialists and conceptual essentialists. Roughly, empirical essentialists claim that our knowledge of essences is analogous to our knowledge of the laws of physics or of nature: we can learn about them only a posteriori. Conceptual essentialists disagree: we can come to know essences a priori.

Descartes is a prototypical conceptual essentialist. He thinks it is possible to discover something’s essence by means of a certain kind of conceptual analysis. Consider, for instance, his argument in Meditation II that his essence consists in thinking alone:

Can I not affirm that I have at least a minimum of all those things which I have just said pertain to the nature of body? I attend to them… [N]othing comes to mind… Being nourished or moving? Since now I do not have a body, these surely are nothing but figments. Sensing? Surely this too does not happen without a body… Thinking? Here I discover it: It is thought; this alone cannot be separated from me… I am therefore precisely only a thinking thing… (AT VII, 26-27).

The procedure Descartes follows for forming a clear and distinct conception of something’s essence is roughly as follows. First, he reckons that the object in question has certain properties. He then considers whether it can exist without these properties by “removing” them from the object one-by-one in his thought or imagination. If he can conceive of the object existing without a certain property, he can conclude that that property does not belong to the object’s nature or essence. He thus takes himself to arrive by turns at a clearer, more distinct conception of what the object essentially is. When he applies this procedure to himself, he initially reckons that he has various bodily attributes such as having a face, hands, and arms, and being capable of eating, walking, perceiving, and thinking. He then considers whether he could still exist without these features by “removing” them from himself conceptually. He concludes that he could exist without all of them except the property of thinking. He can form no conception of himself without it, he says, whereas he can form a clear and distinct conception of himself without any bodily attributes. He concludes, therefore, that he can form a clear and distinct conception of himself as a thinking thing alone apart from his body or any other.

Conceptual essentialism was en vogue for a long time in modern philosophy, but empirical essentialism experienced a revival in the late twentieth century due to the work of Kripke (1972) and Putnam (1975b). According to empirical essentialists, discerning something’s essence is not a task that can be accomplished from an armchair. It requires actual scientific investigation since the conceptions we initially form of things may not correspond to their essential properties. We might have learned to identify water, for instance, by a certain characteristic look or smell or taste, but if we brought a bottle of water to a distant planet with a strange atmosphere that affected our senses in unusual ways, the contents of the bottle might no longer look, smell, or taste to us the same way. This would not mean that the substance in the bottle was no longer water; it would still be the same substance; it would simply be affecting our senses differently on account of the planet’s strange atmosphere. It would still be water, in other words, despite the fact that it did not have the characteristics we originally associated with water. The essential features of water would remain the same even if its “accidental” features underwent a change. According to empirical essentialists, the essential features of something, the features that enable us to claim that, for instance, the contents of the bottle are essentially the same on Earth and on the distant planet, are features it is up to science to discern — features which might not correspond to our intuitive, prescientific conception of water.

Empirical essentialists tend to be inhospitable to conceivability-possibility arguments of the sort represented by CA1 and CA2. They can attack the argument in the following ways. First, against CA1, they can argue that the conceivability of multiple realizability is a guide to possibility which is only as reliable as our best scientific knowledge of mental phenomena and their realizers, and that in its current incomplete state, our scientific knowledge does not provide us with the resources sufficient to act as a reliable guide to possibility in this matter. Against CA2, on the other hand, they can argue that in our current state of scientific knowledge we cannot conceive of mental types being multiply realizable for either of two reasons: (a) we don’t know enough about mental types and their realizers to form any clear conception of whether or not they are multiply realizable, or (b) we do know enough about mental types and their realizers to form a clear conception that they are not multiply realizable.

b. Empirical Arguments for the MRT

Empirical arguments for the MRT largely avoid the aforementioned worries concerning CPs. They generalize from findings in particular scientific disciplines. Various scientific disciplines, they claim, provide inductive grounds that support the possibility of mental types being realized by diverse physical types. Those disciplines include evolutionary biology, neuroscience, and cognitive science – artificial intelligence research in particular.

The argument Putnam (1967a) originally advanced against the identity theory is an example of an appeal to evolutionary biology. According to Putnam, what we know about evolution suggests that in all likelihood it is possible for a given mental type to be correlated with multiple diverse physical types. Block and Fodor (1972: 238) and Fodor (1968a; 1974) have advanced similar arguments.

We can formulate the appeal to biology in roughly the following way. The phenomenon of convergent evolution gives us good reason to suppose there are beings in the universe that are mentally similar to humans. One reason for this is that the possession of psychological capacities would seem to be (at least under certain circumstances) selectively advantageous. The ability to experience pain, for instance, would seem to increase my chances of survival if, say, I am in danger of being burned alive. The pain I experience would contribute to behavior aimed at removing the threat. Likewise, if I am in danger of being eaten by a large carnivore, my chances of survival will be enhanced if I am able to feel fear and to respond to the threat appropriately. Similarly, it is plausible to suppose that in many circumstances my chances of surviving and successfully reproducing will be improved by having more or less accurate beliefs about the environment – knowing or believing that fires and large carnivores are dangerous, for instance. There are, in short, many reasons for thinking that possessing mental states of the sort humans possess would be selectively advantageous for beings of other kinds. This gives us some reason to suppose that there might be beings in the universe that are very similar to us mentally. On the other hand, there are analogous reasons to suppose that those beings are probably very different from us physically. The last forty years of biological research have shown us that life can evolve in a broad range of very different environments. Environments once thought incapable of supporting life such as deep sea volcanic vents have been discovered to support rich and diverse ecosystems. It seems very likely, then, that living systems will be capable of evolving in a broad range of environments very different from those on Earth. In that case, however, it seems very unlikely that mentally-endowed creatures evolving in those environments will be physically just like humans. Our current state of biological knowledge suggests, then, that there are most likely beings in the universe who are like us mentally but who are unlike us physically. Evolutionary biology thus gives us some reason to suppose the MRT is true.

A second kind of argument appeals not to evolutionary biology but to neuroscience. One such argument, for instance, appeals to the phenomenon of brain plasticity (Block and Fodor 1972: 238; Fodor 1974: 104-106; Endicott 1993). Brain plasticity is the ability of various parts of the brain or nervous system to realize cognitive or motor abilities. (See Kolb and Whishaw 2003: 621-641 for a description of brain plasticity and research related to it.) If the section of motor cortex that controls, say, thumb movement is damaged, cells in the adjacent sections of cortex are able to take over the functions previously performed by the damaged ones. What this seems to suggest is that different neural components are capable of realizing the same type of cognitive operation. And this gives us some reason to suspect it is possible for tokens of one mental type to be realized by tokens of more than one physical type.

Finally, a third type of empirical argument appeals to work in artificial intelligence (AI) (Block and Fodor, op cit.; Fodor, op cit). Some AI researchers are in the business of constructing computer-based models of cognitive functioning. They construct computational systems that aim at mimicking various forms of human behavior such as linguistic understanding. Incremental success in this type of endeavor would lend further support to the idea that mental types could be realized by diverse physical types: not just by human brains but by silicon circuitry.

One criticism of empirical arguments for the MRT is that they are merely inductive in character (Zangwill 1992: 218-219): the denial of multiple realizability is still consistent with their premises. In addition, Shapiro (2004) argues against the appeal to biology on the grounds that a view which denies the MRT is just as probable given convergent evolution as a view which endorses it. Against the appeal to neuroscience, moreover, Bechtel and Mundale (1999) argue that the argument’s principle of brain state individuation is unrealistically narrow. Real neuroscientific practice individuates brain states more broadly. In addition, the neuroscientific data is compatible with there being a single determinable physical type which simply takes on multiple determinate forms (Hill 1991). Finally, the appeal to AI would seem to be little more than a promissory note. That work hasn’t produced anything approaching a being with psychological capacities like our own. The argument is thus little different from a conceptual argument for the MRT. Moreover, there are arguments purporting to show that silicon-based minds are impossible. Searle’s (1980) Chinese Room argument is an example.

3. Responses to the Antireductionist Argument

Reductionists have several ways of responding to the multiple-realizability argument. It will be helpful to divide them into two groups. Typology-based responses target Premises 1 and 2 of the antireductionist argument: the MRT and the claim that the MRT is incompatible with mental-physical type identities. Reduction-based responses, on the other hand, target Premise 3 of the antireductionist argument, the claim that mental-physical type identities are necessary for reduction. These responses will be discussed in order.

a. Typology-Based Responses

Typology-based responses to the multiple-realizability argument take the definition of ‘multiple realizability’ to include a condition relating types to specific typologies. A condition of this sort was left implicit in the definition of multiple realizability given in Section 1-c. An explicit statement of such a condition would take something like the following form:

[Def*] A type M is multiply realizable relative to typologies T and T* iff df. (i) M is a type postulated by T; (ii) P and Q are types postulated by T*; (iii) possiblyM, P-tokens are core realizers of M-tokens; (iv) possiblyM, Q-tokens are core realizers of M-tokens, and (v) PQ.

According to typology-based responses, the multiple-realizability argument trades on the unwarranted and highly dubious assumption that psychophysical relations must be reckoned only relative to our current mental and physical typologies. In all likelihood, they claim, future scientific investigation will result in the formulation of new mental and/or physical typologies which will no longer support the MRT or the claim that it implies the non-identity of mental and physical types.

Kim (1972), it seems, was the first to appreciate the range of typology-based strategies available to opponents of the multiple-realizability argument. They include the postulation of a new mental typology, the postulation of a new physical typology, and the postulation of both a new mental and a new physical typology. The first strategy includes the local reduction move. The second strategy includes the postulation of overarching physical commonalities, the postulation of broad physical types, and the disjunctive move. Finally, the third strategy includes the coordinated typology strategy, the idea that mental and physical typologies will develop in a coordinated way that yields one-one mental-physical type correlations. These options are represented in Figure 1.

mr-fig1

Figure 1: Typology-based Responses

Relative to our current mental and physical typologies, the MRT implies that a mental type, M, is correlated with multiple physical types P1,…,Pn as in Column I. Psychophysical identification requires, however, that each mental type line up with a single physical type. Reductionists can respond to the argument either by “breaking up” M into a number of “narrower” mental types M1,…,Mn each of which corresponds to a single physical type as in Column II. This is the strategy represented by the local reduction move. Reductionists can also respond, however, by “gathering” the diverse physical types together under a single overarching physical type, P, which corresponds to M as in Column III. This is the strategy represented by the postulation of overarching physical commonalities, the postulation of broad physical types, and the disjunctive move. Finally, reductionists can respond by claiming that mental and physical typologies will both be altered in various ways that eventually yield one-one correlations between mental and physical types as in Column IV.

Typology-based responses can be understood to target either Premise 1 or Premise 2 of the antireductionist argument. Which they are understood to target depends on whether any of the types in question are defined relative to our current typologies. Consider an example. Someone who claims that the mental types postulated by our current typology will be retained in a new typology alongside more “narrow” mental types which are correlated one-one with physical types will claim that that Premise 2 is false: the MRT is compatible with mental-physical type identities. By contrast, someone who claims that the mental types postulated by our current typology will not be retained in a new typology will claim instead that the MRT is false: all mental types are really of a narrow variety; each corresponds to a single physical type.

i. New Mental Typologies: The Local Reduction Move

The local reduction move (LRM) has also been called an appeal to ‘narrow mental types’, or to ‘species-specific’ or ‘structure-’ or ‘domain-specific reductions’. Its exponents include Kim (1972: 235; 1989; 1992), Lewis (1969, 1980), Enc (1983: 289-90), P.M. Churchland (1988: 40-41), P.S. Churchland (1986: 356-358), Causey (1977: 147-149), and Bickle (1998). According to the LRM, a mental predicate or term such as ‘pain’, which seems to express a single mental type, really expresses multiple diverse mental types. The case of ‘pain’ is analogous to the case of ‘jade’. The latter was originally taken to refer to a single mineralogical type. Scientific investigation revealed, however, that ‘jade’ really corresponds to two distinct mineralogical types: jadeite and nephrite. Exponents of the LRM claim that mental predicates and terms are the same way. ‘Pain’ doesn’t express a single overarching mental type found in humans, in Martians, and in robots; ‘pain’ is instead an imprecise term which corresponds to multiple diverse mental types including pain-in-humans, pain-in-Martians, and pain-in-robots. As a result, we shouldn’t be seeking to identify physical types with “broad” mental types such as pain; we should instead be seeking to identify them with “narrower” mental types such as pain-in-humans, pain-in-Martians, and pain-in-robots.

In support of the LRM, Enc (ibid.) has drawn an analogy with thermodynamics (cf. Churchland 1986 and Churchland 1988). Heat, he argues, is multiply realized at the level of microphysical interactions. Temperature-in-gases is different from temperature-in-solids, which is different from temperature-in-plasmas and temperature-in-a-vacuum. The multiple realizability of heat, however, does not imply that thermodynamics has not been reduced to statistical mechanics; it merely implies that the reduction proceeds piecemeal. Temperature-in-gases is identified with one type of mechanical property; temperature-in-plasmas, with a different mechanical property, and so on. Thermodynamics is thus reduced to statistical mechanics one lower-level domain at a time through the mediation of restricted domain-specific thermodynamic types: temperature-in-gases, temperature-in-solids, and the like. Something similar could be true of psychophysical reduction. Psychology could reduce to physical theory by way of various domain-specific mental types such as pain-in-humans and pain-in-Martians.

Several criticisms of the LRM have appeared in the literature. Zangwill (1992: 215), for instance, argues that the thermodynamic example is irrelevant to the philosophy of mind. Another criticism claims that narrower mental types would be too narrow for the explanatory purposes psychological discourse aims to satisfy (cf. Putnam 1975c: 295-298; Fodor 1974: 114; Pylyshyn 1984: Chapter 1; Endicott 1993: 311-312). Science seeks the broadest, most comprehensive generalizations it can get, the argument claims, but the LRM seems to violate this methodological canon since the narrow mental types it postulates would prevent us from formulating broad cross-species generalizations. Sober (1999) attacks the argument’s major premise: science doesn’t always work by seeking the broadest, most comprehensive generalizations. Moreover, even if narrow mental types didn’t allow for the formulation of the most comprehensive generalizations, we might still be better off with local reductions for a variety of reasons including ontological parsimony and the value of grounding higher-level explanations in mental-physical type identities. (Endicott 1993: 311). (Bickle 1998: 150ff. criticizes this objection to the LRM in other ways as well.)

A third criticism claims that the LRM would fail to explain what all the phenomena called ‘pain’ have in common (Block 1980b: 178-9). Against this, Kim (1992) has argued that diverse types such as pain-in-humans and pain-in-Martians would still have in common their satisfaction of a certain functional description or causal role, and this commonality would be sufficient to explain the commonalities among diverse instances of pain.

A final criticism of the LRM claims that there are no mental types narrow enough to line up with physical types in a way that would support reduction. Endicott (1993: 314-318) argues that if we postulate mental types narrow enough to avoid multiple realizability we risk postulating types that are so narrow it no longer makes sense to speak of a reduction of types as opposed to a mere identification of tokens. The burden for exponents of the LRM, then, is to postulate types with the right sort of grain: narrow enough to avoid the implications of the multiple-realizability argument, but not so narrow that the notion of reduction drops out of the picture. (Endicott (1993) criticizes the LRM in other ways as well.)

ii. New Physical Typologies I

Reductionists can also respond to the multiple-realizability argument by positing new physical typologies. Kim states the idea in the following terms:

…the mere fact that the physical bases of two nervous systems are different in material composition or physical organization with respect to a certain scheme of classification does not entail that they cannot be in the same physical state with respect to a different scheme (Kim 1972: 235).

At least three suggestions have been advanced in the literature to this effect. The first claims that we might discover something had in common by all of the apparently diverse realizers of a mental type. We could discover, for instance, that c-fiber firing in humans and q-fiber firing in Martians actually have something interesting in common – that they are in fact instances of a broader physical type which is correlated one-one with pain. According to this strategy, the diverse realizers of a mental type are analogous to electricity, magnetism, and light – types of phenomena which initially seemed diverse but which were later discovered to belong to a single overarching type.

Hill (1991: 105) suggests something like the postulation of overarching physical commonalities in the following terms:

[I]t is not enough to appeal to a case in which a single qualitative characteristic is associated with two or more distinct neurophysiological state-types. One must go on to provide an exhaustive characterization of the distinct levels of description and explanation that belong to neuroscience, and show that no such level harbors a kind under which all of the states in question may be subsumed (Hill 1991: 105).

Shapiro (2000, 2004) has a similar idea. Although aluminum and steel count as diverse types relative to one scheme of classification, he argues, they don’t count as diverse realizations of corkscrews because they have too much in common relative to the performance of the activities that qualify something as a corkscrew. (Gillett 2003 criticizes Shapiro’s argument.) Similarly, Bechtel and Mundale (1999) cite examples from cognitive neuroscience which suggest that there are lower-level properties which are nevertheless the same in a more general functional respect.

The discovery of overarching commonalities is not the only way of developing a new physical typology. Reductionists might decide to individuate realizing types in a way that comprises a broad swath of environmental factors. Antony and Levine (1997), for instance, argue that we should understand realization in terms of the total realizers of mental types instead of their core realizers (see Section 1-c). If realizers are individuated this broadly, however, mental types will no longer be multiply realizable.

Finally, reductionists could develop a new physical typology on the basis of disjunctive physical types. If reductionists are willing to countenance the existence of disjunctive properties, they could identify a mental type with the disjunction of its realizing types. This particular response to the multiple-realizability argument has generated an extensive literature, and deserves separate treatment.

iii. New Physical Typologies II: The Disjunctive Move

The possibility of identifying mental types with disjunctive physical types has repeatedly asserted itself in the literature on multiple realizability. Given an inventory of basic physical predicates P1,…,Pn the idea is to use Boolean operations to construct disjunctive predicates which express disjunctive types (e.g. P1vP3, P7vP15vP39). Putnam (1967) dismissed the disjunctive move out of hand, but it has since been taken very seriously. Kim (1978), Clapp (2001), and Antony (1998, 2003), for instance, have all defended it in one way or another.

Criticisms of the disjunctive move have been thoroughly discussed in the literature (Antony 1999, 2003; Antony and Levine 1997; Block 1980b, 1997; Block and Fodor 1972; Clapp 2001; Endicott 1991, 1993; Fodor 1974, 1997; Jaworski 2002; Kim 1972, 1978, 1984, 1992, 1998; Macdonald 1989; Melnyk 2003; Owens 1989; Pereboom 2002; Pereboom and Kornblith 1991; Putnam 1967a; Seager 1991; Teller 1983). The criticisms discussed in what follows fall into two broad categories: law-based criticisms and metaphysical criticisms. In discussing them, it will be helpful to introduce the following terms: if P1,…,Pn are the types that realize mental type M, call P1,…,Pn an R-disjunction, and call a generalization featuring an R-disjunction as its antecedent an R-disjunctive generalization.

1) Law-Based Criticisms

Law-based criticisms of the disjunctive move focus on the nature of scientific laws. They claim that predicates such as ‘believes’, ‘desires’, and ‘is in pain’ express genuine properties. If mental types are genuine properties, and mental types are identical to R-disjunctive types, then it follows by the indiscernibility of identicals that R-disjunctive types must be genuine properties as well. Fodor (1974) suggested, however, that genuine properties were expressed by the predicates of law statements – a plausible idea if genuine properties make a causal or explanatory difference to their bearers, and causal/explanatory regularities are expressed by law statements. Law-based criticisms of the disjunctive move argue that R-disjunctive generalizations are not genuine law statements, and because they are not genuine law statements, R-disjunctive predicates do not express genuine properties.

Methodological criticisms of the disjunctive move such as Fodor’s (1997: 157-9) claim that the postulation of R-disjunctive types violates standard canons of scientific method. Standard inductive practice aims at formulating the strongest generalizations warranted by the limited available evidence, and closed law statements, as Fodor calls them, are stronger than open ones. Closed law statements are law statements that do not feature open-ended disjunctive predicates such as a psychological generalization with the form ‘Necessarily, for any x, if Mx, then M*x’. Open law statements are law statements that do feature open-ended disjunctive predicates. An example would be an R-disjunctive generalization with the form ‘Necessarily, for any x, if P1x v P2x v… then M*x’. Given reasonable assumptions, the MRT implies that a given mental type will be correlated with an indefinitely large number of realizing types. Consequently, the MRT will most likely imply the existence of open generalizations of the latter sort as opposed to closed generalizations of the former one. Because scientific practice aims at formulating the strongest generalizations, and closed generalizations are stronger than open ones, standard scientific method dictates a preference for closed generalizations over open generalizations such as those featuring R-disjunctions. There are good methodological reasons, then, for supposing that R-disjunctive generalizations are not genuine law statements and that their predicates do not express genuine properties. The problem with this argument is that its point is merely methodological. It does not rule out the possibility of there being R-disjunctive types or R-disjunctive laws (a point Fodor recognizes). It thus falls short of refuting the disjunctive move.

Other law-based criticisms correspond to two different features of law statements: their ability to ground explanations, and their projectibility – their ability to be confirmed by their positive instances. Explanation-based criticisms of the disjunctive move claim that R-disjunctive generalizations cannot express laws because they do not function explanatorily the way law statements do. One such criticism claims, for instance, that explanations must be relevant to our explanatory interests, and appeals to R-disjunctive generalizations are clearly irrelevant to the interests we have in explaining human behavior (Pereboom and Kornblith 1991; Putnam 1975c, 1981). If, for instance, we want to know why Caesar ordered his troops to cross the Rubicon, it doesn’t satisfying our interests to respond, “Because he was either in neural state N1 or in neural state N2 or…” One criticism of this argument is that the notion of relevance is highly context dependent. Although there are good reasons to suppose appeals to R-disjunctive generalizations are irrelevant in “pedestrian” contexts such as the context involving Caesar’s actions, there are also good reasons to suppose that appeals to R-disjunctive generalizations might be relevant in scientific contexts in which reduction is at stake (Jaworski 2002).

Confirmation-based criticisms, on the other hand, claim that R-disjunctive generalizations cannot express laws because they are not confirmed in the way law statements are. In particular, they are not projectible; they are not confirmed by their positive instances. Exponents of confirmation-based criticisms include Owens (1989) and Seager (1990), but Kim’s (1992) version of this criticism is both the best developed and most widely discussed representative of this approach.

Kim’s argument trades on two premises. First, if some evidence e confirms p and p entails q, then e also confirms q. Second, no generalization can be confirmed without the observation of some of its positive instances. Given these premises, the argument purports to show that generalizations with disjunctive antecedents cannot express laws. If they did express laws, they would be confirmed by their positive instances the way all law statements are. But clearly they are not, the argument claims. To show this, assume for the sake of argument that generalizations with disjunctive antecedents are confirmed by their positive instances – call this the Disjunctive Confirmation Hypothesis. Consider now an example: every piece of jade, says Kim, is a piece of either jadeite or nephrite, and vice versa. Suppose, then, that a certain number of jadeite samples confirm the following:

(1) All jadeite is green.

Since each piece of jadeite is also a piece of jade (that is a piece of jadeite or nephrite) each piece of green jadeite is also a positive instance of (2):

(2) All jade is green (i.e. all jadeite or nephrite is green).

So if (1) is confirmed by the samples of jadeite, then by the Disjunctive Confirmation Hypothesis, so is (2). But ‘∀x((Jx v Nx) → Gx)’ implies ‘∀x(NxGx)’ in the predicate calculus, so if (2) is confirmed by the samples, then by Kim’s first premise, so is (3):

(3) All nephrite is green.

The problem, however, is that none of the samples are samples of nephrite. Because no generalization can be confirmed without the observation of some positive instances (Kim’s second premise), we must reject the assumption which sanctioned this confirmation procedure, namely the Disjunctive Confirmation Hypothesis. (A parallel example: suppose a sexually active adult is a sexually active man or woman, and that a certain number of sexually active men confirm ‘No sexually active man becomes pregnant’. Parity of reasoning yields the conclusion that those men confirm ‘No sexually active adult becomes pregnant’, and hence ‘No sexually active woman becomes pregnant’!) If the Disjunctive Confirmation Hypothesis is rejected, however, it follows that R-disjunctive generalizations fail to be confirmed in a lawlike manner and hence fail to express laws.

The principal shortcoming of this argument is that many disjunctive predicates are capable of occurring in law statements. Suppose, for instance, that ‘All emeralds are green’ expresses a law statement. Consider a term that is necessarily coextensive with ‘emeralds’ such as ‘emeralds in the northern hemisphere or elsewhere’. Since this term expresses the same class as ‘emeralds’ it seems that ‘All emeralds in the northern hemisphere or elsewhere are green’ will be confirmed by its positive instances if ‘All emeralds are green’ is. But if these are both law statements, then there will have to be some way of distinguishing legitimate disjunctive predicates such as ‘is a northern or a non-northern emerald’ from illegitimate disjunctive predicates such as ‘is jadeite or nephrite’, and it seems the only way of doing that is to consider the objects to which these predicates apply. Hence, says Kim, “There is nothing wrong with disjunctive predicates as such; the trouble arises when the kinds denoted by the disjoined predicates are heterogeneous… so that instances falling under them do not show the kind of ‘similarity’, or unity, that we expect of instances falling under a single kind” (Kim 1992: 321). A confirmation-based criticism seems to depend, therefore, on some type of metaphysical criticism.

2) Metaphysical Criticisms

Metaphysical criticisms of the disjunctive move claim the idea of a disjunctive property is somehow metaphysically suspect. There are at least two arguments of this sort.

Armstrong (1978: II, 20) argues that accepting disjunctive properties would violate the principle that the same property is present in its diverse instances. Objects a and b, for instance, might both have the disjunctive property PvQ despite the fact that a has it by virtue of having property P instead of Q, and b has it by virtue of having Q instead of P. Clapp (2001) criticizes this argument on the grounds that determinables and their corresponding determinates seem to provide counterexamples. For example, being red, being blue, being yellow, and so forth, are determinates of the determinable being colored. Since everything that is colored must be a determinate shade, anything that satisfies the predicate ‘is blue, or is red, or is yellow,…’ will also satisfy the predicate ‘is colored’. Consequently, if a is red and b is blue, they will have in common the property being colored.

A second metaphysical criticism argues that mental types cannot be identical to R-disjunctive types because R-disjunctions do not express natural kinds. One basic assumption of the multiple-realizability debate is that mental types are natural kinds. Consequently, if mental types are identical to R-disjunctive types, the latter must be natural kinds as well. But R-disjunctive types are not natural kinds, the argument claims. The reason is that natural kindhood is based on similarity, and instances of R-disjunctions are not similar to each other in the right sort of way (Fodor 1974: 109ff.; 1997: 156, Block 1978: 266, Macdonald 1989: 36-7, Armstrong 1978: Vol. II, 20, Kim 1992, Antony and Levine 1997: 87ff.).

Individual instances or members of a natural kind are similar in important ways that have a bearing on, for instance, the projectibility of law statements. The generalization ‘All Ks are F’ is projectible only if Ks remain similar across actual and counterfactual circumstances in ways that have a bearing on their F-ness. Only if Ks are similar to each other in these ways can the observation of any K provide evidence about the F-ness of any other K. Inductive projection about Ks requires, then, that Ks be similar to each other in stable ways. One version of this similarity-based argument understands the relevant similarity in terms of causality (Kim 1992). Kim labels this the “Principle of Causal Individuation of Kinds”: “Kinds in a science are individuated on the basis of causal powers; that is, objects and events fall under a kind, or share in a property, insofar as they have similar causal powers” (Kim 1992: 326). The argument, then, is that R-disjunctive types can qualify as natural kinds only if they are causally similar – only if, for instance, R-disjunctive tokens have similar effects. But, the argument claims, R-disjunctive tokens are not causally similar. If they were causally similar; if, for instance, c-fiber firing and q-fiber firing produced the same effects, they probably wouldn’t qualify as diverse realizers of pain. The causal diversity of R-disjunctive tokens seems to be an implication of the MRT. Consequently, R-disjunctive types are not natural kinds.

Criticisms of this argument have sometimes appealed to the considerations that support physical commonalities among R-disjuncts (See Section 3-a-iii). Block (1997), Antony and Levine (1997), Shapiro (2000), and others have argued, for instance, that diverse physical realizers must have something interesting in common in order to satisfy the functional descriptions associated with mental states. If being in pain amounts to being in some lower-order physical state with such-and-such typical effects, then c-fiber firing and q-fiber firing must each be able to produce those effects to qualify as instances of pain. They must therefore be causally similar to that extent at least. Importantly, critics of this argument have typically not sought to defend the disjunctive move per se, but rather implications the argument has for nonreductive physicalism (see Section 4 below.)

iv. Coordinate Typologies

Another typology-based response to the antireductionist argument claims that mental and physical typologies are to some extent interdependent, and as a result they will eventually converge in a way that yields one-one correlations between mental and physical types. Something like this idea is suggested by Kim:

The less the physical basis of the nervous system of some organisms resembles ours, the less temptation there will be for ascribing them sensations or other phenomenal events (Kim 1972: 235).

Similarly, Enc argues (1983: 290) that our mental typology will eventually be altered to reflect our lower-level scientific investigations. Couch (2004) makes a similar point: if scientists find physical differences among the parts of a system, they are likely to seek higher-level functional differences as well. (Cf. Hill 1991: Chapter 3.)

One argument in favor of coordinate typologies is suggested by Kim (1992), Bickle (1998: Chapter 4), and Bechtel and Mundale (1999). The idea is roughly that there can be higher-level regularities only if they are grounded in lower-level ones. Consequently, if we discuss higher-level regularities such as those expressed by familiar psychological generalizations, we have good reason to think these are underwritten by regularities at lower levels. This dependence of higher-level regularities on lower-level regularities gives us some reason to suspect that mental and physical typologies will tend to converge. (Sungsu Kim (2002) criticizes Bechtel and Mundale’s argument. Couch (2004) defends it.)

b. Reduction-Based Responses

Reduction-based responses to the multiple-realizability argument attack the claim that reduction requires bridge principles taking the form of identity statements. Robert Richardson (1979), for instance, argues that a Nagelian account of intertheoretic reduction can be underwritten by one-way conditionals. Consider again the theories TA and TB discussed in Section 1e. Imagine that TA is slated for reduction to TB, and that LA is a law statement of TA which is supposed to be derived from LB, a law statement of TB:

LA For any x, if A1(x), then A2(x);
LB For any x, if B1(x), then B2(x).

Since the vocabulary of TB does not include the predicates A1 or A2, additional premises linking the vocabularies of the two theories are required. Earlier, in Section 1-e, we said that the derivation of LA from LB required bridge principles taking the form of identity statements:

ID1A1 = B1
ID2A2 = B2;

It seems, however, that LA might be derived from LB on the basis of bridge principles along the following lines instead:

C1 Necessarily, for any x, if B1(x), then A1 (x);
C2 Necessarily, for any x, if B2 (x), then A2(x).

If one-way conditionals of this sort are sufficient for reductive derivations, then the non-identity of mental and physical types is not incompatible with reductionism after all. Reductive derivations might proceed via bridge principles such as C1 and C2 even if identity statements along the lines of ID1 and ID2 are false.

The problem with this understanding of reduction, one indicated by Patricia Kitcher (1980) in her criticism of Richardson, is that a derivation via one-way conditionals does not result in ontological simplification (cf. Bickle 1998: 119-120). It doesn’t show that what we originally took to be two kinds of entities are really only one. Ontological simplification of this sort is taken to be a central feature of reduction – the upshot of showing that A-entities are really just B-entities.

Reduction-based responses to the multiple-realizability argument have not been as popular as typology-based responses on account of widespread commitment to the idea that reduction involves ontological simplification (Sklar 1967; Schaffner 1967; Causey 1972; 1977: Chapter 4; Hooker 1981: Part III; Churchland 1986). Yet Bickle (2003) has recently suggested another type of reduction-based response. It claims not that bridge principles along the lines of C1 and C2 are sufficient for reduction, but that ontological issues concerning the identity or non-identity of properties are completely orthogonal to the issue of reduction. If that is the case, then issues concerning psychophysical reduction could be addressed independently of issues concerning the identity or non-identity of mental and physical types.

4. Multiple Realizability and Nonreductive Physicalism

Multiple realizability has recently played an important role in the attempt to articulate an acceptable form of nonreductive physicalism (NRP). NRP can be characterized by a commitment to three claims, roughly:

Physicalism: Everything is physical – all objects, properties, and events are the sort that can be exhaustively described and/or explained by the natural sciences.

Mental Realism: Some mental types are genuine properties.

Antireductionism: Mental and physical types are not identical.

Jaegwon Kim has articulated a well-known difficulty for a particular type of NRP: realization physicalism. Realization physicalism claims that properties postulated by nonphysical frameworks are higher-order properties that are realized by lower-order properties or their instances in the sense described in Section 1-b. Having a mental property amounts to having some lower-order property that satisfies a certain associated description or condition. Having pain, for instance, might be defined as having some lower-order property that is typically caused by pinpricks, abrasions, burns, and the like, and that typically causes wincing, groaning, and escape-directed movements. Here ‘…is typically caused by pinpricks, abrasions, burns… and typically causes wincing, groaning, escape-directed movements’ expresses the condition associated with being in pain. Any properties whose instances satisfy this causal profile count as instances of pain, and the lower-order properties (or property instances) that satisfy that condition are said to realize pain.

Kim argues that realization physicalism is an unstable theory: either its commitment to Mental Realism and Antireductionism imply a rejection of Physicalism, or else its commitment to Physicalism and Mental Realism imply a rejection of Antireductionism. His argument trades on two assumptions.

First, Kim assumes that genuine properties are ones that make a causal difference to their bearers. We can distinguish between two senses of ‘property’. Properties in a broad or latitudinarian sense are roughly the ontological correlates of predicates. Properties in a narrow, causal sense, on the other hand, are properties in the broad sense that make a causal difference to their bearers. Hence, weighing 1 kg and weighing 2.2 pounds are different properties in the broad sense since they correspond to different predicates, but they are not different properties in the causal sense since they are necessarily coextensive and influence the causal relations into which their bearers enter in exactly the same ways. One might even do well to eliminate talk of broad properties altogether, says Kim (1998: Chapter 4), and speak instead simply of properties in the causal sense which are expressible by different predicates. Hence, there is a single (causal) property expressed by the predicates ‘weighs 1 kg’ and ‘weighs 2.2 pounds’.

Second, Kim assumes that if physicalism is true, the only genuine (i.e. causal) properties that exist are physical properties. Denying this, he says, would be tantamount to denying physicalism; it would be to accept the existence of “emergent causal powers: causal powers that magically emerge at a higher level” (1992: 326).

Given these assumptions, Kim poses the following difficulty for realization physicalists. According to Antireductionism, mental types are not identical to physical types. In that case, however, it is unclear how mental types could manage to be genuine properties. If Physicalism is true, then all causal properties are physical. This seems to imply a principle along the following lines (it is stated here without the qualifications Kim adds):

If a higher-order property M is realized by a lower-order property P, then the causal powers of this instance of M are identical to the causal powers of P.

Kim (1992: 326) calls this the ‘Causal Inheritance Principle’. This principle would appear to present realization physicalists with an uncomfortable choice. They could (a) deny the causal status of mental types; that is, they could reject Mental Realism and deny that mental types are genuine properties. Alternatively, they could (b) reject Physicalism; that is, they could endorse the causal status of mental types, but deny their causal status derives from the causal status of their physical realizers. Or finally, they could (c) endorse Mental Realism and Physicalism, and reject Antireductionism. Given the assumption that mental types are genuine properties, a commitment to Physicalism would imply that mental types are identical to physical types. This is the option Kim favors. Kim is nevertheless sympathetic with the idea that the mental types postulated by our current mental typology are multiply realizable relative to the physical types postulated by our current physical typologies. He argues, moreover, that R-disjunctive types cannot be natural kinds for reasons discussed in Section 3-a-iii-3. If those types are not natural kinds, however, then we have good reason to suppose that the mental types postulated by our current mental typology are not natural kinds either. Each of those mental types is necessarily coextensive with an R-disjunction, and no mental type can have causal powers beyond those of the individual disjuncts. If those disjuncts are causally dissimilar, then instances of the corresponding mental type must be causally dissimilar as well. Suppose, however, that causal similarity is necessary for natural kind status. In that case, it follows that the mental types postulated by our current mental typology cannot be natural kinds. Consequently, Kim favors the local reduction move discussed in Section 3-a-i. We need a new mental typology that postulates new narrow mental types that are correlated one-one with physical types.

5. References and Further Reading

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  • Antony, Louise M. 2003. “Who’s Afraid of Disjunctive Properties?” Philosophical Issues 13: 1-21.
  • Antony, Louise and Levine, Joseph. 1997. “Reduction with Autonomy.” In Tomberlin 1997.
  • Armstrong, D.M. 1968. A Materialist Theory of Mind. London: Routledge & Kegan Paul.
  • Armstrong, D.M. 1970. “The Nature of Mind.” In The Mind/Brain Identity Theory. C.V. Borst, ed. London: Macmillan, 67-79. Reprinted in Block 1980a, 191-199.
  • Armstrong, D.M. 1978. A Theory of Universals: Universals and Scientific Realism, Vol. II.. Cambridge University Press.
  • Bealer, George. 1994. “Mental Properties.” Journal of Philosophy 91: 185-208.
  • Bechtel, William and Jennifer Mundale. 1999. “Multiple Realizability Revisited: Linking Cognitive and Neural States.” Philosophy of Science, 66: 175-207.
  • Bickle, John. 1998. Psychoneural Reduction: The New Wave. Cambridge, MA: MIT Press.
  • Bickle, John. 2003. Philosophy and Neuroscience: A Ruthlessly Reductive Account. Dordrecht: Kluwer Academic Publishers.
  • Block, Ned. 1978. Troubles With Functionalism. In Perception and Cognition: Issues in the Foundations of Psychology. Minnesota Studies in the Philosophy of Science, vol. 9. C.W. Savage, ed. Minneapolis: University of Minnesota Press, 261-325.
  • Block, Ned, ed. 1980a. Readings in Philosophy of Psychology, 2 vols. Cambridge, MA: Harvard University Press.
  • Block, Ned. 1980b. “What is Functionalism?” In Block 1980a: 171-84.
  • Block, Ned. 1997. “Anti-Reductionism Slaps Back.” In Tomberlin 1997: 107-32.
  • Block, Ned and Jerry Fodor. 1972. “What Psychological States Are Not.” Philosophical Review 80: 159-81. Reprinted with revisions by the authors in Block 1980a, 237-50.
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  • Causey, Robert L. 1977. Unity of Science. Dordrecht, Holland: D. Reidel Publishing Company.
  • Churchland, Paul M. 1989. A Neurocomputational Perspective. Cambridge, MA: MIT Press.
  • Churchland, Patricia S. 1986. Neurophilosophy. Cambridge, MA: MIT Press.
  • Clapp, Lenny. 2001. “Disjunctive Properties: Multiple Realizations.” Journal of Philosophy 3: 111-36.
  • Couch, Mark. 2004. “Discussion: A Defense of Bechtel and Mundale.” Philosophy of Science, 71: 198-204.
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Author Information

William Jaworski
Email: jaworski@fordham.edu
Fordham University
U. S. A.

Liezi (Lieh-tzu, cn. 4th cn. B.C.E.)

The Liezi (Lieh-tzu), or Master Lie may be considered to be the third of the Chinese philosophical texts in the line of thought represented by the Laozi and the Zhuangzi, subsequently classified as Daojia (“the School of the Way”) or Daoist philosophy. Whether Master Lie existed as an actual person or not, the text bears his name in order to indicate its adherence to the line of thought and practice associated with this name. This appears to be true of other early texts, such as the Laozi, the Heguanzi, and the Guiguzi, for example. Despite the controversy over its dating and authorship, this is a philosophical treatise that clearly stands in the same tradition as the Zhuangzi, dealing with many of the same issues, and on occasion with almost identical passages. The Liezi continues the line of philosophical thinking of the Xiao Yao You, and the Qiu Shui, from which it takes up the themes of transcending boundaries, spirit journeying, cultivation of equanimity, and acceptance of the vicissitudes of life. It also continues the line of thought of the Yang Sheng Zhu, and the Da Sheng, developing the theme of cultivating extreme subtlety of perception and extraordinary levels of skill. It is noteworthy that the Liezi stands out as more apparently metaphysical than the cosmologically oriented texts of the Zhou and Han dynasties (such as the Laozi, Zhong Yong, and the Xici of the Yijing). That is, it goes further towards explicitly articulating a conception of the ‘transcendent’ or ‘metaphysical’: that which is beyond the realm of observable things that come into and go out of existence, and that is prior to, superior to, and responsible for it as its necessary condition. While the Liezi does not unambiguously articulate the logical conditions that define transcendence as such (a necessarily asymmetrical relation of dependence between the world and its source), still, the traces of transcendence are intriguing and worth philosophical investigation.

Table of Contents

  1. Historical Background
  2. The Liezi Text
  3. Central Concepts in the Liezi
    1. Chapter 1: Tian Rui (Omens of Nature)
    2. Chapter 2: Huang Di (The Yellow Emperor)
    3. Chapter 3: Zhou Mu Wang (King Mu of Zhou)
    4. Chapter 4: Zhong Ni (Confucius)
    5. Chapter 5: Tang Wen (The Questions of Tang)
    6. Chapter 6: Li Ming (Effort and Circumstance)
    7. Chapter 7: Yang Zhu (Yang Zhu)
    8. Chapter 8: Shuo Fu (Explaining the Signs)
  4. Key Interpreters of Liezi
  5. References and Further Reading

1. Historical Background

The character after whom the text is named is called Lie Yukou; his personal name, “Yukou,” means ‘guard-against-bandits.’ According to the Liezi itself, he lived in the Butian game preserve in the principality of Zheng, but was eventually driven by famine to live in Wei. The first chapter of the Zhuangzi refers to Liezi, and so, if this character corresponds to a really existing person, he must have existed prior to the writing of that chapter. This means that Liezi would have flourished some time before the end of the fourth century BCE. W. T. Chan places him as early as the fifth century. He was said to have been a student of Huzi (Huqiu Zilin), and a fellow student of Bohun Wuren (wuren: “no person”), and teacher of Baifeng. However, it is not clear whether there ever really existed a philosopher named ‘Liezi.’ Liezi is not explicitly mentioned in any of the early classifications of philosophical schools: those of Xunzi, Zhuangzi’s Tianxia chapter, and Sima Qian. Moreover, the character is understood to be an adept with superhuman powers. Zhuangzi, for example, says that he had the ability to fly for fifteen days at a time. Yang Bojun insists that, despite the mythologizing of the character, there is sufficient scattered evidence that there probably did exist a real person on whom the stories were based. Nevertheless, scholars have for centuries been suspicious of the existence of Master Lie, and of the authenticity of the text.

The ideas expressed throughout the text have clear affinities with the philosophies expressed in the Laozi and the Zhuangzi, and so categorizing these three as belonging to roughly the same tradition of thought is not problematic—even if the authors, contributors, and commentators did not think of themselves as proponents of a single doctrine, or as belonging to the same ‘school’. The Laozi is sometimes quoted with approval, although the quotations are attributed either to the Book of the Yellow Emperor, or to Lao Dan. While the Liezi does not refer to the Zhuangzi, it shows clear signs of influence from the latter (even though the character Liezi is supposed to have lived before Zhuangzi). This indicates a later dating of much, if not all, of the text.

Unlike the Laozi, this text displays little interest in critiquing the Ruists or Confucians, and unlike the Zhuangzi, does not criticize the ‘Ru Mo’—the Ruists and Mohists. On the contrary, it shows signs of reconciliation of Ruist and Daoist ideas: many Ruist principles are given Daoist interpretation, and Confucius appears in several stories as a wise and sympathetic character, if not a sage. Incidentally, that one of the chapters of the text is named after Confucius should not, by itself, be taken as significant. The chapter is so named, solely because the name of Confucius appears at the beginning of the first story. This eclectic reconciliation of Ruism, Daoism, and on occasion Mohism, is indication of the post-Qin provenance of the relevant passages.

While Zhuangzi’s own philosophy is believed to have exerted a significant influence on the interpretation of Buddhism in China, the Liezi may constitute a possible converse case of Mahayana Buddhist influence on the development of the ideas of Zhuangzi. Stories here and there resonate with some of the tenets of Sanlun (the Chinese form of Madhyamaka), Weishilun (the Chinese form of Yogacara), and Huayan. The resonances are highly suggestive, but the evidence is not decisive enough to be sure of any influence, either of Buddhist ideas on the Liezi, or vice versa. If the conjecture of Buddhist influence is correct, it would also place the relevant passages of the text well into, if not after, the Han dynasty.

2. The Liezi Text

The text, like many other early Chinese ‘books,’ is a collection of various materials, written at different times, some of which can also be found in other sources. Liu Xiang, the Western Han scholar, says in his preface that he edited and collated material from twenty chapters distributed in other collections, and reduced them to eight by eliminating excess materials. The extant eight chapter version, with Zhang Zhan’s commentary, dates from the Western Jin (approximately three centuries later).

Each chapter contains a series of stories, each developing some theme whose antecedents can often be discerned from the Laozi or the Zhuangzi. Several themes are developed in each chapter, and some chapters overlap in themes, but as with the Zhuangzi, each chapter has its distinctive ‘feel’. About one quarter of the text consists of passages that can be found in other early works, such as the Zhuangzi, the Huainanzi, and the Lüshi Chunqiu. The remaining majority of the text, however, is distinctive in style, and with the exception of the “Yang Zhu” chapter quite consistent in the world view and way of life that it expresses. Most of the text contains material of philosophical interest. However, myths and folk tales based on similar themes, but with no apparent philosophical value, can be found side by side with stories that have profound philosophical significance.

The “Yang Zhu” chapter is problematic. While the earliest reference to the text (Liu Xiang) lists a chapter with the title, the currently extant version of this chapter has little to nothing in common with the rest of the book, and indeed espouses a hedonist philosophy of pleasure seeking that is inconsistent with the cultivation of indifference toward worldly things that is characteristic of much of the rest of the book, and of the Zhuang-Lie approach to Daoism in general.

The “authenticity” of the Liezi text has been challenged by Chinese scholars for centuries, and it has accordingly been taken by perhaps a majority of scholars to be a forgery. Their claim is that the textual material was compiled, edited, and written by a single author who intended to deceive readers into believing that this was an ancient text. Certainly, the text is an eclectic compilation consisting of early materials which can be found in other texts, together with original material dating from well after the time period from which its supposed author is said to have lived. However, as Zhuang Wanshou points out, the characteristics cited for classifying the text as a forgery—being composed by several authors over several centuries, and drawing from several sources—apply to other philosophical texts which are not dismissed as “forgeries,” including, for example, the Analects and the Zhuangzi. Moreover, it is not clear why this should be considered sufficient reason to reject, and neglect, the Liezi as a philosophical text. Moreover, from a purely philosophical point of view, whoever wrote the text, and whenever it was written, it contains much material that expresses distinctively recognizable strands of Lao-Zhuang thought, with sufficient complexity and sophistication to warrant serious study as the third of the important Daoist philosophical texts.

3. Central Concepts in the Liezi

a. Chapter 1: Tian Rui (Omens of Nature)

In the opening chapter of the Liezi we can identify the beginnings of an articulation of a concept of a ‘beyond’ (wai) that bears a striking resemblance to Western concepts of the “transcendent” or “metaphysical.” I mean these terms more or less synonymously, and in the strong philosophical sense of: that which lies beyond the realm of experience, and stands independently as its necessary condition. The idea of a ‘beyond’ occurs several times, in different formulations, but it is unclear how close this gets to the Western concept of a metaphysical transcendent. In particular, while the formulations suggest an asymmetric relation of dependence—namely, that a realm beyond the conditions of existing things is itself a necessary condition for the existing, changing, things that we encounter, and not vice versa—it does not clearly and explicitly assert it as a necessarily asymmetrical relation. Still, this chapter goes much further than the Laozi or the Zhuangzi toward articulating anything like this sort of transcendence, and so if we are going to claim to find anything like it in the Daoist tradition, our best bet is with the Liezi.

The chapter begins with an account of something that is the condition of the existence of living and changing things. At first glance, this appears to define a metaphysical beyond that can only be hinted at negatively: that which is beyond birth and transformation (the unborn/not-living, busheng, and the unchanging, buhua), and which is responsible for all birth and transformation. It is the unborn that is able to produce the living, and the unchanging that is able to change the changing. This strongly suggests a dependence of the living on the unborn, of the changing on the unchanging. However, while the text explicitly asserts that the unborn/not-living can produce the living, it does not explicitly deny the opposite. Without this explicit assertion of necessary asymmetry, it has not, strictly speaking, claimed a transcendent role for the unborn/unchanging. Thus, the passage can still be read as entirely consistent with the typical Daoist claim that the stages of living and not living, and of change and not changing, are interdependent contrasts, each giving rise to the other.

The chapter also contains an explicit cosmology (a philosophical account of the basic makeup of the world), and, asks about the beginnings of heaven and earth. The text postulates several great beginnings, (taiyi, taichu, taishi, taisu), which successively mark an undifferentiated stage, a stage of energy (qi), a stage of embodied form (xing), and a stage of intrinsic stuff (zhi). The energies (or perhaps forms, or stuff, the text is not explicit) divide into two kinds: the light becomes the ‘heavens’ (tian), the heavy becomes the earth, and the blending of the two becomes the human realm. Here again, with questions about ‘great origins,’ we sense a possible concern with transcendence, but everything that is explicitly stated is compatible with an organic, naturalistic cosmology, and does not require the imposition of the full-blooded concept of metaphysical transcendence.

There follows an intriguing passage in which it is stated that that which produces, shapes, and colors, has not yet tasted, existed, or appeared. Here, an attempt is made to articulate a distinction between a realm of form that has perceptible properties, and a realm prior to form, shape, smell, etc which is responsible for these, and which itself does not have these perceptible properties. This passage is significant, because in this case, an asymmetry is for the first time explicitly articulated. However, the asymmetry is not asserted as a necessity, but merely as a contingent fact, thus still leaving room for interpreting the producer and the produced as interdependent.

After considering the cosmic beginnings, the chapter ends with a discussion of the possible end of the world. If the heavens (and the earth) are accumulated qi, then why might they not eventually come apart? Several answers are considered: they couldn’t come apart, because they are qi of a specific kind. Or: they could come apart, but that is so far off it is not something we need worry about. Or: It is beyond our knowledge whether they could ever come apart. Finally, Liezi’s answer is that both alternatives are “nonsense”: to say that tiandi will perish is nonsense, and to say that it won’t is nonsense. While the logic of this answer is left incomplete, it reminds us of the logic of the Sanlun philosophy of Madhyamaka Buddhism. The Sanlun philosophy tries to articulate a rejection of simplistic dichotomies, and encourages a third way (a ‘middle path’) that involves transcending the perspective from which we must choose between such dichotomies. There are other places in the Liezi where these hints of Sanlun emerge more explicitly, suggesting the possibility of Buddhist influence, and thereby a later dating of the text (or at least of these passages). It is worth noting, however, that the anti-metaphysical stance of Madhyamaka Buddhism is inconsistent with the positing of a realm of transcendence—thereby complicating the issue still further.

b. Chapter 2: Huang Di (The Yellow Emperor)

The Daoists are known for extolling the marvellous abilities of people with extraordinary skills, and the Liezi is no exception. Stories abound of people who perform breathtaking, sometimes life-threatening, feats with tranquil ease and flawless artistry. While these people are not directly called sages, they are nevertheless looked up to as exemplary of the ideals of the Daoist way of life.

What they have is extraordinary ability, but it is not to be understood mere daring or bravery; nor is it to be understood as qiao, skill, dexterity, or craftsmanship, in the ordinary sense of those terms. It is not simply a matter of technique, but rather of inner cultivation. These abilities arise when one understands and follows the natures or tendencies of things, and it is an understanding that cannot be put into words. As such, it is not something that one consciously knows: one might say, using the language of Polanyi, that it is a form of “tacit knowing.” Liezi emphasizes the point with examples of unwitting sages, people who naturally have a potent ability, and yet have no idea of how extraordinary they are, and indeed whose ignorance is in some cases the necessary condition of their exceptional abilities.

In other cases, or for other people, years of fasting, training, and discipline are necessary to cultivate such abilities. To engage successfully with things requires penetrating through to the inner tendencies of things, to that which lies at the root of things, beyond their observable shape and form. The sage unifies his nature (xing), energies, and potency, with a single-minded concentration on the task at hand, aware of nothing except the circumstances and the goal, and is subtly in tune with the innermost core of things. When one is able, in this way, to penetrate to the place where things are ‘forged’, one is no longer at their mercy, and then the extremes of life’s circumstances cannot ‘enter’ (ru) to disturb one’s tranquility.

c. Chapter 3: Zhou Mu Wang (King Mu of Zhou)

What is waking experience, or dream experience? What is the relation between them? From a realist perspective, only waking experience is experience of reality, while dream experience is an ‘imaginary’ reproduction of the experiences without there being a corresponding dream reality. From an idealist perspective, the difference is less radical. It is, to a large extent, a difference in degree, rather than in kind. Waking experience is simply more coherent and more enduring, and is shared by others. What, then, if there were a kind of dream experience that was more coherent and more enduring? How would we draw the distinction then? What if there a kind of dream experience that could be shared with others? Would this not constitute a radical challenge to the distinction between waking and dreaming?

It is notable that the term huan is used to talk of the status of dreams, and thereby also of our waking experience to the extent that it too is considered to be dreamlike. The term means ‘illusion’, and suggests a very strong devaluation of what we ordinarily take to be genuine experience. In some sense, all experience is for us a magnificent, magical display, a phantasmagoria of sensory delights and horrors. Seen in this light, dream and waking experience become equalized: the reality of dreams is of the same order as the illusory nature of waking experience. From an idealist perspective of this sort, waking experience is ultimately no different from a dream. This is reminiscent of the Vedanta conception of maya, and indeed it is noteworthy that huan is the word standardly used to translate the Buddhist concept of maya. If it is the case, as most scholars argue, that there is no evidence of an indigenous Chinese tradition developing a distinction between the realms of ‘Appearance’ and ‘Reality’, then this would seem to indicate the possibility of Indian influence, most probably via the Yogacara incorporation of Vedanta philosophical concepts, imparted through its Chinese form of Weishilun.

d. Chapter 4: Zhong Ni (Confucius)

In the opening of this chapter, Confucius is found lamenting his lack of success in life, and his beloved disciple Yan Hui reminds him to cultivate indifference. Confucius responds in a manner that attempts to provide a reconciliation of Daoist virtue and cultivation with Ruist social involvement. Thus, coming to terms with tian and ming means more than simply accepting everything that happens to us with equanimity or indifference. Equanimity means rejoicing in nothing, but to rejoice in nothing requires rejoicing equally in everything. And to rejoice equally in everything requires being fully immersed in each and every one of our concerns, in our successes and failures. Thus, it is entirely appropriate, and consistent with Liezi’s form of Daoism, for Confucius to grieve that he did not succeed, during his lifetime, in transforming the state. This is a very clever reinterpretation of the Daoist cultivation of equanimity that makes it compatible with care and concern for social ventures. It takes Daoist logic that leads us away from worldliness, and follows it through so that it leads us right back into the thick of things. In doing so, it anticipates the Chan (Zen) response to Huayan Buddhism.

The intuitive ‘non-knowing’ of the Huang Di chapter is then applied to the subject of governing in order to describe a Daoist kind of ‘mystical’ rulership. One rules most skilfully by doing ‘nothing.’ The ruler cultivates an intuitive sensitivity to the natures of people and circumstances, and becomes so sensitive to all that happens that he or she can respond appropriately, without necessarily knowing, or consciously planning, or taking deliberate control, or making crude judgments regarding what is right and what is wrong.

e. Chapter 5: Tang Wen (The Questions of Tang)

This chapter opens up another kind of metaphysical problem: the problem of what things are like ‘outside’ of the realms of familiarity, and gives expression to a sense of the magnificence of the world: vast, unencompassable dimensions, and the extraordinary variety of things, creatures, cultures, and places. The problem is posed, and different answers are suggested, but I think it would be a mistake to try to find a consistent metaphysical position asserted as the correct one. Rather, the text engages in a literary-philosophical exploration of some possibilities. Also, several implications are explored, drawing together concepts from other chapters: sameness and difference, the vast and the petty, the infinite and inexhaustible, the skill of the imperceptible.

As we move from region to region throughout its boundless extent, we meet up with increasingly strange varieties of things. Yet despite their differences, are they after all just variations on a theme? All things are different, and yet is it not also the case that all things are in a deeper sense the same? In either case, to one who is truly at home in the universe, the extraordinary and wonderful varieties are remarkable but not to be considered weird. Thus, unlike our typical tendency to marvel at the peculiar weirdness of the ‘exotic,’ this chapter encourages us to de-exoticize the unfamiliar.

Going beyond the limits is conceived not simply as moving outwards along a trajectory, but as occuring between levels of containment. To go outside, or beyond, is to move to a higher level within which the previous level is contained. But this very movement immediately suggests the possibility of iteration, and thus leads to the Daoist formulation of a problem concerning finitude. Are there ultimate limits of containment to how far we can go beyond? If so, is there such a thing as what is beyond those limits? Or is the process limitless? If so, can there be such a thing as what is beyond the limitless?

Conversely, the ‘inexhaustible’ refers to movement in the opposite direction, inwardly from the vast to the minuscule. At its extreme, the inexhaustible, infinitesimal within things, approaches nothing. The more subtle and minuscule it gets, the more it escapes the purview of ordinary sensory awareness. It is the inexhaustible subtleties within things that enable things to be what they are, and so sensitivity to such subtleties can and should be cultivated. Since such an awareness is unavailable to ordinary perception, and since as we have seen in Chapter 2 it is also non-verbal, it is thought of as a kind of intuitive embodied insight that remains beneath the level of conscious awareness. When we cultivate this, we are able to sense the innermost tendencies of things, respond to changes before they manifest, and thus act without interfering. The sagely charioteer, for example, does not force the horses to move, nor fight the terrain, but has a subtle sensitivity to the terrain, and to the every movement of the horses, and is able to guide, even to “control”, merely by following intuitively, tacitly, the tendencies of things.

This distinction between the vast and the petty also has more familiar, less mystical application. Great things can be achieved by focusing on the here and now: no need for a long term plan, for far reaching vision. Just keep doing what you can, no matter how dense and shortsighted: the results will take care of themselves. Great things can thus be achieved unwittingly, stupidly even. Hence, the stupid man is able to move the mountain.

f. Chapter 6: Li Ming (Effort and Circumstance)

The chapter raises the question: to what must we attribute the vicissitudes of life, our successes and failures? Is it really something that is in our control, that can be changed by li, human effort? Or is it, after all, just circumstance, ming, in this case not inappropriately interpreted as ‘fate’? That is, is it something our efforts can affect, or is it something we can do nothing about?

In the Zhuangzi, an answer is given that is reminiscent of Stoicism: that the circumstances into which we emerge are simply the way things are. We must learn to accept our lot, ming, with equanimity. There appear to be two answers given in the Liezi, one of which, given at the end of the chapter, echoes this answer of Zhuangzi. But at the beginning of the chapter, the two alternatives of li and ming are rejected. Instead, the answer is given that we must learn to accept that whatever happens, it is just the way things are, Gu. In fact, these two answers are not different, since the sense being expressed by gu in the Liezi is precisely what is expressed by the word ming in the Zhuangzi. The answer to this problem lies in the fact that the word ming has two senses. In the Zhuangzi and other early texts, ming is the circumstances that surround us, the way things are. It also has aspects of the following senses: life, lifespan, lot (in life), calling, naming, command, circumstance, that into which we are thrown, and with which we must come to terms. Insofar as this does not necessarily imply an external determining force, it differs from the concept of ‘fate.’

But it also may be used in a less sophisticated sense to refer to an external force which is in control of things, that is “fate” or “destiny”. This sense of the word can be found as early as the Mozi, in the Fei Ming (Against Fate) chapter. When the Liezi contrasts li and ming, it is in this cruder sense that ming is being rejected. Instead, the word gu is used in this text as a synonym for what was expressed by ming in the Zhuangzi. What is being denied, then, in these passages is that neither effort, nor any external force of destiny is truly in control of what happens. Thus, it is the dichotomy of personal control vs external control that is being rejected: it is not that success or failure is determined by us, nor is it the case that success or failure is determined by external circumstances. Nor, incidentally, is the point that there is always a combination of both effort and circumstance. Rather, whatever effort is involved, and whatever the circumstances, in all cases it is always a matter of how things just happened to turn out. In the end, even if neither effort nor circumstance determine the outcome, yet the outcome has simply followed its gu, the way it is.

g. Chapter 7: Yang Zhu (Yang Zhu)

The ideas of this chapter are so inconsistent with the rest of the text that it is clearly out of place. Exactly how and why it made its way into this collection, and succeeded in remaining there, is unclear. It espouses a hedonistic philosophy: Life is short; Live for pleasure alone; Don’t waste time cultivating virtues. If it bears any relation to Daoist philosophy, then it appears to be a sophomoric misunderstanding of the ideas of the Xiao Yao You chapter of the Zhuangzi. Graham suggests that it comes from a former Yangist phase of the author’s philosophical career, and that it was written, in part, to provide a foil against which to understand his later philosophy.

h. Chapter 8: Shuo Fu (Explaining the Signs)

This chapter is a mixed collection of stories, exploring themes of varying philosophical significance. A recurring theme expresses a particularist attitude that might be thought of as a kind of casuistry (according to which judgments are made by comparing the particularities of individual cases), or contextualism (according to which judgments ought to be made only when all differences of context are factored in). Several stories are told, in each of which we have apparently similar circumstances in which the outcome varies significantly. The point is to emphasize that we cannot simply assume that what appear to be similar situations require similar responses from us. We must treat each case in the light of its own unique circumstances. That is, instead of looking for simple rules to be applied at all times, we must instead learn how to read the subtleties of the ‘signs’. This may be done either through a clear and explicit awareness that arises from careful observation, or through an intuitive and embodied understanding that arises from familiarity and practice.

4. Key Interpreters of Liezi

The first eight chapter edition of the text may have been edited and compiled by Liu Xiang (77—6BCE). If this edition ever existed, it is no longer extant. Zhang Zhan’s annotated edition (around 370 CE) became popular from the Tang dynasty, and this edition with Zhang’s commentary has become the received version. A second philosophical commentary was produced by Lu Chongxuan in the 8th century). After the Tang, doubts began to be raised about its authenticity, beginning with Liu Zongyuan (773—819). Unfortunately, most of the scholarly discussion around this text has concerned its dating and “authenticity,” and consequently, there has been little to no serious interpretation of the text regarding its philosophical content.

The concern to dismiss the text increased in the early twentieth century. In 1919, Ma Shulun argued that it was a forgery made by students of Wang Bi, stealing materials from many prior philosophical sources. In 1920, Takeuchi Yoshio published a refutation of Ma Shulun, but acknowledged that the text was a late compilation. In 1949, Cen Zhongmian, attempted to defend the text, using modern techniques of linguistic analysis to argue that it dated from the late Zhou, but his argument has not been influential. In 1927, Liang Qichao even suggested that it was in fact the commentator Zhang Zhan himself who forged the book.

In 1979, two excellent editions of the Liezi with important critical commentaries were published: one by Yang Bojun in Beijing, the other by Zhuang Wanshou in Taibei. It is important to note that Zhuang’s so-called Du Ben not merely a study book, but is a significant work in its own right.

5. References and Further Reading

  • Barrett, T. H. “Lieh Tzu.” In Early Chinese Texts: A Bibliographical Guide, ed. Michael Loewe (Berkeley: Society for the Study of Early China and the Institute of East Asian Studies, University of California, Berkeley, 1993), 298-308.
  • Graham, A. C. The Book of Lieh-tzu. New York: Columbia University Press, 1960.
  • Graham, A. C. “The Date and Composition of the Lieh-Tzu.” In Studies in Chinese Philosophy and Philosophical Literature (Albany: State University of New York Press, 1990), 216-282.
  • Yang, Bojun. Liezi Jishi. Beijing: Zhonghua Shuju, 1979.
  • Wieger, Leo. Taoism: The Philosophy of China. Burbank, CA: Ohara Publications, 1976.
  • Zhuang, Wanshou. Xinyi Liezi Duben. Taibei: Sanmin Shuju, 1979.

Author Information

Steve Coutinho
Email: coutinho@muhlenberg.edu
Muhlenberg College
U. S. A.

Resurrection

The term “resurrection” refers to the raising of someone from the dead. The resurrection of the dead brings to the forefront topics from the study of personal identity and philosophical anthropology. For example, some people think that we have souls and that the souls play an important role in resurrection. Others claim that we do not have souls and that this is a reason to deny that there is any life after death. In addition, the study of resurrection has benefited from interaction with topics in contemporary metaphysics. There are many puzzles about how things survive change. Philosophers have taken insights and distinctions from those cases and used them in their discussion of resurrection.

The article begins with a brief overview of the doctrine of the resurrection. It touches on the essential parts of the Christian doctrine and points to some of the surrounding controversies. The most common objection to the Christian doctrine of the resurrection of the dead is that it cannot be made compatible with materialism, the claim that humans are material beings and have no non-physical parts. This article examines the supposed inconsistency and looks at four different attempts by philosophers to advance a coherent account of the doctrine of the resurrection. The conclusion is a brief look at immaterialist accounts of resurrection and a summary and criticism of John W. Cooper’s argument that the Christian belief in an intermediate state entails mind-body dualism.

Table of Contents

  1. The Christian Doctrine of Resurrection
  2. Objections to the Christian Doctrine of Resurrection
  3. Materialist Accounts of Resurrection
    1. The Simulacra Model
    2. The Constitution View
    3. The Falling Elevator Model
    4. Anti-Criterialism
  4. Immaterialists Accounts of Resurrection
    1. Augustine and Aquinas
    2. The Intermediate State
  5. References and Further Reading

1. The Christian Doctrine of Resurrection

Many different religions have accounts of life after death but the Christian doctrine of the resurrection of the dead has received the most attention by philosophers. This is in large part due to the centrality of the doctrine in the Western religious tradition. Because of the emphasis on Christian accounts of resurrection in the philosophical literature, this entry will focus on the debates about the Christian doctrine of resurrection. However, much of what is said can be applied to other religions and traditions. To see a contemporary non-Christian account of resurrection, see John Leslie’s Immortality Defended.

The raising of the dead plays a central role in Christian belief. To begin with, Christians believe that Jesus died and rose from the dead. Each of the four gospels contains testimony about the resurrection of Jesus (see Matthew 28:1-20, Mark 16:1-8, Luke 24:1-53, and John 20:1-21:25). Jesus’ resurrection is central to Christian belief because on it rests claims about Jesus’ divinity and various doctrines about salvation.

There is a fair amount of scholarly work done on the question of whether or not Jesus did rise from the dead. This debate falls outside the scope of the article but the interested reader will find The Son Rises: The Historical Evidence for the Resurrection of Jesus by William Craig and Did Jesus Rise From the Dead? The Resurrection Debate by Gary Habermas, Anthony Flew, and Terry Miethe to be good starting points.

Christians believe that Jesus’ resurrection serves as a model for the resurrection of some people (perhaps everyone) in the future. It is this belief that is known as the Christian doctrine of the resurrection of the dead (henceforth CDR). To be clear, this doctrine is one of bodily resurrection. It is not a claim about figurative or metaphorical resurrection. We will now look at various aspects of CDR.

First, one might wonder about the scope of CDR. Who, exactly, will be raised from the dead? By far, the majority of Christians (lay people, clergy, and scholars) have believed that both Christians and non-Christians will be resurrected. In addition, it has been believed that this resurrection is not the same for everyone. For example, some believe that Christians will be raised in a new spiritual body that will experience an eternity of blessing, while non-Christians will be raised so that they might undergo judgment and punishment.

Two doctrines that are compatible with a denial that both Christians and non-Christians will be resurrected are annihilationism and conditional immortality. Annihilationism is the view that non-Christians are not punished for eternity but rather are annihilated. Some versions of annihilationism hold that God will punish unrepentant sinners for a limited time in hell and then annihilate them (thus, endorsing some sort of afterlife) while others hold that sinners are not resurrected at all. Conditional immortality is the view that the soul is not inherently immortal and that it is only God’s gift that grants the soul eternal life. Both of these views are held by a small minority of evangelical Protestants and various Adventist churches.

Proponents of the resurrection of the godly and the ungodly point to scripture in support of their belief in a general resurrection. For example, in Acts 24:15 it is reported that Paul believed that “there shall certainly be a resurrection of both the righteous and the wicked” (all verses quoted are from the New American Standard Bible translation, NASB). In addition to the verse in Acts the reader can also look to Daniel 12:2 and Revelation 20:13-15 for support of the belief in a general resurrection. In any case, it must be acknowledged that historically and scripturally the bulk of attention is placed on the resurrection of the believer. Thus, while CDR’s scope may include the non-believer, it is primarily a doctrine about what happens to the believer in the afterlife.

Second, one might wonder about the timing of the resurrection in CDR. When will the dead be raised? This is a contentious issue among Christian theologians and the timing of the resurrection (or resurrections) is largely determined by whether one is an amillennialist, postmillennialist, or premillenialist. Amillenialists believe that Jesus will return to earth and at that time the resurrection of the dead will take place along with the establishment of the New Heaven and the New Earth. Postmillennialists believe that there will be a “millennial age,” which need not be a thousand years long, characterized by Christianity becoming the dominant religion and the world turning towards God. At the end of this age, Christ will return and the resurrection of the dead will take place. Finally, premillenialists hold that the resurrection of the believers will occur when Christ returns to earth. Following Christ’s return, there will be a millennial age in which Christ reigns on earth. At the end of this time, among other things, the resurrection of unbelievers will occur and the New Heaven and New Earth will be established. (This last characterization is a simplification. There are some versions of premillenialism in which more than two large scale resurrections take place.)

Third, one might wonder about the nature of the resurrection in CDR. What will people be like once they are raised from the dead? After all, if someone was merely restored to his or her physical state right before death, then in many cases death would occur immediately afterwards. First, CDR teaches that the resurrection will be a physical or bodily resurrection. For example, Paul writes in Romans 8:11 that “He who raised Christ Jesus from the dead will also give life to your mortal bodies through His Spirit who dwells in you.” Additionally, Paul writes in 1 Corinthians 15:42-44:

So also is the resurrection of the dead. It is sown a perishable body, it is raised an imperishable body; it is sown in dishonor, it is raised in glory; it is sown in weakness, it is raised in power; it is sown a natural body, it is raised a spiritual body.

Also, Christians cite the example of Jesus after his resurrection. Jesus is depicted not as some ghostly figure but as an embodied person, able to eat, drink, and physically interact with others.

Second, the depictions of the resurrected Christ in the gospels and the scripture passages above indicate that the body that will be raised will be significantly different than the one that died. In Christ’s case people who knew him before he died had difficulty recognizing him after he died. However, they did recognize him after some prompting. (See John 20:11-18 for a case of this.) Additionally, while Paul contrasts the two bodies in the passage from Corinthians above, the New Testament also indicates that believers will be able to recognize one another. (See Matthew 8:11, 27:52-53 and Luke 9:30-33.)

We can now sum up what the core of CDR is. CDR is a doctrine that claims believers will be resurrected in bodily form when Christ returns to the earth. Christians disagree about the timing of Christ’s return, the particulars about the resurrected body, and the scope of the resurrection. However, the creeds have been consistent in affirming the essential parts of CDR. The Apostles Creed, written around the third or fourth century C.E., affirms “the resurrection of the body.” The Nicene Creed, C.E. 325, reads “I look for the resurrection of the dead, and the life of the world to come.” Additionally, various confessions and doctrinal statements have overwhelmingly endorsed CDR. For example, in the Westminster Confession of Faith, composed in 1643-46, there is a section on the resurrection of the dead which includes the claim that “all the dead shall be raised up, with the selfsame bodies, and none other (although with different qualities)….”

2. Objections to the Christian Doctrine of Resurrection

In this section of the article two objections to the Christian doctrine of resurrection (CDR) will be examined. First, the relationship between CDR and miracles will be discussed. Second, we will consider the claim that CDR is incompatible with materialism. The majority of this section will focus on the second objection because it is a) the most common objection to CDR and b) specific to CDR and not applicable to any number of different doctrines, unlike the first objection involving miracles. Ultimately, it will be suggested that the difficulties that CDR has with materialism are not due to a particular conflict with materialism. Instead, whether one is a dualist or a materialist supporter of CDR, one must account for how a material object can be numerically identical with a previous material object that was destroyed.

One objection to CDR is that it requires a miracle to take place. The objector presumably believes either that God would not perform such miraculous events or cannot perform such events. This sort of objection was more popular in the early to mid-20th century when many leading theologians and philosophers believed that the notion of a miracle was incoherent and that Christianity would be better off without a commitment to such overt supernatural events. Note that this sort of objection applies not only to CDR but to large parts of traditional Christian doctrine.

Defenders of CDR will admit that it would take a miracle for God to bring about the resurrection of the dead. However, the defenders of CDR do not see this as a problem. Rather, they embrace the coherence of the concept of a miracle, and argue that we are within our epistemic rights to believe in miracles. Recently, the position that Christianity has within it the resources to justify belief in miracles has become more popular among philosophers. If this position is true, then the defender of CDR is within her epistemic rights in believing that a supernatural act of God is required for a resurrection to occur. However, this does not mean that CDR is true. The opponent of CDR can still argue that CDR is false because it is committed to the existence of miracles. Of course, the opponent of CDR in raising this objection is also calling into question the greater theological scheme of which CDR is but a part. Therefore, any criticism of CDR’s commitment to miracles quickly escalates into a discussion about the truth of Christianity.

The most common objection to CDR is that it is incompatible with materialism. Since materialism is the predominant view of philosophers, this objection is taken to be a serious blow to both CDR and Christianity. In order to understand this objection, one must understand the distinction between qualitative and numerical identity.

Suppose one day that you hear the following comments: “Joe is wearing the same watch that he wore yesterday,” and “Joe is wearing the same watch that Amy is wearing.” Both of these comments make use of the phrase, “same watch,” but mean very different things. The first comment says that Joe is wearing a watch that is numerically identical to the watch he wore the day before. If Joe bought a warranty for the watch he was wearing yesterday, that warranty would apply to the watch he is wearing today. The first speaker is not talking of two different watches; he is talking of only one watch. The second speaker is not talking of one watch but of two. The speaker is claiming that the watch Joe is wearing is qualitatively identical to the watch that Amy is wearing. The two watches are such that they are of the same brand, have similar features, are of the same color, etc. If Joe were to purchase a warranty for the watch he is wearing, it would not apply to the watch that Amy is wearing. This case of watches generalizes to other objects. If object X is numerically identical to object Y, then there are not, in fact, two objects, but just one. For example, Superman is numerically identical to Clark Kent; there is just one person who happens to lead an interesting double life. If object X is qualitatively identical to object Y, then there are two objects that happen to be exactly alike in their various properties and qualities. For example, two electrons might be thought of as being qualitatively identical even though they are not numerically identical.

Note that very few pairs of things are qualitatively identical in a strict and philosophical sense. For example, we might speak of two desks of being “the same desk.” However, it is likely they have enough differences that they are not qualitatively identical. Rather, they are just very similar. They are qualitatively alike and for almost any purpose one of the desks will do just as well as the other. Additionally, almost all numerically distinct objects are qualitatively distinct as well. For, take any two numerically distinct objects, unless they occupy the very same space, we could say that one has the property of being in such and such a location and the other lacks that property.

If CDR is true, then there will be many people in the far future that will be resurrected. We can ask of each of these people, is he or she the same person who died? In asking this question we are not asking if they are qualitatively the same person. As we saw above, CDR claims that those that are resurrected will have very different bodies than they had before death. Furthermore, this change is unproblematic. People can undergo a vast amount of qualitative change in their present life and still be the same person. For example, a person can be involved in a terrible accident that leaves him or her both physically and mentally very different. However, we would still consider that person to be the same person, numerically speaking, as the person who was in the accident, despite the change he or she endured. So, when we ask whether or not the resurrected persons are the same persons who died, we are asking if they are numerically identical to someone who lived in the past.

This question is problematic for the proponent of CDR. Suppose the answer is no, then it seems as if CDR is an empty hope for those who believe in it. For, the Christian does not merely believe that someone like her will be resurrected, but believes that she will be the one who is resurrected in the future. Thus, CDR is committed to the claim that there must be some way for resurrection to occur that allows for numerical identity between a person before death and after resurrection.

The dualist seems to have an easier time meeting this commitment. Under many dualist views, a person is identical to a soul or some sort of non-physical entity. During a person’s life, one soul is “attached” or associated with one particular body. When death occurs, the dualist thinks that the soul and the body become “detached.” Later, when the resurrection of the dead occurs, the soul becomes attached to a new body. This is unproblematic because a person is not identical to the body but to the soul. The newly resurrected person is identical to someone who existed before because the soul is identical to a soul that existed before.

It seems it is more difficult for a materialist to give an account of resurrection that accounts for the numerical identity of persons before and after death. To see this, we will first look at a case involving the destruction and recreation of an everyday object and then apply that case to the materialist believer of CDR. The following case is taken from Peter van Inwagen (p.45). Consider an everyday material object, such as a book or a manuscript. Suppose that at some point in the past this manuscript was burned. Now, what would you think if someone told you that he or she was currently in possession of the very same manuscript that was burned in the past? Van Inwagen would find this incredible. He does not doubt that someone could possess an exact duplicate of the manuscript. He denies that anyone could possess a manuscript that was numerically identical to the one that was burned.

Suppose the owner of the manuscript tried to convince van Inwagen that it was possible for it to be the same one by describing a scenario in which God rebuilds the manuscript using the same atoms or other bits of matter that used to compose the manuscript. Van Inwagen claims that the manuscript God recreated is merely a duplicate. A duplicate is an object that is merely qualitatively identical to another object. Van Inwagen is not alone in thinking this. John Perry expresses this intuition in his work A Dialogue on Personal Identity and Immortality. In it, a character of his argues that Kleenex boxes cannot be rebuilt after being completely destroyed. Underlying these intuitions is the view that mere rebuilding of an object (even using the same parts) is not enough to insure that the object after rebuilding is numerically identical to the object before rebuilding.

Applying this intuition to the materialist we can see why CDR seems to be in conflict with materialism. For, materialism holds that people are material objects like manuscripts and Kleenex boxes. Thus, if a person’s body is destroyed then a person is destroyed and God can no better rebuild a person’s body than he can a manuscript or any other material object.

In response to this argument, the defender of CDR may reject the intuition behind van Inwagen’s argument and claim that God can rebuild material objects as long as he is using the same parts that composed the object when it is destroyed. Under this picture, the reassembly view of resurrection, God would resurrect people by assembling together all the bits of matter that used to be a part of their bodies and bringing them together again to form healthy bodies. The reader may wonder what is meant by “parts” or “bits of matter” in this discussion. Specification of these terms will vary depending on the proponent of the reassembly view, but typically the parts under consideration are the basic micro-physical parts that we are made of. For example, it would be a poor reassembly view of resurrection that held that God resurrected people by gathering all the organs that composed people at a previous time. After all, our organs will decay and decompose in a similar way that our bodies will. The protons, neutrons, electrons, quarks, superstrings, or whatever subatomic particle you choose will not decay in the same way, and presumably would survive into the future so that God might eventually gather them and reassemble them.

There are objections to the view of resurrection as assembly that go beyond the intuition that reassembly of a body is not enough to ensure that a reassembled person is numerically identical to someone in the past. First, it is not clear that all the parts that compose people now will exist later when the time for resurrection comes. It seems possible, if not plausible, that God would not be able to resurrect some people if the reassembly view was true. The defender of CDR would not be comfortable with such an outcome. Second, parts of people can become parts of other people. For example, when a cannibal bites into her latest victim, she digests and incorporates the parts of one person into her own person. God would not be able to rebuild everyone given the existence of cannibals and other mechanisms that allow parts of one person to become parts of another person after death.

For the reasons above, philosophers have tended to reject reassembly views. (For an account of the medieval debates about reassembly views and resurrection see Caroline Walker Bynum’s The Resurrection of the Body. Some of the defenses of reassembly views by medieval apologists are entertaining if not persuasive.) We are left with our original problem, how can a material object be rebuilt? If materialism is true, then how is resurrection possible? The remaining sections of this article explain several different ways in which philosophers have attempted to answer this question.

It should be noted that the argument against the materialist defender of CDR can be transformed slightly to apply to any defender of CDR. In the description of CDR the article left open the question of whether or not the resurrected body is numerically identical to the body pre-death. Many Christians think that it is true that a numerically identical body is resurrected. Trenton Merricks makes this case forcefully in his article “The Resurrection of the Body and the Life Everlasting.” There he argues that a) “the overwhelming majority of theologians and philosophers in the history of the church have endorsed the claim of numerical identity” (p. 268) and b) that scripture teaches this. In defense of his second point he points to 1 Corinthians 15 and the fact that Christ bore the scars of crucifixion. If Merricks is right, and numerical identity of the body is part of CDR, then a believer in CDR must defend the view that it is possible for God to resurrect a material object even if one is a dualist. If Merricks is not right, then the dualist has an easier time coming up with an account of resurrection than the materialist.

3. Materialist Accounts of Resurrection

a. The Simulacra Model

Peter van Inwagen has presented a model of resurrection that is compatible with materialism and the Christian doctrine of resurrection (CDR). The key problem for the defender of CDR is that once we die our bodies begin to disintegrate and eventually are destroyed by natural processes. Once this happens, it seems that even God cannot bring back that body because it is a logically impossible thing to do, given the intuition discussed above. Van Inwagen proposes solving this problem by giving an account of resurrection where our bodies do not in fact undergo decay. Under his account, “at the moment of each man’s death, God removes his corpse and replaces it with a simulacrum, which is what is burned or rots” (van Inwagen, p. 49). Later, at the time of the general resurrection, God will take the corpse that he has preserved and restore it to life.

One objection that van Inwagen addresses in his article is that there is no reason for God to replace genuine corpses with simulacra. If God does preserve our corpse, why does he not preserve it here on earth or remove the corpse from the earth without a replacement? Van Inwagen’s brief answer is that if God did not provide a simulacrum, then there would be widespread irrefutable evidence of the supernatural. Suppose someone put a torch to a corpse. If God were preserving that corpse, then no amount of effort would allow the natural process of cremation to take place. Van Inwagen goes on to say that there are good reasons for God to have a policy of not providing regular evidence of the supernatural (though in the article above van Inwagen is not specific about what those reasons are.)

Another objection to the simulacrum view is that it makes God out to be a great deceiver. We tend to think of the corpses that we bury or cremate as genuine corpses. Further, we have every reason to suspect that this is the case. If we are wrong, it is only due to God’s constant effort to deceive us. (See Hudson, p. 181, for a discussion of this point.)

Finally, it can be objected that the simulacrum view is incredible. Even though it is coherent, it requires us to adopt radically different beliefs than we currently hold. Van Inwagen acknowledges this point and in a postscript to his original article writes:

I am inclined now to think of the description that I gave in ‘The Possibility of Resurrection’ of how an omnipotent being could accomplish the Resurrection of the Dead as a ‘just-so story’: Although it serves to establish a possibility, it probably isn’t true (p.51).

He goes on to remark that while the theory itself might not be literally true, it is true in another way in that it shows us some important features about how God will accomplish the resurrection of the dead.

b. The Constitution View

In the other sections of the article, we have assumed that a materialist is someone who holds the view that not only is a person a material object but that a person is identical to a material object, namely her body. Some materialists deny this. Instead, they hold that a person is constituted by her body and that this relation is not one of identity.

By looking at a statue and the matter it is composed of we can better understand the constitution view. Consider a hunk of marble; let us call that hunk “Hunk”. Suppose Hunk is carved into a wonderful statue which we call “Statue.” Arguably, Statue and Hunk are not identical for Hunk has properties that Statue lacks. Hunk, for example, can survive being carved into a different statue while Statue cannot. Statue cannot exist without an artworld, while Hunk can, etc. Thus, by Leibniz’s Law, Statue and Hunk are not identical. However, we can say that Statue is constituted by Hunk. (Lynne Rudder Baker argues for this view in Persons and Bodies.)

Given the constitution view of persons, we can construct an account of resurrection that purports to solve the problems of the reassembly view we described earlier. In her paper “Need a Christian be a Mind/Body Dualist, Baker claims that at the general resurrection God will take some, not all, of the atoms that used to constitute a person, let’s call him Smith, and recreate Smith’s body. The difference between this and the reassembly view is that what God is recreating is not Smith but merely a body that constitutes Smith. Thus, while we are inclined to agree with van Inwagen that we do not have numerically identical body here, Baker suggests that we should think we have the same person here. For, unlike in the case of the manuscript, God can “simply will (it seems to [Baker]) there to be a body that has the complexity to ‘subserve’ Smith’s characteristic states, and that is suitably related to Smith’s biological body, to constitute Smith” (Baker, 1995, p. 499).

One might raise several objections to this view. First, it seems that the constitutionalist has to concede that the body raised in glory is not the same one that is sown in weakness. One constitutionalist, Kevin Corcoran, shows that the constitutionalist can avoid this consequence by combining the view expressed above with the falling elevator account discussed in the following section.

Second, one might object that this view is merely a replay of the reassembly view. After all, what makes this new person Smith and not some replica? According to Baker, it is that “what makes Smith the person she is are her characteristic intentional states, including first-person reference to her body” (1995, p. 499). Unlike inanimate objects, such as manuscripts, persons can survive by having a material object constitute a mental life that has the suitable characteristics. The thing constituting a person does not need to have a particular origin, as in the case of van Inwagen’s manuscript.

One can follow up this reply by asking: What would happen if God were to reassemble several bodies, all of which are exactly like the body God created for Smith? It seems like Baker is committed to them all being identical to Smith, which is absurd. Baker responds to this objection by claming that we can trust in God’s goodness to not bring this situation about.

Finally, some would object that this view commits us to a controversial metaphysics, namely that of the constitutionalist ontology. Exploring in detail this objection would go well outside the scope of the present article. Rather, the reader should keep in mind that this model of resurrection does require one to adopt an ontology that many philosophers find disagreeable. (See Hudson for one metaphysician who has argued against constitutionalism.)

c. The Falling Elevator Model

One serious problem with the simulacra view is its commitment to mass deception by God. Recall that under this view none of the corpses we see here on Earth are genuine corpses. They are bodies that have never been alive and were not even around until God placed them, like movie props, on the earth. Dean Zimmerman, in his paper “The Compatibility of Materialism and Survival: The ‘Falling Elevator’ Model” has offered the materialist (he is not one himself) an account of resurrection that avoids the problems of both reassembly views and the simulacra view. The origins of the name “the falling elevator model” or the “jumping animals account” is due to the propensity of cartoon characters to avoid death in a falling elevator by jumping out at the last minute. In the same way, in the falling elevator model, bodies “jump” at the last second before death to avoid being destroyed.

According to the falling elevator model at the point just before death God enables a person to undergo fission. (An object undergoes a case of fission when it splits, like an amoeba, into two objects, both of which bear a causal relationship to the original object.) One body resulting from this case of fission goes on to die and becomes a genuine corpse. The second body is transported by God into the far future where it goes on to be resurrected. Both of these bodies have an immanent-causal connection to the body just before death and it is this connection that supports the claim that the resurrected person is identical with the person who died and the claim that the corpse is a genuine corpse and not a simulacrum.

The main objection to this view is that it is committed to denying the “only x and y principle.” This principle has many variants, but it basically states that the only things that matter when considering whether or not x is numerically identical to y are the intrinsic properties of x and y and the relationships between them. The falling elevator model violates this principle because it allows for there to be cases of fission where at one time there are two persons that are both alive and have an immanent-causal connection to a previous person. To see this, consider a case where this occurs and there are two people “Joe” and “Fred” who both have an immanent-causal connection to a previous person “Mark.” Since the causal connection between Joe and Mark and the causal connection between Fred and Mark are both of the sort used by the proponent of the falling elevator model, the proponent is forced to acknowledge that both Joe and Fred are numerically identical to Mark. But that can’t be! Joe and Fred are not numerically identical to one another, and the identity relationship is transitive. Thus, the proponent of the falling elevator model will have to insist that some other criteria, outside Joe, Fred, and Mark, be used to evaluate personal identity. For example, the proponent will likely say that an object x is numerically identical to a previous object y only if x is the closest continuer to y at that time. Thus, we have a violation of the only x and y principle.

Hudson adopts the falling elevator model but avoids the consequence of rejecting the “only x and y principle” by endorsing a perdurantist view of persons. According to the perdurantist, people are not wholly located at a particular time. Rather, they are spread out over time and are composed of temporal parts. In the case above, the perdurantist would not say that Joe and Fred are numerically identical to Mark. Instead, he would claim that the temporal parts of Joe and Fred are related to the temporal part of Mark in such a way that the object composed of Joe and Mark is a person and the object composed of Fred and Mark is a different person. Granted, these two persons overlap for the entirety of the temporal part Mark, but that is not an incoherent outcome.

Perdurantism is a controversial metaphysics. A full discussion of it falls outside the scope of this article. The reader should bear in mind that if one adopts Hudson’s view, one also has to adopt metaphysical theses that are criticized by a wide variety of philosophers.

d. Anti-Criterialism

In order to understand the motivations for anti-criterialism, it will help if we look at a puzzle known as the Ship of Theseus. The Ship of Theseus is a story about a ship captain, named Theseus, who slowly replaces each one of the parts of his ship with a new part. This change is gradual, and many are inclined to believe that at the end of the process the repaired ship (call it ship A) is numerically identical to the one he began with (see the distinction between numerical and qualitative identity in section 2). Suppose that someone were to reassemble the parts that were replaced and form a new ship (call it ship B). Would ship B also be numerically identical to the original ship? Again, many think so. Since identity is a transitive relationship it cannot be that both ships A and B are identical to the original ship. This poses a puzzle for us, as we have the intuitions that ships can both survive a replacement of their parts and can be disassembled and reassembled.

Faced with puzzles such as the Ship of Theseus, and the possibility of fission (a case where one object divides into two, such as an amoeba splitting into two amoebas), philosophers have tended to adopt criterialism. Criterialism is the claim that there are criteria for identity over time. One recent philosopher to deny this is Trenton Merricks. In this section of the article we will look at Merricks’ position and see how he applies it to the objections to the Christian doctrine of resurrection (CDR).

A criterion for identity over time is a criterion for a particular type of object that gives informative necessary and sufficient conditions for numerical identity over time. For example, if you possessed a criterion for identity over time for ships, then you would be able to say what it is about a ship at the present time that makes it identical to a ship that existed previously. Some philosophers think that such criteria are useful because having them would allow us to solve puzzles that involve questions regarding an objects identity over time. For example, a criterion for ships would help us solve the Ship of Theseus paradox by allowing us to determine whether or not ship A or ship B is numerically identical to the original ship.

Let us now look some models given for CDR. Van Inwagen, for example, believes that the criterion of identity over time for persons is that a person at a given time must be part of the same life as a person at a previous time. Hudson argues for what he calls a psychological criterion of personal identity. Given these criteria, each philosopher attempts to construct a model of resurrection that does not violate his or her criterion for personal identity. (It should be noted that Baker, a constitutionalist, does not think we can give a criterion of personal identity. This seems to be because the criterion is mysterious, and not because there is no criterion. While her model of resurrection appears under a different section in this article, the reader is encouraged to think about how an adoption of anti-criterialism might be used to defend a constitutionalist account of resurrection.)

The main objection to CDR was that there was no coherent account of resurrection in which the persons or bodies resurrected were numerically identical to persons or bodies before death. Note that there was very little argument behind this objection. Rather, the burden of proof was on the proponent of CDR to provide a “just-so” story that showed how it was possible for us to be resurrected. Underlying this assumption was the belief that there is some criterion of personal identity and the intuition that no story about resurrection can accommodate this criterion.

One might be able to shift the burden of proof away from the proponent of CDR by denying that there is any criterion of personal identity. Merricks does just this. He denies that there are any criteria of identity over time for any object. Further, he claims that he does not have an account of resurrection and that lacking such an account is no problem for the believer of CDR. It is now up to the opponent of CDR to say why CDR is impossible. Since there are no criteria of personal identity, this task will prove difficult if not impossible. Of course, the anti-criterialist might wish, along with the rest of us, that we knew how God will resurrect us. But this lack of knowledge merely shows that we are ignorant of how resurrection occurs, not that resurrection is impossible.

The main objection to this view of resurrection centers on the denial of criterialism. As in the case of constitutionalism and perdurantism, an account of the objections to this metaphysical thesis falls outside the scope of this article. However, the reader is encouraged to look at Dean Zimmerman’s paper “Criteria of Identity and the ‘Identity Mystics’” for one response to anti-criterialism.

4. Immaterialists Accounts of Resurrection

a. Augustine and Aquinas

Of course, not all Christians are materialists and in this section we will look briefly at two types of accounts of immaterialist resurrection. Note that by an “immaterialist account,” we mean an account that entails that materialism is false. Aquinas, for example, is an immaterialist in this sense even though he did not think that we are identical to our soul or essentially an immaterial object. Most of the contemporary literature on resurrection focuses on material accounts because a) many philosophers find the concept of an immaterial soul mysterious at best and b) the most common objection to the Christian doctrine of resurrection (CDR) involves its incompatibility with materialism. The reader should not take the current state of the literature to be a guide to the philosophical merits of either materialist or immaterialist accounts or the proportion of Christians who hold to each position.

One of the most popular forms of dualism held by Christians has been a dualism inspired by Plato and Descartes in which 1) the soul and body are separate substances, 2) the soul is immaterial, and 3) the soul is identical to or strongly connected to the mind. One of the early Christian adopters of this view was Augustine. He modified arguments from Plato’s Phaedo to show that the soul must be immortal. Additionally, he argued that the soul must be immortal because it desires perfect happiness. The desire for perfect happiness includes a desire for immortality because no happiness would be perfect if one feared losing it at death. This desire is a natural desire, and thus, Augustine claimed, the soul must naturally be immortal. Bonaventure later takes up this argument when he argues for the immortality of the soul. (See the Copleston reference for more details about Augustine, Bonaventure and Aquinas).

One contemporary philosopher who defends a dualism of mind and body in the Augustinian tradition is Richard Swinburne. Swinburne compares the soul to a light and the body to a light bulb. In his view, if our bodies are destroyed then the soul would naturally cease to function in the same way that a light would naturally go out when a light bulb is destroyed. However, he thinks it is within God’s power to “fix the light bulb” and restore the functioning of the soul by providing a new body or some other means. For example, God could by a miraculous divine act cause souls to function while disembodied. In any case, Swinburne emphasizes that the soul is not by nature immortal (this goes against Augustine). Swinburne’s view is compatible with the doctrine of an intermediate state (see 4.b below) but denies Merricks’ claim that we will have numerically the same body when we are resurrected. Swinburne himself thinks that there is no intermediate state.

Many contemporary Christian dualists are similar to Swinburne. They agree that a) the soul is not by nature immortal, b) the doctrine of the intermediate state is compatible with dualism, and c) we will receive new bodies at the time of the general resurrection and our souls will be “hooked up” to these bodies by a divine act. Disagreements among Cartesian dualist Christians tend to revolve around the origin of the soul and the way in which the soul interacts with the body. For example, William Hasker in his article “Emergentism” argues that the soul is generated by the body while Swinburne believes souls are created by God.

Some Christian immaterialists are not Platonic/Cartesian dualists but rather are dualists in the spirit of Thomas Aquinas. Aquinas held the hylomorphic view that persons are a composite substance of matter and form. The substantial form, that which makes someone a substance, is the rational soul. Among those who held to a hylomorphic view, there was a debate about whether or not the soul could survive death, and, if it could, whether or not this ensures a personal resurrection.

Unlike some hylomorphists (perhaps Aristotle) he argues that the human mind or soul can exist apart from the body. The human mind is not dependent on the body because the way in which it knows depends upon its state. So, instead of ceasing to exist when becoming disembodied, the soul would merely come to know the world in a different way. Additionally, Aquinas argued that we can look forward to a personal resurrection. While the various human souls are nearly identical, we can individuate them in virtue of the bodies they did have on Earth and will have in the general resurrection.

b. The Intermediate State

A Christian belief that is related to the doctrine of resurrection is the belief in an intermediate state. Many Christians believe that between the time of death and the time of resurrection there is an intermediate state at which people will continue to exist. This section of the article will look at accounts of this intermediate state and examine an argument for dualism based on the intermediate state.

It should be pointed out that Protestants and Catholics differ significantly on the nature of the intermediate state. Traditional Catholic thought holds that some people go to purgatory when they die, as opposed to ceasing to exist or immediately going to exist in the presence of God. Purgatory is a place where souls go to be cleansed of sin before entrance to heaven. Believers are encouraged to pray for those souls that are in purgatory so that the souls might escape purgatory sooner. Catholics find support for the doctrine of purgatory in 2 Maccabees 12:42-45 and in church tradition. Protestants reject the doctrine of purgatory because they deny that 2 Maccabees is an authoritative source and because they claim the doctrine of purgatory contradicts scripture. Additionally, some Catholics have held to a belief in Limbus Patrum, a place where Old Testament saints went to await the death and resurrection of Christ, and Limbus Infantum, a place where unbaptized infants go after death.

In addition to the above controversies, Christians debate the fate of believers after death. Many think that believers retain consciousness and go into the presence of God. Proponents of the intermediate state point to passages in the New Testament in support of the view. For example, 2 Corinthians 5:6-8 reads:

Therefore, being of good courage, and knowing that while we are at home in the body we are absent from the Lord…we are of good courage, I say, and prefer rather to be absent from the body and to be at home with the Lord.

Additionally, Jesus says to the thief in Luke 23:43, “Truly I say to you, today you shall be with Me in Paradise.” Some other verses that theologians cite are Hebrews 12:23 and Philippians 1:23.

Most Christians have thought that the doctrine of an intermediate state is taught by scripture. Occasionally, some thinkers have proposed the doctrine of soul sleep which is incompatible with the doctrine of an intermediate state. The doctrine of soul sleep is the claim that when a person dies he or she is unconscious until he or she is resurrected. This contradicts the doctrine of an intermediate state because the doctrine of an intermediate state holds that the believer is aware and mentally active during the time between death and the receiving of the resurrection body.

The philosophical upshot of the doctrine of an intermediate state is that some philosophers think that it entails mind-body dualism. This is one of the major arguments of John W. Cooper’s Body, Soul & Life Everlasting. In the book he argues that there are only three options given in the New Testament. The first is the view that there is an intermediate state (which according to Cooper implies dualism). The second is the view that resurrection does not happen at any future time and thus when it does happen (say outside our normal dimension of time) it is “instantaneous.” Finally, the third view is that of a resurrection after a passage of time here on earth.

Cooper accepts the theological arguments for the claim that there is an intermediate state. Why does he think that an intermediate state entails dualism? It seems to be because he thinks that an intermediate state is necessarily a disembodied state and thus is, by definition, one in which the person exists and is a non-physical entity. If this is the case then mind-body dualism does follow. However, not all scholars accept his contention that a person existing in an intermediate state is disembodied. For example, Baker claims “there is no reason to suppose that the intermediate state (if there is one) is one of disembodiment” (Baker, 1995, p. 498). Cooper, of course, would reject this claim. The reasons he cites mirror the claims made by the proponent of the incompatibility of materialism and CDR. In short, Cooper thinks that there is no coherent way for a material object to be resurrected which is numerically identical to one that previously existed, whether this resurrection occurs in an intermediate state or at the general resurrection.

5. References and Further Reading

  • Baker, L.R. “Need a Christian be a Mind/Body Dualist?” Faith and Philosophy 12 (1995): 489-504.
    • An article which presents the constitution view of persons and which argues that constitutionalism is compatible with the doctrine of the resurrection of the dead.
  • Baker, L.R. Persons and Bodies. New York: Cambridge University Press, 2000.
    • A major work in defense of constitutionalism.
  • Baker, L.R. “Persons and the metaphysics of resurrection.” Religious Studies, 43 (2007): 333–48.
    • An article which defends the constitution view of resurrection and touches on many of the other views discussed in this entry.
  • Bynum, C.W. The Resurrection of the Body in Western Christianity, 200-1336. New York: Columbia University Press, 1995.
    • A study of the doctrine of the resurrection of the dead in the early and medieval church.
  • Cooper, J.W. Body, Soul, & Life Everlasting. Grand Rapids Michigan: Eerdmans Publishing Company, 1989.
    • A book that argues for mind-body dualism based on the doctrine of the intermediate state. It includes a detailed study of the Old and New Testament accounts of the mind-body distinction and the doctrine of the resurrection.
  • Copleston, F. A History of Philosophy, Volume II: Medieval Philosophy. New York: Doubleday, 1993.
    • A good historical overview of medieval philosophy which includes details about Augustine, Bonaventure, and Aquinas and their views on resurrection and the relationship between the body and the soul.
  • Corcoran, Kevin J. “Persons and Bodies.” Faith and Philosophy 15 (1998): 324-340.
    • An article that combines constitutionalism and the falling elevator model.
  • Craig, W. L. The Son Rises: The Historical Evidence for the Resurrection of Jesus. Chicago: Moody, 1981.
    • An apologetic work in favor of the thesis that Jesus rose from the dead.
  • Grudem, W. Systematic Theology: An Introduction to Biblical Doctrine. Grand Rapids Michigan: Zondervan Publishing House, 1994. 810-839, 1109-1139.
    • A well organized systematic theology that contains references to many different religious traditions and creeds. Grudem is a conservative theologian and gives a clear, if not exhaustive, argument for traditional doctrines.
  • Habermans, G., Flew, A., and Miethe, T. Did Jesus Rise From the Dead? The Resurrection Debate. New York: Harper and Row, 1987.
    • Perspectives on whether or not Jesus did rise from the dead for a non-technical reader.
  • Hasker, W. “Emergentism.” Religious Studies 18 (1982): 473-488.
    • A defense of emergentism. Additionally, Hasker argues that the doctrine of resurrection makes dualism more attractive than materialism.
  • Hick, J. Philosophy of Religion. Englewood Cliffs, New Jersey: Prentice-Hall, 1973. 97-117.
    • Arguably, Hick argues for the replica model of resurrection. Additionally, there is a chapter on non-Christian accounts of life after death.
  • Hudson, H. A Materialist Metaphysics of the Human Person. Ithaca: Cornell University Press, 2001.
    • A defense of perdurantism and the falling elevator model of resurrection.
  • Leslie, John. Immortality Defended. Malden, Massachusetts: Blackwell publishing, 2007.
    • A book that defends a theistic (not Christian) view of resurrection that is notable for its use of modern physics and incorporation of eastern philosophy.
  • Merricks, T. “There are No Criteria of Identity Over Time.” Noûs 32 (1998): 106-124.
    • A technical defense of anti-criterialism.
  • Merricks, T. “The Resurrection of the Body and the Life Everlasting.” Reason for the Hope Within, ed. Michael Murray. Grand Rapids, Michigan: Eerdmans Publishing Company, 1999. 261-286.
    • A discussion of different accounts of resurrection and an argument for the claim that the doctrine of the resurrection provides support for materialism.
  • Perry, J. A Dialogue on Personal Identity and Immortality. Indianapolis: Hackett, 1978.
    • A good introduction to the philosophical problems surrounding resurrection. Written in dialogue form.
  • Plato, Phaedo. Translated by G.M.A Grube. Indianapolis: Hackett, 1977.
    • A fine translation of Plato’s work on the immortality of the soul.
  • Swinburne, R. The Evolution of the Soul. New York: Oxford, 1986.
    • A defense of Cartesian dualism that has a chapter on the future of the soul.
  • Van Inwagen, P. “The Possibility of Resurrection.” The Possibility of Resurrection and Other Essays in Christian Apologetics. Boulder, Colorado: Westview Press, 1998. 45-52.
    • A reprint of van Inwagen’s older article which defends the simulacra view. This version contains a significant postscript.
  • Zimmerman, D. “The Compatibility of Materialism and Survival: The ‘Falling Elevator’ Model.” Faith and Philosophy 16 (1999): 194-212.
    • The origins of the falling elevator model of resurrection.
  • Zimmerman, D. “Criteria of Identity and the ‘Identity Mystics’.” Erkenntnis 48 (1998): 281-301.
    • A discussion of criterialism.

Author Information

Jeff Green
Email: jgreen@hbu.edu
Houston Baptist University
U. S. A.

Game Theory

This article sketches the basic concepts of the theory of games in order to discuss some of their philosophical implications and problems.

Consider the following situation: when two hunters set out to hunt a stag and lose track of each other in the process, each hunter has to make a decision. Either she continues according to plan, hoping that her partner does likewise (because she cannot bag a deer on her own), and together they catch the deer; or she goes for a hare instead, securing a prey that does not require her partner’s cooperation, and thus abandoning the common plan. Each hunter prefers a deer shared between them to a hare for herself alone. But if she decides to hunt for deer, she faces the possibility that her partner abandons her, leaving her without deer or hare. So, what should she do? And, what will she do?

Situations like this, in which the outcome of an agent’s action depends on the actions of all the other agents involved, are called interactive. Two people playing chess is the archetypical example of an interactive situation, but so are elections, wage bargaining, market transactions, the arms race, international negotiations, and many more. Game theory studies these interactive situations. Its fundamental idea is that an agent in an interactive decision should and does take into account the deliberations of her opponents, who, in turn, take into account her deliberations. A rational agent in an interactive situation should therefore not ask: “What can I do, given what is likely to happen?” but rather: “What can I do in response to what they do, given that they have a belief about what I will do?” Based on this perspective, game theory recommends rational choices for these situations, and predicts agents’ behavior in them.

This article presents the basic tenets of game theory in a non-formal way. It then discusses two broad philosophical issues arising from the theory. First, whether the rationality concept employed by the theory is justifiable – whether it is intuitively rational to choose as the theory prescribes. Second, whether the theory can in principle be a good predictive theory of human behavior – whether it has empirical content, whether it is testable and whether there are good reasons to believe that it is true or false.

Table of Contents

  1. Sketch of the Theory
    1. Static Games
    2. Dynamic Games
    3. The Architecture of Game Theory
  2. Game Theory as a Theory of Rationality
    1. Sufficient Epistemic Conditions for Solution Concepts
    2. Nash Equilibrium in One-Shot Games
    3. Nash Equilibrium in Repeated Games
    4. Backward Induction
    5. Paradoxes of Rationality
    6. Bounded Rationality in Game Players
  3. Game Theory as a Predictive Theory
    1. The Evolutive Interpretation
    2. The Problem of Alternative Descriptions
    3. Testing Game Theory
  4. Conclusion
  5. References and Further Reading

1. Sketch of the Theory

Game theory belongs to a family of theories often subsumed under the umbrella term Rational Choice Theory. All these theories (in particular, decision theory, game theory and social choice theory) discuss conditions under which agents’ actions, or at least their decision to act, can be said to be rational. Depending on how these conditions are interpreted, Rational Choice theory may have a positive or a normative function: it may contribute to the prediction and explanation of agent behavior, or it may contribute to advising agents what they should do. Many of the purported functions of Rational Choice theory are controversial; as a part of it, game theory is affected by these controversies, in particular its usefulness for the social sciences. I will address some of these general issues in Section 3. However, game theory faces its own philosophical problems, and these will be the focus of this article.

Decision theory, as well as game theory, assesses the rationality of decisions in the light of preferences over outcomes and beliefs about the likelihood of these outcomes to appear. The basic difference between the two lies in the way they view the likelihood of outcomes. Decision theory treats all outcomes as exogenous events, ‘moves of nature’. Game theory, in contrast, focuses on those situations in which outcomes are determined by interactions of deliberating agents. It proposes that agents take outcomes as determined by other agents’ reasoning, and that agent therefore assess the likelihood of an outcome by trying to figure out how the other agents they interact with will reason. The likelihoods of outcomes therefore becomes “endogenous” in the sense that players take their opponents’ payoffs and rationality into account when figuring out the consequences of their strategies.

We are familiar with such reasoning from card and board games. When playing poker or chess, one must take one’s opponent’s reasoning into account in order to be successful. The player who foresees her opponent’s optimal reaction to her own move will be much more successful that the player who simply assumes that her opponent will make a certain move with a certain probability. Theoretical reflection about such parlor games are at the basis of game theory – for example, James Waldegrave’s discussion of the French card game Le Her in 1713, or von Neumann’s treatment ‘Zur Theorie der Gesellschaftsspiele’ (‘Towards a Theory of Parlor Games’) from 1928 – but today game theory has little to do with these games, and instead discusses a wide variety of social interactions. (Game theory is also applied to problems in biology and even in logic – these applications will not be discussed in this article).

The formal theory defines a game as consisting of two or more players, a set of pure strategies for each player and the players’ payoff functions. A player’s pure strategy specifies her choice for each time she has to choose in the game (which may be more than once). Players have to have at least two strategies to choose between, otherwise the game would be trivial. All players of a game together determine a consequence. Each chooses a specific strategy, and their combination (called strategy profiles) yields a specific consequence. The consequence of a strategy profile can be a material prize – for example money – but it can also be any other relevant event, like being the winner, or feeling guilt. Game theory is really only interested in the players’ evaluations of this consequence, which are specified in each players’ so-called payoff or utility function.

The part of the theory that deals with situations in which players’ choice of strategies cannot be enforced is called the theory of non-cooperative games. Cooperative game theory, in contrast, allows for pre-play agreements to be made binding (e.g. through legally enforceable contracts). This article will not discuss cooperative game theory. More specifically, it will focus – for reasons of simplicity – on non-cooperative games with two players, finite strategy sets and precisely known payoff functions.

Game theory uses two means to represent games formally: strategic form and extensive form. Commonly (though not necessarily!), these two methods of representation are associated with two different kinds of games. Extensive form games represent dynamic games, where players choose their actions in a determined temporal order. Strategic form games represent static games, where players choose their actions simultaneously.

a. Static Games

Static two-person games can be represented by m-by-n matrices, with m rows and n columns corresponding to the players’ strategies, and the entries in the squares representing the payoffs for each player for the pair of strategies (row, column) determining the square in question. As an example, figure 1 is a possible representation of the stag-hunt scenario described in the introduction.

Col’s Choice
C1 C2
Row’s
Choice
R1 2,2 0,1
R2 1,0 1,1

Figure 1: The stag hunt

The 2-by-2 matrix of figure 1 determines two players, Row and Col, who each have two pure strategies: R1 and C1 (go deer hunting) and R2 and C2 (go hare hunting). Combining the players’ respective strategies yields four different pure strategy profiles, each associated with a consequence relevant for both players: (R1,C1) leads to them catching a deer, (R2,C1) leaves Row with a hare and Col with nothing, (R2,C2) gets each a hare and (R1,C2) leaves Row empty-handed and Col with a hare. Both players evaluate these consequences of each profile. Put informally, players rank consequences as ‘better than’ or ‘equally good as’. In the stag-hunt scenario, players have the following ranking:

Row Col
1. (R1,C1)

2. (R2,C1); (R2,C2)

3. (R1,C2)

1. (R1,C1)

2. (R1,C2); (R2,C2)

3. (R2,C1)

Figure 2: The hunters’ respective rankings of the strategy profiles

This ranking can be quite simply represented by a numerical function u, according to the following two principles:

  1. For all consequences X, Y: X is better than Y if and only if u(X) > u(Y)
  2. For all consequences X, Y: X is equally good as Y if and only if u(X) = u(Y)

A function that meets these two principles (and some further requirements that are not relevant here) is called an ordinal utility function. Utility functions are used to represent players’ evaluations of consequences in games (for more on preferences and utility functions, see Grüne-Yanoff and Hansson 2006). Convention has it that the first number represents Row’s evaluation, while the second number represents Col’s evaluation. It is now easy to see that the numbers of the game in figure 1 represent the ranking of figure 2.

Note, however, that the matrix of figure 1 is not the only way to represent the stag-hunt game. Because the utilities only represent rankings, there are many ways how one can represent the ranking of figure 2. For example, the games in figures 3a-c are identical to the game in figure 1.

C1 C2
R1 -5,-5 -7,-6
R2 -6,-7 -6,-6

Figure 3a: 3rd version of the stag hunt

C1 C2
R1 100,100 1,99
R2 99,1 99,99

Figure 3b: 2nd version of the stag hunt

C1 C2
R1 -5,100 -7,-99
R2 -6,1 -6,99

Figure 3c: 1st version of the stag hunt

In figure 3a, all numbers are negative, but they retain the same ranking of consequences. And similarly in figure 3b, only that here the proportional relations between the numbers (which don’t matter) are different. This should also make clear that utility numbers only express a ranking for one and the same player, and do not allow to compare different players’ evaluations. In figure 3c, although the numbers are very different for the two players, they retain the same ranking as in figure 1. Comparing, say, Row’s evaluation of (R1,C1) with Col’s evaluation of (R1,C1) simply does not have any meaning.

Note that in the stag-hunt game, agents do not gain if others lose. Everybody is better off hunting deer, and losses arise from lack of coordination. Games with this property are therefore called coordination games. They stand in stark contrast to games in which one player’s gain is the other player’s loss. Most social games are of this sort: in chess, for example, the idea of coordination is wholly misplaced. Such games are called zero-sum games. They were the first games to be treated theoretically, and the pioneering work of game theory, von Neumann and Morgenstern’s (1944) The Theory of Games and Economic Behavior concentrates solely on them. Today, many of the games discussed are of a third kind: they combine coordination aspects with conflicting aspects, so that players may at times gain from coordinating, but at other times from competing with the other players. A famous example of such a game is the Prisoners’ Dilemma, to be discussed shortly.

Players can create further strategies by randomizing over pure strategies. They can choose a randomization device (like a dice) and determine for each chance result which of their pure strategies they will play. The resultant probability distribution over pure strategies is called a mixed strategy σ. For example, Row could create a new strategy that goes as follows: toss a (fair) coin. Play R1 if heads, and R2 if tails. Because a fair coin lands heads 50% of the time, such a mixed strategy is denoted σR = (0.5,0.5). As there are no limits to the number of possible randomization devices, each player can create an infinite number of mixed strategies for herself. The players’ evaluation of mixed strategies profiles is represented by the expected values of the corresponding pure-strategy payoffs. Such an expected value is computed as the weighted average of the pure-strategy payoffs, and the weights are the probabilities with which each strategy is played. For example, if Row in figure 1 plays her mixed strategy σR = (0.5,0.5), and Col plays a strategy σC = (0.8,0.2), then Row’s expected utility will be computed by:

uRRC) = 0.5(0.8×2 + 0.2×0) + 0.5(0.8×1 + 0.2×1) = 1.3

With the same mixed strategies, Col’s expected utility, uCRC) = 1. For the payoffs of mixed strategy to be computable, the utility function has to carry cardinal information. Now it is also important how much a player prefers a consequence X to a consequence Y, in comparison to another pair of consequences X and Z. Because mixed strategies are a very important concept in game theory, it is generally assumed that the utility functions characterizing the payoffs are cardinal. However, it is important to note that cardinal utilities also do not allow making interpersonal comparisons. In fact, such interpersonal comparisons play no role in standard game theory at all.

Solution Concepts

Representing interactive situations in these highly abstract games, the objective of game theory is to determine the outcome or possible outcomes of each game, given certain assumptions about the players. To do this is to solve a game. Various solution concepts have been proposed. The conceptually most straightforward solution concept is the elimination of dominated strategies. Take the game of figure 4 (which, take note, differs from the stag-hunt game in its payoffs). In this game, no matter what Col chooses, playing R2 gives Row a higher payoff. If Col plays C1, Row is better off playing R2, because she can obtain 3 utils instead of two. If Col plays C2, Row is also better off playing R2, because she can obtain 1 utils instead of none. Similarly for Col: no matter what Row chooses, playing C2 gives her a higher payoff. This is what is meant by saying that R1 and C1 are strictly dominated strategies.

C1 C2
R1
2,2
0,3
R2
3,0
1,1

Figure 4: The Prisoners’ Dilemma

More generally, a player A’s pure strategy is strictly dominated if there exists another (pure or mixed) strategy for A that has a higher payoff for each of A’s opponent’s strategies. To solve a game by eliminating all dominated strategies is based on the assumption that players do and should choose those strategies that are best for them, in this very straightforward sense. In cases like in figure 4, where each player has only one non-dominated strategy, the elimination of dominated strategies is a straightforward and plausible solution concept. However, there are many games, which do not have any dominated strategies, as for example the stag-hunt game or the zero-sum game of figure 5.

Recall that in a zero sum game, one player’s payoff is exactly the inverse of that of the other player. For example, figure 5 shows Row’s payoffs, while Col’s payoffs are the negative of Row’s payoffs.

C1 C2 C3
R1 1 3 6
R2 7 5 5
R3 3 4 10

Figure 5: A zero-sum game

Von Neumann and Morgenstern argued for the Minimax Rule as the solution concept for zero-sum games. In these games, they suggest, each player makes the following consideration: ‘my adversary tries to get out of the play as much as possible. Her gain is my loss. So I better look for how much I minimally get out of each option and try to make this amount as large as possible. If this is reasonable, then my adversary will do the same. Since my maximizing my minimum is best against her maximizing her minimum, I should stick to my choice’. The minimax solution therefore recommends that Row choose the strategy with the highest minimum, while Col choose a strategy with the lowest maximum. Thus, in figure 5, Row chooses R2, as it has the highest minimal payoff for her, and Col chooses C2, as it has the lowest maximal payoff for Row (and hence the highest minimal payoff for her).

Unfortunately, there are many non-zero-sum games without dominated strategies, for example the game of figure 6.

C1 C2 C3
R1 3,4 2,5 1,3
R2 4,8 1,2 0,9

Figure 6: A game without dominated strategies

For these kinds of games, the Nash equilibrium solution concept offers greater versatility than dominance or maximin (as it turns out, all maximin solutions are also Nash equilibria). In contrast to dominated strategy elimination, the Nash equilibrium applies to strategy profiles, not to individual strategies. Roughly, a strategy profile is in Nash equilibrium if none of the players can do better by unilaterally changing her strategy. Take the example of matrix 6. Consider the strategy profile (R1,C1). If Row knew that Col would play C1, then she would play R2 because that’s the best she can do against C1. On the other hand, if Col knew that Row would play R1, he would play C2 because that’s the best he can do against R1. So (R1, C1) is not in equilibrium, because at least one player (in this case both) is better off by unilaterally deviating from it. Similarly for (R1, C3), (R2, C1), (R2,C2) and (R2, C3): in all these profiles, one of the players can improve her or his lot by deviating from the profile. Only (R1, C2) is a pure strategy Nash equilibrium – neither player is better off by unilaterally deviating from it.

There are games without a pure strategy Nash equilibrium, as matrix 7 shows. The reader can easily verify that each player has an incentive to deviate, whichever pure strategy the other chooses.

C1 C2
R1 1,-1 -1,1
R2 -1,1 1,-1

Figure 7: Matching pennies

However, there is an equilibrium involving mixed strategies. Randomizing between the two strategies, assigning equal probability to each, yields a payoff of 0.5(0.5×1+0.5x-1)+0.5(0.5×1+0.5x-1) = 0 for both players. As mutually best responses, these mixed strategies constitute a Nash equilibrium. As one of the fundamental results of game theory, it has been shown that every finite static game has a mixed-strategy equilibrium (Nash 1950). Many games have several Nash equilibria. Take for example figure 1. There, neither player has an incentive to deviate from (R1, C1), nor to deviate from (R2, C2). Thus both strategy profiles are pure-strategy Nash equilibria. With two or more possible outcomes, the equilibrium concept loses much of its appeal. It no longer gives an obvious answer to the normative, explanatory or predictive questions game theory sets out to answer. The assumption that one specific Nash equilibrium is played relies on there being some mechanism or process that leads all the players to expect the same equilibrium.

Schelling’s (1960) theory of focal points suggests that in some “real-life” situations players may be able to coordinate on a particular equilibrium by using information that is abstracted away by the strategic form. Examples of information that has such focal power may be the names of strategies or past common experiences of the players. Little systematic work exists on the “focalness” of various strategies, as they depend on the players’ cultural and personal backgrounds. Mainstream game theory has never incorporated these concepts into the formal structure of the theory (for exceptions, see Bacharach 1993, Sugden 1995).

A focal point that might evade such context-dependence is Pareto-dominance, if pre-play communication is allowed. An equilibrium is Pareto-dominant over another if it makes everybody at least as well off and makes at least one person better off. This is the case in the game of figure 1: (R1, C1) makes both players better off than (R2, C2). The intuition for this focal point is that, even though the players cannot commit themselves to play the way they claim they will, the pre-play communication lets the players reassure one another about the low risk of playing the strategy of the Pareto-dominant equilibrium. Although pre-play communication may make the Pareto-dominant equilibrium more likely in the stag-hunt game, it is not clear that it does so in general. Many other selection mechanisms have been proposed that use clues derivable from the game model alone. These mechanisms are however too complex to be discussed here.

As it will become clearer in Section 2b, the assumptions underlying the application of the Nash concept are somewhat problematic. The most important alternative solution concept is that of rationalizability, which is based on weaker assumptions. Instead of relying on the equilibrium concept, rationalizability selects strategies that are “best” from the players’ subjective point of view. Players assign a subjective probability to each of the possible strategies of their opponents, instead of postulating their opponents’ choices and then finding a best response to it, as in the Nash procedure. Further, knowing their opponent’s payoffs, and knowing they are rational, players expect others to use only strategies that are best responses to some belief they might have about themselves. And those beliefs in turn are informed by the same argument, leading to an infinite regress of the form: “I’m playing strategy σ1 because I think player 2 is using σ2, which is a reasonable belief because I would play it if I were player 2 and I thought player 1 was using σ1’, which is a reasonable thing for player 2 to expect because σ1’ is a best response to σ2’…”. A strategy is rationalizable for a player if it survives infinitely repeated selections as a best response to some rational belief she might have about the strategies of her opponent. A strategy profile is rationalizable if the strategies contained in it are rationalizable for each player. It has been shown that every Nash equilibrium is rationalizable. Further, the set of rationalizable strategies is nonempty and contains at least one pure strategy for each player (Bernheim 1984, Pearce 1984). The problem with rationalizability is thus not its applicability; rather, there are too many rationalizable strategies, so that the application of rationalizability often does not provide a clear answer to the advisory and predictive questions posed to game theory.

b. Dynamic Games

In static games discussed above, players choose their actions simultaneously. Many interactive situations, however, are dynamic: a player chooses before others do, knowing that the others choices will be influenced by his observable choice. Players who choose later will make their choices dependent on their knowledge of how others have chosen. Chess is a typical example of such a dynamic interactive situation (although one, as will be seen, that is far too complex to explicitly model it). Game theory commonly represents these dynamic situations in extensive form. This representation makes explicit the order in which players move, and what each player knows when making each of his decisions.

The extensive form consists of six elements. First, the set of players is determined. Each player is indexed with a number, starting with 1. Second, it is determined who moves when. The order of moves is captured in a game tree, as illustrated in figure 8. A tree is a finite collection of ordered nodes x (This index is for instructive purposes only. Commonly, nodes are only indexed with the number of the player choosing at this node). Each tree starts with one (and only one!) initial node, and grows only ‘down’ and never ‘up’ from there. The nodes that are not predecessors to any others are called terminal nodes, denoted z1-z4 in figure 8. All nodes but the terminal ones are labeled with the number of that player who chooses at this node. Each z describes a complete and unique path through the tree from the initial to one final node.

Figure 8: A game tree

Third, the payoffs for all players are assigned (as an list of utility numbers: first player’s utility in the first place, etc.) to the terminal nodes. An illustration is given in figure 8. The utility functions of each player have to satisfy the same requirements as those in static games. Fourth, for each player at each node, a finite set of actions is specified, labeled with capital letters in figure 8. Each action leads to one (and only one) non-initial node. Fifth, it is determined what each player knows about her position in the game when she makes her choice. Her knowledge is represented by a partition of the nodes of the tree, called the information set. If the information set contains, say, nodes x and x’, this means that the player who is choosing an action at x is uncertain whether she is at x or at x’. To avoid inconsistencies, information sets can contain only nodes at which the same player chooses, and only nodes where the same player has the same actions to choose from. In figure 9, an information set containing more than one node is represented as a dotted line between those nodes (Information sets that contain only one node are usually not represented). Games that contain only singleton information sets are called games of perfect information: all agents know where they are at all nodes of the game. Further, it is commonly assumed that agents have perfect recall: they neither forget what they once knew, nor what they have chosen.

Figure 9: A game of imperfect information

Sixth and last, when a game involves chance moves, the probabilities are displayed in brackets, as in the game of figure 10. There, a chance move (by an imagined player called N like “Nature’) determines the payoffs for both players. Player 1 then plays L or R. Player 2 observes player 1’s action, but does not know whether he is at x or x’ (if player 1 chose L) nor whether he is at y or y’ (if player 1 chose R). In other words, player 2 faces a player whose payoffs he does not know. All he knows is that player 1 can be either of two types, distinguished by the respective utility function.

Figure 10: A game of incomplete information

Games such as that in figure 10 will not be further discussed in this article. They are games of incomplete information, where players do not know their and other players’ payoffs, but only have probability distributions over them.

Extensive-form games can be represented as strategic-form games. While in extensive-form interpretation, the players “wait” until their respective information set is reached to make a decision, in the strategic-form interpretation they make a complete contingency plan in advance. Figure 11 illustrates this transformation. Player 1, who becomes “Row’, has only two strategies to choose from. Player 2, who becomes “Col’, has to decide in advance for both the case where player 1 chooses U and where she chooses D. His strategies thus contain two moves each: for example, (L,R) means that he plays L after U and R after D.

Figure 11: Extensive form reduced to strategic form

A similar terminology as in strategic-form games applies. A pure strategy for a player determines her choice at each of her information sets (That is, a strategy specifies all the past and future moves of an agent. Seen from this perspective, one may legitimately doubt whether extensive games really capture the dynamics of interaction to any interesting extent). A behavior strategy specifies a probability distribution over actions at each information set. For games of perfect recall, behavior strategies are equivalent to mixed strategies known from strategic-form games (Kuhn 1953).

Solution Concepts

Given that the strategic form can be used to represent arbitrarily complex extensive-form games, the Nash equilibrium can also be applied as a solution concept to extensive form games. However, the extensive form provides more information than the strategic form, and on the basis of that extra information, it is sometimes possible to separate the “reasonable” from the “unreasonable” Nash equilibria. Take the example from figure 11. The game has three Nash equilibria, which can be identified in the game matrix: (U, (L,L)); (D, (L,R)) and (D, (R,R)). But the first and the third equilibria are suspect, when one looks at the extensive form of the game. After all, if player 2’s right information set was reached, the he should play R (given that R gives him 3 utils while L gives him only –1 utils). But if player 2’s left information set was reached, then he should play L (given that L gives him 2 utils, while R gives him only 0 utils). Moreover, player 1 should expect player 2 to choose this way, and hence she should choose D (given that her choosing D and player 2 choosing R gives her 2 utils, while her choosing U and player 2 choosing L gives her only 1 util). The equilibria (U, (L,L)) and (D, (R,R)) are not “credible’, because they rely on an “empty threat” by player 2. The threat is empty because player 2 would never wish to carry out either of them. The Nash equilibrium concept neglects this sort of information, because it is insensitive to what happens off the path of play.

To identify “reasonable” Nash equilibria, game theorists have employed equilibrium refinements. The simplest of these is the backward-induction solution that applies to finite games of perfect information. Its rational was already used in the preceding paragraph. “Zermelo’s algorithm” (Zermelo 1913) specifies its procedure more exactly: Since the game is finite, it has a set of penultimate nodes – i.e. nodes whose immediate successors are terminal nodes. Specify that the player, who can move at each such node, chooses whichever action that leads to the successive terminal node with the highest payoff for him (in case of a tie, make an arbitrary selection). So in the game of figure 11, player 2’s choices R if player 1 chooses U and L if player 1 chooses D can be eliminated:

Figure 11a: First step of backward induction

Now specify that each player at those nodes, whose immediate successors are penultimate nodes, choose the action that maximizes her payoff over the feasible successors, given that the players at the penultimate nodes play as we have just specified. So now player 1’s choice U can be eliminated:

Figure 11b: Second step of backward induction

Then roll back through the tree, specifying actions at each node (not necessary for the given example anymore, but one gets the point). Once done, one will have specified a strategy for each player, and it is easy to check that these strategies form a Nash equilibrium. Thus, each finite game of perfect information has a pure-strategy Nash equilibrium.

Backward induction fails in games with imperfect information. In a game like in figure 12, there is no way to specify an optimal choice for player 2 in his second information set, without first specifying player 2’s belief about the previous choice of player 1. Zermelo’s algorithm is inapplicable because it presumes that such an optimal choice exists at every information set given a specification of play at its successors.

Figure 12: A game not solvable by backward induction

However, if one accepts the argument for backward induction, the following is also convincing. The game beginning at player 1’s second information set is a simultaneous-move game identical to the one presented in figure 7. The only Nash equilibrium of this game is a mixed strategy with a payoff of 0 for both players (as argued in Section 1a). Using the equilibrium payoff as player 2’s payoff to choose R, it is obvious that player 2 maximizes his payoff by choosing L, and that player 1 maximizes her payoff by choosing R. More generally, an extensive form game can be analyzed into proper subgames, each of which satisfies the definition of extensive-form games in their own right. Games of imperfect information can thus be solved by replacing a proper subgame with one of its Nash equilibrium payoffs (if necessary repeatedly), and performing backward induction on the reduced tree. This equilibrium refinement technique is called subgame perfection.

Repeated Games

Repeated games are a special kind of dynamic game. They proceed in temporal stages, and players can observe all players’ play of these previous stages. At the end of each stage, however, the same structure repeats itself. Let’s recall the static game of figure 4. As discussed in the previous section, it can be equivalently represented as an extensive game where player 2 does not know at which node he is.

Figure 13: Equivalent Static and Extensive Games

All that changed from the original game from figure 4 is the nomination of the players (Row becomes 1 and Col becomes 2) and the strategies (C and D). A repetition of this game is shown in figure 14. Instead of the payoff matrices, at each of terminal nodes of the original static game, the same game starts again. The payoffs accumulate over this repetition: while in the static game, the strategy profile (D,D) yields (1,1), the strategy profile ((D,D),(D,D)) in figure 14 yields (2,2). These payoffs are written at the terminal nodes of the last repetition game.

Figure 14: A repeated Prisoners’ Dilemma

If a repeated game ends after a finite number of stages, it is solved by subgame perfection. Starting with the final subgames, the Nash equilibrium in each is (D,D). Because the payoffs are accumulative, the preference structure within each subgame does not change (recall from Section 1a that only ordinal information is needed here). Thus for each subgame at any stage of the repetition, the Nash equilibrium will be (D,D). Therefore, for any number of finite repetitions of the game from figure 4, subgame perfection advises both players to always play D.

All this changes dramatically, if the game is repeated indefinitely. The first thing that needs reinterpretation are the payoffs. Any positive payoff, whether large or small, would be infinitely large if they just summed up over indefinitely many rounds. This would obliterate any interesting concept of an indefinitely repeated game. Fortunately, there is an intuitive solution: people tend to value present benefits higher than those in the distant future. In other words, they discount the value of future consequences by the distance in time by which these consequences occur. Hence in indefinitely repeated games, players’ payoffs are specified as the discounted sum of what each player wins at each stage.

The second thing that changes with indefinitely repeated game is that the solution concept of subgame perfection does not apply, because there is no final subgame at which the solution concept could start. Instead, the players may reason as follows. Player 1 may tell player 2 that she is well disposed towards him, relies on his honesty, and will trust him (i.e. play C) until proven wrong. Once he proves to be untrustworthy, she will distrust him (i.e. play D) forever. In the infinitely repeated game, player 2 has no incentive to abuse her trust if he believes her declaration. If he did, he would make a momentary gain from playing D while his opponent plays C. This would be followed, however, by him forever forgoing the extra benefit from (C,C) in comparison to (D,D). Unless player 2 has a very high discount rate, the values the present gain from cheating will be offset by the future losses from non-cooperating. More generally, the folk theorem shows that in infinitely repeated games with low enough discounting of the future, any strategy that give each player more than the worst payoff the others can force him to take is sustainable as an equilibrium (Fudenberg and Maskin 1986). It is noteworthy that for the folk theorem to apply, it is sufficient that players do not know when a repeated game ends, and have a positive belief that it may go on forever. It is more appropriate to speak of indefinitely repeated games, than of infinitely repeated ones, as the former does not conflict with the intuition that humans cannot interact infinitely many times.

c. The Architecture of Game Theory

From a philosophy of science perspectives, game theory has an interesting structure. Like many other theories, it employs highly abstract models, and it seeks to explain, to predict and to advice on phenomena of the real world by a theory that operates through these abstract models. What is special about game theory, however, is that this theory does not provide a general and unified mode of dealing with all kinds of phenomena, but rather offers a ‘toolbox’, from which the right tools must be selected.

As discussed in the two preceding sections, game theory consists of game forms (the matrices and trees), and a set of propositions (the ‘theory proper’) that defines what a game form is and provides solution concepts that solve these models. Game theorists often focus on the development of the formal apparatus of the theory proper. Their interest lies in proposing alternative equilibrium concepts or proving existing results with fewer assumptions, not in representing and solving particular interactive situations. “Game theory is for proving theorems, not for playing games” (Reinhard Selten, quoted in Goeree and Holt 2001, 1419).

Although they habitually employ labels like ‘players’, ‘strategies’ or ‘payoffs’, the game forms that the theory proper defines and helps solving are really only abstract mathematical objects, without any link to the real world. After all, only very few social situations come with labels like ‘strategies’ or ‘rules of the game’ attached. What is needed instead is an interpretation of a real-world situation in terms of the formal elements provided by the theory proper, so that it can be represented by a game form. In many cases, this is where all the hard work lies: to construct a game form that captures the relevant aspects of a real social phenomenon. To acquire an interpretation, the game forms are complemented with an appropriate story (Morgan 2005) or model narrative. As regularly exemplified in textbooks, this narrative may be purely illustrative: it provides (in non-formal terms) a plausible account of an interactive situation, whose salient features can be represented by the formal tools of game theory. A good example of such a narrative is given by Selten when discussing the ‘Chain Store Paradox’:

A chain store, also called player A, has branches in 20 towns, numbered from 1 to 20. In each of these towns there is a potential competitor, a small businessman who might raise money at the local bank in order to establish a second shop of the same kind. The potential competitor at town k is called player k. […]
Just now none of the 20 small businessmen has enough owned capital to be able to get a sufficient credit from the local bank but as time goes on, one after the other will have saved enough to increase his owned capital to the required amount. This will happen first to player 1, then to player 2, etc. As soon as this time comes for player k, he must decide whether he wants to establish a second shop in his town or whether he wants to use his owned capital in a different way. If he chooses the latter possibility, he stops being a potential competitor of player A. If a second shop is established in town k, then player A has to choose between two price policies for town k. His response may be ‘cooperative’ or ‘aggressive’. The cooperative response yields higher profits in town k, both for player A and for player k, but the profits of player A in town k are even higher if player k does not establish a second shop. Player k’s profits in case of an aggressive response are such that it is better for him not to establish a second shop if player A responds in this way. (Selten 1978, 127).

The narrative creates a specific, if fictional, context that is congruent with the structure of dynamic form games. The players are clearly identifiable, and the strategies open to them are specified. The story also determines the material outcomes of each strategy combination, and the players’ evaluation of these outcomes. The story complements a game form of the following sort:

Figure 15: One step in the Chain store’s paradox

Game form and model narrative together constitute a model of a possible real-world situation. The model narrative fulfills two crucial functions in the model. If the game form is given first, it interprets this abstract mathematical object as a possible situation; if a real-world phenomenon is given first, it accounts for the phenomenon in such a way that it can be represented by a game form, which in turn can be solved by the theory proper.

The architecture of game theory is summarized in figure 16:

Figure 16: The architecture of game theory (Grüne-Yanoff and Schweinzer 2008)

The theory proper (on the left hand side of Figure 16) specifies the concept of a game, it provides the mathematical elements that are needed for the construction of a game form, and it offers solution concepts for the thus constructed game forms. The game form (left half of the central circle) is constructed from elements of the theory proper. The model narrative (the right half of the central circle) provides an account of a real or hypothetical economic situation. Its account of the situation interprets the game form.

As discussed in the previous sections, however, a specified game form can be solved by different solution concepts. Sometimes, as in the case of minimax and Nash equilibrium for zero-sum games, the reasoning behind the solution concepts is different, but the result is always the same. In other cases, in particular when equilibrium refinements are applied, applying different solution concepts to the same game form yields different results. As will be seen in Section 2e, this is also the case with the chain-store paradox. The reason for this ambiguity is that the application of many solution concepts requires information that is not contained in the game form. Instead, the information needed is found in an appropriate account of the situation – i.e. in the model narrative. Thus the model narrative takes on a third crucial function in game theory: it supports the choice of the appropriate solution concept for a specific game (Grüne-Yanoff and Schweinzer 2008).

This observation about the architecture of game theory and the role of informal model narratives in it has two very important implications. First, it becomes clear that game theory does not offer a universal notion of rationality, but rather offers a menu of tools to model specific situations at varying degrees and kinds of rationality. Ultimately, it is the modeler who judges on her own intuitions which kind of rationality to attributed to the interacting agents in a given situation. This opens up the discussion about the various intuitions that lie behind the solution concepts, the possibility of mutually inconsistent intuitions, and the question whether a meta-theory can be constructed that unifies all these fragmentary intuitions. Some of these issues will be discussed in Section 2.

The second implication of this observation concerns the status of game theory as a positive theory. Given its multi-layer architecture, any disagreement of prediction and observation can be attributed to a mistake either in the theory, the game form or the model narrative. This then raises the question how to test game theory, and whether game theory is refutable in principle. These questions will be discussed in Section 3.

2. Game Theory as a Theory of Rationality

Game theory has often been interpreted as a part of a general theory of rational behavior. This interpretation was already in the minds of game theories’ founders, who wrote in their Theory of Games and Economic Behavior:

We wish to find the mathematically complete principles which define “rational behavior” for the participants in a social economy, and to derive from them the general characteristics of that behavior (von Neumann and Morgenstern 1944, 31).

To interpret game theory as a theory of rationality means to give it a prescriptive task: it recommends what agents should do in specific interactive situations, given their preferences. To evaluate the success of this rational interpretation of game theory means to investigate its justification, in particular the justification of the solution concepts it proposes. That human agents ought to behave in such and such a way of course does not mean that they will do so; hence there is little sense in testing rationality claims empirically. The rational interpretation of game theory therefore needs to be distinguished from the interpretation of game theory as a predictive and explanatory theory. The solution concepts are either justified by identifying sufficient conditions for them, and showing that these conditions are already accepted as justified; or they can be justified directly by compelling intuitive arguments.

a. Sufficient Epistemic Conditions for Solution Concepts

One way to investigate game theoretic rationality is to reduce its solution concepts to the more intuitively understood notion of rationality under uncertainty in decision theory. By clearly stating the decision theoretic conditions agents have to satisfy in order to choose in accordance with game theoretic solution concepts, we obtain a better understanding of what game theory requires, and are thus able to assess criticism against it more clearly.

Recall that the various solution concepts presented in Section 1 advise how to choose one’s action rationally when the outcome of one’s choice depends on the actions of the other players, who in turn base their choices on the expectation of how one will choose. The solution concepts thus not only require the players to choose according to maximization considerations; they also require the agent to maximize their expected utilities on the basis of certain beliefs. Most prominently, these beliefs include their expectations about what the other players expect of them, and their expectations what the other players will choose on the basis of these expectations. These conditions are often not made explicit when people discuss game theory; however, without fulfilling them, players cannot be expected to choose in accord with specific solution concepts. To make these conditions on the agent’s knowledge and beliefs explicit will thus further our understanding what is involved in the solution concepts. In addition, if these epistemic conditions turn out to be justifiable, one would have achieved progress in justifying the solution concepts themselves. This line of thought has in fact been so prominent that the interpretation of game theory as a theory of rationality has often been called the eductive or epistemic interpretation. In the following, the various solution concepts discussed with respect to their sufficient epistemic conditions, and the conditions are investigated with regard to their acceptability.

For the solution of eliminating dominated strategies, nothing is required beyond the rationality of the players and their knowledge of their own strategies and payoffs. Each player can rule out her dominated strategies on the basis of maximization considerations alone, without knowing anything about the other player. To the extent that maximization considerations are accepted, this solution concept is therefore justified.

The case is more complex for iterated elimination of dominated strategies (this solution concept was not explained before, so don’t be confused. It fits in most naturally here). In the game matrix of figure 17, only Row has a dominated strategy, R1. Eliminating R1 will not yield a unique solution. Iterated elimination allows players to consecutively eliminate dominated strategies. However, it requires stronger epistemic conditions.

C1 C2 C3
R1 3,2 1,3 1,1
R2 5,4 2,1 4,2
R3 4,3 3,2 2,4

Figure 17: A game allowing for iterated elimination of dominated strategies

If Col knows that Row will not play R1, she can eliminate C2 as a dominated strategy, given that R1was eliminated. But to know that, Col has to know:

  1. Row’s strategies and payoffs
  2. that Row knows her strategies and payoffs
  3. that Row is rational

Let’s assume that Col knows i.-iii., and that he thus expects Row to have spotted and eliminated R1 as a dominated strategy. Given that Row knows that Col did this, Row can now eliminate R3. But for her to know that Col eliminated C2, she has to know:

  1. Row’s (i.e. her own) strategies and payoffs
  2. that she, Row, is rational
  3. that Col knows i.-ii.
  4. Col’s strategies and payoffs
  5. that Col knows her strategies and payoffs
  6. that Col is rational

Lets look at the above epistemic conditions a bit more closely. i. is trivial, as she has to know her own strategies and payoffs even for simple elimination. For simple elimination, she also has to be rational, but she does not have to know it – hence ii. If Row knows i. and ii., she knows that she would eliminate R1. Similarly, if Col knows i. and ii., he knows that Row would eliminate R1. If Row knows that Col knows that she would eliminate R1, and if Row also knows iv.-vi., then she knows that Col would eliminate C2. In a similar fashion, if Col knows that Row knows i.-vi., she will know that Row would eliminate R3. Knowing this, he would eliminate C3, leaving (R2,C1) as the unique solution of the game.

Generally, iterated elimination of dominated strategy requires that each player knows the structure of the game, the rationality of the players and, most importantly, that she knows that the opponent knows that she knows this. The depth of one player knowing that the other knows, etc. must be at least as high as the number of iterated elimination necessary to arrive at a unique solution. Beyond that, no further “he knows that she knows that he knows…” is required. Depending on how long the chain of iterated eliminations becomes, the knowledge assumptions may become difficult to justify. In long chains, even small uncertainties in the players’ knowledge may thus put the justification of this solution concept in doubt.

From the discussion so far, two epistemic notions can be distinguished. If all players know a proposition p, one says that they have mutual knowledge of p. As the discussion of iterated elimination showed, mutual knowledge is too weak for some solution concepts. For example, condition iii insists that Row not only know her own strategies, but also knows that Col knows. In the limit, this chain of one player knowing that the other knows that p, that she knows that he knows that she knows that p, etc. is continued ad infinitum. In this case, one says that players have common knowledge of the proposition p. When discussing common knowledge, it is important to distinguish of what the players have common knowledge. Standardly, common knowledge is of the structure of the game and the rationality of the players. As figure 18 indictates, this form of common knowledge is sufficient for the players to adhere to solutions provide by rationalizability.

Solution Concept Structure of the Game Rationality Choices or Beliefs
Simple Elimination of Dominated Strategies Each player knows her payoffs Fact of rationality
Iterated Elimination of Dominated Strategies Knowledge of the degree of iteration Knowledge of the degree of iteration
Rationalizability Common knowledge Common knowledge
Pure-Strategy Nash Equilibrium Fact of rationality Mutual knowledge of choices
Mixed-Strategy Equilibrium in Two-Person Games Mutual knowledge Mutual knowledge Mutual knowledge of beliefs

Figure 18: Epistemic requirements for solution concepts (adapted from Brandenburger 1992)

As figure 18 further indicates, sufficient epistemic conditions for pure-strategy Nash equilibria are even more problematic. Common knowledge of the game structure or rationality is neither necessary nor sufficient, not even in conjunction with epistemic rationality. Instead, it is required that all players know what the others will choose (in the pure-strategy case) or what the others will conjecture all players will be choosing (in the mixed-strategy case). This is an implausibly strong requirement. Players commonly do not know how their opponents will play. If there is no argument how players can reliably obtain this knowledge from less demanding information (like payoffs, strategies, and common knowledge thereof) then the analysis of the epistemic conditions would put into doubt whether players will reach Nash equilibrium. Note, however, that these epistemic conditions are sufficient, not necessary. Formally, nobody has been able to establish alternative epistemic conditions that are sufficient. But by discussing alternative reasoning processes, some authors have at least provided arguments for the plausibility that player soften reach Nash equilibrium. Some of these arguments will be discussed in the next section. (For further discussion of epistemic conditions of solution concepts, see Bicchieri 1993, chapter 2).

b. Nash Equilibrium in One-Shot Games

The Nash equilibrium concept is often seen as “the embodiment of the idea that economic agents are rational; that they simultaneously act to maximize their utility” (Aumann 1985, 43). Particularly in the context of one-shot games, however, doubts remain about the justifiability of this particular concept of rationality. It seems reasonable to claim that once the players have arrived at an equilibrium pair, neither has any reason for changing his strategy choice unless the other player does too. But what reason is there to expect that they will arrive at one? Why should Row choose a best reply to the strategy chosen by Col, when Row does not know Col’s choice at the time she is choosing? In these questions, the notion of equilibrium becomes somewhat dubious: when scientists say that a physical system is in equilibrium, they mean that it is in a stable state, where all causal forces internal to the system balance each other out and so leave it “at rest” unless it is disturbed by some external force. That understanding cannot be applied to the Nash equilibrium, when the equilibrium state is to be reached by rational computation alone. In a non-metaphorical sense, rational computation simply does not involve causal forces that could balance each other out. When approached from the rational interpretation of game theory, the Nash equilibrium therefore requires a different understanding and justification. In this section, two interpretations and justifications of the Nash equilibrium are discussed.

Self-Enforcing Agreements

Often, the Nash equilibrium is interpreted as a self-enforcing agreement. This interpretation is based on situations in which agents can talk to each other, and form agreements as to how to play the game, prior to the beginning of the game, but where no enforcement mechanism providing independent incentives for compliance with agreements exists. Agreements are self-enforcing if each player has reasons to respect them in the absence of external enforcement.

It has been argued that self-enforcing agreement is neither necessary nor sufficient for Nash equilibrium. That it is not necessary is quite obvious in games with many Nash equilibria. For example, the argument for focal points, as discussed in Section 1a, states that only Nash equilibria that have some extra ‘focal’ quality are self-enforcing. It also has been argued that Nash equilibria are not sufficient. Risse (2000) argues that the notion of self-enforcing agreements should be understood as an agreement that provides some incentives for the agents to stick to it, even without external enforcement. He then goes on to argue that there are such self-enforcing agreements that are not Nash equilibria. Take for example the game in figure 19.

C1 C2
R1
0,0
4,2
R2
2,4
3,3

Figure 19

Lets imagine the players initially agreed to play (R2, C2). Now both have serious reasons to deviate, as deviating unilaterally would profit either player. Therefore, the Nash equilibria of this game are (R1,C2) and (R2,C1). However, in an additional step of reflection, both players may note that they risk ending up with nothing if they both deviate, particularly as the rational recommendation for each is to unilaterally deviate. Players may therefore prefer the relative security of sticking to the agreed-upon strategy. They can at least guarantee 2 utils for themselves, whatever the other player does, and this in combination with the fact that they agreed on (R2, C2) may reassure them that their opponent will in fact play strategy 2. So (R2, C2) may well be a self-enforcing agreement, but it nevertheless is not a Nash equilibrium.

Last, the argument from self-enforcing agreements does not account for mixed strategies. In mixed equilibria all strategies with positive probabilities are best replies to the opponent’s strategy. So once a player’s random mechanism has assigned an action to her, she might as well do something else. Even though the mixed strategies might have constituted a self-enforcing agreement before the mechanism made its assignment, it is hard to see what argument a player should have to stick to her agreement after the assignment is made (Luce ad Raiffa 1957, 75).

Simulation

Another argument for one-shot Nash equilibria commences from the idea that agents are sufficiently similar to take their own deliberations as simulations of their opponents’ deliberations.

“The most sweeping (and perhaps, historically, the most frequently invoked) case for Nash equilibrium…asserts that a player’s strategy must be a best response to those selected by other players, because he can deduce what those strategies are. Player i can figure out j’s strategic choice by merely imagining himself in j’s position. (Pearce 1984, 1030).

Jacobsen (1996) formalizes this idea with the help of three assumptions. First, he assumes that a player in a two-person game imagines himself in both positions of the game, choosing strategies and forming conjectures about the other player’s choices. Second, he assumes that the player behaves rationally in both positions. Thirdly, he assumes that a player conceives of his opponent as similar to himself; i.e. if he chooses a strategy for the opponent while simulating her deliberation, he would also choose that position if he was in her position. Jacobsen shows that on the basis of these assumptions, the player will choose his strategies so that it and his conjecture on the opponent’s play are a Nash equilibrium. If his opponent also holds such a Nash equilibrium conjecture (which she should, given the similarity assumption), then the game has a unique Nash equilibrium.

This argument has met at least two criticisms. First, Jacobsen provides an argument for Nash equilibrium conjectures, not Nash equilibria. If each player ends up with a multiplicity of Nash equilibrium conjectures, an additional coordination problem arises over and above the coordination of which Nash equilibrium to play: now first the conjectures have to be matched before the equilibria can be coordinated.

Secondly, when simulating his opponent, a player has to form conjectures about his own play from the opponent’s perspective. This requires that he predict his own behavior. However, Levi (1997) raises the objection that to deliberate excludes the possibility of predicting one’s own behavior. Otherwise deliberation would be vacuous, since the outcome is determined when the relevant parameters of the choice situation are available. Since game theory models players as deliberating between which strategies to choose, they cannot, if Levi’s argument is correct, also assume that players, when simulating others’ deliberation, predict their own choices.

Concluding this section, it seems that there is no general justification for Nash equilibria in one-shot, simultaneous-move games. This does not mean that there is no justification to apply the Nash concept to any one-shot, simultaneous-move game – for example, games solvable by iterated dominance have a Nash equilibrium as their solution. Also, this conclusion does not mean that there are no exogenous reasons that could justify the Nash concept in these games. However, the discussion here was concerned with endogenous reasons – i.e. reasons that can be found in the way games are modeled. And there the justification seems deficient.

c. Nash Equilibrium in Repeated Games

If people encounter an interactive situation sufficiently often, they sometimes can find their way to optimal solutions by trial-and error adaptation. In a game-theoretic context, this means that players need not necessarily be endowed with the ability to play equilibrium – or with the sufficient knowledge to do so – in order to get to equilibrium. If they play the game repeatedly, they may gradually adjust their behavior over time until there is no further room for improvement. At that stage, they have achieved equilibrium.

Kalai and Lehrer (1993) show that in an infinitely repeated game, subjective utility maximizers will converge arbitrarily close to playing Nash equilibrium. The only rationality assumption they make is that players maximize their expected utility, based on their individual beliefs. Knowledge assumptions are remarkably weak for this result: players only need to know their own payoff matrix and discount parameters. They need not know anything about opponents’ payoffs and rationality; furthermore, they need not know other players’ strategies, or conjectures about strategies. Knowledge assumptions are thus much weaker for Nash equilibria arising from such adjustment processes than those required for one-shot game Nash solutions.

Players converge to playing equilibrium because they learn by playing the game repeatedly. Learning, it should be remarked, is not a goal in itself but an implication of utility maximization in this situation. Each player starts out with subjective prior beliefs about the individual strategies used by each of her opponents. On the basis of these beliefs, they choose their own optimal strategy. After each round, all players observe each other’s choices and adjust their beliefs about the strategies of their opponents. Beliefs are adjusted by Bayesian updating: the prior belief is conditionalized on the newly available information. On the basis of these assumptions, Kalai and Lehrer show that after sufficient repetitions, (i) the real probability distribution over the future play of the game is arbitrarily close to what each player believes the distribution to be, and (ii) the actual choices and beliefs of the players, when converged, are arbitrarily close to a Nash equilibrium. Nash equilibria in these situations are thus justified as potentially self-reproducing patterns of strategic expectations.

It needs to be noted, however, that this argument depends on two conditions that not all games satisfy. First, players must have enough experience to learn how their opponents play. Depending on the kind of learning, this may take more time than a given interactive situation affords. Second, not all adjustment processes converge to a steady state (for an early counterexample, see Shapley 1964). For these reasons, the justification of Nash equilibrium as the result of an adjustment process is sensitive to the game model, and therefore does not hold generally for all repeated games.

d. Backward Induction

Backward induction is the most common Nash equilibrium refinement for non-simultaneous games. Backward induction depends on the assumption that rational players remain on the equilibrium path because of what they anticipate would happen if they were to deviate. Backward induction thus requires the players to consider out-of-equilibrium play. But out-of-equilibrium play occurs with zero probability if the players are rational. To treat out-of-equilibrium play properly, therefore, the theory needs to be expanded. Some have argued that this is best achieved by a theory of counterfactuals (Binmore 1987, Stalnaker 1999), which gives meaning to sentences of the sort “if a rational player found herself at a node out of equilibrium, she would choose …”. Alternatively, for models where uncertainty about payoffs is allowed, it has been suggested that such unexpected situations may be attributed to the payoffs’ differing from those that were originally thought to be most likely (Fudenberg, Kreps and Levine 1988).

The problem of counterfactuals cuts deeper, however, than a call for mere theory expansion. Consider the following two-player non-simultaneous perfect information game in figure20, called the “centipede”. For reasons of representational convenience, the game is represented as progressing from left to right (instead of from top to bottom as in the usual extensive-form games). Player 1 starts at the leftmost node, choosing to end the game by playing down or to continue the game (giving player 2 the choice) by playing right. The payoffs are such that at each node it is best for the player who has to move to stop the game if and only if she expects that in the event she continues, the game will end at the next stage (by the other player stopping the game or by termination of the game). The two zigzags stand for the continuation of the payoffs along those lines. Now backward induction advises to solve the game by starting at the last node z, asking what player 2 would have done if he ended up here. A comparison of player 2’s payoffs for his two choices, given his rationality, answers that he would have chosen down. Substituting the payoffs of this down for node z, one now moves backwards. What would player 1 have done had she ended up at node y? Given common knowledge of rationality (hence the substitution of player 2’s payoffs for node z) she would have chosen down. This line of argument then continues back to the first node.

Figure 20

For the centipede, backward induction therefore recommends player 1 to play down at the first node; all other recommendations are counterfactual in the sense that no rational player should ever reach it. So what should player 2 do if he found himself at node x? Backward induction tells him to play “down’, but backward induction also told him that if player 1 was rational, he would never face the actual choice at node x. So either player 1 is rational, but made a mistake (‘trembled” in Selten’s terminology) at each node preceding x, or player 1 is not rational (Binmore 1987). But if player 1 is not rational, then player 2 may hope that she will not choose down at her next choice either, thus allowing for a later terminal node to be reached. This consideration becomes problematic for backward induction if it also affects the counterfactual reasoning. It may be the case that the truth of the indicative conditional “If player 2 finds herself at x, then player 2 is not rational” influences the truth of the counterfactual “If player 2 found herself at x, then player 2 would not be rational”. Remember that for backward induction to work, the players have to consider counterfactuals like this: “If player 2 found herself at x, and she was rational, she would choose down”. Now the truth of the first counterfactual makes false the antecedent condition of the second: it can never be true that player 2 found herself at x and be rational. Thus it seems that by engaging in these sorts of counterfactual considerations, the backward induction conclusion becomes conceptually impossible.

This is an intensely discussed problem in game theory and philosophy. Here only two possible solutions can be sketched. The first answer insists that common knowledge of rationality implies backward induction in games of perfect information (Aumann 1996). This position is correct in that it denies the connection between the indicative and the counterfactual conditional. Players have common knowledge of rationality, and they are not going to lose it regardless of the counterfactual considerations they engage in. Only if common knowledge was not immune against evidence, but would be revised in the light of the opponents’ moves, then this sufficient condition for backward induction may run into the conceptual problem sketched above. But common knowledge by definition is not revisable, so the argument instead has to assume common belief of rationality. If one looks more closely at the versions of the above argument (e.g. Pettit and Sugden (1989)), it becomes clear that they employ the notion of common belief, and not of common knowledge.

Another solution of the above problem obtains when one shows, as Bicchieri (1993, chapter 4) does, that limited knowledge of rationality and of the structure of the game suffice for backward induction. All that is needed is that a player, at each of her information sets, knows what the next player to move knows. This condition does not get entangled in internal inconsistency, and backward induction is justifiable without conceptual problems. Further, and in agreement with the above argument, she also shows that in a large majority of cases, this limited knowledge of rationality condition is also necessary for backward induction. If her argument is correct, those arguments that support the backward induction concept on the basis of common knowledge of rationality start with a flawed hypothesis, and need to be reconsidered.

In this section, I have discussed a number of possible justifications for some of the dominant game theoretic solution concepts. Note that there are many more solution concepts that I have not mentioned at all (most of them based on the Nash concept). Note also that this is a very active field of research, with new justifications and new criticisms developed constantly. All I tried to do in this section was to give a feel for some of the major problems of justification that game theoretic solution concepts encounter.

e. Paradoxes of Rationality

In the preceding section, the focus was on the justification of solution concepts. In this section, I discuss some problematic results that obtain when applying these concepts to specific games. In particular, I show that the solutions of two important games disagree with some relevant normative intuitions. Note that in both cases these intuitions go against results accepted in mainstream game theory; many game theorists, therefore, will categorically deny that there is any paradox here at all. From a philosophical point of view (as well as from some of the other social sciences) these intuitions seem much more plausible and therefore merit discussion.

The Chain Store Paradox

Recall the story from section 1c: a chain store faces a sequence of possible small-business entrants in its monopolistic market. In each period, one potential entrant can choose to enter the market or to stay out. If he has entered the market, the chain store can choose to fight or to share the market with him. Fighting means engaging in predatory pricing, which will drive the small-business entrant out of the market, but will incur a loss (the difference between oligopolistic and predatory prices) for the chain store. Thus fighting is a weakly dominated strategy for the chain store, and its threat to fight the entrant is not credible.

Because there will only be a finite number of potential entrants, the sequential game will also be finite. When the chain store is faced with the last entrant, it will cooperate, knowing that there is no further entrant to be deterred. Since the structure of the game and the chain store’s rationality are common knowledge, the last small-business will decide to enter. But since the last entrant cannot be deterred, it would be irrational for the chain store to fight the penultimate potential entrant. Thus, by backward induction, the chain store will always cooperate and the small-businesses will always decide to enter.

Selten (1978), who developed this example, concedes that backward induction may be a theoretically correct solution concept. However, for the chain-store example, and a whole class of similar games, Selten construes backward induction as an inadequate guide for practical deliberation. Instead, he suggests that the chain store may accept the backward induction argument for the last x periods, but not for the time up to x. Then, following what Selten calls a deterrence theory, the chain store responds aggressively to entries before x, and cooperatively after that. He justifies this theory (which, after all, violates the backward induction argument, and possibly the dominance argument) by intuitions about the results:

…the deterrence theory is much more convincing. If I had to play a game in the role of [the chain store], I would follow the deterrence theory. I would be very surprised if it failed to work. From my discussion with friends and colleagues, I get the impression that most people share this inclination. In fact, up to now I met nobody who said that he would behave according to the [backwards] induction theory. My experience suggests that mathematically trained persons recognize the logical validity of the induction argument, but they refuse to accept it as a guide to practical behavior. (Selten 1978, 132-3)

Various attempts have been made to explain the intuitive result of the deterrence theory on the basis of standard game theory. Most of these attempts are based on games of incomplete information, allowing the chain store to exploit the entrants’ uncertainty about its real payoffs. Another approach altogether takes the intuitive results of the deterrence theory and argues that standard game should be sensitive to limitations of the players’ rationality. Some of these limitations are discussed under the heading of bounded rationality in Section 2f.

The One-Shot Prisoners’ Dilemma

The prisoners’ dilemma has attracted much attention, because all standard game theoretic solution concepts unanimously advise each player to choose a strategy that will result in a Pareto-dominated outcome.

C1 C2
R1
2,2
0,3
R2
3,0
1,1

Figure 21: Prisoners’ Dilemma

Recall that the unique Nash equilibrium, as well as the dominant strategies, in the prisoners’ dilemma game is (R2,C2) – even though (R1,C1) yields a higher outcome for each player. In Section 1b, the case of an infinitely repeated prisoners’ dilemma yielded a different result. Finite repetitions, however, still yield the result (R2,C2) from backward induction. That case is structurally very similar to the chain store paradox, whose implausibility was discussed above. But beyond the arguments for (R1,C1) derived from these situations, many also find the one-shot prisoners’ dilemma result implausible, and seek a justification for the players to play (R1,C1) even in that case. Gauthier (1986) has offered such a justification based on the concept of constrained maximization. In Gauthier’s view, constrained maximization bridges the gap between rational choice and morality by making moral constraints rational. As a consequence, morality is not to be seen as a separate sphere of human life but as an essential part of maximization.

Gauthier envisions a world in which there are two types of players: constrained maximizers (CM) and straightforward maximizers (SM). An SM player plays according to standard solution concepts; A CM player commits herself to choose R1 or C1 whenever she is reasonably sure she is playing with another CM player, and chooses to defect otherwise. CM players thus do not make an unconditional choice to play the dominated strategy; rather, they are committed to play cooperatively when faced with other cooperators, who are equally committed not to exploit one another’s good will. The problem for CM players is how to verify this condition. In particular in one-shot games, how can they be reasonably sure that their opponent is also CM, and thus also committed to not exploit? And how can one be sure that opponents of type CM correctly identify oneself as a CM type? With regards to these questions, Gauthier offers two scenarios, which try to justify a choice to become a CM. In the case of transparency, players’ types are common knowledge. This is indeed a sufficient condition for becoming CM, but the epistemic assumption itself is obviously not well justified, particularly in one-shot games – it simply “assumes away” the problem. In the case of translucency, players only have beliefs about their mutual types. Players’ choices to become CM will then depend on three distinct beliefs. First, they need to believe that there are at least some CMs in the population. Second, they need to believe that players have a good capacity to spot CMs, and third that they have a good capacity to spot SMs. If most players are optimistic about these latter two beliefs, they will all choose CM, thus boosting the number of CMs, making it more likely that CMs spot each other. Hence they will find their beliefs corroborated. If most players are pessimistic about these beliefs, they will all choose SM and find their beliefs corroborated. Gauthier, however, does not provide a good argument of why players should be optimistic; so it remains a question whether CM can be justified on rationality considerations alone.

f. Bounded Rationality in Game Players

Bounded rationality is a vast field with very tentative delineations. The fundamental idea is that the rationality which mainstream cognitive models propose is in some way inappropriate. Depending on whether rationality is judged inappropriate for the task of rational advice or for predictive purposes, two approaches can be distinguished. Bounded rationality which retains a normative aspect appeals to some version of the “ought implies can” principle: people cannot be required to satisfy certain conditions if in principle they are not capable to do so. For game theory, questions of this kind concern computational capacity and the complexity-optimality trade-off. Bounded rationality with predictive purposes, on the other hand, provides models that purport to be better descriptions of how people actually reason, including ways of reasoning that are clearly suboptimal and mistaken (for an overview of bounded rationality, see Grüne-Yanoff 2007). The discussion here will be restricted to the normative bounded rationality.

The outmost bound of rationality is computational impossibility. Binmore (1987) discusses this topic by casting both players in a two-player game as Turing machines. A Turing machine is a theoretical model that allows for specifying the notion of computability. Very roughly, if a Turing machine receives an input, performs a finite number of computational steps (which may be very large), and gives an output then the problem is computable. If a Turing machine is caught in an infinite regress while computing a problem, however, then the problem is not computable. The question Binmore discusses is whether Turing machines can play and solve games. The scenario is that the input received by one machine is the description of another machine (and vice versa), and the output of both machines determines the players’ actions. Binmore shows that a Turing machine cannot predict its opponent’s behavior perfectly and simultaneously participate in the action of the game. Roughly put, when machine 1 first calculates the output of machine 2 and then takes the best response to its action, and machine 2 simultaneously calculates the output of machine 1 and then takes the best response to its action, the calculations of both machines enter an infinite regress. Perfect rationality, understood as the solution to the outguessing attempt in “I thank that you think that I think…” is not computable in this sense.

Computational impossibility, however, is very far removed from the realities of rational deliberation. Take for example the way people play chess. Zermelo (1913) long ago showed that chess has a solution. Despite this result, chess players cannot calculate the solution of the game and choose their strategies accordingly. Instead, it seems that they typically “check out” several likely scenarios and that they entertain some method to evaluate the endpoint of each scenario (e.g. by counting the chess pieces). People differ in the depth of their inquiry, the quality of the “typical scenarios” selected, and the way they evaluate their endpoint positions.

The justification for such “piecemeal” deliberation is that computing the solution of a game can be very costly. Deliberation costs reduce the value of an outcome; it may therefore be rational to trade the potential gains from a full-blown solution with the moderate gains from “fast and frugal” deliberation procedures that are less costly (the term “fast and frugal” heuristics was coined by the ABC research group. Compare Gigerenzer et al 1999). Rubinstein (1998) formalizes this idea by extending the analysis of a repeated game to include players’ sensitivity to the complexity of their strategies. He restricts the set of strategies to those that can be executed by finite machines. He then defines the complexity of a strategy as the number of states of the machine that implements it. Each player’s preferences over strategy profiles increase with her payoff in the repeated game, and decrease with the complexity of her strategy’s complexity (He considers different ranking methods, in particular unanimity and lexicographic preferences). Rubinstein shows that the set of equilibria for complexity-sensitive games is much smaller than that of the regular repeated game.

3. Game Theory as a Predictive Theory

We now turn from the use of game theory as a normative theory to its use as a scientific theory of human behavior. Game theory, as part of Rational Choice Theory, is an important social scientific method. There is, however, considerable controversy about the usefulness of Rational Choice Theory for the purposes of the social sciences. Some of this controversy arises along disciplinary boundaries: while Rational Choice Theory is considered mainstream in economics (to the extent that no one even bothers using this label), sociologists and political scientists are more divided. A long debate in those disciplines reached its peak with the publications of Green and Shapiro’s (1994) Pathologies of Rational Choice Theory. In this book, they make two major claims about the scientific usefulness of Rational Choice Theory. First, they argue that Rational Choice Theory is empirically empty: that it has produced virtually no new propositions about politics that have been carefully tested and not found wanting. Second, they argue that the perceived universality claim of Rational Choice Theory is misguided: that even if an empirically successful Rational Choice Theory were to emerge, it would not be any more universal than the middle-level theories that they advocate.

These two claims have been challenged on various fronts. First, it has been pointed out that Green and Shapiro employ inappropriate standards for testing Rational Choice Theory, standards that not even successful theories of the hard sciences would survive (Diermeier 1995). Second, defenders of Rational Choice Theory have argued that Green and Shapiro’s argument relies on a biased selection of rational choice literature to survey; and further, that even in the literature they selected, there are interesting and empirically confirmed propositions that satisfy their minimum requirements (Cox 1999). Third, one can argue that Green and Shapiro’s criticism of Rational Choice Theory as a universal theory goes amiss. In Section 1c, I argued that game theory is in fact not a universal theory of rationality, but rather offers a menu of tools to model specific situations. At least with respect to game theory, therefore, they attack the wrong target: game theory is useful because it is a widely applicable method, which works well in certain circumstances, rather than a universal substantive theory of human behavior.

Although game theory cannot be dismissed as not useful for prediction just because it is part of Rational Choice Theory, game theory has a number of problems of its own that need to be discussed in depth. The first issue is to what extent the role of game theory as a theory of rationality is relevant here. I contrast this possibility with a brief sketch of evolutionary game theory, which abandons the rationality notion altogether. In the consecutive section, I discuss the problems of specifying the payoffs in a game, and thus giving a game model empirical content. Last, I discuss the possibility whether game theory can be tested at all, and investigate a recent claim that indeed game theory has been tested, and refuted.

Game theory may be useful in predicting human behavior for two distinct reasons. First, it may be the case that game theory is a good theory of rationality, that agents are rational and that therefore game theory predicts their behavior well. If game theory was correct for this reason, it could reap the additional benefit of great stability. Many social theories are inherently unstable, because agents adjust their behavior in the light of its predictions. If game theory were a good predictive theory because it was a good theory of rationality, this would be because each player expected every other player to follow the theory’s prescriptions and had no incentive to deviate from the recommended course of action. Thus, game theory would already take into account that players’ knowledge of the theory has a causal effect on the actions it predicts (Bicchieri 1993, chapter 4.4). Such a self-fulfilling theory would be more stable than a theory that predicts irrational behavior. Players who know that their opponents will behave irrationally (because a theory tells them) can improve their results by deviating from what the theory predicts, while players who know that their opponents will behave rationally cannot. However, the prospects for game theory as a theory where prescription and prediction coincide are not very good; evidence from laboratory experiments, as well as from casual observations, often puts doubt on it.

Second, and independently of the question of whether game theory is a good theory of rationality, game theory may be a good theory because it offers the relevant tools to systematize and predict interactive behavior successfully. This distinction may make sense when separating our intuitions about how agents behave rationally from a systematic account of our observations of how agents behave. Aumann for example suggests that

philosophical analysis of the definition [of Nash equilibrium] itself leads to difficulties, and it has its share of counterintuitive examples. On the other hand, it is conceptually simple and attractive, and mathematically easy to work with. As a result, it has led to many important insights in the applications, and has illuminated and established relations between many different aspects of interactive decision situations. It is these applications and insights that lend it validity. (Aumann 1985, 49).

These considerations can lead one to accept the view that the principles of game theory provide an approximate model of human deliberation, which sometimes provides insights into real phenomena (this seems to be Aumann’s position). Philosophy of Science discusses various ways of how approximate models can relate to real phenomena; each has its specific problems, which cannot be discussed here.

Aumann’s considerations can also lead one to seek an alternative interpretation of the Nash concept that does not refer to human rationality, but retains all the formally attractive properties. Evolutive approaches of game theory offer such an interpretation (Binmore 1987 proposed this term in order to distinguish it from the eductive approaches discussed in Section 2). Its proponents claim that the economic, social and biological evolutionary pressure directs human agents, who have no clear idea what is going on, to behavior that is in accord with the solution concepts of game theory.

a. The Evolutive Interpretation

The evolutive interpretation seeks to apply techniques, results, and justifications of assumptions from evolutionary game theory to game theory as a predictive theory of human behavior. Evolutionary game theory was developed in biology; it studies the appearance, robustness and stability of behavioral traits in animal populations. This article cannot do justice even to the basics of this very vibrant and expanding field (for a concise and formal introduction, see Maynard Smith 1982 and Weibull 1995), but instead presents only some aspects relevant to two questions; namely (i), to what extend can standard game theory elements be based on evolutionary game theory? And (ii), does this reinterpretation help in the prediction of human behavior?

Evolutionary game theory studies games that are played over and over again by players drawn from a populations. These players do not have a choice between strategies, but rather are “programmed” to play only one strategy. It is thus often said that the strategies themselves are the players. Success of a strategy is defined in terms of the number of replications that a strategy will leave of itself to play in games of future generations. Rather than determining equilibrium as the consequence of strategic reasoning by rational players, evolutionary game theory determines the stability of a strategy distribution in a population either as the resistance to mutant invasions, or as the result of a dynamic process of natural selection. Its equilibrium concept is thus much closer to the stable state concept of the natural sciences, where different causal factors balance each other out, than the eductive interpretation is.

Evolutionary game theory can be distinguished into a static and into a dynamic approach. The static approach specifies strategies that are evolutionary stable against a mutant invasion. Imagine a population of players programmed to play one (mixed or pure) strategy A. Imagine further that a small fraction of players “mutate” – they now play a strategy B different from A. A strategy is an evolutionary stable strategy (ESS) if for every possible mutant strategy B different from A, the payoff of playing A against the A is higher than the payoff of playing B against A – or, if both payoffs are equal, then the payoff of playing A against B is higher than playing B against B. Note that ESS is a robustness test only against a single mutation at a time. It is assumed that the population that plays an ESS has time to adjust back to status quo before the next mutant invasion begins. It follows from this definition that every ESS is a strategy that is in Nash equilibrium with itself. However, not every strategy that is Nash equilibrium with itself is an ESS.

The dynamic approach of evolutionary game theory considers a selection mechanism that favors some strategies over others in a continuously evolving population. Imagine a population whose members are programmed to play different strategies. Pairs of players are drawn at random to play against each other. Their payoff consists in an increase or decrease in fitness, measured as the number of offspring per time unit. Each offspring inherits the parent’s strategy. Reproduction takes place continuously over time, with the birthrate depending on fitness, and the death rate being uniform for all players. Long continuations of tournaments between players then may lead to stable states in the population, depending on the initial population distribution. This notion of dynamic stability is wider than that of evolutionary stability: while all evolutionary stable strategies are also dynamically stable, not all dynamically stable strategies are evolutionary stable. It has been shown that in the long run, all strictly dominated and all iteratively strictly dominated strategies are eliminated from the population. The relation between stable states and Nash equilibria is more complex, and would require specifications that go beyond the scope of this brief sketch.

Evolutionary game theory provides interesting concepts and techniques that are quite compatible with the solution concepts of standard game theory discussed in Section 1 (however, it focuses mainly on two-person static games; dynamic games and game repetitions are less investigated). Clearly, evolutionary game theory is more concerned with discovering conditions of stability and robustness of strategies in populations, than with finding the equilibria of a single game. The question that remains is whether it competes in its explanatory efforts with eductive game theory, or whether it deals instead with different (although maybe related) phenomena.

Those who claim that explanatory efforts between these two interpretations do compete hope that evolutionary concepts will replace players’ rationality – better even, that they will explain why we sometimes think that players are rational. This hope is well illustrated at the hand of Binmore’s evolutive model and the criticism directed against it. Binmore’s approach starts with the concept of a meme – “a norm, an idea, a rule of thumb, a code of conduct – something that can be replicated from one head to another by imitation or education, and that determines some aspects of the behavior of the person in whose head it is lodged” (Binmore 1994, 20). Players are mere hosts to these memes, and their behavior is partly determined by them. Fitness is a property of the meme and its capacity to replicate itself to other players. Expected utility maximization is then interpreted as a result of evolutionary selection:

People who are inconsistent [in their preferences] will necessarily be sometimes wrong and hence will be at a disadvantage compared to those who are always right. And evolution is not kind to memes that inhibit their own replication. (Binmore 1994, 27)

This is of course a version of the dynamic approach discussed above. To that extent, the theory of the fittest memes becoming relatively more frequent is an analytic truth, as long as “fitness” is no more than high “rate of replication”. But Binmore then transfers the concept of strategy fitness to player rationality. Critics have claimed that this theory of meme fitness cannot serve as the basis for the claim that the behavior of human individuals as hosts of memes will tend towards a rational pattern. The error occurs, Sugden (2001) argues, when Binmore moves from memes fitness to fitness of players. In the analogous biological case – which is based on genes instead of memes – the reproductive success of phenotype depends on the combination of genes that carry it. Genes have positive consequences in combination with some genes while bad consequences in combination with others. A gene pool in equilibrium therefore may contain genes which, when brought together in the same individual by a random process of sexual reproduction, have bad consequences for that individual’s survival and reproduction. Therefore, genes may be subject to natural selection, but there may be a stable proportion of unfit phenotypes produced by them in the population. It is thus not necessarily the case that natural selection favors phenotype survival and reproduction. The same argument holds for memes: unless it is assumed that an agent’s behavior is determined by one meme alone, natural selection on the level of memes does not guarantee that agents’ behavioral patterns are rational in the sense that they are consistent with expected utility theory. It therefore remains an empirical question whether people behave in accord with the principles game theory proposes. The evolutive interpretation cannot determine a priori that players will play Nash equilibrium.

b. The Problem of Alternative Descriptions

While intuitions about rational behavior may be teased out in fictional, illustrative stories, the question of whether prediction is successful is answerable only on the basis of people’s observed behavior. Behavioral game theory observes how people behave in experiments in which their information and incentives are carefully controlled. With the help of these experiments, and drawing on further evidence from psychology, it hopes to test game-theoretic principles for their correctness in predicting behavior. Further, in cases where the tests do not yield positive results, it hopes that the experiments suggest alternative principles that can be included in the theory (for more details on Behavioral Game Theory, their experimental methods and results, see Camerer 2003). To test game theory, the theory must be made to predict particular behavior. To construct specific experimental setups, and to make the theory predict such particular behavior, however, particular interactive phenomena need to be modeled as games, so that the theory’s solution concepts can be applied. This brings with it the problem of interpretation discussed in Section 1c. The most contentious aspect of a game modeling lies in the payoffs. The exemplary case is the disagreement over the relevant evaluations of the players in the Prisoners’ Dilemma.

Some critics of the defect/defect Nash equilibrium solution have claimed that players would cooperate because they would not only follow their selfish interests, but also take into account non-selfish considerations. They may cooperate, for example, because they care about the welfare of their opponents, because they want to keep their promises out of feelings of group solidarity or because they would otherwise suffer the pangs of a bad conscience. To bring up these considerations against the prisoners’ dilemma, however, would expose a grave misunderstanding of the theory. A proper game uses the players’ evaluation, captured in the utility function, of the possible outcomes, not the material payoff (like e.g. money). The evaluated outcome must be described with those properties the players find relevant. Thus either the non-selfish considerations are already included in the players’ payoffs (altruistic agents, after all, also have opposing interest – e.g. which charitable cause to benefit); or the players will not be playing the Prisoners’ Dilemma. They will be playing some other game with different payoffs.

Incorporating non-material interests in the payoffs has been criticized for making game theory empirically empty. The critics argue that with such a broad interpretation of the payoffs, any anomaly in the prediction of the theory can be dissolved by a re-interpretation of the agents’ evaluations of the consequences. Without constraints on re-interpretation, the critics claim, the theory cannot be held to any prediction.

To counter this objection, many economists and some game theorists claim to work on the basis of the revealed preference approach. At a minimum, this approach requires that the preferences – and hence the utility function – of an agent are exclusively inferred from that agent’s choices (for a discussion of the revealed preference account, see Grüne 2004). This ostensibly relieves game modelers to engage in “psychologizing” when trying to determine the players’ subjective evaluations.

However, it has been argued that the application of the revealed preference concept either trivializes game theory or makes it conceptually inconsistent. The first argument is that the revealed preference approach completely neglects the importance of beliefs in game theory. An equilibrium depends on the players’ payoffs and on their beliefs of what the other players believe and what they will do. In the stag hunt game of figure 1, for example, Row believes that if Col believed that Row would play R2, then he would play C2. But if the payoff numbers represented revealed preferences, Hausman (2000) argues, then they would say how individuals would choose, given what the other chose, period. The payoffs would already incorporate the influence of belief, and belief would play no further role. Game theory as a theory of rational deliberation would have lost its job.

The second criticism claims that it is conceptually impossible that games can be constructed on the basis of revealed preferences. Take as an example the simple game in figure 22.

Figure 22: A game tree

How can a modeler determine the payoff pairs z1-z4 for both players according to the revealed preference method? Let’s start with player 2. Could one construct two choice situations for player 2 in which he chooses between z1 and z2 and between z3 and z4 respectively? No, argues Hausman (2000): two thus constructed choice situation exactly differ from the game in figure 22 in that they are not preceded by player 1’s choice. Hence there is no reason why it could not be the case that player 2 chooses z1 over z2 in the game but chooses z2 over z1 in the constructed choice situation. More problematically still, player 2 must be able to compare z1 with z3 and z2 with z4. But it is logically impossible that she will ever face such a choice, as player 1 will choose either U or D. Last, turning to player 1, she never faces a choice between the outcomes of this game, only between U and D. So the revealed preference theorist cannot assign preferences over outcomes to player 1 at all, and to player 2 only partially. With the preferences that he can assign – to player 2’s played strategy, and to player 1’s choices – prediction is only possible at the pain of trivializing game theory. The only prediction that the revealed preference theorist now can offer is that the players play whatever action they revealed prefer – that is, they do what they do.

These problems may have contributed to a widespread neglect of the problem of preference ascription in game theoretic models. As Weibull (2002) observes:

While experimentalists usually make efforts to carefully specify to the subject the game form … they usually do not make much effort to find the subject’s preferences, despite the fact that these preferences constitute an integral part of the very definition of a game. Instead, it is customary to simply hypothesize subjects’ preferences. (Weibull 2002, 2)

The problem of preference identification has been insufficiently addressed in rational choice theory in general and in game theory in particular. But it is not unsolvable. One solution is to find a criterion for outcome individuation. Broome offers such a criterion by justifiers: “outcomes should be distinguished as different if and only if they differ in a way that makes it rational to have a preference between them” (Broome 1991, 103). This criterion, however, requires a concept of rationality independent of the principles of rational choice. A rational choice is no longer based on preferences alone, but preferences themselves are now based on the rationality concept. This constitutes a radical departure of how most rational choice theorists, including game theorists, regard the concept of rationality. Another option that Hausman (2005) suggests is that economists can use game theoretic anomalies to study the factors influencing preferences. By altering features of the game forms and, in particular, by manipulating the precise beliefs each player has about the game and about others’ conjectures, experimenters may be able to make progress in understanding what governs choices in strategic situations and hence what games people are playing.

c. Testing Game Theory

Whether game theory can be tested depends on whether the theory makes any empirical claims, and whether it can be immunized against predictive failure.

Does the theory make testable claims? At first, it does not seem so. The theory as discussed in Sections 1a-1b mainly takes the form of theorems. Theorems are deductive conclusions from initial assumptions. So to test game theory, these assumptions need to be tested for their empirical adequacy. In this vein, Hausman (2005) claims that game theory is committed to contingent and testable axioms concerning human rationality, preferences, and beliefs. This claim remains controversial. Many economists believe that theories should not be tested with regard to their assumptions, but only with respect to their predictions (a widespread view that was eloquently expressed by Friedman 1953). But the theory only makes empirical claims in conjunction with its game models.

Further, testing game theory through its predictions is difficult as such tests must operate through the mediation of models that represent an interactive situation. Here the issue of interpreting the modeled situation (see Section 1c) and of model construction drives a wedge between the predicting theory and the real world phenomena, so that predictive failures can often be attributed to model misspecification (as discussed in section 3b).

Guala (2005) recently pointed to a specific element of game theory that seems to make an empirical claim all by itself, and independent of auxiliary hypotheses. For this purpose, he discusses the phenomenon of reciprocity. Agents reciprocate to other agents who have exhibited “trust” in them because they want to be kind to them. Reciprocation of an agent 1 to another agent 2 is necessarily dependent on 2 having performed an action that led 1 to reciprocate. Reciprocation is thus clearly delineated from general altruism or justice considerations.

The question that Guala raises is whether reciprocity can be accounted for in the payoff matrix of a game. The ‘kindness’ of an action depends on what could have been chosen: I think that you are kind to me because you could have harmed me for your benefit, but you elected not to. This would mean that the history of chosen strategies would endogenously modify the payoffs, a modeling move that is explicitly ruled out in standard game theory. Guala shows that the exclusion of reciprocity is connected right to the core of game theory: to the construction of the expected utility function. All existing versions of the existence proof of expected utility theory rely on the so-called rectangular field assumption. It assumes that decision makers form preferences over every act that can possibly be constructed by combining consequences with states of the world. However, if reciprocity has to be modeled in the consequences, and reciprocity depends on others’ acts that in turn depend on the players’ own acts, then it is conceptually impossible to construct acts in accord with the rectangular field assumption, because the act under question would be caught in an infinite regress.

If Guala’s argument is correct, it seems impossible to model reciprocity in the payoffs, and game theory is not flexible enough to accommodate reciprocity considerations into its framework. But that would mean that game theory claims that reciprocity does not exist in general. With this claim, game theory would be testable, and – if reciprocity were indeed a relevant factor in strategic decisions, as the evidence seems to suggest – would be refuted.

4. Conclusion

Game theory, this survey showed, does not provide a general and unified theory of interactive rationality; nor does it provide a positive theory of interactive behavior that can easily be tested. These observations have many implications of great philosophical interest, some of which were discussed here. Many of the questions that arise in these discussions are still left unanswered, and therefore require more attention from philosophers than they currently receive.

This article could only sketch the basic concepts of game theory in order to discuss some of their philosophical implications and problems. Wherever possible, it abstained from presenting any formal detail. To fully understand game theory, however, a formal treatment is inevitable. A good and fun introduction that also points out some philosophical issues is Binmore (1991). A textbook that puts more emphasis on the mathematical proofs is Osborne and Rubinstein (1994); a thorough and technical treatment (including excellent bibliographies) is Fudenberg and Tirole (1991). Some of the graphs found in this article were taken from that book.”

See also the discussions of game theory in these articles: Law and Economics, Egoism, Libertarianism, and Social Contract Theory.

5. References and Further Reading

  • Aumann, Robert. “What is Game Theory Trying to Accomplish?” Frontiers of Economics. Ed. K Arrow and S. Honkapojah. Oxford: Blackwell, 1985.
  • Aumann, Robert. “Backward Induction and Common Knowledge of Rationality,” Games and Economic Behavior 8 (1995): 6-19.
  • Bacharach, Michael. “Variable Universe Games,” Frontiers of Game Theory. Ed. Binmore, Kirman and Tani. Cambridge, Mass.: MIT Press, 1993. 255-75.
  • Brandenburger, Adam. “Knowledge and Equilibrium in Games,” Journal of Economic Perspectives 6 (1992): 83-101.
  • Bernheim, D. “Rationalizable Strategic Behavior,” Econometrica 52(1984): 1007-1028.
  • Bicchieri, Christina. Rationality and Coordination. Cambridge: Cambridge University Press, 1993.
  • Binmore, Ken. “Modeling Rational Players: Part I,” Economics and Philosophy 3 (1987): 179-214.
  • Binmore, Ken Fun and Games, D.C. Heath, 1991.
  • Binmore, Ken. Game Theory and the Social Contract. Volume I: Just Playing. Cambridge, Mass.: MIT Press, 1994.
  • Broome, John. Weighting Goods. Oxford: Oxford University Press, 1991. Camerer, Colin F. Behavioral Game Theory. Princeton NJ: Princeton University Press, 2003.
  • Cox, Gary W. “The Empirical Content of Rational Choice Theory: A Reply to Green and Shapiro,” Journal of Theoretical Politics 11(1999): 147-166.
  • Diermeier, Daniel “Rational Choice and the Role of Theory in political Science,” Critical Review 9 (1995): 59-70.
  • Ellsberg, Daniel. “Theory of the Reluctant Duelist,” The American Economic Review 46/5 (1956): 909-923.
  • Friedman, Milton. “The methodology of positive economics,” in Essays in Positive Economics. Chicago: University of Chicago Press, 1953, pp. 3-43.
  • Fudenberg, Kreps and Levine. “On the Robustness of Equilibrium Refinements,” Journal of Economic Theory 44 (1988): 354-380.
  • Fudenberg and Maskin. “The Folk Theorem with Discounting and with Incomplete Information,” Econometrica 54 (1986): 533-554.
  • Fudenberg, Drew and Jean Tirole. Game Theory. Cambridge, Mass.: MIT Press, 1991.
  • Gauthier, David. Morals by Agreement. Oxford: Clarendon Press, 1986
  • Gigerenzer, G., Todd, P. & the ABC Research Group (1999). Simple heuristics that make us smart. New York: Oxford University Press..
  • Goeree Jacob K. and Charles A. Holt “Ten Little Treasures of Game Theory and Ten Intuitive Contradictions,” American Economic Review 91/5 (2001): 1402-1422.
  • Green, Donald and Ian Shapiro. Pathologies of Rational Choice Theory, New Haven, CT: Yale University Press, 1994.
  • Grüne, Till. “The Problems of Testing Preference Axioms on the Basis of Revealed Preference Theory,” Analyse und Kritik 26/2 (2004): 382-397.
  • Grüne-Yanoff, Till “Bounded Rationality,” Philosophy Compass, Basil Blackwell, Vol. 2 (3): 534-563, 2007.
  • Grüne-Yanoff, Till and Sven Ove Hansson “Preferences,” The Stanford Encyclopedia of Philosophy, Edward N. Zalta (ed.), http://plato.stanford.edu/entries/preferences/, 2006.
  • Grüne-Yanoff, Till and Paul Schweinzer “The Role of Stories in Applying Game Theory,” Journal of Economic Methodology, 2008.
  • Guala, Francesco (2006) “Has Game Theory Been Refuted?” The Journal of Philosophy 103 (55): 239-263.
  • Hausman, Danniel M. “Revealed Preferences, Belief and Game Theory,” Economics and Philosophy 16 (2000): 99-115.
  • Hausman, Daniel M. “’Testing’ Game Theory,” Journal of Economic Methodology 12:2 (2005): 211-223.
  • Jacobsen, Hans Jørgen. “On the Foundations of Nash Equilibrium,” Economics and Philosophy 12 (1996): 67-88.
  • Kalai, Ehud and Ehud Lehrer. “Rational Learning Leads to Nash Equilibrium,” Econometrica 61/5 (1993): 1019-1045.
  • Kuhn, Harold W. “Extensive Games and the Problem of Information,” Contributions to the Theory of Games. Ed. Harold W. Kuhn and A. W. Tucker. Princeton, N.J.: Princeton University Press, 1953.
  • Levi, Isaac. “Prediction, Deliberation, and Correlated Equilibrium,” The Covenant of Reason. Cambridge: Cambridge University Press, 1997: 102-117.
  • Luce, R. Duncan and Howard Raiffa. Games and Decisions. New York: Wiley, 1957.
  • Morgan, Mary. “The Curious Case of the Prisoner’s Dilemma: Model Situation? Exemplary Narrative?” Science without Laws. Ed. A. Creager, M. Norton Wise and E.
  • Nash, John. “Equilibrium Points in n-Person Games,” Proceedings of the National Academy of Science 36 (1950): 48-49.
  • von Neumann, John and Oskar Morgenstern. The Theory of Games and Economic Behavior. Princeton, N.J.: Princeton University Press, 1944.
  • Osborne, Martin and Ariel Rubinstein. A Course in Game Theory. Cambridge, Mass.: MIT Press, 1994.
  • Pearce, David G. “Rationalizable Strategic Behavior and the Problem of Perfection,” Econometrica 52/4 (1984): 1029-1050.
  • Pettit, Philip and Robert Sugden “The Backward Induction Paradox,’ The Journal of Philosophy 86/4 (1989): 169-182.
  • Risse, Matthias. “What is Rational About Nash Equilibria?” Synthese 124 (2000): 361-384.
  • Rubinstein, Ariel. “Comments on the Interpretation of Game Theory,” Econometrica 59/4 (1991): 909-924.
  • Rubinstein, Ariel Modeling Bounded Rationality, MIT Press, 1998.
  • Schelling, Thomas. The Strategy of Conflict. Cambridge Mass.: Harvard University Press, 1960.
  • Selten, Reinhard. “The Chain Store Paradox.” Theory and Decision 9/2 (1978): 127-159.
  • Shapley, Lloyd S. “Some Topics in Two-Person Games,” in Advances in Game Theory, M. Dresher, Lloyd S. Shapley and A. W. Tucker, eds., Princeton University Press,1-28, 1964.
  • Stalnaker, Robert. “Knowledge, Belief and Counterfactual Reasoning in Games,” The Logic of Strategy. Ed. C. Bicchieri, R. Jeffrey, B. Skyrms. Oxford University Press, 1999.
  • Sugden, Robert. “A Theory of Focal Points,” Economic Journal 105 (1995): 1296-302.
  • Sugden, Robert. “The Evolutionary Turn in Game Theory,” Journal of Economic Methodology 8/1 (2001): 113-130.
  • Weibull, Jörgen W. Evolutionary Game Theory. Cambridge, Mass.: MIT Press, 1995.
  • Weibull, Jörgen W. “Testing Game Theory,” Mimeo, 2004.
  • Young, H. Peyton. Individual Strategy and Social Strategy: An Evolutionary Theory of Institutions. Princeton, NJ: Princeton University Press, 2001.
  • Zermelo, Ernst. “Über eine Anwendung der Mengenlehre auf die Theorie des Schachspiels,” Proceedings of the Fifth International Congress on Mathematics, 1913.

Author Information

Till Grüne-Yanoff
Email: gruneyan@mappi.helsinki.fi
University of Helsinki
Finland

Hell

In philosophy and theology, the word “hell,” in its most general sense, refers to some kind of bad post-mortem state. The English word is apparently derived from an Indo-European word meaning “to cover,” which is associated with burial, and by extension, with a “place of the dead.” Accounts of hell’s nature describe these dimensions:

  • The duration of hell: is it temporary or permanent?
  • The felt quality of hell: is it a state of consciousness, or lack of consciousness? If the former, what is it like to be in hell?
  • The purpose of hell: why do some people go there?

Some Eastern religions teach that after death, people suffer conscious punishment for their sins before eventually being reincarnated. However, this ‘temporary hell’ plays a relatively peripheral role in these religions, which aim primarily at escaping the cycle of rebirth altogether. Therefore, this article concentrates on philosophical issues surrounding the doctrine of hell as it has arisen in the theistic religions of Judaism, Christianity, and Islam. In these, hell is central to traditional eschatological teachings about a last judgment. This is the culminating event of history, in which God bodily resurrects the dead and separates the righteous or saved (those with love for or faith in God) from the wicked, admitting the saved to some kind of heaven or paradise, and damning the wicked to a permanent hell.

Section One explains several alternative understandings of what hell is like. On the traditional Christian model of hell, articulated by some of the West’s most historically significant philosophers and theologians, hell involves permanent, conscious suffering for the purpose of punishing human sin. According to annihilationism, the damned ultimately cease to exist and so are not conscious. According to the free will view of hell, the purpose of hell is to respect the choice of the damned not to be with God in heaven. Finally, according to universalism, there is either no hell at all, or only a temporary hell. Section Two considers the ‘problem of hell’ (which is a particular form of the general philosophical problem of evil): if, as theistic religions traditionally have taught, God is all-powerful, all-knowing and completely good, it seems morally and logically impossible that God would allow anyone to be utterly and ineradicably ruined, as the damned in hell would seem to be. Advocates of the traditional view normally respond to this problem by claiming that hell is a function of impartial divine justice; this line of response is explored in Section Three. Finally, Section Four explains how the free will view deals with the problem of hell.

Table of Contents

  1. The Nature of Hell
    1. The Traditional View
      1. The Literal View
      2. Psychological Views
        1. Harsh Psychological View
        2. Mild Psychological View
    2. Annihilationism
    3. Free Will View
    4. Universalism
  2. The Problem of Hell
  3. Hell and Justice
  4. Hell and Freedom
  5. References and Further Reading

1. The Nature of Hell

a. The Traditional View

The Tanakh/Bible contains various images of the last judgment. One striking picture in Hebrew scripture occurs at the end of Isaiah (66:22-24). [Quotations from the Bible are from the New Revised Standard Version.] Faithful Jews, who will “remain before” God in a prosperous “new heavens and new earth,” “shall go out and look at the dead bodies of the people who have rebelled against [God], for their worm shall not die, their fire shall not be quenched, and they shall be an abhorrence to all flesh.” In the Gospel of Mark (9:48), Jesus appropriates this imagery in describing hell as a place “where their worm never dies, and the fire is never quenched.” In the Gospel of Matthew (25:31-46), Jesus teaches that at the last judgment, those who failed to care for “the least of my family” will “go away into eternal punishment,” which is “the eternal fire prepared for the devil and his angels.” Elsewhere in Matthew (8:12, 22:13, 24:51, and 25:30), Jesus invokes a rather different image, suggesting that hell is “outer darkness” (that is, outside heaven) “where there will be weeping and gnashing of teeth.” He teaches that many will seek to enter heaven but be shut out (Luke 13:22-30), suggesting that there is no way to escape from hell once there. Finally, the Christian Bible’s closing book (Revelation 20:7-15) describes the devil, along with Death, Hades, and “anyone whose name was not found written in the book of life,” being cast “into the lake of fire and sulfur . . . and they will be tormented day and night forever and ever.” The Qur’an teaches that hell is “a prison-house” (17:8) in which “those who disbelieve and act unjustly . . . shall remain forever” (4:168) to receive “a sufficient recompense” (9:68) for their sins. There they will “…burn in hellfire. No sooner will their skins be consumed than [God] shall give them other skins, so that they may truly taste” divine wrath (4:55). [Quotations from the Qur’an are from the translation by N. J. Dawood (Penguin Books, 1974).]

Reflection on these scriptural images has given rise to the traditional view of hell. The passage from Isaiah, in which the residents of hell are dead bodies, suggests that hell is a state of unconscious existence, or perhaps even non-existence. While some of the Gospel passages may fit with this view, the ones about weeping and gnashing of teeth seem to suggest instead that the residents of hell are conscious of their bad condition. Furthermore, the passages from Revelation and the Qur’an suggest that the denizens of hell experience torment (extreme conscious suffering). So, on the traditional view, the felt quality of hell is suffering (this implies that the damned exist and are conscious), and its purpose is to punish those who have failed to live faithfully in this life. With respect to duration, the traditional view teaches that the suffering of hell is not only permanent, but necessarily permanent, because there is no possible way for the damned to escape hell once there as a irreversible consequence of their sins. Different versions of the traditional view spring from different understandings of the suffering involved in hell.

i. The Literal View

In the harshest version – which takes much of the scriptural imagery literally – hell involves extreme forms of both mental and physical suffering. On the Day of Judgment, the dead will all be physically resurrected, and the bodies of the damned will be consigned to a literal lake of fire. According to Augustine, this fire will cause a physical agony of burning, but will not consume the flesh of the damned, so that their agony will never end. Furthermore, the damned will suffer psychologically: their most powerful desire will be to escape from hell, but they will realize that escape is impossible, and so will experience not only frustration, but despair. Furthermore, as Augustine puts it, they will be “tortured with a fruitless repentance.” (Book 9) Realizing that their own actions have placed them in this miserable position, they will be filled with regret and self-loathing.

ii. Psychological Views

Some traditionalists object that the literal view of hell, as a place of physical torment, presents God as sadistic. They prefer to see the scriptural images of fire, darkness, and so forth as potent symbols or metaphors for the psychological suffering of hell. Because humans were made for God, their most fundamental desire (whether they consciously acknowledge it or not) is to enjoy eternal union with God. As a state of eternal separation from God, hell would frustrate this central human desire. Therefore, even if the damned felt physical pleasure, they would still experience psychological suffering: frustration, despair, regret, and self-loathing. This ‘psychological suffering only’ view of hell can be further subdivided into harsher and milder views concerning the extent to which the damned suffer.

1) Harsh Psychological View

On the harsher view of psychological suffering, the torments of hell will cause the damned to see clearly, perhaps for the first time, that they truly desire union with God. Although this epiphany will bring them to genuine repentance and willingness to obey God, it will be ‘too late’ for them to enter heaven, for hell is necessarily an eternal state, from which there is no escape. On the harsh model, the damned really want to leave hell, but can’t.

Although this view fits with some scriptural imagery noted above (in which people try to enter heaven and are turned away), it is difficult to reconcile with the idea that God loves all people, including the damned. It would seem that a truly repentant denizen of hell would have attained the very same psychological state of love for God that the blessed in heaven enjoy. Therefore, it is hard to imagine that a loving God would want to keep such a person in hell (and to suggest that God might want to admit such people to heaven, but be unable to do so, would be to do deny God’s omnipotence).

Against this objection, some may argue that God does not in fact love all people, but only the elect, who are predestined for salvation. Others might point out that heaven is a reward for loving God in the unclear conditions of mortal life; those repenting only after God has made things clear to them would fail to merit heaven in the same way as the blessed (however, this argument would be difficult for many Christians to make, given their stress on the importance of divine grace, rather than individual merit, in the process of salvation).

2) Mild Psychological View

In the milder view of psychological suffering, while the damned may have a desire to leave hell and enter heaven, they would also wish to remain as they are: self-obsessed, morally vicious, etc. This view contends that the damned continually act on their desire to remain the same, and so are unwilling to repent and submit to God. If they seek to enter into heaven, it is only on their own terms. This is a ‘mild’ version of hell because, though the damned suffer in hell, they do not suffer badly enough to want (all things considered) to leave. In their vicious state, they could not enjoy union with God, and so prefer hell.

The mild view is easier to reconcile with the idea that God loves even the damned; if a denizen of hell were to genuinely repent, God would admit such a person to heaven. Thus, hell will be a permanent state for the damned only because they will never repent. There are two ways to explain why the damned will refuse to repent.

First, they may be unable to repent, because they have lost their freedom to choose what is truly good. In this case, hell is necessarily eternal; it is not possible for the damned to escape from hell once they arrive there. Second, the damned may be able to repent, but remain eternally unwilling to do so. That is, while the damned will actually remain in hell for all eternity, it is possible for their stay in hell to be temporary, since they could repent and be admitted to heaven.

This second explanation of eternal damnation is actually a departure from the traditional view of hell. As noted above, the traditional view teaches that the duration of hell is necessarily eternal because it is not possible for the damned to escape. This second view, according to which hell is eternal, but not necessarily eternal, is discussed here only because it is so close to the traditional view and does not have a widely accepted label. [The closest thing to an established label comes from Kvanvig (1993), which uses the term “second chance theory of hell” for any view denying that it is impossible for the damned to escape hell. See pages 71-73.]

It could be objected that on either version of the mild view, hell is not a form of punishment because it is not imposed on the damned against their will. However, it does not seem that all punishment must be contrary to the will of its recipient. It seems rather that punishment is a negative consequence demanded by justice, regardless of whether or not the one punished wishes to be punished. For example, if justice demands that God remove the ability of the damned to repent, then this removal would seem to be a form of punishment (one which shapes, rather than opposes, the wills of the damned).

b. Annihilationism

Annihilationism (also known as the ‘conditional immortality’ view) teaches that ultimately the damned cease to exist, and so are not conscious for all eternity. Whereas the traditional view is comprehensive in the sense that it specifies the purpose, duration, and the felt quality of hell, annihilationism is a thesis only about the last of these categories. Therefore, it is possible for annihilationists to take different positions on the overall nature of hell. They normally assume that once God annihilates a person, she will never again come into existence; annihilation is a permanent state. However, annihilationists disagree about God’s reason for annihilating the damned. Many see annihilation as retributive punishment for sin, while others think that God annihilates the damned out of love for them (this will be discussed further in section four).

According to annihilationism, the ultimate fate of the damned does not involve suffering (because it is a state of non-existence). However, it is open to annihilationists to assert that God puts the damned through a period of conscious suffering (enough, perhaps, to ‘pay them back’ for their sins) before finally snuffing out their existence. Descriptions of this temporary conscious suffering could vary in harshness along the lines described above for the traditional view.

The best argument for annihilationism derives from the traditional theistic doctrine of divine conservation: all things depend on God to conserve their existence from moment to moment, and so exist only so long as they are connected to God in some way. But if hell is complete and utter separation or disconnection from God, then hell would be a state of non-existence. Against annihilationism, some would object that it is contrary to God’s creative nature to annihilate anything (this will be discussed further in section four).

c. Free Will View

The free will view is primarily a thesis about the purpose of hell. It teaches that God places the damned in hell not to punish them, but to honor the choices they have freely made. On this view, hell originates not so much from divine justice as from divine love.

According to the free will view, one of God’s purposes in creation is to establish genuine love-based relationships between God and humans, and within the human community. But love is a relation that can exist only between people who are genuinely free. Therefore, God gives people freedom in this life to decide for themselves whether or not they will reciprocate God’s love by becoming the people God created them to be. People freely choose how they act, and through these choices they shape their moral character (a collection of stable tendencies to think, feel, and act, in certain ways). Those who develop a vicious character suffer psychologically, both in this life and in the life to come, for in the afterlife, people will keep the character they have developed in this life. So the suffering of hell consists (at the least) in living with one’s own bad character.

The question may arise: Why does God not simply alter the character of vicious people after they die, so that they become virtuous and God-loving denizens of heaven? Some would argue that such alteration would be too radical to preserve personal identity over time: the person admitted to heaven, though in many ways similar to the original vicious person, would not be numerically the same person because of serious differences in moral character; in altering the vicious person, God would be, in effect, annihilating her and replacing her with a numerically distinct virtuous counterpart. Against this argument, it could be claimed that even if instantaneous transformation would undermine personal identity, an omnipotent God could surely transform vicious people through a more gradual process that preserves personal identity. But even if it is possible, adherents of the free will view would consider such divinely-engineered transformation deeply inconsistent with the divine plan. For if God remade vicious people into saints, the humans’ new attitude toward God would not be truly their own, thus removing the genuineness of the love relationship between God and creature.

The free will view’s emphasis on character formation leads quite naturally to the Roman Catholic doctrine of purgatory. Because of their bad character, vicious people cannot have an afterlife entirely devoid of suffering. Those in purgatory, though initially vicious, are able and willing to repent, freely receiving a good character from God; therefore their suffering is temporary and they eventually enter into heaven. Those in hell, on the other hand, are either unable or unwilling to repent; the only afterlife God can give such people is an afterlife of self-inflicted suffering.

One pressing question for the free will view is why God gives the damned an afterlife at all, rather than simply letting them cease to exist at death (a version of annihilationism). This, and other objections to the free will view, will be discussed in section four.

Like annihilationism, the free will view is not a comprehensive view of hell, and so is subject to variation. It can be combined with either the claim that the damned suffer consciously for all eternity, or the claim that they are (eventually) annihilated. Another point of variation concerns post-mortem freedom: some teach that the damned have the ability after death to continue freely choosing and shaping their character, while others claim that the damned are locked into their vicious characters, unable to change.

d. Universalism

Strictly speaking, universalism is not a view of what hell is like, but it is nevertheless an important view relevant to any discussion of hell. Universalism teaches that all people will ultimately be with God in heaven. There are two main versions of the view. According to necessary universalism, it is not possible for anyone to be eternally separated from God; necessarily, all are saved. According to contingent universalism, while it is possible that people could use their free will to reject God forever, no one will actually do this; eventually, everyone will say yes to God’s love. While it would be consistent with the basic universalist thesis to say that all people go immediately to heaven upon death, most universalists (in an effort to incorporate scriptural warnings about hell) insist that many people will undergo a temporary period of post-mortem suffering before entering heaven. This period of suffering, which could be seen as a temporary hell or as a kind of purgatory, could be motivated either by divine justice, as in the traditional view of hell, or by divine love, as in the free will view.

2. The Problem of Hell

Atheists have leveled two different ‘arguments from evil’ against the existence of God (see Evil, Evidential Problem of, and Evil, Logical Problem of). According to the evidential argument from evil, we would not expect a world created by a necessarily omnipotent, omniscient, morally perfect being (that is, an ‘omniperfect’ God) to contain suffering of the kinds and amounts that we actually experience; therefore, though the suffering (i.e. evil) we see does not logically imply the non-existence of an omniperfect God, it does count as evidence against God’s existence. According to the logical argument from evil, it is not even logically possible for an omniperfect God to coexist with evil. Given the evident existence of evil, it is impossible for there to be an omniperfect God. Furthermore, since religious belief systems normally assert the existence of both God and evil, they are internally incoherent.

The problem of hell is a version of the logical problem of evil, and can be stated thus:

(1) An omniperfect God would not damn anyone to hell without having a morally sufficient reason (that is, a very good reason based on moral considerations) to do so.

(2) It is not possible for God to have a morally sufficient reason to damn anyone.

(3) Therefore, it is not possible for God to damn anyone to hell.

This argument concludes that if there is an omniperfect God—one that necessarily has the perfection of Goodness—then no one will be damned. Therefore traditional theological systems, which insist on both damnation and God’s omniperfection, are incoherent and must be revised. Theologians must give up either the doctrine of damnation or the traditional understanding of God as omniperfect.

In light of the above argument, those who retain their belief in God’s omniperfection have two options: embrace necessary universalism, or challenge the soundness of the argument. The argument is valid, so those who wish to reject it must deny one of its premises.

The argument’s first premise seems to follow from the nature of the relevant divine attributes. To say that a being is morally perfect is (in part) to say that such a being would not want any suffering to occur unless there were a morally sufficient reason for it to occur. God’s omnipotence and omniscience imply that God has knowledge and power sufficient to ensure that things happen only if God wants them to happen. So it seems that a perfectly good, omnipotent, and omniscient being would not allow suffering – particularly of the extreme sort associated with damnation – unless there was a very good moral justification for allowing it.

The second premise of the argument is much more controversial, however. Anti-universalists (i.e. those who affirm both divine omniperfection and damnation) have denied the premise in two different ways. The first is simply to deny that, given our finite minds, we can be sure that (2) is true. Is it not at least possible for God to have a morally sufficient reason for allowing damnation? Perhaps there is some great good (which we cannot now, and perhaps never will, grasp) that God cannot realize without the damnation of souls. Leibniz (c. 1672) suggests one possible example of such a good: the overall perfection of the universe. It may be that God brings about the damnation of some because preventing their damnation would have made the overall story of the universe less good. While a view such as Leibniz’s may be appealing to moral utilitarians, people with more Kantian moral intuitions will object that a God who pursues the perfection of the universe (or any other unseen good) at the expense of the damned is not morally perfect at all, but is instead using the damned as a mere means to divine ends (see Kant’s Ethics).

Second, anti-universalists can claim that (2) is certainly false because we know of a morally sufficient reason for God to allow damnation. They have proposed two such reasons. The first, and historically the most popular, is justice: if God failed to damn the wicked, God would be acting unjustly—acting in collusion with the wicked—and so would be morally imperfect. The second, more popular in the last century, is freedom: if God necessitated the salvation of everyone, then God would be removing human freedom to say “no” to God in an ultimate way, and consequently the value of saying “yes” to God would be significantly diminished.

3. Hell and Justice

Many defenders of the traditional view of hell claim that though God is loving, God is also just, and justice demands the eternal punishment of those who sin against God. However, others often object that far from demanding damnation, justice would prohibit it, since there would be a discrepancy between the temporary, finite crimes committed by the sinner and the everlasting, infinite punishment inflicted by God. Some see such reasoning as favoring annihilationism: if hell is punishment, then it must involve (at most) a finite amount of conscious suffering followed by annihilation. On the other hand, capital punishment (the earthly analogue of annihilation) is usually considered a more serious punishment than life imprisonment without parole (which could be considered analogous to eternal conscious punishment).

The following ‘infinite seriousness’ argument aims to show that justice not only permits God to damn some (contra the objection above), but actually demands it.

(4) Other things being equal, the seriousness of a crime increases as the status (the degree of importance or value) of its victim increases.

(5) God has an infinitely high status.

(6) Therefore, crimes against God are infinitely serious (from (4) and (5)).

(7) All sin is a crime against God.

(8) Therefore, all sin is infinitely serious (from (6) and (7)).

(9) The more serious a crime is, the more serious its punishment should be.

(10) Therefore, all sin should receive an infinitely serious punishment (from (8) and (9)).

Premise (9) is relatively uncontroversial, because it seems to be just cashing out part of what we mean when we talk about the “seriousness” of a crime. To say that a crime is not serious is (in part) to say that does not merit a serious punishment; to say that a crime is moderately serious is to say that it deserves a moderately severe penalty, and so on. Premise (5) is also uncontroversial, since an infinitely perfect being would seem to have infinite value and importance. However, some of the other premises of the infinite seriousness argument are subject to dispute.

At first glance, (7) may seem false: how can Smith’s theft of Jones’ wallet wrong God, especially if Smith is unaware of God’s existence and so cannot intend the theft to be directed against God? However, many believe that when one person is sufficiently precious to, and dependent upon, another, a wrong committed against the first person automatically wrongs the second. For example, harm done to an infant is arguably also harm done to the infant’s mother. But if all things depend on God for their continued existence, and all people are precious to God, then by the same principle it would seem that God is wronged by all sin, even if the sinner does not intend to wrong God.

Premise (4), which claims that seriousness of a crime is a function not only of the nature of the crime itself and the harm it causes, but also of the status of the victim(s) wronged by the crime, seems to fit with some widely shared moral intuitions. For example, other things being equal, killing a human (a higher status victim) seems to be a much more serious crime than killing a neighbor’s dog (a lower status victim). However, when the harm against a victim is indirect (e.g., by means of harming someone precious to the victim), it is not clear that the victim’s status is relevant to the seriousness of the crime. Other things being equal, killing a saint’s best friend seems no worse than killing a criminal’s, even though the saint would arguably enjoy a higher social status. On the other hand, this may not be a genuine counterexample to the first premise, because saints and criminals are both of the same natural kind (humanity); perhaps all the infinite seriousness argument needs is a principle according to which harms against beings of more ontologically perfect kinds are more serious than harms against beings of less perfect kinds.

Finally, as Jonathon Kvanvig (1993) notes, factors such as the criminal’s intentions are relevant to determining the appropriate degree of punishment for a crime. For example, premeditated murder is normally considered more serious than murder committed in a fit of passion. Therefore, it seems that not all sin deserves the same degree of punishment, even if all sin is against God. Insofar as damnation would inflict the same punishment (eternal separation from God) for all sin, it would be fundamentally unjust. This objection would seem to vitiate even annihilationist conceptions of hell, if they see annihilation as punishment. In response, it could be suggested that although all the damned are given an infinitely lengthy punishment, more serious criminals are placed in more harsh conditions. Or perhaps it could be claimed that although not all sins deserve infinite punishment, everyone commits at least one infinitely serious sin at some point in life, and so would deserve infinite punishment.

Even if the infinite seriousness argument is sound, the idea of divine mercy creates difficulties for a defense of the traditional view of damnation, as follows. Suppose that every person deserves damnation. Theistic religions teach that God is willing to forgive the sins of the faithful, so that they will not receive their just punishment. But if God is able and willing to forgo the punishment in one case, why not in all cases? There are two main (seemingly incompatible) responses to this question. Some claim that if God were to forgive everyone, this would display God’s mercy, but not God’s justice. Therefore, because God seeks to reveal all the divine attributes, God cannot will the salvation of all. Others insist that although God is willing to forgive everybody, not everyone is willing to ask for, or accept, God’s forgiveness, resulting in self-inflicted retribution.

4. Hell and Freedom

Because the traditional view of hell understands the purpose of damnation to be retribution for sin, it would seem to stand or fall with the infinite seriousness argument. As discussed at the end of section one, however, those who see hell as an expression of divine love have proposed an entirely different morally sufficient reason for God to allow damnation: respect for freedom. In the free will view, damnation is the only possible way for God to honor the freedom of the damned. To force the sinners into heaven against their wills would not, in this view, be an act of Divine love. Instead, God respects human autonomy by allowing us to shape our character through our own free choices, and by refusing to unilaterally change the character we have chosen; if in this life, we freely develop into morally vicious and miserable people, then that is how God will allow us to remain for eternity.

But if the only possible eternity open to the damned is one of fundamental ruin and despair, why would God give them a never-ending afterlife? Would it not be more loving of God to let the damned cease to exist at death (or, if justice demands it, after a temporary postmortem period of punishment)? The two main versions of the free will view require different lines of response to this question. Those who deny post-mortem freedom might insist that only the guaranteed existence of an eternal afterlife (good or bad) can render our ante-mortem choices truly momentous. Therefore, to guarantee the importance of our earthly freedom, God must give an afterlife to everyone. For those who affirm post-mortem freedom, God gives the damned a never-ending afterlife (at least in part) so that they can continue to choose whether to accept or reject God’s love. Indeed, some who defend the free will view suggest that because our earthly freedom and knowledge with respect to God are often very limited (indeed, because God’s very existence is not evident to many), no one would be in a position to make a truly decisive choice for or against God until the afterlife, in a situation where the agent had a clearer understanding of what was at stake. The subsequent discussion will focus on versions of the free will view that posit post-mortem choice.

The free will view assumes an incompatibilist account of free will, according to which a person is genuinely free with respect to her choices only if she (or an event involving her) is the ultimate causal determinant of those choices. Therefore, if God causally determined denizens of hell to repent, then God—rather than the humans—would be the ultimate determining cause of the repentence, and the humans would not be the agent of their own repentance. Those that hold the compatibilists view concerning free will and determinism claim that free actions can be causally predetermined, as long as the chain of causes runs through the will and intellect of the free agent in an appropriate way. If compatibilism is correct, then God could determine everyone to enter heaven freely, by first causing them to desire heaven enough to repent. Therefore, in claiming that God cannot both (1) give creatures genuine freedom and (2) guarantee that all will be saved , the free will view relies on incompatibilism, which is a very controversial view. For more on the compatibilist/incompatibilist controversy, see the entry on Free Will.

Even if an incompatibilist notion of freedom is taken for granted, it is not clear that the desire to honor human free choices would provide God with a morally sufficient reason to allow damnation. To see why, consider an analogous human situation. Perhaps parents should, out of respect for their children’s freedom, allow them to harm themselves in relatively insignificant ways. But as the degree of self-harm increases, it becomes less and less clear that non-intervention is the loving parental policy. Could it ever be truly loving to allow one’s child to, say, commit suicide? If the child were very young, or did not clearly understand the nature or consequences of her choice, then it would seem clearly wrong for the parent not to do everything in her power to stop the suicide. But if the child is both fully mature and fully cognizant of her choice and its ramifications, then some would consider parental intervention a violation of the child’s rightful autonomy. Insofar as the free will view appeals to God’s respect for the freedom and autonomy of the damned, it seems to conceive of the damned as related to God in something like the way an adult child is related to a parent. Those who see humans as more like infants in relation to God – because of the vast gap between divine and human power – will probably not be persuaded by the free will view.

Another possible objection to the free will view concerns the relationship between freedom and rationality. Free choices, if they are to have any real value, must be more than simply random or uncaused events—they must be explicable in terms of reasons. Free action must be a species of rational action. But there seems to be no reason to choose eternal suffering (or non-existence) over an eternity of bliss. The choice to remain in hell would be utterly irrational, and so could not count as a genuinely free choice. Defenders of the free will view would likely counter this objection by distinguishing between objective and subjective reasons. If people amass enough false beliefs, then what is in fact bad or harmful can seem good or beneficial to them. So perhaps the choice to remain in hell, while admittedly not objectively rational, could be motivated by the damned person’s subjective reasons (that is, by how things seem to him or her). Even if this line of defense is successful, it leaves open questions about the value of freedom in such cases: is it really a good thing for agents to have the power to act in ways that bring about their own objective ruin?

Although the freedom view does not rule out the traditional picture of hell as eternal existence apart from God, some would argue that it requires openness to other possibilities as well. What would happen, for example, if the damned hated God to such an extent that they would prefer non-existence to retaining even the slightest dependence on God? It would seem that God as depicted in the free will view would (out of respect for the freedom of the damned) give them what they wished for, unless there were a good reason not to. Thus, in the freedom view it would seem possible that the damned may end in annihilation. Hell would then be disjunctive: it could involve eternal conscious suffering or annihilation. Advocates of the free will view who favor a more traditional conception of hell can respond to the foregoing argument by positing some reason for God not to honor a damned person’s choice for annihilation. Here are four possible responses.

First, some suggest that souls, once created, are intrinsically immortal, and cannot be destroyed even by God. Most theists would not find this suggestion plausible, however, because it seems to do away with divine omnipotence.

Second, perhaps annihilating the damned would violate God’s moral principles. According to Stump (1986), Aquinas believed that being and goodness are convertible, and so considered morality to require that God never destroy a being unless doing so would promote an even greater level of being/goodness. Since annihilating a damned soul would decrease being without a compensating increase in being elsewhere in the universe, God is morally bound not to do it. This view could be criticized (as was Leibniz’s view above) for giving insufficient weight to the idea that God is first and foremost good to individuals, and only secondarily concerned with abstract issues like the amount of being in the universe.

Third, God might refuse to annihilate the damned because it is better for them (regardless of global considerations) to go on existing, because existence itself is a significant good for those who enjoy it. On the other hand, in using phrases like “a fate worse than death,” people seem to presuppose that the goodness of existence can be outweighed by negative features of existence. Therefore, if the sufferings of hell are serious enough, they could make continued existence there even worse for the damned than non-existence. So whether we consider this third suggestion (that eternal conscious separation from God is better for the damned than annihilation) to be plausible will depend on how bad we consider non-existence to be, and how bad we consider the felt quality of hell to be.

Fourth, God might refuse to annihilate the damned out of hope. This claim could be endorsed even by those who believe that an eternity of conscious separation from God would be worse than non-existence. We would think it right to interfere in the attempted suicide of a young person with temporary depression, because of her hope for a brighter future. Similarly, it would seem right for God to keep the damned in existence (even if this existence is temporarily worse than non-existence for them) if there were some hope that they might repent. Out of respect for freedom, God would not unilaterally alter the character of the damned so as to cause their repentance, but out of love and hope God would refuse to allow the damned to extinguish the possibility of reconciliation. If God allows the damned to continue in their suffering only out of hope that they may repent, then no one (not even God) can be certain that the damned will go on suffering eternally. For if God knew (through middle knowledge) that the damned would never freely repent, then God would have no reason to prolong their suffering.

For those who favor the fourth explanation over the first three, the freedom view faces a dilemma regarding the eternity of hell. On the one hand, if there is no hope that the damned will repent, God would seem to have no reason not to honor their (possible) choice for annihilation, thus rendering hell (understood as a state of conscious suffering) possibly temporary. On the other hand, if there is hope that a person in hell will repent, then while God would not honor a choice for annihilation, there is still the possibility for hell to be temporary, since a person who fully repented would eventually go to heaven. On this latter, hopeful, scenario, hell becomes not a place of everlasting retributive punishment, but a place of indefinitely long therapeutic punishment, aimed at the ultimate reconciliation of sinners with God. While it remains possible that some people will in fact hold out against God forever, on the freedom view the functional role of hell is very similar to that of purgatory in Roman Catholic theology: a state of being aimed at leading a person to heaven, through the removal of character flaws that would prevent her from enjoying beatific intimacy with God. The main difference is that the inhabitants of purgatory are certainly destined to join with God in heaven, while the inhabitants of hell face an uncertain future.

5. References and Further Reading

  • Adams, Marilyn M. (1993) ‘The Problem of Hell: A Problem of Evil for Christians’, in E. Stump (ed.) Reasoned Faith, A Festschrift for Norman Kretzmann, Ithaca, NY: Cornell University Press, 301–27.
    • An explanation of the problem of hell, advocating for universalism.
  • Augustine, City of God, Book 21.
    • Articulates and defends a literal version of the traditional Christian view of hell.
  • Crockett, William, ed. (1997) Four Views on Hell. Grand Rapids: Eerdmans Publishing Co.
    • Advocates of the literal view, the psychological view, annihilationism, and purgatory take turns explaining their own views and responding to the views of the others.
  • Kvanvig, Jonathan L. (1993) The Problem of Hell. New York: Oxford University Press.
    • An extremely thorough study of philosophical issues surrounding the problem of hell; argues at length against a retributive model of hell and in favor of love as the divine motivation for hell.
  • Leibniz, G. W. (c. 1672) The Philosopher’s Confession.
    • Proposes a ‘best possible world’ defense of damnation.
  • Lewis, C.S. (1946) The Great Divorce. London: MacMillan.
    • A psychologically astute fictional story about heaven and hell; it assumes something like the free will view.
  • Stump, Eleonore (1986) ‘Dante’s Hell, Aquinas’s Moral Theory, and the Love of God’, Canadian Journal of Philosophy, 16:181-196.
    • Attributes a version of the free will view to Dante and shows that it can be defended on Aquinas’ moral principles.
  • Swinburne, Richard (1983) ‘A Theodicy of Heaven and Hell’, The Existence & Nature of God, ed. Alfred J. Freddoso, Notre Dame: University of Notre Dame Press. pp. 37-54.
    • An articulation and defense of the free will view highlighting the importance of character formation; considers annihilation as well as eternal existence as possibilities for the damned.
  • Talbott, Thomas B. (1999) The Inescapable Love of God. Universal Publishers.
    • An extended argument for universalism.
  • Walls, Jerry (1992) Hell: The Logic of Damnation. Notre Dame: University of Notre Dame Press.
    • A defense of the free will view, emphasizing the need for postmortem choice.

Author Information

C. P. Ragland
Email: raglandc@slu.edu
Saint Louis University
U. S. A.

Autism

Autism, or the Autistic Spectrum Disorder, is a developmental psychological disorder that begins in the early stages of infancy and affects a child’s ability to develop social skills and engage in social activities. Three current psychological/philosophical theories attempt to explain autism as the result of certain cognitive deficiencies. Each theory takes a different approach to the autistic disorder and theorizes different causes. While no theory is without its difficulties, each different approach to the autistic disorder has played an important role in developing the philosophical understanding of social cognition.

Autism is more prevalent, roughly four times more, in males than females. As a disorder, it only has existed as a recognized clinical entity for sixty years and recent research indicates that it is more widespread in the population than is currently appreciated. Persons with autism show various difficulties in social skills, cognitive processing and other co-occurring behavioral and physical problems. The latter include repetitive movements such as hand-waiving or rocking, self-injurious behavior (in cases of extreme autism) and problems with digestion. Autism has become a nationwide issue with numbers of support groups, websites and research programs. Autism has also become influential in many discussions within philosophical psychology.

Autism has played a strong ancillary role in many debates concerning social cognition, how it develops and its structure. Because persons with autism lack the basic abilities to think about others, understanding autism may give us a window into understanding much or all of social cognition. Analogous to the role lesion studies and other neuropsychological disorders play in our understanding of cognition, brain structure and function and neural organization, autism may provide valuable insight into social cognition. The study of autism, with its specific constellation of behavioral and cognitive deficiencies, may be able to highlight the structure, development and nature of social cognition in general.

This article begins with the clinical definition of autism from the DSM-IV, then discusses the role autism has played in three main theories of cognition: Theory of Mind (hereafter ToM), Simulation Theory and the Executive Control or Metacognitive theory. Finally, there is a brief discussion of the role autism still plays in understanding social cognition.

Table of Contents

  1. The Clinical Properties of Autism
  2. Autism and Theory of Mind
  3. Executive Control/Metacognitive Approaches to Autism
  4. Autism and Simulation Theory
  5. Conclusion
  6. References and Further Reading

1. The Clinical Properties of Autism

Persons with autism show severely diminished or abnormal social interaction and communication, as well as a restricted repertoire of activities and interests (DSM-IV, p. 66). These symptoms can be mild, seen in a lack of certain nonverbal behaviors such as eye-to-eye gaze and gestures or any type of social interaction, or a more serious lack of all reciprocal social interaction and other large impairments in language development and language use. The autistic child may lack close social ties or the abilities to act as “friends” normally with other children. They also may prefer to play alone rather than with others.

The DSM-IV provides the following checklist as a guide to diagnosing autism:

A. A total of six (or more) items from (1), (2), and (3), with at least two from (1), and one each from (2) and (3):

  1. qualitative impairment in social interaction, as manifested by two of the following:

    (a) marked impairment in the use of multiple non-verbal behaviors such as eye-to-eye gaze, facial expression, body postures, and gestures to regulate social interaction.(b) failure to develop peer relationships appropriate to developmental level

    (c) A lack of spontaneous seeking to share enjoyment, interests, or achievements with other people (e.g., lack of showing, bringing, or pointing out objects of interest)

    (d) Lack of social reciprocity

  2. qualitative impairments in communication as manifested in at least one of the following:

    (a) delay in, or total lack of, the development of spoken language (not accompanied by an attempt to compensate through alternative modes of communication such as gesture or mime)(b) in individuals with adequate speech, marked impairment in the ability to initiate or sustain a conversation with others

    (c) stereotyped and repetitive use of language or idiosyncratic language

    (d) lack of varied, spontaneous make-believe play or social imitative play appropriate to developmental level

  3. restricted repetitive and stereotyped patterns of behavior, interests, and activities, as manifested by at least one of the following:

    (a) encompassing preoccupation with one or more stereotyped and restricted patterns of interest that is abnormal in either intensity or in focus(b) apparently inflexible adherence to specific, nonfunctional routines or rituals

    (c) stereotyped and repetitive motor mannerisms (e.g., hand or finger flapping or twisting, or complex body movements)

    (d) persistent preoccupation with parts or objects

B. Delays or abnormal functioning in at least one of the following areas, with onset prior to age three years: (1) social interaction, (2) language as used in social communication, or (3) symbolic or imaginative play.

C. The disturbance is not better accounted for by Rett’s disorder or Childhood Disintegrative Disorder.

These guidelines intentionally lack specificity to account for the wide variety of symptoms and severity found in cases of autism. One of the more well-known cases of autism, is that of Temple Grandin, who holds a PhD in animal science and teaches at Colorado State University. Professor Grandin teaches classes and runs her own business. These are not the kinds of accomplishments expected from a person diagnosed with autism. The more stereotypical case is the child who neither communicates with others nor seems to want to leave their solitary world. Autism derives its name from the intense feeling one gets of the “aloneness” of the autistic person. Even a brief survey of the literature on autism would suffice to show that people diagnosed with autism have varying degrees of impairment.

The clinical and diagnostic features of autism are given to give the philosophical reader a more direct understanding of how clinicians often view the disorder. While such issues are not typically germane to philosophical discussions, they are important in understanding the disorder.

2. Autism and Theory of Mind

Autism has played an important role in theories of cognition in philosophical psychology. The first approach with which we will deal is the Theory of Mind [ToM] approach to development and its treatment of autism. The phrase “ToM approach” is used as a general marker for that family of theories that takes our knowledge of other minds to be innate and basic (See Baron Cohen, 1995; Carruthers, 1996; and Botterill & Carruthers, 1999 for related ToM views on development and autism). Further, the ToM approach often holds that ToM cognition is subtended by modules of a sort. The work of Simon Baron-Cohen is seminal and is generally taken to be the locus classicus of these approaches.

The following example with help us to better understand the type of socio-cognitive knowledge many theories of social cognition attempt to explain. Imagine two close friends have just come back from a night of trick-or-treating one Halloween and have commenced surveying the candy they received. Sam, being an aficionado of hard candy, begins to gather all those types of pieces into a pile. Sam’s compatriot Alice, on the other hand, is a connoisseur of chocolate and he is reminded of this when he sees her collecting all the chocolates into a pile. As Sam separates his candies from one another he mentions to Alice that he would be willing to trade his chocolates for her candies.

This interaction depends upon the one person representing to themselves the preferences of another. This is the sort of knowledge that the that ToM studies. Sam knows that Alice likes chocolate. Alice knows that Sam has chocolates and might be willing to trade. As this example shows, understanding and recognizing the preferences, desires and beliefs of others plays an important role in our interactions.

Baron-Cohen (1995) believes that our ability to mindread, or understand the beliefs and desires of others and how they influence subsequent behavior, is the result of four separate modules/mechanisms working together in order to produce beliefs about what others know. The mindreading system is broken down into the following four modules, ID- the Intentionality Detector, EDD- Eye Direction-Detector, SAM- the Shared Attention Mechanism, and the ToMM-Theory of Mind Module/mechanism. Each of these four mechanisms line up, roughly, with properties in the world, which are: volition (desires), perception, shared attention and epistemic states (knowledge and belief).

The first mechanism Baron-Cohen describes is the Intentionality Detector (ID) (Baron-Cohen, 1995, p. 32). The ID is a perceptual device that interprets the motion of objects in terms of primitive volitional mental states like goal and desire. A more general rendering of this sort of interpretation would be “Object wants/desires x.” Humans use this because it makes sense of basic animal behaviors like approach and avoidance. In order to interpret motion in this way, one needs only two conceptual states: want and goal. The ID is activated whenever there is any perceptual input that might be identified as an agent. We also interpret certain stimuli in the modality of touch, sound, and other modalities in an intentional fashion (Baron-Cohen, 1995, p. 36). If we back up into something we may take it to be a person, and thus say “pardon me.” Only after we verify that it is not a person do we look around to make sure no one was watching us talk to no one in particular.

The second device is the Eye Detection Device (EDD) (Baron-Cohen, 1995, p. 38). The EDD works only through the visual sensory mode. It has three functions: detecting the presence of eyes or eyelike devices; computing which direction the eyes are pointing; and inferring that if another organism’s eyes are directed toward a thing, then it sees that thing. It is important on Baron-Cohen’s view that the third function be seen as giving the organism with the EDD the ability to posit mental states about the organism it is viewing. A new mental state, “one of knowing or believing that some other creature may have visual access to” is added to the basic/primitive mental states of the child. The second and third functions of the EDD are important for Baron-Cohen. Baron-Cohen believes that it is highly adaptive to be able to make a judgment about another being’s knowledge, such as when the tiger has prey in its sights (see Baron-Cohen, 1995 pp. 32-36). If one calculates that the tiger has its eyes trained on a friend, and one uses their knowledge that eyes are used to see (extrapolation from self and third function of the EDD), then one should realize that the tiger sees one’s friend and probably will want to attack. This is called a dyadic representation: Agent sees X. The ID and EDD can form dyadic representations that are relations between two objects or people. It resembles the story told about the tiger. With the ID one can interpret the tiger as an agent. If the agent sees ones friend, and eating is a desire of the tiger, then one might realize that my friend is in danger.

The third mechanism we will deal with is the shared attention mechanism, or SAM (Baron-Cohen, 1995 pp. 44-50). The SAM’s sole function is building triadic representations. The triadic representation expresses a relation between object, Self, and agent. The representation is put generally thus: [I-see- (tiger-sees my friend)]. The SAM compares input from the ID and the EDD and forms these triadic representations. Continuing the tiger example, with a slight modification, will help. If one sees the tiger prowling (ID), sees your friend some yards away, and sees that the tiger is in a position to see your friend (EDD), the SAM can now extrapolate that both the tiger and you see your friend. Furthermore, if you know that tigers like to hunt humans, you might then warn your friend of his impending lunch date.

In this scenario the SAM makes available the ID’s inference that the tiger has a goal, which one interprets through experience, to the EDD and then reads the eye direction in terms of the agent’s inferred goals. With this information one might surmise, according to the example, that the tiger would, more than likely, eat your buddy. After reaching this conclusion one may yell to try and warn your friend of her danger. With all of this in place we can see that this use of primitive representations could be very adaptive and helpful in navigating through a world that has agents who act with goal directed activity.

The final mechanism in Baron-Cohen’s architecture is the Theory of Mind Module/Mechanism (ToMM) (Baron-Cohen, 1995 pp. 50-55). The ToMM has a number of distinct functions. The ToMM is a cognitive system that allows the human to posit a wide range of mental states from observed behavior— to employ a theory of mind in parsing the behavior of others. We learn that upon seeing a desired item, ceteris paribus, people will likely try to get that item. We also learn that people can often misrepresent the world and that these false-beliefs might lead to behaviors that are explainable only in terms of this false belief. The ToMM is the one mechanism/module that we can utilize in order to understand and codify what we learn about mental/epistemic states. The ToMM gives us the ability to represent epistemic states. These epistemic states include believing, pretending, and dreaming. The final responsibility of the ToMM is be able to put the various epistemic states together to allow us to understand how these pieces work together in mental life. The ToMM has a grand job according to Baron-Cohen: “It has the dual function of representing the set of epistemic mental states and turning all this mentalistic knowledge into a useful theory” (Baron-Cohen, p. 51).

The ToMM has multiple functions. It first processes representations of propositional attitudes of the form: [Agent-Attitude-“Proposition”]. An example is “Selma believes that it is wintery.” This is a different ability than having a mental representation of, “It is wintery today.” It differs because one’s belief about Selma is a representation of what one takes her to believe about the world. Having these sorts of representations is crucial to the ability to represent epistemic mental states. The ToMM also allows us to infer that a person will attempt to obtain what they desire if they believe that they are likely to succeed.

For many ToM researchers, the problems persons with autism show in a variety of ToM tasks is evidence for the innate basis of our cognitions about other minds. For example, persons with autism do poorly on the false-belief task. Persons with autism typically use less mental state attribution in their speech compared with average functioning persons and IQ matched developmentally delayed children. Persons with autism also fail to recognize surprise based emotions in others (Harris, 1989). However, persons with autism do show preserved cognitive function in areas as diverse as mathematics, music and mnemonic capacities. These preserved cognitive abilities in persons with autism support a dissociation which furthers the case that ToM knowledge is separate, and thus likely etiologically different, from other cognitions.

The ToM approach generally finds socio-cognitive knowledge to be innate and highly structured. It is not without its problems, however. Some argue (Fodor, 1998) that the modularity relied upon as a basis for the explanation is not plausible given the nature of modules. Further, persons with autism show a wide range of socio-cognitive abilities (high and low functioning persons with autism) that seems to be further evidence against the modular nature of social cognition. As a result, some argue that other theories provide better explanations of the autistic disorder.

3. Executive Control/Metacognitive Approaches to Autism

An alternative to the ToM view of knowledge and development is known as the Executive Control or Metacognitive theory. Executive Control Theorists propose that our ability to understand the mental states of others is the result of the development and use of more general cognitive and metacognitive processes such as metarepresentation, the self monitoring cognitive activity and problem solving. Metarepresentation is the ability that our minds have to represent a representation or have beliefs about beliefs. So, on Executive Control theory, to represent to myself a belief state of someone else, i.e. “I believe my friend sees my chocolate is in the bowl,” one does so with the understanding that one is representing the belief state of another. According to the Executive Control view, these highly complex cognitions require certain cognitive resources which develop over time and practice. Furthermore, the ability to represent the mental states of others is not native. The metarepresentation of another’s epistemic state is the result of applying general cognitive strategies and abilities within a specific domain.

On the Executive Control approach the mind is a domain general information processor able to utilize a wide variety of cognitive resources across a number of domains in solving problems. Executive Control models of cognition and cognitive development state that most of our upper level cognitive abilities are subtended by the same basic sets of cognitive resources. Our ability to pretend, to problem solve and anticipate the actions of others based on inferred thoughts we take a person to have all stem from basic general cognitive abilities. We use the same sets of cognitive resources to solve problems in math, the social arena and learning our own phone number. Understanding others’ behaviors in a social setting is particular problem that humans must face. In order to understand this arena, we simply use these other cognitive skills within the social domain.

Executive Control models rely on a traditional psychological division of labor in the mind that separates memory into long-term memory (LTM) and short-term or working memory (STM). We also have certain cognitive abilities such as the development and use of certain problem solving strategies and the ability to metarepresent. In addition to the strategies one uses to solve problems, one must also be able to generate a plan or method of solving problems that one can implement. As such, the mind is generally able to organize and reorganize activities as a person solves a problem. “Executive function is defined as the ability to maintain appropriate behaviors such as planning, impulse control, inhibition of prepotent but relevant responses, set maintenance, organized search, and flexibility of thought and action” (Ozonoff, et al., 1991, p. 1083). For example, since Alice (a teacher) knows that she wants to be home by 3:00 this afternoon, she realizes that she must finish up the writing she’s scheduled for today. She must also meet with students. If she realizes that student meetings tap her energy leaving her unsuitable for writing, she must then plan to write before meetings if she wants to accomplish her goals.

According to the executive control model, in certain problem solving situations we are able to monitor our strategies for result and economy and make changes with these goals in mind. In the above case, Alice might simply schedule meetings on days that she does not intend to write so that she might more effectively write on the other days. We can also monitor our performance in reaching certain goals. If it turns out that the division-of-academic-labor plan is not working, Alice may alter that plan. She might even inhibit the tendency they have to allow other factors of their job to take time away from writing. If she stumbles onto a procedure that works well in getting them “primed” to write, she might adopt its use. There are many tests used to evaluate our executive control abilities, but the problem confronting experimentalists is that it is often hard to develop a task that reliably taps one set of skills or abilities. However, there are some direct tests, one of the more famous of which is the Tower of Hanoi Puzzle, which researchers rely on to test executive abilities.

In the Tower of Hanoi tests, participants follow certain rules in order to accomplish the task of moving the stack of discs from one area to the next. Imagine that you are presented with three poles the rightmost of which has three discs of differing sizes. The goal is then to move the configuration of discs you are presented with, largest disc on the bottom followed by the next smallest on top and then the smallest on top of that, to the leftmost pole. You are told that while you accomplish this task you can only move one disc at a time, you cannot place a larger disc onto a smaller one and that you need to accomplish the move in the fewest possible number of moves possible. As you might imagine, initial solutions usually involve mistakes and a great many more moves than is necessary. Persons with poor executive control (children, patients with certain frontal lobe problems, persons with autism, etc.) typically perform poorly on the Tower of Hanoi task. The reason for these failures is clear, according to the Executive Control theorist.

To perform well on the tower task requires the ability to plan a solution. It also requires remembering all the necessary rules that constrain choice. This task also measures the inhibition of prepotent responses, the first of which is to just start moving the discs over to the leftmost pole. Unfortunately, this is not necessarily the wisest first move. If it is the case that persons with autism typically do poorer on this task, this shows that they have poor executive control abilities. There has been some early research that showed persons with autism to do poorly on executive control tasks (Ozonoff, S., Pennington, B. and Rogers, S., 1991), but recent research is beginning to weaken this conclusion (Ozonoff, S. and Strayer, D., (2001).

Other tests of Executive Control function include a variety of card sorting tasks that require the participant to sort the cards based on color, shape, category, etc. Participants are not told the rule for sorting that will be used during the test. They must figure it out as a result of the response from the experimenter affirming or denying the given response. For example, a set of cards will have animals and artifacts that are colored either red or blue. If the rule the experimenter is using is based on color, the participant, provided there are no conditions preventing the learning of the rule, will figure that the proper rule is “like colored cards with like colored cards.” However, at a certain point during the test, after the participant has shown they are using the proper rule, the rule changes and requires that we sort according to object type (artifact or natural object). In order to succeed, the participant must become aware of this rule change and alter their responses accordingly. This test focuses on strategy, perseverance, and the inhibition of prepotent responses and flexibility of action. As with the Tower of Hanoi puzzle, persons with poor overall executive control do poorly on such tasks. While the abilities tested in the Tower of Hanoi and card sorting tasks are certainly necessary for the development of our understanding of other minds, they do not represent the full complement of skills required for awareness of the thoughts of others. There are still other abilities and skills necessary.

On the Executive Control theory, social knowledge comes from our ability to pretend which allows us to metarepresent. Pretence, for many Executive Control theorists, is critically important to the development of metarepresentation (Jarrold et al., 1993). The skills involved with pretence are exactly the same skills required when we begin to think about other minds. When we engage in pretence we are able to divorce the representation of the object from the object itself: the representation becomes decoupled. This allows children the crucial move that separates representation from the object. Once this ability is practiced, the child then realizes that the representation of the object is different from the object itself. Upon the realization that the mind represents and can have representations about the world that are not tied directly to the world (i.e. pretending the hall runner is a parking lot for cars) they are then able to metarepresent a variety of epistemic states.

In order to self-represent the belief state of another, children must be able to understand that they themselves hold representations of the world. They further understand that others have the same types of relations to the world with their thoughts. Children can then create a metarepresentation of the person who has some sort of perceptual contact with the world and then, based on that metarepresentation, can predict what that person would do in a given situation. For instance, if Sam knows that Alice saw him hide his candy in the box under his bed, then he could suspect that she might go to the hiding spot if she wants some chocolate. Such metarepresentational abilities also allow us to recognize the so-called “false-belief” states of others. Sam must be able to recognize that Alice saw him put the chocolate in the box under his bed, know that he changed the hiding spot unbeknownst to her and realize that she wouldn’t know that the hiding spot had changed since she never saw me move the chocolate. She would have a false-belief based on his particular epistemic relation to the word that he realizes to be inaccurate. Understanding that someone has a false belief also requires that the user have cognitive control over the contents of his mind so that he does not confuse his own beliefs about the world with what they take others to believe. Only after these ancillary abilities are developed can the child succeed in recognizing the false-beliefs of others. Note that these complex chains of thought require a large working memory span that tracks not only my wants (to keep the chocolate for myself), but also the desires and beliefs of another (Alice wants the chocolate and believes it’s where Sam first hid it).

A result of this particular view about cognition, development and our metarepresentational abilities is a markedly different approach and explanation of the disorder autism than we encountered with the ToM approach. Instead of taking the root problem of autism to be due to a failure of some mechanism/module dedicated to the processing of certain social stimuli, the metacognitive approach finds that autism is the result of an inadequate working memory, which allows us to metarepresent (Keenan, 2000). The autistic disorder is the result of a failing of the Executive Control mechanism responsible for inhibiting certain responses, problems in working memory, recall and inflexible and perseverative problem-solving strategies (Ozonoff, et al., 1991). The failure of persons with autism on typical false-belief tasks is the result of being unable to differentiate their own views from another’s during recall (Hughes, 2002). They might also adopt the improper strategy of relying on their own personal beliefs, either by confusing which set of beliefs belongs with whom or simply forgetting which belief is theirs, in answering questions about others’ beliefs. The problem facing persons with autism and causing their suite of behavioral problems is thus a general inability to accurately store and recall information rather than a specific focal deficit in understanding mental states.

4. Autism and Simulation Theory

Simulation Theory (ST) is usually offered in contrast to other approaches and has is supported more by philosophers than psychologists. While ST traditionally received less critical notice than competing approaches, recently a variety of researchers have ardently and eloquently defended it (such as Alvin Goldman, Robert Gordon and Gregory Currie, Paul Harris and Ian Ravenscroft). ST may be more likely to explain socio-cognitive abilities since it is not laden with the theoretical commitments of ToM and utilizes some of the strengths of the executive control theory.

Simulation Theory holds that one’s knowledge of other minds is related to some sort of capacity to imagine or simulate the beliefs, desires and intentions of another and predict what they would do if one were to act in accordance with the simulated propositional attitudes. For Currie and Ravenscroft (2002, p. 52) each person is able to imaginatively project themselves into the place of another person and “generate within ourselves states of imagining that have as their counterparts the beliefs and desires of someone whose behavior we want to predict.” For Goldman (2006) mindreading begins with a basic “like-me” judgment based on low-level face based emotion recognition abilities. Using a basic “like-me” judgment, we can sense how others are feeling by the facial display of another. Seeing someone display the disgust face activates in our brains the same motor neuron paths as are active when we experience disgust. Through the use of special mirror-neurons, the brain is wired to fire those motor pathways it sees in others.

A main point of contention between the “theory”-theorists and the simulation theorists resides in what exactly the “like-me” consists. For the former, the judgment relies on theoretical assumptions, thus vindicating a theoretical component to social cognition; for the latter, it is the result of basic processes, neural or otherwise. The “like-me” judgment is at the heart of Goldman’s (2006) claim that simulation is the basic method through which we understand others. Regardless of what the “like-me” me judgment is or requires, the evidence for neonatal mimicry relies on studies that have proven difficult to replicate.

For both Currie and Ravenscroft (2002) and Goldman (2006) simulative abilities are fueled by a very basic perceptual ability to recognize emotions in others. In order to recognize how others are feeling, the infant must be able to cue into social stimuli. Once the infant can see these cues, they can begin to mimicking certain features of the emotional expression. Once they begin to mimic the expression, they begin to generate the affect states involved in the mimicked display. According to Currie and Ravenscroft, once these feats are accomplished the infant can assume that if the perceived creature is in a state, and the infant knows what that state feels like, whatever they feel is felt by other. The infant makes a very basic “like me” judgment and, from that judgment, an understanding of others begins. As the children begin to track eye-gaze and use proto-declarative pointing, they begin to develop more sophisticated ways of understanding that aids them in understanding and predicting the behavior of others.

There is an important difference in focus between Goldman’s and Currie and Ravnecroft’s versions of ST. For Goldman, prediction of behavior does not require a feeding in of propositional attitudes or mental states into one’s own cognitive system. In understanding another’s mental states, one mirrors those behaviors or facial expressions. In so doing, one comes to an unmediated understanding of how the other feels. For ST theorists like Currie and Ravenscroft, one places the pretend mental states into imagination and then allows the cognitive system run “offline” and generate predictions. This difference is important for theorists like Goldman who base simulation off certain neural functioning like mirroring.

Our ability to predict others’ behavior requires an act imagination to run the simulation. Our imagination provides the mental area in which we can simulate the role beliefs would play in certain inferential practices of an entertained person. If one imagines that another is hungry, then one might believe that they will go get lunch. One does this because when one believes themselves to be hungry they go get lunch. One plugs in supposed beliefs and desires and then runs a simulation as to what these states would cause them to do in that situation. Goldman (2006) allows that something like the above process occurs when we attempt to understand other’s mental states, but he thinks that this is an upper-level cognitive process and should be seen as importantly different from the lower level “like-me” judgment. The former processes require the lower level mirroring tasks.

In order for one to properly predict another’s behavior based on the simulation of another’s thoughts or behavior, certain assumptions must be made. When one simply thinks “What would I do in this situation” in order to allow the proper inferential chain to go through, one must assume that self and the target are roughly equivalent in a number of important respects. If one lacks basic assumptions about others, or for some other reasons believes that the target is different in important respects, one must augment the simulation with this information so as to have accurate predictions of the other’s behavior. One must disregard or replace certain basic assumptions that they might entertain in a normal case. Thus, the type of simulation one must perform becomes more complex.

In a typical case, one would predict that their friend, whom they know is hungry will likely attempt to go get lunch if the opportunity presents itself. One can make this judgment based on the fact that they would do the same thing in the situation. One plugs in the relevant information and runs a simulation. However, if one knows that their friend is on a diet, they have to take that into account when simulating their behavior. One cannot simply run the simulation using their own particular beliefs, as they are not on a diet. Details of this sort are crucial in understanding and predicting behavior.

On Currie and Ravenscroft’s version of ST, autism is the result of an inability to properly use imagination in the problem solving process, specifically, the process of placing ourselves, imaginatively, into the place of another. However, the problem facing persons with autism is not a complete inability to place themselves imaginatively in the situation of another. Rather, it is a difficulty in developing the skills necessary to practice the imaginative replacement.

Placing yourself in someone’s position, as detailed above, requires that you allow certain belief or desire states that you do not have to become active. We must set aside our own “mental economy” and allow the entertained propositional states to guide our beliefs of what that person might do. As with the earlier example of eating when hungry, since one is not on a diet, one must set aside their own responses and think “as if” they were. Thus, one would choose to not eat in the face of the hunger. Part of the difficulty persons with autism face is they are simply unable to make the proper adjustments to their own mental economy to allow the imagined belief states to play the proper role in simulating another’s beliefs. Persons with autism simply find it too difficult to simulate another person’s belief or desire states. Currie and Ravenscroft claim that the reason that persons with autism cannot simulate others is that they were never able to develop those abilities that allow for complex simulations to occur.

The reason persons with autism lack the development and use of ToM abilities is that they lack the “quasi-perceptual capacity for emotion recognition” (Currie and Ravenscroft, 2002 p. 159). They take the ability to recognize emotions to be something that is native or that surfaces early in development. Since persons with autism do not pick up on the basic emotional cues, they lack one of the primary inputs that allow simulation to occur. According to the authors, a young child perceives another’s emotional state, mimics those facial/bodily expressions and, based on how that mimicked facial expression feels to them as they perform it, thereby know what it feels like to be in that state. Since a person with autism does not even cue into these basic emotional states, they are never in a position to make the proper “like-me” reasoning and they never begin the basic mimicry that sets the whole simulative process into motion. The effects of this simple inability to recognize and simulate other’s emotional states are far-reaching.

Thus, autism, for Currie and Ravenscroft (2002), is an imaginative disorder. There are Executive Control problems like those mentioned in Executive Control models, but these problems come after and as a result of the inability to pick up on the basic perceptual content that cues us in to the mental states of others.

For a simulation theorist like Goldman (2006) the root of the autistic disorder is to be found in basic mirror-neuron dysfunction. Goldman bases his view off studies that show persons with autism are less apt in imitative abilities than average persons. Goldman cites further evidence that seems to indicate that the mirror neurons that allow simulation to occur are not functioning (Goldman, 2006 p. 206). The evidence for the mirror neuron dysfunction is tentative and Goldman notes this. But ST theorists find that the recent research into mirror neuron function and the role that these neurons play in a host of social behaviors such as mimicry, and thinking about others thoughts and actions are important signs that the theory is more supported than the rival “theory”-theory approach.

5. Conclusion

Autism remains an intriguing disorder that is only partially understood. No theory can claim to be the most widely accepted and each has its own difficulties. “Theory”-theory needs to find ways to deal with much of the new research on where and how certain tasks are performed in the brain. Some of this research, as Goldman (2006) notes, seems to violate the modularity basis that “theory”-theory requires. Further, the “theory”-theorists’ like Baron-Cohen have retreated from their theoretical commitments and offered alternative views of the autistic disorder (Baron-Cohen, 2002). Simulation theory and Executive Control theory often rely on the claim that the executive control abilities are dysfunctional in persons with autism and some recent research calls this into question (Ozonoff, S., and Strayer, D., 2001; Hughes, C., 2002).

Some recent research has tried to blend together the theoretical tenets of all of the approaches (Cundall, 2006; Keenan, 2000) forming a hybrid version of the theories and often a détente between “theory”-theory and simulation theory can be found. Researchers like Goldman think theoretical reasoning about other’s mental states is likely, but not the basic form of socio-cognitive thought. “Theory”-theorists often note that something like simulation is used, but it is only a later developmental ability in social cognition. Other researchers, Rittscher, et al, (2003) are avoiding some of the more theoretical disputes and have simply begun to investigate how socio-cognitive information is processed in the brain. Autism still presents any researcher interested in explaining socio-cognitive development an interesting challenge and any theory that purports to explain socio-cognitive structure and development will need to offer an explanation of the disorder.

6. References and Further Reading

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  • Currie, G., and Ravenscroft, I., (2002). Recreative Minds. Oxford: Oxford University Press.
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  • Karmiloff-Smith, Annette, (1992). Beyond Modularity. Cambridge, MA: The MIT Press.
  • Keenan, T., (2000). Mind, Memory, and Metacognition. In Minds in the Making: Essays in Honor of David R. Olson. Astington Eds. Malden MA, Blackwell Publishers.
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  • Ozonoff, S., and Strayer, D. (2001). Further Evidence of Intact Working Memory in Autism. Journal of Autism and Developmental Disorders, Vol. 31: 257-263.
  • Pierce, K., Muller, R., Ambrose, J., Allen, G., and Courchesne, E. (2001). Face processing occurs outside the fusiform ‘face area’ in autists: evidence from functional MRI. Brain, 124: 2059-73.
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  • Ruffman, T., (2000). Nonverbal Theory of Mind. In Minds in the Making: Essays in Honor of David R. Olson. Astington Eds. Malden MA, Blackwell Publishers.
  • Schultz, R. T., Gauthier, I., Klin, A., Fulbright, R., Anderson, A.W., Volkmar, F., Skudlarski, P., Lacadie, C., Cohen, D. J., and Gore, J. C. (2000) Abnormal ventral temporal cortical activity among individuals with autism and Asperger syndrome during face recognition. Archives of General Psychiatry, 37: 331-340.
  • Sterelny, K., (2003). Thought in a Hostile World: The Evolution of Human Cognition. Malden, MA: Blackwell Pubishers.
  • Volkmar, F., Klin, A., Schultz, R., Chawarska, K., and Jones, W. (2003). The Social Brain in Autism. The Social Brain: Evolution and Pathology. in (Brune, Ribbert and Scheiefenhovel Eds.). Hoboken, NJ. Wiley and Sons Ltd.
  • Wellman, H. M. (1991). The Child’s Theory of Mind. Cambridge, MA: The MIT Press.

Author Information

Michael Cundall
Email: mcundall@astate.edu
Arkansas State University
U. S. A.

Plotinus (204—270 C.E.)

PlotinusPlotinus is considered to be the founder of Neoplatonism. Taking his lead from his reading of Plato, Plotinus developed a complex spiritual cosmology involving three foundational elements: the One, the Intelligence, and the Soul. It is from the productive unity of these three Beings that all existence emanates, according to Plotinus. The principal of emanation is not simply causal, but also contemplative. In his system, Plotinus raises intellectual contemplation to the status of a productive principle; and it is by virtue of contemplation that all existents are said to be united as a single, all-pervasive reality. In this sense, Plotinus is not a strict pantheist, yet his system does not permit the notion of creatio ex nihilo (creation out of nothingness). In addition to his cosmology, Plotinus also developed a unique theory of sense-perception and knowledge, based on the idea that the mind plays an active role in shaping or ordering the objects of its perception, rather than passively receiving the data of sense experience (in this sense, Plotinus may be said to have anticipated the phenomenological theories of Husserl). Plotinus’ doctrine that the soul is composed of a higher and a lower part — the higher part being unchangeable and divine (and aloof from the lower part, yet providing the lower part with life), while the lower part is the seat of the personality (and hence the passions and vices) — led him to neglect an ethics of the individual human being in favor of a mystical or soteric doctrine of the soul’s ascent to union with its higher part. The philosophy of Plotinus is represented in the complete collection of his treatises, collected and edited by his student Porphyry into six books of nine treatises each. For this reason they have come down to us under the title of the Enneads.

Table of Contents

  1. Life and Work
  2. Metaphysics and Cosmology
    1. The One
      1. Emanation and Multiplicity
      2. Presence
    2. The Intelligence
      1. The Ideas and ‘Seminal Reasons’
      2. Being and Life
    3. The Soul
      1. Virtue
      2. Dialectic
      3. Contemplation
    4. Matter
      1. Evil
      2. Love and Happiness
      3. A Note on Nature
  3. Psychology and Epistemology
    1. The Living Being
    2. Sense-Perception and Memory
    3. Individuality and Personality
  4. Ethics
  5. References and Further Reading

1. Life and Work

Plotinus was born in 204 C.E. in Egypt, the exact location of which is unknown. In his mid-twenties Plotinus gravitated to Alexandria, where he attended the lectures of various philosophers, not finding satisfaction with any until he discovered the teacher Ammonius Saccas. He remained with Ammonius until 242, at which time he joined up with the Emperor Gordian on an expedition to Persia, for the purpose, it seems, of engaging the famed philosophers of that country in the pursuit of wisdom. The expedition never met its destination, for the Emperor was assassinated in Mesopotamia, and Plotinus returned to Rome to set up a school of philosophy. By this time, Plotinus had reached his fortieth year. He taught in Rome for twenty years before the arrival of Porphyry, who was destined to become his most famous pupil, as well as his biographer and editor. It was at this time that Plotinus, urged by Porphyry, began to collect his treatises into systematic form, and to compose new ones. These treatises were most likely composed from the material gathered from Plotinus’ lectures and debates with his students. The students and attendants of Plotinus’ lectures must have varied greatly in philosophical outlook and doctrine, for the Enneads are filled with refutations and corrections of the positions of Peripatetics, Stoics, Epicureans, Gnostics, and Astrologers. Although Plotinus appealed to Plato as the ultimate authority on all things philosophical, he was known to have criticized the master himself (cf. Ennead IV.8.1). We should not make the mistake of interpreting Plotinus as nothing more than a commentator on Plato, albeit a brilliant one. He was an original and profound thinker in his own right, who borrowed and re-worked all that he found useful from earlier thinkers, and even from his opponents, in order to construct the grand dialectical system presented (although in not quite systematic form) in his treatises.  The great thinker died in solitude at Campania in 270 C.E.

The Enneads are the complete treatises of Plotinus, edited by his student, Porphyry. Plotinus wrote these treatises in a crabbed and difficult Greek, and his failing eyesight rendered his penmanship oftentimes barely intelligible. We owe a great debt to Porphyry, for persisting in the patient and careful preservation of these writings. Porphyry divided the treatises of his master into six books of nine treatises each, sometimes arbitrarily dividing a longer work into several separate works in order to fulfill his numerical plan. The standard citation of the Enneads follows Porphyry’s division into book, treatise, and chapter. Hence ‘IV.8.1’ refers to book (or Ennead) four, treatise eight, chapter one.

2. Metaphysics and Cosmology

Plotinus is not a metaphysical thinker in the strict sense of the term. He is often referred to as a ‘mystical’ thinker, but even this designation fails to express the philosophical rigor of his thought. Jacques Derrida has remarked that the system of Plotinus represents the “closure of metaphysics” as well as the “transgression” of metaphysical thought itself (1973: p. 128 note). The cause for such a remark is that, in order to maintain the strict unity of his cosmology (which must be understood in the ‘spiritual’ or noetic sense, in addition to the traditional physical sense of ‘cosmos’) Plotinus emphasizes the displacement or deferral of presence, refusing to locate either the beginning (arkhe) or the end (telos) of existents at any determinate point in the ‘chain of emanations’ — the One, the Intelligence, and the Soul — that is the expression of his cosmological theory; for to predicate presence of his highest principle would imply, for Plotinus, that this principle is but another being among beings, even if it is superior to all beings by virtue of its status as their ‘begetter’. Plotinus demands that the highest principle or existent be supremely self-sufficient, disinterested, impassive, etc. However, this highest principle must still, somehow, have a part in the generation of the Cosmos. It is this tension between Plotinus’ somewhat religious demand that pure unity and self-presence be the highest form of existence in his cosmology, and the philosophical necessity of accounting for the multiplicity among existents, that animates and lends an excessive complexity and determined rigor to his thought.

Since Being and Life itself, for Plotinus, is characterized by a dialectical return to origins, a process of overcoming the ‘strictures’ of multiplicity, a theory of the primacy of contemplation (theoria) over against any traditional theories of physically causal beginnings, like what is found in the Pre-Socratic thinkers, and especially in Aristotle‘s notion of the ‘prime mover,’ becomes necessary. Plotinus proceeds by setting himself in opposition to these earlier thinkers, and comes to align himself, more or less, with the thought of Plato. However, Plotinus employs allegory in his interpretation of Plato’s Dialogues; and this leads him to a highly personal reading of the creation myth in the Timaeus (27c ff.), which serves to bolster his often excessively introspective philosophizing. Plotinus maintains that the power of the Demiurge (‘craftsman’ of the cosmos), in Plato’s myth, is derived not from any inherent creative capacity, but rather from the power of contemplation, and the creative insight it provides (see Enneads IV.8.1-2; III.8.7-8). According to Plotinus, the Demiurge does not actually create anything; what he does is govern the purely passive nature of matter, which is pure passivity itself, by imposing a sensible form (an image of the intelligible forms contained as thoughts within the mind of the Demiurge) upon it. The form (eidos) which is the arkhe or generative or productive principle of all beings, establishes its presence in the physical or sensible realm not through any act, but by virtue of the expressive contemplation of the Demiurge, who is to be identified with the Intelligence or Mind (Nous) in Plotinus’ system. Yet this Intelligence cannot be referred to as the primordial source of all existents (although it does hold the place, in Plotinus’ cosmology, of first principle), for it, itself, subsists only insofar as it contemplates a prior — this supreme prior is, according to Plotinus, the One, which is neither being nor essence, but the source, or rather, the possibility of all existence (see Ennead V.2.1). In this capacity, the One is not even a beginning, nor even an end, for it is simply the disinterested orientational ‘stanchion’ that permits all beings to recognize themselves as somehow other than a supreme ‘I’. Indeed, for Plotinus, the Soul is the ‘We’ (Ennead I.1.7), that is, the separated yet communicable likeness (homoiotai) of existents to the Mind or Intelligence that contemplates the One. This highest level of contemplation — the Intelligence contemplating the One — gives birth to the forms (eide), which serve as the referential, contemplative basis of all further existents. The simultaneous inexhaustibility of the One as a generative power, coupled with its elusive and disinterested transcendence, makes the positing of any determinate source or point of origin of existence, in the context of Plotinus’ thought, impossible. So the transgression of metaphysical thought, in Plotinus’ system, owes its achievement to his grand concept of the One.

a. The One

The ‘concept’ of the One is not, properly speaking, a concept at all, since it is never explicitly defined by Plotinus, yet it is nevertheless the foundation and grandest expression of his philosophy. Plotinus does make it clear that no words can do justice to the power of the One; even the name, ‘the One,’ is inadequate, for naming already implies discursive knowledge, and since discursive knowledge divides or separates its objects in order to make them intelligible, the One cannot be known through the process of discursive reasoning (Ennead VI.9.4). Knowledge of the One is achieved through the experience of its ‘power’ (dunamis) and its nature, which is to provide a ‘foundation’ (arkhe) and location (topos) for all existents (VI.9.6). The ‘power’ of the One is not a power in the sense of physical or even mental action; the power of the One, as Plotinus speaks of it, is to be understood as the only adequate description of the ‘manifestation’ of a supreme principle that, by its very nature, transcends all predication and discursive understanding. This ‘power,’ then, is capable of being experienced, or known, only through contemplation (theoria), or the purely intellectual ‘vision’ of the source of all things. The One transcends all beings, and is not itself a being, precisely because all beings owe their existence and subsistence to their eternal contemplation of the dynamic manifestation(s) of the One. The One can be said to be the ‘source’ of all existents only insofar as every existent naturally and (therefore) imperfectly contemplates the various aspects of the One, as they are extended throughout the cosmos, in the form of either sensible or intelligible objects or existents. The perfect contemplation of the One, however, must not be understood as a return to a primal source; for the One is not, strictly speaking, a source or a cause, but rather the eternally present possibility — or active making-possible — of all existence, of Being (V.2.1). According to Plotinus, the unmediated vision of the ‘generative power’ of the One, to which existents are led by the Intelligence (V.9.2), results in an ecstatic dance of inspiration, not in a satiated torpor (VI.9.8); for it is the nature of the One to impart fecundity to existents — that is to say: the One, in its regal, indifferent capacity as undiminishable potentiality of Being, permits both rapt contemplation and ecstatic, creative extension. These twin poles, this ‘stanchion,’ is the manifested framework of existence which the One produces, effortlessly (V.1.6). The One, itself, is best understood as the center about which the ‘stanchion,’ the framework of the cosmos, is erected (VI.9.8). This ‘stanchion’ or framework is the result of the contemplative activity of the Intelligence.

i. Emanation and Multiplicity

The One cannot, strictly speaking, be referred to as a source or a cause, since these terms imply movement or activity, and the One, being totally self-sufficient, has no need of acting in a creative capacity (VI.9.8). Yet Plotinus still maintains that the One somehow ’emanates’ or ‘radiates’ existents. This is accomplished because the One effortlessly “‘overflows’ and its excess begets an other than itself” (V.2.1, tr. O’Brien 1964) — this ‘other’ is the Intelligence (Nous), the source of the realm of multiplicity, of Being. However, the question immediately arises as to why the One, being so perfect and self-sufficient, should have any need or even any ‘ability’ to emanate or generate anything other than itself. In attempting to answer this question, Plotinus finds it necessary to appeal, not to reason, but to the non-discursive, intuitive faculty of the soul; this he does by calling for a sort of prayer, an invocation of the deity, that will permit the soul to lift itself up to the unmediated, direct, and intimate contemplation of that which exceeds it (V.1.6). When the soul is thus prepared for the acceptance of the revelation of the One, a very simple truth manifests itself: that what, from our vantage-point, may appear as an act of emanation on the part of the One, is really the effect, the necessary life-giving supplement, of the disinterested self-sufficiency that both belongs to and is the One. “In turning toward itself The One sees. It is this seeing that constitutes The Intelligence” (V.1.7, tr. O’Brien). Therefore, since the One accomplishes the generation or emanation of multiplicity, or Being, by simply persisting in its state of eternal self-presence and impassivity, it cannot be properly called a ‘first principle,’ since it is at once beyond number, and that which makes possible all number or order (cf. V.1.5).

ii. Presence

Since the One is self-sufficient, isolated by virtue of its pure self-presence, and completely impassive, it cannot properly be referred to as an ‘object’ of contemplation — not even for the Intelligence. What the Intelligence contemplates is not, properly speaking, the One Itself, but rather the generative power that emanates, effortlessly, from the One, which is beyond all Being and Essence (epikeina tes ousias) (cf. V.2.1). It has been stated above that the One cannot properly be referred to as a first principle, since it has no need to divide itself or produce a multiplicity in any manner whatsoever, since the One is purely self-contained. This leads Plotinus to posit a secondary existent or emanation of the One, the Intelligence or Mind (Nous) which is the result of the One’s direct ‘vision’ of itself (V.1.7). This allows Plotinus to maintain, within his cosmological schema, a power of pure unity or presence — the One — that is nevertheless never purely present, except as a trace in the form of the power it manifests, which is known through contemplation. Pure power and self-presence, for Plotinus, cannot reside in a being capable of generative action, for it is a main tenet of Plotinus’ system that the truly perfect existent cannot create or generate anything, since this would imply a lack on the part of that existent. Therefore, in order to account for the generation of the cosmos, Plotinus had to locate his first principle at some indeterminate point outside of the One and yet firmly united with it; this first principle, of course, is the Intelligence, which contains both unity and multiplicity, identity and difference — in other words, a self-presence that is capable of being divided into manifestable and productive forms or ‘intelligences’ (logoi spermatikoi) without, thereby, losing its unity. The reason that the Intelligence, which is the truly productive ‘first principle’ (proton arkhon) in Plotinus’ system, can generate existents and yet remain fully present to itself and at rest, is because the self-presence and nature of the Intelligence is derived from the One, which gives of itself infinitely, and without diminishing itself in any way. Furthermore, since every being or existent within Plotinus’ Cosmos owes its nature as existent to a power that is prior to it, and which it contemplates, every existent owes its being to that which stands over it, in the capacity of life-giving power. Keeping this in mind, it is difficult, if not impossible, to speak of presence in the context of Plotinus’ philosophy; rather, we must speak of varying degrees or grades of contemplation, all of which refer back to the pure trace of infinite power that is the One.

b. The Intelligence

The Intelligence (Nous) is the true first principle — the determinate, referential ‘foundation’ (arkhe) — of all existents; for it is not a self-sufficient entity like the One, but rather possesses the ability or capacity to contemplate both the One, as its prior, as well as its own thoughts, which Plotinus identifies with the Platonic Ideas or Forms (eide). The purpose or act of the Intelligence is twofold: to contemplate the ‘power’ (dunamis) of the One, which the Intelligence recognizes as its source, and to meditate upon the thoughts that are eternally present to it, and which constitute its very being. The Intelligence is distinct from the One insofar as its act is not strictly its own (or an expression of self-sufficiency as the ‘act’ of self-reflection is for the One) but rather results in the principle of order and relation that is Being — for the Intelligence and Being are identical (V.9.8). The Intelligence may be understood as the storehouse of potential being(s), but only if every potential being is also recognized as an eternal and unchangeable thought in the Divine Mind (Nous). As Plotinus maintains, the Intelligence is an independent existent, requiring nothing outside of itself for subsistence; invoking Parmenides, Plotinus states that “to think and to be are one and the same” (V.9.5; Parmenides, fragment 3). The being of the Intelligence is its thought, and the thought of the Intelligence is Being. It is no accident that Plotinus also refers to the Intelligence as God (theos) or the Demiurge (I.1.8), for the Intelligence, by virtue of its primal duality — contemplating both the One and its own thought — is capable of acting as a determinate source and point of contemplative reference for all beings. In this sense, the Intelligence may be said to produce creative or constitutive action, which is the provenance of the Soul.

i. The Ideas and the ‘Seminal Reasons’

Since the purpose or act of the Intelligence is twofold (as described above), that which comprises the being or essence of the Intelligence must be of a similar nature. That which the Intelligence contemplates, and by virtue of which it maintains its existence, is the One in the capacity of overflowing power or impassive source. This power or effortless expression of the One, which is, in the strictest sense, the Intelligence itself, is manifested as a coherency of thoughts or perfect intellectual objects that the Intelligence contemplates eternally and fully, and by virtue of which it persists in Being — these are the Ideas (eide). The Ideas reside in the Intelligence as objects of contemplation. Plotinus states that: “No Idea is different from The Intelligence but is itself an intelligence” (V.9.8, tr. O’Brien). Without in any way impairing the unity of his concept of the Intelligence, Plotinus is able to locate both permanence and eternality, and the necessary fecundity of Being, at the level of Divinity. He accomplishes this by introducing the notion that the self-identity of each Idea, its indistinguishability from Intelligence itself, makes of each Idea at once a pure and complete existent, as well as a potentiality or ‘seed’ capable of further extending itself into actualization as an entity distinct from the Intelligence (cf. V.9.14). Borrowing the Stoic term logos spermatikos or ‘seminal reason,’ Plotinus elaborates his theory that every determinate existent is produced or generated through the contemplation by its prior of a higher source, as we have seen that the One, in viewing itself, produces the Intelligence; and so, through the contemplation of the One via the Ideas, the Intelligence produces the logoi spermatikoi (‘seminal reasons’) that will serve as the productive power or essence of the Soul, which is the active or generative principle within Being (cf. V.9.6-7).

ii. Being and Life

Being, for Plotinus, is not some abstract, amorphous pseudo-concept that is somehow pre-supposed by all thinking. In the context of Plotinus’ cosmological schema, Being is given a determined and prominent place, even if it is not given, explicitly, a definition; though he does relate it to the One, by saying that the One is not Being, but “being’s begetter” (V.2.1). Although Being does not, for Plotinus, pre-suppose thought, it does pre-suppose and make possible all ‘re-active’ or causal generation. Being is necessarily fecund — that is to say, it generates or actualizes all beings, insofar as all beings are contained, as potentialities, in the ‘rational seeds’ which are the results of the thought or contemplation of the Intelligence. Being differentiates the unified thought of the Intelligence — that is, makes it repeatable and meaningful for those existents which must proceed from the Intelligence as the Intelligence proceeds from the One. Being is the principle of relation and distinguishability amongst the Ideas, or rather, it is that rational principle which makes them logoi spermatikoi. However, Being is not simply the productive capacity of Difference; it is also the source of independence and self-sameness of all existents proceeding from the Intelligence; the productive unity accomplished through the rational or dialectical synthesis of the Dyad — of the Same (tauton) and the Different (heteron) (cf. V.1.4-5). We may best understand Being, in the context of Plotinus’ thought, by saying that it differentiates and makes indeterminate the Ideas belonging to the Intelligence, only in order to return these divided or differentiated ideas, now logoi spermatikoi, to Sameness or Unity. It is the process of returning the divided and differentiated ideas to their original place in the chain of emanation that constitutes Life or temporal existence. The existence thus produced by or through Being, and called Life, is a mode of intellectual existence characterized by discursive thought, or that manner of thinking which divides the objects of thought in order to categorize them and make them knowable through the relational process of categorization or ‘orderly differentiation’. The existents that owe their life to the process of Being are capable of knowing individual existents only as they relate to one another, and not as they relate to themselves (in the capacity of ‘self-sameness’). This is discursive knowledge, and is an imperfect image of the pure knowledge of the Intelligence, which knows all beings in their essence or ‘self-sameness’ — that is, as they are purely present to the Mind, without the articulative mediation of Difference.

c. The Soul

The power of the One, as explained above, is to provide a foundation (arkhe) and location (topos) for all existents (VI.9.6). The foundation provided by the One is the Intelligence. The location in which the cosmos takes objective shape and determinate, physical form, is the Soul (cf. IV.3.9). Since the Intelligence, through its contemplation of the One and reflection on its own contents, the Ideas (eide), is both one and many, the Soul is both contemplative and active: it contemplates the Intelligence, its prior in the ‘chain of existents,’ and also extends itself, through acting upon or actualizing its own thoughts (the logoi spermatikoi), into the darkness or indeterminacy of multiplicity or Difference (which is to be identified in this sense with Matter); and by so doing, the Soul comes to generate a separate, material cosmos that is the living image of the spiritual or noetic Cosmos contained as a unified thought within the Intelligence (cp. Plato, Timaeus 37d). The Soul, like the Intelligence, is a unified existent, in spite of its dual capacity as contemplator and actor. The purely contemplative part of the Soul, which remains in constant contact with the Intelligence, is referred to by Plotinus as the ‘higher part’ of the Soul, while that part which actively descends into the changeable (or sensible) realm in order to govern and directly craft the Cosmos, is the ‘lower part,’ which assumes a state of division as it enters, out of necessity, material bodies. It is at the level of the Soul that the drama of existence unfolds; the Soul, through coming into contact with its inferior, that is, matter or pure passivity, is temporarily corrupted, and forgets the fact that it is one of the Intelligibles, owing its existence to the Intelligence, as its prior, and ultimately, to the power of the One. It may be said that the Soul is the ‘shepherd’ or ‘cultivator’ of the logoi spermatikoi, insofar as the Soul’s task is to conduct the differentiated ideas from the state of fecund multiplicity that is Being, through the drama of Life, and at last, to return these ideas to their primal state or divine status as thoughts within the Intelligence. Plotinus, holding to his principle that one cannot act without being affected by that which one acts upon, declares that the Soul, in its lower part, undergoes the drama of existence, suffers, forgets, falls into vice, etc., while the higher part remains unaffected, and persists in governing, without flaw, the Cosmos, while ensuring that all individual, embodied souls return, eventually, to their divine and true state within the Intelligible Realm. Moreover, since every embodied soul forgets, to some extent, its origin in the Divine Realm, the drama of return consists of three distinct steps: the cultivation of Virtue, which reminds the soul of the divine Beauty; the practice of Dialectic, which instructs or informs the soul concerning its priors and the true nature of existence; and finally, Contemplation, which is the proper act and mode of existence of the soul.

i. Virtue

The Soul, in its highest part, remains essentially and eternally a being in the Divine, Intelligible Realm. Yet the lower (or active), governing part of the Soul, while remaining, in its essence, a divine being and identical to the Highest Soul, nevertheless, through its act, falls into forgetfulness of its prior, and comes to attach itself to the phenomena of the realm of change, that is, of Matter. This level at which the Soul becomes fragmented into individual, embodied souls, is Nature (phusis). Since the purpose of the soul is to maintain order in the material realm, and since the essence of the soul is one with the Highest Soul, there will necessarily persist in the material realm a type of order (doxa) that is a pale reflection of the Order (logos) persisting in the Intelligible Realm. It is this secondary or derived order (doxa) that gives rise to what Plotinus calls the “civic virtues” (aretas politikas) (I.2.1). The “civic virtues” may also be called the ‘natural virtues’ (aretas phusikas) (I.3.6), since they are attainable and recognizable by reflection upon human nature, without any explicit reference to the Divine. These ‘lesser’ virtues are possible, and attainable, even by the soul that has forgotten its origin within the Divine, for they are merely the result of the imitation of virtuous men — that is, the imitation of the Nature of the Divine Soul, as it is actualized in living existents, yet not realizing that it is such. There is nothing wrong, Plotinus tells us, with imitating noble men, but only if this imitation is understood for what it is: a preparation for the attainment of the true Virtue that is “likeness to God as far as possible” (cf. I.1.2; and Plato, Theaetetus 176b). Plotinus makes it clear that the one who possesses the civic virtues does not necessarily possess the Divine Virtue, but the one who possesses the latter will necessarily possess the former (I.2.7). Those who imitate virtuous men, for example, the heroes of old, like Achilles, and take pride in this virtue, run the risk of mistaking the merely human for the Divine, and therefore committing the sin of hubris. Furthermore, the one who mistakes the human for the Divine virtue remains firmly fixed in the realm of opinion (doxa), and is unable to rise to true knowledge of the Intelligible Realm, which is also knowledge of one’s true self. The exercise of the civic virtues makes one just, courageous, well-tempered, etc. — that is, the civic virtues result in sophrosune, or a well-ordered and cultivated mind. It is easy to see, however, that this virtue is simply the ability to remain, to an extent, unaffected by the negative intrusions upon the soul of the affections of material existence. The highest Virtue consists, on the other hand, not in a rearguard defense, as it were, against the attack of violent emotions and disruptive desires, but rather in a positively active and engaged effort to regain one’s forgotten divinity (I.2.6). The highest virtue, then, is the preparation for the exercise of Dialectic, which is the tool of divine ordering wielded by the individual soul.

ii. Dialectic

Dialectic is the tool wielded by the individual soul as it seeks to attain the unifying knowledge of the Divinity; but dialectic is not, for that matter, simply a tool. It is also the most valuable part of philosophy (I.3.5), for it places all things in an intelligible order, by and through which they may be known as they are, without the contaminating diversity characteristic of the sensible realm, which is the result of the necessary manifestation of discursive knowledge — language. We may best understand dialectic, as Plotinus conceives it, as the process of gradual extraction, from the ordered multiplicity of language, of a unifying principle conducive to contemplation. The soul accomplishes this by alternating “between synthesis and analysis until it has gone through the entire domain of the intelligible and has arrived at the principle” (I.3.4, tr. O’Brien). This is to say, on the one hand, that dialectic dissolves the tension of differentiation that makes each existent a separate entity, and therefore something existing apart from the Intelligence; and, on the other hand, that dialectic is the final flourish of discursive reasoning, which, by ‘analyzing the synthesis,’ comes to a full realization of itself as the principle of order among all that exists — that is, a recognition of the essential unity of the Soul (cf. IV.1). The individual soul accomplishes this ultimate act by placing itself in the space of thinking that is “beyond being” (epekeina tou ontos) (I.3.5). At this point, the soul is truly capable of living a life as a being that is “at one and the same time … debtor to what is above and … benefactor to what is below” (IV.8.7, tr. O’Brien). This the soul accomplishes through the purely intellectual ‘act’ of Contemplation.

iii. Contemplation

Once the individual soul has, through its own act of will — externalized through dialectic — freed itself from the influence of Being, and has arrived at a knowledge of itself as the ordering principle of the cosmos, it has united its act and its thought in one supreme ordering principle (logos) which derives its power from Contemplation (theoria). In one sense, contemplation is simply a vision of the things that are — a viewing of existence. However, for Plotinus, contemplation is the single ‘thread’ uniting all existents, for contemplation, on the part of any given individual existent, is at the same time knowledge of self, of subordinate, and of prior. Contemplation is the ‘power’ uniting the One, the Intelligence, and the Soul in a single all-productive intellectual force to which all existents owe their life. ‘Vision’ (theoria), for Plotinus, whether intellectual or physical, implies not simply possession of the viewed object in or by the mind, but also an empowerment, given by the object of vision to the one who has viewed it. Therefore, through the ‘act’ of contemplation the soul becomes capable of simultaneously knowing its prior (the source of its power, the Intelligence) and, of course, of ordering or imparting life to that which falls below the soul in the order of existence. The extent to which Plotinus identifies contemplation with a creative or vivifying act is expressed most forcefully in his comment that: “since the supreme realities devote themselves to contemplation, all other beings must aspire to it, too, because the origin of all things is their end as well” (III.8.7, tr. O’Brien). This means that even brute action is a form of contemplation, for even the most vulgar or base act has, at its base and as its cause, the impulse to contemplate the greater. Since Plotinus recognizes no strict principle of cause and effect in his cosmology, he is forced, as it were, to posit a strictly intellectual process — contemplation — as a force capable of producing the necessary tension amongst beings in order for there to be at once a sort of hierarchy and, also, a unity within the cosmos. The tension, of course, is always between knower and known, and manifests itself in the form of a ‘fall’ that is also a forgetting of source, which requires remedy. The remedy is, as we have seen, the exercise of virtue and dialectic (also, see above). For once the soul has walked the ways of discursive knowledge, and accomplished, via dialectic, the necessary unification, it (the soul) becomes the sole principle of order within the realm of changeable entities, and, through the fragile synthesis of differentiation and unity accomplished by dialectic, and actualized in contemplation, holds the cosmos together in a bond of purely intellectual dependence, as of thinker to thought. The tension that makes all of this possible is the simple presence of the pure passivity that is Matter.

d. Matter

Matter, for Plotinus, may be understood as an eternally receptive substratum (hupokeimenon), in and by which all determinate existents receive their form (cf. II.4.4). Since Matter is completely passive, it is capable of receiving any and all forms, and is therefore the principle of differentiation among existents. According to Plotinus, there are two types of Matter — the intelligible and the sensible. The intelligible type is identified as the palette upon which the various colors and hues of intelligible Being are made visible or presented, while the sensible type is the ‘space of the possible,’ the excessively fecund ‘darkness’ or depth of indeterminacy into which the soul shines its vivifying light. Matter, then, is the ground or fundament of Being, insofar as the entities within the Intelligence (the logoi spermatikoi) depend upon this defining or delimiting principle for their articulation or actualization into determinate and independent intelligences; and even in the sensible realm, where the soul achieves its ultimate end in the ‘exhaustion’ that is brute activity — the final and lowest form of contemplation (cf. III.8.2) — Matter is that which receives and, in a passive sense, ‘gives form to’ the act. Since every existent, as Plotinus tells us, must produce another, in a succession of dependence and derivation (IV.8.6) which finally ends, simultaneously, in the passivity and formlessness of Matter, and the desperation of the physical act, as opposed to purely intellectual contemplation (although, it must be noted, even brute activity is a form of contemplation, as described above), Matter, and the result of its reception of action, is not inherently evil, but is only so in relation to the soul, and the extent to which the soul becomes bound to Matter through its act (I.8.14). Plotinus also maintains, in keeping with Platonic doctrine, that any sensible thing is an image of its true and eternal counterpart in the Intelligible Realm. Therefore, the sensible matter in the cosmos is but an image of the purely intellectual Matter existing or persisting, as noetic substratum, within the Intelligence (nous). Since this is the case, the confusion into which the soul is thrown by its contact with pure passivity is not eternal or irremediable, but rather a necessary and final step in the drama of Life, for once the soul has experienced the ‘chaotic passivity’ of material existence, it will yearn ever more intensely for union with its prior, and the pure contemplation that constitutes its true existence (IV.8.5).

i. Evil

The Soul’s act, as we have seen (above), is dual — it both contemplates its prior, and acts, in a generative or, more properly, a governing capacity. For the soul that remains in contact with its prior, that is, with the highest part of the Soul, the ordering of material existence is accomplished through an effortless governing of indeterminacy, which Plotinus likens to a light shining into and illuminating a dark space (cf. I.8.14); however, for the soul that becomes sundered, through forgetfulness, from its prior, there is no longer an ordering act, but a generative or productive act — this is the beginning of physical existence, which Plotinus recognizes as nothing more than a misplaced desire for the Good (cf. III.5.1). The soul that finds its fulfillment in physical generation is the soul that has lost its power to govern its inferior while remaining in touch with the source of its power, through the act of contemplation. But that is not all: the soul that seeks its end in the means of generation and production is also the soul that becomes affected by what it has produced — this is the source of unhappiness, of hatred, indeed, of Evil (kakon). For when the soul is devoid of any referential or orientational source — any claim to rulership over matter — it becomes the slave to that over which it should rule, by divine right, as it were. And since Matter is pure impassivity, the depth or darkness capable of receiving all form and of being illuminated by the light of the soul, of reason (logos), when the soul comes under the sway of Matter, through its tragic forgetting of its source, it becomes like this substratum — it is affected by any and every emotion or event that comes its way, and all but loses its divinity. Evil, then, is at once a subjective or ‘psychic’ event, and an ontological condition, insofar as the soul is the only existent capable of experiencing evil, and is also, in its highest form, the ruler or ordering principle of the material cosmos. In spite of all this, however, Evil is not, for Plotinus, a meaningless plague upon the soul. He makes it clear that the soul, insofar as it must rule over Matter, must also take on certain characteristics of that Matter in order to subdue it (I.8.8). The onto-theological problem of the source of Evil, and any theodicy required by placing the source of Evil within the godhead, is avoided by Plotinus, for he makes it clear that Evil affects only the soul, as it carries out its ordering activity within the realm of change and decay that is the countenance of Matter. Since the soul is, necessarily, both contemplative and active, it is also capable of falling, through weakness or the ‘contradiction’ of its dual functions, into entrapment or confusion amidst the chaos of pure passivity that is Matter. Evil, however, is not irremediable, since it is merely the result of privation (the soul’s privation, through forgetfulness, of its prior); and so Evil is remedied by the soul’s experience of Love.

ii. Love and Happiness

Plotinus speaks of Love in a manner that is more ‘cosmic’ than what we normally associate with that term. Love (eros), for Plotinus, is an ontological condition, experienced by the soul that has forgotten its true status as divine governor of the material realm and now longs for its true condition. Drawing on Plato, Plotinus reminds us that Love (Eros) is the child of Poverty (Penia) and Possession (Poros) (cf. Plato, Symposium 203b-c), since the soul that has become too intimately engaged with the material realm, and has forgotten its source, is experiencing a sort of ‘poverty of being,’ and longs to possess that which it has ‘lost’. This amounts to a spiritual desire, an ‘existential longing,’ although the result of this desire is not always the ‘instant salvation’ or turnabout that Plotinus recognizes as the ideal (the epistrophe described in Ennead IV.8.4, for example); oftentimes the soul expresses its desire through physical generation or reproduction. This is, for Plotinus, but a pale and inadequate reflection or imitation of the generative power available to the soul through contemplation. Now Plotinus does not state that human affection or even carnal love is an evil in itself — it is only an evil when the soul recognizes it as the only expression or end (telos) of its desire (III.5.1). The true or noble desire or love is for pure beauty, i.e., the intelligible Beauty (noetos kalon) made known by contemplation (theoria). Since this Beauty is unchangeable, and the source of all earthly or material, i.e., mutable, beauty, the soul will find true happiness (eudaimonia) when it attains an unmediated vision (theoria) of Beauty. Once the soul attains not only perception of this beauty (which comes to it only through the senses) but true knowledge of the source of Beauty, it will recognize itself as identical with the highest Soul, and will discover that its embodiment and contact with matter was a necessary expression of the Being of the Intelligence, since, as Plotinus clearly states, as long as there is a possibility for the existence and engendering of further beings, the Soul must continue to act and bring forth existents (cf. IV.8.3-4) — even if this means a temporary lapse into evil on the part of the individual or ‘fragmented’ souls that actively shape and govern matter. However, it must be kept in mind that even the soul’s return to recognition of its true state, and the resultant happiness it experiences, are not merely episodes in the inner life of an individual existent, but rather cosmic events in themselves, insofar as the activities and experiences of the souls in the material realm contribute directly to the maintenance of the cosmos. It is the individual soul’s capacity to align itself with material existence, and through its experiences to shape and provide an image of eternity for this purely passive substance, that constitutes Nature (phusis). The soul’s turnabout or epistrophe, while being the occasion of its happiness, reached through the desire that is Love, is not to be understood as an apokatastasis or ‘restoration’ of a fragmented cosmos. Rather, we must understand this process of the Soul’s fragmentation into individual souls, its resultant experiences of evil and love, and its eventual attainment of happiness, as a necessary and eternal movement taking place at the final point of emanation of the power that is the One, manifested in the Intelligence, and activated, generatively, at the level of Soul.

iii. A Note on Nature (phusis)

One final statement must be made, before we exit this section on Plotinus’ Metaphysics and Cosmology, concerning the status of Nature in this schema. Nature, for Plotinus, is not a separate power or principle of Life that may be understood independently of the Soul and its relation to Matter. Also, since the reader of this article may find it odd that I would choose to discuss ‘Love and Happiness’ in the context of a general metaphysics, let it be stated clearly that the Highest Soul, and all the individual souls, form a single, indivisible entity, The Soul (psuche) (IV.1.1), and that all which affects the individual souls in the material realm is a direct and necessary outgrowth of the Being of the Intelligible Cosmos (I.1.8). Therefore, it follows that Nature, in Plotinus’ system, is only correctly understood when it is viewed as the result of the collective experience of each and every individual soul, which Plotinus refers to as the ‘We’ (emeis) (I.1.7) — an experience, moreover, which is the direct result of the souls fragmentation into bodies in order to govern and shape Matter. For Matter, as Plotinus tells us, is such that the divine Soul cannot enter into contact with it without taking on certain of its qualities; and since it is of the nature of the Highest Soul to remain in contemplative contact with the Intelligence, it cannot descend, as a whole, into the depths of material differentiation. So the Soul divides itself, as it were, between pure contemplation and generative or governing act — it is the movement or moment of the soul’s act that results in the differentiation of the active part of Soul into bodies. It must be understood, however, that this differentiation does not constitute a separate Soul, for as we have already seen, the nature and essence of all intelligible beings deriving from the One is twofold — for the Intelligence, it is the ability to know or contemplate the power of the One, and to reflect upon that knowledge; for the Soul it is to contemplate the Intelligence, and to give active form to the ideas derived from that contemplation. The second part of the Soul’s nature or essence involves governing Matter, and therefore becoming an entity at once contemplative and unified, and active and divided. So when Plotinus speaks of the ‘lower soul,’ he is not speaking of Nature, but rather of that ability or capacity of the Soul to be affected by its actions. Since contemplation, for Plotinus, can be both purely noetic and accomplished in repose, and ‘physical’ and carried out in a state of external effort, so reflection can be both noetic and physical or affective. Nature, then, is to be understood as the Soul reflecting upon the active or physical part of its eternal contemplation. The discussion of Plotinus’ psychological and epistemological theories, which now follows, must be read as a reflection upon the experiences of the Soul, in its capacity or state as fragmented and active unity.

3. Psychology and Epistemology

Plotinus’ contributions to the philosophical understanding of the individual psyche, of personality and sense-perception, and the essential question of how we come to know what we know, cannot be properly understood or appreciated apart from his cosmological and metaphysical theories. However, the Enneads do contain more than a few treatises and passages that deal explicitly with what we today would refer to as psychology and epistemology. Plotinus is usually spurred on in such investigations by three over-arching questions and difficulties: (1) how the immaterial soul comes to be united with a material body, (2) whether all souls are one, and (3) whether the higher part of the soul is to be held responsible for the misdeeds of the lower part. Plotinus responds to the first difficulty by employing a metaphor. The Soul, he tells us, is like an eternal and pure light whose single ray comes to be refracted through a prism; this prism is matter. The result of this refraction is that the single ray is ‘fragmented’ into various and multi-colored rays, which give the appearance of being unique and separate rays of light, but yet owe their source to the single pure ray of light that has come to illumine the formerly dark ‘prism’ of matter.

If the single ray of light were to remain the same, or rather, if it were to refuse to illuminate matter, its power would be limited. Although Plotinus insists that all souls are one by virtue of owing their being to a single source, they do become divided amongst bodies out of necessity — for that which is pure and perfectly impassive cannot unite with pure passivity (matter) and still remain itself. Therefore, the Higher Soul agrees, as it were, to illuminate matter, which has everything to gain and nothing to lose by the union, being wholly incapable of engendering anything on its own. Yet it must be remembered that for Plotinus the Higher Soul is capable of giving its light to matter without in any way becoming diminished, since the Soul owes its own being to the Intelligence which it contemplates eternally and effortlessly. The individual souls — the ‘fragmented rays of light’ — though their source is purely impassive, and hence not responsible for any misdeeds they may perform, or any misfortunes that may befalls them in their incarnation, must, themselves, take on certain characteristics of matter in order to illuminate it, or as Plotinus also says, to govern it. One of these characteristics is a certain level of passivity, or the ability to be affected by the turbulence of matter as it groans and labors under the vivifying power of the soul, as though in the pangs of childbirth (cf. Plato, Letter II. 313a). This is the beginning of the individual soul’s personality, for it is at this point that the soul is capable of experiencing such emotions like anger, fear, passion, love, etc. This individual soul now comes to be spoken of by Plotinus as if it were a separate entity by. However, it must be remembered that even the individual and unique soul, in its community (koinon) with a material body, never becomes fully divided from its eternal and unchanging source.  This union of a unique, individual soul (which owes its being to its eternal source) with a material body is called by Plotinus the living being (zoon). The living being remains, always, a contemplative being, for it owes its existence to a prior, intelligible principle; but the mode of contemplation on the part of the living being is divided into three distinct stages, rising from a lesser to a greater level of intelligible ordering. These stages are: (1) pathos, or the immediate disturbance undergone by the soul through the vicissitudes of its union with matter, (2) the moment at which the disturbance becomes an object of intelligible apprehension (antilepsis), and (3) the moment at which the intelligible object (tupon) becomes perceived through the reasoning faculty (dianoia) of the soul, and duly ordered or judged (krinein). Plotinus call this three-fold structure, in its unity, sense- perception (aisthesis).

We may best understand Plotinus’ theory of perception by describing it as a ‘creation’ of intelligible objects, or forms, from the raw material (hule) provided by the corporeal realm of sensation.  The individual souls then use these created objects as tools by which to order or govern the turbulent realm of vivified matter. The problem arises when the soul is forced to think ‘through’ or with the aid of these constructed images of the forms (eide), these ‘types’ (tupoi). This is the manner of discursive reasoning that Plotinus calls dianoia, and which consists in an act of understanding that owes its knowledge (episteme) to objects external to the mind, which the mind, through sense-perception, has come to ‘grasp’ (lepsis). Now since the objects which the mind comes to ‘grasp’ are the product of a soul that has mingled, to a certain extent, with matter, or passivity, the knowledge gained by dianoia can only be opinion (doxa). The opinion may indeed be a correct one, but if it is not subject to the judgment of the higher part of the soul, it cannot properly be called true knowledge (alethes gnosis). Furthermore, the reliance on the products of sense-perception and on dianoia may lead the soul to error and to forgetfulness of its true status as one with its source, the Higher Soul. And although even the soul that falls the furthest into error and forgetfulness is still, potentially, one with the Higher Soul, it will be subject to judgment and punishment after death, which takes the form, for Plotinus, of reincarnation. The soul’s salvation consists of bringing its mind back into line with the reasoning power (logos) of its source, which it also is — the Soul. All order in the physical cosmos proceeds from the power of the Soul, and the existence of individual souls is simply the manner in which the Soul exercises its governing power over the realm of passive nature. When the individual soul forgets this primal reality or truth — that it is the principle of order and reason in the cosmos — it will look to the products of sense-perception for its knowledge, and will ultimately allow itself to be shaped by its experiences, instead of using its experiences as tools for shaping the cosmos.

a. The Living Being

What Plotinus calls the “living being” (zoon) is what we would refer to, roughly, as the human-being, or the individual possessed of a distinct personality. This being is the product of the union of the lower or active part of the soul with a corporeal body, which is in turn presided over by the Higher Soul, in its capacity as reasoning power, imparted to all individual souls through their ceaseless contemplation of their source (I.1.5-7). The “living being,” then, may be understood as a dual nature comprising a lower or physically receptive part, which is responsible for transferring to the perceptive faculty the sensations produced in the lower or ‘irrational’ part of the soul through its contact with matter (the body), and a higher or ‘rational’ part which perceives these sensations and passes judgment on them, as it were, thereby producing that lower form of knowledge called episteme in Greek, that is contrasted with the higher knowledge, gnosis, which is the sole possession of the Higher Soul. Plotinus also refers to this dual nature as the ‘We’ (emeis), for although the individual souls are in a sense divided and differentiated through their prismatic fragmentation (cf. I.1.8, IV.3.4, and IV.9.5), they remain in contact by virtue of their communal contemplation of their prior — this is the source of their unity. One must keep in mind, however, that the individual souls and the Higher Soul are not two separate orders or types of soul, nor is the “living being” a third entity derived from them. These terms are employed by Plotinus for the sole purpose of making clear the various aspects of the Soul’s governing action, which is the final stage of emanation proceeding from the Intelligence’s contemplation of the power of the One. The “living being” occupies the lowest level of rational, contemplative existence. It is the purpose of the “living being” to govern the fluctuating nature of matter by receiving its impressions, and turning them into intelligible forms for the mind of the soul to contemplate, and make use of, in its ordering of the cosmos. Now in order to receive the impressions or sensations from material existence, the soul must take on certain characteristics of matter (I.8.8-9) — the foremost characteristic being that of passivity, or the ability to undergo disruptions in one’s being, and remain affected by these disturbances. Therefore, a part of the “living being” will, of necessity, descend too far into the material or changeable realm, and will come to unite with its opposite (that is, pure passivity) to the point that it falls away from the vivifying power of the Soul, or the reasoning principle of the ‘We.’ In order to understand how this occurs, how it is remedied, and what are the consequences for the Soul and the cosmos that it governs, a few words must be said concerning sense-perception and memory.

b. Sense-Perception and Memory

Sense-perception, as Plotinus conceives it, may be described as the production and cultivation of images (of the forms residing in the Intelligence, and contemplated by the Soul). These images aid the soul in its act of governing the passive, and for that reason disorderly, realm of matter. The soul’s experience of bodily sensation (pathos) is an experience of something alien to it, for the soul remains always what it is: an intellectual being. However, as has already been stated, in order for the soul to govern matter, it must take on certain of matter’s characteristics. The soul accomplishes this by ‘translating’ the immediate disturbances of the body — i.e., physical pain, emotional disturbances, even physical love or lust — into intelligible realties (noeta) (cf. I.1.7). These intelligible realities are then contemplated by the soul as ‘types’ (tupoi) of the true images (eidolon) ‘produced’ through the Soul’s eternal contemplation of the Intelligence, by virtue of which the cosmos persists and subsists as a living image of the eternal Cosmos that is the Intelligible Realm. The individual souls order or govern the material realm by bringing these ‘types’ before the Higher Soul in an act of judgment (krinein), which completes the movement or moment of sense-perception (aisthesis). This perception, then, is not a passive imprinting or ‘stamping’ of a sensible image upon a receptive soul; rather, it is an action of the soul, indicative of the soul’s natural, productive power (cf. IV.6.3). This ‘power’ is indistinguishable from memory (mnemes), for it involves, as it were, a recollection, on the part of the lower soul, of certain ‘innate’ ideas, by which it is able to perceive what it perceives — and most importantly, by virtue of which it is able to know what it knows. The soul falls into error only when it ‘falls in love’ with the ‘types’ of the true images it already contains, in its higher part, and mistakes these ‘types’ for realities. When this occurs, the soul will make judgments independently of its higher part, and will fall into ‘sin’ (hamartia), that is, it will ‘miss the mark’ of right governance, which is its proper nature. Since such a ‘fallen’ soul is almost a separate being (for it has ceased to fully contemplate its ‘prior,’ or higher part), it will be subject to the ‘judgment’ of the Higher Soul, and will be forced to endure a chain of incarnations in various bodies, until it finally remembers its ‘true self,’ and turns its mind back to the contemplation of its higher part, and returns to its natural state (cf. IV.8.4). This movement is necessary for the maintenance of the cosmos, since, as Plotinus tells us, “the totality of things cannot continue limited to the intelligible so long as a succession of further existents is possible; although less perfect, they necessarily are because the prior existent necessarily is” (IV.8.3, tr. O’Brien). No soul can govern matter and remain unaffected by the contact. However, Plotinus assures us that the Highest Soul remains unaffected by the fluctuations and chaotic affections of matter, for it never ceases to productively contemplate its prior — which is to say: it never leaves its proper place. It is for this reason that even the souls that ‘fall’ remain part of the unity of the ‘We,’ for despite any forgetfulness that may occur on their part, they continue to owe their persistence in being to the presence of their higher part — the Soul (cf. IV.1 and IV.2, “On the Essence of the Soul”).

c. Individuality and Personality

The individual souls that are disseminated throughout the cosmos, and the Soul that presides over the cosmos, are, according to Plotinus, an essential unity. This is not to say that he denies the unique existence of the individual soul, nor what we would call a personality. However, personality, for Plotinus, is something accrued, an addition of alien elements that come to be attached to the pure soul through its assimilative contact with matter (cf. IV.7.10, and cp. Plato, Republic 611b-612a). In other words, we may say that the personality is, for Plotinus, a by-product of the soul’s governance of matter — a governance that requires a certain degree of affectivity between the vivifying soul and its receptive substratum (hupokeimenon). The soul is not really ‘acted upon’ by matter, but rather receives from the matter it animates, certain unavoidable impulses (horme) which come to limit or bind (horos) the soul in such a way as to make of it a “particular being,” possessing the illusory quality of being distinct from its source, the Soul. Plotinus does, however, maintain that each “particular being” is the product, as it were, of an intelligence (a logos spermatikos), and that the essential quality of each ‘psychic manifestation’ is already inscribed as a thought with the cosmic Mind (Nous); yet he makes it clear that it is only the essence (ousia) of the individual soul that is of Intelligible origin (V.7.1-3). The peculiar qualities of each individual, derived from contact with matter, are discardable accruements that only serve to distort the true nature of the soul. It is for this reason that the notion of the ‘autonomy of the individual’ plays no part in the dialectical onto-theology of Plotinus. The sole purpose of the individual soul is to order the fluctuating representations of the material realm, through the proper exercise of sense-perception, and to remain, as far as is possible, in imperturbable contact with its prior. The lower part of the soul, the seat of the personality, is an unfortunate but necessary supplement to the Soul’s actualization of the ideas it contemplates. Through the soul’s ‘gift’ of determinate order to the pure passivity that is matter, this matter comes to ‘exist’ in a state of ever-changing receptivity, of chaotic malleability. This malleability is mirrored in and by the accrued ‘personality’ of the soul. When this personality is experienced as something more than a conduit between pure sense-perception and the act of judgment that makes the perception(s) intelligible, then the soul has fallen into forgetfulness. At this stage, the personality serves as a surrogate to the authentic existence provided by and through contemplation of the Soul.

4. Ethics

The highest attainment of the individual soul is, for Plotinus, “likeness to God as far as is possible” (I.2.1; cf. Plato, Theaetetus 176b). This likeness is achieved through the soul’s intimate state of contemplation of its prior — the Higher Soul — which is, in fact, the individual soul in its own purified state. Now since the Soul does not come into direct contact with matter like the ‘fragmented,’ individual souls do, the purified soul will remain aloof from the disturbances of the realm of sense (pathos) and will no longer directly govern the cosmos, but leave the direct governance to those souls that still remain enmeshed in matter (cf. VI.9.7). The lower souls that descend too far into matter are those souls which experience most forcefully the dissimilative, negative affectivity of vivified matter. It is to these souls that the experience of Evil falls. For this reason, Plotinus was unable to develop a rigorous ethical system that would account for the responsibilities and moral codes of an individual living a life amidst the fluctuating realm of the senses. According to Plotinus, the soul that has descended too far into matter needs to “merely think on essential being” in order to become reunited with its higher part (IV.8.4). This seems to constitute Plotinus’ answer to any ethical questions that may have been posed to him. In fact, Plotinus develops a radical stance vis-a-vis ethics, and the problem of human suffering. In keeping with his doctrine that the higher part of the soul remains wholly unaffected by the disturbances of the sense-realm, Plotinus declares that only the lower part of the soul suffers, is subject to passions, and vices, etc. In order to drive the point home, Plotinus makes use of a striking illustration. Invoking the ancient torture device known as the Bull of Phalaris (a hollow bronze bull in which a victim was placed; the bull was then heated until it became red hot), he tells us that only the lower part of the soul will feel the torture, while the higher part remains in repose, in contemplation (I.4.13). Although Plotinus does not explicitly say so, we may assume that the soul that has reunited with its higher part will not feel the torture at all. Since the higher part of the soul is (1) the source and true state of existence of all souls, (2) cannot be affected in any way by sensible affections, and (3) since the lower soul possesses of itself the ability to free itself from the bonds of matter, all particular questions concerning ethics and morality are subsumed, in Plotinus’ system, by the single grand doctrine of the soul’s essential imperturbability. The problems plaguing the lower soul are not, for Plotinus, serious issues for philosophy. His general attitude may be summed up by a remark made in the course of one of his discussions of ‘Providence’:

“A gang of lads, morally neglected, and in that respect inferior to the intermediate class, but in good physical training, attack and overthrow another set, trained neither physically nor morally, and make off with their food and their dainty clothes. What more is called for than a laugh?” (III.2.8, tr. MacKenna).

Of course, Plotinus was no anarchist, nor was he an advocate of violence or lawlessness. Rather, he was so concerned with the welfare and the ultimate salvation of each individual soul, that he elevated philosophy — the highest pursuit of the soul — to the level of a divine act, capable of purifying each and every soul of the tainting accruements of sensual existence. Plotinus’ last words, recorded by Porphyry, more than adequately summarize the goal of his philosophy: “Strive to bring back the god in yourselves to the God in the All” (Life of Plotinus 2).

5. References and Further Reading

  • Elmer O’Brien, S. J. (1964) tr., The Essential Plotinus: Representative Treatises From The Enneads (Hackett Publishing).
    • This fine translation of the more accessible, if not always most relevant, treatises of Plotinus serves as a valuable introduction to the work of a difficult and often obscure thinker. The Introduction by O’Brien is invaluable.
  • Plotinus, The Enneads, tr. Stephen MacKenna, with Introduction and Notes by John Dillon (Penguin Books: 1991).
    • Stephen MacKenna’s rightly famous translation of Plotinus is more interpretive than literal, and often less clear to a modern English reader than what is to be found in O’Brien’s translation. However, before delving into the original Greek of Plotinus, one would do well to familiarize oneself with the poetic lines of MacKenna. The Penguin edition, although unfortunately abridged, contains an excellent Introduction by John Dillon, as well as a fine article by Paul Henry, S. J., “The Place of Plotinus in the History of Thought.” Also included is MacKenna’s translation of Porphyry’s Life of Plotinus.
  • Plotinus, The Enneads, tr. A. H. Armstrong, including the Greek, in 7 volumes (Loeb Classical Library, Harvard-London: 1966-1968).
    • This is a readily available edition of Plotinus’ Greek text. Armstrong’s translation is quite literal, but for that reason, often less than helpful in rendering the subtleties of Plotinus’ thought. For the reader who is ready to tackle Plotinus’ difficult Greek, it is recommended that she make use of the Loeb edition in conjunction with the translations of O’Brien and MacKenna, relying only marginally on Armstrong for guidance.
  • Porphyry, Launching-Points to the Realm of Mind, tr. Kenneth Guthrie (Phanes Press: 1988). [A translation of Pros ta noeta aphorismoi]
    • This little introduction to Plotinus’ philosophy by his most famous student is highly interesting, and quite valuable for an understanding of Plotinus’ influence on later Platonists. However, as an accurate representation of Plotinus’ thought, this treatise falls short. Porphyry often develops his own unique interpretations and arguments under the guise of a commentary on Plotinus. But that is as it should be. The greatest student is often the most violently original interpreter of his master’s thought.
  • Frederick Copleston, S. J. A History of Philosophy: Volume 1, Greece and Rome, Part II (Image Books: 1962).
    • This history of philosophy is considered something of a classic in the field, and the section on Plotinus is well worth reading. However, Copleston’s analysis of Plotinus’ system represents the orthodox scholarly interpretation of Plotinus that has persisted up until the present day, with all its virtues and flaws. The account in the history book is no substitute for a careful study of Plotinus’ text, although it does provide useful pointers for the beginner.
  • Kathleen Freeman, Ancilla to the Pre-Socratic Philosophers (Harvard University Press: 1970).
    • This is a complete English translation of the Fragments in Diels, Fragmente der Vorsokratiker, the standard edition of the surviving fragments of the Pre-Socratic philosophers. The study of these fragments, especially Parmenides, Heraclitus, Empedocles, and Anaxagoras, provides an essential background for the study of Plotinus.
  • Jacques Derrida, Speech and Phenomena, tr. David B. Allison (Northwestern University Press: 1973).
    • The essay “Form and Meaning: A Note on the Phenomenology of Language,” in this edition, literally has Plotinus written all ‘oeuvre’ it.

To understand Plotinus in the fullest fashion, don’t forget to familiarize yourself with Plato’s Symposium, Phaedrus, Phaedo, the Republic, and the Letters (esp. II and VII), not to mention Aristotle, the Stoics and the Epicureans, the Hellenistic Astrologers, the Gnostics, the Hermetic Corpus, Philo and Origen.

Author Information

Edward Moore
Email: patristics@gmail.com
St. Elias School of Orthodox Theology
U. S. A.

Harold Henry Joachim (1868—1938)

Harold Henry Joachim (1868-1938) was a minor idealist philosopher working in the neo-Hegelian tradition that dominated British philosophy at the end of the nineteenth century. At the time, this tradition was divided into two main camps: personal idealism and absolute idealism. Joachim was affiliated with the latter camp, whose most prominent representative was F. H. Bradley. Although Joachim has frequently been characterized as a mere disciple and promulgator of Bradley’s views, there are instances in which Joachim parts ways with Bradley, showing himself to be an independent and original thinker. These instances will be highlighted below.

Apart from a series of extensive commentaries on individual works by Aristotle, Spinoza and Descartes and an important English translation of Aristotle’s De Generatione et Corruptione, Joachim’s most important work was The Nature of Truth (1906), in which he argued for a coherence theory of truth on the basis of his idealist metaphysics. Joachim’s theory and others like it became a principal foil for G.E. Moore and Bertrand Russell as they began to break with the neo-Hegelian (a.k.a British Idealist) tradition, and to move toward what eventually became Analytic Philosophy. This dynamic between the neo-Hegelian tradition and the emerging Analytic tradition will be illustrated below by considering Bertrand Russell’s criticisms of Joachim’s theory of truth.

Table of Contents

  1. Biography
  2. The Influence of F.H. Bradley
  3. Writings
  4. The Nature of Truth
  5. References and Further Reading
    1. Primary Sources
      1. Books
      2. Articles
    2. Secondary Sources

1. Biography

Harold Henry Joachim (1868-1938) was born in London on 28 May 1868, the son of Henry Joachim, a wool merchant, and his wife, Ellen Margaret (née Smart). Joachim’s father had come to England from Hungary as a child. Both sides of his family were musical—his uncle was the famous violinist, Joseph Joachim, and his maternal grandfather was the organist and composer, Henry Thomas Smart—and Joachim himself was a talented violinist: talented enough to stand in occasionally for absent members of his uncle’s quartet. Early in life Joachim had thought of becoming a professional violinist, but he seems to have been too intimidated by his uncle’s reputation. As a don at Oxford, however, he played frequently, organized his own amateur quartet, and was president of the University Musical Club. Musical examples and analogies appear frequently in his philosophical writings.

Joachim was educated at Harrow School and at Balliol College, Oxford, where he studied with the neo-Hegelian philosopher, R.L. Nettleship. He gained a first in classical moderations in 1888 and in literae humaniores in 1890. In 1890 he was elected to a prize fellowship at Merton College. He lectured in moral philosophy at St. Andrews University from 1892 to 1894, returned to Balliol as a lecturer in 1894, and in 1897 became a fellow and tutor in philosophy at Merton. In 1919 he moved to New College in consequence of his appointment to the Wykeham professorship of logic, a position he held until his retirement in 1935. In 1907 he married his first cousin, Elisabeth Anna Marie Charlotte Joachim, the daughter of his famous uncle. They had two daughters and one son. Brand Blanshard, who was one of his students, described him as ‘a slender man with a mat of curly reddish hair, thick-lensed glasses, a diffident manner, and a gentle, almost deferential way of speaking’ (Blanshard, 1980, p. 19). Joachim was elected fellow of the British Academy in 1922. He died at Croyde, Devon on 30 July 1938.

2. The Influence of F.H. Bradley

Joachim was a minor philosopher working within the neo-Hegelian idealist movement which dominated British philosophy at the end of the nineteenth century (cf. the article on Analytic Philosophy, section 1). Joachim’s contributions to neo-Hegelianism came late in the day, when the movement was already in decline, and this has meant that, although his work (especially the work he did before the First World War) was taken seriously when it appeared, it did not have the lasting significance that its initial reception suggested.

In Joachim’s day, Neo-Hegelianism was divided into two broad camps: the personal idealists, like J.M.E. McTaggart, who held that reality consisted of a multiplicity of inter-related individual spirits; and the absolute idealists, led by F.H. Bradley, who held that it consisted of a single, relationless, spiritual entity, the Absolute. Joachim belonged firmly in the absolutist camp.

There is no doubt that the strongest philosophical influence on Joachim was F.H. Bradley. T.S. Eliot, one of Joachim’s students, wrote that Joachim was ‘the disciple of Bradley who was closest to the master’ (Eliot, 1964, p. 9) and this seems to have been a widely held opinion. There is, indeed, a degree of truth in this, but it should not be exaggerated. Bradley and Joachim had a long professional association: Joachim’s most productive years as a philosopher were spent at Bradley’s college, Merton, where they had neighbouring rooms. (G.R.G. Mure (1961), reported that Joachim would shut the windows when Mure started to criticize Bradley, lest the great man hear.) Nonetheless, there does not seem to have been a close personal relationship between the two philosophers, for Joachim was diffident and Bradley was overbearing. Since Bradley did no teaching, students who went to Oxford to learn Bradley’s philosophy usually ended up learning it from Joachim (who probably did a better job of teaching it than Bradley would have done, for Joachim was, by all accounts, an able teacher). After Bradley’s death, it was Joachim who edited Bradley’s Collected Essays and who was responsible for completing Bradley’s famous final essay on relations which was included in that collection. A number of letters from Bradley to Joachim have been preserved, but only one from Joachim to Bradley (Bradley 1999).

Joachim’s reputation as Bradley’s closest acolyte was a mixed blessing. On the one hand, so long as Bradley remained a force to be reckoned with in philosophy, it ensured that Joachim’s work received careful attention; but once Bradley became a figure of mainly historical interest, Joachim’s own contributions to philosophy were largely forgotten.

While there is no denying Bradley’s influence on Joachim, it should not be thought that Joachim’s own philosophical writings were merely elaborations of Bradley’s position. In particular, the widely held view that Joachim’s most important original work, The Nature of Truth (1906), was an elucidation (or at most an extension) of Bradley’s views on truth, is a mistake, and one which has led to decades of misunderstanding about the theory of truth that Bradley actually held. Joachim’s theory is plainly one that is tenable only within a broadly Bradleian metaphysics, and at the time Joachim wrote no other such theory had been elaborated in detail. Nonetheless, Joachim himself was far too careful a commentator to suggest that the coherence theory of truth he put forward in The Nature of Truth was actually held by Bradley. Moreover, when Bradley himself started writing about truth (at about the time Joachim’s book was published), he made hardly any reference to Joachim. His collection of papers on the topic, Essays on Truth and Reality, contain exactly one reference to Joachim: he says merely that Joachim’s book is ‘interesting’ and that Joachim ‘did … well to discuss once more that view [which both of them rejected] for which truth consists in copying reality’ (Bradley, 1914, p.107). This is surely a case of damning by faint praise. And it is not insignificant that Joachim’s work on Bradley’s Nachlass (his posthumously published collected papers) mentioned above was assigned to him not by Bradley himself, but by Bradley’s sister, who was his literary executor. Thus there is no indication that Bradley thought his mantle should be passed to Joachim.

And there is at least one important respect in which Joachim would have wanted to disown Bradley’s mantle. Right at the end of his posthumously published Logical Studies he ventures a fundamental criticism of Bradley’s metaphysics for not being Hegelian enough. Bradley’s Appearance and Reality ends, famously, with a chapter called ‘Ultimate Doubts’. The title might seem ironical for a chapter in which he says that ‘our conclusion is certain, and … to doubt it logically is impossible’ (Bradley 1893, p. 459), but there is one respect in which the doubt is real. While Bradley maintains that he has proven that the Absolute is a perfect system in which ‘every possible suggestion’ has its logically ordained place, yet this ‘intellectual ideal’ is impossible for us to grasp: ‘The universe in its diversity has been seen to be inexplicable…. Our system throughout its detail is incomplete’ (ibid., p. 458). In this respect, Joachim maintains, Bradley’s Absolute differs from Hegel’s, and Hegel’s is much to be preferred (Joachim 1948, pp. 284-92). In this, Joachim sides with the many neo-Hegelian critics of Bradley who objected to his generally sceptical conclusions: indeed, Bradley himself described his book as ‘a sceptical study of first principles’ (Bradley 1893, p. xii). Such scepticism was not for Joachim, though there is nothing in his entire corpus which indicates how the Absolute might, in detail, be made explicable.

3. Writings

A complete list of Joachim’s philosophical publications appears at the end of this article. Here we will survey his most significant writings.

Joachim’s most important original work in philosophy was The Nature of Truth (1906), a defence of the coherence theory of truth. Truth was also the topic of three of the six papers he published in Mind. Joachim’s views on truth will be the subject of the next section, we will forego further commentary on them here.

Apart from his work on truth, almost all his other work consisted of scholarly studies of particular works of ancient or early modern philosophers. His first book was an important commentary on Spinoza’s Ethics (1901), and he followed this with two translations and commentaries (De Lineis Insecabilibus and De Generatione et Corruptione) for W.D.Ross’s edition of Aristotle’s works in English (1908, 1922). These Aristotle translations were probably his most enduring work. His translation of De Generatione et Corruptione remains in print, having been reprinted as recently as 1999, and it was for many years the standard translation, being superseded only in 1982 by C.J.F. Williams’ translation in the Clarendon Aristotle Series.

The only other works he published in his lifetime were three papers (two on scholarly points in ancient philosophy), his inaugural lecture as Wykeham professor (a work scathingly reviewed by Russell, 1920), a book review, and a letter to the editor of Mind.

Considerably more work appeared after his death than he had published in his lifetime. The posthumous works were based upon the meticulously written out lecture courses he had given at Oxford over many years. With one exception, Logical Studies (1948), the posthumous volumes were all scholarly studies of specific works of other philosophers: a commentary on Spinoza’s Tractatus de Intellectus Emendatione (1940), a study of Aristotle’s Nicomachean Ethics (1951), and a study of Descartes’ Rules for the Direction of the Mind (1957). In these commentaries, Joachim was concerned primarily with an exact explication de texte, and they are renowned for their meticulous attention to detail. Stuart Hampshire (1951, pp. 9-10) said that Joachim had written two of the three ‘most careful studies of Spinoza in English’. The carefulness of their exposition makes them well-worth reading even today, though the philosophical language in which they are couched and the philosophical presuppositions underlying it belong to the largely forgotten era of late nineteenth-century idealism. While they remain valuable commentaries, their neo-Hegelian ambiance can be intrusive: there are occasions where Joachim seems to suggest that if Spinoza had been a better metaphysician he would have been Bradley.

There is no doubt that Joachim found the close reading of classic philosophical texts especially congenial. He seems to have started the practice as an undergraduate under the guidance of J.A. Smith at Balliol. His relationship with Smith was close: starting in the 1890s, they frequently worked together on the interpretation of Greek philosophical texts and from 1923 to 1935 they gave a class each week during term devoted to the reading of selected texts from Aristotle (Joseph, 1938, pp. 417-20). During the vacations, Joachim prepared for these classes with extraordinary thoroughness. Smith recalled that he was often prepared to suggest improvements to the text, especially as regards punctuation. Indeed, T.S. Eliot (1938) credited his understanding of the importance of punctuation to Joachim’s exposition of the Posterior Analytics. Rather more surprising, Eliot also said that Joachim taught that ‘one should avoid metaphor wherever a plain statement can be found’. This is surprising because Joachim’s own works, like Bradley’s, are replete with metaphors, often in places where a plain statement is imperatively demanded. Indeed, his style seems to me a serious weakness, especially in his original philosophical work. Where argument is called for, he has a tendency to rhapsodize instead.

As mentioned above, only one of Joachim’s posthumous books was a work of original philosophy. This was his Logical Studies (1948), edited by L.J. Beck from the fully written-out lectures Joachim delivered as Wykeham professor from 1927 to 1935. Although Beck in the Preface reports Joachim’s opinion that these are ‘the fullest written expression of his own philosophical opinion’, they are, frankly, disappointing. It is indeed astonishing that material like this should have been taught as logic at a major university as late as the 1930s. Although it was no doubt inevitable that the major advances in formal logic of the previous fifty years would not have featured in the lectures of Oxford’s professor of logic, it is notable that he did not cover any of the main topics of traditional logic either – topics like induction and deduction, names, propositions, inference, and modality; the sort of material to be found in W.E. Johnson’s Logic, which came out about the time Joachim took up his chair. The material Joachim covers is much more concerned with metaphysics and epistemology than with logic.

The work contains three studies. The first deals with the question ‘What is Logic?’ After a long discussion, Joachim concludes that it is ‘the Synthetic-Analysis or Analytic-Synthesis of Knowledge-or-Truth’ (1948, p. 43). It is impossible to make adequate sense of this cumbersome phrase without an extended discussion of the metaphysics of Absolute Idealism, but such a discussion falls beyond the scope of this article (see the articles on Analytic Philosophy and G.E. Moore for brief descriptions of the metaphysics of Idealism). Suffice it to say that, by ‘Synthetic-Analysis or Analytic-Synthesis’, Joachim meant a certain kind of mental activity that was simultaneously analytic and synthetic:

… it brings out, makes distinct, the items of a detail by bringing out and making distinct the modes of their connexion, the structural unity (plan) of that whole, of which they are the detail; in a word, so far as it is a two-edged discursus, analysing by synthesizing and synthesizing by analysing. (p. 38)

and that, by ‘Knowledge-or-Truth’, he meant reality and mind considered together as an internally-related whole:

It is truth … in the sense of reality disclosing itself and disclosed to mind – to any and every mind; and, being truth, it is also and eo ipso knowledge – i.e. the whole theoretical movement, the entirety of cognizant activities, wherein the mind (any and every mind qua intelligent) fulfils and expresses itself by co-operating with, and participating in, the disclosure. (p. 55)

Any greater clarity on these matters is, as already stated, impossible to achieve without a protracted discussion of Idealist metaphysics; but even with such a discussion there remain questions about the ultimate cogency of these views.

The second (and longest) study is an attack on the distinction between immediate and mediate (or, as Joachim puts it, discursive) knowledge. The bulk of the study is taken up with an attack on the notion of the given (a datum), whether derived from introspection, sense-experience or conceptual intuition, on which immediate knowledge could be founded. The final study concerns truth and falsehood, and reprises the views he set forth in The Nature of Truth. Joachim’s views on truth as presented in both of these texts will be considered in the next section.

4. The Nature of Truth

By far, Joachim’s most important contribution to philosophy was his book The Nature of Truth (1906), in which he defends a coherence theory of truth. Even so, nowadays the book is probably best known for having provoked a long response from Bertrand Russell (Russell, 1907), in which Russell set forth most of what have become the standard arguments against coherence theories of truth.

Joachim’s book had four chapters: the first was a critique of the correspondence theory of truth; the second a critique of Russell’s and Moore’s early identity theory of truth ‘as a quality of independent entities’ (see the article on G.E. Moore, section 2b); the third put forward Joachim’s own coherence theory; and the fourth dealt with the problem of error. The third part of Joachim’s Logical Studies dealt with essentially the same material in the same order, but from a slightly different point of view.

In Logical Studies Joachim approached the topic through an investigation of the nature of judgements (or propositions) as the bearers of the predicates ‘true’ and ‘false’. He first rejects, on grounds drawn mainly from the first chapter of Bradley’s Principles of Logic, the view that a proposition is a mental fact which represents an external reality (this is the sort of view that gives rise to the correspondence theory of truth). Bradley’s argument, which Joachim repeats, was that beliefs, considered purely naturalistically as mental states, could not be considered to represent or be about anything outside themselves, any more than any other natural state could.

Secondly, he attacks the view that a proposition is an objective, mind-independent complex—the view which underlies the Russell-Moore identity theory. Against the Russell-Moore view, he has two objections: first, that the theory can give no account of how the mind can access the proposition; second, that the theory is forced to postulate false propositions as having the same mind-independent complexity as true ones. There is an interesting shift of emphasis here from his treatment in The Nature of Truth. In that earlier work, Joachim emphasized the first objection and based it firmly in his neo-Hegelian doctrine of internal relations—for which he was roundly criticized by Russell (1907; see below). In Logical Studies, the doctrine of internal relations is more or less ignored, and Joachim concentrates on the strangeness of Russell’s and Moore’s propositions, especially the strangeness of false propositions.

The third view, which Joachim endorses, is the idealist view in which the judgement is, to put it entirely in his own words, ‘the ideal expansion of a fact – its self-development in the medium of the discursus which is thought, and therefore through the co-operative activity of a judging mind’. A judgement is true ‘because, and in so far as, it stands or falls with a whole system of judgements which stand or fall with it’ (Joachim, 1948, p. 262).

This account, though lacking a good deal in precision, is actually clearer than that given in The Nature of Truth, where readers are bewildered by a variety of different accounts, and are left to work out for themselves how these might be regarded as descriptions of a single concept of truth rather than of several different concepts. It is worth quoting a few of Joachim’s differing statements from The Nature of Truth, since it will give a taste of the exegetic difficulties involved in his work. In one place he says that anything is true which is ‘a “significant whole”, or a whole possessed of meaning for thought’ (Joachim 1906, p. 66). Later he says that truth is a ‘process of self-fulfilment’ and ‘a living and moving whole’ (ibid., p. 77). Again later he says that it is ‘the systematic coherence which characterizes a significant whole’ and ‘an ideally complete experience’ (ibid., p. 78).

All of this is considerably less helpful than it might be, though it does serve to introduce what can be taken as the central notion of Joachim’s theory, that of a ‘significant whole’. Unfortunately, Joachim gives two different accounts of even that central notion: on pages 76 and 78 it is ‘an organized individual experience, self-fulfilling and self-fulfilled’; on p. 66, however, ‘A “significant whole” is such that all its constituent elements reciprocally involve one another, or reciprocally determine one another’s being as contributory features in a single concrete meaning.’

This latter account is clearer and more helpful in understanding his actual view. The idea that all the elements of a significant whole ‘reciprocally involve’ one another amounts to the claim that the intrinsic properties of each part determine the intrinsic properties of all the others. It is the intrinsic properties of each element that are determined because Joachim, in common with other neo-Hegelians, subscribes to a doctrine of internal relations, according to which relations are grounded in the intrinsic properties (or ‘natures’, to use Joachim’s word) of their terms. So the relations of the various parts are determined once the intrinsic properties are.

Bertrand Russell, in his critique of Joachim’s theory, argues that Joachim’s version of the coherence theory of truth entails and is entailed by the doctrine of internal relations:

It follows at once from [the doctrine of internal relations] that the whole of reality or of truth must be a significant whole in Mr. Joachim’s sense. For each part will have a nature which exhibits its relations to every other part and to the whole; hence, if the nature of any one part were completely known, the nature of the whole and of every other part would also be completely known; while conversely, if the nature of the whole were completely known, that would involve knowledge of its relations to each part, and therefore of the relations of each part to each other part, and therefore of the nature of each part. It is also evident that, if reality or truth is a significant whole in Mr. Joachim’s sense, the axiom of internal relations must be true. Hence the axiom is equivalent to the monist theory of truth. (Russell 1907, p. 140)

Russell’s argument is swift, but, when unpacked fully, can be shown to be valid (see Griffin 2008). Russell, of course, rejects the doctrine of internal relations, which he goes on to criticize at length, but he also has several other criticisms to make of the theory which are independent of the theory of relations.

One serious problem faced by all coherence theories of truth is that of eliminating the possibility of there being two distinct significant wholes, i.e., two competing, but equally coherent, systems of propositions, for then the theory would entail that there were two incompatible sets of truths. Joachim tries to avoid this by requiring that a significant whole which constitutes truth must have ‘absolutely self-contained significance’ (Joachim 1906, p. 78); he maintains that there can be only one such significant whole, the Absolute itself.

It is hardly certain that this follows, but, even if it does, the result is still problematic. If the Absolute is the only significant whole, then only what is part of the Absolute can be true. Now, as we have seen, Joachim (at least in his late work) rejects the ineffability with which Bradley shrouded the Absolute. And yet he also rejects the possibility that the significant wholes into which we compose our actual beliefs ever coincide exactly with the Absolute. It follows then—and Joachim accepts the implication—that all our actual beliefs are false. But he holds also that they are all, also, to some degree true, since each to some degree coheres with the others. This ‘degrees of truth’ doctrine is the expected, if somewhat counter-intuitive, consequence of a coherence theory of truth: since coherence comes in degrees, so, too, must truth (Joachim, 1948, pp. 262-3). It seems, then, that all our beliefs are more or less true, according as they form significant wholes which come more or less close to coinciding with the Absolute. This is certainly an intelligible view, but ultimately it does not look like a coherence theory: truth simpliciter consists in the coincidence of belief with the Absolute, and ‘coincidence’ here looks very much like another name for correspondence; coherence is merely a measure of verisimilitude, the degree to which beliefs approach coincidence with the Absolute.

Nor is it a theory which would have Bradley’s acceptance, for Bradley’s argument for the claim that it is logically impossible to doubt his account of the Absolute, rests on the claim that any idea ‘which seems hostile to our scheme … [is] an element which really is contained within it’ (Bradley, 1893, p. 460), that the Absolute contains every possible ‘idea’. But if this is the case, then, on Joachim’s theory of truth, either all beliefs are absolutely true or else the Absolute is not absolutely coherent.

Joachim is thus faced with two problems: (i) the problem of accounting for error in a theory in which every belief is to some degree true; and (ii) the problem (as Joachim puts it, 1948, pp. 266-9) of deciding whether, given that the Absolute must be absolutely coherent, our beliefs are true because they are stages in an unending dialectical movement towards the Absolute or because they are part of the timelessly complete Absolute itself.

Joachim’s response to (i), in The Nature of Truth, is to claim that error consists in ‘an insistent belief in the completeness of my partial knowledge’ (1906, p. 144): ‘[t]he erring subject’s confident belief in the truth of his knowledge distinctively characterizes error, and converts a partial truth into falsity’ (ibid., p. 162). This is hardly satisfactory. Russell’s rebuttal is too brief and too amusing not to quote:

Now this view has one great merit, namely, that it makes error consist wholly and solely in rejection of the monistic theory of truth. As long as this theory is accepted, no judgment is an error; as soon as it is rejected, every judgment is an error…. If I affirm, with a ‘confident belief in the truth of my knowledge’, that Bishop Stubbs used to wear episcopal gaiters, that is an error; if a monistic philosopher, remembering that all finite truth is only partially true, affirms that Bishop Stubbs was hanged for murder, that is not an error. (Russell 1907, p. 135)

As regards (ii), in The Nature of Truth Joachim finds the problem insoluble: ‘We must be able to conceive the one significant whole, whose coherence is perfect truth, as a self-fulfilment, in which the finite, temporal, and contingent aspect receives its full recognition and its full solution as the manifestation of the timeless and complete’ (1906, p. 169). But ‘the demands just made cannot be completely satisfied by any metaphysical theory’ and we must recognize ‘that certain demands both must be and cannot be completely satisfied’ (p. 171). Moreover, as he goes on to point out, since the coherence theory cannot satisfy these demands, it cannot itself be coherent, and thus cannot be true (p. 176). This is a somewhat surprising end to his discussion.

In Logical Studies he is slightly, but only slightly, more sanguine. There, as we have seen, he appeals, over Bradley’s head, to the Hegelian dialectic to reconcile the timeless ideal with the temporal approximation. But how this effect is achieved he doesn’t say.

5. References and Further Reading

a. Primary Sources

The following list includes all Joachim’s philosophical writings.

i. Books

  • A Study of the Ethics of Spinoza (Oxford: Clarendon Press, 1901).
  • The Nature of Truth (Oxford: Clarendon Press, 1906).
  • De Lineis Insecabilibus (translation, with full footnotes) in The Works of Aristotle, ed. by W.D. Ross, vol. 6 (Oxford: Clarendon Press, 1908.
  • Immediate Experience and Mediation. Inaugural Lecture. (Oxford: Oxford University Press, 1919).
  • De Generatione et Corruptione. (translation, with a few footnotes.) in The Works of Aristotle, ed. by W.D. Ross, vol. 2 (Oxford: Clarendon Press, 1922).
  • Aristotle on Coming-to-be and Passing-away. A revised text of the De Generatione et Corruptione with introduction and commentary. (Oxford: Clarendon Press, 1922).
  • Spinoza’s Tractatus De Intellectus Emendatione: A Commentary (Oxford: Clarendon Press, 1940).
  • Logical Studies, ed. by L.J. Beck (Oxford: Clarendon Press, 1948).
  • Aristotle: The Nicomachean Ethics. A Commentary, ed. by D.A. Rees (Oxford: Clarendon Press, 1951).
  • Descartes’ Rules for the Direction of the Mind, ed. by Errol Harris (London: Allen and Unwin, 1957).

ii. Articles

  • 1903. ‘Aristotle’s Conception of Chemical Combination’, The Journal of Philology, vol. 29, pp. 72-86.
  • 1905. ‘“Absolute” and “Relative” Truth’, Mind, vol. 14, n.s., pp. 1-14.
  • 1907. Review of Dr. S.R.T. Ross’s edition of Aristotle’s De Sensu et Memoria. (Text and Translation, with Introduction and Commentary: Cambridge University Press, 1906.) Mind, vol. 16, n.s., pp. 266-71.
  • 1907. ‘A Reply to Mr. Moore’, Mind, vol. 16, n.s., pp. 410-15.
  • 1909. ‘Psychical Process’, Mind, vol. 18, n.s., pp. 65-83.
  • 1911. ‘The Platonic Distinction between “True” and “False” Pleasures and Pains’, Philosophical Review, vol. 20, pp. 471-97.
  • 1914. ‘Some Preliminary Considerations on Self-Identity’, Mind, vol. 23, n.s., pp. 41-59.
  • 1919. ‘The “Correspondence-Notion” of Truth’, Mind, vol. 27, n.s., pp. 330-5.
  • 1920. ‘The Meaning of “Meaning”’ (Symposium), Mind, vol. 29, n.s., pp. 385-414.
  • 1927. ‘The Attempt to conceive the Absolute as a Spiritual Life’, The Journal of Philosophical Studies, vol. 2, pp. 137-52.
  • 1931. ‘“Concrete” and “Abstract” Identity’ (Letter), Mind, vol. 40, n.s., p. 533.

b. Secondary Sources

  • Blanshard, Brand (1980), ‘Autobiography’, in P.A. Schilpp (ed.), The Philosophy of Brand Blanshard (Chicago: Open Court), pp. 2-185.
  • Bradley, F.H. 1893, Appearance and Reality. A Metaphysical Essay (Oxford: Oxford University Press; 2nd edn., 9th impression, 1930).
    • The work which most strongly influenced Joachim’s philosophy.
  • Bradley, F.H. (1914), Essays on Truth and Reality (Oxford: Clarendon Press).
  • Bradley, F.H. (1999) The Collected Works of F.H. Bradley, vols. 4 and 5, ed. by Carol A. Keene (Bristol: Thoemmes)
  • Contains Bradley’s letters to Joachim, but only one of Joachim’s to Bradley.
  • Connelly, James and Rabin, Paul (1996), ‘The Correspondence between Bertrand Russell and Harold Joachim’, Bradley Studies, 2, pp. 131-60.
    • Transcribes most of the extant correspondence between Joachim and Russell; most of it connected with the theory of truth.
  • Eliot, T.S. (1938), ‘Prof. H.H. Joachim’ The Times, 4 August 1938.
  • Eliot, T.S. (1964), ‘Preface’ to Eliot, Knowledge and Experience in the Philosophy of F.H. Bradley, (New York: Farrar, Straus).
    • This was Eliot’s Harvard doctoral dissertation completed in 1916 and written under Joachim’s supervision.
  • Eliot, T.S. (1988) The Letters of T.S. Eliot, vol. 1, 1898-1922, edited by Valerie Eliot (New York: Harcourt Brace Jovanovich).
    • Eliot’s letters from Oxford, especially to his former Harvard professor, J.H. Woods, contain much information about Joachim’s classes.
  • Griffin, Nicholas 2008, ‘Bertrand Russell and Harold Joachim’, Russell: The Journal of Bertrand Russell Studies, n.s. 27, pp.
    • A survey, biographical and philosophical, of Joachim’s relations with Russell, his most persistent critic.
  • Hampshire, Stuart (1951), Spinoza (Harmsworth: Penguin).
  • Joseph, H.W.B. (1938), ‘Harold Henry Joachim, 1868-1938’, Proceedings of the British Academy, 24 (1938), pp. 396-422.
    • The best published source for biographical information about Joachim.
  • Khatchadourian, Haig 1961, The Coherence Theory of Truth: A Critical Examination (Beirut: American University)
    • A careful critique of a number of coherence theories of truth, including Joachim’s.
  • Moore, G.E. (1907), ‘Mr. Joachim’s Nature of Truth’, Mind, n.s. 16 (1907), pp. 229-35.
    • Reply to The Nature of Truth.
  • Mure, G.R.G. (1961) ‘F.H. Bradley – Towards a Portrait’, Encounter, 16: pp. 28-35.
  • Mure, G.R.G. and Schofield, M.J. (2004), ‘Joachim, Harold Henry (1868-1938)’, Oxford Dictionary of National Biography (Oxford University Press).
  • Rabin, Paul (1997), ‘Harold Henry Joachim (1868-1938)’, presented at the Anglo-Idealism Conference, Oxford, July 1997.
    • A good compilation of biographical information about Joachim from various sources; unfortunately never published.
  • Russell, Bertrand (1906), ‘What is Truth?’, The Independent Review (June, 1906), pp. 349-53.
    • Review of Joachim’s The Nature of Truth.
  • Russell, Bertrand (1906a), ‘The Nature of Truth’, Mind, 15 (1906), pp. 528-33.
    • Reply to Joachim’s criticisms of Russell’s early identity theory of truth.
  • Russell, Bertrand, (1907) ‘The Monistic Theory of Truth’ in Russell’s Philosophical Essays (New York: Simon and Schuster, 1968; 1st edn. 1910), pp. 131-46.
    • The most important critique of Joachim’s coherence theory of truth.
  • Russell, Bertrand (1920), ‘The Wisdom of our Ancestors’, The Collected Papers of Bertrand Russell, vol. 9, Essays on Language, Mind and Matter, 1919-26, edited by John G. Slater (London: Unwin Hyman, 1988), pp. 403-6.
    • Review of Joachim’s inaugural lecture.
  • Vander Veer, Garrett L. 1970, Bradley’s Metaphysics and the Self (New Haven: Yale University Press), pp. 81-90.
    • An unusual discussion of Joachim as a critic of Bradley, based on the final pages of Logical Studies.
  • Walker, Ralph (2000), ‘Joachim on the Nature of Truth’ in W.J. Mander (ed.), Anglo-American Idealism, 1865-1927 (Westport, Ct.: Greenwood Press, 2000), pp. 183-97.
    • One of the few recent articles on Joachim’s coherence theory of truth.

Author Information

Nicholas Griffin
Email: ngriffin@mcmaster.ca
McMaster University
Canada

Internalism and Externalism in Epistemology

The internalism-externalism (I-E) debate lies near the center of contemporary discussion about epistemology. The basic idea of internalism is that justification is solely determined by factors that are internal to a person. Externalists deny this, asserting that justification depends on additional factors that are external to a person. A significant aspect of the I-E debate involves setting out exactly what counts as internal to a person.

The rise of the I-E debate coincides with the rebirth of epistemology after Edmund Gettier’s famous 1963 paper, “Is Justified True Belief Knowledge?” In that paper, Gettier presented several cases to show that knowledge is not identical to justified true belief. Cases of this type are referred to as “Gettier cases,” and they illustrate “the Gettier problem.” Standard Gettier cases show that one can have internally adequate justification without knowledge. The introduction of the Gettier problem to epistemology required rethinking the connection between true belief and knowledge, and the subsequent discussion generated what became the I-E debate over the nature of justification in an account of knowledge. Internalists maintained that knowledge requires justification and that the nature of this justification is completely determined by a subject’s internal states or reasons. Externalists denied at least one of these commitments: either knowledge does not require justification or the nature of justification is not completely determined by internal factors alone. On the latter view, externalists maintained that the facts that determine a belief’s justification include external facts such as whether the belief is caused by the state of affairs that makes the belief true, whether the belief is counterfactually dependent on the states of affairs that makes it true, whether the belief is produced by a reliable belief-producing process, or whether the belief is objectively likely to be true. The I-E discussion engages a wide range of epistemological issues involving the nature of rationality, the ethics of belief, and skepticism.

Table of Contents

  1. The Logic of the I-E Debate
    1. Knowledge and Justification
    2. Justification and Well-foundedness
    3. The Meaning of ‘Internal’
    4. Taking Stock
  2. Reasons for Internalism
    1. The Socratic/Cartesian project
    2. Deontology (The Ethics of Belief)
    3. Natural Judgment about Cases
      1. BonJour’s Norman case
      2. The New Evil Demon Problem
  3. Reasons for Externalism
    1. The Truth Connection
    2. Grandma, Timmy and Lassie
    3. The Scandal of Skepticism
  4. The Significance of the I-E Debate
    1. Disagreement over the Significance of the Thermometer Model
    2. Disagreement over the Guiding Conception of Justification
    3. Disagreement over Naturalism in Epistemology
  5. Conclusion
  6. References and Further Reading

1. The Logic of the I-E Debate

The simple conception of the I-E debate as a dispute over whether the facts that determine justification are all internal to a person is complicated by several factors. First, some epistemologists understand externalism as a view that knowledge does not require justification while others think it should be understood as an externalist view of justification. Second, there is an important distinction between having good reasons for one’s belief (that is, propositional justification) and basing one’s belief on the good reasons one possesses (that is, doxastic justification). This distinction matters to the nature of the internalist thesis and consequently the I-E debate itself. Third, there are two different and prominent ways of understanding what is internal to a person. This bears on the nature of the internalist thesis and externalist arguments against internalism. This section explores these complications.

a. Knowledge and Justification

The traditional analysis of knowledge is that knowledge is justified true belief. As Socrates avers in the Meno, knowledge is more than true belief. Superstitious beliefs that just turn out to be true are not instances of knowledge. In the Theatetus Socrates proposes that knowledge is true belief tied down by an account. Socrates’ proposal is the beginning of what epistemologists refer to as the justified true belief (JTB) account of knowledge. A true belief tied down by an account can be understood as a true belief for which one has adequate reasons. On the JTB account having adequate reasons turns a true belief into knowledge.

The JTB account was demolished by Gettier’s famous 1963 article. As explained in the introduction Gettier cases demonstrate that knowledge is more than justified true belief. Suppose that Smith possesses a good deal of evidence for the belief that someone in his office owns a Ford. Smith’s evidence includes such things as that Smith sees Jones drive a Ford to work every day and that Jones talks about the joys of owning a Ford. It turns out, however, that (unbeknownst to Smith) Jones is deceiving his coworkers into believing he owns a Ford. At the same time, though, someone else in Smith’s office, Brown, does own a Ford. So, Smith’s belief that someone in his office owns a Ford is both justified and true. Yet it seems to most people that Smith’s belief is not an instance of knowledge.

The Gettier problem led epistemologists to rethink the connection between knowledge and true belief. An externalist position developed that focused on causal relations or, more generally, dependency relations between one’s belief and the facts as providing the key to turning true belief into knowledge (see Armstrong 1973). It is unclear from this move alone whether externalism should be understood as the view knowledge does not require justification or that justification should be understood externally. Some externalists advocate the view that knowledge doesn’t require justification but that nonetheless justification is epistemically important (see Sosa 1991b). Other externalists hold that knowledge does require justification but that the nature of the justification is amenable to an externalist analysis (see Bergmann 2006).

A significant aspect of the issue of how one should understand externalism is whether the term ‘justification’ is a term of logic or merely a place-holder for a necessary condition for knowledge. If ‘justification’ is a term of logic then it invokes notions of consistency, inconsistency, implication, and coherence. On this conception of justification an externalist analysis of the nature of justification is implausible. However, if ‘justification’ is merely a place-holder for a condition in an account of knowledge then the nature of justification might be amenable to an externalist analysis. Externalists have defended both views. Some argue that ‘justification’ is a term of logic and so their position is best understood as the view that justification is not required for knowledge. However, other externalists have argued that ‘justification’ is not a term of logic but a term that occurs in connection with knowledge talk and so is amenable to an externalist account. Many internalists, by contrast, claim that justification is necessary for knowledge and that the notion of justification may be (partially) explicated by the concepts of consistency, implication, and coherence.

b. Justification and Well-foundedness

There is a significant difference between merely having good reasons for one’s belief that the Bears will win the Super Bowl and basing one’s belief on those reasons. Mike Ditka may have excellent reasons for believing the Bears will win; they have a superior defense and an excellent running back. Nevertheless Ditka may believe that the Bears will win based on wishful thinking. In this case it’s natural to make a distinction in one’s epistemic evaluation of Ditka’s belief. Ditka’s belief is justified because he has good reasons for it. But Ditka’s believing the claim as he does is not justified because he bases his belief on wishful thinking and not the good reasons he has. This marks the distinction between propositional and doxastic justification. Other epistemologists refer to the same distinction as that between justification and well-foundedness (see Conee & Feldman 2004).

This leads to a second area of complication in the I-E debate. Internalists claim that every condition that determines a belief’s justification is internal, but causal relations are typically not internal. Since basing one’s belief on reasons is a causal relation between one’s belief and one’s reasons, internalists should not claim that every factor that determines doxastic justification is internal (see 1c below for further discussion of this). Accordingly, internalism should be understood as a view about propositional justification. Moreover, given that one cannot know unless one bases one’s belief on good reasons this implies that internalists will understand the justification condition in an account of knowledge as composed of two parts: propositional justification and some causal condition (typically referred to as “the basing relation”). This considerably complicates the I-E debate because there’s not a straightforward disagreement between internalist and externalist views of doxastic justification, since externalists typically avoid dissecting the justification condition. Common forms of externalism build in a causal requirement to justification, for example, one’s belief that p is produced by a reliable method. Nevertheless it is important to get the nature of the internalist thesis straight and only then determine the nature of the externalist objections.

c. The Meaning of ‘Internal’

The distinction between propositional and doxastic justification allows us to bring into focus different notions of internal states. Internalism is best understood as the thesis that propositional justification, not doxastic justification, is completely determined by one’s internal states. But what are one’s internal states? One’s internal states could be one’s bodily states, one’s brain states, one’s mental states (if these are different than brain states), or one’s reflectively accessible states. The two most common ways of understanding internalism has been to take internal states as either reflectively accessible states or mental states. The former view is known as accessibilism and it has been championed by Roderick Chisholm and Laurence BonJour (see also Matthias Steup (1999)). The latter view is known as mentalism and it has been defended by Richard Feldman and Earl Conee.

On an accessibilist view every factor that determines whether one’s belief is propositionally justified is reflectively accessible. Since the causal origins of one’s beliefs are not, in general, reflectively accessible they do not determine whether one’s belief is propositionally justified. But whether or not one’s belief that p and one’s belief that q are contradictory is reflectively accessible. Since contradictory beliefs cannot both be justified one can ascertain by reflection alone whether pairs of beliefs lack this devastating epistemic property.

One should note that the above claim that the causal origins of one’s beliefs are not, in general, reflectively accessible is an anti-Cartesian claim. Arguably, Descartes thought that one could always discover the causal origins of one’s beliefs. On the Cartesian view causal relations that hold between beliefs and experiences and beliefs are reflectively accessible. Many scholars, however, believe this view is false. Stemming from Freud’s work many now think that one does not have the kind of access Descartes thought one had to the causal origins of one’s beliefs. Given this an accessibilist view about doxastic justification—that is, propositional justification + the causal origins of one’s belief—is not feasible. Accessibilists should only require that every factor that determines whether one’s belief is propositionally justified is reflectively accessible.

There are varieties of accessibilist views depending on how one unpacks what states count as reflectively accessible. Are these states that one is able to reflectively access now or states that one may access given some time? If accessibilism is not restricted to current mental states then it needs to explain where the cut off is between states that count towards determining justificatory status and those that don’t count. Richard Feldman has a helpful article on this topic in which he defends the strong thesis that it is only one’s current mental states that determine justificatory status (Feldman 2004b).

Another dimension apropos accessibilism is whether the justificatory status of one’s belief needs to be accessible as well. If it does then one’s inability to determine whether or not one’s belief that p is justified demonstrates that p is not justified for one. BonJour (1985, chapter 2), for instance, is commonly cited as defending this strong kind of accessibilism. This strong version of accessibilism is often taken to be the purest form of internalism since internalism is not uncommonly associated with a commitment to higher-order principles such as one knows that p only if one knows that one knows that p. Robert Nozick (1981, p. 281) takes internalism to be the thesis that knowledge implies knowledge of all the preconditions of knowing.

The other prominent view of internal states is that they are mental states. This view is known as mentalism (see Conee & Feldman 2004b). Mentalism, like accessibilism, is a view about propositional justification, not doxastic justification. One’s mental states completely determine the justificatory status of one’s beliefs. Mentalism is connected to accessibilism since according to the Cartesian tradition one can determine which mental states one is in by reflection alone. To the extent that mentalism is distinct from accessibilism it allows that some non-reflectively accessible mental states can determine whether one’s belief is propositionally justified.

A defender of a mentalist view needs to explain which mental states determine justificatory status. Do all mental states—hopes, fears, longings—determine propositional justification or just some mental states, such as beliefs and experiences? Moreover, a defender of mentalism needs to clarify whether both current and non-current mental states can determine justificatory status. A non-current mental state is a mental state that you do not currently host. For instance, you believed a moment ago that 186 is greater than 86 but currently you are not thinking about this.

One of the advantages of mentalism is that it upholds a clear internalist thesis—justification is determined by one’s mental states—without appealing to the problematic notion of access. Many understand the notion of access to be a thinly disguised epistemic term (see, for instance, Fumerton (1995) p. 64). To have access to some fact is just to know whether or not that fact obtains. This is problematic for an accessibilist because he analyzes justification in terms of access and then use the notion of justification to partially explicate knowledge. In short, if ‘access’ is an epistemic term then any analysis of knowledge that rests upon facts about access will be circular. The mentalist escapes this problem. One’s mental states determine justification, and one does not explicate what one’s mental states are by appeal to the problematic notion of access. However, mentalism does face the objection that since it eschews the notion of access it is not a genuine form of internalism (see Bergmann 2006 for a further examination of this issue).

d. Taking Stock

Before we press on to other issues in the I-E debate let us take stock of what has been considered. Internalism is the view that all the factors that determine propositional justification are either reflectively accessible states (that is, accessibilism) or mental states (that is, mentalism). Internalists also hold that doxastic justification, which is propositional justification and a basing requirement, is necessary for knowledge. We can think of internalism as the view that all the factors that determine justification apart from a basing requirement are internal. Let us call these justification determining factors, minus the basing requirement, the J-factors. Externalists about justification deny that the J-factors are all internal. If, however, we view externalism merely as a negative thesis then we lose sight of its distinctly philosophical motivation. Externalists’ positive views are grounded in the intuition that the natural relations between one’s beliefs and the environment matter to a belief’s justification. If, for example, a subject’s belief that there is a tiger behind the tall grass is caused by the fact that there is a tiger there this fact seems significant to determining the justificatory status of that belief, even though this fact may not be reflectively accessible to one. At a certain level of generality, externalism is best viewed as stressing the justificatory significance of dependency relations between one’s belief and the environment.

2. Reasons for Internalism

This section examines prominent reasons for internalism. I will discuss three motivations for internalism: the appeal to the Socratic/Cartesian project; the appeal to deontology; and the appeal to natural judgment about cases. These three motivations are conspicuous in arguments for internalism. After giving each reason I shall consider externalist responses.

a. The Socratic/Cartesian project

One common strategy internalists employ is to emphasize that epistemic justification requires having good reasons for one’s beliefs. As both Socrates and Descartes stressed it’s not rational to believe p without possessing a good reason for believing p. Suppose I believe that the Telecom’s stock will drastically fall tomorrow. It’s reasonable to ask why I think that’s true. Clearly it’s wrong to repeat myself, saying “I believe that’s true because it is true.” So it seems I must have a reason, distinct from my original belief, for thinking that Telecom’s stock will fall. Also I cannot appeal to the causal origins of that belief or to the reliability of the specific belief process. Those sorts of facts are beyond my ken. Whatever I can appeal to will be something I am aware of. Moreover, I can’t merely appeal to another belief, for example, Karen told me that Telecom’s stock will fall. I need a good reason for thinking that Karen is good indicator about these sorts of things. Apart from that supporting belief it’s not rational to believe that Telecom’s stock will fall. So rationality requires good reasons that indicate a belief is true. The appeal to the Socratic/Cartesian project is a way to motivate the claim that it is a basic fact that rationality requires good reasons.

This requirement conflicts with externalism since externalism allows for the possibility that one’s belief is justified even though one has no reasons for that belief. To draw out this commitment let us expand on the above example. Suppose that my belief that Telecom’s stock will fall is based on my beliefs that Karen told me so and that Karen is a reliable indicator of these things. But not every belief of mine is supported by other beliefs I have. These kinds of beliefs are called basic beliefs, beliefs that are not supported by other beliefs. Consider your belief that there’s a cube on the table. What reason do you have for this belief? It might be difficult to say. Yet internalism requires that you have some reason (typically, the content of one’s experience) that supports this belief if that belief is rational. Externalists think that that is just too tall of an order. In fact one of the early motivations for externalism was to handle the justification of basic beliefs (see Armstrong 1973). In general, externalists think that basic beliefs can be justified merely by the belief meeting some external condition. One complication with this, though, is that some externalists think a basic belief require reasons but that reasons should be understood in an externalist fashion (see Alston (1988)). I shall ignore this complication because on Alston’s analysis justification depends on factors outside one’s ken. So, to the extent that one is moved by the internalist intuition, one will think that externalism falls. It allows for justification without good reasons. One should also note that this appeal to the Socratic/Cartesian project supports accessibilism.

A related argument used to support internalism appeals to the inadequacy of externalism to answer philosophical curiosity (see Fumerton 2006). If we take up the Socratic project, then we are interested in determining whether our most basic beliefs about reality are likely to be true. It seems entirely unsatisfactory to note that if one’s beliefs meet some specified external condition then the beliefs are justified; for the natural question is whether one’s belief has met that external condition. This suggests that to the extent that we are interested in whether our beliefs are epistemically justified internalism is the only game in town. Externalist Response One early externalist response was to note that internalists focus on conditions they use to determine justificatory status but that this is conceptually distinct from conditions that actually do determine justificatory status. An adequate definition of albinos may be entirely useless for finding actual albinos (see Armstrong 1973, p. 191). In a similar manner it’s at least conceptually possible that one’s analysis of the nature of justification is not a useful tool for determining whether or not one’s beliefs are justified. What this shows is that internalists need an additional argument from the fact that we can appeal to only internal factors to determine justification to the conclusion that only internal facts determine justification.

Another early response to this internalist tactic is to argue that internalism fails to meet its own demands. Alvin Goldman (1980) presents an argument of this kind, claiming that there is no definite and acceptable set of internalistic conditions that determine what cognitive attitude a subject should have given her evidence. Goldman argues for this conclusion by supposing that there is some set of internalistic conditions and then contenting that there no acceptable way to accommodate this set of conditions within the constraints laid down by internalists. For instance, Goldman reasons that one internalistic constraint is that the correctness of these conditions be reflectively accessible. But, if the correctness of this procedure depends on its ability to get one to the truth more often than not, then since that property isn’t reflectively accessible, internalists shouldn’t understand the correctness of the procedure to consist in its ability to be a good guide to the truth. Goldman then argues that other accounts of the correctness of this procedure likewise fail. So it is not possible for internalism to meet its own severe restrictions. For a similar argument see Richard Foley (1993).

b. Deontology (The Ethics of Belief)

A prominent source of support for internalism is the allegedly deontological character of justification (see Plantinga (1993), chapter 1; this section relies heavily on Plantinga’s discussion). The language of ‘justified’ & ‘unjustified’ invokes concepts like rightness & wrongness, blameless & blameworthy, and dutifulness & neglect. Facts about justification are set in the larger context of one’s duties, obligations, and requirements. Descartes, for instance, explains that false belief arises from the improper use of one’s own will. There is a two-fold implication to this. First, if one governs one’s believing as one ought then one is justified in one’s believings. Second, if one maintains proper doxastic attitudes one will have (by and large) true beliefs. Locke, like Descartes, connects justification with duty fulfillment. Locke maintains that though one may miss truth, if one governs one’s doxastic attitudes in accord with duty then one will not miss the reward of truth (Essay, IV, xvii, 24).

The argument from the deontological character of justification to internalism proceeds as follows. Justification is a matter of fulfilling one’s intellectual duties but whether or not one has fulfilled one’s intellectual duties is entirely an internal matter. One fulfills one’s intellectual duties when one has properly taken into account the evidence one possesses. If Smith scrupulously analyzes all the relevant information about Telecom’s stock prices and draws the conclusion that Telecom’s prices will soar then Smith’s belief is justified. If it later comes to light that the information was misleading this doesn’t impugn our judgment about Smith’s belief at that time. Smith was intellectually virtuous in his believing and drew the appropriate conclusion given the evidence he possessed. In contrast if Jones is an epistemically reckless stock broker who does not study the market before he makes his judgments, but happens to hit on the true belief that Telecom’s stock prices will fall then we do not count his belief as justified since he ignored all the relevant evidence. Jones should have believed otherwise.

The cases of Smith and Jones support the claim that fulfilling one’s intellectual duty is entirely a matter of what one is able to determine by reflection alone. Both Smith and Jones are able to determine that their evidence indicates Telecom’s stock will soar. Smith appropriately believes this and Jones does not. Since externalists would require some other non-reflectively accessible condition externalism is wrong. One should note that this argument supports accessiblism, not mentalism. Externalist Response Externalists have responded to this line of argument in two ways. First, some externalists deny that facts about duties, rights, or blameworthiness are relevant to the sense of justification necessary for knowledge. Second, other externalists deny that the deontological character of justification supports accessibilism. Arguments of the first kind fall into two groups: (a) arguments that a necessary condition for rights, duties, or blameworthiness is not met with respect to belief and (b) arguments that facts about deontology are not relevant to determining epistemic facts. The most common argument for (a) is that beliefs are outside of an individual’s control, and so it does not make sense to consider an individual blameworthy for a belief. This is the issue of doxastic voluntarism. Sosa (2003) and Plantinga (1993) present arguments for (b). The basic idea in these cases is that an individual may be deeply epistemically flawed but nonetheless perfectly blameless in his or her belief. An individual may, for instance, be “hardwired” to accept as valid instances of affirming the consequent; nonetheless, a person’s belief in A on the basis of if A then B and B is not justified.

Michael Bergmann (2006, chapter 4) presents an argument of the second type that the deontological character of justification does not support accessibilism. The basic idea of Bergmann’s argument is that an appeal to the deontological character of justification only supports the requirement that the person not be aware of any reasons against the belief. It does not support the stronger requirement that the person be aware of positive reasons for the belief. Bergmann then argues the weaker requirement is consistent with externalism.

c. Natural Judgment about Cases

A different strategy to support internalism is to appeal to natural judgment about cases. I shall consider two famous thought experiments designed to elicit internalist intuitions: BonJour’s Clairvoyant cases, specifically the case of Norman (BonJour 1980) and the new evil demon problem (Lehrer & Cohen 1983 & Cohen 1984). I shall present the two cases and then offer an externalist response. As Sosa (1991a) explains the two cases are related in that each is the mirror image of the other. In the Norman case there is reliability without internal evidence while in the new evil demon problem there is internal evidence without reliability.

i. BonJour’s Norman case

In BonJour’s (1980) article he presents four clairvoyant cases to illustrate the fundamental problem with externalism. Subsequent discussion has focused mainly on the case of Norman. BonJour describes the Norman case as follows:

Norman, under certain conditions that usually obtain, is a completely reliable clairvoyant with respect to certain kinds of subject matter. He possesses no evidence or reasons of any kind for or against the general possibility of such a cognitive power, or for or against the thesis that he possesses it. One day Norman comes to believe that the President is in New York City, though he has no evidence either for or against his belief. In fact the belief is true and results from his clairvoyant power, under circumstances in which it is completely reliable. (p. 21)

Intuitively it seems that Norman’s belief is not justified. Norman doesn’t have any reasons for thinking that the President is in New York City. Norman just finds himself believing that. Were Norman to reflect on his belief he would come to see that that belief is unsupported. Yet in the situation imagined Norman’s belief is the product of a reliable process. Norman is not aware of this fact. But nonetheless on some externalist analyses Norman’s belief is justified because it is produced by a reliable process.

The Norman case is used to illustrate a general problem with externalism. Externalists hold that the justification of basic beliefs requires only that the specified external condition is met (excluding the complication with Alston’s view, mentioned above). Yet where the subject lacks any internally accessible reason for thinking the belief is true it seems irrational for the subject to maintain that belief. Rationality requires good reasons.

ii. The New Evil Demon Problem

The original evil demon problem comes from Descartes. In the Meditations Descartes entertains the possibility that he is deceived by a powerful demon in believing that (for example,) he has hands. Descartes concludes that he needs to rule out this possibility by providing good reasons for thinking that he is not deceived in this way and that he can take the evidence of his senses at face value. Most epistemologists think Descartes concedes too much by requiring that he rule out this possibility in order to know that he has hands on the basis of the evidence he possesses.

The new evil demon problem is different from Descartes’ evil demon problem. This problem does not require that one rule out the possibility of massive deception in order to have knowledge. Rather the problem is intended to illustrate the inadequacy of externalism. The new evil demon problem was originally developed against reliabilism, the view that a belief’s justification consists in the reliability of the process that produced it. The problem is that there are possible individuals with the same evidence as we possess but whose evidence is not truth indicative. For instance we can conceive of individuals that have been placed in Matrix scenarios in which their brains are stimulated to have all the same experiences we have. When we seem to see a tree, normally a tree is present. However, when these individuals in a Matrix scenario seem to see a tree, there is no tree present. Their experiences are systematically misleading. Nevertheless since they possess just the same evidence that we have, the justificatory status of their beliefs is exactly the same as ours. If our beliefs are justified then so are their beliefs, and if their beliefs are not justified then our beliefs aren’t justified. This intuition reflects the key internalist claim that two individuals that are alike mentally are alike with respect to justification. There’s no difference in justification unless there’s some relevant mental difference. Externalists are committed to denying this symmetry. Since the individuals in the Matrix world fail to meet the relevant external condition their beliefs are unjustified, but since our beliefs meet the external condition our beliefs are justified.

The Externalist Response

Both the Norman case and the new evil demon problem have led to significant modifications to externalism. At a very general level the basic externalist move is that relative to our world Norman’s belief is unjustified and an individual’s belief in the Matrix world is justified. In our world clairvoyance is not a reliable belief-forming method. A clairvoyant’s belief that, for example, today is their lucky day is not caused by the relevant fact. Furthermore, a clairvoyant’s belief is not objectively likely to be true. The externalist thinks that justification tracks these actual facts and so accordingly our judgment of Norman’s belief is that it is unjustified.

Similarly in the new evil demon problem justification tracks the actual facts. Since our perceptual beliefs meet the external condition they are justified. When we consider possible individuals with the same perceptual evidence that we have, we rightly consider their beliefs justified. Granted that their beliefs do not meet the external condition in that world, but in our world such beliefs do meet the external condition.

Alvin Goldman (1993) develops this externalist response to the Norman case. Goldman argues that Norman’s belief is not justified because relative to our list of epistemic virtues and vices clairvoyant beliefs are unjustified. Goldman argues that justification is relative to actual intellectual virtues, where the virtues are understood in a reliabilist fashion. This is a departure from Goldman’s earlier view in which the reliability of a belief forming process in a world determined the justificatory status of the belief. On that view Goldman is saddled with the consequence that Norman’s beliefs is justified and the beliefs of the people in the Matrix world are unjustified. On his (1993) view a belief’s justification is determined by the reliability of processes in our world. Goldman is not saddled with those counterintuitive results but can instead maintain the internalist’s intuition without surrendering externalism. For other instances of this relativization move see Sosa (1991a) and Bergmann (2006).

3. Reasons for Externalism

The following is an examination of three prominent reasons for externalism—the argument from the truth connection, the argument from ordinary knowledge ascriptions, and the argument from the implausibility of radical skepticism. Also included are the main internalist responses.

a. The Truth Connection

A very powerful argument for externalism is that epistemic justification is essentially connected to truth. Epistemic justification differs from prudential or moral justification. One can be prudentially justified in believing that one’s close friend is a good chap. One is prudentially justified in believing that this is true. But it’s possible that one has good epistemic reasons for withholding this belief. So one is not epistemically justified in believing one’s close friend is a good fellow. How should we account for this difference between prudential and epistemic justification? The natural response is to hold that epistemic justification implies that one’s belief is objectively likely to be true whereas prudential justification (or other non-epistemic forms of justification) does not. However, whether one’s belief is objectively likely to be true is not determined by one’s mental states or one’s reflectively accessible states. The objective likelihood of a belief given a body of evidence is a matter of the strength of correlation in the actual world between the truth of the belief and the body of evidence. If one applies some liquid to a litmus paper and it turns red then the objective likelihood that the liquid is acidic is very high. But the strong correlation between red litmus paper and acidity is not reflectively accessible. So, if epistemic justification implies that one’s belief is objectively likely to be true then justification is not determined entirely by one’s internal states.

Internalist Response

Internalists argue that the problem of the truth connection is a problem for everyone. Epistemic justification is essentially connected to the truth in a way that distinguishes it from, say, prudential justification. But it is exceedingly difficult to note exactly what this connection consists of. Internalists stress that the proposed externalist solution that epistemic justification raises a belief’s objective likelihood of truth isn’t as straightforward as it first appears. The intuition in the new evil demon problem illustrates that epistemic justification does not imply that one’s belief is objectively likely to be true. So to generate an argument against internalism from the truth connection one needs to do more than appeal to the intuition of a strong connection between justification and truth. The problem of the truth connection for internalism is an active area of research. See Lehrer & Cohen (1983) for the original discussion of this problem.

b. Grandma, Timmy and Lassie

One of the most powerful motivations for externalism is that we correctly attribute knowledge to unsophisticated persons, children, and some animals. These individuals, though, lack internalist justification. So either knowledge doesn’t require justification or justification should be understood externally. Grandma knows that she has hands even though she can not rehearse an argument for that conclusion and can not even think of anything else to defend the claim that she does have hands. Timmy knows that it’s a sunny day and Lassie knows that there’s water in the bowl. In each case it appears that the subject is justified but lacks any internally accessible reason for the belief. Reflection on these cases, and many others like them, supports the externalist central contention that internalism is too strong. Persons can know without possessing internalistic justification.

The main problem with appeal to cases like Grandma, Timmy, and Lassie is that the details of such cases are open to interpretation. Internalists argue that when the cases are properly unpacked either these are not cases of justification or there is internalist justification (see “Internalist Response” immediately below). In an attempt to strengthen the argument for externalism some externalists appeal to non-standard cases. One non-standard case is the chicken-sexer case. Chicken-sexers are individuals that possess the unique ability to reliably sort male from female chickens. As the case is described chicken-sexers do not know how they sort the chickens. They report not being able to offer the criteria they use to sort the chickens. Nonetheless they are very good at sorting chickens and their beliefs that this is a male, this is a female, etc., are justified even though they lack internalist justification.

Another non-standard case is the case of quiz-show knowledge. The case envisions a contestant, call her Sally, on a popular quiz show that gets all the answers right. When a clue is offered Sally rings in with the correct answer. She’s quite good at this. Intuitively Sally knows the answers to the clues; yet from Sally’s perspective the answers just pop into her head. Moreover, Sally may believe that she does not know the answer.

What should we say about this case? Sally is very reliable. Her answers are objectively likely to be true. We can fill out the case by stipulating her answers are caused in part by the relevant fact. She learned the answer either by direct experience with the relevant fact—she was in Tiananmen Square during the famous protests of 1989—or through a reliable informant. Yet Sally lacks any internal phenomenology usually associated with remembering an answer. The answers just seem to come out of the blue. Moreover, Sally doesn’t take herself to know the answer. Yet given her excellent track record it certainly seems right to say that Sally knows the answer. This is a problematic case for internalists because it appears that no relevant internal condition is present.

Internalist Response

The argument advanced by externalists above is a conjunction of two claims: (i) these individuals have knowledge and (ii) no internalist justification is present. In the cases of Grandma, Timmy, and Lassie one response is to deny that these individuals have knowledge, but that strikes many as incredibly implausible and too concessive to skeptical worries. A much more plausible response is to argue that an internalist justification is present. In the case of Grandma, for instance, she has experiences and memories which attest that she had hands. Though she doesn’t cite that as a reason, it is nonetheless a good reason for her to believe that she has hands. Similar points can be made with respect to Timmy and Lassie. To the extent that our judgments that Timmy and Lassie have knowledge are resilient we can find appropriate experiences that indicate the truth of their beliefs.

In the chicken-sexer case internalists respond by either denying that the subject has knowledge or claiming that there are features of the chicken-sexer’s experience that indicate the sex of the chicken. The quiz-show case is more interesting. Given the description of the case it’s difficult to find a reason available to Sally that will meet internalist strictures. The options for the internalists seem limited. Since it’s not plausible that there’s a relevant internalist justification present, internalists are saddled with the result that Sally lacks knowledge. How plausible is this result? Richard Feldman (2005a) argues that it’s not apparent from the case that (for example) Sally even believes the answer. Sally is encouraged to answer and she goes with whatever pops in her head. Moreover, Feldman observes, the contestant seems to lack any stable belief forming mechanism. Since knowledge entails belief it appears then that Sally lacks knowledge because she lacks belief. Furthermore, as another option, since Sally may take herself not to know the answer she possesses a reason that undermines her knowledge (see Feldman (2005a) for the role of higher-order knowledge to defeat object-knowledge). The upshot is that the case of quiz show knowledge is indecisive against internalism: either Sally lacks the relevant belief or she possesses a reason that defeats her knowledge.

c. The Scandal of Skepticism

Another main motivation for externalism is its alleged virtues for handling skepticism in at least some of its varieties. One powerful skeptical argument begins with the premise that we lack direct access to facts about the external world. For any experiential justification we have for believing some fact about the external world—for example, there’s a magnolia tree—it’s possible to have that same justification even though there’s no such fact. The experience one has is caused by a state of one’s brain and it is possible that science could develop a method to induce in one that brain state even though there are no magnolia trees for hundreds of miles. The skeptic continues to argue that since we lack direct access to facts about the external world we lack non-inferential knowledge (or justification) for believing those facts. The final step of the skeptic’s argument is that we do lack sufficient evidence for inferential knowledge (or inferential justification) for believing those facts. Here the skeptic argues that the evidence we possess for external world beliefs does not adequately favor commonsense over a skeptical thesis. Any appeal to experiential evidence will not decide the case against the skeptic and the skeptic is happy to enter the fray over whether commonsense beats skepticism with regard to the theoretical virtues, for example, coherence and simplicity. Berkeley, for instance, argued that commonsense decidedly lost the contest against a kind of skeptical thesis (Berkeley Three Dialogues between Hylas and Philonous).

Internalists find this kind of argument very difficult to rebut. Internalists tend to focus on the final step and argue that even though experience does not imply that skepticism is false it nevertheless makes skepticism much less probable than commonsense. This response is intuitive but it brings with it a number of controversial commitments. The ensuing debate is too complex to summarize here. The upshot though is that it is no easy task to maintain this intuitive response. Consequently externalists think they have a distinct advantage over internalism. Externalists tend to think internalism lands in skepticism but that we have good reason to suspect skepticism is false. Externalists eagerly point out that their view can handle the skeptical challenge.

Externalists typically address the skeptic’s argument by denying that lack of direct access with a fact implies lack of non-inferential knowledge (or justification). In terms of an early version of externalism—D.M. Armstrong’s causal theory (Armstrong 1973)—if one’s perceptual belief that p is caused by the fact that makes it true then one knows that p. Other externalists unpack the externalist condition differently (for example, reliability or truth-tracking), but the core idea is that a lack of direct access doesn’t preclude non-inferential knowledge. Externalists press this virtue against internalist views that are saddled with the claim that lack of direct access implies no non-inferential knowledge (or justification). Assuming that the first and final steps of the skeptical argument are good (a very controversial assumption), internalism would imply that we lack knowledge. Externalists thus see their analysis of knowledge as aligning with commonsense (and against the skeptic) that we possess lots of knowledge.

Internalist Response

One internalist response to this reason for favoring externalism is to challenge the claim that internalism lands in skepticism. Some internalists develop views that imply one does have direct access to external world facts (see entry on direct realism). Another internalist move is the abductivist response which challenges the claim that we lack inferential knowledge or justification for believing commonsense. The abductivist response gets its name from Charles Sanders Peirce’s description of abduction as a good form of inductive reasoning that differs from standard inductive inference (for example, enumerative induction—this swam is white, so is the next one, so is this one as well, …, so, the general rule that all swans are white). The abductivists argues, to put it very roughly, that commonsense is the best explanation of the available data that we possess. Accordingly, we do possess inferential justification for believing that skepticism is false.

A different response to this alleged virtue of externalism is to argue that externalism yields only a conditional response to skepticism. If externalists maintain that some external condition, E, is sufficient for non-inferential knowledge or justification then we get the result that if E then one has non-inferential knowledge. For instance, if, for example, perception is reliable then we have perceptual knowledge. But, the internalist argues, we are not able to derive the unconditional claim that we have perceptual knowledge. In order to conclude that we would have to know that E obtains, but it seems all the externalist can do is appeal to some other external condition, E1, and argue that if E1 then we know that E obtains. This strategy looks unpromising (see Stroud 1989).

4. The Significance of the I-E Debate

What is the I-E debate all about? Why has the debate garnered so much attention? This section considers several proposals about the significance of the I-E debate. Most everyone sees the I-E debate as metaepistemological. The I-E debate concerns fundamental questions about epistemology: what is nature and goals of epistemological theorizing. The three proposals I examine in this section need not be exclusive. Each proposal reflects facets of the I-E debate.

a. Disagreement over the Significance of the Thermometer Model

D.M. Armstrong introduced the “thermometer model” in epistemology as a way of grasping his externalist theory (see Armstrong 1973). The “thermometer model” compares non-inferential knowledge with a good thermometer. A good thermometer reliably indicates the temperature, that is, the temperature readings reliably indicate the actual temperature. In a similar manner non-inferential knowledge is a matter of a belief being reliably true. On the thermometer model a belief that is reliably true need not meet any internalist conditions; if the belief stands in the right relation to the truth of what is believed then the belief is an item of knowledge.

The significance of the thermometer model is whether one should understand non-inferential knowledge purely in terms of external conditions. The driving motivation behind this model is that non-inferential knowledge should be understood in just the same naturalistic sense in which one understands a good thermometer. The model aims to remove questions about non-inferential knowledge from what might be called a rationalist framework in which all forms of knowledge are explicated in terms of reasons. Given the rationalist approach to noninferential knowledge one looks for some fact, different from the original belief, that one is aware of and that makes probable (or certain) the truth of one’s belief. The thermometer model cuts to the heart of this rationalistic project.

It is not at all surprising that the thermometer model met heavy resistance. Laurence BonJour argued that stress on the thermometer model would imply that Norman knows that the president is in New York. BonJour observes that the thermometer model has us view epistemic agents merely as “cognitive thermometers”. If they reliably record the facts then they have noninferential knowledge even though from their own perspective their beliefs have little by way of positive support.

The metaepistemological issue about what to make of the thermometer model is closely related to the issue of what to make of ordinary knowledge ascriptions. It is a common practice to ascribe knowledge to individuals that are in many respects like reliable thermometers. The significant question is what to make of this fact. Do such individuals meet internalistic conditions? Are our ascriptions of knowledge correct in cases in which individuals don’t meet any internalistic conditions? These are areas of ongoing research. The issues here are discussed in the contextualism literature.

b. Disagreement over the Guiding Conception of Justification

Another way to view the I-E debate is a disagreement over the guiding conception of justification. Alvin Goldman (1980) distinguishes between the regulative and theoretical conceptions of justification. The regulative conception of justification takes as its aim to offer practical advice to cognizers in order to improve their stock of beliefs. This epistemological aim, Goldman notes, is prominent in Descartes. The theoretical conception, by contrast, aims to offer a correct analysis of justification, that is, to specify the features of beliefs that confer epistemic status. Goldman sees our interest in a theory of justification as driven by these two different conceptions.

One way of explaining the significance of the I-E debate is over the role of regulative considerations in an account of justification. The access internalist can be seen as stressing the significance of some regulative conditions for a correct account of justification. This is most clearly seen in the stress on the ethics of belief. If a subject’s belief is justified then, in some sense, the subject has regulated her doxastic conduct appropriately. Externalists, by contrast, want to draw a sharp distinction between regulative and theoretical considerations to get the result that regulative considerations do not enter into one’s account of the nature of justification.

c. Disagreement over Naturalism in Epistemology

Another proposal about the significance of the I-E debate is that it is over the issue of whether to “naturalize” epistemology (see, for instance, Fumerton 1995, p. 66). As we saw above with the “thermometer model” a thread that runs through externalist analyses is the idea that epistemic concepts—justification, evidence, and knowledge—can be understood in terms of nomological concepts. Armstrong’s account of noninferential knowledge invokes the idea of a natural relation that holds between a belief and the true state of affairs believed. When a belief stands in this natural relation to the true state of affairs believed then the belief is an instance of noninferential knowledge. Moreover this natural relation is similar to the relation between a thermometer reading and the actual temperature in a good thermometer. Other externalist analysis invoke different nomological concepts: Goldman’s (1979) account makes use of the idea of reliability; Robert Nozick’s (1981) account appeals to the idea of truth-tracking which he unpacks in terms of causal concepts; and Fred Dretske’s (1981) account makes use of a naturalistic concept of information processing.

It’s important to stress the context in which these externalist accounts arose. As we have seen the recognition that the traditional justified true belief (JTB) account of knowledge failed led epistemologists to rethink the connection between true belief and knowledge. It is widely recognized that the traditional JTB account was largely explicated within a rationalist understanding of justification. Justification, on this tradition, invoked concepts such as implication, consistency, coherence, and more broadly, reasons of which the subject was aware. The introduction of the Gettier problem led epistemologists to question whether this traditional assumption was correct. Externalist analyses attempted to explain how natural relations like causation and reliability could provide the key to understanding noninferential knowledge.

Internalists, by contrast, stress the significance of mental concepts to understanding noninferential knowledge or basic justification. These concepts need not be irreducible to physical concepts. But the key idea for internalism is that mere external facts which a subject lacks awareness of are not sufficient for analyzing epistemic concepts. As Fumerton stresses (Fumerton (1995) p. 67) the key epistemic concepts for internalist are concepts like Descartes’ clarity and distinctness, Russell’s notion of direct acquaintance, or—more elusively—Chisholm’s basic notion of more reasonable than.

There are wide ranging issues with respect to naturalism in epistemology. One main issue is whether the evidential relation is contingent or necessary. Internalism can be understood as the view that the most basic evidential relation is necessary and consequently the theory of evidence is an a priori matter. Externalism, by contrast, can be understood as affirming that evidential relations are contingent (see, for example, Nozick (1981) Chapter 3 section III).

Another issue with respect to naturalism in epistemology is its connection to naturalism in the philosophy of mind. The naturalist aims to understand the mind as a physical system. Since physical systems can be explained without invoking mental concepts a naturalist in epistemology is weary of using questionable mental concepts to elucidate the nature of epistemic concepts. Internalism in epistemology is not necessarily at odds with naturalism as a metaphysical view but the internalist’s preferred concepts tend to come from commonsense psychology rather than the natural sciences. Externalists, by contrast, tend to stress natural concepts like causation, reliability, and tracking because these set up better for a naturalist view in the philosophy of mind.

5. Conclusion

The I-E debate develops out of the ruins of the traditional justified true belief account of knowledge. As Edmund Gettier famously illustrated knowledge is more than justified true belief. Attempts to answer the Gettier problem generated the I-E debate. This debate centers on a diverse group of issues: the significance of ordinary knowledge attributions, the nature of rationality, the ethics of belief, and the role of naturalism in epistemology.

See also “Internalism and Externalism in Mind and Language.”

6. References and Further Reading

  • Alston, W. 1983. “What’s Wrong with Immediate Knowledge?” Synthese 55, 73-95.
  • Alston, W. 1986. “Internalism and Externalism in Epistemology.” Philosophical Topics 14, 179-221.
  • Alston, W. 1988. “An Internalist Externalism.” Synthese 74, 265-283.
  • Alston, W. 1995. “How to think about Reliability” Philosophical Topics 23, 1-29.
  • Alston, W. 2005. Beyond “Justification”: Dimensions of Epistemic Evaluation. Ithaca, NY: Cornell University Press.
  • Armstrong, D.M. 1973. Belief, Truth and Knowledge. New York: Cambridge.
  • Bergmann, M. 2006. Justification without Awareness. New York: Oxford.
  • BonJour, L. 1980. “Externalist Theories of Empirical Knowledge,” Midwest Studies in Philosophy 5, 53-73.
  • Reprinted in Kornblith 2001. Page references are to the Kornblith reprint.
  • BonJour, L. 1985. The Structure of Empirical Knowledge. Cambridge, MA: Harvard University Press.
  • Chisholm, R. 1988. “The Indispensability of Internal Justification.” Synthese 74:3, 285-296.
  • Cohen, S. 1984. “Justification and Truth.” Philosophical Studies 46, 279-295.
  • Conee, E., and R. Feldman. 2004a. Evidentialism: Essays in Epistemology. New York: Oxford.
  • Conee, E., and R. Feldman. 2004b. “Internalism Defended” in Evidentialism: Essays in Epistemology. New York: Oxford, 53-82.
  • Dretske, F. 1971. “Conclusive Reasons,” Australasian Journal of Philosophy, 49, 1-22.
  • Dretske, F. 1981. Knowledge and the Flow of Information. Cambridge, MA: MIT Press.
  • Feldman, R. 2004a. “In Search of Internalism and Externalism.” The Externalist Challenge, ed. Richard Schantz. New York: Walter de Gruyter. pp. 143-156.
  • Feldman, R. 2004b. “Having Evidence.” in Conee & Feldman, Evidentialism: Essays in Epistemology. New York: Oxford, 219-241.
  • Feldman, R. 2005a. “Respecting the Evidence.” Philosophical Perspectives 19, 95-119.
  • Feldman, R. 2005b. “Justification is Internal.” Contemporary Debates in Epistemology. eds. Matthias Steup and Ernest Sosa. Malden, MA: Blackwell. pp. 270-284.
  • Foley, R. 1993. “What Am I to Believe?” in S. Wagner and R. Warner, eds. Naturalism: A Critical Appraisal. University of Notre Dame Press, 147-162.
  • Fumerton, R. 1988. “The Internalism/Externalism Controversy.” Philosophical Perspectives 2, 443-459.
  • Fumerton, R. 1995. Metaepistemology and Skepticism. Lanham, MD: Rowman & Littlefield.
  • Fumerton, R. 2004. “Inferential Internalism and the Presuppositions of Skeptical Arguments.” in The Externalist Challenge, ed. Richard Schantz. New York: Walter de Gruyter. pp.157-167.
  • Fumerton, R. 2006. “Epistemic Internalism, Philosophical Assurance and the Skeptical Predicament.” in Knowledge and Reality: Essays in honor of Alvin Plantinga, pp. 179-191.
  • Gettier, E. 1963. “Is Justified True Belief Knowledge?” Analysis 23: 121-3
  • Goldman, A. 1967. “A Causal Theory of Knowing.” The Journal of Philosophy 64, 357-372.
  • Goldman, A. 1979. “What is Justified Belief?” in Justification and Knowledge ed. G.S. Pappas. Dordrecht: D. Reidel. 1-23.
  • Goldman, A. 1980. “The Internalist Conception of Justification,” Midwest Studies in Philosophy 5, 27-51.
  • Goldman, A. 1993. “Epistemic Folkways and Scientific Epistemology,” Philosophical Issues 3, 271-285.
  • Goldman, A. 1999. “Internalism Exposed.” Journal of Philosophy 96, 271-93.
  • Kornblith, H. 1988. “How Internal Can You Get?” Synthese 74, 313-27.
  • Kornblith, H. (Ed.) 2001. Epistemology: Internalism and Externalism. Malden, MA: Blackwell.
  • Lehrer, K. and S. Cohen. 1983. “Justification, Truth, and Coherence.” Synthese 55, 191-207.
  • Nozick, R. 1981. Philosophical Explanations. Cambridge, MA: Belknap Press.
  • Plantinga, A. 1993. Warrant: The Current Debate. New York: Oxford.
  • Sosa, E. 1991a. “Reliabilism and intellectual virtue” in Knowledge in Perspective: Selected Essays in Epistemology. New York: Cambridge University Press, 131-145.
  • Sosa, E. 1991b. “Knowledge and intellectual virtue” in Knowledge in Perspective: Selected Essays in Epistemology. New York: Cambridge University Press, 225-244.
  • Sosa and BonJour, L. 2003. Epistemic Justification: Internalism vs. Externalism, Foundations vs. Virtues. Malden, MA: Blackwell.
  • Steup, M. 1999. “A Defense of Internalism.” in The Theory of Knowledge: Classical and Contemporary Readings, 2nd ed. Belmont, CA: Wadsworth, 373-84.
  • Steup, M. 2001. “Epistemic Duty, Evidence, and Internality.” in Knowledge, Truth, and Duty. ed. M. Steup. New York: Oxford.
  • Stroud, B. 1989. “Understanding Human Knowledge in General,” in M. Clay and K. Lehrer, eds., Knowledge and Skepticism. Boulder: Westview Press.
  • Stroud, B. 1994. “Scepticism, ‘Externalism’, and the Goal of Epistemology,” Proceedings of the Aristotelian Society, Supplementary Volume 68: 291-307.

Author Information

Ted Poston
Email: poston “at” jaguar1 “dot” usouthal “dot” edu
University of South Alabama
U. S. A.

Gottfried Leibniz: Causation

leibnizThe views of Leibniz (1646-1716) on causation must stand as some of the more interesting in the history of philosophy, for he consistently denied that there is any genuine causal interaction between finite substances. And yet from another perspective, he sought to integrate both old and new causal taxonomies: On the one hand, Leibniz put forth a theory of causation that would accommodate the Scientific Revolution’s increasing mathematization of nature, one according to which efficient causes played a dominant role. On the other hand, Leibniz also sought to integrate certain aspects of traditional Aristotelian causation into his philosophy. In particular, while many of Leibniz’s contemporaries were rejecting Aristotelian final causes, Leibniz insisted that the pursuit of final causes was worthwhile. Indeed, they played a crucial role in his philosophical system. The result is that Leibniz produced a system with a complex integration of both old and new––of both final and efficient causes––while simultaneously denying there was any real causal interaction between substances at the most basic level. The resulting metaphysics is sufficient to secure him a significant place in the history of the philosophy of causation, one worthy of serious attention.

In introducing his views on causation, Leibniz nearly always pivoted his theory against what he saw as its main rivals, occasionalism and physical influx theory (influxus physicus). He thought both were unacceptable, and that his own theory was the only viable option. In presenting Leibniz’s own theory, the famous “preestablished harmony,” this article follows his lead by considering, in the first section, why Leibniz deemed the competitors unacceptable. The article then discusses the details of Leibniz’s positive views on causation.

Table of Contents

  1. The Negative Stance: Leibniz against Physical Influx and Occasionalism
    1. Against Physical Influx
    2. Against Occasionalism
  2. The Positive Stance: Leibniz’s Preestablished Harmony
  3. Efficient and Final Causation
  4. Divine Conservation and Concurrence
  5. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. The Negative Stance: Leibniz against Physical Influx and Occasionalism

When it came to introducing his theory of causation, preestablished harmony, Leibniz was fond of presenting it via an argument by elimination: he would set the argument up against its main competitors; reasoning that neither of them was intelligible and so each must be false. Consequently, since the preestablished harmony is entirely intelligible according to Leibniz, and more worthy of a divine creator, it must be the true theory of causation. The following passage from 1698, written with particular attention to mind–body causation, is typical of Leibniz’s presentation:

I have pointed out that we can imagine three systems to explain the intercourse which we find between body and soul, namely, (1) the system of mutual influence of one upon the other, which when taken in the popular sense is that of the Scholastics, and which I consider impossible, as do the Cartesians; (2) that of a perpetual supervisor who represents in the one everything which happens in the other, a little as if a man were charged with constantly synchronizing two bad clocks which are in themselves incapable of agreement –– this is the system of occasional causes; and (3) that of the natural agreement of two substances such as would exist between two very exact clocks. I find this last view fully as possible as that of a supervisor and more worthy of the author of these substances, clocks or automata. (GP IV, 520 [L 494])

This highly metaphorical passage presents Leibniz’s own view, the last of the three options, as both “possible,” and “more worthy” than its competitors of being the product of divine invention. The first view, which Leibniz refers to as the “system of mutual influence,” is also labeled by him “the theory of physical influence” (A VI, 6, 135 [NE 135]), and “the hypothesis of influx” (C 521 [L 269]), among other labels. Leibniz’s claim about this theory of causation is that it is simply impossible. The other main competitor, occasionalism (or “the system of occasional causes”) is possible according to Leibniz, but it is not worthy, and so it is at least implausible. Why did Leibniz consistently make such claims about the rival theories of causation?

a. Against Physical Influx

While the history of the influx theory is complex and often unclear, it seems to have originated in the Neoplatonic tradition and was put to work by a number of medieval Scholastic philosophers (see O’Neill, 1993). The details of the history and various formulations of the influx model need not concern us here however, for what is important is that Leibniz rejects any model of causation that involves a transmission of parts between substances, that is, a passing on of something from one substance (the cause) to another (the effect). And Leibniz uses the terminology “influx” or “influence” to refer to any model of causation that involves passing properties, or “accidents,” from one substance to another, or from one “monad”––the term for Leibnizian substances––to another. The best–known passage containing Leibniz’s rejection of this model is from Monadology 7:

There is, furthermore, no way to explain how a monad could be altered or changed in its inner make-up by some other created being. For one can transpose nothing in it, nor conceive in it any internal motion that could be excited, directed, increased, or diminished within it, as can happen in composites where there is change among the parts. Monads have no windows through which something can enter into or depart from them. Accidents cannot be detached, nor wander about outside of substances, as the sensible species of the Scholastics formerly did. And so, neither substance nor accident can enter a monad from without. (GP VI, 607f. [AG 213f.])

The Scholastic model of causation involved properties of things (“species”) leaving one substance, and entering another. Consider what happens when one looks at a red wall: one’s sensory apparatus is causally acted upon. According to the target of this passage, this involves a sensible property of the wall (a “sensible species”) entering into the mind’s sensorium. According to Leibniz, “nothing ever enters into our mind naturally from the outside” (GP IV, 607 [AG 214]). Leibniz’s message is clear enough: since substances as he conceives of them are “windowless”––that is, indivisible, partless, immaterial, soul-like entities––there is no place for anything to enter into it, or leave it. As a result, one cannot conceive of a property or part of something entering a monad and transposing its parts, for monads have no parts and thus have no portals in which to enter and exit. Given that monads have no parts or windows, it is, as we have seen Leibniz claim, impossible for this theory to be true. Hence, it is not true, according to Leibniz.

b. Against Occasionalism

It is clear that Leibniz viewed occasionalism––Malebranche’s theory of causation––as the leading contender, for he addressed it in a number of published and unpublished writings spanning the course of decades. According to occasionalism, God is the only truly causally efficacious being in the universe. According to Leibniz, Malebranche’s “strongest argument for why God alone acts” (ML 412) is roughly as follows. A true cause, for Malebranche, is one according to which there is a necessary connection between it and its effect. Since bodies cannot move themselves, it must be minds that move bodies. But since there is no necessary connection between the will of a finite mind and what it wills, it follows that the only true cause is the will of God, that is, the only will for which there is a necessary connection between it and what it wills (that is, its effects). Hence, what appear to be causally efficacious acts of will by finite beings are mere occasions for God––the only true cause––to exercise his efficacious will.

Leibniz used three arguments against occasionalism. First, he argued that occasionalism consistently violates “the great principle of physics that a body never receives a change in motion except through another body in motion that pushes it.” According to Leibniz, this principle has “been violated by all those who accept souls or other immaterial principles, including here even all of the Cartesians [such as Malebranche]” (GP VI, 541 [L 587]). In other words, Leibniz believed that occasionalism, by claiming that a material object can be put into motion by something other than another material object, namely, the occasional cause of a finite will and the true cause of the divine will, violated a fundamental principle of physics. As we shall see, Leibniz believed the preestablished harmony did not do so, since every non-initial state of a body in motion has, as a real cause, some state of a body in motion.

Second, Leibniz often argued that occasionalism involved “perpetual miracles.” Consider the following from a letter to Antoine Arnauld of 30 April 1687:

[I]f I understand clearly the opinions of the authors of occasional causes, they introduce a miracle which is no less one for being continual. For it seems to me that the concept of the miracle does not consist of rarity. … I admit that the authors of occasional causes may be able to give another definition of the term, but it seems that according to usage a miracle differs intrinsically through the substance of the act from a common action, and not by an external accident of frequent repetition, and that strictly speaking God performs a miracle whenever he exceeds the forces he has given to creatures and maintains in them. (GP II, 92f. [LA 116])

Notice that Leibniz’s objection is not simply that occasionalism is miraculous because God is constantly acting in the course of nature. Rather, his objection is that according to occasionalism, there is nothing in the nature of objects to explain how bodies behave. All change on Malebranche’s system is explained by appeal to God, and not by the natures or intrinsic forces of created things. Finite bodies on this view are merely extended hunks of matter with no nature by appeal to which one can explain motion. Thus, there is no natural explanation for natural change (no naturally inner cause of motion), and hence such change is supernatural, that is, miraculous.

Finally, this second argument is closely connected with a third argument. Throughout all of his later years, Leibniz sought to distance himself from Spinoza. His primary way of doing so was to insist that there are genuine finite substances, a claim at odds with Spinoza’s monism. According to Leibniz, the very nature of a substance consists in force, or its ability to act, for if it has no such ability, then it is a mere modification of God, the only other substance who could act. Leibniz believed that occasionalism was in danger of reducing into the view of Spinoza—a doctrine inconsistent with traditional theology, and in any event, according to Leibniz, one at odds with the common sense view that creatures are genuine individuals:

I have many other arguments to present and several of them serve to show that according to the view which completely robs created things of all power and action, God would be the only substance, and created things would be only accidents or modifications of God. So those who are of this opinion will, in spite of themselves, fall into that of Spinoza, who seems to me to have taken furthest the consequences of the Cartesian doctrine of occasional causes. (GP IV, 590 [WF 164])

Because occasionalism makes God the principle of activity in created substances, it makes God the very nature of created substances. Hence, there is only one substance (God), and created individuals are modifications of God. So, Leibniz argued that occasionalism has the dangerous consequence of collapsing into Spinozism. (For considerations of Leibniz’ treatments of occasionalism, see Rutherford, 1993; Sleigh 1990.)

2. The Positive Stance: Leibniz’s Preestablished Harmony

Leibniz maintained that created substances were real causes, that God was not the only causally efficacious being (that is, that occasionalism was false), and that intersubstantial causation could not be understood in terms of a physical influx. So, what was Leibniz’s account of causation?

Leibniz’s account of causation was in terms of his famous doctrine of the preestablished harmony. This doctrine contains three main ingredients:

(1) No state of a created substance has as a real cause some state of another created substance (that is, a denial of intersubstantial causality).

(2) Every non-initial, non-miraculous, state of a created substance has as a real cause some previous state of that very substance (that is, an affirmation of intrasubstantial causality).

(3) Each created substance is programmed at creation such that all its natural states and actions are carried out in conformity with––in preestablished harmony with––all the natural states and actions of every other created substance.

Consider the above claims in application to the mind-body relation. Leibniz held that for any mental state, the real cause of that state is neither a state of a body nor the state of some other mind. And for any bodily state, the real cause of that state is neither a state of a mind nor the state of some other body. Further, every non-initial, non-miraculous, mental state of a substance has as a real cause some previous state of that very mind, and every non-initial, non-miraculous, bodily state has as a real cause some previous state of that very body. Finally, created minds and bodies are programmed at creation such that all their natural states and actions are carried out in mutual coordination, with no intersubstantial mind-body causation involved.

For example, suppose that Troy is hit in the head with a hammer (call this bodily state Sb) and pain ensues (call this mental state Sm), a case of apparent body to mind causation. Leibniz would say that in such a case some state of Troy’s mind (soul) prior to Sm was the real cause of Sm, and Sb was not a real causal factor in the obtaining of Sm. Suppose now that Troy has a desire to raise his arm (call this mental state Sm), and the raising of his arm ensues (call this bodily state Sb), a case of apparent mind to body causation. Leibniz would say that in such a case some state of Troy’s body prior to Sb was the real cause of Sb and Sm was not a causal factor in the obtaining of Sb. So although substances do not causally interact, their states accommodate one another as if there were causal interaction among substances.

Mind-body causation was merely one case of causation, for Leibniz believed that a similar analysis is to be given in any case of natural causation. When one billiard ball in motion causes another one to move, there exists, metaphysically speaking, no real interaction between them. Rather, the struck billiard ball moved spontaneously upon contact by the billiard ball in motion. It did so in perfect harmony, that is, in such a way that it appears as though the first causes the second to move. All of this is summarized in Leibniz’s New System of Nature (1695), right after his rejection of occasionalism and physical influx:

Therefore, since I was forced to agree that it is not possible for the soul or any other true substance to receive something from without … I was led, little by little, to a view that surprised me, but which seems inevitable, and which, in fact, has very great advantages and rather considerable beauty. That is, we must say that God originally created the soul (and any other real unity) in such a way that everything must arise for it from its own depths, through a perfect spontaneity relative to itself, and yet with a perfect conformity relative to external things. … There will be a perfect agreement among all these substances, producing the same effect that would be noticed if they communicated through the transmission of species or qualities, as the common philosophers imagine they do. (GP IV, 484 [AG 143f.])

In the last sentence of the above passage, Leibniz refers to what the “common philosophers imagine.” As we have seen, Leibniz is here referring to those who endorse influx theory, the view that postulates “the transmission of species or qualities” (see Against Influx Theory above). Although Leibniz clearly found this theory unacceptable at the end of the day, he did nonetheless indicate that it is an acceptable way of understanding phenomenal nature. It is worth underscoring this point as it helps to highlight what exactly Leibniz has in mind. He writes in the New System:

Besides all the advantages that recommend this hypothesis [that is, preestablished harmony], we can say that it is something more than a hypothesis, since it hardly seems possible to explain things in any other intelligible way, … Our ordinary ways of speaking may also be easily preserved. For we may say that the substance whose state explains a change in an intelligible way (so that we may conclude that it is this substance to which the others have in this respect been adapted from the beginning, in accordance with the order of the decrees of God) is the one which, so far as this change goes, we should therefore think of as acting upon the others. Furthermore, the action of one substance on another is neither the emission nor the transplanting of an entity, as commonly conceived, and it can be reasonably understood only in the way I have just described. It is true that we can easily understand in connection with matter both the emission and receiving of parts, by means of which we quite properly explain all the phenomena of physics mechanically. But a material mass is not a substance, and so it is clear that action as regards an actual substance can only be as I have described. (GP IV, 487 [WF 20]; my emphasis)

There are at least two points worth emphasizing in this passage. First, Leibniz was clearly aware that his theory was at odds with common sense, that is, it is at odds with “our ordinary ways of speaking.” As the above passage indicates, he was concerned to preserve our usual ways of speaking about causal interactions. As a result, Leibniz held that there was a sense in which one could say, for example, that mental events influence bodily events, and vice-versa. He wrote to Antoine Arnauld that although “one particular substance has no physical influence on another … nevertheless, one is quite right to say that my will is the cause of this movement of my arm …; for the one expresses distinctly what the other expresses more confusedly, and one must ascribe the action to the substance whose expression is more distinct” (GP II, 71 [LA 87]). In this passage, Leibniz sets forth what he believed the metaphysical reality of apparent intersubstantial causation amounts to. We begin with the thesis that every created substance perceives the entire universe, though only a portion of it is perceived distinctly, most of it being perceived unconsciously, and, hence, confusedly. Now consider two created substances, x and y (x not identical to y), where some state of x is said to be the cause of some state of y. Leibniz’s analysis is this: when the causal state of affairs occurred, the relevant perceptions of substance x became more distinct, while the relevant perceptions of substance y became more confused. Insofar as the relevant perceptions of x become increasingly distinct, it is “causally” active; insofar as the relevant perceptions of substance y become increasingly confused, it is passive. In general, causation is to be understood as an increase in distinctness on the part of the causally active substance, and an increase in confusedness on the part of the passively effected substance. Again, each substance is programmed at creation to be active/passive at the relevant moment, with no occurrence of real substantial interaction. Thus, ordinary ways of speaking are preserved on the grounds that it is true according to the “distinct/confused analysis” to say that one object is the cause of another.

Second, the above passage indicates that when it comes to a mechanical study of phenomenal nature––that is, when it comes to natural philosophy––the influx model may be used. In a way this is not surprising, for as Leibniz makes clear in this passage, the objects of mechanics are physical masses, and these objects have parts (they have “windows”) via which parts can enter and exit and cause change. They are not substances, which again, have no such parts. So, it appears to be Leibniz’s view that at the level of the most real, the level of substances (monads), preestablished harmony is the correct view. However, the influx model is acceptable at the phenomenal level of mechanics, perhaps as an abstraction from, or idealization of the underlying reality. But note that this level is indeed phenomenal, that is, only an appearance, and any analysis on this level is not the end of the story. Still, for Leibniz, the fact that it is acceptable when it comes to mechanics preserves our ordinary ways of speaking, since it is a model of genuine intersubstantial causation. But such a way of speaking, for Leibniz, is certainly not metaphysically rigorous.

3. Efficient and Final Causation

This last point about different Leibnizian metaphysical levels relates to another unique characteristic of Leibniz’s system. Although at the deepest level of analysis, preestablished harmony reigns supreme in Leibniz’s metaphysics, it is also true that Leibniz embraced a specific taxonomy of types of naturally operative causes, one that incorporated both ancient and modern conceptions of causation. Specifically, Leibniz maintained, in accordance with his belief that the phenomenal level can be treated as engaging in intersubstantial causation, that “laws of efficient causes” govern bodies. Consider the following from the Monadology:

The soul follows its own laws and the body likewise follows its own; and they agree by virtue of the preestablished harmony among all substances, because they are all representations of one self-same universe.

Souls act according to the laws of final causes through appetition, ends, and means. Bodies act according to the laws of efficient causes or of motions. And the two realms, that of efficient causes and that of final causes, are harmonious with one another. (GP VI, 620 [AG 223])

In accordance with the mechanical philosophy that prevailed during Leibniz’s lifetime, he held that the motions of bodies are to be understood as engaging in efficient causal relations, or behaving according to “laws of efficient causes.” But Leibniz also believed, as the above passage indicates, that final causation was prevalent in the world, and that it operated in harmony with the realm of efficient causation. Indeed, in the passage above, Leibniz presented his usual bifurcation of the world into two realms: the bodily realm is governed by efficient causation, and the realm of souls (individual substances) is governed by final causation.

A final cause of some activity is that for which that activity occurs; it is a goal, or end, or purpose of some activity. In claiming that souls act according to final causes, Leibniz seems to have in mind that they are essentially goal driven entities. Any given substance (such as a soul), according to Leibniz, is endowed with two powers: perception and appetite. Leibniz characterizes appetition thus: “The action of the internal principle which brings about the change or the passage from one perception to another may be called appetition” (GP VI, 609 [AG 215]). Appetitions are the ultimate principles of change in the Leibnizian universe, as they are responsible for the activity of the ultimately real things, substances. In claiming, therefore, that substances are governed by laws of final causes, Leibniz has in mind that appetitions lead a substance to strive for certain future perceptual states:

[S]ince the nature of a simple substance consists of perception and appetite, it is clear that there is in each soul a series of appetites and perceptions, through which it is lead from the end to the means, from the perception of one object to the perception of another. (C 14 [MP 175])

It is a matter of some controversy whether Leibniz held that appetitive states of a substance are intrasubstantial productive causes of change (that is, efficient causes of change), and there are texts that can be brought to bear on both sides of the issue. (See Carlin, 2004, 2006; Davidson, 1998; Murray, 1995, 1996; Paull, 1992.) In some passages, Leibniz separates the world into what appear to be functionally autonomous causal realms:

Souls act according to the laws of final causes through appetition, ends, and means. Bodies act according to the laws of efficient causes or of motions. And the two realms, that of efficient causes and that of final causes, are harmonious with one another. (GP VI, 620 [AG 223])

But in other texts, Leibniz seems clearly to suggest that final causes are a species of efficient cause, and hence are productive causes of change. Consider the following:

[T]he present state of body is born from the preceding state through the laws of efficient causes; the present state of the soul is born from its preceding state through the laws of final causes. The one is the place of the series of motion, the other of the series of appetites; the one is passed from cause to effect, the other from end to means. And in fact, it may be said that the representation of the end in the soul is the efficient cause of the representation in the same soul of the means. (Dut, II, 2, 134; my emphasis)

Thus, in this text, Leibniz suggests that final causes themselves produce future perceptions by way of efficient causation.

In this connection, it is worth noting that there is a sense in which final causation is operative at the level of phenomenal bodies as well. “There is,” Leibniz writes in the New Essays, “a moral and voluntary element in what is physical, through its relation to God. . . . [B]odies do not choose for themselves, God having chosen for them” (A VI, 6, 179 [NE 179]). Mechanical bodies, understood as phenomenal hunks of matter, do not exhibit intentionality. Thus, they do not frame their own ends in the way that immaterial substances do. Still, there is a sense in which they are subject to final causes, for they act for the ends that God has set for them, and they do so by way of mechanical efficient causation. Thus, there is some suggestion that Leibniz held that both efficient and final causation permeated the universe at multiple ontological levels.

But whether or not Leibniz believed that both types of causes operated at multiple ontological levels, he did nonetheless believe that the harmony of efficient and final causes explained the ordinary conscious activity of substances, including that sort of activity often cited as involving free will:

[T]he laws that connect the thoughts of the soul in the order of final causes and in accordance with the evolution of perceptions must produce pictures that meet and harmonize with the impressions of bodies on our organs; and likewise the laws of movements in the body, which follow one another in the order of efficient causes, meet and so harmonize with the thoughts of the soul that the body is induced to act at the time when the soul wills it. (GP VI, 137 [T 62])

Although it might appear to some that such a view is inconsistent with freedom of the will, Leibniz did not think so, for he repeatedly maintained that human souls, though governed by preestablished laws of final causes, act with freedom of the will (e.g. GP VII, 419 [L 716f.]). (Whether he was entitled to such a view is another matter.) It is also worth noting that in a number of passages, Leibniz argues that this harmony between types of causation accounts for the very union of the human body and soul (cf. GP VI, 599 [AG 208]).

Finally, Leibniz does not restrict his doctrine of final causation to the conscious activity of rational agents, for he seems to recognize final causal activity everywhere in his system. Consider the following from his Notes on Stahl:

[T]hat motion is not improperly called voluntary, which is connected with a known distinct appetite, where we notice the means at the hands of our soul, being adapted to the end itself; although in other [non-voluntary] movement also, appetites proceed to their own ends through means, albeit they are not noticed by us. (Dut II, 2, 136; my emphasis)

Here Leibniz claimed that final causes operate at the level of the unconscious: a mental state can function as a final cause without our being aware of it. In a letter of 8 May 1704 to Sophie Charlotte, Leibniz made essentially the same point: “So that even in our instinctive or involuntary actions, where it seems only the body plays a part, there is in the soul an appetite for good or an aversion to evil which directs it, even though our reflection is not able to pick it out in the confusion” (GP III, 347 [WF 224f.]). It seems to follow that the preestablished harmony between efficient and final causes has wider application than one might suppose at first glance.

4. Divine Conservation and Concurrence

Although Leibniz maintained against the occasionalists and Spinoza that created substances were genuine sources of their own activity, and that it is not true that God alone is the source of all natural activity, he did nonetheless believe in a doctrine of divine conservation and concurrence. Briefly, according to the latter, God is not an absentee creator, but is involved in every aspect of the natural world, including the causal activity of created substances. Since Leibniz held that creatures are real causes of their own actions, this means that both God and creatures concur in bringing about the effects of the actions of created substances.

Although the texts on this aspect of Leibniz’s theory of natural causation are notoriously thorny, the following passage seems to represent what is his considered view:

The concurrence of God consists in giving us continually whatever there is of reality in us and our actions, insofar as it contains some perfection; but what there is therein of limitation or imperfection is a consequence of preceding limitations, which are originally in the creature. (GP VI, 340 [T 377])

In general, the idea seems to be this: creatures are real causes of the imperfections in actions, while God is responsible for the perfection contained in the action. But this general idea seems clearly inconsistent with a number of other doctrines put forth by Leibniz. For example, there is reason to believe that he holds that a substance can be said to act only insofar as it tends towards perfection (cf. GP VI, 615 [AG 219]). If this is the case, then in conjunction with the passage above, it appears that God is the only active agent. Moreover, Leibniz, along with many other seventeenth century thinkers, held that divine conservation of the world amounts to a continual recreation of every substance and all their states. If this is the case, one is left wondering how not to slip into the occasionalism of Malebranche, for it would seem once again that creatures are not producing anything. This notoriously difficult topic has recently spawned a body of secondary literature, as commentators have struggled with the apparent inconsistencies. (Adams, 1994; Lee, 2004; Sleigh, 1990)

5. References and Further Reading

a. Primary Sources

References to works of Leibniz are cited by abbreviation according to the key below. Each one is cited by page number unless otherwise noted. ASämtliche Schriften und Briefe. Multiple volumes in seven series. Edited by the German Academy of Sciences. Darmstadt and Berlin: Berlin Academy, 1923–. Cited by series, volume, and page.

AG
Philosophical Essays.
Edited and translated by Roger Ariew and Daniel Garber. Indianapolis: Hackett, 1989.
Dut
Opera Omnia.
Edited by L. Dutens. Geneva: Fratres De Tournes, 1768. Cited by volume, and page.
GP
Die Philosophischen Schriften von Gottfried Wilhelm Leibniz.
7 vols. Edited by C.I. Gerhardt. Berlin: Weidman, 1875-1890. Cited by volume and page.
L
Philosophical Papers and Letters.
Edited by Leroy Loemker, 2nd ed. Dordrecht: Reidel, 1969.
LA
The Leibniz-Arnauld Correspondence.
Translated and edited by H.T. Mason. Manchester: Manchester UP, 1967.
MP
Philosophical Writings.
Translated and edited by Mary Morris and G.H.R. Parkinson. London: Dent, 1973.
NE
New Essays on Human Understanding.
Translated and edited by Peter Remnant and Jonathon Bennett. Cambridge: Cambridge UP, 1982. The original French text is in A VI, 6.
T
Theodicy.
Edited by Austin Farrer and translated by E.M. Huggard. New Haven: Yale UP, 1952. Cited by section number as in GP VI.
WF
Leibniz’s ‘New System’ and Associated Contemporary Texts.
Translated and edited by R.S. Woolhouse and Richard Francks. Oxford: Oxford UP, 1997.

b. Secondary Sources

  • Adams, Robert. 1994. Leibniz: Determinist, Theist, Idealist. Oxford: Oxford UP.
    • A classic and thorough discussion of Leibniz’s views on a number of topics, including human and divine causation. The book consults a wealth of primary sources.
  • Gregory Brown, 1992. “Is There a Pre-Established Harmony of Aggregates in the Leibnizian Dynamics, or Do Non-Substantial Bodies Interact?,” Journal of the History of Philosophy 30, pp. 53-75.
    • This article argues that Leibnizian aggregates do not interact in Leibniz’s physics, and also discusses the importance of distinguishing ontological levels in Leibniz’s philosophy.
  • Carlin, Laurence. 2006. “Leibniz on Final Causes,” Journal of the History of Philosophy 44 (2), pp. 217-233.
    • This paper argues that for Leibniz, final causes are species of efficient cause, and are therefore just as productive as efficient causes.
  • Carlin, Laurence. 2004. “Leibniz on Conatus, Causation, and Freedom,” Pacific Philosophical Quarterly 85 (4), pp. 365–379.
    • This paper argues that Leibniz was a causal determinist by focusing on his treatment of causation in relation to his concept of conatus, or his concept of force in his physics.
  • Cover, Jan and Mark Kulstad, eds. 1990. Central Themes in Early Modern Philosophy. Indianapolis:Hackett.
    • This is an anthology that contains a number of articles of causation in early modern philosophy, including an article on the relationship between Leibniz and occasionalism.
  • Davidson, Jack. 1998. “Imitators of God: Leibniz on Human Freedom,” Journal of the History of Philosophy 36, pp. 387–421.
    • This paper argues that Leibniz was a causal determinist on the grounds that his model of human volition imitates the model of divine agency.
  • Garber, Daniel. 1994. “Leibniz: Physics and Philosophy” in Jolley, ed., The Cambridge Companion to Philosophy, pp. 270-352.
    • This article is a sustained treatment on Leibniz’s views of the interaction between dynamical bodies, the laws of nature, and efficient and final causation.
  • Jolley, Nicholas. 1994. The Cambridge Companion to Leibniz. Cambridge: Cambridge UP.
    • This anthology contains articles on many aspects of Leibniz’s philosophy. It is written by leading scholars, and could very well be the first place to look for someone new to Leibniz.
  • Kulstad, Mark. 1990. “Appetition in the Philosophy of Leibniz.” In A. Heinkemp, W. Lenzen, and M. Schneider, eds., Mathesis Rationis, pp. 133-151.
    • This is a through examination of Leibniz’s concept of appetition, and is particularly helpful in relating appetition to his physics and to human volition.
  • Lee, Sukjae. 2004. “Leibniz on Divine Concurrence.” Philosophical Review 113 (2), pp. 203-248.
    • This paper is a close and controversial examination on Leibniz’s doctrines of divine conservation and concurrence.
  • Murray, Michael. 1995. “Leibniz on Divine Foreknowledge of Future Contingents and Human Freedom.” Philosophy and Phenomenological Research 55: 75-108.
    • This article argues that Leibniz was not a causal determinist, contrary to what others have argued.
  • Murray, Michael.. 1996. “Intellect, Will, and Freedom: Leibniz and His Precursors.” The Leibniz Society Review 6: 25-60.
    • This paper develops the interpretation in Murray (1995) by drawing on a wealth of historical sources, including medieval philosophers’ treatment of the concept of moral necessity.
  • Nadler, Steven, ed. 1993. Causation in Early Modern Philosophy. University Park: Penn State UP.
    • This collection of papers is the classic source for papers on causation in early modern philosophy.
  • O’Neill, Eileen. (1993) “Influxus Physicus.” In Nadler, Steven, ed. Causation in Early Modern Philosophy, pp. 27-57.
    • This paper traces the history of the physical influx theory, and analyses its main tenets. It has become the classic treatment of the issue.
  • Paull, R. Cranston. 1992. “Leibniz and the Miracle of Freedom,” Nous 26: 218-235.
    • This paper contains an argument for the conclusion that Leibniz was not a causal determinist. It draws attention to certain passages that appear troubling for the causal determinist reading.
  • Rutherford, Donald. 1995. Leibniz and the Rational Order of Nature. Cambridge: Cambridge UP.
    • This book contains excellent discussions of Leibniz’s views on the properties of the best possible world, and is particularly helpful on the topic of how the level of efficient causes relates to the level of final causes.
  • Rutherford, Donald. 1993. “Natures, Laws, and Miracles: The Roots of Leibniz’s Critique of Occasionalism” in Nadler, Steven, ed. Causation in Early Modern Philosophy, pp. 135-158.
    • A clear discussion of exactly why Leibniz disagrees with Malebranche’s occasionalism. The article challenges some scholars’ interpretations.
  • Sleigh, Robert C. 1990. Leibniz and Arnauld: A Commentary on Their Correspondence. New Haven: Yale UP.
    • This book examines a number of Leibniz’s views on contingent, substance, and causation in the context of Leibniz’s classic exchange with Antoine Arnauld. It also contains helpful discussions of Leibniz’s treatment of occasionalism.
  • Sleigh, Robert C.1990. “Leibniz on Malebranche on Causality” in Cover and Kulstad, eds. Central Themes in Early Modern Philosophy, pp. 161-194.
    • This is a helpful discussion of Leibniz’s reaction to Malebranche’s occasionalism.
  • Wilson, Margaret. 1976. “Leibniz’s Dynamics and Contingency in Nature” in Machamer and Turnbull, eds., Motion and Time, Space and Matter, pp. 264-289.
    • This is a discussion of Leibniz’s belief that the causal laws of nature must be grounded in considerations about final causes.

Author Information

Laurence Carlin
Email: carlin@uwosh.edu
University of Wisconsin, Oshkosh
U. S. A.

Libertarianism

libertyWhat it means to be a “libertarian” in a political sense is a contentious issue, especially among libertarians themselves. There is no single theory that can be safely identified as the libertarian theory, and probably no single principle or set of principles on which all libertarians can agree. Nevertheless, there is a certain family resemblance among libertarian theories that can serve as a framework for analysis. Although there is much disagreement about the details, libertarians are generally united by a rough agreement on a cluster of normative principles, empirical generalizations, and policy recommendations. Libertarians are committed to the belief that individuals, and not states or groups of any other kind, are both ontologically and normatively primary; that individuals have rights against certain kinds of forcible interference on the part of others; that liberty, understood as non-interference, is the only thing that can be legitimately demanded of others as a matter of legal or political right; that robust property rights and the economic liberty that follows from their consistent recognition are of central importance in respecting individual liberty; that social order is not at odds with but develops out of individual liberty; that the only proper use of coercion is defensive or to rectify an error; that governments are bound by essentially the same moral principles as individuals; and that most existing and historical governments have acted improperly insofar as they have utilized coercion for plunder, aggression, redistribution, and other purposes beyond the protection of individual liberty.

In terms of political recommendations, libertarians believe that most, if not all, of the activities currently undertaken by states should be either abandoned or transferred into private hands. The most well-known version of this conclusion finds expression in the so-called “minimal state” theories of Robert Nozick, Ayn Rand, and others (Nozick 1974; Rand 1963a, 1963b) which hold that states may legitimately provide police, courts, and a military, but nothing more. Any further activity on the part of the state—regulating or prohibiting the sale or use of drugs, conscripting individuals for military service, providing taxpayer-funded support to the poor, or even building public roads—is itself rights-violating and hence illegitimate.

Libertarian advocates of a strictly minimal state are to be distinguished from two closely related groups, who favor a smaller or greater role for government, and who may or may not also label themselves “libertarian.” On one hand are so-called anarcho-capitalists who believe that even the minimal state is too large, and that a proper respect for individual rights requires the abolition of government altogether and the provision of protective services by private markets. On the other hand are those who generally identify themselves as classical liberals. Members of this group tend to share libertarians’ confidence in free markets and skepticism over government power, but are more willing to allow greater room for coercive activity on the part of the state so as to allow, say, state provision of public goods or even limited tax-funded welfare transfers.

Table of Contents

  1. The Diversity of Libertarian Theories
  2. Natural Rights Libertarianism
    1. Historical Roots: Locke
    2. Contemporary Natural Rights: Nozick
    3. Criticisms of Natural Rights Libertarianism
      1. Principle of Self-Ownership
      2. Derivation of Full Private Property Ownership from Self-Ownership
  3. Consequentialist Libertarianism
    1. Quantitative Utilitarianism
      1. The Tragedy of the Commons and Private Property
      2. The Invisible Hand and Free Exchange
      3. Arguments Against Government Intervention
    2. Traditionalist Consequentialism
    3. Criticisms of Consequentialist Libertarianism
  4. Anarcho-Capitalism
  5. Other Approaches to Libertarianism
    1. Teleological Libertarianism
    2. Contractarian Libertarianism
    3. Conclusion: Libertarianism as an Overlapping Consensus
  6. References and Further Reading

1. The Diversity of Libertarian Theories

As this article will use the term, libertarianism is a theory about the proper role of government that can be, and has been, supported on a number of different metaphysical, epistemological, and moral grounds. Some libertarians are theists who believe that the doctrine follows from a God-made natural law. Others are atheists who believe it can be supported on purely secular grounds. Some libertarians are rationalists who deduce libertarian conclusions from axiomatic first principles. Others derive their libertarianism from empirical generalizations or a reliance on evolved tradition. And when it comes to comprehensive moral theories, libertarians represent an almost exhaustive array of positions. Some are egoists who believe that individuals have no natural duties to aid their fellow human beings, while others adhere to moral doctrines that hold that the better-off have significant duties to improve the lot of the worse-off. Some libertarians are deontologists, while others are consequentialists, contractarians, or virtue-theorists. Understanding libertarianism as a narrow, limited thesis about the proper moral standing, and proper zone of activity, of the state—and not a comprehensive ethical or metaphysical doctrine—is crucial to making sense of this otherwise baffling diversity of broader philosophic positions.

This article will focus primarily on libertarianism as a philosophic doctrine. This means that, rather than giving close scrutiny to the important empirical claims made both in support and criticism of libertarianism, it will focus instead on the metaphysical, epistemological, and especially moral claims made by the discussants. Those interested in discussions of the non-philosophical aspects of libertarianism can find some recommendations in the reference list below.

Furthermore, this article will focus almost exclusively on libertarian arguments regarding just two philosophical subjects: distributive justice and political authority. There is a danger that this narrow focus will be misleading, since it ignores a number of interesting and important arguments that libertarians have made on subjects ranging from free speech to self-defense, to the proper social treatment of the mentally ill. More generally, it ignores the ways in which libertarianism is a doctrine of social or civil liberty, and not just one of economic liberty. For a variety of reasons, however, the philosophic literature on libertarianism has mostly ignored these other aspects of the theory, and so this article, as a summary of that literature, will generally reflect that trend.

2. Natural Rights Libertarianism

Probably the most well-known and influential version of libertarianism, at least among academic philosophers, is that based upon a theory of natural rights. Natural rights theories vary, but are united by a common belief that individuals have certain moral rights simply by virtue of their status as human beings, that these rights exist prior to and logically independent of the existence of government, and that these rights constrain the ways in which it is morally permissible for both other individuals and governments to treat individuals.

a. Historical Roots: Locke

Although one can find some earlier traces of this doctrine among, for instance, the English Levellers or the Spanish School of Salamanca, John Locke‘s political thought is generally recognized as the most important historical influence on contemporary natural rights versions of libertarianism. The most important elements of Locke’s theory in this respect, set out in his Second Treatise, are his beliefs about the law of nature, and his doctrine of property rights in external goods.

Locke’s idea of the law of nature draws on a distinction between law and government that has been profoundly influential on the development of libertarian thought. According to Locke, even if no government existed over men, the state of nature would nevertheless not be a state of “license.” In other words, men would still be governed by law, albeit one that does not originate from any political source (c.f. Hayek 1973, ch. 4). This law, which Locke calls the “law of nature” holds that “being all equal and independent, no one ought to harm another in his life, liberty, or possessions” (Locke 1952, para. 6). This law of nature serves as a normative standard to govern human conduct, rather than as a description of behavioral regularities in the world (as are other laws of nature like, for instance, the law of gravity). Nevertheless, it is a normative standard that Locke believes is discoverable by human reason, and that binds us all equally as rational agents.

Locke’s belief in a prohibition on harming others stems from his more basic belief that each individual “has a property in his own person” (Locke 1952, para. 27). In other words, individuals are self-owners. Throughout this essay we will refer to this principle, which has been enormously influential on later libertarians, as the “self-ownership principle.” Though controversial, it has generally been taken to mean that each individual possesses over her own body all those rights of exclusive use that we normally associate with property in external goods. But if this were all that individuals owned, their liberties and ability to sustain themselves would obviously be extremely limited. For almost anything we want to do—eating, walking, even breathing, or speaking in order to ask another’s permission—involves the use of external goods such as land, trees, or air. From this, Locke concludes, we must have some way of acquiring property in those external goods, else they will be of no use to anyone. But since we own ourselves, Locke argues, we therefore also own our labor. And by “mixing” our labor with external goods, we can come to own those external goods too. This allows individuals to make private use of the world that God has given to them in common. There is a limit, however, to this ability to appropriate external goods for private use, which Locke captures in his famous “proviso” that holds that a legitimate act of appropriation must leave “enough, and as good… in common for others” (Locke 1952, para. 27). Still, even with this limit, the combination of time, inheritance, and differential abilities, motivation, and luck will lead to possibly substantial inequalities in wealth between persons, and Locke acknowledges this as an acceptable consequence of his doctrine (Locke 1952, para. 50).

b. Contemporary Natural Rights: Nozick

By far the single most important influence on the perception of libertarianism among contemporary academic philosophers was Robert Nozick in his book, Anarchy, State, and Utopia (1974). This book is an explanation and exploration of libertarian rights that attempts to show how a minimal, and no more than a minimal, state can arise via an “invisible hand” process out of a state of nature without violating the rights of individuals; to challenge the highly influential claims of John Rawls that purport to show that a more-than-minimal state was justified and required to achieve distributive justice; and to show that a regime of libertarian rights could establish a “framework for utopia” wherein different individuals would be free to seek out and create mediating institutions to help them achieve their own distinctive visions of the good life.

The details of Nozick’s arguments can be found at Robert Nozick. Here, we will just briefly point out a few elements of particular importance in understanding Nozick’s place in contemporary libertarian thought—his focus on the “negative” aspects of liberty and rights, his Kantian defense of rights, his historical theory of entitlement, and his acceptance of a modified Lockean proviso on property acquisition. A discussion of his argument for the minimal state can be found in the section on anarcho-capitalism below.

First, Nozick, like almost all natural rights libertarians, stresses negative liberties and rights above positive liberties and rights. The distinction between positive and negative liberty, made famous by Isaiah Berlin (Berlin 1990), is often thought of as a distinction between “freedom to” and “freedom from.” One has positive liberty when one has the opportunity and ability to do what one wishes (or, perhaps, what one “rationally” wishes or “ought” to wish). One has negative liberty, on the other hand, when there is an absence of external interferences to one’s doing what one wishes—specifically, when there is an absence of external interferences by other people. A person who is too sick to gather food has his negative liberty intact—no one is stopping him from gathering food—but not his positive liberty as he is unable to gather food even though he wants to do so. Nozick and most libertarians see the proper role of the state as protecting negative liberty, not as promoting positive liberty, and so toward this end Nozick focuses on negative rights as opposed to positive rights. Negative rights are claims against others to refrain from certain kinds of actions against you. Positive rights are claims against others to perform some sort of positive action. Rights against assault, for instance, are negative rights, since they simply require others not to assault you. Welfare rights, on the other hand, are positive rights insofar as they require others to provide you with money or services. By enforcing negative rights, the state protects our negative liberty. It is an empirical question whether enforcing merely negative rights or, as more left-liberal philosophers would promote, enforcing a mix of both negative and positive rights would better promote positive liberty.

Second, while Nozick agrees with the broadly Lockean picture of the content and government-independence of natural law and natural rights, his remarks in defense of those rights draw their inspiration more from Immanuel Kant than from Locke. Nozick does not provide a full-blown argument to justify libertarian rights against other non-libertarian rights theories—a point for which he has been widely criticized, most famously by Thomas Nagel (Nagel 1975). But what he does say in their defense suggests that he sees libertarian rights as an entailment of the other-regarding element in Kant’s second formulation of the categorical imperative—that we treat the humanity in ourselves and others as an end in itself, and never merely as a means. According to Nozick, both utilitarianism and theories that uphold positive rights sanction the involuntary sacrifice of one individual’s interests for the sake of others. Only libertarian rights, which for Nozick take the form of absolute side-constraints against force and fraud, show proper respect for the separateness of persons by barring such sacrifice altogether, and allowing each individual the liberty to pursue his or her own goals without interference.

Third, it is important to note that Nozick’s libertarianism evaluates the justice of states of affairs, such as distributions of property, in terms of the history or process by which that state of affairs arose, and not by the extent to which it satisfies what he calls a patterned or end-state principle of justice. Distributions of property are just, according to Nozick, if they arose from previously just distributions by just procedures. Discerning the justice of current distributions thus requires that we establish a theory of justice in transfer—to tell us which procedures constitute legitimate means of transferring ownership between persons—and a theory of justice in acquisition—to tell us how individuals might come to own external goods that were previously owned by no one. And while Nozick does not fully develop either of these theories, his skeletal position is nevertheless significant, for it implies that it is only the proper historical pedigree that makes a distribution just, and it is only deviations from the proper pedigree that renders a distribution unjust. An implication of this position is that one cannot discern from time-slice statistical data alone—such as the claim that the top fifth of the income distribution in the United States controls more than 80 percent of the nation’s wealth—that a distribution is unjust. Rather, the justice of a distribution depends on how it came about—by force or by trade? By differing degrees of hard work and luck? Or by fraud and theft? Libertarianism’s historical focus thus sets the doctrine against both outcome-egalitarian views that hold that only equal distributions are just, utilitarian views that hold that distributions are just to the extent they maximize utility, and prioritarian views that hold that distributions are just to the extent they benefit the worse-off. Justice in distribution is a matter of respecting people’s rights, not of achieving a certain outcome.

The final distinctive element of Nozick’s view is his acceptance of a modified version of the Lockean proviso as part of his theory of justice in acquisition. Nozick reads Locke’s claim that legitimate acts of appropriation must leave enough and as good for others as a claim that such appropriations must not worsen the situation of others (Nozick 1974, 175, 178). On the face of it, this seems like a small change from Locke’s original statement, but Nozick believes it allows for much greater freedom for free exchange and capitalism (Nozick 1974, 182). Nozick reaches this conclusion on the basis of certain empirical beliefs about the beneficial effects of private property:

it increases the social product by putting means of production in the hands of those who can use them most efficiently (profitably); experimentation is encouraged, because with separate persons controlling resources, there is no one person or small group whom someone with a new idea must convince to try it out; private property enables people to decide on the pattern and type of risks they wish to bear, leading to specialized types of risk bearing; private property protects future persons by leading some to hold back resources from current consumption for future markets; it provides alternative sources of employment for unpopular persons who don’t have to convince any one person or small group to hire them, and so on. (Nozick 1974, 177)

If these assumptions are correct, then persons might not be made worse off by acts of original appropriation even if those acts fail to leave enough and as good for others to appropriate. Private property and the capitalist markets to which it gives rise generate an abundance of wealth, and latecomers to the appropriation game (like people today) are in a much better position as a result. As David Schmidtz puts the point:

Original appropriation diminishes the stock of what can be originally appropriated, at least in the case of land, but that is not the same thing as diminishing the stock of what can be owned. On the contrary, in taking control of resources and thereby removing those particular resources from the stock of goods that can be acquired by original appropriation, people typically generate massive increases in the stock of goods that can be acquired by trade. The lesson is that appropriation is typically not a zero-sum game. It normally is a positive-sum game. (Schmidtz and Goodin 1998, 30)

Relative to their level of well-being in a world where nothing is privately held, then, individuals are generally not made worse off by acts of private appropriation. Thus, Nozick concludes, the Lockean proviso will “not provide a significant opportunity for future state action” in the form of redistribution or regulation of private property (Nozick 1974, 182).

c. Criticisms of Natural Rights Libertarianism

Nozick’s libertarian theory has been subject to criticism on a number of grounds. Here we will focus on two primary categories of criticism of Lockean/Nozickian natural rights libertarianism—namely, with respect to the principle of self-ownership and the derivation of private property rights from self-ownership.

i. Principle of Self-Ownership

Criticisms of the self-ownership principle generally take one of two forms. Some arguments attempt to sever the connection between the principle of self-ownership and the more fundamental moral principles that are thought to justify it. Nozick’s suggestion that self-ownership is warranted by the Kantian principle that no one should be treated as a mere means, for instance, is criticized by G.A. Cohen on the grounds that policies that violate self-ownership by forcing the well-off to support the less advantaged do not necessarily treat the well-off merely as means (Cohen 1995, 239–241). We can satisfy Kant’s imperative against treating others as mere means without thereby committing ourselves to full self-ownership, Cohen argues, and we have good reason to do so insofar as the principle of self-ownership has other, implausible, consequences. The same general pattern of argument holds against more intuitive defenses of the self-ownership principle. Nozick’s concern (Nozick 1977, 206), elaborated by Cohen (Cohen 1995, 70), that theories that deny self-ownership might license the forcible transfer of eyes from the sight-endowed to the blind, for instance, or Murray Rothbard’s claim that the only alternatives to self-ownership are slavery or communism (Rothbard 1973, 29), have been met with the response that a denial of the permissibility of slavery, communism, and eye-transplants can be made—and usually better made—on grounds other than self-ownership.

Other criticisms of self-ownership focus on the counterintuitive or otherwise objectionable implications of self-ownership. Cohen, for instance, argues that recognizing rights to full self-ownership allows individuals’ lives to be objectionably governed by brute luck in the distribution of natural assets, since the self that people own is largely a product of their luck in receiving a good or bad genetic endowment, and being raised in a good or bad environment (Cohen 1995, 229). Richard Arneson, on the other hand, has argued that self-ownership conflicts with Pareto-Optimality (Arneson 1991). His concern is that since self-ownership is construed by libertarians as an absolute right, it follows that it cannot be violated even in small ways and even when great benefit would accrue from doing so. Thus, to modify David Hume, absolute rights of self-ownership seem to prevent us from scratching the finger of another even to prevent the destruction of the whole world. And although the real objection here seems to be to the absoluteness of self-ownership rights, rather than to self-ownership rights as such, it remains unclear whether strict libertarianism can be preserved if rights of self-ownership are given a less than absolute status.

ii. Derivation of Full Private Property Ownership from Self-Ownership

Even if individuals have absolute rights to full self-ownership, it can still be questioned whether there is a legitimate way of moving from ownership of the self to ownership of external goods.

Left-libertarians, such as Hillel Steiner, Peter Vallentyne, and Michael Otsuka, grant the self-ownership principle but deny that it can yield full private property rights in external goods, especially land (Steiner 1994; Vallentyne 2000; Otsuka 2003). Natural resources, such theorists hold, belong to everyone in some equal way, and private appropriation of them amounts to theft. Rather than returning all such goods to the state of nature, however, most left-libertarians suggest that those who claim ownership of such resources be subjected to a tax to compensate others for the loss of their rights of use. Since the tax is on the value of the external resource and not on individuals’ natural talents or efforts, it is thought that this line of argument can provide a justification for a kind of egalitarian redistribution that is compatible with full individual self-ownership.

While left-libertarians doubt that self-ownership can yield full private property rights in external goods, others are doubtful that the concept is determinate enough to yield any theory of justified property ownership at all. Locke’s metaphor on labor mixing, for instance, is intuitively appealing, but notoriously difficult to work out in detail (Waldron 1983). First, it is not clear why mixing one’s labor with something generates any rights at all. As Nozick himself asks, “why isn’t mixing what I own with what I don’t own a way of losing what I own rather than a way of gaining what I don’t?” (Nozick 1974, 174–175). Second, it is not clear what the scope of the rights generated by labor-mixing are. Again, Nozick playfully suggests (but does not answer) this question when he asks whether a person who builds a fence around virgin land thereby comes to own the enclosed land, or simply the fence, or just the land immediately under it. But the point is more worrisome than Nozick acknowledges. For as critics such as Barbara Fried have pointed out, following Hohfeld, property ownership is not a single right but a bundle of rights, and it is far from clear which “sticks” from this bundle individuals should come to control by virtue of their self-ownership (Fried 2004). Does one’s ownership right over a plot of land entail the right to store radioactive waste on it? To dam the river that runs through it? To shine a very bright light from it in the middle of the night (Friedman 1989, 168)? Problems such as these must, of course, be resolved by any political theory—not just libertarians. The problem is that the concept of self-ownership seems to offer little, if any, help in doing so.

3. Consequentialist Libertarianism

While Nozickian libertarianism finds its inspiration in Locke and Kant, there is another species of libertarianism that draws its influence from David Hume, Adam Smith, and John Stuart Mill. This variety of libertarianism holds its political principles to be grounded not in self-ownership or the natural rights of humanity, but in the beneficial consequences that libertarian rights and institutions produce, relative to possible and realistic alternatives. To the extent that such theorists hold that consequences, and only consequences, are relevant in the justification of libertarianism, they can properly be labeled a form of consequentialism. Some of these consequentialist forms of libertarianism are utilitarian. But consequentialism is not identical to utilitarianism, and this section will explore both traditional quantitative utilitarian defenses of libertarianism, and other forms more difficult to classify.

a. Quantitative Utilitarianism

Philosophically, the approach that seeks to justify political institutions by demonstrating their tendency to maximize utility has its clearest origins in the thought of Jeremy Bentham, himself a legal reformer as well as moral theorist. But, while Bentham was no advocate of unfettered laissez-faire, his approach has been enormously influential among economists, especially the Austrian and Chicago Schools of Economics, many of whom have utilized utilitarian analysis in support of libertarian political conclusions. Some influential economists have been self-consciously libertarian—the most notable of which being Ludwig von Mises, Friedrich Hayek, James Buchanan, and Milton Friedman (the latter three are Nobel laureates). Richard Epstein, more legal theorist than economist, nevertheless utilizes utilitarian argument with an economic analysis of law to defend his version of classical liberalism. His work in Principles for a Free Society (1998) and Skepticism and Freedom (2003) is probably the most philosophical of contemporary utilitarian defenses of libertarianism. Buchanan’s work is generally described as contractarian, though it certainly draws heavily on utilitarian analysis. It too is highly philosophical.

Utilitarian defenses of libertarianism generally consist of two prongs: utilitarian arguments in support of private property and free exchange and utilitarian arguments against government policies that exceed the bounds of the minimal state. Utilitarian defenses of private property and free exchange are too diverse to thoroughly canvass in a single article. For the purposes of this article, however, the focus will be on two main arguments that have been especially influential: the so-called “Tragedy of the Commons” argument for private property and the “Invisible Hand” argument for free exchange.

i. The Tragedy of the Commons and Private Property

The Tragedy of the Commons argument notes that under certain conditions when property is commonly owned or, equivalently, owned by no one, it will be inefficiently used and quickly depleted. In his original description of the problem of the commons, Garrett Hardin asks us to imagine a pasture open to all, on which various herders graze their cattle (Hardin 1968). Each additional animal that the herder is able to graze means greater profit for the herder, who captures that entire benefit for his or her self. Of course, additional cattle on the pasture has a cost as well in terms of crowding and diminished carrying capacity of the land, but importantly this cost of additional grazing, unlike the benefit, is dispersed among all herders. Since each herder thus receives the full benefit of each additional animal but bears only a fraction of the dispersed cost, it benefits him or her to graze more and more animals on the land. But since this same logic applies equally well to all herders, we can expect them all to act this way, with the result that the carrying capacity of the field will quickly be exceeded.

The tragedy of the Tragedy of the Commons is especially apparent if we model it as a Prisoner’s Dilemma, wherein each party has the option to graze additional animals or not to graze. (See figure 1, below, where A and B represent two herders, “graze” and “don’t graze” their possible options, and the four possible outcomes of their joint action. Within the boxes, the numbers represent the utility each herder receives from the outcome, with A’s outcome listed on the left and B’s on the right). As the discussion above suggests, the best outcome for each individual herder is to graze an additional animal, but for the other herder not to—here the herder reaps all the benefit and only a fraction of the cost. The worst outcome for each individual herder, conversely, is to refrain from grazing an additional animal while the other herder indulges—in this situation, the herder bears costs but receives no benefit. The relationship between the other two possible outcomes is important. Both herders would be better off if neither grazed an additional animal, compared to the outcome in which both do graze an additional animal. The long-term benefits of operating within the carrying capacity of the land, we can assume, outweigh the short-term gains to be had from mutual overgrazing. By the logic of the Prisoner’s Dilemma, however, rational self-interested herders will not choose mutual restraint over mutual exploitation of the resource. This is because, so long as the costs of over-grazing are partially externalized on to other users of the resource, it is in each herder’s interest to overgraze regardless of what the other party does. In the language of game theory, overgrazing dominates restraint. As a result, not only is the resource consumed, but both parties are made worse off individually than they could have been. Mutual overgrazing creates a situation that not only yields a lower total utility than mutual restraint (2 vs. 6), but that is Pareto-inferior to mutual restraint—at least one party (indeed, both!) would have been made better off by mutual restraint without anyone having been made worse off.

B
Don’t Graze
Graze
A
Don’t Graze
3, 3
0, 5
Graze
5, 0
1, 1

Figure 1. The Tragedy of the Commons as Prisoner’s Dilemma

The classic solution to the Tragedy of the Commons is private property. Recall that the tragedy arises because individual herders do not have to bear the full costs of their actions. Because the land is common to all, the costs of overgrazing are partially externalized on to other users of the resource. But private property changes this. If, instead of being commonly owned by all, the field was instead divided into smaller pieces of private property, then herders would have the power to exclude others from using their own property. One would only be able to graze cattle on one’s own field, or on others’ fields on terms specified by their owners, and this means that the costs of that overgrazing (in terms of diminished usability of the land or diminished resale value because of that diminished usability) would be borne by the overgrazer alone. Private property forces individuals to internalize the cost of their actions, and this in turn provides individuals with an incentive to use the resource wisely.

The lesson is that by creating and respecting private property rights in external resources, governments can provide individuals with an incentive to use those resources in an efficient way, without the need for complicated government regulation and oversight of those resources. Libertarians have used this basic insight to argue for everything from privatization of roads (Klein and Fielding 1992) to private property as a solution to various environmental problems (Anderson and Leal 1991).

ii. The Invisible Hand and Free Exchange

Libertarians believe that individuals and groups should be free to trade just about anything they wish with whomever they wish, with little to no governmental restriction. They therefore oppose laws that prohibit certain types of exchanges (such as prohibitions on prostitution and sale of illegal drugs, minimum wage laws that effectively prohibit low-wage labor agreements, and so on) as well as laws that burden exchanges by imposing high transaction costs (such as import tariffs).

The reason utilitarian libertarians support free exchange is that, they argue, it tends to allocate resources into the hands of those who value them most, and in so doing to increase the total amount of utility in society. The first step in seeing this is to understand that even if trade is a zero-sum game in terms of the objects that are traded (nothing is created or destroyed, just moved about), it is a positivesum game in terms of utility. This is because individuals differ in terms of the subjective utility they assign to goods. A person planning to move from Chicago to San Diego might assign a relatively low utility value to her large, heavy furniture. It’s difficult and costly to move, and might not match the style of the new home anyway. But to someone else who has just moved into an empty apartment in Chicago, that furniture might have a very high utility value indeed. If the first person values the furniture at $200 (or its equivalent in terms of utility) and the second person values it at $500, both will gain if they exchange for a price anywhere between those two values. Each will have given up something they value less in exchange for something they value more, and net utility will have increased as a result.

As Friedrich Hayek has noted, much of the information about the relative utility values assigned to different goods is transmitted to different actors in the market via the price system (Hayek 1980). An increase in a resource’s price signals that demand for that resource has increased relative to supply. Consumers can respond to this price increase by continuing to use the resource at the now-higher price, switching to a substitute good, or discontinuing use of that sort of resource altogether. Each individual’s decision is both affected by the price of the relevant resources, and affects the price insofar as it adds to or subtracts from aggregate supply and demand. Thus, though they generally do not know it, each person’s decision is a response to the decisions of millions of other consumers and producers of the resource, each of whom bases her decision on her own specialized, local knowledge about that resource. And although all they are trying to do is maximize their own utility, each individual will be led to act in a way that leads the resource toward its highest-valued use. Those who derive the most utility from the good will outbid others for its use, and others will be led to look for cheaper substitutes.

On this account, one deeply influenced by the Austrian School of Economics, the market is a constantly churning process of competition, discovery, and innovation. Market prices represent aggregates of information and so generally represent an advance over what any one individual could hope to know on his own, but the individual decisions out of which market prices arise are themselves based on imperfect information. There are always opportunities that nobody has discovered, and the passage of time, the changing of people’s preferences, and the development of new technological possibilities ensures that this ignorance will never be fully overcome. The market is thus never in a state of competitive equilibrium, and it will always “fail” by the test of perfect efficiency. But it is precisely today’s market failures that provide the opportunities for tomorrow’s entrepreneurs to profit by new innovation (Kirzner 1996). Competition is a process, not a goal to be reached, and it is a process driven by the particular decisions of individuals who are mostly unaware of the overall and long-term tendencies of their decisions taken as a whole. Even if no market actor cares about increasing the aggregate level of utility in society, he will be, as Adam Smith wrote, “led by an invisible hand to promote an end which was no part of his intention” (Smith 1981). The dispersed knowledge of millions of market actors will be taken into account in producing a distribution that comes as close as practically possible to that which would be selected by a benign, omniscient, and omnipotent despot. In reality, however, all that government is required to do in order to achieve this effect is to define and enforce clear property rights and to allow the price system to freely adjust in response to changing conditions.

iii. Arguments Against Government Intervention

The above two arguments, if successful, demonstrate that free markets and private property generate good utilitarian outcomes. But even if this is true, it remains possible that selective government intervention in the economy could produce outcomes that are even better. Governments might use taxation and coercion for the provision of public goods, or to prevent other sorts of market failures like monopolies. Or governments might engage in redistributive taxation on the grounds that given the diminishing marginal utility of wealth, doing so will provide higher levels of overall utility. In order to maintain their opposition to government intervention, then, libertarians must produce arguments to show that such policies will not produce greater utility than a policy of laissez-faire. Producing such arguments is something of a cottage industry among libertarian economists, and so we cannot hope to provide a complete summary here. Two main categories of argument, however, have been especially influential. We can call them incentive-based arguments and public choice arguments.

Incentive arguments proceed by claiming that government policies designed to promote utility actually produce incentives for individuals to act in ways that run contrary to promotion of utility. Examples of incentive arguments include arguments that (a) government-provided (welfare) benefits dissuade individuals from taking responsibility for their own economic well-being (Murray 1984), (b) mandatory minimum wage laws generate unemployment among low-skilled workers (Friedman 1962, 180–181), (c) legal prohibition of drugs create a black market with inflated prices, low quality control, and violence (Thornton 1991), and (d) higher taxes lead people to work and/or invest less, and hence lead to lower economic growth.

Public choice arguments, on the other hand, are often employed by libertarians to undermine the assumption that government will use its powers to promote the public interest in the way its proponents claim it will. Public choice as a field is based on the assumption that the model of rational self-interest typically employed by economists to predict the behavior of market agents can also be used to predict the behavior of government agents. Rather than trying to maximize profit, however, government agents are thought to be aiming at re-election (in the case of elected officials) or maintenance or expansion of budget and influence (in the case of bureaucrats). From this basic analytical model, public choice theorists have argued that (a) the fact that the costs of many policies are widely dispersed among taxpayers, while their benefits are often concentrated in the hands of a few beneficiaries, means that even grossly inefficient policies will be enacted and, once enacted, very difficult to remove, (b) politicians and bureaucrats will engage in “rent-seeking” behavior by exploiting the powers of their office for personal gain rather than public good, and (c) certain public goods will be over-supplied by political processes, while others will be under-supplied, since government agents lack both knowledge and incentives necessary to provide such goods at efficient levels (Mitchell and Simmons 1994). These problems are held to be endemic to political processes, and not easily subject to legislative or constitutional correction. Hence, many conclude that the only way to minimize the problems of political power is to minimize the scope of political power itself by subjecting as few areas of life as possible to political regulation.

b. Traditionalist Consequentialism

The quantitative utilitarians are often both rationalist and radical in their approach to social reform. For them, the maximization of utility serves as an axiomatic first principle, from which policy conclusions can be straightforwardly deduced once empirical (or quasi-empirical) assessments of causal relationships in the world have been made. From Jeremy Bentham to Peter Singer, quantitative utilitarians have advocated dramatic changes in social institutions, all justified in the name of reason and the morality it gives rise to.

There is, however, another strain of consequentialism that is less confident in the ability of human reason to radically reform social institutions for the better. For these consequentialists, social institutions are the product of an evolutionary process that itself is the product of the decisions of millions of discrete individuals. Each of these individuals in turn possess knowledge that, though by itself is insignificant, in the aggregate represents more than any single social reformer could ever hope to match. Humility, not radicalism, is counseled by this variety of consequentialism.

Though it has its affinities with conservative doctrines such as those of Edmund Burke, Michael Oakeshott, and Russell Kirk, this strain of consequentialism had its greatest influence on libertarianism through the work of Friedrich Hayek. Hayek, however, takes pains to distance himself from conservative ideology, noting that his respect for tradition is not grounded in a fetish for the status quo or an opposition to change as such, but in deeper, distinctively liberal principles (Hayek 1960). For Hayek, tradition is valuable because, and only to the extent that, it evolves in a peaceful, decentralized way. Social norms that are chosen by free individuals and survive competition from competing norms without being maintained by coercion are, for that reason, worthy of respect even if we are not consciously aware of all the reasons that the institution has survived. Somewhat paradoxically then, Hayek believes that we can rationally support institutions even when we lack substantive justifying reasons for supporting them. The reason this can be rational is that even when we lack substantive justifying reasons, we nevertheless have justifying reasons in a procedural sense—the fact that the institution is the result of an evolutionary procedure of a certain sort gives us reason to believe that there are substantive justifying reasons for it, even if we do not know what they are (Gaus 2006).

For Hayek, the procedures that lend justifying force to institutions are, essentially, ones that leave individuals free to act as they wish so long as they do not act aggressively toward others. For Hayek, however, this principle is not a moral axiom but rather follows from his beliefs regarding the limits and uses of knowledge in society. A crucial piece of Hayek’s arguments regarding the price system, (see above) is his claim that each individual possesses a unique set of knowledge about his or her local circumstances, special interests, desires, abilities, and so forth. The price system, if allowed to function freely without artificial floors or ceilings, will reflect this knowledge and transmit it to other interested individuals, thus allowing society to make effective use of dispersed knowledge. But Hayek’s defense of the price system is only one application of a more general point. The fact that knowledge of all sorts exists in dispersed form among many individuals is a fundamental fact about human existence. And since this knowledge is constantly changing in response to changing circumstances and cannot therefore be collected and acted upon by any central authority, the only way to make use of this knowledge effectively is to allow individuals the freedom to act on it themselves. This means that government must disallow individuals from coercing one another, and also must refrain from coercing them themselves. The social order that such voluntary actions produce is one that, given the complexity of social and economic systems and radical limitations on our ability to acquire knowledge about its particular details (Gaus 2007), cannot be imposed by fiat, but must evolve spontaneously in a bottom-up manner. Hayek, like Mill before him (Mill 1989), thus celebrates the fact that a free society allows individuals to engage in “experiments in living” and therefore, as Nozick argued in the neglected third part of his Anarchy, State, and Utopia, can serve as a “utopia of utopias” where individuals are at liberty to organize their own conception of the good life with others who voluntarily choose to share their vision (Hayek 1960).

Hayek’s ideas about the relationship between knowledge, freedom, and a constitutional order were first developed at length in The Constitution of Liberty, later developed in his series Law, Legislation and Liberty, and given their last, and most accessible (though not necessarily most reliable (Caldwell 2005)) statement in The Fatal Conceit: The Errors of Socialism (1988). Since then, the most extensive integration of these ideas into a libertarian framework is in Randy Barnett’s The Structure of Liberty, wherein Barnett argues that a “polycentric constitutional order” (see below regarding anarcho-capitalism) is best suited to solve not only the Hayekian problem of the use of knowledge in society, but also what he calls the problems of “interest” and “power” (Barnett 1998). More recently, Hayekian insights have been put to use by contemporary philosophers Chandran Kukathas (1989; 2006) and Gerald Gaus (2006; 2007).

c. Criticisms of Consequentialist Libertarianism

Consequentialist defenses of libertarianism are, of course, varieties of consequentialist moral argument, and are susceptible therefore to the same kinds of criticisms leveled against consequentialist moral arguments in general. Beyond these standard criticisms, moreover, consequentialist defenses of libertarianism are subject to four special difficulties.

First, consequentialist arguments seem unlikely to lead one to full-fledged libertarianism, as opposed to more moderate forms of classical liberalism. Intuitively, it seems implausible that simple protection of individual negative liberties would do a better job than any alternative institutional arrangement at maximizing utility or peace and prosperity or whatever. And this intuitive doubt is buttressed by economic analyses showing that unregulated capitalist markets suffer from production of negative externalities, from monopoly power, and from undersupply of certain public goods, all of which cry out for some form of government protection (Buchanan 1985). Even granting libertarian claims that (a) these problems are vastly overstated, (b) often caused by previous failures of government to adequately respect or enforce private property rights, and (c) government ability to correct these is not as great as one might think, it’s nevertheless implausible to suppose, a priori, that it will never be the case that government can do a better job than the market by interfering with strict libertarian rights.

Second, consequentialist defenses of libertarianism are subject to objections when a great deal of benefit can be had at a very low cost. So-called cases of “easy rescue,” for instance, challenge the wisdom of adhering to absolute prohibitions on coercive conduct. After all, if the majority of the world’s population lives in dire poverty and suffer from easily preventable diseases and deaths, couldn’t utility be increased by increasing taxes slightly on wealthy Americans and using that surplus to provide basic medical aid to those in desperate need? The prevalence of such cases is an empirical question, but their possibility points (at least) to a “fragility” in the consequentialist case for libertarian prohibitions on redistributive taxation.

Third, the consequentialist theories at the root of these libertarian arguments are often seriously under-theorized. For instance, Randy Barnett bases his defense of libertarian natural rights on the claim that they promote the end of “happiness, peace and prosperity” (Barnett 1998). But this leaves a host of difficult questions unaddressed. The meaning of each of these terms, for instance, has been subject to intense philosophical debate. Which sense of happiness, then, does libertarianism promote? What happens when these ends conflict—when we have to choose, say, between peace and prosperity? And in what sense do libertarian rights “promote” these ends? Are they supposed to maximize happiness in the aggregate? Or to maximize each person’s happiness? Or to maximize the weighted sum of happiness, peace, and prosperity? Richard Epstein is on more familiar and hence, perhaps, firmer ground when he says that his version of classical liberalism is meant to maximize utility, but even here the claim that utility maximization is the proper end of political action is asserted without argument. The lesson is that while consequentialist political arguments might seem less abstract and philosophical (in the pejorative sense) than deontological arguments, consequentialism is still, nevertheless, a moral theory, and needs to be clearly articulated and defended as any other moral theory. Possibly because consequentialist defenses of libertarianism have been put forward mainly by non-philosophers, this challenge has yet to be met.

A fourth and related point has to do with issues surrounding the distribution of wealth, happiness, opportunities, and other goods allegedly promoted by libertarian rights. In part, this is a worry common to all maximizing versions of consequentialism, but it is of special relevance in this context given the close relation between economic systems and distributional issues. The worry is that morality, or justice, requires more than simply producing an abundance of wealth, happiness, or whatever. It requires that each person gets a fair share—whether that is defined as an equal share, a share sufficient for living a good life, or something else. Intuitively fair distributions are simply not something that libertarian institutions can guarantee, devoid as they are of any means for redistributing these goods from the well-off to the less well-off. Furthermore, once it is granted that libertarianism is likely to produce unequal distributions of wealth, the Hayekian argument for relying on the free price system to allocate goods no longer holds as strongly as it appeared to. For we cannot simply assume that a free price system will lead to goods being allocated to their most valued use if some people have an abundance of wealth and others very little at all. A free market of self-interested persons will not distribute bread to the starving man, no matter how much utility he would derive from it, if he cannot pay for it. And a wealthy person, such as Bill Gates, will still always be able to outbid a poor person for season tickets to the Mariners, even if the poor person values the tickets much more highly than he, since the marginal value of the dollars he spends on the tickets is much lower to him than the marginal value of the poor person’s dollars. Both by an external standard of fairness and by an internal standard of utility-maximization, then, unregulated free markets seem to fall short.

4. Anarcho-Capitalism

Anarcho-capitalists claim that no state is morally justified (hence their anarchism), and that the traditional functions of the state ought to be provided by voluntary production and trade instead (hence their capitalism). This position poses a serious challenge to both moderate classical liberals and more radical minimal state libertarians, though, as we shall see, the stability of the latter position is especially threatened by the anarchist challenge.

Anarcho-capitalism can be defended on either consequentialist or deontological grounds, though usually a mix of both arguments is proffered. On the consequentialist side, it is argued that police protection, court systems, and even law itself can be provided voluntarily for a price like any other market good (Friedman 1989; Rothbard 1978; Barnett 1998; Hasnas 2003; Hasnas 2007). And not only is it possible for markets to provide these traditionally state-supplied goods, it is actually more desirable for them to do so given that competitive pressures in this market, as in others, will produce an array of goods that is of higher general quality and that is diverse enough to satisfy individuals’ differing preferences (Friedman 1989; Barnett 1998). Deontologically, anarcho-capitalists argue that the minimal state necessarily violates individual rights insofar as it (1) claims a monopoly on the legitimate use of force and thereby prohibits other individuals from exercising force in accordance with their natural rights, and (2) funds its protective services with coercively obtained tax revenue that it sometimes (3) uses redistributively to pay for protection for those who are unable to pay for themselves (Rothbard 1978; Childs 1994).

Robert Nozick was one of the first academic philosophers to take the anarchist challenge seriously. In the first part of his Anarchy, State, and Utopia he argued that the minimal state can evolve out of an anarcho-capitalist society through an invisible hand process that does not violate anyone’s rights. Competitive pressures and violent conflict, he argued, will provide incentives for competing defensive agencies to merge or collude so that, effectively, monopolies will emerge over certain geographical areas (Nozick 1974). Since these monopolies are merely de facto, however, the dominant protection agency does not yet constitute a state. For that to occur, the “dominant protection agency” must claim that it would be morally illegitimate for other protection agencies to operate, and make some reasonably effective attempt to prohibit them from doing so. Nozick’s argument that it would be legitimate for the dominant protection agency to do so is one of the most controversial aspects of his argument. Essentially, he argues that individuals have rights not to be subject to the risk of rights-violation, and that the dominant protection agency may legitimately prohibit the protective activities of its competitors on grounds that their procedures involve the imposition of risk. In claiming and enforcing this monopoly, the dominant protection agency becomes what Nozick calls the “ultraminimal state”—ultraminimal because it does not provide protective services for all persons within its geographical territory, but only those who pay for them. The transition from the ultraminimal state to the minimal one occurs when the dominant protection agency (now state) provides protective services to all individuals within its territory, and Nozick argues that the state is morally obligated to do this in order to provide compensation to the individuals who have been disadvantaged by its seizure of monopoly power.

Nozick’s arguments against the anarchist have been challenged on a number of grounds. First, the justification for the state it provides is entirely hypothetical—the most he attempts to claim is that a state could arise legitimately from the state of nature, not that any actual state has (Rothbard 1977). But if hypotheticals were all that mattered, then an equally compelling story could be told of how the minimal state could devolve back into merely one competitive agency among others by a process that violates no one’s rights (Childs 1977), thus leaving us at a justificatory stalemate. Second, it is questionable whether prohibiting activities that run the risk of violating rights, but do not actually violate any, is compatible with fundamental liberal principles (Rothbard 1977). Finally, even if the general principle of prohibition with compensation is legitimate, it is nevertheless doubtful that the proper way to compensate the anarchist who has been harmed by the state’s claim of monopoly is to provide him with precisely what he does not want—state police and military services (Childs 1977).

Until decisively rebutted, then, the anarchist position remains a serious challenge for libertarians, especially of the minimal state variety. This is true regardless of whether their libertarianism is defended on consequentialist or natural rights grounds. For the consequentialist libertarian, the challenge is to explain why law and protective services are the only goods that require state provision in order to maximize utility (or whatever the maximandum may be). If, for instance, the consequentialist justification for the state provision of law is that law is a public good, then the question is: Why should other public goods not also be provided? The claim that only police, courts, and military fit the bill appears to be more an a priori article of faith than a consequence of empirical analysis. This consideration might explain why so many consequentialist libertarians are in fact classical liberals who are willing to grant legitimacy to a larger than minimal state (Friedman 1962; Hayek 1960; Epstein 2003). For deontological libertarians, on the other hand, the challenge is to show why the state is justified in (a) prohibiting individuals from exercising or purchasing protective activities on their own and (b) financing protective services through coercive and redistributive taxation. If this sort of prohibition, and this sort of coercion and redistribution is justified, why not others? Once the bright line of non-aggression has been crossed, it is difficult to find a compelling substitute.

This is not to say that anarcho-capitalists do not face challenges of their own. First, many have pointed out that there is a paucity of empirical evidence to support the claim that anarcho-capitalism could function in a modern post-industrial society. Pointing to quasi-examples from Medieval Iceland (Friedman 1979) does little to alleviate this concern (Epstein 2003). Second, even if a plausible case could be made for the market provision of law and private defense, the market provision of national defense, which fits the characteristics of a public good almost perfectly, remains a far more difficult challenge (Friedman 1989). Finally, when it comes to rights and anarchy, one philosopher’s modus ponens is another’s modus tollens. If respect for robust rights of self-ownership and property in external goods, as libertarians understand them, entail anarcho-capitalism, why not then reject these rights rather than embrace anarcho-capitalism? Rothbard, Nozick and other natural rights libertarians are notoriously lacking in foundational arguments to support their strong belief in these rights. In the absence of strong countervailing reasons to accept these rights and the libertarian interpretation of them, the fact that they lead to what might seem to be absurd conclusions could be a decisive reason to reject them.

5. Other Approaches to Libertarianism

This entry has focused on the main approaches to libertarianism popular among academic philosophers. But it has not been exhaustive. There are other philosophical defenses of libertarianism that space prevents exploring in detail, but deserve mention nevertheless. These include defenses of libertarianism that proceed from teleological and contractual considerations.

a. Teleological Libertarianism

One increasingly influential approach takes as its normative foundation a virtue-centered ethical theory. Such theories hold that libertarian political institutions are justified in the way they allow individuals to develop as virtuous agents. Ayn Rand was perhaps the earliest modern proponent of such theory, and while her writings were largely ignored by academics, the core idea has since been picked up and developed with greater sophistication by philosophers like Tara Smith, Douglas Rasmussen, and Douglas Den Uyl (Rasmussen and Den Uyl 1991; 2005).

Teleological versions of libertarianism are in some significant respects similar to consequentialist versions, insofar as they hold that political institutions are to be judged in light of their tendency to yield a certain sort of outcome. But the consequentialism at work here is markedly different from the aggregative and impartial consequentialism of act-utilitarianism. Political institutions are to be judged based on the extent to which they allow individuals to flourish, but flourishing is a value that is agent-relative (and not agent-neutral as is happiness for the utilitarian), and also one that can only be achieved by the self-directed activity of each individual agent (and not something that can be distributed among individuals by the state). It is thus not the job of political institutions to promote flourishing by means of activist policies, but merely to make room for it by enforcing the core set of libertarian rights.

These claims lead to challenges for the teleological libertarian, however. If human flourishing is good, it must be so in an agent-neutral or in an agent-relative sense. If it is good in an agent-neutral sense, then it is unclear why we do not share positive duties to promote the flourishing of others, alongside merely negative duties to refrain from hindering their pursuit of their own flourishing.

Teleological libertarians generally argue that flourishing is something that cannot be provided for one by others since it is essentially a matter of exercising one’s own practical reason in the pursuit of a good life. But surely others can provide for us some of the means for our exercise of practical reason—from basics such as food and shelter to more complex goods such as education and perhaps even the social bases of self-respect. If, on the other hand, human flourishing is a good in merely an agent-relative sense, then it is unclear why others’ flourishing imposes any duties on us at all—positive or negative. If duties to respect the negative rights of others are not grounded in the agent-neutral value of others’ flourishing, then presumably they must be grounded in our own flourishing, but (a) making the wrongness of harming others depend on its negative effect on us seems to make that wrongness too contingent on situational facts—surely there are some cases in which violating the rights of others can benefit us, even in the long-term holistic sense required by eudaimonistic accounts. And (b) the fact that wronging others will hurt us seems to be the wrong kind of explanation for why rights-violating acts are wrong. It seems to get matters backwards: rights-violating actions are wrong because of their effects on the person whose rights are violated, not because they detract from the rights-violator’s virtue.

b. Contractarian Libertarianism

Another moral framework that has become increasingly popular among philosophers since Rawls’s Theory of Justice (1971) is contractarianism. As a moral theory, contractarianism is the idea that moral principles are justified if and only if they are the product of a certain kind of agreement among persons. Among libertarians, this idea has been developed by Jan Narveson in his book, The Libertarian Idea (1988), which attempts to show that rational individuals would agree to a government that took individual negative liberty as the only relevant consideration in setting policy. And, while not self-described as a contractarian, Loren Lomasky’s work in Persons, Rights, and the Moral Community (1987) has many affinities with this approach, as it attempts to defend libertarianism as a kind of policy of mutual-advantage between persons.

c. Conclusion: Libertarianism as an Overlapping Consensus

Most of the libertarian theories we have surveyed in this article have a common structure: foundational philosophical commitments are set out, theories are built upon them, and practical conclusions are derived from those theories. This approach has the advantage of thoroughness—one’s ultimate political conclusions are undergirded by a weighty philosophical system to which any challengers can be directed. The downside of this approach is that anyone who disagrees with one’s philosophic foundations will not be much persuaded by one’s conclusions drawn from them—and philosophers are not generally known for their widespread agreement on foundational issues.

As a result, much of the most interesting work in contemporary libertarian theory skips systematic theory-building altogether, and heads straight to the analysis of concrete problems. Often this analysis proceeds by accepting some set of values as given—often the values embraced by those who are not sympathetic to libertarianism as a political theory—and showing that libertarian political institutions will better realize those values than competing institutional frameworks. Daniel Shapiro’s recent work on welfare states (Shapiro 2007), for instance, is a good example of this trend, in arguing that contemporary welfare states are unjustifiable from a variety of popular theoretical approaches. Loren Lomasky (2005) has written a humorous but important piece arguing that Rawls’s foundational principles are better suited to defending Nozickian libertarianism than even Nozick’s foundational principles are. And David Schmidtz (Schmidtz and Goodin 1998) has argued that market institutions are supported on grounds of individual responsibility that any moral framework ought to take seriously. While such approaches lack the theoretical completeness that philosophers naturally crave, they nevertheless have the virtue of addressing crucially important social issues in a way that dispenses with the need for complete agreement on comprehensive moral theories.

A theoretical justification of this approach can be found in John Rawls’s notion of an overlapping consensus, as developed in his work Political Liberalism (1993). Rawls’s idea is that decisions about which political institutions and principles to adopt ought to be based on those aspects of morality on which all reasonable theories converge, rather than any one particular foundational moral theory, because there is reasonable and apparently intractable disagreement about foundational moral issues. Extending this overlapping consensus approach to libertarianism, then, entails viewing libertarianism as a political theory that is compatible with a variety of foundational metaphysical, epistemological, and ethical views. Individuals need not settle their reasonable disagreements regarding moral issues in order to agree upon a framework for political association; and libertarianism, with its robust toleration of individual differences, seems well-suited to serve as the principle for such a framework (Barnett 2004).

6. References and Further Reading

  • Anderson, T. L. and Leal, D. R. Free-market Environmentalism. San Francisco: Pacific Research Institute, 1991.
    • Argues that free markets can do a better job than government regulation and management at protecting and promoting environmental goods, with detailed application to water markets, oceans, forests, and more.
  • Arneson, R. “Lockean Self-Ownership: Toward a Demolition.” Political Studies, 39 (March), 36–54, 1991.
    • A criticism of the concept of self-ownership from a contemporary liberal egalitarian philosopher. Argues that the principle is both less determinate than has been typically supposed, and that even where it has determinate implications it is unacceptable on moral grounds.
  • Barnett, R. E. The Structure of Liberty: Justice and the Rule of Law. Oxford: Oxford University Press, 1998.
    • A contemporary work of libertarian theory that weaves Hayekian insights regarding prices and information, public choice insights regarding governmental inefficiencies, and restitution-based insights on punishment arguing for a “polycentric constitutional order” (anarcho-capitalism).
  • Barnett, R. E. “The Moral Foundations of Modern Libertarianism,” in Peter Berkowitz (ed.), Varieties of Conservatism in America. Stanford: Hoover Institution Press, 2004.
    • Argues that libertarians need not choose between consequentialist and deontological foundations for their position, but can advocate it based on the idea that libertarianism’s
      support for the rule of law serves as the basis for an “overlapping consensus” of reasonable moral views.
  • Barry, N. P. On Classical Liberalism and Libertarianism. London: Macmillan, 1986.
    • A thorough and largely sympathetic survey of the major varieties of classical liberal and libertarian political thought, together with their philosophic foundations and weaknesses.
  • Berlin, I. “Two Concepts of Liberty,” in Isaiah Berlin, Four Essays on Liberty. Oxford: Oxford University Press, 1990 [1958].
    • A classic defense of the political pursuit of negative over positive liberty. See, however, Rothbard’s essay “Isaiah Berlin on Negative Freedom” in The Ethics of Liberty (1982) for a libertarian criticism of this distinction and Berlin’s argument for it.
  • Buchanan, A. Ethics, Efficiency and the Market. Oxford: Oxford University Press, 1985.
    • Critical survey of consequentialist, natural rights, and other deontological arguments for free markets by a first-rate philosopher.
  • Buchanan, J. and Tullock, G. The Calculus of Consent. Ann Arbor: University of Michigan Press, 1962.
    • The founding text of the public choice school of political economics, which applies the assumption of rational self-interest to government agents to predict their behavior and assist in institutional design.
  • Caldwell, B. Hayek’s Challenge: An Intellectual Biography of F.A. Hayek. Chicago: University of Chicago Press, 2005.
    • An excellent source for biographical details of Hayek’s life, as well as a concise summary of his economic, political, social, and scientific thought, and discussion of its influence.
  • Childs, R. A. “The Invisible Hand Strikes Back.” Journal of Libertarian Studies, 1 (1), 23–33, 1977.
    • An attempt to refute Nozick’s argument that society can progress from anarchy to a minimal state by an “invisible hand” process that violates no one’s rights.
  • Childs, R. A. “Objectivism and the State: An Open Letter to Ayn Rand,” in J. K. Taylor (ed.), Liberty Against Power: Essays by Roy A. Childs, Jr. San Francisco: Fox and Wilkes, 1994 [1969].
    • Argues that Ayn Rand’s defense of a minimal state is incompatible with her more basic views regarding men’s natural rights against the initiation of force, and that a proper respect for those rights requires anarcho-capitalism.
  • Cohen, G. A. Self-ownership, Freedom, and Equality. Cambridge: Cambridge University Press, 1995.
    • A critical exploration of Nozick’s reliance on the concept of “self-ownership.” Cohen argues that Nozick’s libertarian conclusions do not necessarily follow from self-ownership, and that we have good reason to reject the concept anyway.
  • Epstein, R. A. Simple Rules for a Complex World. Cambridge: Harvard University Press, 1995.
    • An argument for a classical liberal order centered on the virtues of the simple legal rules such an order would employ. Epstein provides both a theoretical argument for the virtues of simplicity, and applications of the argument to a wide array of legal controversies.
  • Epstein, R. A. Principles for a Free Society: Reconciling Individual Liberty with the Common Good. New York: Basic Books, 1998.
    • Epstein’s most philosophical contribution to classical liberal theory, an argument based on a utilitarian justification of natural law reasoning, and a reinterpretation of Mill’s Harm Principle.
  • Epstein, R. A. Skepticism and Freedom: A Modern Case for Classical Liberalism. Chicago: University of Chicago Press, 2003.
    • A defense of classical liberalism from challenges of moral relativism, skepticism over legal rules, skepticism over core concepts of classical liberalism, and behavioral economics.
  • Fried, B. “Left-Libertarianissm: A Review Essay.” Philosophy and Public Affairs, 32 (1), 66–92, 2004.
    • Ostensibly a critique of the coherence and alleged “libertarianism” of contemporary left-libertarian theories. Fried’s criticisms, however, apply to many natural-rights approaches to right-libertarianism as well. See also the response piece by Vallentyne, Steiner, and Otsuka in vol. 33, no. 2, of the same journal.
  • Friedman, D. “Private Creation and Enforcement of Law: A Historical Case.” Journal of Legal Studies, 8 (2), 399–415, 1979.
    • Puts forth Medieval Iceland as a case study of a well-functioning anarchic social order.
  • Friedman, D. The Machinery of Freedom: Guide to Radical Capitalism, 2nd ed. La Salle: Open Court, 1989.
    • A utilitarian defense of anarcho-capitalism. The second condition also contains a valuable postscript that discusses problems for non-utilitarian defenses of libertarianism.
  • Friedman, M. Capitalism and Freedom. Chicago: University of Chicago Press, 1962.
    • Argues that economic freedom and political freedom are intimately connected, and presents the case for free markets and voluntary action in education, poverty relief, occupational licensure, and more. A classic.
  • Gaus, G. “Hayek on the Evolution of Society and Mind,” in E. Feser (ed.), The Cambridge Companion to Hayek. Cambridge: Cambridge University Press, 2006.
    • A systematic exploration of the concept of “evolution” as employed in Hayek’s social and economic thought, and in his philosophy of mind. Defends Hayek’s use of the concept against criticisms that it is normatively vacuous or that it fails to justify a market order.
  • Gaus, G. “Social Complexity and Evolved Moral Principles,” in P. McNamara (ed.), Liberalism, Conservatism, and Hayek’s Idea of Spontaneous Order. London: Palgrave Macmillan, 2007.
    • An exploration and defense of the Hayekian idea that because of the complexity of social orders, governments should adhere to abstract moral principles rather than violating those principles and seeking to promote expedient outcomes.
  • Hardin, G. “The Tragedy of the Commons.” Science,162, 1243–1248, 1968.
    • The classic statement of the tragedy of the commons. Hardin, however, draws the distinctively un-libertarian conclusion that because the carrying capacity of the earth as a whole is a commons, freedom to reproduce must be severely coercively curtailed if overpopulation and its attendant problems are to be avoided.
  • Hasnas, J. “Reflections on the Minimal State.” Politics, Philosophy and Economics, 2 (1), 115–128, 2003.
    • Argues that public-good arguments for the state provision of law and law enforcement fail, since the state can ensure such goods are provided without providing them itself. Hence, even if they were valid, public good arguments would not justify the “minimal state,” but something smaller.
  • Hasnas, J. “The Obviousness of Anarchy,” in R. Long and T. Machan (eds.), Anarchism/Minarchism: Is Government Part of a Free Country? United Kingdom: Ashgate Press, 2007.
    • Argues that anarchism’s feasibility can be demonstrated by surveying a number of contemporary and historical examples where the goods that government is thought to be necessary to provide have been or are provided by voluntary means.
  • Hayek, F. A. The Constitution of Liberty. Chicago: University of Chicago Press, 1960.
    • The early statement of Hayek’s social theory, later developed in more detail in his Law, Legislation, and Liberty series. This book presents Hayek’s theory of freedom, coercion, and law, presents a defense of a classical liberal social order, and discusses the problems involved in modern welfare states.
  • Hayek, F. A. Law, Legislation and Liberty. London: Routledge and Kegan Paul, 1973.
    • This three volume series represents the fullest development of Hayek’s social and political thought, applying his concepts of dispersed knowledge and spontaneous order to the phenomena of law and justice.
  • Hayek, F. A. “The Use of Knowledge in Society,” in F. Hayek (ed.), Individualism and Economic Order. Chicago: University of Chicago Press, 1980 [1945].
    • Hayek’s seminal paper discussing the way in which a free price system serves to convey information and coordinate social action.
  • Hayek, F. A. and Bartley III, W. W. The Fatal Conceit: The Errors of Socialism. Chicago: University of Chicago Press, 1988.
    • Presents Hayek’s theory of the origins and evolution of modern society, his defense of a form of liberal traditionalism, and his critique of political rationalism, especially as it manifests itself in socialism.
  • Kirzner, I. The Meaning of Market Process. New York: Routledge, 1996.
    • A collection of essays by one of the world’s leading Austrian economists. This book focuses on the role of ignorance, uncertainty, and time in market competition, and the role of the entrepreneur in the continual (but always incomplete) move toward equilibrium.
  • Klein, D. and Fielding, G. J. “Private Toll Roads: Learning from the Nineteenth Century.” Transportation Quarterly, 7 (July), 321–341, 1992.
    • Discusses how roads, considered by many economists to be a classic public good, were provided on a fee-for-use basis in the nineteenth century, and what lessons can be learned from this example for contemporary transportation policy.
  • Kukathas, C. Hayek and Modern Liberalism. Oxford: Oxford University Press, 1989.
    • A sympathetic but critical appraisal of Hayek’s social thought by a contemporary libertarian political theorist.
  • Kukathas, C. “The Mirage of Global Justice.” Social Philosophy and Policy, 23 (1), 1–28, 2006.
    • A libertarian contribution to the debate on international justice, this paper argues that the political pursuit of global justice is an unworthy goal, and that the design of international institutions should be aimed at limiting power rather than securing justice.
  • Locke, J. The Second Treatise of Government. New York: MacMillan, 1952 [1689].
    • Locke’s classic statement of his positive political philosophy, which expounds upon the ideas of natural law, property rights, and limited governments.
  • Lomasky, L. E. Persons, Rights, and the Moral Community. Oxford: Oxford University Press, 1987.
    • A thorough and unique philosophical defense of classical liberalism, based on the idea that agents require liberty to pursue projects that matter to them, and must grant liberty to others to expect it themselves.
  • Lomasky, L. E. “Libertarianism at Twin Harvard.” Social Philosophy and Policy, 22 (1), 178–199, 2005.
    • A playful piece that paints a picture of Twin Harvard (on Twin Earth) where Rawls is a libertarian and Nozick a welfare-state liberal, which suggests that Twin-Rawls and Twin-Nozick just might be more consistent than their real-world counterparts.
  • Mack, E. “Self-ownership, Marxism, and Egalitarianism: Part I: Challenges to Historical Entitlement.” Politics, Philosophy and Economics, 1 (1), 75–108, 2002a.
    • A response to Cohen’s criticism of Nozick, this piece defends the idea that rights to self-ownership legitimately yield unequal distributions of income and wealth.
  • Mack, E. “Self-ownership, Marxism, and Egalitarianism: Part II: Challenges to the Self-ownership Thesis.” Politics, Philosophy and Economics, 1 (2), 237–276, 2002b.
    • This second part of Mack’s response to Cohen defends the self-ownership thesis against his criticisms.
  • Mack, E. and Gaus, G. “Classical Liberalism and Libertarianism: The Liberty Tradition,” in G. Gaus and C. Kukathas (eds.), Handbook of Political Theory. London: Sage, 2004.
    • A helpful discussion of classical liberalism and libertarianism, which focuses on the various commitments these theories share, and how their disagreement about the centrality or validity of some of these commitments divides the various members of this intellectual tradition.
  • Mill, J. S. “On Liberty,”in Stefan Collini (ed.), On Liberty and Other Writings. Cambridge: Cambridge University Press, 1989 [1859].
    • Mill’s classic statement of the moral foundations of liberalism. Mill famously argues that each person should be at liberty to do as he wills so long as he does not harm others in doing so. One of the most influential defenses of individuality, free thought, and expression in the Western canon.
  • Mitchell, W. and Simmons, R. Beyond Politics: Markets, Welfare, and the Failure of Bureaucracy. San Francisco: Westview Press, 1994.
    • An accessible primer on public choice theory, with special focus on its implications for advocates of limited government.
  • Murray, C. Losing Ground: American Social Policy, 1950–1980. New York: Basic Books, 1984.
    • Argues that the growth of welfare in 1960s and 1970s America worsened the lot of poor and minority citizens, largely by eroding their incentive and ability to take responsibility for their lives.
  • Nagel, T. “Libertarianism Without Foundations.” Yale Law Journal, 85, 136–149, 1975.
    • Argues that Nozick’s defense of libertarianism is entirely unsuccessful insofar as it fails to provide a defense of the robust conception of individual rights that supports it.
  • Narveson, J. The Libertarian Idea. Philadelphia: Temple University Press, 1988.
    • A contractarian defense of libertarianism, inspired by the work of David Gauthier and Robert Nozick. Discusses both libertarian theory and its application to current controversies such as children’s rights, zoning laws, and national defense.
  • Nozick, R. Anarchy, State, and Utopia. New York: Basic Books, 1974.
    • Nozick’s classic statement of libertarian principles. Highlights include a lengthy criticism of Rawls’s Theory of Justice, and a neglected third section on how a libertarian society serves as a “framework for utopia.”
  • Otsuka, M. Libertarianism Without Inequality. Oxford: Oxford University Press, 2003.
    • One of the most recent systematic developments of left-libertarianism, combining individual rights to full self-ownership with the egalitarian principle of equal opportunity for welfare.
  • Otteson, J. Actual Ethics. Cambridge: Cambridge University Press, 2006.
    • A Kantian defense of classical liberalism, centered on the idea of respect for persons, and developed with an Aristotelian conception of judgment.
  • Rand, A. “Man’s Rights,” in A. Rand, The Virtue of Selfishness. New York: Signet, 1963a.
  • Rand, A. “The Nature of Government,” in A. Rand, The Virtue of Selfishness. New York: Signet, 1963b.
    • These two essays provide the core statement of Rand’s political philosophy. While rejecting the label “libertarian,” Rand here advocates a minimal state that uses force only in retaliation as the only political system compatible with man’s rational nature.
  • Rasmussen, D. B. and Den Uyl, D. J. Liberty and Nature: An Aristotelian Defense of Liberal Order. La Salle: Open Court, 1991.
    • Drawing some inspiration from Rand’s work, this text is one of the most thoroughgoing applications of Aristotelian moral philosophy to the defense of natural law and classical liberalism.
  • Rasmussen, D.B. and Den Uyl, D. J. Norms of Liberty: A Perfectionist Basis for Non-Perfectionist Politics. University Park: Pennsylvania State University Press, 2005.
    • A development of their earlier work, this view provides a more foundational defense for the authors’ Aristotelian version of classical liberalism, and defends the view against communitarian and conservative critics.
  • Rawls, J. Political Liberalism. New York: Columbia University Press, 1993.
    • Rawls’s classic expansion of his thoughts on domestic justice, following his seminal work A Theory of Justice (1971).
  • Rothbard, M. N. “Robert Nozick and the Immaculate Conception of the State.” Journal of Libertarian Studies, 1 (1), 45–57, 1977.
    • Defends the anarcho-capitalist position against Nozick’s arguments in the first part of Anarchy, State, and Utopia.
  • Rothbard, M. N. For a New Liberty. New York: Collier, 1978.
    • Rothbard’s most accessible book, this volume sets out a natural rights basis for anarcho-capitalism. While weak in foundational moral theory, the volume provides a number of ingenious discussions of how a stateless society cold solve many pressing social and economic problems.
  • Rothbard, M. N. The Ethics of Liberty. New Jersey: Humanities Press, 1982.
    • This book explores many of the themes of Rothbard’s For a New Liberty in greater theoretical depth. It develops Rothbard’s theory of liberty, shows how it is incompatible with even a minimal state, and contrasts his position with those of von Mises, Hayek, and Robert Nozick.
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    • Develops a pluralist account of justice based on considerations of desert, reciprocity, equality, and need, and shows how a classical liberal conception of the state is sensitive to this wide array of moral concerns.
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    • Part of Cambridge University Press’s “For and Against” series, this volume has Schmidtz presenting the case for limited government involvement in the promotion of individual welfare via market regulation and redistribution, and Goodin presenting the case for a more active welfare state. A very accessible and useful volume.
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    • Draws heavily on empirical research to argue that none of the dominant positions in contemporary political philosophy—egalitarianism, positive rights theory, communitarianism, and so on—support contemporary central welfare state institutions.
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    • An extended contemporary treatment of the case for anarcho-capitalism, arguing that centralized coercive political authority is incompatible with the value of liberty.
  • Smith, A. An Inquiry into the Nature and Causes of the Wealth of Nations, 2 vols. Indianapolis: Liberty Fund, 1981 [1776].
    • One of the most historically important statements of the economic case for free exchange. Smith’s book remains a masterful statement of both the strengths and weaknesses of a market economy.
  • Steiner, H. An Essay on Rights. New York: Blackwell, 1994.
    • Sets forward a libertarian theory of rights that protect each individual’s claim to self-ownership, but which allows for the redistribution of external goods. An influential left-libertarian work in the Lockean tradition of natural rights.
  • Thornton, M. The Economics of Prohibition. Salt Lake City: University of Utah Press, 1991.
    • An application of the Austrian theory of economics to the issue of drug and alcohol prohibition, which argues that all such prohibitions should be repealed.
  • Vallentyne, P. “Left-Libertarianism: A Primer,” in P. Vallentyne and H. Steiner (eds.), Left Libertarianism and its Critics: The Contemporary Debate. New York: Palgrave, 2000.
    • A useful overview of the core commitments of left-libertarianism, its historical origins and contemporary development, and its responses to common objections.
  • von Mises, L. Socialism: An Economic and Sociological Analysis. J. Kahane (transl.). Indianapolis: Liberty Fund, 1981 [1922].
    • A thorough critique of socialism from one of the leading figures in Austrian economics. Contains Mises’s famous argument that economic calculation in a purely socialist society is impossible, given its lack of a free price system to convey information about relative supply and demand.
  • Waldron, J. “Two Worries About Mixing One’s Labour.” The Philosophical Quarterly, 33 (130), 37–44, 1983.
    • Argues that the Lockean idea of mixing one’s labor with external property is incoherent and adds nothing to whatever other arguments Locke might have for the justification of private property.

Author Information

Matt Zwolinski
Email: mzwolinski@sandiego.edu
University of San Diego
U. S. A.

Thomas Hobbes: Methodology

hobbesThomas Hobbes (1588-1679) is one of England’s most influential political philosophers. According to his own estimation, he was probably the most important philosopher of his time, if not of history, since he believed himself to be the first to discover a genuine “science of politics.” Modeled on the surefire method of geometry, his political science was supposed to demonstrate political truths with the certainty of a geometric proof. Such a science was desperately needed by his fellow English citizens, Hobbes believed, because political disagreements and conflicts were tearing apart his country. According to Hobbes, civil war is primarily caused by differing opinions over who is the ultimate political authority in a commonwealth. In his own time, the King’s claim of having the final say on political matters was called into question by members of Parliament. For example, when King Charles tried to raise funds for a war against Spain and France in 1626, Parliament denied his request. In response, the King used a “forced loan” to force individual subjects to finance his needs. This action contributed to the rising tensions between King and Parliament, tensions that ultimately erupted in civil war. According to Hobbes, the only way to escape civil war and to maintain a state of peace in a commonwealth is to institute an impartial and absolute sovereign power that is the final authority on all political issues. Hobbes believes his own political philosophy scientifically proves such a conclusion. If Hobbes’s political argument is as sound as a geometric proof, then his own estimation of his philosophical importance may not be exaggerated.

Table of Contents

  1. History and Politics: The Political Problem
    1. Hobbes’s Translation of Thucydides
    2. Hobbes’s History of the English Civil War
    3. Hobbes’s Philosophy of Law
  2. Scientific Views
    1. Philosophical Method: Resolution and Composition
    2. Scientific Demonstration
    3. Motion and Science
    4. Geometry and Physics
  3. Philosophy of Human Nature
    1. Hobbes’s Moral Philosophy
    2. The State of Nature
  4. Science of Politics
  5. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. History and Politics: The Political Problem

Hobbes presented his “science of politics” as a response to a specific historical situation characterized by acute political problems. This science of politics is primarily found in Hobbes’s “political works,” as they may be called, which include The Elements of Law (1640), De Cive (1642) and Leviathan (1651). Although these texts provide detailed insight into Hobbes’s solution to civil war, they provide only a general understanding of the problem itself. Hobbes’s so-called historical treatises, on the other hand, reveal the specific causes of the deteriorating political situation in seventeenth century England. These works include his translation of Thucydides’ History of the Peloponnesian Wars (1628), Behemoth (1668) and A Dialogue between a Philosopher and a Student of the Common Laws of England (1669). As some Hobbes scholars have pointed out, there is a logical priority to Hobbes’s political works because they provide solutions to the problems presented in the historical works. To gain a better appreciation of Hobbes’s political solution, then, it is useful to first summarize his historical works, which reveal his understanding of the particular problem he faced.

a. Hobbes’s Translation of Thucydides

Hobbes’s decision to translate and publish Thucydides’ history in 1628 was certainly a reaction to the growing political tensions in England at this time. In the 1620s, troubles between Charles I and Parliament escalated due to the King’s insistence on raising funds for as series of unpopular wars. After the King openly declared war on Spain, he began to amass the largest military entourage since 1588. For a variety of reasons, including early losses suffered at Cadiz at the hands of the Spanish and the negative effects of war on trade, Parliament was reluctant to grant additional funds to the King. This situation was compounded by a progressively deteriorating relationship with France. France’s own maritime conflicts led to embargoes that created more barriers to international trade. Furthermore, tensions between England and France increased on account of France’s continued possession of English ships (which were originally on loan) and because of long-simmering religious differences between the two nations. After the Parliament of 1626 denied Charles’ request for supply, the King raised funds through a forced loan, by which private individuals were made to loan money to the crown. Such actions not only strained the relationship between the Parliament and King, but also revealed a number of ideological differences between these two centers of power with serious political implications. The most important issue concerned the King’s authority and its relationship to the law. Charles advocated a divine right theory of kingship according to which God granted him the power, by the grace of his royal anointment, to act outside the law at his own prerogative. The King tempered his view by claiming he would take extra-legal actions only when necessary and only for the good of the commonwealth. Despite this claim of self-restraint, some of his actions conflicted with his declaration of good faith. The King’s insistence on the right to imprison outside the law, for example, sparked serious doubts as to whether his word could be trusted. The Petition of Right, presented in Parliament in 1628, attempted to preserve the liberties of the subjects against the threatening actions of the King, such as forced loans, extra-legal imprisonment, and the billeting of soldiers. Religious differences, as well as politics, were partly to blame for the political problems of Hobbes’ England. It was well understood that religious leaders were not always content with some of the policies of the crown. English Protestants, including both traditional Anglicans and the more radical Puritans, for example, were highly suspicious of Charles’ fervent support of the Anglican Archbishop Laud. The primary reason for their reservations was Laud’s advocacy of certain anti-Calvinist notions, including the view that the elect could fall from God’s grace through sin. Such a view questioned the bedrock Calvinist notion of predestination to which most English Protestants adhered. In effect, Charles asserted his right as king to declare the traditional position and dictate orthodox dogma by supporting his Archbishop. Historical circumstances strongly suggest that Hobbes’s translation of Thucydides was meant to be a political argument for the royalist cause. Hobbes himself supports the truth of this when he states that Thucydides’ history provides instruction useful for the defense of the King. But what specific lessons does this ancient history hold? Hobbes believes democracy is inadequate partly because common people are easily swayed towards politically destructive actions by “demagogues” and religious zealots. If political power is placed in the hands of the common people, who are under the influence of power hungry individuals seeking their own advantage, then the commonwealth will likely fall. Hobbes’s publication of Thucydides was a political act meant to support the royalist cause and to warn against the dangerous consequences of usurping the King’s power.

b. Hobbes’s History of the English Civil War

In Behemoth, Hobbes shows his readers that an ideological dispute concerning politics and religion was the root cause of the English Civil War. The work begins with a simple question: How did King Charles I, a strong and capable leader, lose the sovereign power that he held by the legal right of succession? The initial answer is that the King lost control of the kingdom because he lacked the financial resources required to maintain a military. Upon further consideration, however, Hobbes reveals that a deeper cause of conflict was the fact that the “people were corrupted” by “seducers” to accept opinions and beliefs contrary to social and political harmony. Hobbes claims that religious leaders were mostly to blame for creating dissension in the commonwealth because they are responsible for the dissemination of politically dangerous beliefs. In addition, Hobbes placed some of the blame on Aristotle or, more precisely, on religious and political leaders who misused Aristotelian ideas to their own advantage. As noted above, Hobbes had suggested the dangerous consequences of religious fervor in his translation of Thucydides. In Behemoth, religious leaders directly bear the brunt of his critical remarks. According to Hobbes, religious leaders sow disorder by creating situations of divided loyalty between God and King. Hobbes first blamed Presbyterian preachers for using rhetorical tricks to capture the minds and loyalties of their parishioners. These preachers did not instill beliefs by using reason or argument, nor did they necessarily seek to teach people to understand. Instead, they indoctrinated their listeners with seditious principles. For Hobbes, preachers are actors who bedazzle their audience by claiming to be divinely inspired. Many “fruitless and dangerous doctrines,” Hobbes says, are adopted by people because they are “terrified and amazed by preachers” (B 252). In short, preachers used the word of God as a means to undermine the lawful authority of the King. Hobbes also criticized Catholics for their belief that the Pope should reign over the spiritual lives of the people. Although the Pope’s power is supposed to operate solely within the realm of religious faith and morality, papal orders frequently bled over into the world of politics. The problem, for Hobbes, is that the Pope may extend his power over spiritual concerns to the point where it infringes upon and restricts the legitimate scope of the King’s power over civil matters. The most dangerous problem with Catholicism, for example, is the Pope’s self-proclaimed right to absolve the duties of citizens to “heretic” Kings. In Behemoth, Hobbes also launches an attack on Independents, Anabaptists, Quakers, and Adamites for their role in creating civil discontent. These religious groups, discontented with both Protestantism and Catholicism, encouraged individuals to read and interpret the Bible for themselves. The result was that “every man became a judge of religion, and an interpreter of the Scriptures” and so “they thought they spoke with God Almighty, and understood what he said” (B 190). The private, antinomian interpretation of Scripture, Hobbes claims, frequently lead to situations of divided loyalty between God and King. If individuals may speak with God directly, then each person may decide for him or herself what civil laws are contrary to God’s word, and thereby what laws may be justly broken. Furthermore, Hobbes indirectly blames Aristotle for problems in his country when he criticizes the destructive use of Aristotelian metaphysical and ethical ideas. Hobbes points out, for example, that priests used Aristotelian philosophy to explain their power to transform a piece of bread into the “body of Christ.” The notion of the transubstantiation of the Eucharist, according to Hobbes, gives the impression that priests deserve reverence because they possess godly powers. Priests exploited the metaphysical doctrines of Aristotle to convince people “there is but one way to salvation, that is, extraordinary devotion and liberality to the Church, and a readiness for the Church’s sake, if it be required, to fight against their natural and lawful sovereign” (B 215). In the same vein, Hobbes points out that Aristotle’s ethical ideas were used to undermine the legitimacy of the sovereign power. According to Aristotle’s doctrine of the mean, to determine what is virtuous in a particular situation one must find the middle path between two extremes. In Hobbes’s opinion, this leaded individuals to determine for themselves what is right or wrong in a given situation. The political problem with this view, as might be expected, is that it leads to questioning the validity and regulatory power of civil law, and it thereby could foster resistance and rebellion.

c. Hobbes’s Philosophy of Law

In A Dialogue between a Philosopher and a Student of the Common Laws of England, Hobbes claims that common law lawyers, such as Sir Edward Coke, are partly to blame for the civil strife in England. According to Coke, the King is legally restricted by the common law, which is a set of laws determined and refined over the course of time by the application of an ‘artificial reason’ possessed by wise lawyers and judges. Hobbes agrees with Coke that reason plays an important part in law, but argues that the King’s reason is responsible for determining the meaning of laws. In the political situation prior to the outbreak of civil war, this philosophical difference revealed itself when the King requested funds and was denied. Hobbes, as we have seen, believed the immediate cause of Charles’ inability to maintain the sovereign power was his lack of funds to support a military. Charles’ request was denied on the basis, in part, of certain statutes claiming that kings shall not levy taxes or enact other means of funding without the common consent of the realm. The interpretation of these statutes according to the ‘reason’ of the lawyers in Parliament, Hobbes says, is partly to blame for the King’s failure to acquire needed funding. As with the religious seducers, common law lawyers often created situations of divided loyalty. In their interpretation of the law, barristers such as Coke sometimes claimed the ‘law’ is in conflict with the dictates of the King. In such situations, is one’s duty of obedience to the law (as interpreted by the ‘wise men’ of Parliament) higher than one’s duty to the King? These kinds of questions, Hobbes believes, inevitably lead to division in the commonwealth and this, in turn, leads to factions within the body politic and civil discord.

2. Scientific Views

Hobbes’s “science of politics” was supposed to provide a solution to the ideological conflicts that lead to civil war by providing a method of achieving consensus on political matters. If the conflicting parties could ultimately agree on political ideas, then peace and prosperity in the commonwealth could be achieved. Hobbes’s aim was to put politics onto a scientific footing and thereby establish an enduring state of peace. To understand Hobbes’s idea of science one needs to turn to De Corpore (or On the Body), which is his most developed text on scientific ideas. In this manuscript of natural philosophy, Hobbes presents his views on philosophical method, mathematics, geometry, physics, and human nature. In his own opinion, the views contained in De Corpore represented the foundational principles of his entire philosophical system and, therefore, of his “science of politics.”

a. Philosophical Method: Resolution and Composition

Hobbes, like many of his contemporaries, stresses the importance of having a proper philosophical method for attaining knowledge. In contrast to the reliance on authority that was typical of medieval scholasticism, leading intellectuals and scientists of Hobbes’s time believed that knowledge is not attained by appealing to authority, but by employing an appropriately objective method. For Hobbes, such a method was not only important for attaining knowledge, but also served the practical end of avoiding disputes which arose from speculation and subjective interpretation. Although Hobbes did not consistently describe his philosophical methodology, most scholars agree that he used a “resolutive-compositive” method. According to this method, one comes to understand a given object of inquiry by intellectually “resolving” it into its constituent parts and then subsequently “composing” it back into a whole. For Hobbes, such a process may be used when investigating a natural body (such as a chair or a man), an abstract body (such as a circle), or a political body (such as a commonwealth). So, to use Hobbes’s example, one can intellectually resolve the idea of a human being into the following ideas: “rational,” “animated,” and “body.” On the other hand, one can compose the idea of a man by reconstructing these concepts. In the process of resolving and composing a thing, one is able to discover its essential qualities. This process is analogous to taking apart a watch and putting it back together again to find out what makes it tick. Hobbes used the method of resolution and composition in his science of politics. He first resolved the commonwealth into its parts (that is, human beings), and then resolved these parts into their parts (i.e. the motions of natural bodies), and then resolved these into their parts (that is, abstract figures). After such a resolution, Hobbes recomposed the commonwealth in his grand trilogy that progressed from the abstract and physical investigation of natural bodies, to the study of human bodies, to finally the examination of political bodies.

b. Scientific Demonstration

It was important for Hobbes not only to acquire knowledge for himself, but also to demonstrate his conclusions to others. According to Hobbes, scientific demonstration is a linguistic activity of constructing syllogisms out of propositions, which themselves are constructed out of names. The basic linguistic unit of scientific demonstration, then, is the “name.” Hobbes believes that names may be used either as “marks,” which recall certain thoughts to our minds, or as “signs,” which communicate our thoughts to others. One may, for example, use the name “man” as a mark, or mnemonic device, to remember what a man is, or one may use the name to communicate something about men to others. When two or more names are joined with a copula (an “is”), a proposition is created. For example, “man is an animal” is a proposition that joins “man” with “animal.” A syllogism is a series of three propositions where the first two (that is, the premises) logically support the third (that is, the conclusion). From the two premises “men are animals” and “animals are alive,” for example, one may logically conclude that, “men are alive.” This is how one constructs syllogisms out of propositions. Scientific demonstration, however, is not simply a matter of logically deducing conclusions; the conclusions must also be universal and true. According to Hobbes, a universal conclusion is one that attributes a characteristic to an entire class of things. For example, “all human beings are rational” is a statement in which the term “rational” is used to describe all humans. Hobbes continues, if the predicate term in such a statement ‘comprehends’ the subject term, then the statement is also a true one. For example, in the statement “Human beings are animals,” the subject term (“human beings”) is included within the predicate term (“animals”) and so is a true statement. A scientific demonstration, then, is a syllogism that deduces universal and true propositions on the basis of premises with the same characteristics. (Interestingly, in geometry, which is Hobbes’s paradigm of scientific demonstration, the truth of the first principles is established by agreement. In this case, Hobbes adheres to a “conventional view of truth,” according to which the truth of propositions is determined by consensus.)

c. Motion and Science

It is not possible to speak of Hobbes’s view of science without referring to the concept of motion. Hobbes believes that motion, understood as any kind of change, is the universal cause of all things. The various branches of science, therefore, are ultimately sciences of motion. For example, Hobbes believes that geometry is a science of motion because it involves the construction of figures through the movement of points. Physics, similarly, is the science that studies the motion of physical bodies. Even moral philosophy is a science of motion because it studies the “motions of the mind” (such as envy, greed, and selfishness) that cause human actions. Thus, one may discover the motions, or actions, that lead to the creation of a commonwealth by understanding the “motions” of the human mind in a parallel way as when one studies points and physical bodies.

d. Geometry and Physics

After presenting his ideas on philosophical method in the first part of De Corpore, Hobbes applies this method to both the abstract world of geometry and to the real and existing world of physical objects. Keeping to his goal of scientifically demonstrating his conclusions, Hobbes begins his geometrical investigations with a number of foundational definitions, including those of space, time and bodies; he uses these definitions to compose an abstract world of geometric figures and then to draw a number of conclusions about them. At the end of Part III, the investigation shifts away from the abstract world to the ‘real and existent’ one, signifying a shift from geometry to physics. At the start of his physical investigations, Hobbes reiterates his point that resolution and composition are the methods to obtain philosophical knowledge. The appropriate method for scientifically investigating the natural world, Hobbes says, is resolution. The goal of physics is to understand the motions of the world as experienced by us. Since our knowledge of the physical world comes from our experiences, Hobbes believes the first job of physics is to analyze the faculty of sense. Hobbes resolves human sensation into its various “parts”: the sense organs, the faculties of imagination and fancy, and the sensations of pleasure and pain. Hobbes then resolves natural bodies, starting with a resolution of the “whole” world, to unveil the variety of motions responsible for physical phenomena, such as the motion of the stars, the change of seasons, the presence of heat and color, and the power of gravity. All of these natural phenomena are explained, just as geometric figures are, in terms of bodies in motion. Important differences between geometry and physics surface in Hobbes’s De Corpore. In the first case, Hobbes uses a compositive method in geometry. Starting with definitions of lines and points, Hobbes derives a number of conclusions about the world of geometric figures. In his physics, on the other hand, Hobbes starts by resolving senses and the phenomena provided by them. There is also a second distinction that concerns the truth or falsity of claims made in each science. According to Hobbes, geometry operates within the realm of truth because it is grounded on primary principles, or definitions, that are known as true because they have been accepted as true. The principles of physics, on the other hand, are hypothetical because they are not agreed upon initially, but are discovered through observation. The difference in the demonstrable nature of physics and geometry is ultimately based upon their contrasting methodologies.

3. Philosophy of Human Nature

The second part of Hobbes’s trilogy, which investigates human bodies, follows physics, which studies natural bodies. The point of transition between physics and the study of human nature is found in what may be called Hobbes’s “philosophy of mind” or “psychology.” Moral philosophy is a part of physics because the motion of material bodies on our sense organs, which is the subject matter of physics, causes a variety of motions in the human mind. While moral philosophy is technically a part of physics, it may also be seen as the starting point for political philosophy insofar as it lays down the foundational ethical principles from which social conclusions are derived. Hobbes’s scientific methodology is apparent in the political argument of Leviathan. Following the method of resolution, Hobbes resolves the commonwealth into its fundamental “parts,” i.e. humans, and further resolves humans into their “parts,” i.e., motions of the mind. Hobbes’s political argument in Leviathan, then, begins with his views on the nature of the mind and human psychology. After studying human individuals in isolation, he reconstructs the commonwealth by placing them in a state of nature, an abstract condition prior to the formation of political society. By analyzing the behavior, or “motions,” of humans in this controlled environment, Hobbes believes he has discovered the causes of commonwealths. At the same time that Hobbes uses the compositive method to intellectually reconstruct the commonwealth, he also tries to demonstrate his political conclusions following the paradigm of geometry by defining fundamental features of human nature and then drawing conclusions on the basis of these. It should be noted that Hobbes is not always consistent or rigorous in applying a scientific method to political matters. In the Introduction to Leviathan, for example, Hobbes claims that self-inspection is the primary method for understanding his political ideas. In this case, the foundational principles of his political science are not derived from physics, but are known simply by reflecting on one’s experiences. In addition, Hobbes claimed that the second part of his trilogy, De Cive, was published first because it relied on its own empirical principles. Furthermore, in Leviathan, especially the early chapters, Hobbes uses many rhetorical devices in getting his point across, rather than following a strict pattern of deriving conclusions from definitions and fundamental principles. Such devices probably indicate that Hobbes was aiming at a wider readership with this work, with possible political implications.

a. Hobbes’s Moral Philosophy

Hobbes’s masterpiece in political philosophy begins with a study of human individuals and the “motions” of their “parts.” In the early chapters of Leviathan, Hobbes advocates a mechanistic and materialist psychology. He claims that the motions of external physical objects on sense organs cause a variety of mental experiences in the mind, which Hobbes refers to as “fancies” or “appearances”; such mental phenomena ultimately cause human behavior. As Hobbes sees it, the movement of external objects lead to the production of mental motions called “endeavours,” which are of two types: appetites and aversions. An appetite is an endeavour that causes an individual to seek out a particular object. An aversion, on the other hand, is an endeavor that causes one to avoid an object. For Hobbes, individuals naturally have an appetite for the “good,” which he defines simply as the object of one’s appetite. In other words, if a person desires an object, that object is “good” for that person. When deciding how to act in a particular situation, humans must “deliberate” by weighing appetites and aversions. Individuals will necessarily choose the act that apparently produces the greatest good for the individual concerned. Deliberation, therefore, is not as much a matter of choice as it is the result of a mechanical process.

b. The State of Nature

Hobbes’s psychological observations in the early chapters of Leviathan are about human individuals, not community members. Following the compositive aspect of his methodology, Hobbes “combines” individuals in a state of nature, a state prior to the formation of the commonwealth. In the “natural condition of mankind,” humans are equal, despite minor differences in strength and mental acuity. Hobbes’s notion of equality is peculiar in that it refers to the equal ability to kill or conquer one another, but quite consistent with his notion of power. This equality, Hobbes says, naturally leads to conflict among individuals for three reasons: competition, distrust, and glory. In the first case, if two individuals desire a scarce commodity, they will compete for the commodity and necessarily become enemies. In their efforts to acquire desired objects, each person tries to “destroy or subdue” the other. On account of the constant fear produced in the state of nature, Hobbes believes, it is reasonable to distrust others and use preemptive strikes against one’s enemies. Hobbes also considers humans to be naturally vainglorious and so seek to dominate others and demand their respect. The natural condition of mankind, according to Hobbes, is a state of war in which life is “solitary, poor, nasty, brutish, and short” because individuals are in a “war of all against all” (L 186). In such a state, Hobbes contends that individuals have a “natural right” to do whatever they believe is necessary to preserve their lives. In other words, individuals in the state of nature are not constrained by moral or legal obligations as neither could exist prior to the establishment of a commonwealth. In the state of nature “nothing can be Unjust’ since the ‘notions of Right and Wrong, Justice and Injustice have there no place” (L 188). Human liberty, for Hobbes, is simply the freedom of bodily action and is not limited by any moral or legal notions. A person is free, in other words, when not physically confined or imprisoned. Because the state of nature is a state of continuous and comprehensive war, Hobbes claims it is necessary and rational for individuals to seek peace to satisfy their desires, including the natural desire for self-preservation. The human power of reason, Hobbes says, reveal the “laws of nature” that enable humans to establish a state of peace and escape the horrors of the state of nature.

4. Science of Politics

The geometric method is nowhere more apparent in Hobbes’s political philosophy than in his treatment of the laws of nature. Definitions are provided and a series of conclusions are drawn in rapid fashion; there is a deep logical consistency to its prudential outcomes. Hobbes begins by defining laws of nature as rational precepts that lead individuals toward a state of peace. The first law of nature is that every person should seek peace with others, unless others are not willing to cooperate, in which case one may use the “helps of war.” This law of nature has two parts to it. In the first part, it encourages a state of peace by instructing individuals to satisfy their desire for self-preservation. Yet, because peaceful coexistence requires reciprocity, if only one party seeks peace, it is unlikely it will be established. For this reason, there is a second part to the first law of nature; that is, if others are not interested in settling the conflict, one must resort to violent action to secure one’s survival. Humans, as we have seen, have a natural right to determine what is necessary for their own individual survival. The existence of this natural right often promotes a state of war, so peace requires that individuals renounce or transfer this right in part or in whole. From the first law of nature, then, Hobbes derives a second law according to which individuals must lay down their natural rights universally and concurrently in order to obtain peace. A natural right is relinquished either by transferring a right to a specific recipient or by renouncing the right entirely. In order to escape the war of all against all, Hobbes claims, a common power must be established by a mutual transference of right to protect the individuals not only from foreign invaders, but also from each other. Yet, since the object of one’s voluntary actions is some good to oneself, a person can never abandon or transfer their right to self-preservation. The purpose of establishing a common power is to escape from the condition of war, a condition that seriously threatens each person’s conservation, which is one’s highest good. Thus, a person cannot give up the natural right to self-preservation or to the means of self-preservation. According to the second law of nature, then, we must transfer those rights whose exercise contributes to civil conflict. This leads to the third law of nature stating that individuals must abide by any covenants consented to freely. For a common power to perform the task for which it is erected, it is necessary that individuals follow through on their mutual agreements. In Leviathan, Hobbes deduces sixteen more laws of nature, all of which aim at maintaining the state of peace established by the erection of a common power. These laws provide a code of moral behavior by prohibiting socially destructive behavior or attitudes, such as drunkenness or ingratitude. The political consequence of the laws of nature is the institution of a political body that makes possible a state of peace. Hobbes claims the sovereign power may reside in one person or an assembly, so that a singular type of government is not required to maintain the peace. It is necessary, however, for the sovereign power to possess certain rights to fulfill the task for which it was established. In a manner similar to the deduction of the laws of nature, Hobbes derives the rights and powers of sovereignty. In this derivation, Hobbes deduces those rights that are necessary for maintaining peace. To give one example, the sovereign power has the right not to be dissolved by its subjects Hobbes derives eleven other rights; if any of the rights are granted away, Hobbes asserts, the commonwealth will revert to a state of war. The rights, briefly put, entail a defense of political absolutism. According to the basic tenets of Hobbes’s political absolutism, the sovereign power enacts and enforces all laws, determines when to make war and peace, controls the military, judges all doctrines and opinions, decides all controversies between citizens, chooses its own counselors and ministers, and cannot be legitimately resisted, except in rare instances (that is, when it cannot guarantee the peace and security of its subjects—that is, it loses “the power of the sword”). The “science of politics,” as presented in Hobbes’s political works, offers a solution to the specific problems he addressed in his historical works. The essence of his solution is “political absolutism,” according to which the sovereign is the final arbiter on all matters ethical, religious, and political. One of the “diseases of a commonwealth,” Hobbes says, is the opinion that “every private man is Judge of Good and Evil actions” (L 365). In the state of nature, as we have seen, individuals possess the natural right to determine what is good for themselves, i.e., what is necessary for their own conservation. As long as individuals make such determinations, Hobbes believes, there will be a state of war. In established commonwealths, religious doctrines are often responsible for civil conflict, especially in those cases where God’s law and civil law seem to be in opposition. Hobbes’s solution to the problem of conflicting religious and political powers begins by a free and unanimous consent to irrevocable place both powers under the control of the civil sovereign. Furthermore, Hobbes provides an extended interpretation of Biblical passages in part III and IV of Leviathan with the goal of showing that God’s word supports, or is consistent with, his philosophy. If the civil sovereign accepts and enforces Hobbes’s interpretation of the Holy Scriptures, it is argued, then the possibility of conflicting duties on the basis of religion will vanish. For this reason, Hobbes’s science of politics concludes that the sovereign power must be in charge of all doctrines and opinions in the commonwealth. If everyone accepts his political conclusions, Hobbes claims, then disagreement over political and religious matters would come to an end and peace would be firmly established in a commonwealth.

5. References and Further Reading

a. Primary Sources

References to Behemoth (B) are taken from The English Works of Thomas Hobbes of Malmesbury, ed. Sir William Molesworth, London: John Bohn, 1841, Vol. 6.

References to Leviathan (L) are taken from Leviathan, ed. C.B. Macpherson, Harmondsworth: Penguin Publishers, 1968.

b. Secondary Sources

  • Finn, S.J. (2007) Hobbes: A Guide for the Perplexed. London: Continuum Press.
  • Herbert, G. (1989), Thomas Hobbes: The Unity of Scientific and Moral Wisdom. Vancouver: University of British Columbia Press.
  • Kraynack, R. History and Modernity in the Thought of Thomas Hobbes. Ithaca: Cornell University Press.
  • Lloyd, S.A. (1992), Ideals as Interests in Hobbes’s Leviathan: The Power of Mind over Matter. Cambridge: Cambridge University Press.
  • Peters, R. (1956), Hobbes. Harmondsworth: Penguin Books.
  • Sommerville, J.P. (1992), Thomas Hobbes: Political Ideas in Historical Context. London: MacMillan.
  • Sorell, T. (1986), Hobbes. London: Routledge and Kegan Paul.

Author Information

Stephen Finn
Email: stephen.finn@usma.edu
United States Military Academy
U. S. A.

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