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)

Alexandre 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
  • Sartre, Jean-Paul: Being and Nothingness: An Essay on Phenomenological Ontology. London, Routledge , 1989

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: KELLYNM@bc.edu
Boston College
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

  • Antony, Louise M. 1999. “Multiple Realizability, Projectibility and the Reality of Mental Properties.” Philosophical Topics 26: 1-24.
  • 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.
  • Causey, Robert L. 1972. “Attribute-Identities in Microreduction.” Journal of Philosophy 82: 8-28.
  • 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.
  • Enç, Berent. 1983. “In Defense of the Identity Theory.” Journal of Philosophy 80: 279-298.
  • Endicott, Ronald P. 1991. “Macdonald on Type Reduction via Disjunction.” Southern Journal of Philosophy 29: 209-14.
  • Endicott, Ronald P. 1993. “Species-Specific Properties and More Narrow Reductive Strategies.” Erkenntnis 38: 303-21.
  • Endicott, Ronald P. 2007. “Reinforcing the Three ‘R’s: Reduction, Reception, and Replacement.” In Schouten and Looren de Jong 2007, 146-171.
  • Feigl, Herbert. 1958. “The Mental and the Physical.” Minnesota Studies in the Philosophy of Science, Vol. 2. Minneapolis: University of Minnesota Press, 370-497.
  • Fodor, Jerry. 1968a. Psychological Explanation: An Introduction to the Philosophy of Psychology. New York: Random House.
  • Fodor, Jerry. 1968b. “The Appeal to Tacit Knowledge in Psychological Explanation.” Journal of Philosophy 65: 627-40.
  • 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.” In Tomberlin 1997, 149-64.
  • Gillett, Carl. 2003. “The Metaphysics of Realization, Multiple Realization and the Special Sciences.” Journal of Philosophy 100: 591-603
  • Hempel, Carl. 1965. Aspects of Scientific Explanation. New York: The Free Press.
  • Hill, Christopher S. 1991. Sensations: A Defense of Type Materialism. Cambridge UP.
  • Hooker, Clifford. 1981. “Towards a General Theory of Reduction. Part III: Cross-Categorial Reductions.” Dialogue 20: 496-529.
  • Jackson, Frank. 1982. “Epiphenomenal Qualia.” Philosophical Quarterly 32: 127-136.
  • Jackson, Frank. 1986. “What Mary Didn’t Know.” The Journal of Philosophy 58: 291-95.
  • Jaworski, William. 2002. “Multiple-Realizability, Explanation, and the Disjunctive Move.” Philosophical Studies 108: 298-308.
  • Kim, Jaegwon. 1972. “Phenomenal Properties, Psychophysical Laws, and the Identity Theory.” Monist 56: 177-92. Selections reprinted in Block 1980a, 234-36.
  • Kim, Jaegwon. 1978. “Supervenience and Nomological Incommensurables.” American Philosophical Quarterly 15: 149-56.
  • Kim, Jaegwon. 1984. “Concepts of Supervenience.” Philosophy and Phenomenological Research 45: 153-76. Reprinted in Kim 1993, 53-78.
  • Kim, Jaegwon. 1989. “The Myth of Nonreductive Physicalism.” Proceedings and Addresses of the American Philosophical Association 63. Reprinted in Kim 1993, 265-84.
  • Kim, Jaegwon. 1992. “Multiple Realization and the Metaphysics of Reduction.” Philosophy and Phenomenological Research 52: 1-26. Reprinted in Kim 1993, 309-35.
  • Kim, Jaegwon. 1993. Supervenience and Mind. Cambridge University Press.
  • Kim, Jaegwon. 1998. Mind in a Physical World. Cambridge, MA: MIT Press/Bradford Books.
  • Kim, Sungsu. 2002. “Testing Multiple Realizability: A Discussion of Bechtel and Mundale.” Philosophy of Science 69: 606-610.
  • Kolb, Bryan and Whishaw, Ian Q. 2003. Fundamentals of Human Neuropsychology. 5th Edition. New York, NY: Worth Publishers.
  • Kripke, Saul A. 1972. Naming and Necessity. Cambridge, MA: Harvard University Press.
  • Lewis, David. 1966. “An Argument for the Identity Theory.” Journal of Philosophy 66: 17-25.
  • Lewis, David. 1969. “Review of Art, Mind, and Religion.” Journal of Philosophy 66: 23-35. Reprinted in Block 1980a, 232-233.
  • Lewis, David. 1970. “How to Define Theoretical Terms.” Journal of Philosophy 67: 427-446.
  • Lewis, David. 1972. “Psychophysical and Theoretical Identifications.” Australasian Journal of Philosophy 50: 249-258. Reprinted in Block 1980a, 207-215.
  • Lewis, David. 1980. “Mad Pain and Martian Pain.” In Block 1980a, 216-222.
  • Macdonald, Cynthia. 1989. Mind-Body Identity Theories. London: Routledge.
  • Melnyk, Andrew. 2003. A Physicalist Manifesto. Cambridge University Press.
  • Nagel, Ernest. 1961. The Structure of Science. Indianapolis, IN: Hackett.
  • Owens, David. 1989. “Disjunctive Laws?” Analysis 49: 197-202.
  • Pereboom, Derk. 2002. “Robust Nonreductive Materialism.” Journal of Philosophy 99: 499-531.
  • Pereboom, Derk and Hilary Kornblith. 1991. “The Metaphysics of Irreducibility.” Philosophical Studies 63: 125-45.
  • Polger, Thomas. 2004. Natural Minds. Cambridge, MA: MIT Press.
  • Putnam, Hilary. 1960. “Minds and Machines.” In Dimensions of Mind. Sidney Hook, ed. (New York: New York University Press), 148-179. Reprinted in Putnam 1975a, 362-385.
  • Putnam, Hilary. 1963. “Brains and Behavior.” In Analytical Philosophy Second Series. R.J. Butler, ed. (Oxford: Basil Blackwell & Mott), 1-19. Reprinted in Putnam 1975a, 325-341.
  • Putnam, Hilary. 1964. “Robots: Machines or Artificially Created Life?” Journal of Philosophy 61: 668-691. Reprinted in Putnam 1975a, 386-407.
  • Putnam, Hilary. 1967a. “Psychological Predicates.” In Art, Mind, and Religion. Capitan, W.H. and Merrill, D.D., eds. (University of Pittsburgh Press), 37-48. Reprinted as ‘The Nature of Mental States’ in Putnam 1975a, 429-40.
  • Putnam, Hilary. 1967b. “The Mental Life of Some Machines.” In Intentionality, Minds, and Perception. Hector-Neri Castañeda, ed. (Detroit: Wayne State University Press), 177-200. Reprinted in Putnam 1975a, 408-428.
  • Putnam, Hilary. 1970. “On Properties.” In Essays in Honor of Carl G. Hempel. N. Rescher, et al., ed. Dordrecht, Holland: D. Reidel.
  • Putnam, Hilary. 1975a. Mind, Language, and Reality: Philosophical Papers, vol. 2. Cambridge University Press.
  • Putnam, Hilary. 1975b. “The Meaning of ‘Meaning’.” In Language, Mind and Knowledge, Minnesota Studies in the Philosophy of Science, Vol. 7. Keith Gunderson, ed. (University of Minnesota Press). Reprinted in Putnam 1975a, 215-271.
  • Putnam, Hilary. 1975c. “Philosophy and Our Mental Life.” In Putnam 1975a, 291-303.
  • Putnam, Hilary. 1981. “Reductionism and the Nature of Psychology.” In Mind Design: Philosophy, Psychology, Artificial Intelligence, ed. John Haugeland, 205-19. Montgomery, VT: Bradford Books.
  • Pylyshyn, Zenon. 1984. Computation and Cognition. Cambridge, MA: MIT Press.
  • Richardson, Robert. 1979. “Functionalism and Reductionism.” Philosophy of Science 46: 533-558.
  • Schaffner, K.F. 1967. “Approaches to Reduction.” Philosophy of Science 34: 137-47.
  • Schouten, Maurice and Looren de Jong, Huib. 2007. The Matter of the Mind. Blackwell Publishing.
  • Seager, William. 1991. “Disjunctive Laws and Supervenience.” Analysis 51: 93-8.
  • Searle, John. 1980. “Minds, Brains, and Programs.” The Behavioral and Brain Sciences 3: 417-57.
  • Sellars, Wilfrid. 1956. “Empiricism and the Philosophy of Mind.” In The Foundations of Science and the Concepts of Psychology and Psychanalysis, Minnesota Studies in the Philosophy of Science, Vol. 1. H. Feigl and M. Scriven, eds. University of Minnesota Press. Reprinted in Sellars 1963, 127-196.
  • Sellars, Wilfrid. 1962. “Philosophy and the Scientific Image of Man.” In Frontiers of Science and Philosophy. Robert Colodny, ed. Pittsburgh, PA: University of Pittsburgh Press. Reprinted in Sellars 1963, 1-40.
  • Sellars, Wilfrid. 1963. Science, Perception, and Reality. London: Routledge & Kegan Paul.
  • Shapiro, Lawrence. 2000. “Multiple Realizations.” Journal of Philosophy 97: 635-654.
  • Shapiro, Lawrence. 2004. The Mind Incarnate. Cambridge, MA: MIT Press.
  • Shoemaker, Sydney. 1981. “Some Varieties of Functionalism.” Philosophical Topics 12: 93-119.
  • Sklar, Lawrence. 1967. “Types of Intertheoretic Reduction.” British Journal for the Philosophy of Science 18: 109-24.
  • Smart, J.J.C. 1962. “Sensations and Brain Processes.” In The Philosophy of Mind, Chappell, V.C. ed. Englewood Cliffs: Prentice-Hall, Inc.
  • Sober, Elliott. 1999. “The Multiple Realizability Argument Against Reductionism.” Philosophy of Science 66: 542-564.
  • Teller, Paul. 1983. “Comments on Kim’s Paper.” Southern Journal of Philosophy 22 (Suppl.): 57-61.
  • Tomberlin, James, ed. 1997. Philosophical Perspectives 11, Mind, Causation, and World. Malden, MA: Blackwell.
  • Witmer, Gene. 2003. “Multiple Realizability and Psychological Laws: Evaluating Kim’s Challenge.” In Physicalism and Mental Causation, S. Walter and H. Heckmann, eds. Charlottesville, VA: Imprint Academic, 59-84.
  • Zangwill, Nick. 1992. “Variable Reduction Not Proven.” Philosophical Quarterly 42: 214-218.

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

  • Barkow, J., Cosmides, L., Tooby, J. (1992). The Adapted Mind. New York. Oxford University Press.
  • Baron-Cohen, S., (1995). Mindblindness. Cambridge, Mass: The MIT Press.
  • Baron-Cohen, S., (2003). The Essential Difference. New York: Basic Books.
  • Bechtel, W., and Richardson, R. (1992). Discovering Complexity. Princeton, NJ. Princeton University Press.
  • Bickle, J., (2003). Philosophy and Neurosciences: A Ruthlessly Reductive Account. Dordrecht-The Netherlands: Kluwer Academic Publishers
  • Blake, R., Turner, L., Smoski, M, Pozdol, S., and Stone, W. (2003). Visual Recognition of Biological Motion is Impaired in children with Autism. Psychological Science, Vol. 14, 151-158.
  • Bloom, P., and German, T. (2000). Two reasons to abandon the false-belief task as a test of theory of mind. Cognition, 77: B25-B31.
  • Botterill, G., and Carruthers, P. (1999). Philosophy of Psychology. Cambridge: Cambridge University Press.
  • Carruthers, P., (2003). Review of Currie and Ravenscroft’s Recreative Minds. Retrieved October 25, 2004. http://ndpr.icaap.org/content/archives/2003/11/carruthers-currie.html.
  • Carruthers, P., and Smith, P. (1996). Theories of Theories of Mind. Cambridge: Cambridge University Press.
  • Castelloe, P., and Dawson, G. (1993). Subclassification of Children with Autism and Pervasive Developmental Disorders. A Questionnaire bases on the Wing and Gould Subgrouping Scheme. Journal of Autism and Developmental Disorders. Vol. 33: 229-241.
  • Ceponiene, R., Lepisto, T., Shestakova, A., Vanhala, R., Alku, P., Naatanen, R. and Yaguchi, K. (2003). Speech-sound-selective auditory impairment in children with autism: They can perceive but do not attend. Proceedings of the National Academy of Sciences. Vol. 100: 5567-5572.
  • Cundall, M., (2006). Autism’s Role in Understanding Social Cognition. Journal of Humanities & Social Sciences, Vol. 1, 1.
  • Currie, G., and Ravenscroft, I., (2002). Recreative Minds. Oxford: Oxford University Press.
  • Currie, G., and Sterelny, K. (2000). How to Think about the Modularity of Mindreading. The Philosophical Quarterly, Vol. 50: 145-162.
  • Dawson, G., Klinger, L., Panagiotides, H., Lewy, A., and Castelloe, P. (1995). Subgroups of Autistic Children Based on Social Behavior Display Distinct Patterns of Brain Activity. Journal of Abnormal Child Psychology. Vol. 23: 569-583.
  • Fodor, J., (1980). Special Sciences, or the Disunity of Science as a Working Hypothesis. In Readings in the Philosophy of Psychology Vol. I. Ned Block Ed. Cambridge, MA. Harvard Publishers.
  • Fodor, J., (2000). The Mind Doesn’t Work That Way. Cambridge, Mass: The MIT Press.
  • Gerrans, P., (2002). The Theory of Mind Module in Evolutionary Psychology. Biology and Philosophy. Vol. 17: 305-321.
  • Goldman, A., (2006). Simulating Minds. New York. Oxford University Press.
  • Gopnik, A., and Meltzoff, A., (1998). Words, Thoughts and Theories. Cambridge, Mass: The MIT Press.
  • Harris, P. (1989). Children and Emotion. Malden, MA. Blackwell Publishers.
  • Hughes, C. (2002). Executive Functions and Development: Emerging Themes. Infant and Child Development. Vol 11: 201-209.
  • Jarrold, C., Boucher, J., and Smith, P. (1993). Symbolic Play in Autism: a review. Journal of Autism and Developmental Disorders, 23: 281-387.
  • Jarrold, C., Boucher, J., and Smith, P. (1994). Executive Function Deficits and the Pretend Play of Children with Autism. Journal of Child Psychology and Psychiatry. Vol. 35: 1473-1482.
  • 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.
  • Leekam, S., and Prior, M., (1994). Can Autistic Children Distinguish Lies form Jokes? A Second Look at Second Order Belief Attribution. Journal of Child Psychology and Psychiatry. Vol. 35: 901-915.
  • Leslie, A. M. (1992). Autism and the ‘theory of mind’ module. Current Directions in Psychological Science, 1: 18-21.
  • Malle, B., Moses, L., and Baldwin, D. (2001). Intentions and Intentionality: Foundations of Social Cognition. Cambridge, MA: The MIT Press.
  • Olson, D., (1993). The Development of mental representations: the origins of mental life. Canadian Psychology, 30, 293-306.
  • Ozonoff, S., Pennington, B., and Rogers, S. (1991). Executive Function Deficits in High Functioning Autistic Individuals: Relationship to Theory of Mind. Journal of Child Psychology and Psychiatry, 32: 1081-1105.
  • 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.
  • Puce, A., and Perrett, D., (2003). Electrophysiology and brain imaging of biological motion. An article in, Decoding, imitating and influencing the actions of others: the mechanisms of social interaction. Philosophical Transactions of the Royal Society, 358: 435-445.
  • Provine, R., (2000). Laughter: A Scientific Investigation. New York, Penguin Publishers.
  • Rittscher, J., Blake, A., Hoogs, A., Stein, G., (2003). Mathematical modeling of animate and intentional motion. An article in, Decoding, imitating and influencing the actions of others: the mechanisms of social interaction. Philosophical Transactions of the Royal Society, 358: 475-490.
  • 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.
  • Schmidtz, D. Elements of Justice. Cambridge: Cambridge University Press, 2006.
    • 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.
  • Schmidtz, D. and Goodin, R. Social Welfare and Individual Responsibility. Cambridge: Cambridge University Press, 1998.
    • 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.
  • Shapiro, D. Is the Welfare State Justified? Cambridge: Cambridge University Press, 2007.
    • 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.
  • Skoble, A. Deleting the State.New York: Open Court Press, 2008.
    • 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.

Adam Smith (1723—1790)

Smith_AdamAdam Smith is often identified as the father of modern capitalism. While accurate to some extent, this description is both overly simplistic and dangerously misleading. On the one hand, it is true that very few individual books have had as much impact as his An Inquiry into the Nature and Causes of the Wealth of Nations. His accounts of the division of labor and free trade, self-interest in exchange, the limits on government intervention, price, and the general structure of the market, all signify the moment when economics transitions to the “modern.” On the other hand, The Wealth of Nations, as it is most often called, is not a book on economics. Its subject is “political economy,” a much more expansive mixture of philosophy, political science, history, economics, anthropology, and sociology. The role of the free market and the laissez-faire structures that support it are but two components of a larger theory of human interaction and social history.

Smith was not an economist; he was a philosopher. His first book, The Theory of Moral Sentiments, sought to describe the natural principles that govern morality and the ways in which human beings come to know them. How these two books fit together is both one of the most controversial subjects in Smith scholarship and the key to understanding his arguments about the market and human activity in general. Historically, this process is made more difficult by the so-called “Adam Smith Problem,” a position put forth by small numbers of committed scholars since the late nineteenth century that Smith’s two books are incompatible. The argument suggests that Smith’s work on ethics, which supposedly assumed altruistic human motivation, contradicts his political economy, which allegedly assumed egoism. However, most contemporary Smith scholars reject this claim as well as the description of Smith’s account of human motivation it presupposes.

Smith never uses the term “capitalism;” it does not enter into widespread use until the late nineteenth century. Instead, he uses “commercial society,” a phrase that emphasizes his belief that the economic is only one component of the human condition. And while, for Smith, a nation’s economic “stage” helps define its social and political structures, he is also clear that the moral character of a people is the ultimate measure of their humanity. To investigate Smith’s work, therefore, is to ask many of the great questions that we all struggle with today, including those that emphasize the relationship of morality and economics. Smith asks why individuals should be moral. He offers models for how people should treat themselves and others. He argues that scientific method can lead to moral discovery, and he presents a blueprint for a just society that concerns itself with its least well-off members, not just those with economic success. Adam Smith’s philosophy bears little resemblance to the libertarian caricature put forth by proponents of laissez faire markets who describe humans solely as homo economicus. For Smith, the market is a mechanism of morality and social support.

Table of Contents

  1. Life and Influences
    1. Early Life and Influences
    2. Smith’s Writings
  2. The Theory of Moral Sentiments
    1. Sympathy
    2. The Impartial Spectator
    3. Virtues, Duty, and Justice
  3. An Inquiry into the Nature and Causes of the Wealth of Nations
    1. Wealth and Trade
    2. History and Labor
    3. Political Economy
  4. References and Further Reading
    1. Work by Smith
    2. Companion Volumes to the Glasgow Edition
    3. Introductions and Works for a General Audience
    4. Recommended Books for Specialists

1. Life and Influences

a. Early Life and Influences

Adam Smith was born in June, 1723, in Kirkcaldy, a port town on the eastern shore of Scotland; the exact date is unknown. His father, the Comptroller and Collector of Customs, died while Smith’s mother was pregnant but left the family with adequate resources for their financial well being. Young Adam was educated in a local parish (district) school. In 1737, at the age of thirteen he was sent to Glasgow College after which he attended Baliol College at Oxford University. His positive experiences at school in Kirkcaldy and at Glasgow, combined with his negative reaction to the professors at Oxford, would remain a strong influence on his philosophy.

In particular, Smith held his teacher Francis Hutcheson in high esteem. One of the early leaders of the philosophical movement now called the Scottish Enlightenment, Hutcheson was a proponent of moral sense theory, the position that human beings make moral judgments using their sentiments rather than their “rational” capacities. According to Hutcheson, a sense of unity among human beings allows for the possibility of other-oriented actions even though individuals are often motivated by self-interest. The moral sense, which is a form of benevolence, elicits a feeling of approval in those witnessing moral acts. Hutcheson opposed ethical egoism, the notion that individuals ought to be motivated by their own interests ultimately, even when they cooperate with others on a common project.

The term “moral sense” was first coined by Sir Anthony Ashley Cooper, Third Earl of Shaftesbury, whose work Smith read and who became a focal point in the Scots’ discussion, although he himself was not Scottish. Although Shaftesbury did not offer a formal moral sense theory as Hutcheson did, he describes personal moral deliberation as a “soliloquy,” a process of self-division and self-examination similar in form to Hamlet’s remarks on suicide. This model of moral reasoning plays an important role in Smith’s books.

The Scottish Enlightenment philosophers, or the literati, as they called themselves, were a close-knit group who socialized together and who read, critiqued, and debated each other’s work. They met regularly in social clubs (often at pubs) to discuss politics and philosophy. Shortly after graduating from Oxford, Smith presented public lectures on moral philosophy in Edinburgh, and then, with the assistance of the literati, he secured his first position as the Chair of Logic at Glasgow University. His closest friendship in the group—and probably his most important non-familial relationship throughout his life—was with David Hume, an older philosopher whose work Smith was chastised for reading while at Oxford.

Hume was believed to be an atheist, and his work brought into question some of the core beliefs in moral philosophy. In particular, and even more so than Hutcheson, Hume’s own version of moral sense theory challenged the assumption that reason was the key human faculty in moral behavior. He famously asserted that reason is and ought to be slave to the passions, which means that even if the intellect can inform individuals as to what is morally correct, agents will only act if their sentiments incline them to do so. An old proverb tells us that you can lead a horse to water but that you can’t make it drink. Hume analogously argues that while you might be able to teach people what it means to be moral, only their passions, not their rational capacities, can actually inspire them to be ethical. This position has roots in Aristotle‘s distinction between moral and intellectual virtue.

Smith, while never explicitly arguing for Hume’s position, nonetheless seems to assume much of it. And while he does not offer a strict moral sense theory, he does adopt Hume’s assertion that moral behavior is, at core, the human capacity of sympathy, the faculty that, in Hume’s account, allows us to approve of others’ characters, to “forget our own interest in our judgments,” and to consider those whom “we meet with in society and conversation” who “are not placed in the same situation, and have not the same interest with ourselves” (Hume: Treatise, book 3.3.3).

b. Smith’s Writings

Smith echoes these words throughout A Theory of Moral Sentiments. In this book, he embraces Hume’s conception of sympathy, but rejects his skepticism and adds, as we shall see, a new theory of conscience to the mix. However, focusing on Hume’s observations also allow us to see certain other themes that Smith shares with his Scottish Enlightenment cohort: in particular, their commitment to empiricism. As with most of the other Scottish philosophers, Hume and Smith held that knowledge is acquired through the senses rather than through innate ideas, continuing the legacy of John Locke more so than René Descartes. For Hume, this epistemology would bring into question the connection between cause and effect—our senses, he argued, could only tell us that certain events followed one another in time, but not that they were causally related. For Smith, this meant a whole host of different problems. He asks, for example, how a person can know another’s sentiments and motivations, as well as how members can use the market to make “rational” decisions about the propriety of their economic activity.

At the core of the Scottish project is the attempt to articulate the laws governing human behavior. Smith and his contemporary Adam Ferguson are sometimes credited with being the founders of sociology because they, along with the other literati, believed that human activities were governed by discoverable principles in the same way that Newton argued that motion was explainable through principles. Newton, in fact, was a tremendous influence on the Scots’ methodology. In an unpublished essay on the history of astronomy, Smith writes that Newton’s system, had “gained the general and complete approbation of mankind,” and that it ought to be considered “the greatest discovery that ever was made by man.” What made it so important? Smith describes it as “the discovery of an immense chain of the most important and sublime truths, all closely connected together, by one capital fact, of the reality of which we have daily experience” (EPS, Astronomy IV.76).

While Smith held the chair of logic at Glasgow University, he lectured more on rhetoric than on traditional Aristotelian forms of reasoning. There is a collection of student lecture notes that recount Smith’s discussions of style, narrative, and moral propriety in rhetorical contexts. These notes, in combination with his essay on astronomy, offer an account of explanation that Smith himself regarded as essentially Newtonian. According to Smith, a theory must first be believable; it must soothe anxiety by avoiding any gaps in its account. Again, relying upon a basically Aristotelian model, Smith tells us that the desire to learn, and the theories that result, stems from a series of emotions: surprise at events inspires anxieties that cause one to wonder about the process. This leads to understanding and admiration of the acts and principles of nature. By showing that the principles governing the heavens also govern the Earth, Newton set a new standard for explanation. A theory must direct the mind with its narrative in a way that both corresponds with experience and offers theoretical accounts that enhance understanding and allow for prediction. The account must fit together systematically without holes or missing information; this last element—avoiding any gaps in the theory—is, perhaps, the most central element for Smith, and this model of philosophical explanation unifies both his moral theories and his political economy.

As a young philosopher, Smith experimented with different topics, and there is a collection of writing fragments to compliment his lecture notes and early essays. These include brief explorations of “Ancient Logics,” metaphysics, the senses, physics, aesthetics, the work of Jean-Jacque Rousseau, and other assorted topics. Smith’s Scottish Enlightenment contemporaries shared an interest in all of these issues.

While the works offer a glimpse into Smith’s meditations, they are by no means definitive; few of them were ever authorized for publication. Smith was a meticulous writer and, in his own words, “a slow a very slow workman, who do and undo everything I write at least half a dozen of times before I can be tolerably pleased with it” (Corr. 311). As a result, he ordered sixteen volumes of unpublished writing burnt upon his death because, presumably, he did not feel they were adequate for public consumption. Smith scholars lament this loss because it obfuscates the blueprint of his system, and there have been several attempts of late to reconstruct the design of Smith’s corpus, again with the intent of arguing for a particular relationship between his major works.

After holding the chair of logic at Glasgow for only one year (1751–1752), Smith was appointed to the Chair of Moral Philosophy, the position originally held by Hutcheson. He wrote The Theory of Moral Sentiments, first published in 1759, while holding this position and, presumably, while testing out many of his discussions in the classroom. While he spoke very warmly of this period of his life, and while he took a deep interest in teaching and mentoring young minds, Smith resigned in 1764 to tutor the Duke of Buccleuch and accompany him on his travels.

It was not uncommon for professional teachers to accept positions as private tutors. The salary and pensions were often lucrative, and it allowed more flexibility than a busy lecturing schedule might afford. In Smith’s case, this position took him to France where he spent two years engaged with the philosophes—a tight-knit group of French philosophers analogous to Smith’s own literati—in conversations that would make their way into The Wealth of Nations. How influential the philosophes were in the creation of Smith’s political economy is a matter of controversy. Some scholars suggest that Smith’s attitudes were formed as a result of their persuasion while others suggest that Smith’s ideas were solidified much earlier than his trip abroad. Whatever the case, this shows that Smith’s interests were aligned, not just with the Scottish philosophers, but with their European counterparts. Smith’s writing was well-received in part because it was so timely. He was asking the deep questions of the time; his answers would change the world.

After his travels, Smith returned to his home town of Kirkcaldy to complete The Wealth of Nations. It was first published in 1776 and was praised both by his friends and the general public. In a letter written much later, he referred to it as the “very violent attack I had made upon the whole commercial system of Great Britain” (Corr. 208). The Theory of Moral Sentiments went through six editions in Smith’s lifetime, two of which contained major substantive changes and The Wealth of Nations saw four different editions with more minor alterations. Smith indicated that he thought The Theory of Moral Sentiments was a better book, and his on-going attention to its details and adjustments to its theory bear out, at least, that he was more committed to refining it. Eventually, Smith moved to Edinburgh with his mother and was appointed commissioner of customs in 1778; he did not publish anything substantive for the remainder of his life. Adam Smith died on July 17, 1790.

After his death, The Wealth of Nations continued to grow in stature and The Theory of Moral Sentiments began to fade into the background. In the more than two centuries since his death, his published work has been supplemented by the discoveries of his early writing fragments, the student-authored lectures notes on his course in rhetoric and belles-letters, student-authored lecture notes on jurisprudence, and an early draft of part of The Wealth of Nations, the date of which is estimated to be about 1763. The latter two discoveries help shed light on the formulation of his most famous work and supply fodder for both sides of the debate regarding the influence of the philosophes on Smith’s political economy.

As stated above, Smith is sometimes credited with being one of the progenitors of modern sociology, and his lectures on rhetoric have also been called the blueprint for the invention of the modern discipline of English; this largely has to do with their influence on his student Hugh Blair, whose own lectures on rhetoric were instrumental in the formation of that discipline. The Theory of Moral Sentiments played an important role in 19th century sentimentalist literature and was also cited by Mary Wollstonecraft to bolster her argument in A Vindication of the Rights of Women: Smith’s moral theories experienced a revival in the last quarter of the twentieth century. Secondary sources on Smith flooded the marketplace and interest in Smith’s work as a whole has reached an entirely new audience.

There are two noteworthy characteristics of the latest wave of interest in Smith. The first is that scholars are interested in how The Theory of Moral Sentiments and The Wealth of Nations interconnect, not simply in his moral and economic theories as distinct from one another. The second is that it is philosophers and not economists who are primarily interested in Smith’s writings. They therefore pay special attention to where Smith might fit in within the already established philosophical canon: How does Smith’s work build on Hume’s? How does it relate to that of his contemporary Immanuel Kant? (It is known that Kant read The Theory of Moral Sentiments, for example.) To what extent is a sentiment-based moral theory defensible? And, what can one learn about the Scots and eighteenth-century philosophy in general from reading Smith in a historical context? These are but a few of the questions with which Smith’s readers now concern themselves.

2. The Theory of Moral Sentiments

a. Sympathy

Hutcheson, Hume, and Smith were unified by their opposition to arguments put forth by Bernard Mandeville. A Dutch-born philosopher who relocated to England, Mandeville argued that benevolence does no social good whatsoever. His book, The Fable of the Bees: Private Vices, Public Benefits, tells the whole story. Bad behavior has positive social impact. Without vice, we would have, for example, no police, locksmiths, or other such professionals. Without indulgence, there would be only minimal consumer spending. Virtue, on the other hand, he argued, has no positive economic benefit and is therefore not to be encouraged.

But Mandeville took this a step further, arguing, as did Thomas Hobbes, that moral virtue derives from personal benefit, that humans are essentially selfish, and that all people are in competition with one another. Hobbes was a moral relativist, arguing that “good” is just a synonym for “that which people desire.” Mandeville’s relativism, if it can be called that, is less extreme. While he argues that virtue is the intentional act for the good of others with the objective of achieving that good, he casts doubt on whether or not anyone could actually achieve this standard. Smith seems to treat both philosophers as if they argue for the same conclusion; both offer counterpoints to Shaftesbury’s approach. Tellingly, Mandeville writes wistfully of Shaftesbury’s positive accounts of human motivation, remarking they are “a high Compliment to Human-kind,” adding, however, “what Pity it is that they are not true” (Fable, I, 324).

Smith was so opposed to Hobbes’s and Mandeville’s positions that the very first sentence of The Theory of Moral Sentiments begins with their rejection:

However selfish man may be supposed, there are evidently some principles in his nature, which interest him in the fortune of others, and render their happiness necessary to him, though they derive nothing from it except the pleasure of seeing it. (TMS I.i.1.1)

While it is often assumed that people are selfish, Smith argues that experience suggests otherwise. People derive pleasure from seeing the happiness of others because, by design, others concern us. With this initial comment, Smith outlines the central themes of his moral philosophy: human beings are social, we care about others and their circumstances bring us pleasure or pain. It is only through our senses, through “seeing,” that we acquire knowledge of their sentiments. Smith’s first sentence associates egoism with supposition or presumption, but scientific “principles” of human activity are associated with evidence: Newtonianism and empiricism in action.

The Theory of Moral Sentiments (TMS) is a beautifully written book, clear and engaging. With few exceptions, the sentences are easy to follow, and it is written in a lively manner that speaks of its rehearsal in the classroom. Smith has a particular flair for examples, both literary and from day-to-day life, and his use of “we” throughout brings the reader into direct dialogue with Smith. The book feels like an accurate description of human emotions and experience—there are times when it feels phenomenological, although Smith would not have understood this word. He uses repetition to great benefit, reminding his readers of the central points in his theories while he slowly builds their complexity. At only 342 pages (all references are to the Glasgow Editions of his work), the book encompasses a tremendous range of themes. Disguised as a work of moral psychology—as a theory of moral sentiments alone—it is also a book about social organization, identity construction, normative standards, and the science of human behavior as a whole.

Smith tells us that the two questions of moral philosophy are “Wherein does virtue consist?” and “By what power or faculty in the mind is it, that this character, whatever it be, is recommended to us?” (TMS VII.i.2) In other words, we are to ask what goodness is and how we are to be good. The Theory of Moral Sentiments follows this plan, although Smith tackles the second question first, focusing on moral psychology long before he addresses the normative question of moral standards. For Smith, the core of moral learning and deliberation—the key to the development of identity itself—is social unity, and social unity is enabled through sympathy.

The term “sympathy” is Hume’s, but Smith’s friend gives little indication as to how it was supposed to work or as to its limits. In contrast, Smith addresses the problem head on, devoting the first sixty-six pages of TMS to illuminating its workings and most of the next two hundred elaborating on its nuances. The last part of the book (part VII, “Of Systems of Moral Philosophy”) is the most distanced from this topic, addressing the history of ethics but, again, only for slightly less than sixty pages. It is noteworthy that while modern writers almost always place the “literature review” in the beginning of their books, Smith feels that a historical discussion of ethics is only possible after the work on moral psychology is complete. This is likely because Smith wanted to establish the principles of human behavior first so that he could evaluate moral theory in the light of what had been posited.

The Theory of Moral Sentiments is, not surprisingly, both Aristotelian and Newtonian. It is also Stoic in its account of nature and self-command. The first sentence quoted above is a first principle—individuals are not egoistic—and all the rest of the book follows from this assertion. And, as with all first principles, while Smith “assumes” the possibility of other-oriented behavior, the rest of the book both derives from its truth and contributes to its believability. Smith’s examples, anecdotes, and hypotheticals are all quite believable, and if one is to accept these as accurate depictions of the human experience, then one must also accept his starting point. Human beings care for others, and altruism, or beneficence as he calls it, is possible.

What is sympathy, then? This is a matter of controversy. Scholars have regarded it as a faculty, a power, a process, and a feeling. What it is not, however, is a moral sense in the most literal meaning of the term. Sympathy is not a sixth capacity that can be grouped with the five senses. Smith, while influenced by Hutcheson, is openly critical of his teacher. He argues that moral sense without judgment is impossible (TMS VII.3.3.8-9), and sympathy is that which allows us to make judgments about ourselves and others. Sympathy is the foundation for moral deliberation, Smith argues, and Hutcheson’s system has no room for it.

For Smith, sympathy is more akin to modern empathy, the ability to relate to someone else’s emotions because we have experienced similar feelings. While contemporary “sympathy” refers only to feeling bad for a person’s suffering, Smith uses it to denote “fellow-feeling with any passion whatever” (TMS I.i.1.5). It is how a “spectator… changes places in fancy with… the person principally concerned” (TMS I.i.1.3-5).

In short, sympathy works as follows: individuals witness the actions and reactions of others. When doing so, this spectator attempts to enter into the situation he or she observes and imagines what it is like to be the actor—the person being watched. (Smith uses actor and agent interchangeably.) Then, the spectator imagines what he or she would do as the actor. If the sentiments match up, if the imagined reaction is analogous to the observed reaction, then the spectator sympathizes with the original person. If the reactions are significantly different, then the spectator does not sympathize with the person. In this context, then, sympathy is a form of moral approval and lack of sympathy indicates disapproval.

Sympathy is rarely exact. Smith is explicit that the imagined sentiments are always less intense than the original, but they are nonetheless close enough to signify agreement. And, most important, mutual sympathy is pleasurable. By nature’s design, people want to share fellow-feeling with one another and will therefore temper their actions so as to find common ground. This is further indication of the social nature of human beings; for Smith, isolation and moral disagreement is to be avoided. It is also the mechanism that moderates behavior. Behavior modulation is how individuals learn to act with moral propriety and within social norms. According to The Theory of Moral Sentiments, mutual sympathy is the foundation for reward and punishment.

Smith is insistent, though, that sympathy is not inspired by simply witnessing the emotions of others even though it “may seem to be transfused from one man to another, instantaneously, and antecedent to any knowledge of what excited them in the person principally concerned” (TMS I.i.1.6). Rather, the spectator gathers information about the cause of the emotions and about the person being watched. Only then does he or she ask, given the particular situation and the facts of this particular agent’s life, whether the sentiments are appropriate. As Smith writes:

When I condole with you for the loss of your only son, in order to enter into your grief I do not consider what I, a person of such a character and profession, should suffer, if I had a son, and if that son was unfortunately to die: but I consider what I should suffer if I was really you, and I not only change circumstance with you, but I change persons and characters. My grief, therefore, is entirely upon your own account, and not in the least upon my own. (TMS VI.iii.I.4)

We can see here why the imagination is so important to Smith. Only through this faculty can a person enter into the perspective of another, and only through careful observation and consideration can someone learn all the necessary information relevant to judge moral action. We can also see why sympathy is, for Smith, not an egoistic faculty:

In order to produce this concord, as nature teaches the spectators to assume the circumstances of the person principally concerned, so she teaches this last in some measure to assume those of the spectators. As they are continually placing themselves in his situation, and thence conceiving emotions similar to what he feels; so he is as constantly placing himself in theirs, and thence conceiving some degree of that coolness about his own fortune, with which he is sensible that they will view it. As they are constantly considering what they themselves would feel, if they actually were the sufferers, so he is as constantly led to imagine in what manner he would be affected if he was only one of the spectators of his own situation. As their sympathy makes them look at it, in some measure, with his eyes, so his sympathy makes him look at it, in some measure, with theirs, especially when in their presence and acting under their observation: and as the reflected passion, which he thus conceives, is much weaker than the original one, it necessarily abates the violence of what he felt before he came into their presence, before he began to recollect in what manner they would be affected by it, and to view his situation in this candid and impartial light. (TMS I.i.4.8)

Contrary to the description put forth by the Adam Smith Problem, sympathy cannot be either altruistic or egoistic because the agents are too intertwined. One is constantly making the leap from one point of view to another, and happiness and pleasure are dependant on joint perspectives. Individuals are only moral, and they only find their own happiness, from a shared standpoint. Egoism and altruism melt together for Smith to become a more nuanced and more social type of motivation that incorporates both self-interest and concern for others at the same time.

Typical of Smith, the lengthy paragraph cited above leads to at least two further qualifications. The first is that, as Smith puts it, “we expect less sympathy from a common acquaintance than from a friend… we expect still less sympathy from an assembly of strangers” (TMS I.1.4.10). Because sympathy requires information about events and people, the more distance we have from those around us, the more difficult it is for us to sympathize with their more passionate emotions (and vice versa). Thus, Smith argues, we are to be “more tranquil” in front of acquaintances and strangers; it is unseemly to be openly emotional around those who don’t know us. This will lead, eventually, to Smith’s discussion of duty in part III—his account of why we act morally towards those with whom we have no connection whatsoever.

The second qualification is more complex and revolves around the last phrase in the paragraph: that one must observe actions in a “candid and impartial light.” If movement toward social norms were the only component to sympathy, Smith’s theory would be a recipe for homogeneity alone. All sentiments would be modulated to an identical pitch and society would thereafter condemn only difference. Smith recognizes, therefore, that there must be instances in which individuals reject community judgment. They do so via the creation of an imagined impartial spectator.

b. The Impartial Spectator

Using the imagination, individuals who wish to judge their own actions create not just analogous emotions but an entire imaginary person who acts as observer and judge:

When I endeavour to examine my own conduct, when I endeavour to pass sentence upon it, and either to approve or condemn it, it is evident that, in all such cases, I divide myself, as it were, into two persons; and that I, the examiner and judge, represent a different character from that other I, the person whose conduct is examined into and judged of. The first is the spectator, whose sentiments with regard to my own conduct I endeavour to enter into, by placing myself in his situation, and by considering how it would appear to me, when seen from that particular point of view. The second is the agent, the person whom I properly call myself, and of whose conduct, under the character of a spectator, I was endeavouring to form some opinion. The first is the judge; the second the person judged of. But that the judge should, in every respect, be the same with the person judged of, is as impossible, as that the cause should, in every respect, be the same with the effect. (TMS III.1.6)

The impartial spectator is the anthropomorphization of the calm and disinterested self that can be recovered with self control and self reflection. In today’s world, someone might advise us to “take a deep breath and step back” from a given situation in order to reflect on our actions more dispassionately. Smith is suggesting the same, although he is describing it in more detail and in conjunction with the larger ethical theory that helps us find conclusions once we do so. Individuals who wish to judge their own actions imaginatively split themselves into two different people and use this bifurcation as a substitute for community observation.

Here we see the legacy of Shaftesbury’s soliloquy. An actor who wishes to gauge his or her own behavior has to divide him or herself in the way that Shaftesbury describes, in the way that Hamlet becomes both poet and philosopher. We are passionate about our own actions, and self-deception, according to Smith, is “the source of half the disorders of human life” (TMS III.4.6). Self-division gives individuals the ability to see themselves candidly and impartially and leads us to better self-knowledge. We strive to see ourselves the way others see us, but we do so while retaining access to the privileged personal information that others might not have. The community helps us see past our own biases, but when the community is limited by its own institutionalized bias or simply by lack of information, the impartial spectator can override this and allow an agent to find propriety in the face of a deformed moral system. In the contemporary world, racism and sexism are examples of insidious biases that prevent the community from “seeing” pain and injustice. Smith too can be read as recognizing these prejudices, although he would not have recognized either the terms or the complicated discourses about them that have evolved since he wrote two and a half centuries ago. For example, he cites slavery as an instance of the injustice and ignorance of a community. He writes:

There is not a Negro from the coast of Africa who does not, in this respect, possess a degree of magnanimity which the soul of his sordid master is too often scarce capable of conceiving. Fortune never exerted more cruelly her empire over mankind, than when she subjected those nations of heroes to the refuse of the jails of Europe, to wretches who possess the virtues neither of the countries which they come from, nor of those which they go to, and whose levity, brutality, and baseness, so justly expose them to the contempt of the vanquished. (TMS V.2.9)

Despite its corrective potential, impartiality has its limits. Smith does not imagine the impartial spectator to see from an Archimedean or God’s eye point of view. Because the impartial spectator does not really exist—because it is created by an individual person’s imagination—it is always subject to the limits of a person’s knowledge. This means that judgment will always be imperfect and those moral mistakes that are so profoundly interwoven into society or a person’s experience are the hardest to overcome. Change is slow and society is far from perfect. “Custom,” as he calls it, interferes with social judgment on both the collective and the individual level. There are two points, according to Smith, when we judge our own actions, before and after we act. As he writes, “Our views are apt to be very partial in both cases; but they are apt to be most partial when it is of most importance that they should be otherwise” (TMS 111.4.2). Neither of these points is independent of social influence.

Knowledge is imperfect and individuals do the best they can. But all individuals are limited both by their own experiences and the natural inadequacies of the human mind. Smith’s suggestion, then, is to have faith in the unfolding of nature, and in the principles that govern human activity—moral, social, economic, or otherwise. With this in mind, however, he cautions people against choosing the beauty of systems over the interest of people. Abstract philosophies and abstruse religions are not to take precedent over the evidence provided by experience, Smith argues. Additionally, social engineering is doomed to fail. Smith argues that one cannot move people around the way one moves pieces on a chess board. Each person has his or her “own principle of motion… different from that which the legislature might choose to impress upon” them (TMS VI.ii.2.18).

Smith’s caution against the love of systems is a component of Smith’s argument for limited government: “Harmony of minds,” Smith argues, is not possible without “free communication of settlements and opinion,” or, as we would call it today, freedom of expression (TMS VII.iv.27). It also offers a direct connection to Smith’s most famous phrase “the invisible hand.” In The Theory of Moral Sentiments, he uses the invisible hand to describe the conditions that allow for economic justice. This natural aesthetic love of systems leads people to manipulate the system of commerce, but this interferes with nature’s plan:

The rich only select from the heap what is most precious and agreeable. They consume little more than the poor, and in spite of their natural selfishness and rapacity, though they mean only their own conveniency, though the sole end which they propose from the labours of all the thousands whom they employ, be the gratification of their own vain and insatiable desires, they divide with the poor the produce of all their improvements. They are led by an invisible hand to make nearly the same distribution of the necessaries of life, which would have been made, had the earth been divided into equal portions among all its inhabitants, and thus without intending it, without knowing it, advance the interest of the society, and afford means to the multiplication of the species. (TMS IV.1.10)

In this passage, Smith argues that “the capacity of [the rich person’s] stomach bars no proportion to the immensity of his desires, and will receive no more than that of the meanest peasant” (TMS IV.1.10). Thus, because the rich only select “the best” and because they can only consume so much, there ought to be enough resources for everyone in the world, as if an invisible hand has divided the earth equally amongst all its inhabitants.

As an economic argument, this might have been more convincing in Smith’s time, before refrigeration, the industrial revolution, modern banking practices, and mass accumulation of capital; for a more thorough defense (from Smith’s point of view) see the discussion of The Wealth of Nations. However, its relevance to the history of economics is based upon his recognition of the role of unintended consequences, the presumption that economic growth helps all members of the society, and the recognition of the independence of the free market as a natural force. At present, we can focus on Smith’s warnings about the power of aesthetic attraction. The Newtonian approach, Smith argues—the search for a coherent narrative without gaps that addresses surprise, wonder, and admiration—can lead people astray if they prioritize beauty over the evidence. This love of the beautiful can also deform moral judgments because it causes the masses to over-value the rich, to think the wealthy are happy with their “baubles and trinkets,” and thus to pursue extreme wealth at the cost of moral goodness: “To attain to this envied situation, the candidates for fortune too frequently abandon the paths of virtue; for unhappily, the road which leads to the one and that which leads to the other, lie sometimes in very opposite directions” (TMS I.iii.8). Smith is very critical not only of the rich, but of the moral value society places on them. Only their wealth makes them different, and this love of wealth, and of beauty in general, can distort moral judgment and deform the impartial spectator.

The impartial spectator is a theory of conscience. It provides individuals with the opportunity to assent to their own standards of judgment, which, hopefully, are in general agreement with the standards of the society that houses them. Difference, as Smith discusses in both of his books, is the product of education, economic class, gender, what we would now call ethnic background, individual experience, and natural abilities; but Smith argues that the last of these, natural abilities, constitute the least of the factors. In his Lectures on Jurisprudence, for example, he argues that there is no “original difference” between individuals (LJ(A) vi.47-48), and in The Wealth of Nations, he writes that “The difference of natural talents in different men is, in reality, much less than we are aware of…. The difference between the most dissimilar characters, between a philosopher and a street porter, for example, seems to arise not so much from nature, as from habit, custom and education” (WN I.ii.4). Society and education, hopefully, help to bridge these gaps, and help to cultivate a unified community where people are encouraged to sympathize with others.

Here is the overlap in Smith’s two operative questions. First, one encounters his account of moral psychology. (How does one come to know virtue?) Now one comes face to face with the identification of moral standards themselves. (Of what does virtue consist?) Smith may look like a relativist at times: individuals modulate their sentiments to their community standards, and agreement of individual imaginations may falsely seem to be the final arbiter of what is morally appropriate behavior. With this in mind, there are certainly readers who will argue that Smith, despite his rejection of Hobbes and Mandeville, ends up offering no universally binding moral principles. This, however, forgets Smith’s Newtonian approach: observation leads to the discovery of natural principles that can be repeatedly tested and verified. Furthermore, many scholars argue that Smith was strongly influenced by the classical Stoics. In addition to inheriting their concern with the modulation of emotions and the repression of emotions in public, he also likely thought that moral laws are written into nature’s design in just the same way that Newton’s laws of motion are. As a result, some Smith scholars (but certainly not all) argue that Smith is a moral realist, that sympathy is a method of discovery rather than invention, and that what is to be discovered is correct independent of the opinions of those who either know or are ignorant of the rules.

Consistent with this interpretation, Smith emphasizes what he terms the general rules of morality:

…they are ultimately founded upon experience of what, in particular instances, our moral faculties, our natural sense of merit and propriety, approve, or disapprove of. We do not originally approve or condemn particular actions; because, upon examination, they appear to be agreeable or inconsistent with a certain general rule. The general rule, on the contrary, is formed, by finding from experience, that all actions of a certain kind, or circumstanced in a certain manner, are approved or disapproved of. To the man who first saw an inhuman murder, committed from avarice, envy, or unjust resentment, and upon one too that loved and trusted the murderer, who beheld the last agonies of the dying person, who heard him, with his expiring breath, complain more of the perfidy and ingratitude of his false friend, than of the violence which had been done to him, there could be no occasion, in order to conceive how horrible such an action was, that he should reflect, that one of the most sacred rules of conduct was what prohibited the taking away the life of an innocent person, that this was a plain violation of that rule, and consequently a very blamable action. His detestation of this crime, it is evident, would arise instantaneously and antecedent to his having formed to himself any such general rule. The general rule, on the contrary, which he might afterwards form, would be founded upon the detestation which he felt necessarily arise in his own breast, at the thought of this, and every other particular action of the same kind. (TMS III.4.8)

According to Smith, our sentiments give rise to approval or condemnation of a moral act. These can be modified over time with additional information. Eventually, though, spectators, see patterns in the condemnation. They see, for example, that murder is always wrong, and therefore derive a sense that this is a general rule. They begin, then, to act on the principle rather than on the sentiment. They do not murder, not simply because they detest murder, but because murder is wrong in itself. This, again, is Aristotelian in that it recognizes the interaction between intellectual and moral virtue. It also shares commonalities with the Kantian deontology that became so influential several decades after the publication of TMS. Like Kant, Smith’s agents begin to act on principle rather than emotion. Unlike Kant, however, reason in itself does not justify or validate the principle, experience does.

Smith does several things in the last excerpt. First, he embraces the Newtonian process of scientific experimentation and explanation. Moral rules are akin to the laws of physics; they can be discovered. Second, Smith anticipates Karl Popper’s twentieth-century claim that scientific truths are established through a process of falsification: we cannot prove what is true, Popper argued. Instead, we discover what is false and rule it out.

c. Virtues, Duty, and Justice

Smith emphasizes a number of virtues along with duty and justice. Self-command, he argues “is not only itself a great virtue, but from it all the other virtues seem to derive their principle lustre” (TMS VI.iii.11). This should not be surprising since, for Smith, it is only through self-command that agents can modulate their sentiments to the pitch required either by the community or the impartial spectator. Self-command is necessary because “the disposition to anger, hatred, envy, malice, [and] revenge… drive men from one another,” while “humanity, kindness, natural affection, friendship, [and] esteem… tend to unite men in society” (TMS VI.iii.15). One can see, then, the normative content of Smith’s virtues—those sentiments that are to be cultivated and those that are to be minimized. According to Smith, humans have a natural love for society and can develop neither moral nor aesthetic standards in isolation.

Individuals have a natural desire not only be to be loved, but to be worthy of love: “He desires not only praise, but praiseworthiness,… he dreads not only blame, but blame-worthiness” (TMS III.2.2). This speaks first to the power of the impartial spectator who is a guide to worth when no spectators are around. It also speaks to Smith’s conception of duty, in that it sets a standard of right action independent of what communities set forth. Individuals “derive no satisfaction” from unworthy praise (TMS III.2.5), and doing so is an indication of the perversion of vanity than can be corrected by seeing ourselves the way others would, if they knew the whole story.

It should not be surprising that Smith addresses God amidst his discussion of duty:

The all-wise Author of Nature has, in this manner, taught man to respect the sentiments and judgments of his brethren; to be more or less pleased when they approve of his conduct, and to be more or less hurt when they disapprove of it. He has made man, if I may say so, the immediate judge of mankind; and has, in this respect, as in many others, created him after his own image, and appointed him his vicegerent upon earth, to superintend the behaviour of his brethren. They are taught by nature, to acknowledge that power and jurisdiction which has thus been conferred upon him, to be more or less humbled and mortified when they have incurred his censure, and to be more or less elated when they have obtained his applause. (TMS III.2.31)

Here Smith makes several points. First, like many of the Scots, as well as Thomas Jefferson and many of the American founders, Smith was a deist. While there is controversy amongst scholars about the extent to which God is necessary to Smith’s theory, it is likely that he believed that God designed the universe and its rules, and then stepped back as it unfolded. Smith’s God is not an interventionist God and, despite some readers suggesting the contrary, the invisible hand is not an indication of God’s involvement in creation. It is, instead, just the unfolding of sociological and economic principles. Second, because God is detached from the system, Smith argues that human beings are God’s regents on earth. It is up to them to be the judges of their own behavior. Individuals are necessarily most concerned with themselves first, and are therefore best self-governed. Only then can they judge others via the moral system Smith describes. While it is true that, as Smith puts it, the general rules are “justly regarded as the laws of the deity” (TMS III.v), this seems to be a point of motivation, not of metaphysical assertion. If individuals understand the general rules as stemming from God, then they will follow them with more certainty and conviction. “The terrors of religion should thus enforce the natural sense of duty” (TMS III.5.7), Smith writes, because it inspires people to follow the general rules even if they are inclined not to do so, and because this support makes religion compatible with social and political life. Religious fanaticism, as Smith points out in The Wealth of Nations, is one of the great causes of factionalism—the great enemy of political society.

For Smith, the most precise virtue is justice. It is “the main pillar that upholds the whole edifice” of society (TMS III.ii.4). It is, as he describes it, “a negative virtue” and the minimal condition for participation in the community. Obeying the rules of justice, therefore, result in little praise, but breaking them inspires great condemnation:

There is, no doubt, a propriety in the practice of justice, and it merits, upon that account, all the approbation which is due to propriety. But as it does no real positive good, it is entitled to very little gratitude. Mere justice is, upon most occasions, but a negative virtue, and only hinders us from hurting our neighbour. The man who barely abstains from violating either the person, or the estate, or the reputation of his neighbours, has surely very little positive merit. He fulfils, however, all the rules of what is peculiarly called justice, and does every thing which his equals can with propriety force him to do, or which they can punish him for not doing. We may often fulfil all the rules of justice by sitting still and doing nothing. (TMS II.ii.1.9)

Smith’s account of justice assumes that individual rights and safety are core concerns. He writes:

The most sacred laws of justice, therefore, those whose violation seems to call loudest for vengeance and punishment, are the laws which guard the life and person of our neighbour; the next are those which guard his property and possessions; and last of all come those which guard what are called his personal rights, or what is due to him from the promises of others. (TMS II.ii.2.3)

His discussion of justice is supplemented in The Wealth of Nations and would have likely been added to in his proposed work on “the general principles of law and government” that he never completed. His lectures on jurisprudence give one a hint as to what might have been in that work, but one must assume that the manuscript was part of the collection of works burnt upon his death. (It is not even known what was actually destroyed, let alone what the works argued.) It is frustrating for Smith’s readers to have such gaps in his theory, and Smith scholars have debated the possible content of his other work and the way it relates to his first book. It is clear, though, that The Theory of Moral Sentiments is only one part of Smith’s larger system, and one truly understands it only in light of his other writing. It is therefore necessary to switch the discussion from his work on moral philosophy to his political economy. As will be evident, this break is not a radical one. The two books are entirely compatible with one another and reading one supplements reading the other; both contain moral claims and both make assertions classified as political economy. While their emphases are different much of the time—they are two different books after all—their basic points are more than just harmonious. They depend upon one another for justification.

3. An Inquiry into the Nature and Causes of the Wealth of Nations

a. Wealth and Trade

The Wealth of Nations (WN) was published in March of 1776, four months before the signing of the American Declaration of Independence. It is a much larger book than The Theory of Moral Sentiments—not counting appendices and indices, it runs 947 pages. To the first time reader, therefore, it may seem more daunting than Smith’s earlier work, but in many ways, it is actually a simpler read. As he grew older, Smith’s writing style became more efficient and less flowery, but his authorial voice remained conversational. His terms are more strictly defined in WN than in TMS, and he clearly identifies those positions he supports and rejects. His economic discussions are not as layered as his comments on morality, so the interpretive issues are often less complex. The logic of the book is transparent: its organizational scheme is self-explanatory, and its conclusions are meticulously supported with both philosophical argument and economic data. There are many who challenge its assertions, of course, but it is hard to deny that Smith’s positions in WN are defensible even if, in the end, some may conclude that he is wrong.

The text is divided into five “books” published in one, two, or three bound volumes depending on the edition. The first books outline the importance of the division of labor and of self-interest. The second discusses the role of stock and capital. The third provides an historical account of the rise of wealth from primitive times up until commercial society. The fourth discusses the economic growth that derives from the interaction between urban and rural sectors of a commercial society. The fifth and final book presents the role of the sovereign in a market economy, emphasizing the nature and limits of governmental powers and the means by which political institutions are to be paid for. Smith, along with his Scottish Enlightenment contemporaries, juxtaposes different time periods in order to find normative guidance. As TMS does, The Wealth of Nations contains a philosophy of history that trusts nature to reveal its logic and purpose.

This is a remarkable scope, even for a book of its size. Smith’s achievement, however, is not simply the multitude of his discussions, but how he makes it all fit together. His most impressive accomplishment in The Wealth of Nations is the presentation of a system of political economy. Smith makes seemingly disparate elements interdependent and consistent. He manages to take his Newtonian approach and create a narrative of both power and beauty, addressing the philosophical along with the economic, describing human behavior and history, and prescribing the best action for economic and political betterment. And, he does so building on a first principle that was at least as controversial as the sentence that began The Theory of Moral Sentiments. He begins the introduction by asserting:

The annual labour of every nation is the fund which originally supplies it with all the necessaries and conveniencies of life which it annually consumes, and which consist always either in the immediate produce of that labour, or in what is purchased with that produce from other nations. (WN intro.1)

The dominant economic theory of Smith’s time was mercantilism. It held that the wealth of a nation was to be assessed by the amount of money and goods within its borders at any given time. Smith calls this “stock.” Mercantilists sought to restrict trade because this increased the assets within the borders which, in turn, were thought to increase wealth. Smith opposed this, and the sentence cited above shifted the definition of national wealth to a different standard: labor.

The main point of The Wealth of Nations is to offer an alternative to mercantilism. Labor brings wealth, Smith argues. The more one labors the more one earns. This supplies individuals and the community with their necessities, and, with enough money, it offers the means to make life more convenient and sometimes to pursue additional revenue. Free trade, Smith argues, rather than diminishing the wealth of the nation, increases it because it provides more occasion for labor and therefore more occasion to create more wealth. Limited trade keeps the amount of wealth within the borders relatively constant, but the more trade a country engages in, the wider the market becomes and the more potential there is for additional labor and, in turn, additional wealth. This point leads Smith to divide stock into two parts, that which is used for immediate consumption—the assets that allow a person to acquire necessities—and that which is used to earn additional revenue. This latter sum he calls “capital” (WN II.1.2), and the term “capitalism” (which, again, Smith does not use) is derived from its use in a commercial system: capital is specifically earmarked for reinvestment and is therefore a major economic engine.

This is, of course, a philosophical point as much as an economic one: Smith asks his readers to reconsider the meaning of wealth itself. Is wealth the money and assets that one has at any given time, or is it these things combined with the potential to have more, to adjust to circumstances, and to cultivate the skills to increase such potential? Smith thinks it is the latter. Smith is also concerned specifically with the distinction between necessities and conveniences. His overarching concern in The Wealth of Nations is the creation of “universal opulence which extends itself to the lowest ranks of the people” (WN I.i.10). In other words, Smith believes that a commercial system betters the lives for the worst off in society; all individuals should have the necessities needed to live reasonably well. He is less concerned with “conveniences” and “luxuries;” he does not argue for an economically egalitarian system. Instead, he argues for a commercial system that increases both the general wealth and the particular wealth of the poorest members. He writes:

Is this improvement in the circumstances of the lower ranks of the people to be regarded as an advantage or as an inconveniency to the society? The answer seems at first sight abundantly plain. Servants, labourers and workmen of different kinds, make up the far greater part of every great political society. But what improves the circumstances of the greater part can never be regarded as an inconveniency to the whole. No society can surely be flourishing and happy, of which the far greater part of the members are poor and miserable. It is but equity, besides, that they who feed, cloath and lodge the whole body of the people, should have such a share of the produce of their own labour as to be themselves tolerably well fed, cloathed and lodged. (WN I.viii.36)

Smith argues that the key to the betterment of the masses is an increase in labor, productivity, and workforce. There are two main factors that influence this: “the skill, dexterity, and judgment with which its labour is generally applied,” and “the proportion between the number of those who are employed in useful labour, and that of those who are not” (WN intro.3).

Smith repeats the phrase “skill, dexterity and judgment” in the first paragraph of the body of the book, using it to segue into a discussion of manufacture. Famously, he uses the division of labor to illustrate the efficiency of workers working on complementary specific and narrow tasks. Considering the pin-maker, he suggests that a person who was required to make pins by him or herself could hardly make one pin per day, but if the process were divided into a different task for different people—”one man draws out the wire, another straights it, a third cuts it, a fourth points it, a fifth grinds it at the top for receiving the head; to make the head requires two or three distinct operations; to put it on, is a peculiar business, to whiten the pins is another”—then the factory could make approximately forty-eight thousand pins per day (WN I.i.3).

The increase in efficiency is also an increase in skill and dexterity, and brings with it a clarion call for the importance of specialization in the market. The more focused a worker is on a particular task the more likely they are to create innovation. He offers the following example:

In the first fire-engines, a boy was constantly employed to open and shut alternately the communication between the boiler and the cylinder, according as the piston either ascended or descended. One of those boys, who loved to play with his companions, observed that, by tying a string from the handle of the valve which opened this communication, to another part of the machine, the valve would open and shut without his assistance, and leave him at liberty to divert himself with his play-fellows. One of the greatest improvements that has been made upon this machine, since it was first invented, was in this manner the discovery of a boy who wanted to save his own labour. (WN I.i.8)

This example of a boy looking to ease his work day, illustrates two separate points. The first is the discussion at hand, the importance of specialization. In a commercial society, Smith argues, narrow employment becomes the norm: “Each individual becomes more expert in his own peculiar branch, more work is done upon the whole, and the quantity of science is considerably increased by it” (WN I.i.9). However, the more important point—certainly the more revolutionary one—is the role of self-interest in economic life. A free market harnesses personal desires for the betterment not of individuals but of the community.

Echoing but tempering Mandeville’s claim about private vices becoming public benefits, Smith illustrates that personal needs are complementary and not mutually exclusive. Human beings, by nature, have a “propensity to truck, barter, and exchange one thing for another” (WN I.ii.1). This tendency, which Smith suggests may be one of the “original principles in human nature,” is common to all people and drives commercial society forward. In an oft-cited comment, Smith observes,

It is not from the benevolence of the butcher, the brewer, or the baker, that we expect our dinner, but from their regard to their own self-interest. We address ourselves, not to their humanity but to their self-love, and never talk to them of our own necessities but of their advantages. (WN I.ii.2)

Philosophically, this is a tectonic shift in moral prescription. Dominant Christian beliefs had assumed that any self-interested action was sinful and shameful; the ideal person was entirely focused on the needs of others. Smith’s commercial society assumes something different. It accepts that the person who focuses on his or her own needs actually contributes to the public good and that, as a result, such self-interest should be cultivated.

Smith is not a proponent of what would today be called rampant consumerism. He is critical of the rich in both of his books. Instead, his argument is one that modern advocates of globalization and free trade will find familiar: when individuals purchase a product, they help more people than they attempted to do so through charity. He writes:

Observe the accommodation of the most common artificer or day-labourer in a civilized and thriving country, and you will perceive that the number of people of whose industry a part, though but a small part, has been employed in procuring him this accommodation, exceeds all computation. The woollen coat, for example, which covers the day-labourer, as coarse and rough as it may appear, is the produce of the joint labour of a great multitude of workmen. The shepherd, the sorter of the wool, the wool-comber or carder, the dyer, the scribbler, the spinner, the weaver, the fuller, the dresser, with many others, must all join their different arts in order to complete even this homely production. How many merchants and carriers, besides, must have been employed in transporting the materials from some of those workmen to others who often live in a very distant part of the country! how much commerce and navigation in particular, how many ship-builders, sailors, sail-makers, rope-makers, must have been employed in order to bring together the different drugs made use of by the dyer, which often come from the remotest corners of the world! What a variety of labour too is necessary in order to produce the tools of the meanest of those workmen! To say nothing of such complicated machines as the ship of the sailor, the mill of the fuller, or even the loom of the weaver, let us consider only what a variety of labour is requisite in order to form that very simple machine, the shears with which the shepherd clips the wool. The miner, the builder of the furnace for smelting the ore, the feller of the timber, the burner of the charcoal to be made use of in the smelting-house, the brick-maker, the brick-layer, the workmen who attend the furnace, the mill-wright, the forger, the smith, must all of them join their different arts in order to produce them. Were we to examine, in the same manner, all the different parts of his dress and household furniture, the coarse linen shirt which he wears next his skin, the shoes which cover his feet, the bed which he lies on, and all the different parts which compose it, the kitchen-grate at which he prepares his victuals, the coals which he makes use of for that purpose, dug from the bowels of the earth, and brought to him perhaps by a long sea and a long land carriage, all the other utensils of his kitchen, all the furniture of his table, the knives and forks, the earthen or pewter plates upon which he serves up and divides his victuals, the different hands employed in preparing his bread and his beer, the glass window which lets in the heat and the light, and keeps out the wind and the rain, with all the knowledge and art requisite for preparing that beautiful and happy invention, without which these northern parts of the world could scarce have afforded a very comfortable habitation, together with the tools of all the different workmen employed in producing those different conveniencies; if we examine, I say, all these things, and consider what a variety of labour is employed about each of them, we shall be sensible that without the assistance and co-operation of many thousands, the very meanest person in a civilized country could not be provided, even according to what we very falsely imagine, the easy and simple manner in which he is commonly accommodated. Compared, indeed, with the more extravagant luxury of the great, his accommodation must no doubt appear extremely simple and easy; and yet it may be true, perhaps, that the accommodation of an European prince does not always so much exceed that of an industrious and frugal peasant, as the accommodation of the latter exceeds that of many an African king, the absolute master of the lives and liberties of ten thousand naked savages. (WN I.i.11)

The length of this excerpt is part of its argumentative power. Smith is not suggesting, simply, that a single purchase benefits a group of people. Instead, he is arguing that once you take seriously the multitude of people whose income is connected to the purchase of the single coat, it is hard to even grasp the numbers we are considering. A single purchase brings with it a vast network of laborers. Furthermore, he argues, while one may be critical of the inevitable class difference of a commercial society, the differential is almost inconsequential compared to the disparity between the “haves” and “have-nots” in a feudal or even the most primitive societies. (Smith’s reference to “a thousand naked savages” is just thoughtless eighteenth century racism and can be chalked-up to the rhetoric of the time. It ought to be disregarded and has no impact on the argument itself.) It is the effect of one minor purchase on the community of economic agents that allows Smith to claim, as he does in TMS, that the goods of the world are divided equally as if by an invisible hand. For Smith, the wealthy can purchase nothing without benefiting the poor.

According to The Wealth of Nations, the power of the woolen coat is the power of the market at work, and its reach extends to national economic policy as well as personal economic behavior. Smith’s comments relate to his condemnation of social engineering in The Theory of Moral Sentiments, and he uses the same metaphor—the invisible hand—to condemn those mercantilists who think that by manipulating the market, they can improve the lot of individual groups of people.

But the annual revenue of every society is always precisely equal to the exchangeable value of the whole annual produce of its industry, or rather is precisely the same thing with that exchangeable value. As every individual, therefore, endeavours as much as he can both to employ his capital in the support of domestic industry, and so to direct that industry that its produce may be of the greatest value; every individual necessarily labours to render the annual revenue of the society as great as he can. He generally, indeed, neither intends to promote the public interest, nor knows how much he is promoting it. By preferring the support of domestic to that of foreign industry, he intends only his own security; and by directing that industry in such a manner as its produce may be of the greatest value, he intends only his own gain, and he is in this, as in many other cases, led by an invisible hand to promote an end which was no part of his intention. Nor is it always the worse for the society that it was no part of it. By pursuing his own interest he frequently promotes that of the society more effectually than when he really intends to promote it. I have never known much good done by those who affected to trade for the public good. It is an affectation, indeed, not very common among merchants, and very few words need be employed in dissuading them from it. (WN IV.2.9)

Smith begins his comments here with a restatement of the main point of The Wealth of Nations: “…the annual revenue of every society is always precisely equal to the exchangeable value of the whole annual produce of its industry, or rather is precisely the same thing with that exchangeable value.” The income of any community is its labor. Smith’s remarks about the invisible hand suggest that one can do more damage by trying to manipulate the system than by trusting it to work. This is the moral power of unintended consequences, as TMS’s account of the invisible hand makes clear as well.

What Smith relies upon here is not “moral luck” as Bernard Williams will later call it, but, rather, that nature is logical because it operates on principles, and, therefore, certain outcomes can be predicted. Smith recognizes that human beings and their interactions are part of nature and not to be understood separately from it. As in The Theory of Moral Sentiments, social and political behavior follows a natural logic. Now Smith makes the same claim for economic acts. Human society is as natural as the people in it, and, as such, Smith rejects the notion of a social contract in both of his books. There was never a time that humanity lived outside of society, and political development is the product of evolution (not his term) rather than a radical shift in organization. The state of nature is society for Smith and the Scots, and, therefore, the rules that govern the system necessitate certain outcomes.

b. History and Labor

Smith’s account of history describes human civilization as moving through four different stages, time periods that contain nations of hunters, nations of shepherds, agricultural nations, and, finally commercial societies (WN V.i.a, see, also, LJ(A) i.27; see also LJ(B) 25, 27, 149, 233). This is progress, Smith insists, and each form of society is superior to the previous one. It is also natural. This is how the system is designed to operate; history has a logic to it. Obviously, this account, in fact all of The Wealth of Nations, was very influential for Karl Marx. It marks the important beginning of what would be called social science—Smith’s successor to the Chair of Moral Philosophy, Adam Ferguson, is often identified as the founder of modern sociology—and is representative of the project the Scottish Enlightenment thinkers referred to as “the science of man.”

Smith’s discussion of history illustrates two other important points. First, he argues that the primary economic tension, and, as a result, the primary economic engine, in any given society can be found in the interaction between “the inhabitants of the town and those of the country” (WN III.i.1). According to Smith, agricultural lands supply the means of sustenance for any given society and urban populations provide the means of manufacture. Urban areas refine and advance the means of production and return some of its produce to rural people. In each of the stages, the town and country have a different relationship with each other, but they always interact.

Here, Smith is indebted to the physiocrats, French economists who believed that agricultural labor was the primary measure of national wealth. Smith accepted their notion that productive labor was a component of the wealth of nations but rejected their notion that only agricultural labor should be counted as value. He argues, instead, that if one group had to be regarded as more important, it would be the country since it provides food for the masses, but that it would be a mistake to regard one’s gain as the other’s loss or that their relationship is essentially hierarchical: “the gains of both are mutual and reciprocal, and the division of labour is in this, as in all other cases, advantageous to all the different persons employed in the various occupations into which it is subdivided” (WN III.i.1).

Again, there are philosophical issues here. First, is what one is to regard as labor; second is what counts towards economic value. Additionally, Smith is showing how the division of labor works on a large scale; it is not just for pin factories. Rather, different populations can be dedicated to different tasks for everyone’s benefit. (This might be an anticipation of David Ricardo’s notion of “comparative advantage.”) A commercial system is an integrated one and the invisible hand ensures that what benefits one group can also benefit another. Again, the butcher, brewer, and baker gain their livelihood by manufacturing the lunch of their customers.

Returning to Smith’s account of history, Smith also argues that historical moments and their economic arrangements help determine the form of government. As the economic stage changes, so does the form of government. Economics and politics are intertwined, Smith observes, and a feudal system could not have a republican government as is found in commercial societies. What Smith does here, again, is anticipate Marx’s dialectical materialism, showing how history influences economic and political options, but, of course, he does not take it nearly as far as the German does close to a century later.

Given the diversity of human experience—WN‘s stage theory of history helps account for difference—Smith is motivated to seek unifying standards that can help translate economic value between circumstances. Two examples are his discussions of price and his paradox of value. Within these discussions, Smith seeks an adequate measure of “worth” for goods and services. Consumers look at prices to gauge value, but there are good and bad amounts; which is which is not always transparent. Some items are marked too expensive for their actual value and some are a bargain. In developing a system to account for this interaction, Smith offers a range of different types of prices, but the two most important are natural price—the price that covers all the necessary costs of manufacture—and the market price, what a commodity actually goes for on the market. When the market and the natural prices are identical, the market is functioning well: “the natural price, therefore, is, as it were, the central price to which the prices of all commodities are continually gravitating” (WN I.vii.15).

Here, the term “gravitating” indicates, yet again, that there are principles that guide the economic system, and a properly functioning marketplace—one in which individuals are in “perfect liberty”—will have the natural and market prices coincide (WN i.vii.30). (Smith defines perfect liberty as a condition under which a person “may change his trade as often as he pleases” (WN I.vii.6)). Whether this is a normative value, whether for Smith the natural price is better than other prices, and whether the market price of a commodity should be in alignment with the natural price, is a matter of debate.

Following the question of worth, Smith poses the paradox of value. He explains: “Nothing is more useful than water: but it will purchase scarce any thing; scarce anything can be had in exchange for it. A diamond, on the contrary, has scarce any value in use; but a very great quantity of other goods may frequently be had in exchange for it” (WN I.iv.13). Smith’s question is straightforward: why is water so much cheaper than diamonds when it is so much more important for everyday life?

Obviously, we are tempted to argue that scarcity plays a role in the solution to this paradox; water is more valuable than diamonds to a person dying of thirst. For Smith, however, value, here, is general utility and it seems problematic to Smith that the more useful commodity has the lower market price. His solution, then, is to distinguish between two types of value, “value in use” and “value in exchange”—the former is the commodity’s utility and the latter is what it can be exchanged for in the market. Dividing the two analytically allows consumers to evaluate the goods both in terms of scarcity and in terms of usefulness. However, Smith is also searching for a normative or objective core in a fluctuating and contextual system, as with the role of impartiality in his moral system. Scarcity would not solve this problem because that, too, is fluctuating; usefulness is largely subjective and depends on an individual’s priorities and circumstance. Smith seeks a more universal criterion and looks towards labor to anchor his notion of value: “labour,” he writes, “is the real measure of the exchangeable value of all commodities” (WN I.v).

What Smith means by this is unclear and a matter of controversy. What seems likely, though, is that one person’s labor in any given society is not significantly different from another person’s. Human capabilities do not change radically from one time period or location to another, and their labor, therefore, can be compared: “the difference of natural talents in different men is, in reality, much less than we are aware of.” He elaborates:

Labour, therefore, it appears evidently, is the only universal, as well as the only accurate measure of value, or the only standard by which we can compare the values of different commodities at all times and at all places. We cannot estimate, it is allowed, the real value of different commodities from century to century by the quantities of silver which were given for them. We cannot estimate it from year to year by the quantities of corn. By the quantities of labour we can, with the greatest accuracy, estimate it both from century to century and from year to year. From century to century, corn is a better measure than silver, because, from century to century, equal quantities of corn will command the same quantity of labour more nearly than equal quantities of silver. From year to year, on the contrary, silver is a better measure than corn, because equal quantities of it will more nearly command the same quantity of labour. (WN I.v.17)

In other words, for example, a lone person can only lift so much wheat at one go, and while some people are stronger than others, the differences between them don’t make that much difference. Therefore, Smith seems to believe, the value of any object can be universally measured by the amount of labor that any person in any society might have to exert in order to acquire that object. While this is not necessarily a satisfying standard to all—many economists argue that the labor theory of value has been surpassed—it does, again, root Smith’s objectivity in impartiality. The “any person” quality of the impartial spectator is analogous to the “any laborer” standard Smith seems to use as a value measure.

Ultimately, according to Smith, a properly functioning market is one in which all these conditions—price, value, progress, efficiency, specialization, and universal opulence (wealth)—all work together to provide economic agents with a means to exchange accurately and freely as their self-interest motivates them. None of these conditions can be met if the government does not act appropriately, or if it oversteps its justified boundaries.

c. Political Economy

The Wealth of Nations is a work of political economy. It is concerned with much more than the mechanisms of exchange. It is also concerned with the ideal form of government for commercial advancement and the pursuit of self-interest. This is where Smith’s reputation as a laissez faire theorist comes in. He is arguing for a system, as he calls it, of “natural liberty,” one in which the market largely governs itself as is free from excessive state intervention (recall Smith’s use of the invisible hand in TMS). As he explains, there are only three proper roles for the sovereign: to protect a society from invasion by outside forces, to enforce justice and protect citizens from one another, and “thirdly, the duty of erecting and maintaining certain publick works and certain publick institutions, which it can never be for the interest of any individual, or small number of individuals, to erect and maintain; because the profit could never repay the expence to any individual or small number of individuals, though it may frequently do much more than repay it to a great society” (WN IV.ix).

Each of the responsibilities of the sovereign contains its own controversies. Regarding the first, protecting society, Smith debated with others as to whether a citizen militia or a standing army was better suited for the job, rooting his discussion, as usual, in a detailed history of the military in different stages of society (WN V.1.a). Given the nature of specialization, it should not be surprising that Smith favored the army (WN V.1.a.28). The nature of justice—the second role of the sovereign—is also complicated, and Smith never fully articulated his theory of what justice is and how it ought to be maintained, although, as we have seen, he was liberal in his assumptions of the rights of individuals against the imposition of government on matters of conscience and debate. In his chapter on “the expence of justice” (WN V.i.b), he discusses the nature of human subordination and why human beings like to impose themselves on one another. However, it is the third role of the sovereign—the maintenance of works that are too expensive for individuals to erect and maintain, or what are called “natural monopolies”—that is the most controversial.

It is this last book—ostensibly about the expenditures of government—that shows most clearly what Smith had in mind politically; the government plays a much stronger role in society than is often asserted. In particular, book five addresses the importance of universal education and social unity. Smith calls for religious tolerance and social regulation against extremism. For Smith, religion is an exceptionally fractious force in society because individuals tend to regard theological leaders as having more authority than political ones. This leads to fragmentation and social discord.

The discussion of “public goods” includes an elaborate discussion of toll roads, which, on the face of it, may seem to be a boring topic, but actually includes a fascinating account of why tolls should be based on the value of transported goods rather than on weight. This is Smith’s attempt to protect the poor—expensive goods are usually lighter than cheaper goods—think of diamonds compared to water—and if weight were the standard for tolls, justified, perhaps, by the wear and tear that the heavier goods cause, the poor would carry an undue share of transportation costs (WN V.i.d). However, the most intriguing sections of Book Five contain his two discussions of education (WN V.i.f–V.i.g). The first articulates the role of education for youth and the second describes the role of education for “people of all ages.”

The government has no small interest in maintaining schools to teach basic knowledge and skills to young people. While some of the expense is born by parents, much of this is to be paid for by society as a whole (WN V.i.f.54-55). The government also has a duty to educate adults, both to help counter superstition and to remedy the effects of the division of labor. Regarding the first, an educated population is more resistant to the claims of extremist religions. Smith also advocates public scrutiny of religious assertions in an attempt to moderate their practices. This, of course, echoes Smith’s moral theory in which the impartial spectator moderates the more extreme sentiments of moral agents. Finally, Smith insists that those who govern abandon associations with religious sects so that their loyalties do not conflict.

Regarding the second purpose of education for all ages, and again, anticipating Marx, Smith recognizes that the division of labor is destructive towards an individual’s intellect. Without education, “the torpor” (inactivity) of the worker’s mind:

renders him, not only incapable of relishing or bearing a part in any rational conversation, but of conceiving any generous, noble, or tender sentiment, and consequently of forming any just judgment concerning many even of the ordinary duties of private life. Of the great and extensive interests of his country, he is altogether incapable of judging; and unless very particular pains have been taken to render him otherwise, he is equally incapable of defending his country in war…. His dexterity at his own particular trade seems, in this manner, to be acquired at the expence of his intellectual, social, and martial virtues. But in every improved and civilized society this is the state into which the labouring poor, that is, the great body of the people, must necessarily fall, unless government takes some pains to prevent it. (WN V.i.f.50)

Education helps individuals overcome the monotony of day to day life. It helps them be better citizens, better soldiers, and more moral people; the intellect and the imagination are essential to moral judgment. No person can accurately sympathize if his or her mind is vacant and unskilled.

We see here that Smith is concerned about the poor throughout The Wealth of Nations. We also see the connections between his moral theory and his political economy. It is impossible to truly understand why Smith makes the political claims he does without connecting them to his moral claims, and vice versa. His call for universal wealth or opulence and his justification of limited government are themselves moral arguments as much as they are economic ones. This is why the Adam Smith Problem doesn’t make sense and why contemporary Smith scholars are so focused on showing the systematic elements of Smith’s philosophy. Without seeing how each of the parts fit together, one loses the power behind his reasoning—reasoning that inspired as much change as any other work in the history of the Western tradition. Of course, Smith has his detractors and his critics. He is making claims and building on assumptions that many challenge. But Smith has his defenders too, and, as history bears out, Smith is still an important voice in the investigation of how society ought to be organized and what principles govern human behavior, inquiry, and morality. The late twentieth century revival in Smith’s studies underscores that Smith’s philosophy may be as important now as it ever was.

4. References and Further Reading

All references are to The Glasgow Edition of the Correspondence and Works of Adam Smith, the definitive edition of his works. Online versions of much of these can be found at The Library of Economics and Liberty.

a. Work by Smith

  • [TMS] Theory of Moral Sentiments. Ed. A.L. Macfie and D.D. Raphael. Indianapolis: Liberty Press, 1982.
    • First published in 1759; subsequent editions in 1761 (significantly revised), 1767, 1774, 1781, and 1790 (significantly revised with entirely new section).
  • [WN] An Inquiry into the Nature and Causes of the Wealth of Nations. 2 vols. Ed. R.H. Campbell and A.S. Skinner. Indianapolis: Liberty Press, 1976.
    • First published in 1776; subsequent editions in 1778, 1784 (significantly revised), 1786, 1789.
  • [LJ] Lectures on Jurisprudence. Ed. R.L. Meek and D.D. Raphael. Indianapolis: Liberty Press, 1982.
    • Contains two sets of lectures, LJ(A), dated 1762–3 and LJ(B) dated 1766.
  • [LRBL] The Lectures on Rhetoric and Belles Lettres. Ed. J.C. Bryce. Indianapolis: Liberty Press, 1985.
    • Edition also contains the fragment: “Considerations Concerning the First Formation of Languages” in LRBL. Lecture dates, 1762–1763.
  • [EPS] Essays on Philosophical Subjects. Ed. W.P.D. Wightman and J.C. Bryce. Indianapolis: Liberty Press, 1982.
    • Contains the essays and fragments: “The Principles Which Lead and Direct Philosophical Enquires Illustrated by the History of Astronomy,” “The Principles Which Lead and Direct Philosophical Enquires Illustrated by the History of Ancient Physics,” “ThePrinciples which lead and direct Philosophical Enquiries Illustrated by the History of the Ancient Logics and Metaphysics,”Of the External Senses,“Of the Nature of that Imitation which takes place in what are called The Imitative Arts,” “Of the Affinity between Music, Dancing, and Poetry,” “Of the Affinity between certain English and Italian Verses,” Contributions to the Edinburgh Review of 1755-56, Review of Johnson’s Dictionary, A Letter to the Authors of the Edinburgh Review, Preface and Dedication to William Hamilton’s Poems on Several Occasions 261 and Dugald Stewart’s “Account of the Life and Writings of Adam Smith, LL.D.” First published in 1795.
  • [Corr.] Correspondence of Adam Smith. Ed. E.C. Mossner and I.S. Ross. Indianapolis: Liberty Press, 1987.

b. Companion Volumes to the Glasgow Edition

  • Index to the Works of Adam Smith. Ed K. Haakonssen and A.S. Skinner. Indianapolis,: Liberty Press, 2002.
  • Essays on Adam Smith. Edited by A.S. Skinner and Thomas Wilson. Oxford: Oxford University Press, 1976.
  • Life of Adam Smith. I.S. Ross. Oxford: Oxford University Press, 1995.

c. Introductions and Works for a General Audience

  • Berry, Christopher J. The Social Theory of the Scottish Enlightenment. Edinburgh: Edinburgh University Press, 1997.
  • Fleischacker, Samuel. On Adam Smith’s Wealth of Nations. Princeton: Princeton University Press, 2004.
  • Haakonssen, K. (ed.) The Cambridge Companion to Adam Smith. Cambridge: Cambridge University Press, 2006.
  • Muller, Jerry Z. Adam Smith in His Time and Ours. Princeton: Princeton University Press, 1993.
  • Otteson, James R. Adam Smith: Selected Philosophical Writings (Library of Scottish Philosophy). Exeter: Imprint Academic, 2004.
  • Weinstein, Jack Russell. On Adam Smith. Belmont: Wadsworth, 2001.
  • Raphael, D.D. Adam Smith (Past Masters). Oxford: Oxford University Press, 1986.

d. Recommended Books for Specialists

Any issue of the journal The Adam Smith Review will be of interest to Smith’s readers. Volume 2 (2007) has a special symposium on Smith’s notion of rational choice (economic deliberation), and Volume 3 (2008) will have a special symposium on Smith and education. Both may deserve special attention.

  • Campbell, T.D. Adam Smith’s Science of Morals. New Jersey: Rowman and Littlefield, 1971.
  • Cropsey, Joseph. Polity and Economy: An Interpretation of the Principles of Adam Smith (With Further Thoughts on the Principles of Adam Smith) (Revised Edition). Chicago: St. Augustine’s Press, 2001.
  • Evensky, J. Adam Smith’s Moral Philosophy. Cambridge: Cambridge University Press, 2005.
  • Force, Pierre. Self-interest before Adam Smith. Cambridge: Cambridge University Press, 2003.
  • Griswold, Charles L. Jr. Adam Smith and the Virtues of Enlightenment. Cambridge: Cambridge University Press, 1999.
  • Haakonssen, Knud (ed.). Adam Smith (The International Library of Critical Essays in the History of Philosophy. Aldershot: Ashgate/Dartmouth Publishing, 1998.
  • Haakonssen, Knud. The Science of A Legislator. Cambridge: Cambridge University Press, 1981.
  • Montes, Leonidas. Adam Smith in Context. New York: Palgrave MacMillan, 2004.
  • Otteson, James. Adam Smith’s Marketplace of Life. Cambridge: Cambridge University Press, 2002.
  • Raphael, D.D. The Impartial Spectator. Oxford: Oxford University Press, 2007.
  • Scott, William Robert. Adam Smith as Student and Professor. New York: Augusts M. Kelley, 1965.
  • Teichgraeber, Richard. Free Trade and Moral Philosophy: Rethinking the Sources of Adam Smith’s Wealth of Nations. Durham, Duke University Press, 1986.
  • Weinstein, Jack Russell. Adam Smith’s Pluralism: Rationality Education and the Moral Sentiments. New Haven: Yale University Press, 2013.

Author Information

Jack Russell Weinstein
Email: jack.weinstein@und.edu
University of North Dakota
U. S. A.

René Descartes: Scientific Method

painting of DescartesRené Descartes’ major work on scientific method was the Discourse that was published in 1637 (more fully: Discourse on the Method for Rightly Directing One’s Reason and Searching for Truth in the Sciences). He published other works that deal with problems of method, but this remains central in any understanding of the Cartesian method of science. The common picture of Descartes is as one who proposed that all science become demonstrative in the way Euclid made geometry demonstrative, namely as a series of valid deductions from self-evident truths, rather than as something rooted in observation and experiment. Descartes is usually portrayed as one who defends and uses an a priori method to discover infallible knowledge, a method rooted in a doctrine of innate ideas that yields an intellectual knowledge of the essences of the things with which we are acquainted in our sensible experience of the world. This metaphysics of essences and the accompanying a priori method are then contrasted to the method of Newton, Bacon and the British empiricists, who denied the metaphysics of essences and the doctrine of innate ideas, and for whom knowledge of the world of sensible appearances was to be located, not by going outside it to a realm of essences, but by applying the method of experiment through which one could trace out the patterns in this world of causes and effects. There is something to this standard picture, but Descartes’ thought, like that of the empiricists, goes far beyond this simple description. In fact, Descartes sought to found our knowledge of things as much in experience and in experiment as in things a priori.

Table of Contents

  1. Science as Observation and Experiment
    1. Laws about Laws
    2. Models of “How Possibly”
    3. Application to Human Physiology
  2. Cartesian Rationalism
    1. A Priori Method
    2. Geometrical Deduction
    3. Deduction in the Discourse and Meditations
  3. Method of Doubt
  4. Conclusion
  5. References and Further Reading
    1. Primary Sources
    2. Bibliographical Study
    3. Secondary Sources

1. Science as Observation and Experiment

a. Laws about Laws

Let us begin in the middle of one of these essays, the Optics, and in particular its Fifth Discourse, “Of Vision.” There Descartes asks the reader to turn to experience, observational knowledge. He asks the reader to carefully observe an eyeball, say that of an ox, from which a portion of the rear has been removed with sufficient care to leave the eyeball fluid untouched. The portion removed is covered with a thin piece of paper. Descartes then describes how one can view the image formed on the back of the eyeball of objects at varying distances from the front of the eyeball, how the size of the image varies with distance, becomes fuzzier when the eyeball is squeezed, and so on. These were observations that had not before been recorded: they were part of the “new world” that science was just beginning to explore. The method was to, in the first place, explore it by empirical observation. Look, but look carefully and systematically.

To observe, however, is not to explain, and the new science seeks also to explain. Descartes has prepared the way for this. In earlier Discourses in the Optics, he presented the laws of geometrical optics for reflection and refraction. The former was already well known, but the sine law for refraction was newly discovered. (Huygens was later to complain that Descartes had not referred to Snell, who is now generally credited with the discovery of this law.) Descartes carefully shows how the lens of the eyeball, in conformity with the law of refraction, focuses light arriving from the object to form the image on the retina. The more particular biological facts of sight can be explained by the more general laws of geometrical optics.

The sine law of refraction is the general form of a set of laws: the angle of refraction will depend upon the particular transparent substances through which the light passes. The actual angle for any pair of substances will have to be determined by experiment.

Notice the structure of these inferences. There is a general law to the effect that for any situation of certain generic sort, there are specific laws that have some generic form. This is a law about laws. This law about laws serves as an abstract generic theory, and it yields, in regard to any specific sort of situation falling under the genus, the conclusion that, for such a specific sort of situation, there is a law (this has been called a “Principle of Determinism”) and that this law will have a certain generic form and not any other sort of form (this has been called a “Principle of Limited Variety”). These two Principles provide a framework within which the scientist searching after truth works as he or she attempts to locate the law of the relevant generic sort that is there, according to theory, to be discovered. There will be a number of specific possibilities, each of the relevant generic sort. The task will be to turn to experiment to eliminateall possibilities but one by finding counterexamples. The un-eliminated hypothesis will be the specific law one is aiming to discover. In particular, such experiments will determine the constant of refraction that the sine law asserts to be there for specific pairs of transparent substances. Experiment will confirm the un-eliminated specific hypothesis, and this will in turn confirm the more generic theory that predicted the existence of a law of that relevant form.

The direction of the light rays as they pass from one substance to another will be determined not just by the constant of refraction, but also by the curvature of the surface that is the interface boundary. Descartes shows how the shape of a lens contributes to the formation of images. This again is a generic description of the laws applying to many specific situations. Descartes applies this knowledge to account for the various effects that can be produced on the image on the retina, for example, by squeezing the eyeball to distort the lens of the eye in various ways.

In later Discourses in the Optics Descartes goes on to show how this knowledge of patterns or regularities among things and events of the sensible world can be used to design telescopes, recently used effectively by Galileo, and to design lenses that can be used to remedy defects in eyesight. Descartes is using the knowledge of patterns not only to explain things newly noticed in observation, but also to apply it in ways useful to the further scientific exploration of the world (telescopes) and to make ordinary life better (corrective lenses).

The laws about laws that are the laws of reflection and refraction are themselves laws of physics, laws of matter in motion. In his presentation of these laws in the earlier Discourses in the Optics, Descartes uses a speculative model of light as consisting of little particles akin to tennis balls, only much smaller. This kinship is not only one of shape but one of the generic form of the laws that describe the motions of these two sorts of entity. He assumes that the particles of light move in straight lines. In the case of reflection he assumes that the light, that is, these light particles, strike an impenetrable surface and bounce off. In the case of the refraction he assumes the particles pass from a medium of one density to and through one with another density. The deductions Descartes offers are, in particular in the case of refraction, of questionable validity, but that is not to the present point; our interest is in the Cartesian method or methods and not how he actually applies them.

Descartes is clearly open to speculation because the model he uses for light is one that lacked empirical confirmation. He offered little evidence for his model of light. But it has two uses. One is as a heuristic device, to be used to discover laws, such as that of refraction, which can themselves be confirmed in experience. The experimental confirmation of these specific laws will also confirm the laws of the generic theory that has been discovered by means of the heuristic model.

He was clear, in his own mind at least, that the model had hardly be given a demonstration in the sense in which one could give in geometry the sort of demonstration given by Euclid. He wrote to Mersenne:

You ask me whether I think what I have written about refraction is a demonstration. I think it is, at least as far as it is possible, without having proved the principles of physics previously by metaphysics, to give any demonstration in this subject … as far as any other question of mechanics, optics, or astronomy, or any other question which is not purely geometrical or arithmetical, has ever been demonstrated. But to demand that I should give geometrical demonstrations of matters which depend on physics is to demand that I should do the impossible. If you restrict the use of “demonstration” to geometrical proofs only, you will be obliged to say that Archimedes demonstrated nothing in mechanics, nor Vitello in optics, nor Ptolemy in astronomy, etc., which is not commonly maintained. For, in such matters, one is satisfied that the writers, having presupposed certain things which are not obviously contradictory to experience, have besides argued, consistently and without logical fallacy, even if their assumptions are not exactly true. (27 May 1638)

b. Models of “How Possibly”

The other use which these models have is to yield what might be called “how possibly” explanations. Many explained that sight occurred by immaterial sensory species, images of the objects being observed, being given off by those objects, and impinging upon the eye. The challenge was more or less that something like this must be so because no purely material explanation, in terms of particles interacting mechanically, could be given for the person becoming aware of the form of the object viewed. Descartes’ model showed how this could be so because it explained how it possibly could be that there is a mechanical process that accounts for the facts of sight without invoking immaterial entities.

Descartes works out further this “how possibly” model, when he goes on in the Optics to elaborate a vision of the biological workings of a complete physiology that, like the more restricted case of the workings of the eyeball, can be explained by the supposed laws of a mechanistic physics. He lays out the idea that there certain fluids – “animal spirits” – carrying in effect messages from the sense organs to the brain, and to the pineal gland in particular – where he supposes the messages to be read as it were by the mind – this is the point of contact between the mind as a mental substance and the body as a, or more accurately as a part of the, material substance. The pineal gland is where the science of physics and material things stops, and the metaphysics of mind takes over. We need not pursue the line of the perceptual process from body into mind.

These “how possibly” uses of mechanistic models clearly introduce a research program, both of discovering the specific laws they suggest are there and confirming that the models do represent the structure of the world.

There was another point to the development of these “how possibly” models. The Roman physician Galen had written a work On the Usefulness of Bodily Parts, which thoroughly examined anatomical and physiological functioning. It was based on dissection, mainly of animals, and some experiment, and a good deal of speculation. Overall, it argued the thesis not only that the parts of the body are useful to the survival and good life of the animal or human being, but more strongly that the existence of these parts was to be explained by their utility–they existed in virtue of the fact that they contributed to the Good. While connected to the past, the cause of their existence was the form of the Good, their final cause, drawing them from the future into the present. Galen’s work was openly teleological, a perspective developed by Plato, first in the Phaedo against Anaxagoras, and extended by Aristotle, against the mechanism of Democritus and Epicurus and Lucretius. While rejecting the anti-theological positions adopted by these latter Greek and Roman philosophers, Descartes sided with them in opposing teleological explanations. To be sure, anatomy and physiological processes did contribute to the survival and well being of animals and human beings, but their explanation was entirely in terms of mechanistic causes. Descartes’ “how possibly” explanations aim to establish that our understanding of bodily processes needs no teleology because research can proceed here much as it proceeds in physics. That is, the science of human physiology is the same in kind as the science of stones.

c. Application to Human Physiology

Descartes was prepared to extend his guess to the whole set of natural processes defining the human being (save for rational thought and action under control of the conscious will). In the early 1630s he composed a Treatise on Man (Traité de l’homme), which he suppressed on learning of Galileo’s condemnation in 1633. It appeared only posthumously, in 1664, when it was published along with another unfinished work, this one from 1647/8, The Description of the Human Body (La Description du Corps Humaine). The latter is sometimes titled “On the Formation of the Fetus,” though this is misleading as this is only part, albeit an important part, of what the work covers. The Treatise begins deliberately with the supposition that God has built a statue which is a “machine made from earth,” with a heart, a brain, and so on, but a contrivance which in detail works much like a clock, only in more complicated ways. The complex mechanisms are assumed to be able to approximate those of a human, but as it is imagined as a machine we will not be tempted to attribute its motions to the various mysterious powers, vegetative and sensitive souls, and so on, as did Aristotle and the Scholastics. Descartes’ program aimed to show that all but rational and deliberately willed and self-conscious behavior could, in principle, at least, be explained as material processes operating according to mechanistic laws. He therefore elaborates “how possibly” such a machine might work. He describes how a “man of earth” analogous to clocks and to the automata, powered by water and doing various things, constructed by engineers for the gardens of the rich, but incredibly more complex, might be constructed by God and how it might work. The mechanisms envisioned by Descartes for this “man machine” in the Treatise are quite complex, although in comparison to what we now know of these mechanisms, they are simplistic and crude. The Description is a more curious work, dealing with the development of the human being from sperm through fetus to grown adult person. It consists mainly of assertions and coarse sketches of the mechanisms supposed to be involved. It was still a “how possibly” explanation, but it certainly was less persuasive than other parts of Descartes’ sketches of a non-Galenic, non-Aristotelian mechanistic vision of the human body.

Once Descartes’ program in anatomy and physiology became known, its impact was immense: it was a breath of fresh air that swept away old ideas that merely obfuscated things, and opened up a “new world” for scientific investigation. Still, there were those who were not convinced. The English philosopher, Henry More, was one of these. He argued that the complexity of the human body and activity, indeed the complexity of plants and animals, could not be accounted for in terms of the bouncings and collisions of billiard balls of different sizes. He corresponded with Descartes on these issues, and his ideas appeared in a book On the Immortality of the Soul (1659; included together with Letters to Descartes in hisPhilosophical Writings, 1662). More argued that the bodies of living things, including humans, had an irreducible complexity that mere mechanisms could not account for, and that non-material entities and forces, “plastic forms,” were needed. Needless to say, these plastic forms were non-empirical entities. The idea is with us still, with those who deny the inadequacy of natural selection to explain the origin of complex biological mechanisms. No doubt Descartes had not shown “how possibly” the physicalist mechanisms would work. This was especially true of the Cartesian account of the development of the fetus: the passage of information from the sperm to the developing organs begged for the idea of an immaterial Form or final cause pulling the matter together into a whole unlike in any way its genetic antecedents. More thought this way. He could not envision a more complicated physics, one that included the molecular biology of DNA molecules materially embodying the required information. A physics much more developed than Descartes and More could conceive, certainly much more than the levers and billiard balls and flowing fluids that formed the limits of their vision. But while, in the end, physics went well beyond that limited Cartesian concept of the laws of physics to the laws of quantum mechanics and of molecular biology, these are still the laws of physics and it is still physics which forms the basic patterns of causation in physiology. Thus, it has been the Cartesian vision of a world that is to be understood physically, and the Cartesian method that has triumphed, and it is no longer “how possibly” it works, but rather how it actually works.

Descartes laid out the basic framework for empirical investigation in the main body of the Discourse on Method, in the Fifth Part. He makes specific reference to William Harvey’s experiments that established the circulation of the blood, against the views of Galen, drawing attention to the eliminative role of observations in determining which, among several possible cases, is the one which is true. He indicates the need for a background generic theory to guide research by providing a principle of determinism and a principle of limited variety. Descartes is well aware of the logical structure of the research process for investigating the natural world, and discovering the laws of that world.

The background theory that is needed is the thesis that the world operates through mechanical processes and mechanisms that obey the laws of physics. Discoveries such as that of Harvey confirm these generic laws that guide the research. But there is more to it than that. This is where Descartes slips from the idea of science as empirical to the idea of science as a priori, from the idea of science as a method rooted in observation and experiment to the idea of a science whose method is rooted in the demonstrations of pure reason.

2. Cartesian Rationalism

a. A Priori Method

Descartes argues that the laws in the basic mechanistic framework that he takes to hold for sciences like optics and physiology – these laws about laws that guide empirical research in these sciences – are not themselves empirical but are rather necessary truths that are knowable a priori. Thus far we have seen that Descartes is well aware of the logical structure of the experimental method in natural science. To that extent he is not a philosopher who asserts that the a priori method applies everywhere. But he is nonetheless correctly to be counted among the rationalists. In fact he argues that in principle at least all laws could be known a priori. It is just that the world of ordinary things is too complicated in its structure for us, with our finite minds and limited capacity to grasp the a priori structure of the world, to deduce from self-evident premises the laws of the mechanisms underlying ordinary observable things and processes. We can know a priori the law about laws that there are more specific laws with the generic structure of physical mechanisms, of machines. But what those specific laws are requires empirical research; they are too complex logically to be knowable a priori by us, with our finite capacities.

Descartes argues that all things, including the material world we know by sense, have an inner essence or form, and its presence explains the structure of things as they ordinarily appear. These essences or forms are known not by sense but by reason. Reason is precisely the capacity to grasp these essences which are the reasons for things, the reasons why there are these patterns and regularities in the sensible world rather than others. He takes for granted that when the form is known that form is literally in the mind of the knower: there is an identity of the knower and the known. To grasp the essence of a thing is to know a priori the structure and behavior of the thing of which it is the essence. Material things are all modes of a single substance, the essence of which is extension. When we grasp the axioms of geometry as necessary truths, we are grasping the logical and ontological structure of the material world. Descartes is like Aristotle in attributing essences to things, but for Aristotle knowledge of the essence is given by syllogisms and by real definitions of species in terms of genus and specific difference. For Descartes, the structure is given by the truths of geometry.

Descartes holds in the Fifth Part of the Discourse on Method that the basic laws of physics are those of the geometry of objects in motion. These laws, he suggests, can be deduced from our knowledge of God. He creates a world the essence of which is given by the laws of geometry together with the principle that in any change quantity of motion is conserved. This conservation principle is thought to follow from the unchanging nature and stability of God the creator. There is a much more detailed derivation in thePrinciples of Philosophy. It is far from adequate. Descartes’ knowledge of the laws of physics and of mechanics falls far short of Newton’s. Perhaps this shows the weakness of the a priori method proposed by Descartes for obtaining the basic framework laws for science, the framework that provides the starting point of the experimental method and of the “how possibly” explanations he offers for material processes. Many have thought so.

In the Principles of Philosophy he goes so far as to attempt a derivation of the basic laws for planetary motions, based on the mechanistic supposition that the planets are material objects moved in circular fashion by vortices in a surrounding material fluid. Newton was soon enough to present his Mathematical Principles (Principia Mathematicae) to the world. Descartes had been able to present only a set of non-mathematical principles, but Newton demonstrated that the vortex account, whatever its pretensions to being established a priori, was, given his three laws of motion, inconsistent with the facts of elliptical orbits as established by observation by Kepler. After Newton had succeeded in his attempt to “demonstrate the frame of the system of the world” (as he set out to do in Book III of his Principia Mathematicae), little was heard, save for a rearguard of French Cartesians, of the vortex theory. It became an historical curiosity.

Be that as it may, it could be concluded that Descartes had merely misapplied his method a priori, not that it was incorrect. Some later thinkers such as William Whewell argued this point. The method did not disappear in the way the vortex theory disappeared.

b. Geometrical Deduction

In one sense, this method is like the method of geometry that Euclid had given to the world in that one began with self-evident truths as axioms and then deduced by equally self-evident steps a set of theorems. Descartes referred to this as the “synthetic method” of doing geometry and (he had hoped) physics. He attempted this in outline in the Discourse on Method and in detail in his Principles, taking as his axiom the existence of God as an unchanging and stable creator of the natural world. The mechanistic framework for carrying on empirical research followed.

However, there is the issue of how the premises are discovered. Euclid never showed how this was to be done. But the later Greek mathematician Pappus, to whom Descartes referred on the issue of method in the Rules for the Improvement of the Understanding, had suggested that the method of finding premises reversed as it were the deductions of the synthetic method. This was the “analytic method.” On the synthetic method one begins with premises that are accepted as true and works deductively towards conclusions, the theorems. Having reached the theorem, one has constructed a demonstration of that proposition. This synthetic method takes as given the premises from which it starts. But often to find a demonstration one must locate the premises from which the demonstration is to be constructed. This task of discovery was the point of the analytic method. On this method, one takes the conclusion to be demonstrated not as something accepted as true but merely as an hypothesis. One then works deductively towards the premises which one hopes to find for constructing a demonstration. Having arrived at the appropriate self-evident premises, one reverses the steps to obtain a synthetically organized demonstration of the hypothesis from which the analytic process started. And now that one has this demonstration, the proposition is transformed from a mere hypothesis to one that can be accepted as true. A particular version of the analytic method occurs in a reductio ad absurdum proof. Here one begins from an hypothesis and derives a contradiction; one then concludes that the hypothesis must be false, and that its denial is true. And as a special case of reductio ad absurdum, one begins with a proposition taken hypothetically and derives a conclusion that contradicts a known truth, concluding thereby that the original hypothesis is false. Descartes proposed to use this method to discover the axioms for his synthetic deductions: he is inspired by its uses in algebra, but extends it to his proof that the truths of geometry, arithmetic and physics, while self-evident, can themselves be demonstrated to be incorrigibly true from still more fundamental premises. The synthetic method was fine enough for the presentation of demonstrations in a science where the basic axioms are already known, and Descartes was to use this method, or thought he was so using it, in those parts of the Principles of Philosophy where he offered demonstrations of the basic truths of physics. Needless to say, his “proofs” have for the most part come to be seen as inadequate. But the analytic method was necessary from the discovery of the required premises. This is the method he proposes in the Discourse on Method as basic to firmly grounding the edifice of knowledge; and it is the method he uses in his presentation of the search after fundamental and incorrigible truths in the Meditations on First Philosophy, though here again he has generally been taken to be less successful in his application of the method than he himself hoped to be and expected he was. But his advocacy of the methods have continued to have their influence, in mathematics and algebra, and perhaps in physics, if not in first philosophy. Nevertheless, no one now expects to construct in either physics or geometry or first philosophy the rationalist ideal of an a priori demonstrative science.

c. Deduction in the Discourse and Meditations

As for the analytic method, Descartes was to use the first of the treatises appended to the Discourse on Method to illustrate the power of this method. This was the treatise on Geometry. This work in mathematics is remarkable, and it too was to revolutionize the way people thought about both algebra and geometry.

Descartes first set out to purify algebra. This was to be done by separating its patterns of thought from the particular subject matter to which it could be applied. He first separated what is given from which is to be discovered, developing the still current notation of a, b , c, … for known quantities and x, y, z, … for unknowns. He also reformed the notation for exponents replacing verbal terms such as “square” and “cube,” and so forth, by superscripts 23, , eliminating the geometrical connotations of the verbal terms. We continue to use this Cartesian notation.

Descartes then set out to apply this purified algebra in the solution of geometrical problems. The details need not concern us. For us it suffices to look at the problem he first addresses. This problem, which was posed originally by Pappus, is one of finding a curve of a point y relative to a point x, subject to certain geometrical constraints. To solve this problem he invents and uses the notion of a coordinate system. In effect he creates an arithmetical interpretation of geometry. (Descartes himself uses only an “x– axis”; the familiar extension of this idea to using two orthogonal “x” and “y” axes – what we now call “Cartesian coordinates” – were a later development of Descartes’ pioneering idea.) Descartes shows how the finding of this curve can be done algebraically by solving certain equations. The point for us is that the solving of an equation is a matter of applying Pappus’ “analytic method.” Given a, b, c, … , standing in certain arithmetical relations to one another, the equation in x and y asserts that there are values satisfying these conditions, that is, that there are solutions to the equation. This is the theorem to be proved. One proceeds by taking it as an hypothesis that x and y are solutions, and works out what those solutions are. This is the analytic process. Having found the solutions, one then has the premises from which the theorem to be proved follows. Deriving the theorem from the newly discovered premises is the synthetic process.

The algebraic methods that Descartes developed enabled him to present a series of entirely novel and original moves in geometry. Descartes’ work in its applications is itself significant, but what was revolutionary was the new methods for solving problems in geometry and algebra. It is easy to prove theorems, but the greatness of a mathematician is the new methods of proof that he or she introduces. By this standard Descartes was indeed a great mathematician. Thinking in terms of equations, one can see why Descartes valued the analytic method over the synthetic, for the latter amounted to a footnote to the former. The analytic method was the one to be used if one was aiming to discover new truths; once these are discovered the synthetic method can be used to present this knowledge to students. As a method for discovering truth, the synthetic procedure was largely useless, the searcher after truth will need, and will use, the analytic method. This why Descartes argues that the analytic method is the appropriate method for discovering the a priori necessary truths that are the starting point for any genuine science, not only a science like geometry but also as providing the necessary theoretical truths required by the eliminative methods of empirical experimental science.

Now, Descartes makes clear in the Discourse on Method that his starting point for his science and his physics is the existence of God. It is from the existence of God as stable and unchanging that he claims to be able to deduce, and thereby demonstrate, the basic laws of physics, the laws of motion and the laws describing the causes of changes in motion. That God is the starting point for his demonstrative science of physics is made even clearer in the Meditations. In both this and the Discourse, Descartes moves from his own existence to that of God, and then uses this as a premise from which his physics is deduced. It is evident that he is working with necessary truths and necessary inferences, or at least apparently necessary ones.

Descartes makes some important remarks in reply to some objections to the argument of theMeditations. Prior to publication of the Meditations, Descartes had circulated the manuscript to various other philosophers; they raised objections, and he wrote replies. He published his Meditations together with these Objections and Replies. In one of the Objections, the issue is raised why Descartes did not present his work in geometrical fashion, proceeding from axioms to theorems, using the synthetic method. In his Replies, Descartes explains he could have done so, but preferred to present his thoughts in the analytic method, which gives the order of discovery, through which the mind rises from hypotheses to the premises that are then used to prove synthetically the hypotheses that were the starting point of the inferences. He does, however, accede to the request of the Objection and does give a synthetically organized presentation of his inferences.

In this synthetic presentation the first proposition that he establishes is God’s existence, which he takes to be something involved in the very idea of God as a being who, of His own nature, has all perfections. He then proceeds to the causal arguments for God’s existence, and then to the proposition that God guarantees the truth of all propositions self-evidently implied by our ideas. Naturally enough this reverses the order of the Meditations themselves, which proceed in the order of the analytic method.

This means that the order of the Meditations is from propositions taken hypothetically to the proposition which is to form the first proposition to be discovered to be true and from which the hypotheses are then to be proved, that is, transformed from hypotheses to known truths.

Descartes reports in the First of the Meditations how he discovers that he can doubt almost everything about the material world that surrounds him. At the beginning of the Second Meditation his attention suddenly shifts from the world given in sense experience to the world given in inner awareness. He here discovers a proposition that he cannot doubt, namely the proposition that he expresses by “I think.” Since this thinking is a mode it must clearly be a mode of something, a substance: “I think, therefore I am.” Further, his thinking is inconceivable apart from himself, unlike, for example, extended things such as his body. He draws the further inference that he is a thinking thing. That is, he apparently is a substance, not a rational animal as Aristotle said, but a being or substance that is purely rational, one the essence of which is to aim to grasp the reasons for things. He carefully points out that this distinction between mind and body, based on the separability in thought of thinking from extension is only tentative. It may be that the world is not such as it here self-evidently appears to be. Thinking and extension may in the end be necessarily connected and it may be that modes can exist apart from substances, inconceivable though these things apparently seem to be. All this is to be here taken hypothetically, as a starting point in the analytic process leading to the discovery of a premise or premises that will serve to guarantee their truth and to justify the Meditator accepting them as truth.

It must be emphasized that Descartes does not, as so many seem to think, deduce the existence of God from the principle that “I think, therefore I am.” The latter is not a first truth from which all other knowledge is taken to follow, including our knowledge of God, as theorems proceed from axioms. To suppose this would be to suppose that the Meditations are organized in the order of a synthetic process, proceeding from known truths to true theorems that are deduced from those known truths. But Descartes clearly states that the order of the Meditations is that of the analytic method, from propositions taken hypothetically to simpler propositions which can then be used to prove deductively the hypotheses that were the starting point of the inferences. At the start of the process, one has only a proposition taken hypothetically. So the Meditator’s own existence is a mere hypothesis, not a known truth, as is the premise from which it derives that all properties or modes exist only in substances.

This is where the Meditator is at the beginning of the Third Meditation. He or she can conclude, however, that as he or she is an imperfect being. Being a being that aims to know the doubt with which he or she is presently seized, it is clear he or she does not exist as his or her essence naturally implies that he or she should exist but lacks something the presence of which would be his or her Good. The idea that one has of oneself is that of an imperfect being; but to conceive an imperfect being requires one to be able to conceive a perfect being, just as conceiving something to be a non-square requires one to have the idea of a square. The presence of the negative idea requires the presence of the positive idea. So, the Meditator has the idea of a being that lacks no Good, no perfection–for any way of being this entity has that way either actually or formally. (Recall here that an idea, which, as Descartes speaks, formally exists as a property of the mind, exists objectively as the form or essence of a substance; the idea is true only if that the substance of which it is the essence actually exists in sense that it has actually the properties the essence determines that it ought to have; the idea is false if the substance has properties contrary to those that the essence requires it to have.)

The Meditator now infers the existence of such a perfect being from the fact that he as a finite being must be caused by such a perfect being, and from the fact that he or she could have present in his or her thoughts the idea of such a being only if it were placed there by such a being. But the existence of a perfect being is only established hypothetically – the arguments depend upon causal principles that, while self-evident, have not yet been established as true – following hypothetically from propositions that are themselves only hypothesis, the existence of God at this point in the inferences of the Meditations can only be an hypothesis – a further stage as one is led on by the analytic method to the discovery of what one hopes will be a truth upon which all other truths can be made demonstratively to rest.

The Fourth Meditation is a sort of aside in which Descartes clears away an apparent difficulty. There appears to be an inconsistency between the idea of a perfect being causing one with the idea that one falls into error and doubt: shouldn’t a perfect being create beings that do not fail to be what essentially they ought to be? Descartes replies that such error is not caused by God but by ourselves. Located in a world that often hastens us on, we must regularly conclude before full evidence is available. Our will moves us to judge and such judgments often outrun what reason can justify. Now, God has given us free will, and this is a greater good than is mere avoidance of error. God’s will does not cause us to err, it is our own will that does that, so the idea of a perfect God creating us is compatible with our being beings that fall into error. The apparent difficulty disappears, and we can return to the process of analysis that is, one hopes, leading one to a premise which can serve to demonstrate the hypotheses through which one is being led by a series of apparently necessary connections.

This brings us to the Fifth Meditation. Thinking of oneself as a finite being one is led to the idea of God and then to the idea of God as one’s creator and as one who is created with the idea of such a perfect being within oneself. But now before one’s mind is the idea of a being with creative powers that lacks nothing, lacks no perfection. It must therefore in particular cause itself to be and to be in this state of full perfection. But if it has the creative power to maintain itself as a being which lacks nothing, if, in other words, it is a being which as a creating being is infinitely powerful, then there is nothing else that could cause it not to be in any way at all. We have within us this idea and as we plumb its depths we recognize that this is an idea of a being the creative powers of which guarantee that it exists, it is the idea of a being that guarantees the truth of this very idea. Our other ideas are ideas of finite beings none of which can guarantee their own existence and the ideas of which might therefore be false; but this one idea, this one essence that is before the mind, is the idea of a being infinite in its creative powers and which is therefore the essence of a being that can guarantee its own existence, which in turn therefore guarantees the truth of the idea of itself.

Here, then, in the existence of God, we have reached the end point of our analytic process in a truth which guarantees its own truth and upon which all other truths can be made to rest. This truth can therefore form the incorrigible base upon which all our knowledge claims can be made to rest. Descartes can now hastily draw things to a close: God as a perfect being, could not create non-being: it is a contradiction to suppose non-being could be brought into being. But for a rational being, a thinking substance, to err is for it to not know: it is a form of non-being. So God could not create a rational being for which principles clearly and distinctly perceived to be true were after all false: that would be to create a being which systematically erred about the structure of the world. So what is clear and distinct, what is self-evident, and compels its acceptance by the Meditator and indeed by any rational being, is guaranteed to be true. In particular, the laws of geometry, of extended substance, are guaranteed to be true. And further, the incompatibility of thought and extension as essence of substances, which, in the SecondMeditation, while clear and distinct, is only apparently true can now be affirmed as not merely apparently true but as actually true.

With God, we have reached at the conclusion of the analytic process the starting point of the synthetic presentation that Descartes gives in his Replies to the Objections. In that synthetic presentation, the sequence ends with the conclusion (theorem) that what is clear and distinct must be true.

Two points need to be mentioned. First, the move of “I think, therefore I am” (cogito, ergo sum) is not a direct insight into the Meditator’s own being. It is, rather, an inference, based on the principle that every mode (property) exists only if it is in a substance. Since it is based on a metaphysical principle the truth of which has not yet been established, it could not provide a starting point for constructing the edifice of knowledge.

Second, the existence of God is in the end not established by argument. The so-called ontological argument of the Fifth Meditation is not in fact an argument. It is rather a case where we have direct insight into the essence of God – what is formally the idea of God is objectively the essence of God – , where we recognize that here we have an essence that guarantees its own existence as an infinitely powerful being and thereby guarantees the truth of the idea through which we think it. Other ideas we have are no doubt true, but none save this one alone guarantees its own truth – guarantees it in a way that requires no argument. With God we reach a point where no further premises are either available or needed.

The Cartesian method to science thus indeed yields an a priori science. It is a deductive method but one that involves both analysis and synthesis.

3. Method of Doubt

We have so far studiously avoided one feature of the Cartesian method. This is the so-called “method of doubt.” Descartes takes very seriously the notion that progress in science will be hindered if we allow our minds to be clouded by the worthless standards inherited from the past and from our teachers. Thus, he begins the Geometry with his clarification of the notion of a power, removing the irrelevant geometrical connotations attached to expressions like “x cubed” and replacing them with the perspicuous notation of “x3” that we continue to use to this day. Again, he believed it to be important to shed ourselves of all forms of teleological thinking – he chastised Harvey for falling away from the mechanistic reasoning he used to establish the circulation of the blood and into teleological thinking when he came to discuss the action of the heart.

He therefore recommended that one undertake a cleansing intellectual project in the attempt to move towards truth by first eliminating error and indeed all possibility of error. This could be done by rejecting as false all propositions that could in any way be doubted. This is Descartes’ first rule of method in theDiscourse on Method. This is stated as the injunction:

[N]ever to accept anything as true if I did not have evident knowledge of its truth: that is, carefully to avoid precipitate conclusions and preconceptions, and to include nothing more in my judgments than what presented itself to my mind so clearly and so distinctly that I had no occasion to doubt it.

By eliminating all dubitable beliefs, truths would of course be excised along with the false, but then in the re-building of the edifice of knowledge that was to follow those truths would be recovered, free from the errors of the past.

This was an exercise to be undertaken by oneself, simply taking oneself to be a rational being. But if one is rational, one is also animal, even if being an animal is not part of one’s essence. The animal makes demands – one must eat and drink, one must sleep, perchance to dream, one must live with others, one might even take a lover. One could not do this if all beliefs were eliminated. So Descartes also recommends that one go along with this second best, the beliefs that one needs to survive and to have a decent and pleasant life – interrupted only occasionally by bouts of meditating on the foundations of knowledge, or the basic laws of physics – just as one must in the end do science empirically, through observation and experiment, even though it is only uncertainly founded. Reason demands for itself the method of doubt, but the remainder of one’s being makes unavoidable demands that require one to ignore the promptings of reason to try to doubt everything. The reasonable person will accede to those demands, just as reason must attempt a universal doubt. It is also part of Descartes’ method that one does accede to those extra-rational demands. The reasonable person could not do otherwise: there is in the end more to being human than simply being rational.

It is remarkable, however, just how far Descartes, while meditating, is prepared to take the doubt his method recommends. In the Discourse on Method he seems to stop with what is self-evident, what is clear and distinct: he seems to assume is true, and therefore makes this his starting point. In theMeditations, he takes the doubt a step further, finding a way to call into doubt even what is most evident. His model is the traditional doctrine of transubstantiation according to which the bread and wine during the saying of the mass is miraculously transformed by God into the body and blood of Christ. The sensible appearances remain the same, but the substance changes in its essence. The heretic and unbeliever will be deceived by appearances into thinking no change has occurred. But the good Christian knows that whatever be the sensible appearances what is really there is the body and blood of Christ. His or her faith prevents him or her from falling into the error of the heretic and the unbeliever. Indeed, it is out of God’s goodness that the heretic and the unbeliever be deceived in this way, since if they realized what was really happening, that the body and blood of Christ were being consumed, they could charge the Christian with the sin, horrid to conceive, of cannibalism.

So Descartes at least takes Thomas Aquinas’ account of transubstantiation seriously and uses it as a model. He creates the hypothesis that there is a powerful being who has the capacity to deceive me into thinking that world is not as my clear and distinct ideas make it out to be when in fact in its essence it is something else. One hypothesizes that there is a powerful being, like God no doubt, but instead an evil genius, intent on deceiving one about the basic ontological structure of being. In fact, the hypothesis is sufficiently strong to make is possible that I am deceived about my own being, that contrary to what appears to me to be true, that cogito ergo sum holds, it really does not and I am really something essentially different from the thinking thing that I appear to me to be. (Descartes makes clear at the beginning of the Third Meditation that the hypothesis of the evil genius calls even the cogito into question.)

So we have the structure of the Meditations as follows:

[Hypothesis:] There is an evil genius who is deceiving me about the truth of clear and distinct ideas. [From this hypothesis I now infer] if I am being deceived, then I am thinking; if I am thinking, then I exist; if I (as a finite creature) exist, then there exists a God (an infinite being) who creates me; – [here the existence of God is hypothetical, but having reached the idea of God as an infinite cause of all being, including myself, I can see as I grasp this idea that it non-hypothetically requires its own truth] – God (as an infinite creator) guarantees His own being and therefore exist – [here we have reached a certain and incorrigible categorical truth]; but [now upon this truth all other truths hinge] an infinite being is a perfect being and therefore cannot create finite beings who are systematically deceived; therefore our clear and distinct ideas are true; therefore there is no evil genius.

The Meditations thus have the form of an analytic structure of a reductio ad absurdum of the hypothesis of the evil genius who systematically deceives me: I find in God that necessary truth which contradicts and therefore eliminates the hypothesis of the evil genius. The method of doubt is solved by Descartes to his own satisfaction, but to few others. For him it was a way to purge the mind of inherited prejudice, and therefore merely a first and preliminary step on the way to truth. It was clear to him that if one stopped there then one had fallen into a skeptical morass – a skepticism close to that into which Montaigne had suggested was the inevitable fate of the human intellect, it was human hubris to think that one could really know anything. One had to settle for such mere belief and opinion that one could learn from experience of the ordinary world – which was also the position Descartes recommended for the human being to fall back into while undertaking the intellectual exercise of the method of doubt. Descartes felt he could find the natural light of reason and move out of Montaigne’s skeptical morass – he felt that the illumination began with his discovery that cogito, ergo sum, and from there was led on by that light of reason to discover its source in God and to discover in that source a firm point on which to tie down incorrigible and indubitable knowledge of the rational structure of the world.

4. Conclusion

Many now see Descartes as having posed the skeptical challenge that still confronts philosophers, with the hypothesis of the evil genius taking the skeptical challenge as far, or as deep, as it can go. For Descartes, however, it was more like the deep night through which the soul must pass on its way to light, the light of reason, and to God as the reason for all things and the source of that light, and then, through God, to the scientific study of the world. Few have been able to follow him: he has not convinced. For most, the radical skepticism created by Descartes’ method of doubt and the demon hypothesis is a sham: Descartes creates the problem for himself when he suggests that the world can be distinguished ontologically into the world of ordinary experience and a world of essences or forms that lies beyond this ordinary world but which constitutes the reasons for its being. If the reasons for our ordinary world being as it is are not to be found in that world, then they are not to be found at all, and the radical skepticism is a consequence of a search after what cannot be found: the skepticism is not there to be conquered, as Descartes thought, but to be dismissed as an unreasonable longing for a world of certainty that is not there.

But if we say this, then we must also say that method of doubt is not wholly to be dismissed in this way. While the radical skepticism that Descartes proposes cannot be reasonable, we should nonetheless take his method seriously enough that we remain diffident in our judgments – that we not take things dogmatically, but rather critically, ready to recognize evidence that can challenge the rational acceptability of those judgments. So long as we do not take ‘clear’ and ‘distinct’ as rigidly as Descartes does, it is not a bad rule “to include nothing more in one’s judgments than what presents itself to one’s mind so clearly and distinctly that one has no reason to doubt it” (to paraphrase Descartes’ rule in the Discourse). This is what reasonable persons do. It is now the norm, it was not the norm before Descartes.

Nor, taking Descartes’ other rules of method just as cautiously, is it difficult to see the wisdom in these rules of method – the rules in the Discourse that one should “divide each of the difficulties examined into as many parts as possible and as may be required in order to resolve them better”; that one ought “to direct one’s thoughts in an orderly manner, by beginning with the simplest and most easily known objects in order to ascend little by little, step by step, to knowledge of the most complex, and by supposing some order even among objects that have no natural order of precedence”; and that one ought “throughout to make enumerations so complete, and reviews so comprehensive, so that one could be sure of leaving nothing out.” Following these rule may not lead one to discover the existence of God, as Descartes thought, but they remain rules that recommend themselves to searchers after any sort of truth about the world, even where those truths are metaphysically more modest than those that Descartes sought.

This was perhaps the most important contribution of Descartes to the opening up of thought in the modern and early modern period. If Descartes was not as modest in his cognitive aspirations as his method of doubt requires, then that only shows that Descartes too had his failings as a human being – it is not to denigrate the contribution he made to the emergence of the modern mind as one that is committed to finding truth, and that is open, and ready to submit to criticism. Descartes’ rationalism has had its day; few would now advocate the method a priori that he advocated. Yet, if they are taken cautiously, the Cartesian precepts for the search after truth that he presents in the Discourse on Method can still be recommended for the clarity of thought that results from our conforming to these standards.

Science is no longer something that aims to become a priori and incorrigibly certain. But Descartes also saw science as a human enterprise in which the search after truth is rooted in observation and experiment. This part of the Cartesian vision remains with us. So, too, does his notion that progress towards truth comes through the testing of hypotheses and the elimination of the false through the production in experiments, deliberate or natural, of counterexamples. Of course, this idea, that science searches after truth through the elimination of error, was not Descartes’ alone. He shared it with Bacon. Indeed, Bacon’s vision was in one respect clearer, since he did not see the need to root the scientific theories that guide research into some a priori ontological structure of being. The theories that guide research are simply laws among laws – to be sure, they are laws about laws, but for all that they are empirical generalizations like any other law.

At the same time, it must be said that Descartes was much the better at applying the experimental method that both he and Bacon advocated. Descartes made real contributions to empirical science, for example, in optics and in the physiology of the eyeball, where Bacon made no such contribution.

Moreover, the Cartesian vision of the world as one to be understood in terms of physical mechanisms, while no longer taken to be one that needs any a priori defense of the sort Descartes himself proposed, has become and remains as the basic framework of science: if it has not been confirmed a priori, it has certainly been confirmed a posteriori, and it is still the guiding vision of science – this in spite of the challenges, still often to be heard, that the complexity of this or that cannot be reduced to, or be understood in terms of, “mechanistic materialism.” In the years after Descartes’ death, his mechanistic formulations of problems in physiology swept out the obfuscating categories of the older forms of thought, of teleology in particular, in ways that could not be circumvented. Some tenured professors in the universities continued to hang on to the old scholastic ways of thought, but elsewhere the new science of Descartes swept away the dross. The modern science of physiology was created by the Cartesian vision, and in fact is still sustained by it – though, to be sure, physics is no longer simply a science of mechanical motions, it has grown to include quantum mechanics and molecular biology – but physics is still a science that enables us to say that science of physiology is no different in kind from the sciences of stones and of atoms and of planets.

Descartes’ own contributions to physics, both in optics and mechanics, were considerable. In mechanics, his work was definitely blocked by his failure to even think that a notion of mass was essential to any mechanics that was to move from kinematics to dynamics. In optics, his mechanistic ideas clearly interfered with his attempts to understand colors. These problems, in both mechanics and optics, awaited Newton for their solution.

In mathematics his contributions remain with us to this day, not merely as part of a guiding vision – though that is certainly there – but as part of the working tools of every mathematician. One has only to think of his innovations in notation, for example, of exponents, or the methods of analytic geometry, for example, the use of a system of (“Cartesian”) coordinates. Modern algebra and modern geometry are inconceivable without Descartes’ contributions. The mathematics and mathematical methods that he invented shaped his reflections on the proper method in science and in philosophy. It is also true, one must add, that his reflections on the methods proper to philosophy shaped his work in algebra and geometry.

Descartes’ reflections on the methods proper to science and to philosophy were, as he himself claimed, highly original, and highly influential. They shape our thinking about these same things up to the present, and will no doubt continue to shape them. They amount to the demand that we seek clarity in our thought, that we be diffident rather than dogmatic in our judgments, that when we search after truth then we should do so systematically, from the simpler to the complex, in a way befitting the subject matter, and that a science like physiology is to be understood as in no way different in kind from the science of stones. If we ignore these Cartesian precepts of method, then that is to our own peril, or at least to the impoverishment of our own thought.

5. References and Further Reading

a. Primary Sources

  • Descartes’ complete works can be found in Oeuvres de Descartes. Ed. C. Adam and P. Tannery. 12 vols. (Paris: J. Vrin, 1897-1913; reprinted 1964-1974).
    • See also the Correspondance. Publiée avec une introd. et des notes, par Ch. Adam et G. Milhaud, 8 vols. (Paris: F. Alcan, 1936-63).
  • Descartes, René. The Philosophical Writings. 3 vols. Vols 1 and 2 trans. J. Cottingham, R. Stoothoff and D. Murdoch; vol. 3 trans J. Cottingham, R. Stoothoff, D. Murdoch, and A. Kenny (Cambridge: Cambridge University Press, vols. 1 and 2, 1984, vol. 3, 1992).
    • This is now the standard English translation. Vol. 1 contains Early WritingsRules for the Direction of Our Native IntelligenceThe World and Treatise on ManDiscourse on Method and (in part) the appended treatises on OpticsGeometry, and Meteorology;Principles of Philosophy (in part); Comments on a Certain BroadsheetDescription of the Human Body; and The Passions of the Soul. Vol. 2 contains (in full) the Meditations on First Philosophy and the Objections and Replies. Vol. 3 contains much of the philosophically and scientifically interesting portions of Descartes’ correspondence.
  • Descartes, René. Discourse on Method, Optics, Geometry, and Meteorology. Trans. with Intro. by Paul J. Olscamp. (Indianapolis, IN: Bobbs-Merrill, 1965)
    • This contains complete English translations of the Discourse on Method and the three appended treatises.
  • Descartes, René. Principles of Philosophy. Trans. with Notes by V. R. Miller and R. P. Millar. (Synthese Historical Library – Texts and Studies in the History of Logic and Philosophy, vol. 24. Dordrecht, The Netherlands: D. Reidel, 1983).
    • This contains a complete English translation of the 1644 text.

b. Bibliographical Study

  • Sebba, G. Bibliographica Cartesianae: A Critical Guide to the Descartes Literature, 1800-1958(The Hague: Nijhoff, 1964).
    • An indispensable bibliography.

c. Secondary Sources

  • Roger. Descartes’ Meditations: Background Source Materials. (Cambridge: Cambridge University Press, 1998).
  • Beck, L. J. The Method of Descartes: A Study of the Regulae. (Oxford: Oxford University Press, 1952).
  • Broughton, Janet. Descartes’s Method of Doubt. (Princeton: Princeton University Press, 2002).
  • Cottingham, John, ed. The Cambridge Companion to Descartes. (Cambridge: Cambridge University Press, 1992).
  • Crombie, A. C., “The Mechanistic Hypothesis and the Scientific Study of Vision,” Proceedings of the Royal Microscopical Society, 2 (1907), pp. 3-112.
  • Curley, E. M. Descartes Against the Skeptics. (Cambridge, MA: Harvard University Press, 1978).
  • Foster, Michael. Lectures on the History of Physiology, during the Sixteenth, Seventeenth and Eighteenth Centuries. (Cambridge: Cambridge University Press, 1901).
  • Garber, Daniel. “Semel in vita: The Scientific Background to Descartes’ Meditations.” In Essays on Descartes’ Meditations, ed. Amélie Oksenberg Rorty. (Berkeley: University of California Press, 1986).
  • Garber, Daniel. Descartes’ Metaphysical Physics. Chicago: University of Chicago Press, 1992).
  • Gaukroger, Stephen. Cartesian Logic: An Essay on Descartes’s Conception of Inference. (Oxford: Clarendon Press, 1989).
  • Gewirtz, A. “Experience and the Non-Mathematical in the Cartesian Method,” Journal of the History of Ideas, 2 (1941), pp. 183-210.
  • Hall, Thomas J. Ideas of Life and Matter. 2 vols. (Chicago: University of Chicago Press, 1969).
    • The impact of Cartesian ideas in the seventeenth century is discussed in vol. 1.
  • Gaukroger, Stephen, ed. Descartes: Philosophy, Mathematics and Physics. (Sussex: The Harvester Press, 1980).
  • Gilson, Étienne. Études sur le Role de la Pensée Médiévale dans la Formation du Système Cartésien (Paris: J. Vrin, 1930).
  • Gilson, Étienne. René Descartes’ Discours de la Méthode; Texte et Commentaire. (Paris: Librairie Philosophique J. Vrin, 1947).
  • Grant, Edward. Much Ado about Nothing: Theories of Space and Vacuum from the Middle Ages to the Scientific Revolution. (Cambridge: Cambridge University Press, 1981).
  • Koyré, Alexandre. Entretiens sur Descartes. (New York: Brentano’s, 1944).
  • Koyré, Alexandre. From the Closed World to the Infinite Universe. (Baltimore: Johns Hopkins University Press, 1957).
  • Lennon, Thomas. The Battle of the Gods and Giants: the Legacies of Descartes and Gassendi, 1655-1715. (Princeton: Princeton University Press, 1993).
  • Popkin, Richard H. The History of Scepticism from Erasmus to Spinoza. (Berkeley: University of California Press, 1979).
  • Smith, Norman Kemp. New Studies in the Philosophy of Descartes: Descartes as Pioneer. (London: Macmillan, 1952). Voss, Stephen. ed. Essays on the Philosophy and Science of René Descartes (Oxford University Press, 1993).
  • Wilson, Fred. The Logic and Methodology of Science in Early Modern Thought: Seven Studies (Toronto: University of Toronto Press, 1999).
  • Wilson, Margaret D. Descartes. (London: Routledge & Kegan Paul, 1978).

Author Information

Fred Wilson
Email: fwilson@chass.utoronto.ca
University of Toronto
Canada

Doxastic Voluntarism

Doxastic voluntarism is the philosophical doctrine according to which people have voluntary control over their beliefs. Philosophers in the debate about doxastic voluntarism distinguish between two kinds of voluntary control. The first is known as direct voluntary control and refers to acts which are such that if a person chooses to perform them, they happen immediately. For instance, a person has direct voluntary control over whether he or she is thinking about his or her favorite song at a given moment. The second is known as indirect voluntary control and refers to acts which are such that although a person lacks direct voluntary control over them, he or she can cause them to happen if he or she chooses to perform some number of other, intermediate actions. For instance, a person untrained in music has indirect voluntary control over whether he or she will play a melody on a violin. Corresponding to this distinction between two kinds of voluntary control, philosophers distinguish between two kinds of doxastic voluntarism. Direct doxastic voluntarism claims that people have direct voluntary control over at least some of their beliefs. Indirect doxastic voluntarism, however, supposes that people have indirect voluntary control over at least some of their beliefs, for example, by doing research and evaluating evidence.

This article offers an introductory explanation of the nature of belief, the nature of voluntary control, the reasons for the consensus regarding indirect doxastic voluntarism, the reasons for the disagreements regarding direct doxastic voluntarism, and the practical implications for the debate about doxastic voluntarism in ethics, epistemology, political theory, and the philosophy of religion.

Table of Contents

  1. Introduction
  2. Indirect Doxastic Voluntarism
  3. Direct Doxastic Voluntarism
    1. Arguments against Direct Doxastic Voluntarism
      1. The Classic Argument
      2. The Empirical Belief Argument
      3. The Intentional Acts Argument
      4. The Contingent Inability Argument
    2. Arguments for Direct Doxastic Voluntarism
      1. The Observed Ability Argument
      2. The Action Analogy Argument
  4. Significance: Ethical, Epistemological, Political, and Religious
  5. Conclusion
  6. References and Further Reading

1. Introduction

The central issue in the debate about doxastic voluntarism is the relationship between willing and acquiring beliefs. Necessarily related to this central issue are two other important issues: the nature of belief and the nature of the will, or more specifically, the nature of voluntary control. In order to provide a basic foundation for understanding the central issue, let us begin by clarifying each of these related issues.

First, let us make a preliminary and necessarily cursory clarification about the nature of belief. Consider your own case. Assuming that you are like most people, you believe a wide variety of things. Among the various things you believe, is one of them that the sum of thirty-seven and three is forty? If all went well, as you read and replied to that question, two things happened: (i) you comprehended the proposition the sum of thirty-seven and three is forty—that is, it was immediately present to your mind, you understood it, and you actively considered it, etc.—and (ii) you answered affirmatively. In light of such examples, philosophers have traditionally characterized the nature of belief as follows. To say that a person believes a proposition is to say that, at a given moment, the person both comprehends and affirms the proposition. It is in this sense that Augustine claims, “To believe is nothing but to think with assent” (Augustine, De Praedestione Sanctorum, v; cf. Aquinas, Summa Theologicae II-II, Q. 2, a. 1; Descartes, Meditations IV, Principles of Philosophy I.34; Russell 1921. For a detailed discussion of the nature of assent, see, for example, Newman 1985.).

This traditional characterization is a reasonable starting point for understanding the nature of belief, but it is at the very least incomplete. To see why, reflect on your own experience of considering the above-raised question. Both prior to and subsequent to considering the question, the proposition the sum of thirty-seven and three is forty was neither immediately present to your mind nor something you were actively considering. Nonetheless, you still believed it, and you still believe it. In this respect, you are like most other people. There are, as a matter of fact, some propositions that people believe about which they are currently thinking and others that they believe about which they are not currently thinking. To account for this fact, let us amend the traditional characterization of belief. To say that a person believes some proposition is to say that, at a given moment, the person either

i) comprehends and affirms the proposition, or

ii) is disposed to comprehend and to affirm the proposition (cf. Audi 1994, Price 1954, Ryle 2000, Scott-Kakures 1994, Schwitzgebel 2002).

There are, as one might expect, a number of subtle and controversial issues regarding the nature of belief that one could raise at this point, and addressing such issues would certainly be important in developing a complete theory about doxastic voluntarism. This amended description of belief should be sufficient, however, for our introductory discussion.

Second, let us make a preliminary and, again, necessarily cursory clarification about the nature of voluntary control. Take a moment to visualize the White House or to imagine the melody of your favorite song. Such mental activities are not difficult. Assuming your mental faculties are functioning properly, if you choose to perform these actions, they will happen immediately. They are things over which you have, what we will call, direct voluntary control. Suppose, however, that you want to learn either to play a particular song on a musical instrument on which you are currently untrained or to say a particular phrase in a foreign language that you do not currently speak. You will not acquire these abilities immediately after choosing to do so. Rather, you will have to choose to engage in a series of acts (for example, attending lessons, practicing, etc.) that will eventually result in your acquiring of these abilities. So, you do not have direct voluntary control over whether you can play a musical instrument or learn a foreign language. Nonetheless, acquiring abilities such as these is something that you choose to do. Thus, it is something over which you have a form of voluntary control—namely, what we will call, indirect voluntary control.

As with the nature of belief, at this point one could raise a number of subtle and controversial issues regarding the nature of voluntary control, and addressing such issues would surely be important in developing a complete theory about doxastic voluntarism. (For related discussions of these issues, see, for example, Alston 1989, Steup 2000, Nottelmann 2006.) Nonetheless, this distinction between direct and indirect voluntary control should be sufficient for our introductory discussion.

Corresponding to this distinction between direct and indirect voluntary control, philosophers distinguish between direct doxastic voluntarism and indirect doxastic voluntarism. The former is concerned with answering the question: to what extent, if any, do people have direct voluntary control over their beliefs? The latter is concerned with answering the question: to what extent, if any, do people have indirect voluntary control over their beliefs? Since the debate about indirect doxastic voluntarism is less contentious, let us examine it first.

2. Indirect Doxastic Voluntarism

Is indirect doxastic voluntarism true? Consider the following cases. First, suppose you walk into a room that is dark but has a working light that you can turn on by flipping the switch on the wall. When you walk into the room, you believe the proposition the light in the room is off. You realize, though, that you could change your belief by flipping the switch, so you flip the switch. The light comes on, and subsequently, you believe the proposition the light in the room is on. Second, suppose a usually trustworthy friend tells you that Paul David Hewson is one of the most popular singers of all time. You have no idea who this Hewson fellow is, but you would like to know whether you should trust your friend and, hence, believe the proposition Paul David Hewson is one of the most popular singers of all time. So, you do some research and discover that Paul David Hewson is the legal name of the incredibly popular lead singer for the Irish rock band U2. Consequently, you come to believe that Paul David Hewson is one of the most popular singers of all time. Thus, there are at least two cases in which someone has indirect voluntary control over his or her beliefs.

These cases, however, are not unique. The first illustrates that people have indirect voluntary control over whether they will believe any proposition, if they have voluntary control over the evidence confirming or disconfirming the proposition. The second illustrates that people have indirect voluntary control over whether they will believe many propositions, provided that they can discover evidence confirming or disconfirming these propositions, that they choose to seek out this evidence, and that they form their beliefs according to the evidence.

The significance of cases such as these is widely recognized among participants in the debate about doxastic voluntarism. (For summaries of such cases, see, for example, Alston 1989, Feldman 2001.) In fact, they are so widely accepted that philosophers seem to have reached a consensus on one aspect of the debate, recognizing that indirect doxastic voluntarism is true. In light of this consensus, they focus the majority of their attention on the more contentious question of direct doxastic voluntarism, to which we will now turn.

3. Direct Doxastic Voluntarism

Is direct doxastic voluntarism true? On this issue, philosophers are divided. Many argue that it is not, but some argue that it is. To each position, however, there are important challenges. Let us consider the most influential arguments and counterarguments in some detail, beginning with arguments against direct doxastic voluntarism.

a. Arguments against Direct Doxastic Voluntarism

i. The Classic Argument

Bernard Williams (1970) offers two arguments against direct doxastic voluntarism. Call the first “The Classic Argument,” since it is, perhaps, the locus classicus of the debate. Call the second “The Empirical Belief Argument,” since the notion of empirical belief is its essential feature.

The Classic Argument runs as follows: If people could believe propositions at will, then they could judge propositions to be true regardless of whether they thought the propositions were, in fact, true. Moreover, they would know that they had this power—that is, the power to form a judgment regarding a proposition regardless of whether they thought it was true. For instance, direct doxastic voluntarism seems to imply that, at this very moment, Patti could form the belief that Oswald killed Kennedy regardless of whether, at this very moment, she regards the proposition Oswald killed Kennedy as true or as false. Moreover, if direct doxastic voluntarism is correct, then it seems that Patti would know that she has the power to form a judgment regarding the proposition Oswald killed Kennedy regardless of whether she considers the proposition to be true. This phenomenon, however, is at odds with the nature of belief for the following reason. If a person believes that a proposition is true, then he or she would be surprised (or experience some related form of cognitive dissonance) to discover that the proposition is false. Similarly, if a person believes that a proposition is false, then he or she would be surprised (or experience some related form of cognitive dissonance) to discover that the proposition is true. For instance, if Patti believes that Oswald killed Kennedy, then she would experience some form of cognitive dissonance upon discovering that C.I.A. operatives killed Kennedy. Similarly, if Patti believes that Oswald did not kill Kennedy, then she would experience some form of cognitive dissonance upon discovering that he did. Thus, people could not seriously think of the beliefs they set out to acquire at will as beliefs—such as the things that “purport to represent reality.” Thus, Williams continues,

With regard to no belief could I know—or, if all this is to be done in full consciousness, even suspect—that I had acquired it at will. But if I can acquire beliefs at will, I must know that I am able to do this; and could I know that I was capable of this feat, if with regard to every feat of this kind which I had performed I necessarily had to believe that it had not taken place? (1970, 108)

Williams suggests that the answer to his rhetorical question is clear: ‘no’. It follows that such a person would not know that he or she is capable of acquiring beliefs at will and, hence, that such a person could not acquire beliefs at will. Therefore, Williams suggests, direct doxastic voluntarism is not merely false; rather it is conceptually impossible (1970, 108).

Critics, however, argue that The Classic Argument has at least three major flaws. First, they suggest that there is a difference between belief acquisition and belief fixation. It is at least possible that at one moment a person could will, in full consciousness, to acquire a belief concerning a proposition merely for practical reasons, regardless of the truth of the proposition. Once the person does this, however, he or she might perceive the evidence for the proposition differently than before—such that he or she comes to perceive some fact, which previously seemed like a terrible evidence for the proposition, as conclusive evidence for the proposition. In which case, the person’s belief would be fixed for theoretical reasons that are concerned with the truth of the proposition. Thus, the person might perceive his or her previous position as a kind of doxastic blindness, in which he or she failed to recognize the evidence for what it really is—namely, conclusive evidence. Hence, it is possible that at one moment a person could will, in full consciousness, to acquire a belief regardless of the truth of the proposition, and in the next moment regard his or her belief as a belief and believe that his or her belief was acquired at will just a moment ago. Therefore, critics conclude, The Classic Argument fails (cf. Johnston 1995, 438; Winters 1979, 253; see also Scott-Kakures 1994).

Second, they contend that a person could know, in general, that he or she had the ability to acquire beliefs at will without knowing that any particular belief was acquired at will. Jonathan Bennett illustrates the objection nicely with a thought experiment involving a group of fictional characters called ‘Credamites’. According to Bennett’s tale,

Credam is a community each of whose members can be immediately induced to acquire beliefs. It doesn’t happen often, because they don’t often think: ‘I don’t believe that p, but it would be good if I did.’ Still, such thoughts come to them occasionally, and on some of those occasions the person succumbs to temptation and will himself to have the desired belief. […] When a Credamite gets a belief in this way, he forgets that this is how he came by it. The belief is always one that he has entertained and has thought to have some evidence in its favour; though in the past he has rated the counter-evidence more highly, he could sanely have inclined the other way. When he wills himself to believe, that is what happens: he wills himself to find the other side more probable. After succeeding, he forgets that he willed himself to do it. (1990, 93)

To understand, more clearly, how Bennett’s Credamites can exercise direct voluntary control over their beliefs, consider a particular (hypothetical) case. Suppose there is a Credamite who is very ill and who finds it possible, but less than likely, that she will recover from her illness. Nonetheless, her chances of recovery will increase if she believes that she will recover from her illness, and she is aware of this connection between her beliefs and her illness. So, as any rational Credamite might, she simply chooses to believe that she will recover and, consequently, forgets that she willed herself to form the belief. Thus, Bennett’s thought experiment suggests that, contrary to what Williams claims, there could be beings who have the ability to form beliefs at will, choose to exercise that ability on a specific occasion, and immediately forget that they exercised their ability on that occasion (see also Scott-Kakures 1994, 83; Winters 1979, 255). Therefore, he and sympathetic critics conclude, The Classic Argument fails.

Third, they contend that a person could possess an ability without knowing that he or she possesses the ability (see, for example, Winters 1979, 255). Thus, a person could have the ability to acquire beliefs at will even if it were impossible for her to know that he or she had this kind of ability. Therefore, the critics conclude, The Classic Argument fails.

ii. The Empirical Belief Argument

The Empirical Belief Argument against direct doxastic voluntarism runs as follows. A person can have an empirical belief concerning a proposition only if the proposition is true and the person’s perceptual organs are working correctly to cause the belief. For example, a woman can have an empirical belief, say, that the walls in her office are white only if the walls in her office are, in fact, white and her eyes are working correctly to cause the belief. In cases of believing empirical matters at will, “there would be no regular connection between the environment, the perceptions,” and the belief. Thus, believing at will would fail to satisfy the necessary conditions of ‘empirical belief’. Therefore, believing empirical matters at will is conceptually impossible (Williams 1970, 108).

Critics suggest that there are at least two problems with The Empirical Belief Argument. First, people believe all sorts of things about empirical matters that are not caused by the state of affairs obtaining and their perceptual organs functioning properly (cf. Bennett 1990, 94-6). For instance, one might believe that a tower in the distance is round because it seems round to one whose perceptual organs are functioning properly—even though at this distance square towers appear round. Hence, the argument seems to rely on a false premise. Second, even if the argument were sound, it would show only that it is impossible for people to will to believe some propositions. Therefore, the critics contend, even if The Empirical Belief Argument were sound, it would show only that certain beliefs are not within one’s voluntary control, not that direct doxastic voluntarism is false, let alone conceptually impossible.

The problem, however, might seem merely to be Williams’ suggestion that a person can have an empirical belief concerning a proposition only if the proposition is true. Supporters of The Empirical Belief Argument, however, could reject that claim and offer a revised version of the argument. In fact, Louis Pojman has offered such an argument, which runs as follows (Pojman 1999, 576-9). Acquiring a belief is typically a happening in which the world forces itself on a subject. A happening in which the world forces itself on a subject is not a thing the subject does or chooses. Therefore, acquiring a belief is not typically something a subject does or chooses.

Critics contend, however, that there are at least two problems with Pojman’s version of the argument. First, they contend that people do have some direct form of voluntary control over their beliefs they form in light of sensory experiences. For instance, someone might have a very strong sensory experience suggesting that there is an external world and, nonetheless, not judge that there is an external world. Rather, one might suspend judgment about the matter (see, for example, Descartes’s First Meditation). Similarly, someone like John Nash, the M.I.T and Princeton professor portrayed in “A Beautiful Mind,” might have a very strong sensory experience as if he or she is in the presence of another person and, nevertheless, not judge that he or she is in the presence of another person. Rather, such a person might judge that he or she is alone and that the sensory experience is a hallucination. Thus, critics conclude, even if people cannot control the information provided to them by their senses, they can control whether they believe (so to speak) “what their senses tell them.” Second, they contend that like Williams’ original version of the argument, Pojman’s revised version would demonstrate, at best, that it is impossible for people to will to believe some propositions. Thus, they conclude that it does not demonstrate that direct doxastic voluntarism is false, let alone conceptually impossible.

iii. The Intentional Acts Argument

Dion Scott-Kakures (1994) offers another kind of argument that attempts to show that direct doxastic voluntarism is conceptually impossible. The argument uses an analysis of the nature of intentional acts to suggest that direct doxastic voluntarism is impossible. It goes as follows. If direct doxastic voluntarism is true, then believing is an act that is under people’s direct voluntary control. Moreover, any act that is under a person’s direct voluntary control is guided and monitored by an intention. For instance, steering one’s car through a left turn signal is an act that is under one’s direct voluntary control, and it is an act that is guided and monitored by one’s intention to turn left. Acquiring a belief, however, is different. It is, by its very nature, not the kind of act that can be guided and monitored by an intention. Thus, acquiring a belief is not under a person’s direct voluntary control. Therefore, direct doxastic voluntarism is conceptually impossible.

The critical premise in the argument is the claim that acquiring a belief is, by its very nature, not the kind of act that can be guided and monitored by an intention. Why, though, should we think that that claim is true? Suppose someone wants to form a belief at will. Let’s take a particular case. Suppose Dave wants to will himself to believe that God exists. The problem, according to Scott-Kakures, is that Dave has a certain perspective on the world, which includes his other beliefs, his desires, etc., and that perspective is incompatible with Dave believing that God exists. Thus, so long as Dave maintains that perspective, he cannot form an intention that could succeed in guiding and monitoring an act of believing that God exists. This problem, however, is not unique to Dave. Any person who wants to will himself or herself to believe a proposition faces the same obstacle. The perspective the person has of the world will not allow him or her to form an intention that is compatible with the belief he or she wants to form. Therefore, as long as the person maintains that perspective, it is simply not possible for him or her to form an intention that could guide and monitor the act of willing himself or herself to believe. Hence, acquiring a belief is, by its very nature, not the kind of act that can be guided and monitored by an intention.

Critics, however, suggest that the perspective of a person who attempts to believe at will might be compatible with the proposition he or she attempts to believe (Radcliffe 1997). They argue as follows. Consider Dave’s case. Because of his isolated background, he may be ignorant both of the standard arguments for and of the standard arguments against the existence of God. Nonetheless, he might understand the proposition God exists and desire to believe it for pragmatic purposes. For instance, reading Pascal’s Pensées may have persuaded him that the potential benefits of believing that God exists outweigh the potential detriments of not believing that God exists. From this perspective, he might form the intention to acquire at will the belief that God exists; however, nothing in the perspective that generates his intention is incompatible with believing that God exists. Hence, the perspective from which Dave generates his intention to believe that God exists is not necessarily incompatible with believing that God exists. Moreover, Dave’s case is not unique. Other people can find themselves in similar circumstances. Thus, at the moment a person attempts to acquire a belief at will, his or her perspective might be compatible with the proposition he or she wants to believe. Hence, the critics conclude, Scott-Kakures’s argument fails to show that direct doxastic voluntarism is conceptually impossible.

iv. The Contingent Inability Argument

Some philosophers, such as Edwin Curley, contend that regardless of whether direct doxastic voluntarism is conceptually impossible, it is false. Curley, specifically, argues as follows (1975, 178). If direct doxastic voluntarism is true, then people should be able to believe at will at least those propositions for which the evidence is not compelling. Let us test the doctrine empirically. Consider the recent meteorological conditions on Jupiter. We do not have compelling evidence either confirming or disconfirming the proposition it rained three hours ago on Jupiter, so it is a proposition about which we ought to be able to form a belief at will. Curley, however, suggests that he cannot form a belief about the proposition and suggests that his readers cannot either, unless they have strikingly different minds than his. Thus, he suggests, there is at least one (and probably many other) clear counterexamples to the claim that people have direct voluntary control over their beliefs. Therefore, he suggests, regardless of whether direct doxastic voluntarism is conceptually impossible, it is false.

Critics could grant that the argument seems to succeed in showing that there are propositions with respect to which we stand, like Buridan’s Ass, unable to decide between our options—in this case, affirming or denying a proposition. They would contend, however, that the argument’s success is limited and that it shows, at most, that there are some propositions with respect to which people do not have direct voluntary control (cf. Ryan 2003, 62-7). Therefore, they would conclude, the argument does not show that direct doxastic voluntarism is false.

b. Arguments for Direct Doxastic Voluntarism

i. The Observed Ability Argument

According to Carl Ginet, there are a number of cases in which people can will to believe certain propositions, provided that their evidence regarding the propositions is inconclusive (2001, 64-5; cf. Ryan 2003, 62-7). He offers a number of examples. Let us consider two. The first involves a person deciding to believe a proposition so that she can stop worrying. The scenario is as follows:

Before Sam left for his office this morning, Sue asked him to bring from his office a particular book that she needs to use for preparing her lecture the next day, on his way back home.. Later Sue wonders whether Sam will remember to bring the book. She recalls that he has sometimes, though not often, forgotten such things. But, given the thought that her continuing to wonder whether he’ll remember to bring the book will make her anxious all day, she decides to stop fretting and decides to believe that he will remember to bring the book she wanted.

The second involves a road trip taken by Ginet and his wife. He says,

We have started on a trip by car, and 50 miles from home my wife asks me if I locked the front door. I seem to remember that I did, but I don’t have a clear, detailed, confident memory impression of locking that door (and I am aware that my unclear, unconfident memory impressions have sometimes been mistaken). But, given the great inconvenience of turning back to make sure the undesirability of worrying about it while continuing on, I decide to continue on and believe that I did lock it.

According to Ginet, a person decides to believe a proposition when he or she stakes something on the truth of the proposition, where to “stake something” on the truth of a proposition is understood as follows:

In deciding to perform an action, a person staked something on its being that case that a certain proposition, p, was true if and only if when deciding to perform the action, the person believed that performing the action was (all things considered) at least as good as other options open to him or her if and only if the proposition, p, was true.

Thus, on Ginet’s account, in deciding not to remind Sam to bring the book she needed, Sue staked something on the truth of the proposition Sam will bring the book and, hence, decided to believe that Sam would bring it. If Sue had decided to remind Sam to bring the book she needed, Sue would have staked something on the truth of the proposition Sam will not bring the book and, hence, decided to believe that Sam would not bring it. Thus, on Ginet’s account, Sue could have decided to believe that Sam will bring the book or that Sam will not bring the book. Similarly, in deciding to continue on his road trip without worrying, Ginet staked something on the truth of the proposition I locked the door and, hence, decided to believe that he locked the door. If Ginet had decided to pull off the road to call and ask his neighbor to check Ginet’s front door, then Ginet would have staked something on the truth of the proposition I did not lock the door and, hence, decided to believe that he did not lock the door. Thus, on Ginet’s account, he could have decided to believe that he did lock the door or that he did not lock the door. Therefore, direct doxastic voluntarism is a thesis that describes an observed ability that people have.

Ginet surely seems correct in noting that people have experiences in which they are (at least moderately) anxious about the truth of some proposition, when the evidence they have for the proposition is ambiguous, and they alleviate their anxiety by electing to act as if the proposition is true (or false). Thus, to rebut Ginet’s argument, critics would have to show that what people do in such cases is not decide to believe. But how else such cases can be described? If such people are not deciding to believe, then what are they deciding to do? A quick survey of the philosophical literature on the nature of belief suggests two possible lines of reply. First, someone might be able to rebut Ginet’s argument by showing that that the kind of cases to which Ginet refers are cases not of believing a proposition, but of accepting a proposition. According to this line of rebuttal, the person understands the proposition and decides to act as if the proposition is true for some practical purpose, but (unlike in cases of believing) the person neither affirms nor denies the proposition (see, for example, Buckareff 2004; cf. Bratman 1999; Cohen 1989, 1992). Second, someone might be able to rebut Ginet’s argument by showing that the kind of cases to which he refers are cases not of believing a proposition, but of acting as if a proposition is true (see, for example, Alston 1989, 122-7; cf. Steup 2000). According to this second line of rebuttal, the person decides to act as if the proposition is true for some practical purpose(s), regardless of whether the person understands the proposition, and of whether he or she affirms, denies, or suspends judgment about the proposition. (For a related discussion of another of Ginet’s cases, see Nottelmann 2006.)

i. The Action Analogy Argument

James Montmarquet offers the following, analogical argument for direct doxastic voluntarism (1986, 49). “[R]easons for action play a role in the determination of action which is analogous to the role played by reasons for thinking-true in the determination of beliefs.” Hence, if the controlling influence of reasons on actions is compatible with the voluntariness of the action, the same is true with respect to the influence of reasons for thinking-true on beliefs. The controlling influence of reasons on actions is compatible with the voluntariness of action. Therefore, the controlling influence of reasons on beliefs is compatible with the voluntariness of belief. Hence, direct doxastic voluntarism is no more problematic than voluntarism about people’s other actions, and since we regard voluntarism as true with respect to people’s other actions, we should also regard direct doxastic voluntarism as true. (For discussions of related arguments, see, for example, Nottelmann 2006, Ryan 2003, Steup 2000.)

Granting that the inferences are warranted, there are two lines of objection open for a possible rebuttal. First, one might be able to rebut the argument by showing that there is a significant difference between the role that reasons play in determining action and the role that reasons play in determining beliefs. For instance, one could undermine Montmarquet’s argument if one could show that there is a problem with the analogy on which it depends: the controlling influence of reasons on acting is to the voluntariness of acting as the controlling influence of reasons on believing is to the voluntariness of believing. What, though, is wrong with that analogy? One possibility is that the controlling influence of reasons on people’s actions is often resistible in a way that the controlling influence of reasons on people’s beliefs is not. For example, it seems to make sense that a person would say, “I have overwhelming evidence that I should not smoke, but I still smoke.” Does it make sense, however, for a person to say, similarly, that she has overwhelming evidence that a proposition is false but that she believes it is true? Some would answer negatively, pointing to claims like, “I have overwhelming evidence that lead does not float in water, but I still believe that it does.” Others would answer affirmatively, pointing to claims like, “I have overwhelming evidence that my son has been killed in action in the war—for example, he has been M.I.A. for years, the rescue team recovered his bloody uniform—nonetheless, I still believe that he is alive” (cf. Meiland 1980). The challenge for those who take this first strategy in attempting to undermine Montmarquet’s argument is to show that the cases of those who answer affirmatively are not cases of choosing to believe, but cases of something else—for example, accepting that a proposition is true or acting as if a proposition is true (cf. Bratman 1999; Cohen 1989, 1992, as well as Alston 1989, 122-7, Buckareff 2004).

Second, one might be able to rebut the argument by showing that the controlling influence of reasons on actions is incompatible with the voluntariness of actions. For instance, one could undermine Montmarquet’s argument if one could show that as the influence of people’s reasons on their actions become stronger, their performance of the actions becomes less voluntary. Why, though, might we think that the influence of reasons on people’s actions would have this effect? One type of possibility includes cases of coercion (cf. Aquinas, Summa Theologicae, I-II, Q. 6, aa. 6-7). Suppose a person gave her money to a mugger who threatened her with a loaded gun, yelling, “Your money or your life!” Did she give the money voluntarily? Some would argue that she did not. At this point, the debate becomes rather subtle. On the one hand, she did choose (that is, she did ‘will’) to perform the action. On the other hand, her act of willing seems to lack the requisite freedom such that we would say she had direct voluntary control over that act in the way that we would say, for instance, that she had direct voluntary control over her act of writing a check to charity earlier that morning. Thus, a second strategy for undermining Montmarquet’s argument requires one both (i) to show that there are cases of acting with respect to which people lack direct voluntary control and (ii) to demonstrate why cases of believing are like such cases of acting.

4. Significance: Ethical, Epistemological, Political, and Religious

The issue of doxastic voluntarism has three particularly significant philosophical implications. The first concerns an issue at the intersection of ethics and epistemology: specifically, the possibility of an ethics of belief. The second concerns political philosophy: specifically, the extent of intellectual (and especially religious) freedom. The third concerns philosophy of religion: specifically, the doctrine of hell.

Each relies on a certain moral principle. Call it the Blameworthiness Principle:

People are morally blameworthy only for those actions they perform (or for those dispositions they acquire) voluntarily.

Proponents suggest that the truth of this principle is intuitively evident in light of commonsense examples. For instance, proponents contend, we can hold people morally blameworthy for acts like murder or dispositions like being cruel only if they killed an innocent person or developed the disposition to be cruel voluntarily. If a person committed murder or developed a disposition to be cruel because he or she was under the control of an evil demon, or a nefarious neurosurgeon, or some other such manipulative agent, we would blame the manipulative agent, not the person who committed the act or caused the development of the disposition. We would do so, proponents argue, because we recognize, intuitively, the truth of the Blameworthiness Principle.

In light of this principle, some philosophers argue, as follows, that an ethics of belief is untenable (see, for example, Price 1954, especially, p. 11; for a related debate, see, for example, Chisholm 1968, 1991, Firth 1998a, 1998b, Haack 2001). Direct doxastic voluntarism is false: people do not have direct voluntary control over their beliefs. Moreover, since the Blameworthiness Principle is true, people are not morally blameworthy for their beliefs. Thus, although we might hold people morally responsible for being intellectually lazy or intellectually cowardly (for example, by failing to gather evidence or by failing to consider evidence), there is no such thing as an ethics of belief per se—that is, an ethical evaluation of a person for judging that a particular proposition is true (or false).

Some political philosophers have traditionally utilized the preceding type of argument against the possibility of an ethics of belief in their arguments for toleration (see, for example, Bayle 2005; Locke 1983; Mill 1974; Spinoza 2001). The general line of thought is as follows. People can control whether they conduct an inquiry and whether they evaluate a body of evidence, so they are certainly responsible for inquiring and examining evidence. However, since the Blameworthiness Principle is true and since believing (or, more specifically, judging) is not the sort of thing over which people have voluntary control, if people examine a body of evidence in good conscience and form a belief regarding a proposition, the state has no right to punish them for holding that belief. Thus, for instance, although the state may demand that people hear the evidence for a particular religion, it has no right to punish people for failing to believe the tenets of that religion.

Some philosophers of religion have suggested that the same kind of argument applies to questions of justice not only regarding human affairs, but also regarding divine affairs. For example, they contend that it follows from the falsity of direct doxastic voluntarism and the truth of the Blameworthiness Principle that not even God could punish people, in this life or in the next, for failing to believe the tenets of a certain religion. Thus, they contend that a just God could not torment people eternally in hell, for failing to believe the tenets of a certain religion. Those who wish to deny this line of argument seem compelled to choose among the following strategies. First, they could attempt to show that direct doxastic voluntarism is true. Second, they could attempt to demonstrate that the Blameworthiness Principle is false. Third, they could attempt to show that God holds people accountable not for failing to form certain judgments about a particular set of religious principles, but for some other fault(s)—for example, failing to conduct an adequate investigation into or failing to be open to the truth of the tenets of a certain religion.

5. Conclusion

Thus, the debate about doxastic voluntarism is particularly intriguing and important for two reasons. First, it requires us to form a deeper understanding about vital aspects of human nature. For instance, it entails that we do further research in philosophy of mind, action theory, and moral psychology so that we can understand both the nature of belief and the nature of the will, or (more specifically) the nature of voluntary control. Second, the outcome of the debate has direct and significant practical implications for our understanding of the scope of ethical and of epistemic obligations, our understanding of the relationship between personal rights and state responsibility, and our understanding both of the nature of God and of divine justice.

6. References and Further Reading

  • Alston, William. “The Deontological Conception of Epistemic Justification.” In Essays in the Theory of Knowledge, 115-52. Ithaca: Cornell UP, 1989.
  • Aquinas, Thomas. Summa Theologica. Translated by Thomas Gilby et al. 61 volumes. New York: McGraw-Hill, 1964-80.
  • Audi, Robert. “Doxastic Voluntarism and the Ethics of Belief.” In Knowledge, Truth, and Duty, ed. Matthias Steup, 93-111. Oxford: Oxford UP, 2001.
  • Augustine. De Praedestione Sanctorum. In Sancti Augustini Opera. Turnholti: Typographi Brepols, 1954-1981.
  • Bayle, Pierre. A Philosophical Commentary. Edited by John Kilcullen and Chandran Kukathas. Indianapolis: Liberty Fund, 2005.
  • Bennett, Jonathan. “Why is Belief Involuntary?” Analysis 50 (1990): 87-107.
  • Bratman, Michael. “Practical Reason and Acceptance in a Context.” In Faces of Intention, 15-34. Cambridge: Cambridge UP, 1999.
  • Buckareff, Andrei A. “Acceptance and Deciding to Believe.” Journal of Philosophical Research 29 (2004): 173-90.
  • Buckareff, Andrei A. “Doxastic Decisions and Controlling Belief.” Acta Analytica 21 (2006): 102-14.
  • Chisholm, R. M. “Lewis’ Ethics of Belief.” In The Philosophy of C. I. Lewis, ed. P. A. Schilpp, 223-42. La Salle, Ill.: Open Court Publishing, 1968.
  • Chisholm, R. M. “Firth and the Ethics of Belief.” Philosophy and Phenomenological Research 51 (1991): 119-127.
  • Cohen, Jonathan. “Belief and Acceptance.” Mind 98 (July 1989): 367-89.
  • Cohen, Jonathan. An Essay on Belief and Acceptance. Oxford: Oxford UP, 1992.
  • Curley, E.M. “Descartes, Spinoza, and the Ethics of Belief.” In Spinoza: Essays in Interpretation, ed. Maurice Mandelbaum and Eugene Freeman, 159-89. LaSalle, Ill.: Open Court Publishing, 1975.
  • Descartes, Rene. Oeuvres de Descartes. Edited by Charles Adam and Paul Tannery. 12 Vols. Paris: Libraire Philosophique J. Vrin, 1964-76. Original edition, Paris: Cerf, 1897-1913.
  • Descartes, Rene. The Philosophical Writings of Descartes. Translated by John Cottingham, Robert Stoothoff, Dugald Murdoch, and (vol. 3 only) Anthony Kenny. 3 Vols. Cambridge: Cambridge UP, 1984-91.
  • Feldman, Richard. “Voluntary Belief and Epistemic Evaluation.” In Knowledge, Truth, and Duty, ed. Matthias Steup, 77-92. Oxford: Oxford UP, 2001.
  • Firth, Roderick. “Chisholm and the Ethics of Belief.” In In Defense of Radical Empiricism: Essays and Lectures by Roderick Firth, ed. John Troyer, 143-53. New York: Rowman and Littlefield, 1998.
  • Firth, Roderick. “Are Epistemic Concepts Reducible to Ethical Concepts.” In In Defense of Radical Empiricism: Essays and Lectures by Roderick Firth, ed. John Troyer, 237-49. New York: Rowman and Littlefield, 1998.
  • Gale, Richard M. “William James and the Willfulness of Belief.” Philosophy and Phenomenological Research 59 (1999): 71-91.
  • Ginet, Carl. “Deciding to Believe.” In Knowledge, Truth, and Duty, ed. Matthias Steup, 63-76. Oxford: Oxford UP, 2001.
  • Govier, Trudy. “Belief, Values, and the Will.” Dialogue 15 (1976): 642-663.
  • Haack, Susan. “‘The Ethics of Belief’ Reconsidered.” In Knowledge, Truth, and Duty, ed. Matthias Steup, 21-33. Oxford: Oxford UP, 2001.
  • Hall, Richard J., and Charles R. Johnson. “The Epistemic Duty to Seek More Evidence.” American Philosophical Quarterly 35 (1998): 129-40.
  • Heil, John. “Doxastic Agency.” Philosophical Studies 43 (1983): 355-64.
  • James, William. “The Will to Believe.” In The Will to Believe and Other Essays in Popular Philosophy, 1-31. New York: Dover, 1956.
  • Johnston, Mark. “Self-Deception and the Nature of Mind.” In Philosophy of Psychology, ed. Cynthia MacDonald and Graham MacDonald. Cambridge, Mass.: Blackwell, 1995.
  • Kaplan, Mark. “Rational Acceptance.” Philosophical Studies 40 (1981): 129-145.
  • Locke, John. A Letter concerning Toleration. Edited by James H. Tulley. Indianapolis: Hackett, 1983.
  • Meiland, Jack. “What Ought We to Believe, or the Ethics of Belief Revisited.” American Philosophical Quarterly 17 (1980): 15-24. Reprinted in The Theory of Knowledge: Classic and Contemporary Readings, ed. Louis P. Pojman, 514-25. Belmont, Ca.: Wadsworth, 1993.
  • Mele, Alfred. “Akratic Belief.” In Irrationality, 109-20 Oxford: Oxford UP, 1987.
  • Mill, John Stuart. On Liberty, ed. Gertrude Himmelfarb. New York, Penguin, 1974.
  • Montmarquet, James. “The Voluntariness of Belief.” Analysis 46 (1986): 49-53.
  • Naylor, Margery Bedford. “Voluntary Belief.” Philosophy and Phenomenological Research 45 (1985): 427-36.
  • Newman, J. H. An Essay in Aid of a Grammar of Assent. Edited by I. T. Ker. Oxford: Clarendon Press, 1985.
  • Nottelmann, N. “The Analogy Argument for Doxastic Voluntarism.” Philosophical Studies 131 (2006): 559-582.
  • Owens, David. Reason without Freedom. London: Routledge, 2000.
  • Owens, David. “Epistemic Akrasia.” The Monist 85 (2002): 381-97.
  • Pascal, Blaise. Pensees. Edited and translated by Roger Ariew. Indianapolis: Hackett: 2005.
  • Peirce, Charles S. “The Fixation of Belief.” In Charles S. Peirce: Selected Writings, ed. Philip P. Weiner, 91-112. New York: Dover, 1958.
  • Pojman, Louis P. “Believing and Willing.” Canadian Journal of Philosophy 15 (1985): 37-5.
  • Pojman, Louis P. Religious Belief and the Will. London: Routledge and Kegan Paul, 1985.
  • Pojman, Louis P. “Believing, Willing, and the Ethics of Belief.” In The Theory of Knowledge. 2d ed. Belmont, Ca.: Wadsworth, 1999.
  • Price, H.H. “Belief and Will.” Proceedings of the Aristotelian Society 28, supplement (1954): 1-26.
  • Price, H.H. “Some Considerations About Belief.” In Knowledge and Belief, ed. A. Phillips Griffiths, 41-59. Oxford: Oxford UP, 1967.
  • Price, H.H. Belief. London: Allen and Unwin, 1969.
  • Radcliffe, Dana. “Scott-Kakures on Believing at Will.” Philosophy and Phenomenological Research 57 (1997): 145-51.
  • Ryan, Sharon. “Doxastic Compatibilism and the Ethics of Belief.” Philosophical Studies 114 (2003): 47-79.
  • Scott-Kakures, Dion. “On Belief and Captivity of the Will.” Philosophy and Phenomenological Research 54 (1994): 77-103.
  • Scott-Kakures, Dion. “Motivated Believing: Wishful and Unwelcome.” Nous 34 (2000): 348-75.
  • Spinoza, Benedict. Theological-Political Treatise. Translated by Samuel Shirley. Indianapolis: Hackett, 2001.
  • Steup, Matthias. “Doxastic Voluntarism and Epistemic Deontology.” Acta Analytica 15 (2000): 25-56.
  • Stocker, Michael. “Responsibility Especially for Beliefs.” Mind 151 (1982): 398-417.
  • Van Fraassen, Bas C. “Belief and the Will.” The Journal of Philosophy 81 (1984): 235-256.
  • Wansing, Heinrich. “Seeing To It That an Agent Forms a Belief.” Logic and Logical Philosophy 10 (2002): 185-197.
  • Wansing, Heinrich. “Doxastic Decisions, Epistemic Justification, and the Logic of Agency.” Philosophical Studies 128 (2006): 201-227.
  • Williams, Bernard. “Deciding to Believe.” In Language, Belief, and Metaphysics, ed. Howard E. Kiefer and Milton K. Munitz, 95-111. Albany: SUNY Press, 1970.
  • Winters, Barbara. “Believing at Will.” Journal of Philosophy 76 (1979): 243-56.

Author Information

Rico Vitz
Email: rico.vitz@unf.edu
University of North Florida
U. S. A.

William Edward Burghardt Du Bois (1868—1963)

W. E. B. Du Bois was an important American thinker: a poet, philosopher, economic historian, sociologist, and social critic. His work resists easy classification. This article focuses exclusively on Du Bois’ contribution to philosophy; but the reader must keep in mind throughout that Du Bois is more than a philosopher; he is, for many, a great social leader. His extensive efforts all bend toward a common goal, the equality of colored people. His philosophy is significant today because it addresses what many would argue is the real world problem of white domination. So long as racist white privilege exists, and suppresses the dreams and the freedoms of human beings, so long will Du Bois be relevant as a thinker, for he, more than almost any other, employed thought in the service of exposing this privilege, and worked to eliminate it in the service of a greater humanity. Du Bois’ pragmatist philosophy, as well as his other work, underlies and supports this larger social aim. Later in life, Du Bois turned to communism as the means to achieve equality. He envisioned communism as a society that promoted the well being of all its members, not simply a few. Du Bois came to believe that the economic condition of Africans and African-Americans was one of the primary modes of their oppression, and that a more equitable distribution of wealth, as advanced by Marx, was the remedy for the situation.

Table of Contents

  1. Life and Work
  2. General Philosophical Orientation
  3. Double Consciousness
  4. Second Sight
  5. Critique of White Imperialism
  6. Later Marxism
  7. Du Bois’ Significance Today
  8. References and Further Reading

1. Life and Work

Du Bois was born in Great Barrington, Massachusetts, on February 23, 1868. He had a happy early childhood, largely unaware of race prejudice, until one day, as he records in Souls of Black Folk, a student in his class refused to exchange greeting cards with him simply because he was black (Souls, 2). This experience made Du Bois feel for the first time that he was different, in that he was both inside the white world (since he lived within it) and outside of it (since he was perceived in the white world through the lens of race prejudice). Throughout his life after this event, Du Bois was continually made to feel, as he says, that he was both an American and an African, but never an African-American, with his own distinct, coherent identity in the American world. “One ever feels his two-ness,” he explains (Souls, 2).

Du Bois refused to become depressed by his new realization, and in fact made it his life’s work to combat race prejudice and to find a way to achieve coherent personhood for blacks in America. Du Bois, it turns out, was just the right person for the job, since he had it in his character to affirm himself as a matter of course. He was a bold, courageous youth, willing to fight for himself and his peers. All his life Du Bois was self-assertive without being aggressive, assuming without hesitation the right to equality of all people.

Knowing his mission early on, Du Bois headed to school to become educated adequately to realize it (a task not without struggle in the virulently racist world of the times). He attended Fisk University as an undergraduate student and Harvard University as a graduate student as well as studied abroad in Germany. He was the first African-American to be awarded a Ph.D. from Harvard. At Harvard, he studied philosophy under William James, George Santayana, and Josiah Royce. Du Bois learned a lot from his philosophy teachers, especially James, but he came to reject academic philosophy, referring to it as “lovely but sterile” (Lewis, Biography 92). He turned to history and sociology instead.

Du Bois’ dissertation reflects this new direction. It is entitled The Suppression of the African Slave Trade to the United States of America, 1638-1870. Du Bois began to turn his energies to a socio-economic analysis of the African-American situation. His efforts were guided by the belief that a proper understanding of this situation would help eliminate racism; if people only understood properly what African-Americans were going through, Du Bois felt, they would appreciate better the circumstances that they face and would work toward their full liberation and flourishing. This line of thought led to the publication of The Philadelphia Negro in 1899.

Du Bois’ most important work, The Souls of Black Folk, was published in 1903, and reflects an important new direction of his thinking. This is the work for which he is most renowned, the work in which he declared, famously, that “the problem of the Twentieth Century is the problem of the color-line” (Souls, V). About this work, Du Bois’ biographer writes, “It was one of those events epochally dividing history into a before and an after” (Lewis, Biography 277). What makes this work so important, culturally, is the way in which it speaks out passionately and uncompromisingly about the spirit of African-Americans, emphasizing their humanity and strength despite centuries of the worst oppression. In addition, Du Bois in this book dared to challenge the most famous African-American intellectual of the day, Booker T. Washington, and to assert an opposing principle to Washington’s belief that industrial education alone would lead to equality. Du Bois argued instead that African-Americans must be given the chance to attain the most sophisticated, higher education as well, so that they might partake of the goods of civilization as well as be fit candidates to educate other African-Americans in turn (a task not to be left fully to whites).

The Souls of Black Folk is a work rich in philosophical content, as will be discussed in more detail below. For now, however, it should be noted that Du Bois shifts direction in this work and takes a novel approach from his previous work. Still trying to build understanding and sympathy for the situation of African-Americans, especially in the period after Reconstruction, Du Bois now combines socio-economic research with poetry, song, story, and philosophy. A new, multi-faceted voice grips Du Bois, allowing him, in what can only be called a great and profound piece of literature, to pierce the mind of his readers and to make them feel overwhelmingly the significance of being black in America.

In his middle works, most notably Darkwater, published in 1919, Du Bois changes directions again, as Manning Marable notes (Marable, vi). This time, instead of trying to make the reader gently understand, Du Bois lambastes the reader for failing to understand. Darkwater is a fiery, accosting work, in which Du Bois makes such claims as that “white Christianity is a miserable failure” because of its racism (Darkwater, 21), and that white civilization is to a large extent “mutilation and rape masquerading as culture” (Darkwater, 21). Du Bois’ new approach consists of the attempt to wake up the reader from their racist slumber, to force them to see the racism wherever it is for what it is.

This work, in which Du Bois asserts that, “a belief in humanity is a belief in colored men” (Darkwater, 27), has become particularly important for later, critical race theory (see below). It is worth noting about the work for now that again Du Bois blends philosophy, poetry, literature, history, and sociology in a unique, energizing manner that was to remain his stylistic trademark.

Du Bois’ later works include Dusk of Dawn (1940), his “autobiography of a concept of race.” It also includes Black Folk, Then and Now: An Essay in the History and Sociology of the Negro Race (1939), in which he endorses a form of Marxist critique, and the posthumously published Autobiography of W. E. B. Du Bois (1968), which contains reflections on his life in its last decade.

Throughout his life, in addition to writing, Du Bois worked as an activist for social causes. He was editor of the journal, Crisis (1910-1919), which explored contemporary racial problems and how to combat them. He helped found the National Association for the Advancement of Colored People (NAACP) as well as the Pan African Congress. He ran for the U.S. Senate in order to help improve the plight of African Americans. Later in life, as the chair of the Peace Information Center, he called for banishing atomic weapons and making them illegal (Lewis; Hynes).

In 1959, after a lifetime of combating rampant racism in the U.S., Du Bois had enough and expatriated to Ghana, Africa. He spent his time in Africa working on an Encyclopedia of African Peoples and refining his social analysis, which had come to include Marxist elements (he became an official member of the U.S. Communist Party before his departure). Du Bois died in Accra, Ghana, on August 27, 1963—immediately before the March on Washington that inaugurated the civil rights movement in America, as several commentators have observed (Lewis; Hynes).

2. General Philosophical Orientation

Philosophically speaking, Du Bois’ work is difficult to characterize, since he lived and wrote for such a long time and refined his position over so many years. Eugene C. Holmes has described Du Bois as a materialist and a social philosopher (Holmes, 80-1). According to Holmes, “with Dr. Du Bois…it was always the problem of getting the truth about race by means of a scientific approach” (Holmes, 77).

Recent scholarship has adopted a more nuanced perspective. Cornel West puts Du Bois decidedly in the camp of the pragmatists, that is, in the camp of someone who works in the “Emersonian tradition” of evading traditional philosophical problems altogether and turning instead to the empowerment of individuals and communities. What Du Bois adds to the pragmatists, according to West, is an impassioned and focused concern for “the wretched of the earth” and for thinking about how one can alleviate their plight (West, 138). Other more recent approaches tend to see Du Bois as a highly important critical theorist, or someone whose work is inherently and purposefully interdisciplinary in nature, drawing on multiple disciplines as needed to critique power, especially white power (Rabaka, 2). This view would seemed to be confirmed by Du Bois’ biographer, who concludes his painstakingly thorough account of Du Bois’ life and work by noting that Du Bois, in essence, “attempted virtually every possible solution to the problem of twentieth century racism—scholarship, propaganda…international communism” (Lewis, The Fight for Equality, 571). Hence, the traditional view of Du Bois as always concerned with getting at the truth about race through science would seem to be contradicted by recent scholarship, which holds that Du Bois tried multiple, irreconcilable approaches (even propaganda) to achieve his ends.

Even so, there remains important recent scholarship that sees Du Bois as a more traditional philosopher, concerned with the ideals of truth, goodness, and beauty. According to Keith Byerman, for example, Du Bois possesses “confidence in his grasp of truth,” and his autobiographies, for one, are stories in which he always gains “a fuller view of truth” (Byerman, 7). The truth that Du Bois realizes, according to Byerman, is that there is a “Law of the Father,” which “challenges the corrupt father… By supplanting the father, the son can install an “empire” of reason, morality, and beauty to replace arbitrary power and self-interest” (Byerman, 7-8). On this reading, which is Platonic in many ways, truth, goodness, and beauty are ideal qualities by appeal to which Du Bois judges and condemns the corrupt world of racial inequality.

Overall, then, we can see that the general interpretation of Du Bois’ philosophy is contested ground, and that no clear-cut, agreed-upon definition of it emerges from the scholarship. Some Continental Philosophers have even identified Du Bois as Hegelian in a crucial respect (or at least as having “held out as ideal” one of Hegel’s main goals) (Higgins, 58). The point is made that, like Hegel, the Du Boisian self is also torn asunder, divided within itself, only to have to struggle to attain a higher synthesis of identity in a new formation. Materialist, Pragmatist, Critical Theorist, Platonist, Hegelian—Du Bois’ general philosophical orientation is far from having been finally determined.

3. Double Consciousness

Whatever turns out to be the best general account of Du Bois’ philosophy, it seems the significance of his thought only really shows up in the specific details of his works themselves, especially in The Souls of Black Folk. It is here that he first develops his central philosophical concept, the concept of double consciousness, and spells out its full implications.

The aim of Souls of Black Folk is to show the spirit of black people in the United States: to show their humanity and the predicament that has confronted their humanity. Du Bois asserts that “the color line” divides people in the States, causes massive harm to its inhabitants, and ruins its own pretensions to democracy. He shows, in particular, how a veil has come to be put over African-Americans, so that others do not see them as they are; African-Americans are obscured in America; they cannot be seen clearly, but only through the lens of race prejudice. African-Americans feel this alien perception upon them but at the same time feel themselves as themselves, as their own with their own legitimate feelings and traditions. This dual self-perception is known as “double consciousness.” Du Bois’ aim in Souls is to explain this concept in more specific detail and to show how it adversely affects African-Americans. In the background of Souls is always also the moral import of its message, to the effect that the insertion of a veil on human beings is wrong and must be condemned on the grounds that it divides what otherwise would be a unique and coherent identity. Souls thus aims to make the reader understand, in effect, that African-Americans have a distinct cultural identity, one that must be acknowledged, respected, and enabled to flourish.

Souls contains a Forethought, fourteen chapters, and an Afterthought. Each chapter is preceded by a bar of African-American spiritual music coupled with a poem.

The Forethought tells us the plan of the work: to present “the spiritual world in which ten thousand Americans live and strive” (Souls, v). Chapter 1, “Of Our Spiritual Strivings,” is perhaps the most important chapter of the book from a strictly philosophical perspective. Here Du Bois lays out the basic concept of double consciousness, while the remainder of the work provides concrete instances of the concept. The Afterthought, rich and powerful in poetic imagery, implores the reader not to let Du Bois’ “leaves” fail to take root: it is an impassioned call to action based on the book’s insights.

“An American, a Negro; two souls, two thoughts, two unreconciled strivings”—with these words from Chapter 1, Du Bois highlights the extreme tension involved in double consciousness (Souls, 2). Or, as he also expresses the point, “Why did God make me an outcast and a stranger in mine own house?” (Souls, 2). Double consciousness is the awareness of being a split person, a dual self whose different parts are at dire odds with one another. The American self in a person, such as America was then constituted, works against the Negro self; while the Negro self, resisting as it must such a constitution, works against the American self. In one person, therefore, we have two deeply divided tendencies.

Du Bois does not conceive this division to be a good thing; he conceives it, indeed, as positively unhealthy and problematic. He refers to it as “this waste of double aims, this seeking to satisfy two unreconciled ideals,” which “has wrought sad havoc with the courage and faith and deeds of ten thousand people” (Souls, 3). Not knowing which particular direction to turn, always fighting against oneself in either direction, what double consciousness prevents is the attainment of “self-conscious manhood,” a coherent sense of self and direction, the ability “to merge his double self into a better and truer self” (Souls, 2).

In Du Bois’ conception, the human self is thus capable of being cut or split, and at the same time capable of growing back together again and becoming, as he says, better and even more true. Of course, a truer self implies something like truth—and thus we can see that Du Bois holds to the idea of a more genuine ideal of a person, specifically of African-Americans. Du Bois’ idea is that African-Americans have in truth a unique, valuable identity but that current conditions keep this identity from forming or at least becoming fully active and available. We can see here, too, Du Bois’ famous call for allowing African-Americans to become genuine participants in American culture, “to be a co-worker in the kingdom of culture” (Souls, 3), in such a way that American culture could only benefit by the inclusion of its own genuine members. Du Bois does not wish to eliminate white American culture nor Negro culture in America. He wishes to fuse the two into a genuine new element, “in order that some day on American soil two world-races may give each to each those characteristics both so sadly lack” (Souls, 7). Through recognition of a place for African-Americans in American culture, Du Bois wishes to achieve a genuine American culture as well: “the ideal of human brotherhood, gained through the unifying ideal of Race” (Souls, 7).

In the remaining chapters of Souls, Du Bois provides some rather powerful (and tragic) instances of the struggles with dual selfhood that African-Americans have had to undergo. A key idea of Chapter 1 is to show what Reconstruction meant for African-Americans: the chance not only to be free, and educated, and to have the vote, but more importantly (as Du Bois argues it) to become whole human beings. Chapter 2 examines the aftermath of Reconstruction and shows how Reconstruction (in the form of the Freedmen’s Bureau) at first worked slowly toward, but then ultimately failed to achieve, this ideal. Chapter 3 continues to show how the ideal failed to develop by pointing to the slow and ineffective rise of leadership of African-Americans. It is in this chapter that Du Bois famously challenges Booker T. Washington for his call to lead blacks through industrial education without the inclusion of higher learning. How, Du Bois reasons, can African-Americans become “co-workers in the kingdom of culture” if they are only trained in the sterile practice of moneymaking? In Chapters 4 and 5, Du Bois takes his readers further into the idea of the veil, taking a look both inside it and outside in each chapter, respectively. By Chapter 6, we realize that the main problem in achieving coherent personhood for African-Americans is education. Chapters 7 and 8 outline the struggles that the masses of African-American workers, in particular, have undergone. Chapter 9 turns toward the present relations between African-Americans and white Americans. It focuses, in particular, on the manners and modes of segregation that keep the best of whites living apart from the best of African-Americans, thereby preventing a fruitful fusion of cultures. In Chapter 10, Du Bois purports to lift the veil, so that whites can see inside and especially appreciate the religious sense and striving of African Americans. He shows that the meaning of the religion is that it constitutes a special place where the kind of community and life for African-Americans can be attained that the white world denies them. Religion has had to become a refuge, but also at the same time a source of genuine freedom of expression and creativity. Chapter 11, which is very moving, recounts the birth (and loss) of Du Bois’ own son as an instance of his own struggle against white culture. Here Du Bois laments that his newborn, innocent son will soon have to cross into the color line of hateful American prejudice. Chapters 12 and 13 discuss the struggles that great African-American souls had to deal with to become more fully appreciated, including a narrative about a man named John who defended his sister against dishonor only to be met with horrible racism as a result. Chapter 14, the last chapter, closes with a rich discussion of African-American music in which Du Bois points to this music as an emblem of the possible brighter future in which African-Americans become co-workers in American culture. Such music is the symbol of this better future in which African-Americans contribute to the culture since it is, after all, he claims, the only genuinely beautiful music that has come out of America to date, and reveals what African-Americans can accomplish.

Thus, Du Bois provides us with multiple instances of double consciousness. In each case, African-Americans are shown to be struggling to achieve themselves, due to the enforced divisions and roadblocks of white culture. What Du Bois presents here are short, powerful looks at the struggle to be recognized as fully human, a struggle due to the horrible crime of racism. The concept of double consciousness plays itself out in a variety of ways—from the agonizing worry a father feels in raising his son in a white world to the failed policies of segregation and the creation of ghettos in American cities—always with the same devastating effect, the compromising of identity, and yet with a new identity that is forming and emerging. The African-American is forced to struggle to be him- or herself in America, Du Bois shows, but they have done so heroically and with deep humanity throughout their plight.

Some Du Bois interpreters (Higgins) have found parallels between Du Bois’ conception of double consciousness and Nietzsche’s conception of the free spirit, or the man who stands apart. The idea is that in both cases someone within the culture is at the same time able to stand outside of it. But as we have seen above, beyond this general notion, Du Bois clearly develops his concept of double consciousness in the context of African-Americans specifically. Nor does he favor this sense of division in the way that Nietzsche sometimes seems to do but rather he actively seeks to overcome it.

The overall implication of Souls is that such enforced separation of consciousness as occurs in the case of African-Americans is wrong; it violates something fundamental about the human condition, and it ruins our republic, by preventing us from forming the best use of our talents by drawing on the strengths of all races. We must work together to attain a greater sense of personhood for the members of our culture.

4. Second Sight

Du Bois’ other major philosophical concept is that of “second sight.” This is a concept he develops most precisely in Darkwater, a work, as we have seen, in which Du Bois changes his approach and takes up a stauncher stance against white culture.

Du Bois holds that due to their double consciousness, African-Americans possess a privileged epistemological perspective. Both inside the white world and outside of it, African-Americans are able to understand the white world, while yet perceiving it from a different perspective, namely that of an outsider as well.

The white person in America, by contrast, contains but a single consciousness and perspective, for he or she is a member of a dominant culture, with its own racial and cultural norms asserted as absolute. The white person looks out from themselves and sees only their own world reflected back upon them—a kind of blindness or singular sight possesses them. Luckily, as Du Bois makes clear, the dual perspective of African-Americans can be used to grasp the essence of whiteness and to expose it, in the multiple senses of the word “expose.” That is to say, second sight allows an African-American to bring the white view out into the open, to lay it bare, and to let it wither for the problematic and wrong-headed concept that it is. The destruction of “whiteness” in this way leaves whites open to the experience of African-Americans, as a privileged perspective, and hence it also leaves African-Americans with a breach in the culture through which they could enter with their legitimate, and legitimating, perspectives.

5. Critique of White Imperialism

In a particularly important essay of Dark Water, called “The Souls of White Folk,” Du Bois reveals some of the wisdom of his race’s privileged perspective. As Du Bois sees it, whites see themselves a certain way, namely as superior, civilized, perfect, beneficent, and called upon to help other peoples with their higher wisdom. But, in truth, as African-Americans can perceive quite plainly, whites are actually imperialistic, ugly, greedy, and corrupt in their practices. Whites are imprisoned in their own false self-conception. Their own seriousness with themselves contrasts sharply with the reality that African-Americans see. What they see, above all, is that white society consists not of higher wisdom but only of “mutilation and rape masquerading as culture” (Darkwater, 21).

Du Bois makes his claims more pointed and specific by noting that the concept of “whiteness” is what we might today call a social construct. It is a concept that developed in the late nineteenth century and in the twentieth century. Before that, various societies hardly made much of differences in skin color. What is significant about this fact is that it shows whiteness as a category to emerge simultaneously with the development of industrialism and its counterpart colonialism. Western peoples wanted the material resources of the third world, and so they invented the myth of their own superiority based on skin color, and the supposed inferiority of dark peoples, in order to assist them in their desire to steal.

Based on such maneuvers as these, the third world was conquered, dark peoples were murdered, raped, and exploited, and white culture became rich. This wealth and power in turn gave whites a sense of superiority. But this sense of superiority is undone by the tragic-comic self-conception whites have of themselves as superior simply because they are white, when in fact they are bound to a false, invented self-conception based on color, one that only serves to assist in murder and exploitation. The supposedly civilized concept of “whiteness” in truth sinks into barbarism and insatiable world conquest.

And it is this, precisely, that whites cannot see about themselves, but must learn to see, if the problem of the twentieth century, the problem of the color line, is to be overcome and the races are to create together a greater and truer democracy.

6. Later Marxism

Later in life, Du Bois turned to communism as the means to achieve equality. As he put it in his autobiography, “I now state my conclusion frankly and clearly: I believe in communism. I mean by communism, a planned way of life in the production of wealth and work designed for building a state whose object is the highest welfare of its people and not merely the profit of a part” (Autobiography, 57). Du Bois came to believe that the economic condition of Africans and African-Americans was one of the primary modes of their oppression, and that a more equitable distribution of wealth, as advanced by Marx, was the remedy to the situation.

Du Bois was not simply a follower of Marx, however. He also added keen insights to the communist tradition himself. One of his contributions is his insistence that communism contains no explicit means of liberating Africans and African-Americans, but that it ought to focus its attentions here and work toward this end. “The darker races,” to use Du Bois’ language, amount to the majority of the world’s proletariat. Without their liberation and motive force in the production of communism, it cannot be achieved. In Black Folk, Then and Now, Du Bois writes: “the dark workers of Asia, Africa, the islands of the sea, and South and Central America…these are the one who are supporting a superstructure of wealth, luxury, and extravagance. It is the rise of these people that is the rise of the world” (Black Folk, 383).

A further contribution Du Bois makes is to show how Utopian politics such as communism is possible in the first place. Building on Engle’s claim that freedom lies in the acknowledgment of necessity, as Maynard Solomon argues (Solomon, “Introduction” 258), (because in grasping necessity we accurately perceive what areas of life are open to free action), Du Bois insists on the power of dreams. Admitting our bound nature (bound to our bellies, bound to material conditions), even stressing it, he nonetheless emphasizes our range of powers within these constraints. In a lecture called “The Nature of Intellectual Freedom” that he delivered to the Cultural and Scientific Conference for World Peace in 1949, using language that anticipates Jean-Paul Sartre, Du Bois calls attention to “the upsurging emotions,” the mind’s ability to go beyond what is present (259). Also like Sartre, Du Bois attempts to employ this power behalf of socialism. As Du Bois sees it, the human mind has the ability to take flight into “infinite freedoms” (“The Nature,” 259). This “upsurging” ability of mind is vital to bringing about socialism, for it allows us to dream of what life and social conditions might be as compared to what they currently are (Solomon, “Introduction,” 258). If properly cultivated, it allows us to see beyond the supposed necessity of the capitalist system, which everywhere presents itself, falsely, as the only way. Imagination surpasses untruth.

There is, as Du Bois points out (“The Nature,” 260), and Solomon confirms (Solomon, “Introduction,” 258), a “borderland” region in which compulsion and freedom meet. We must gain food, seek shelter, and raise our children. Necessity and liberty meet each other half way in this region, each pulling in their own direction, yet oftentimes working together. Our leaders take advantage of this region. They enforce necessity to work hard and to work in order to eat—in order, ultimately, to stifle individual freedom and its meanderings, its free decisions; and they promote ignorance of conditions in order to make us more beholden to them. However, there is hope in the fact that freedom also operates in this border region and that our minds can shape a part of what occurs in this region. Socialism must focus here and nurture this hope. It must promote, above all, “the dreaming of dreams by untwisted souls,” that our dreams might someday lead to better realities (“The Nature,” 260).

7. Du Bois’ Significance Today

Although difficult to characterize in general terms, Du Bois’ philosophy amounts to a programmatic shift away from abstraction and toward engaged, social criticism. In affecting this change in philosophy, especially on behalf of African-Americans and pertaining to the issue of race, Du Bois adds concrete significance and urgent application to American Pragmatism, as Cornel West maintains, a philosophy that is about social criticism, not about grasping absolute timeless truth.

Du Bois’ work has also been essential for Africana Critical Theory, and has influenced a host of thinkers in this tradition, as Rabaka has shown. Authors have often compared Du Bois’ work to that of Frantz Fanon in its call to overcome global race prejudice and to liberate Africa. In addition, Du Bois’ philosophy was a focus point for some of the work of Dr. Martin Luther King, Jr., among many other thinkers, who praised it highly for its commitment to truth about African-American experience and history (Rabaka, 35).

Du Bois’ philosophy has also contributed significantly to critical race theory, especially his article, “The Conservation of Races,” in which Du Bois argues, echoing Souls, that there is some real meaning to race, even if it is difficult precisely to define (Conservation, 84-85). As Robert Bernasconi makes clear, Du Bois is a central figure in the debate about the nature of race because he has triggered an intense discussion about the extent to which there is a biological basis to race and the extent to which social and cultural features define race as well (“Introduction,” 1-2).

With his concept of second sight, and the privileged perspective of minorities, Du Bois also anticipates, if not single handedly creates, Standpoint Theory in epistemology, which holds that minorities are better equipped to gain knowledge about the world than members of the dominant culture. Du Bois’ social philosophy also adds an important element to Marxism by focusing on the racial elements of oppression and their function in relation to class warfare. Moreover, his philosophy also anticipates certain French Feminists, such as Luce Irigaray, who demonstrate how culture mirrors back to us the image of our selves to the detriment of minorities.

Above all, however, Du Bois’ philosophy is significant today because it addresses what many would argue is the real world problem of white domination. So long as racist white privilege exists, and suppresses the dreams and the freedoms of human beings, so long will Du Bois be relevant as a thinker, for he, more than almost any other, employed thought in the service of exposing this privilege, and worked to eliminate it in the service of a greater humanity.

8. References and Further Reading

  • Bernasconi, Robert. “Introduction,” in Race, ed. Robert Bernasconi (Oxford: Blackwell Publishers, 2001).
  • Byerman, Keith E. Seizing the Word: History, Art, and Self in the Work of W. E. B. Du Bois (Athens: University of Georgia Press, 1994).
  • Du Bois, W. E. B. Black Folk, Then and Now (Millwood, N.Y.: Kraus-Thomson Organization Limited, 1975).
  • Du Bois, W. E. B. Darkwater: Voices From Within the Veil (Mineola, N. Y. Dover Publications, 1999).
  • Du Bois, W. E. B. Dusk of Dawn: An Essay Toward an Autobiography of a Race Concept (New York: Schocken Books, 1968).
  • Du Bois, W. E. B. The Autobiography of W. E. B. Du Bois: A Soliloquy on Viewing My Life from the Last Decade of its First Century (New York: International Publishers, 1980).
  • Du Bois, W. E. B. “The Conservation of Races,” in Race, ed. Robert Bernasconi (Oxford: Blackwell Publishers, 2001).
  • Du Bois, W. E. B. “The Nature of Intellectual Freedom,” in Solomon, Maynard, ed., Marxism and Art: Essays Classic and Contemporary (New York: Alfred A. Knopf, 1973).
  • Du Bois, W. E. B. The Souls of Black Folk (New York: Dover Publications, 1994).
  • Du Bois, W. E. B. “The Talented Tenth.” 3/13/2006. <www.teachingamericanhistory.org/library/index.asp?documentprint=174>.
  • Harding, Sandra. The Feminist Standpoint Theory Reader: Intellectual and Political Controversies (London: Routledge, 2003).
  • Higgins, Kathleen. “Double Consciousness and Second Sight,” in Critical Affinities: Nietzsche and African American Thought, ed., Jacqueline Scott and A. Todd Franklin (Albany: State University of New York Press, 2006).
  • Holmes, Eugene C. “W. E. B. Du Bois: Philosopher,” in Black Titan: W. E. B. Du Bois (Boston: Beacon Press, 1970).
  • Hynes, Gerald C. “A Biographical Sketch of W. E. B. Du Bois.” 3/10/2006. http://www. Duboislc.org/html/DuBoisBio.html.
  • Irigaray, Luce. Speculum of the Other Woman. Trans. Gillian G. Gill (New York: Cornell University Press, 1974).
  • Lewis, David Levering. W. E. B. Du Bois: Biography of a Race: 1868-1919 (New York: Henry Holt, 1993).
  • Lewis, David Levering. W. E. B. Du Bois: The Fight for Equality and the American Century: 1919-1963 (New York: Henry Holt, 2000).
  • Marable, Manning, “Introduction,” Darkwater: Voices From Within the Veil. By W. E. B. Du Bois (Mineola, N. Y. Dover Publications, 1999), v-viii.
  • Marable, Manning. W.E.B. Du Bois: Black Radical Democrat (Boulder, Colorado: Paradigm Publishers, 2005).
  • Rabaka, Reiland. W. E. B. Du Bois and the Problems of the Twenty-First Century: An Essay on Africana Critical Theory (Lanham, MD.: Lexington Books, 2007).
  • Solomon, Maynard, “Introduction,” in Marxism and Art: Essays Classic and Contemporary, Ed., Maynard Solomon (New York: Alfred A. Knopf, 1973).
  • West, Cornel. The American Evasion of Philosophy: A Genealogy of Pragmatism (Madison, WI: The University of Wisconsin Press, 1989).

Author Information

Donald J. Morse
Email: dmorse@webster.edu
Webster University
U. S. A.

Moral Egalitarianism

Egalitarianism is the position that equality is central to justice. It is a prominent trend in social and political philosophy and has also become relevant in moral philosophy (moral egalitarianism) since the late twentieth century. In social and political philosophy, the main focus of the debate is on two different trends, the Equality-of-What trend and the Why-Equality trend. The authors of the older, first trend focused on the main question, what the goods of distribution are (resources, equality of opportunity for welfare, and so forth) and according to which standard one should distribute the goods. The question, in the late twentieth century is, whether equality is the most or one of the most important part(s) of justice or whether it has no or nearly no importance for the nature of justice at all. Egalitarians believe that justice and equality are closely connected; prioritarians, instead, emphasise that the two concepts are unrelated. This article gives an overview of the main arguments and objections in the Why-Equality debate. These are the by-product objection of equality, the objection of inhumanity, the objection of complexity, the argument of the presumption of equality, and the argument for a pluralistic egalitarianism.

Table of Contents

  1. Preliminary Distinctions
  2. On some Difficulties within the Why-Equality Debate
  3. Objections to Moral Egalitarianism
    1. The By-Product Objection of Equality
    2. The Objection of Inhumanity
      1. The Fault is-Up-to-Them Objection
      2. The Objection of Stigmatizing
      3. The Tutelage Objection
    3. The Objection of Complexity
  4. Two Egalitarian Arguments
    1. The Egalitarians’ Assumption of the Presumption of Equality
    2. Pluralistic Egalitarianism
  5. Reference and Further Reading

1. Preliminary Distinctions

Egalitarianism is the position that equality is central to justice. It is a prominent trend in social and political philosophy and has also become relevant in moral philosophy (moral egalitarianism) since the late twentieth century. The very question is, whether equality is the most or one of the most important part(s) of justice or whether it has no or nearly no importance for the nature of justice at all (‘Why-Equality’). Egalitarians believe that justice and equality are closely connected; prioritarians, instead, emphasise that both concepts are not related.

Egalitarians think, firstly, that unfair life prospects should be equalized. Secondly, that equality is the most or one of the most important irreducible intrinsic or constitutive worth(s) of justice. Thirdly, that welfare should be increased. Fourthly, that justice is comparative. Fifthly, that inequalities are just when otherwise advantages are destroyed in the name of justice. Lastly, that there are certain absolute humanitarian principles like autonomy, freedom or human dignity.

Prioritarians think, firstly, that equality itself cannot be a foundation of justice and that it is no important irreducible aim of justice, it has no intrinsic moral worth (Frankfurt 1997) and it has no or at least no fundamental importance with regard to the justification of justice, it is rather a by-product, although it has some importance as reducible worth (Raz 1986). Secondly, the fulfilment of absolute standards like human dignity, respect, or citizenship are of utmost importance to give people the opportunity to live a human being-worthy life and not a life in miserable circumstances (Walzer 1983; Raz 1986; Frankfurt 1997; Parfit 1998; Anderson 1999). Thirdly, people should have access to food and shelter, basic medical supply, or should have private and political autonomy, and so forth. Fourthly, equality has some importance (i) in being a by-product, or (ii) in being one part among other parts as a comparative factor, (for example, in equality before the law, concerning equal chances, or with regard to the prohibition of discrimination), or (iii) in being a precondition for the fulfilment of certain absolute standards like political autonomy, social affiliation, and liberty of exchange (Krebs 2000, 2003).

2. On some Difficulties within the Why-Equality Debate

The main question, whether egalitarianism or prioritarianism has the most plausible conception of the relation between justice and equality, has not been successfully answered, yet. There had been attacks from both sides, which show that they did not attack the strongest but a weak version of the opponents’ view. A second mistake is the fact that the notions of justice and equality are also discussed – to a great extent – under the heading of questions of distributions, although this had been the main point of the ‘Equality-of-What’ debate, for example, ‘equality of resources’ (Rawls 1971, 1993; Dworkin 1981; Rakowski 1991; van Parijs 1995), ‘equality of opportunity for welfare’ (Arneson 1989; Cohen 1989; Roemer 1996, 1998), or ‘equality of capability to function’ (Sen 1992). This is a misleading focus, especially if one wants to determine the relation between these two important notions with regard to the question of justification. Questions of distributions are just one part of the story. Thirdly, the two most extreme assumptions (i) justice is equality and (ii) justice has nothing to do with equality are unsound, since common sense can easily show that these assumptions are out of sight right from the beginning. The interesting and more appropriated ones are situated right in-between. Equality should not be discussed in socioeconomic circumstances only, but also in the moral and political realm.

3. Objections to Moral Egalitarianism

The main objections against the egalitarians made by the prioritarians are, firstly, the by-product objection of equality (Raz 1986; Frankfurt 1987, 1997; Parfit 1998), secondly, the objection of inhumanity (Anderson 1999) and, thirdly, the objection of complexity (Walzer 1983).

a. The By-Product Objection of Equality

Firstly, the egalitarian view that equality is the central aim or one of the most important aims of justice and should not be seen as a mere by-product had been a mayor point of criticism on the prioritarian side (Raz 1986: 218-221, 227-229; Frankfurt 1987: 32-34 and 1997: 7 and 11; Parfit 1998: 13-15). They think that equality is a mere by-product and it is due to absolute standards like human dignity or respect, and so forth, whereas egalitarian equality is due to relational standards.

Prioritarians argue that in cases of people’s hunger and illness or deficiency of goods they should be helped because hunger, illness, and deficiency of goods are terrible circumstances for every human being and not because other people are in a better condition. The hunger and illness of other people or the deficiency of goods directly put us in the situation to help these people without making any comparison between them and those people who are better off. Frankfurt says that substantial – and not formal – definitions certainly have genuine moral importance and that it depends on human beings who live a good life and not on how their life is with regard to other human beings’ lives (Frankfurt 1997: 6). It seems that prioritarians think that egalitarians worship equality for the sake of equality only. In cases of illness, hunger and deficiency of goods the role of equality is not that simple as prioritarians want to make other people believe. Their objection loses its power, if one acknowledges that people in cases of illness, hunger or deficiency of goods should be treated equally as human beings if they get supply, that means there is no primarily discrimination ongoing. Equality has many faces and impartiality is one of it. There is room for proportional equality in cases of, for instance, deficiency of goods. This is no contradiction within the egalitarian view – proportional equality is part of equality. The idea that equality always means arithmetical equality is not justified.

The second example is Parfit’s ‘levelling down objection’ (Parfit 1998: chapter 4). Given that inequalities as such are bad, their disappearance would be, in one respect, a change to something, which is better. If, says Parfit, the better off people lose all their additional resources by a natural disaster and thus are in the same terrible situation than the other people, it will be something that teleological egalitarians may welcome, though some people lost all of their additional resources and nobody else could profit. Or, in the famous example given by Parfit: ‘Similarly, it would be in one way an improvement if we destroyed the eyes of the sighted, not to benefit the blind, but only to make the sighted blind. These implications can be more plausibly regarded as monstrous, or absurd.’ (Parfit 1998: chapter 4). Parfit knows that this would be not enough to criticize the egalitarians by using this objection, ‘it is not enough to claim that it would be wrong to produce equality by levelling down.’ Therefore he states: ‘Our objection must be that, if we achieve equality by levelling down, there is nothing good about what we have done. Similarly, if some natural disaster makes everyone equally badly off, that is not in any way good news.’ (Parfit 1998: chapter 4). It seems Parfit is thinking of an opponent who does everything for his worshipping of equality – that is, equality for the sake of equality. Plain egalitarians claim that inequalities are justified, if the only means to remove inequality would be to ‘level down’ the better off people to the standard of the badly off people, without any improvement with regard to the badly off people. The destruction of advantages in the name of justice is also unacceptable on the egalitarian view. There is a lot of rhetoric in this kind of objection. Parfit makes a distinction between the teleological and the deontic egalitarianism in this passage. And it is only the teleological egalitarianism, in Parfit’s view, that is open for criticism. The deontic egalitarian, unlike the teleological egalitarian, has no problem with the view that inequality itself is not bad in a way. But, says Parfit, ‘we may find it harder to justify some of our beliefs’ when adopting the deontic view. A sound egalitarianism should incorporate teleological and deontic aspects.

b. The Objection of Inhumanity

The objection of inhumanity, which had been brought into the discussion by Anderson (1999) is one of the main arguments against egalitarianism. Anderson’s version of the argument has three different parts, firstly, the ‘fault is-up-to-them’ objection (Anderson 1999: 295-302; also Barry 1991: 149 and MacLeod 1998: 75p.), secondly, the objection of stigmatizing (Anderson 1999: 302-307; also MacLeod 1998: 106-108), and thirdly, the tutelage objection (Anderson 1999: 310; also Hayek 1960: 85-102).

i. The Fault is-Up-to-Them Objection

The first part is an objection against the (supposed) egalitarian view that people who are responsible for their own terrible situation should be left alone with their problems, no matter what happens to them. The second part is an objection against the kind of reasons egalitarians have in order to help people who are in a terrible situation, which did not arise through their own fault. The third part is an objection against the decision-making of the state – in which category a misery should be placed – and the investigation of the citizens in order to get the relevant information for the state. This would be, in Anderson’s view, a case of putting the citizens under the tutelage of the state and harming their private sphere.

Proponents of luck egalitarianism want to equalize undeserved life prospects, the people should be responsible for their decisions, that means, strictly speaking, they have no justified demands for supply, if they get into a miserable situation on their own fault. Anderson criticises Rakowski’s view (1991), who states that it would be all right to let a guilty car driver die in a hospital, who has no insurance and illegally made a turn over on the street which causes a serious accident. The guilty car driver, so Rakowski, has no legal demands to be kept on the artificial respiration apparatus, any longer. Others argue that society should help people no matter whether they caused their own disaster or not, they are human beings and this is the best reason to give them a helping hand if they lost the right track. This may be seen as a true milestone of the development in human history. To be part of a “real” community means to help those needy people. What about the idea of humanity and charity, the idea to show compassion with members of ones own community, or with the conception of beneficence? To neglect helpless people seems inappropriate for a community which is devoted to the idea of human flourishing – the basic concept of each sound community.

People who lived a jet-set life should not have a (legal) demand to live such a life again, if they caused a disaster and lost everything and the only way to be better off again would be to let society pay for it. This demand seems unsound but they should live a human being worthy life and society has to pay for it, no matter what the price is. And this account does not contradict with a sophisticated version of a pluralistic egalitarianism. On this point, Anderson cites Arneson who thinks that it might be unfair to make people responsible for their actions in all circumstances since responsible decisions are dependent on necessary capacities – foresight, steadfastness, ability to calculate, strong will, self-confidence – which are partly due to one’s genes or the luck to have good parents. Therefore, those people have a demand on a special paternalistic protection by society with regard to their own bad decisions. Arneson thinks that this could be financed by an obligatory social contribution of the people to a pension scheme. Others, so Anderson, hold the view that a strict compensation of welfare should also be modified by paternalistic intervention. That means only paternalistic reasons could make social contributions obligatory and could justify the distribution of a monthly guaranteed income. Anderson disputes the fact that luck egalitarians show the necessary respect for citizens since they state that people, who had hard luck by virtue of their own fault, ‘earn’ it. She seems to be on the wrong path when she criticises other egalitarians who want to help the badly off people by social insurances on paternalistic reasons. These paternalistic reasons – in order to justify obligatory social insurances – are, in her opinion, a sign of taking citizens to be silly and to be unable to organise their own lives. It is hard to see, so Anderson, how one can expect from citizens not to lose their self-esteem by accepting this kind of justification.

Amy Gutmann criticises Anderson on two points, firstly, she states that even egalitarians should be able to argue that there are special cases – like the guilty car driver case – which are so badly that these people should be helped, even if they got into the miserable situation on their own fault. Secondly, paternalism could be an honourable and compelling principle of legislation. Hence, it must not be humiliating for the state to make laws, for instance, on wearing safety belts, insofar the laws are due to a democratic process. Although Anderson shares the intention of these arguments, she states on the first point that the very idea to guarantee special kind of goods would contradict with the spirit of luck egalitarianism. It might be that this line of argument speaks against luck egalitarianism but not against a sophisticated version of a pluralistic egalitarianism. The safety belt case, so Anderson, is not a good example for restricting the citizen’s liberty with regard to cases in which their liberty is restricted to a great amount, like in cases of coercive partaking of social insurances. The society’s justification should be much stronger than the claim that society knows the citizen’s interests better than they do. There should be no problem for citizens to take part in a social insurance when it is reasonable for them. Under the ‘veil of ignorance,’ to take up Rawl’s famous thought-experiment, everybody would agree on a social insurance if the advantages, for instance not to die in a hospital by virtue of having no insurance at all, rule out the disadvantage of coercive partaking. It seems right that just a few people would like to live in a society where people have to die, because they have not got a social insurance, for whatever reasons. And, if the price for it is to take part in a social insurance, even if it is a liability, one should not hesitate to do so. But, if a person decided not to take part and she is the guilty car driver, she should be helped, no matter what the costs are. This is due to human dignity and there is no sound counterargument why pluralistic egalitarians should not be able to integrate this idea in their conception without losing their track. There is, of course, a practical necessity for every society not to pay for everyone; the social insurances of the state could only finance a limited number of people who do not have – for whatever reasons – a social insurance. Hence, it should be in everybody’s interest, in order to relieve society of high extra costs, to pay for one’s own social insurance. Therefore, it is in society’s interest – and this means in the end in the interest of everybody – to force the people by law to have their own social insurances. In this case, nothing speaks against being forced to one’s own luck.

ii. The Objection of Stigmatizing

The objection of stigmatizing is an objection against the kind of reasons egalitarians have in order to help people who are in terrible situations, which did not arise through their own fault (‘bad brute luck’), for instance, disabled people from birth, or people who became disabled by virtue of an illness or an accident, or people with (very) poor natural talents, and so forth. Anderson thinks, firstly, that there is no care for all badly off people, if one looks at the rules, which lay down who belongs to the ‘bad brute luck’ people, and secondly, the reasons to help the ‘bad brute luck’ people are discriminating for them. The reasons offered to distribute extra resources to handicapped people, so Anderson on the egalitarian view, are wrong because ‘[p]eople lay claim to the resources of egalitarian redistribution in virtue of their inferiority to others, not in virtue of their equality to others’ (Anderson 1999: 306). The principles of distribution are based on pity, which is in her view incompatible with the respect for human dignity. Her main question is, whether a theory of justice, which is based on contemptuous pity for the alleged beneficiaries, could serve egalitarian standards, that equal respect of each human being is the basis of justice. She comes to the conclusion that luck egalitarianism disregards the basic requirements, which every sound egalitarian theory should have.

One might argue that the concern of the ‘equality of fortune’-theorists is based on humanitarian compassion and not on contemptuous pity, but even than, so Anderson, one has to keep the distinctions between the two notions in mind: ‘Compassion is based on an awareness of suffering, an intrinsic condition of a person. Pity, by contrast, is aroused by a comparison of the observer’s condition with the condition of the object of pity’ (Anderson 1999: 306p.). In Anderson’s view, ‘compassion’ says that the person in question is badly off and ‘pity’ says that the person in question is worse off than oneself (‘she is sadly inferior to me’). Both can move one to help others, who are in need, ‘but only pity is condescending.’ But, even for the sake of argument, to take ‘humanitarian compassion’ as a starting point, this would be no sound basis for egalitarian principles of distribution, because compassion aims at relieving suffering and not equalizing it. She states, according to Raz (1986: 242), that once people are relieved of their suffering and neediness, compassion could not generate a further need of an equality of condition. The equality of fortune does not express compassion, it is not about the absolute misery of the person in question, it is about the gap between the best off and the worse off people. The better off people – who are guided by the considerations of luck egalitarianism – have a certain kind of feeling of superiority towards people, who are in need and, vice versa, the badly off people are envious and seek for an equal distribution of resources. Their criterion is an envy-free distribution (Anderson 1999: 306p.).

This may have some plausibility on the first sight, but a second glance shows that she mixed up two aspects, which should be sharply divided, the ‘factum’ of equality and the feeling of inferiority. In detail, her claim that pity is incompatible with human dignity is unsound and the only reason why this claim seems to be justified is that her notion of ‘pity’ is of a certain kind. Anderson’s definition of pity rests on her assumption that ‘pity’ is something that is due to a comparison between the conditions of the people involved and the feeling of those people, who help others who are in need, but, there is no necessity that those, who help others who are in need, have a certain kind of feeling, like, ‘she is really inferior to me’. It might be that some people feel like that, but most people would refuse this kind of talk. They would say that one has to help others who are in need because they are human beings, equal to me, and they did not deserve it to be left alone with their handicap. If one were one of them – one might argue – one would not like to be left alone, either. Anderson’s special definition is incompatible with human dignity, but there are other definitions. But even, so Anderson, if one agrees on humanitarian compassion as starting point for an egalitarian distribution, it would not be enough, since ‘compassion’ aims to ‘relieve suffering’ and not to ‘equalize’ it. According to the compassion view there is no ‘moral judgment on those who suffer’ (Anderson 1999: 307) and there is no further distribution in sight if the suffering of the people has been relieved. This is no objection against the compassion view at all. Firstly, there is no necessity to have a certain kind of feeling, like, ‘she is really inferior to me,’ and secondly, if disabled people are cured, there is no further reason to give them extra resources. They are in a good healthy condition again. Anderson’s main point is that luck egalitarianism claim that disabled people get extra resources by virtue of their inferiority and not by virtue of their equality to other people. One has to differentiate between i.) the improper special feeling of certain kind of people, who help others who are in need (‘she is really inferior to me’) and their motivation to help the needy people, and ii.) the ‘true’ reason why, for instance, disabled people should be treated equally and differently at the same time. Differently, because they get extra resources according to proportional equality, and equally, because they are human beings and should be treated morally equal, according to arithmetical equality. All versions of egalitarianism have one main aspect in common and it may be that Anderson overlooks this important aspect in her talk about what the reasons are to help people who are in need.

iii. The Tutelage Objection

The tutelage objection is against the decision-making of the state – in which category a misery should be placed – and the investigation of the citizens in order to get the relevant information for the state’s decision. This would be, in Anderson’s view, a case of putting the citizens under the tutelage of the state and harming their private sphere (Anderson 1999: 310; also Hayek 1960: 85-102). ‘Equality of fortune,’ so Anderson, says ‘that no one should suffer from undeserved misfortune’ (Anderson 1999: 310). But, in order to determine which people are allowed to get special treatment (res. extra resources) the state must make judgments on the people’s moral responsibility concerning their situation to brute or option luck. In citing Hayek (1960: 95-97) who states that ‘(…) in order to lay a claim to some important benefit, people are forced to obey other people’s judgments of what uses they should have made of their opportunities, rather than following their own judgments’ (Anderson 1999: 310) Anderson concludes that such a system would require the state to make ‘grossly intrusive, moralizing judgments of individual’s choices’ (Anderson 1999: 310). Hence, equality of fortune contradicts with citizen’s privacy and liberty. This is in Korsgaard’s view (1993: 61), on which Anderson is affirmatively referring to, a disrespectful behaviour of the state: ‘But it is disrespectful for the state to pass judgment on how much people are responsible for their expensive tastes or their imprudent choices’ (Anderson 1999: 310).

Her objection against the function of the state to decide which people are morally responsible for their situation according to brute or option luck seems plausible. For the sake of argument, let everybody agree on the point to help people, who suffer from undeserved misfortune. The very question is, then, how the state could organise a system, which treats everyone fairly and with respect. It is a practical necessity that the state decides which people get extra resources financed by the social community. And, it should be no problem to say that, if the state is spending public money, someone has to prove the legitimacy of requests. Therefore, the state needs information and this has nothing to do with harming the people’s liberty or private sphere. It is a hard thing to decide how far this gathering of information by the state should go, of course, no one would like to live in a state where Big Brother is watching you all the time, but one must acknowledge the simple fact that the state has to take precautions not to be deceived by social cheaters. If a person wants public money, she should better have a sound reason, if not, she might be a cheater. It is not about ‘expensive tastes’ or ‘imprudent choices’ (Korsgaard 1993), rather it is about the question if one suffers from undeserved misfortune or not. Anderson is right in stating that there are cases, which could be very complex and, for this reason, might ‘undermine’ the system of distribution. Life is not simple and one has also to cope with those extreme cases. But this special problem always appears according to penumbra cases, the only way out is trying to make well-informed decisions. Not to distribute extra resources to people, who are in need by virtue of undeserved misfortune, might be the wrong decision.

c. The Objection of Complexity

The objection of complexity, which had been brought into the discussion by Lucas (1965, 1977) and Rescher (1966), could also be found in the first chapter of Walzer’s book ‘Spheres of Justice. A Defence of Pluralism and Equality’ (1983: 3-30). His criticism is powerful and illuminating. The main point against egalitarianism is his assumption that the ‘spheres of justice’ are much more complicated than egalitarians believe. Their assumption that equality is the only – or most important – aim (res. principle) of justice is a false monism. There are, according to the prioritarians, other principles of distribution like the principle of merit or desert, the principle of efficiency, or the principle of qualification, and so forth. Nearly every sphere of conduct has special principles of distribution.

Not ‘all’ egalitarians pursue an improper account of egalitarianism. A sophisticated account of pluralistic egalitarianism is much more harder to attack as a simple travesty. Walzer’s ‘relevant reasons approach’ (or theory of ‘complex equality’) is very suitable with regard to different spheres of justice because his account considers special circumstances of the subjects in question. The main difference between his account and luck egalitarianism is, according to the ‘relevant reasons approach,’ that equality is only a by-product of the fulfilment of complex standards of justice and not the aim of justice. There seems to be no strong argument to support the extreme view, that egalitarianism is bound to the assumption that equality is the only aim of justice and not also a by-product; it just had been taken for granted since Feinberg’s famous paper ‘Noncomparative Justice’ (1974, for a critical discussion on Feinberg’s account, see Kane 1996: 380pp.). The objection of complexity tells us that there is no possibility for egalitarians to use different kinds of principles of distribution without losing their egalitarian track (for example, Krebs 2000: 28p.). This assumption seems to be wrong. Firstly, pluralistic egalitarians are not bound to one principle, only; they could also integrate other principles like the principle of autonomy, the principle of liberty and so on without betraying themselves. Secondly, the idea of equality is not restricted to a simple version of result equality (Gosepath 2003: 276), rather to a sophisticated version of proportional equality, which covers different kinds of principles. Hence, there seems to be a close connection to Walzer’s theory of ‘complex equality,’ although one would rather say that his theory is a non-egalitarian account.

4. Two Egalitarian Arguments

One of the main arguments with regard to the egalitarian view is the presumption of equality argument (Berlin 1955/56; Tugendhat 1997; Gosepath 2001) and the argument of pluralistic egalitarianism (Gordon 2006).

a. The Egalitarians’ Assumption of the Presumption of Equality

What about the egalitarians’ assumption of ‘the presumption of equality’? Isaiah Berlin stated in his famous paper ‘Equality as an Ideal’ (1955/56) that equality does not need any justification, but only inequality does. He gives the following example to make his assumption plausible: If someone has a cake and there are 10 people to be taken into account, than, there is no need of justification, automatically, if every person is getting a tenth part. But, if the distributor is not acting according to the principle of equal distribution, he has to give some special reasons for his decision.

Even if common sense justifies Berlin’s ‘argument,’ one has to take into account that the equal distribution – in the example given by Berlin – has no moral advantage with regard to the unequal distribution. Although Frankfurt hold the same view as Berlin does – that the cake should be divided into ten equal parts – he gives a different justification concerning this distribution. The important point is, so Frankfurt, that the distributor in this example has no special reasons to divide the cake in equal parts nor to divide the cake in unequal parts. In one word, he does not know, whether the people should be treated equally concerning a special respect, which could justify an equal distribution, or vice versa. The distributor has no relevant information at all. There are just few philosophers who give reasons why equality needs no justification, others – as Berlin does – take it for granted and/or call for common sense or intuitions. The famous German philosopher Ernst Tugendhat (1997) claims that only inequality needs special reasons. According to Tugendhat, egalitarianism in the strict sense is not about material equal distribution, but about the simple fact that all people have equal moral rights (5), albeit their empirical differences (10). Prioritarians think that there are good reasons to restrict equality (14). Egalitarianism and prioritarianism are not on the same level, since egalitarians – unlike prioritarians – claim for a special proposition. Prioritarians, so Tugendhat, are not bound to a special proposition; their accounts are unlimited concerning the variety of different ‘Konfigurationen,’ (that is the description of duties and rights of a certain moral community, Tugendhat 1997: 5) and hence, prioritarianism claims not for a certain proposition (11). This is the background, according to Tugendhat, for having the justified believe that there is a certain presumption of equality with regard to inequality in the moral realm, albeit this presumption is very ‘thin,’ but it doubtlessly exists (11). In more detail: Regarding an unequal distribution one gives always some reasons why the distribution should not be equal; one is not able to do so concerning an equal distribution (13, 14). If one accepts Tugendhat’s assumption that the primacy of equality is, lastly, due to the structure of moral justification – according to Tugendhat (1997), ‘moral justification’ means that it is an equal justification with respect to all people. The only case of a legitimate justification of inequality is the case, which could be justified with regard to all people (18). Every just distribution has to be equal, unless one is able to justify the reasons concerning the unequal distribution to all people (19) – and not due to a false understanding of an apriori or a dark notion of reason, one might come to the conclusion that his explication is sound. Of course, there are other accounts of philosophers (for example, Kant’s kingdom of ends, Bentham’s all count as one, Gewirth’s principle of generic consistency, or Boylan’s argument for the moral rights of basic goods), but Tugendhat’s account is by virtue of several reasons particularly interesting and illuminating: firstly, he states that egalitarianism is about moral rights in the strict sense of the notion, secondly, he argues that egalitarianism and prioritarianism are not on the same level, and thirdly, he holds the assumption that the primacy of equality is due to the structure of moral justification.

b. Pluralistic Egalitarianism

The extreme ‘egalitarian’ view that equality – in the special sense of comparative equality – is the only aim of justice is wrong, but the other extreme ‘prioritarian’ view that equality has nothing to do with justice is also wrong. The truth is somewhere in-between. There are, at least, four different aspects, which show that justice and equality are (closely) connected with each other: Firstly, according to prioritarians equality is important as a by-product for the fulfilment of absolute standards, for instance, human dignity. Secondly, relational (res. comparative) equality is one aspect of justice among others; one need relational equality in order to yield, for example, legal equality, equality of chances, or antidiscrimination laws. Thirdly, equality is indispensable in being a joint starting point with regard to political autonomy, social membership, or liberty of exchange because absolute standards presuppose that people’s life prospects are more or less the same. Fourthly, equality is (also) a result of political autonomy insofar as there seem to exist special cases according to which an equal distribution is rightly demanded (for example, the Norwegian public oil reserves).

It seems that the opposition between philosophers who are egalitarians and philosophers who are prioritarians according to Miller (1990) is a false one, and better be ‘understood as a debate about whether one particular kind of equality – economic equality, say – should be pursued or not’ (Miller 1997: 222). He may be right in stating that ‘there are two different kinds of valuable equality, one connected with justice, and the other standing independently’ (Miller 1997: 224). He suggests a so-called third way: ‘Equality of the first kind is distributive in nature. It specifies that benefits of a certain kind – rights, for instance – should be distributed equally, because justice requires this. The second kind of equality is not in this sense distributive. It does not specify directly any distribution of rights or resources. Instead it identifies a social ideal, the ideal of a society in which people regard and treat one another as equals, in other words a society that is not marked by status divisions such that one can place different people in hierarchically ranked categories, in different classes for instance. We can call this second kind of equality equality of status, or simply social equality.’ (Miller 1997: 224). Miller seems right in saying that the two different notions of equality are not closely enough separated in the debate. According to Nagel (1979: chapter 3-6) everybody think that moral equality – or mutatis mutandis ‘social equality’ in Miller’s words – is something all people acknowledge, but the crux is that the interpretations diverge, for instance, with regard to utilitarians (chapter 4), the position of individual rights (chapter 5), and egalitarians (chapter 6). A plausible social ethics, so Nagel, would be influenced by all three accounts (chapter 7). Miller’s assumption that social equality is something that is not part of justice seems premature. Tugendhat seems right in stating that egalitarianism in the strict sense is about moral rights, hence, social equality as such is one part of justice. If one restricts a person’s moral rights, one better give sound reasons why one does not treat her equally according to others, if one is not able to give a plain justification, one treats her unjustly. This has nothing to do with any kind of distributions, although Miller seems to hold the claim that moral rights could also be distributed. Some egalitarians cite Aristotle’s famous propositions that, firstly, it is just that equal people get equal shares and unequal people get unequal shares, and secondly, it is unjust that equal people get unequal shares and unequal people get equal shares (EN V, 6) to back up their main hypothesis that the presumption of equality follows directly from Aristotle’s account of formal equality. It is apparent that they did not analyse the whole context of these propositions. The argument of ‘the presumption of equality’ should not be based on this passage. Instead, the passage could be turned against the prioritarian view that egalitarians are bound to a form of result equality.

‘And the same equality will exist between the persons and between the things concerned; for as the latter – the things concerned – are related, so are the former; if they are not equal, they will not have what is equal, but this is the origin of quarrels and complaints – when either equals have and are awarded unequal shares, or unequals equal shares. Further, this is plain from the fact that awards should be according to merit; for all men agree that what is just in distribution must be according to merit in some sense, though they do not all specify the same sort of merit, but democrats identify it with the status of freeman, supporters of oligarchy with wealth (or with noble birth), and supporters of aristocracy with excellence.’ (Aristotle EN V, 6 1131a20-1131a29)

Aristotle states that there is always trouble if unequals get equal shares, that means, if equals get unequal shares or unequals get equal shares. But, there is no claim in the cited passage, which says that all people should be treated equally (presumption of equality), rather all people should be treated equally according to a special axia, namely the political virtue. According to Aristotle’s account of justice in Book V of the Nicomachean Ethics one has to acknowledge the fact that the proposition ‘equals should get equal shares’ is due to the principle of proportional equality (distributional justice), and should not be seen under the heading of ‘justice in exchanges’ (Aristotle EN V, 5 1131a) – where the principle of arithmetical equality exists – which is about justice concerned with exchanges according to reciprocity (EN V, 8) and retributive justice (EN V, 7). To put it in a nutshell, the formal principle of equality – equals should get equal shares or in a different formula equal cases should be treated equally – is empty, and the prioritarians, on the one hand, are right in saying that egalitarians are wrong in their assumption that the presumption of equality is due to this formal principle. Aristotle’s approach to fill it is his account of proportional equality. On the other hand, there is hardly any sound argument – with respect to the debate between egalitarians and prioritarians – that would claim for the special proposition that egalitarians are restricted to ‘result equality,’ and not also to ‘proportional equality’ within a sophisticated version of pluralistic egalitarianism (for example, Gosepath 2004). Some prioritarians forget the simple point that there are two ways of taking other people’s condition into account, firstly, by proportional equality, and secondly, by stipulating absolute standards of justice.

Equality as the only aim of justice or as a mere by-product of justice is an unhappy distinction to follow. Justice cannot be reduced to equality alone and the importance of equality is too great to be a mere appendage. The prioritarians are right in their criticism that it would be absurd to strive for equality for its own sake; but they forgot that hardly any sophisticated version of egalitarianism is doing so (or would do so). It seems unsound, when people hold the view that all human beings should be treated equally by virtue of the simple fact that the ideal of equality should be fulfilled for its own sake. Instead, the demand of treating people morally equal may give some hints for equal distributions in other spheres (see also Gosepath 2001). But, as Walzer nicely puts it, nearly each sphere needs its own standard, and therefore, it might be right not to choose between the egalitarian or prioritarian view but to combine both accounts. According to this, Gosepath (2001) suggests that proportional equality could be a good basis for a sound discussion between egalitarian and prioritarian theories of justice.

There is a close connection between justice and equality, firstly, a conceptual connection, and secondly, a normative connection. First, equality is a necessary condition for justice, since one is not able to give a full explication on the notion of justice without taking formal and proportional equality into account (see Aristotle EN V). The stipulation of absolute standards of justice, for instance human dignity, is something, which should be incorporated. But it should be clear that the stipulation of absolute standards is not enough, one should also take the egalitarian model into account. Second, in his famous example of a ruler who fries his subjects in oil and, afterwards, also fries himself Frankena (1962: 1 and 17) is stating that the ruler acts immorally but not against the ideal of equality. This is the reason why formal and proportional justices form a necessary but not a sufficient condition. The normative connection between justice and equality tries to solve this problem and acts as a shield against such and alike cases by providing a standard of normative constraints (for example, human rights).

5. Reference and Further Reading

  • Anderson, E. (1999): “What is the Point of Equality?,” in: Ethics, Vol. 109, 287-337.
  • Aristoteles (1990): Ethica Nicomachea, Bywater, I. (Ed.), Oxford: Oxford University Press.
  • Aristotle (1995): Nicomachean Ethics, Ross, W. D./ Urmson, J. O. (trans.), in: Barnes, J. (Ed.): The Complete Works of Aristotle, Vol. II., Princeton: University Press.
  • Arneson, R. (1989): “Equality and Equal Opportunity for Welfare,” in: Philosophical Studies, Vol. 56, 77-93.
  • Arneson, R. (2000): “Luck Egalitarianism and Prioritarianism,” in: Ethics, Vol. 110, 339-349.
  • Barry, B. (1991): Liberty and Justice, Oxford: Clarendon Press.
  • Bentham, J. (1996): “An Introduction to the Principles of Morals and Legislation,” in: Burns, J.H., Hart, H.L.A. (Ed.): The Collected Works of Jeremy Bentham, New York: Oxford University Press.
  • Berlin, I. (1955/56): “Equality as an Ideal,” in: Proceedings of the Aristotelian Society, Vol. 61, 301-326.
  • Boylan, M. (2004): A Just Society, Lanham: Rowman & Littlefield.
  • Cohen, G. (1989): “On the Currency of Egalitarian Justice,” in: Ethics, Vol. 99, 906-944.
  • Cupit, G. (2000): “The Basis of Equality,” in: The Journal of the Royal Institute of Philosophy, Vol. 75, 291, 105-125.
  • Dworkin, R. (1981): “What is Equality? Part 1: Equality of Welfare,” in: Philosophy and Public Affairs, Vol. 10, No. 3, 185-246.
  • Dworkin, R. (1981): “What is Equality? Part 2: Equality of Resources,” in: Philosophy and Public Affairs, Vol. 10, No. 4, 283-345.
  • Feinberg, J. (1963): “Justice and Personal Desert,” in: Friedrich, v./ Chapman, J. (Eds.): Justice, New York: Atherton, 69-97.
  • Feinberg, J. (1974): “Noncomparative Justice,” in: Philosophical Review, Vol. 83, No. 3, 297-338.
  • Frankena, W. (1962): “The Concept of Social Justice,” in: Brandt, R. (Ed.): Social Justice, Englewood Cliffs: Prentice Hall, 1-29.
  • Frankfurt, H. (1987): “Equality as a Moral Ideal,” in: Ethics, Vol. 98, 21-42.
  • Frankfurt, H. (1997): “Equality and Respect,” in: Social Research, Vol. 64, No. 1, 3-15.
  • Gewirth, A. (1981): Reason and Morality, Chicago: The University of Chicago Press.
  • Gordon, J.-S. (2006): “Justice or Equality?,” in: Journal for Business, Economics & Ethics, Vol. 7 (2), 183-201
  • Gosepath, S. (2001): “Über den Zusammenhang von Gerechtigkeit und Gleichheit,” in: Wingert, L./ Günther, G. (Eds.): Die Öffentlichkeit der Vernunft und die Vernunft der Öffentlichkeit. Festschrift für Jürgen Habermas, Frankfurt a. M.: Suhrkamp, 403-433.
  • Gosepath, S. (2003): “Verteidigung egalitärer Gerechtigkeit,” in: Deutsche Zeitschrift für Philosophie, Vol. 51, 275-297.
  • Gosepath, S. (2004): Gleiche Gerechtigkeit. Grundlagen eines liberalen Egalitarismus, Frankfurt a. M.: Suhrkamp.
  • Hayek, F. A. von (1960): The Constitution of Liberty, London: Routledge and Kegan Paul.
  • Kane, J. (1996): “Justice, Impartiality, and Equality. Why the Concept of Justice does not Presume Equality,” in: Political Theory, Vol. 24, No. 3, 375-393.
  • Kant, I. (1999): Grundlegung zur Metaphysik der Sitten, Hamburg: Meiner.
  • Korsgaard, C. (1993): “Commentary on G. A. Cohen and Amartya Sen,” in: Nussbaum, M./ Sen, A. (Eds.): The Quality of Life, Oxford: Clarendon Press, 54-61.
  • Krebs, A. (2000): “Einleitung,” in: Krebs, A. (Ed.): Gerechtigkeit oder Gleichheit. Texte der neuen Egalitariamuskritik, Frankfurt a. M.: Suhrkamp, 7-37.
  • Krebs, A. (2003): “Warum Gerechtigkeit nicht als Gleichheit zu begreifen ist,” in: Deutsche Zeitschrift für Philosophie, Vol. 51, 235-253.
  • Lucas, J. (1965): “Against Equality,” in: Philosophy, Vol. 40, 296-307.
  • Lucas, J. (1977): “Against Equality Again,” in: Philosophy, Vol. 52, 255-280.
  • MacLeod, C. (1998): Liberalism, Justice, and Markets, Oxford: Clarendon Press.
  • Mill, J. S. (1972): Utilitarianism, Acton, H. B. (Ed.), London: Dent.
  • Miller, D. (1990): “Equality,” in: Hunt, G. (Ed.): Philosophy and Politics, Cambridge: Cambridge University Press, 77-98.
  • Miller, D. (1997): “Equality and Justice,” in: Ratio: An International Journal of Analytic Philosophy, Vol. 10, No. 3, 222-237.
  • Nagel, T. (1979): “Equality,” in: Nagel, T. (Ed.): Mortal Questions, Cambridge: Cambridge University Press, 106-127.
  • Parijs, P. van (1991): “Why Surfers Should Be Fed: The Liberal Case for an Unconditional Basic Income,” in: Philosophy and Public Affairs, Vol. 20, 101-131.
  • Parijs, P. van (1995): Real Freedom for All. What (if Anything) Can Justify Capitalism?, Oxford: Oxford University Press.
  • Parfit, D. (1998): “Equality and Priority,” in: Mason, A. (Ed.): Ideals of Equality, Oxford: Basil Blackwell, 1-20.
  • Pufendorf, S. (1672/1934): De iure naturae et gentium libri octo, Oldfather, C H./ W. A. (transl.): The Law of Nature and Nations Eight Books, Vol. II., Oxford: Clarendon Press.
  • Rakowski, E. (1991): Equal Justice, Oxford: Oxford University Press.
  • Rawls, J. (1971): A Theory of Justice, Cambridge, Mass.: Harvard University Press.
  • Rawls, J. (1993): Political Liberalism, New York: Columbia University Press.
  • Raz, J. (1986): The Morality of Freedom, Oxford: Clarendon Press.
  • Rescher, N. (1966): Distributive Justice. A Constructive Critique of the Utilitarian Theory of Distribution, Indianapolis: The Bobbs-Merrill Company.
  • Roemer, J. (1992): “The Morality and Efficiency of Market Socialism,” in: Ethics, Vol. 102, 448- 464.
  • Roemer, J. (1996): Theories of Distributive Justice, Cambridge, Mass.: Harvard University Press.
  • Roemer, J. (1998): Equality of Opportunity, Cambridge: Harvard University Press.
  • Sen, A. (1992): Inequality Reexamined, Oxford: Clarendon Press.
  • Tugendhat, E. (1997): “Gleichheit und Universalität in der Moral,” in: Tugendhat, E. (Ed.): Moralbegründung und Gerechtigkeit, Münster: Lit, 3-28.
  • Walzer, M. (1983): Spheres of Justice. A Defence of Pluralism and Equality, Oxford: Basil Blackwell.

Author Information

John-Stewart Gordon
Email: john-stewart.gordon@rub.de
Ruhr-University Bochum
Germany

The Einstein-Podolsky-Rosen Argument and the Bell Inequalities

See the PDF Version.

Author Information

László E. Szabó
Email: leszabo@phil.elte.hu
Eötvös University
Hungary

Evidence

The concept of evidence is crucial to epistemology and the philosophy of science. In epistemology, evidence is often taken to be relevant to justified belief, where the latter, in turn, is typically thought to be necessary for knowledge. Arguably, then, an understanding of evidence is vital for appreciating the two dominant objects of epistemological concern, namely, knowledge and justified belief. In the philosophy of science, evidence is taken to be what confirms or refutes scientific theories, and thereby constitutes our grounds for rationally deciding between competing pictures of the world. In view of this, an understanding of evidence would be indispensable for comprehending the proper functioning of the scientific enterprise.

For these reasons and others, a philosophical appreciation of evidence becomes pressing. Section 1 examines what might be called the nature of evidence. It considers the theoretical roles that evidence plays, with a view towards determining what sort of entity evidence can be—an experience, a proposition, an object, and so on. In doing so, it also considers the extent to which evidence is implicated in justified belief (and by extension, knowledge, if knowledge requires justified belief). Then, section 2 considers the evidential relationship, or the relation between two things by virtue of which one counts as evidence for the other; and it explores the nature of their relationship, that is, whether the relationship is deductive, explanatory, or probabilistic. Finally, equipped with this theoretical background, section 3 looks at some of the important problems and paradoxes that have occupied those working in the theory of evidence.

Table of Contents

  1. The Nature of Evidence: What Is It and What Does It Do?
    1. Propositional Evidence in Explanatory, Probabilistic and Deductive Reasoning
    2. Can Experiences Be Evidence? The Regress Argument
    3. Evidence and Justified Belief: A Closer Look
  2. Theories of the Evidential Relation
    1. Probabilistic Theories
    2. Semi-Probabilistic Theories
    3. Qualitative Theories
      1. Hypothetico-Deductivism
      2. Evidence as a Positive Instance
      3. Bootstrapping
  3. Some Problems of Evidence
    1. The Ravens Paradox
      1. Hempel’s “Solution”
      2. A Bayesian Solution
      3. An Error-Statistical Solution
    2. The Grue Paradox
      1. Goodman’s Solution
      2. Achinstein’s Solution
    3. Underdetermination of Theory by Evidence
      1. Underdetermination and Holism: the Duhem-Quine Problem
      2. A Bootstrapping Solution
      3. A Bayesian Solution
  4. References and Further Reading

1. The Nature of Evidence: What Is It and What Does It Do?

When we think about examples of evidence from everyday life, we tend to think of evidence, in the first place, as consisting of an object or set of objects. Consider evidence that might be found at a crime scene: a gun, a bloody knife, a set of fingerprints, or hair, fiber or DNA samples. The same might be said of fossil evidence, or evidence in medicine, such as when an X-ray is evidence that a patient has a tumor, or koplic spots as evidence that a patient has measles. Yet we also consider such things as testimony and scientific studies to be evidence, examples difficult to classify as “objects” since they apparently involve linguistic entities. Possibilities proliferate when we turn to philosophical accounts of evidence, where we find more exotic views on what sort of thing evidence can be. In philosophy, evidence has been taken to consist of such things as experiences, propositions, observation-reports, mental states, states of affairs, and even physiological events, such as the stimulation of one’s sensory surfaces.

Can all of these count as evidence? Few would think so, and basic principles of parsimony seem to militate against it. But given all of the possibilities with which philosophy and everyday life present us, how would we go about making a decision? What kind of consideration could determine the sorts of entities that can count as evidence? A natural strategy to pursue would be to consider the role or function evidence plays in both philosophy and everyday life. That is, perhaps considering what evidence does affords the best clue to what evidence is.

a. Propositional Evidence in Explanatory, Probabilistic and Deductive Reasoning

One way to approach the matter is to consider the role of evidence in certain kinds of reasoning in which we engage. Recently, such a strategy has led Timothy Williamson to the conclusion that evidence must be propositional—that is, that it must consist in a proposition or set of propositions (Williamson 2000, pp. 194-200). Although Williamson declines to give any theoretical account of propositions, minimally we may take propositions to be the bearers of truth and falsity (what is true or false), the contents of assertions (what is said or asserted) and the objects of propositional attitudes (e.g. what is believed or known). More generally, propositions may be taken to be the referents of that-clauses: for instance, I believe or know that the house is on fire; it is true or false that the Orioles won last night; I said or asserted that Jones is a thief; and so on.

To begin with, Williamson points out that evidence is often featured in explanatory reasoning, in the sense that we tend to infer to the hypothesis that provides the best explanation of the evidence. Whatever else evidence may be, then, at the very least it is the kind of thing that hypotheses explain. But what hypotheses explain, Williamson contends, are propositions; we use hypotheses to explain why such-and-such is the case, and so what is explained—the evidence—is that such-and-such is the case. By contrast, it makes no sense whatsoever to explain an object; we cannot explain this knife, for example. What we might explain, however, is something true about this knife, such as that it is bloody. Here, the evidence would be that the knife is bloody—again, a proposition, not an object. Nor, on Williamson’s view, would it make sense to explain a sensory experience. The hypothesis that I have a cold does not explain the tickle in my throat, but would explain why I have a tickle in my throat. Again, what is explained—the evidence—is that I have a tickle in my throat, not the experience itself. Accordingly, if we consider the role of evidence in explanatory reasoning, it seems that evidence is propositional.

Additionally, Williamson claims that we use evidence to engage in explicitly probabilistic reasoning, where such reasoning may or may not be explanatory. For instance, we often compare the probabilities of competing hypotheses H and H’ on a common body of evidence, E. One way to do so would be to consider the ratio:

P(H)P(E/H)
P(H´)P(E/H´)

(In general, the symbols P(X/Y) mean the probability of X given Y). Here, we would compare the probability of the hypotheses, given the evidence, only by considering the probability of the evidence, given the hypotheses. It follows that evidence must be the sort of thing that can have a probability. But again, Williamson claims that what has a probability is a proposition; for example, it can only be probable or improbable that such-and-such is the case. Even when we speak loosely of the probability of an event, what we mean, says Williamson, is the probability that the event will occur. And surely, such things as objects or experiences cannot be probable or improbable, although it could be probable or improbable that I have an experience under certain conditions, or that an object has a certain property. So again, granted that we engage in probabilistic reasoning with evidence, the conclusion seems to be that evidence must be propositional.

Finally, Williamson points out that we often think of evidence as ruling out certain hypotheses. For instance, that I was in Cleveland at the time of the murder rules out the hypothesis that I was the murderer in Columbus. But evidence E rules out an hypothesis H only when the two are logically inconsistent; in particular, one must be able to deduce ~H from E. And, of course, the premises in a logical deduction consist of propositions—the sort of thing that can be true or false. Indeed, a valid deduction is one such that, if the premises are true, the conclusion must also be true.

Yet, one may well remain unconvinced by these arguments. For example, must the object of an explanation be a proposition, rather than, say, an event? When Newton offered an explanation for the action of the tides, one’s first thought is that he was out to explain a physical occurrence taking place on the surface of the earth, and not anything like the content of an assertion or the referent of a that-clause. Indeed, we might raise the same issue with Williamson’s claim about probabilities. There are well-known interpretations of probability according to which events and event-types have probabilities, and not propositions. For instance, on the standard frequency interpretation, a probability is the limit to the relative frequency of an event-type in a reference class; and on the propensity interpretation, a probability is the disposition of a system—such as an experimental arrangement— to yield a particular outcome, which is manifestly not a proposition. In defense of Williamson, however, his strategy is to consider the function of evidence in particular types of reasoning. And as he frequently points out, if one is to reason with one’s evidence, either probabilistically, deductively, or explanatorily, the evidence must be the sort of thing that one can grasp or understand, namely, a proposition. (It makes little sense to grasp an event, although we can grasp that an event took place). So, while there may be theories of probability or explanation whereby events are implicated, when we turn to explanatory, probabilistic or deductive reasoning with the evidence, we are arguably dealing only with what is propositional.

Whether or not we agree with Williamson, we shall see in the next section, where we consider the important role evidence plays—namely, as something that justifies belief—that we may have strong theoretical ground for accepting, contrary to Williamson, that experiences can also count as evidence.

b. Can Experiences Be Evidence? The Regress Argument

It seems almost a truism that whether a person’s belief is reasonable or unreasonable—justified or not—depends upon the evidence he possesses. For instance, if I believe that my wife is having an affair, but I have no evidence at all to think so, then such a belief seems patently unreasonable. Given my lack of evidence, I am not justified in holding the belief, and rationality would demand that I relinquish it. If, on the contrary, I have overwhelming evidence in support of my wife’s infidelity, but persist in believing that she is being faithful, then such a belief would be equally unreasonable. In this situation, the only belief I would be justified in having, in the light of my evidence, is that my wife is indeed having an affair. Arguably, then, there is another important role that evidence plays: evidence is that which justifies a person’s belief. We shall examine the matter in more detail below (§1c).

This being granted, suppose we were to accept, in addition, that evidence consists only in propositions, as was urged in §1a. If so, the natural conclusion would be that what justifies a subject’s belief are other propositions he believes (his evidence). More formally, we would say that, for any proposition p that a subject S believes at a time t, if S is justified in believing p at t, there must be at least one other proposition q that S believes at t, which counts as S’s evidence for p. But if this is so, it seems we should also require that S’s belief in q itself be justified; for if S is groundlessly assuming q, how could it justify his belief in p? Yet if S’s belief that q must be justified, then by the same reasoning S must possess evidence for q, consisting in yet another proposition r that S is justified in believing. And, of course, there shall have to be another proposition serving as S’s evidence for r. The question is: where, if at all, does this chain of justifications terminate? We refer to this as the epistemic regress problem. As we shall soon see, the regress problem may support the conclusion that experiences can count as evidence as well (see especially Audi 2003).

Now, granted that we cannot possibly entertain an infinite number of justifying propositions, one possible way out of the regress would be simply to reject an assumption used to generate it, namely, that only propositions a person believes can count as his evidence. If we reject this assumption, perhaps we can hold, on the one hand, that the regress does terminate in what S is justified in believing, but on the other, the evidence for these beliefs does not consist in other propositions he believes. And aren’t we perfectly familiar with such cases? Consider beliefs we have about our own perceptual experiences. I believe that I have a pain in my lower back. What justifies this belief is surely not some other belief I have, but simply my experience of pain in my lower back. Here, the belief is grounded directly in the perceptual experience itself, and not in any other proposition I believe. Or consider my belief that there is something yellow in my visual field. Again, what justifies this belief is not any other proposition I believe, but simply my experience of something yellow in my visual field. Moreover, the point arguably need not be limited to beliefs about our perceptual experiences (Audi, 2003; see also Pryor 2000). For example, suppose I hear thunder and a patter at my window, and come to believe that it is raining outside. That it is raining outside is not a belief about my perceptual experiences, yet seems to be grounded in them.

The idea, then, would be that the regress of justifications terminates in a body of beliefs grounded directly in the evidence of the senses, and not by any other beliefs that would themselves need to be justified. This maneuver would terminate the regress, precisely because—unlike a belief—it makes no sense to demand evidence for an experience. Indeed, how can I give evidence for a pain in my lower back? At the same time, experiences do seem to justify certain beliefs, ostensibly making this an ideal solution to the regress problem. It is worth noting that, since this view postulates a body of beliefs that ultimately support all other beliefs without resting on any beliefs themselves, it is an instance of a more general position on the structure of justification known as foundationalism.

While this line of thought may give some reason for accepting that experiences count as evidence, it still does not tell us anything about the particular relationship between experience and belief by virtue of which the former can constitute evidence for the latter. Indeed, if Williamson’s arguments from §1a are correct, we know that experience can neither stand in an explanatory, nor probabilistic or deductive relationship with a proposition believed. By virtue of what sort of relationship, then, can a subject’s experience count as evidence for what he believes? Donald Davidson (1990) has argued that experience can only stand in a causal relationship to belief. For example, my hearing thunder and a patter at the window merely causes me to believe that it is raining outside. For Davidson and others, this is the wrong sort of relationship to account for justification; what we need for the latter is not the sort of relationship in which billiard balls can stand, but the sort of relationship that propositions can stand—again, like an explanatory, probabilistic or deductive relationship. Accordingly, like Williamson, Davidson claims that only propositions a person believes can count as evidence for his other beliefs, and opts for a coherence theory of the structure of justification (and knowledge), rather than a foundationist theory.

Engaging further with Davidson’s claim would take us too far afield. For our purposes, it suffices to say that many philosophers still do think that experience can count as evidence. Indeed, some, such as John McDowell (1996), think that experiences have conceptual and even propositional content—we can see, hear, feel that such-and-such is the case—and thus that experiences can stand in rational relationships to beliefs, and not just causal ones. Part of the urgency for McDowell is that, in his view, the very survival of empiricism demands that experiences count as evidence; indeed, Davidson, who denies this, is perfectly happy to retire empiricism.

However, even those who deny that experiences count as evidence need not think that a person’s experiences are irrelevant to the evidence he possesses. For instance, Williamson entertains the possibility that there are some propositions that would not count as a person’s evidence unless he was undergoing some kind of experience. According to Williamson, in such a case, experience may be said to provide evidence, without constituting it. Whether this will be seen as sufficient to save empiricism depends, of course, on how one understands that doctrine.

c. Evidence And Justified Belief: A Closer Look

Recall that in order to start the regress in §1b, we assumed that evidence is that which justifies a person’s belief. This view can be generalized to cover all so-called doxastic or belief-involving attitudes—belief, disbelief, suspension of belief, and even partial belief. The idea would simply be that S’s doxastic attitude D toward a proposition p at a time t is epistemically justified at t, if and only if having D toward p fits the evidence S has at t. This view, known as evidentialism, makes justification turn entirely on the evidence a person possesses (Conee and Feldman, 2004). But is evidentialism inevitable? Is having evidence sufficient for justified belief? Is it even necessary?

Consider, first, whether possessing evidence is sufficient for justified belief. Some think that justified belief is essentially a deontological notion, involving the fulfillment of one’s duties or responsibilities as a believer. Hence, while having a belief that fits one’s evidence might be implicated in responsible belief, it seems that responsibility also requires making proper use of one’s evidence. For example, suppose I am justified in believing p, and that I am justified in believing that if p then q. Yet, I do not believe q on the basis of this evidence, but believe it simply because I like the way it sounds (Korblith, 1980). If I believe q on these grounds, I am arguably not justified in my belief, even though it “fits” my other beliefs; believing a proposition because of the way it sounds seems like a patently irresponsible and therefore unjustified belief, no matter what unused evidence for it I may possess. In defense of evidentialism here, Conee and Feldman appeal to the auxiliary notion of a well-founded belief: a belief that not only fits the evidence a person possesses, but is properly based upon it. Thus, in the above example, my belief in q is not well-founded, since I do not properly use my evidence, even though the belief is justified by the evidence I possess. This maneuver may do little, however, to placate those who take justified belief to be inextricably related to responsibility.

Perhaps a more pressing challenge to the evidentialist is whether evidence is even necessary for justified belief. Consider again believing a proposition because of the way it sounds. Intuitively, such a process or method of adopting beliefs is horribly unreliable; that is, one is not at all likely to arrive at true beliefs in this way. By contrast, consider the inference from “p” and “if p then q” to the conclusion “q. If the former two are true, then believing q on their bases is guaranteed to result in a true belief; indeed, sound deductive reasoning is the very paradigm of a reliable or truth-conducive process of inference. Accordingly, perhaps the central notion involved in justified belief is not the responsibility or possession of evidence per se, but how truth-conducive or reliable one’s belief-forming process or method is. If so, this opens up the possibility that there are instances of justified belief in which evidence is not implicated at all; for, while making proper use of one’s evidence is surely one way to form beliefs reliably, there is no reason to suspect that it is the only way to do so. Indeed, consider again beliefs formed on the basis of perceptual experience. Perhaps the reason why such beliefs are justified is not because experience is somehow evidence for such a belief; nor even because experience provides evidence for other propositions, as in Williamson’s view; but simply because forming beliefs via experience is generally a reliable or truth-conducive process of belief-formation. This view, which relates justified belief to the reliability of the process by which it is formed, is known as reliabilism (see especially Goldman, 1976, 1986).

It is far from clear, though, how far reliabilism can decouple justified belief from evidence (see Bonjour 1980, but also Brandom 2000). As the view has thus far been described, a belief can be justified even if one has no evidence whatsoever for believing that the process by which the belief is formed is reliable; all that matters is that the belief-forming process be reliable, not that the subject has any reason to think that it is. Indeed, reliabilism is typically thought to involve the thesis of epistemic externalism, or the thesis that one need have no access to or awareness of what makes one’s beliefs justified. With this in mind, consider the well-known case of the industrial chicken-sexer, who can reliably discriminate between male and female chickens without having any idea of how he does so. Suppose we take someone with that ability, but withhold from him whether he is successfully discriminating chickens by sex; that is, he not only has no idea how he reliably discriminates between chickens, but does not even know whether he does so. Would such a person really be justified in believing that a particular chicken is female, even though he hasn’t the slightest clue that he possesses the ability of the chicken sexer? What if we told him that he gets it wrong the majority of the time? Here, he would have evidence against his own reliability. Would he be justified then? Even reliabilists such as Alvin Goldman (1986) take heed here, requiring among other things that a believer must not possess evidence against the reliability of the belief-forming process. This, together with the notion that proper use of one’s evidence counts as a reliable process, ensures that the concept of evidence will not be utterly irrelevant to justified belief, even if we were to reject the strong thesis of evidentialism in favor of something like reliabilism.

Up to this point, we have merely been considering what might be called the nature of evidence: what it is and what it does. And although it has been suggested that evidence can stand in an explanatory, probabilistic, or deductive relationship with a proposition it supports, very little has been said about these relationships. That is, we have yet to consider any theories on the evidential relation, or the relation between two things by virtue of which one counts as evidence for or against the other. It is to this topic that we now turn.

In order to avoid biasing the question of what sort of entity evidence can be, where possible, I will simply refer to the evidence as “E” (although, if Williamson is correct, E will have to be a proposition in each of the theories we shall consider).

2. Theories of the Evidential Relation

A theory of the evidential-relation provides conditions necessary and sufficient for the truth of claims of the form

E is evidence for H.

Such a theory tells us, in philosophically enriched terms, what it is for something, E, to constitute evidence for a proposition or hypothesis, H. There are surely many ways to classify such theories, but one intuitive way to do so would be to divide them into probabilistic, semi-probabilistic, and non-probabilistic or qualitative theories; the first two types of theory feature probabilities at least somewhere in their accounts of evidence, while the latter type avoids reference to probabilities altogether. We will look at probabilistic and semi-probabilistic accounts first.

a. Probabilistic Theories of the Evidential Relation

The most widely accepted probabilistic account of evidence is the so-called increase-in-probability or positive- relevance account. The idea is simply that E is evidence for H if and only if E makes H more probable. In symbols, E is evidence for H if and only if

P(H/E) > P(H)

where this is to be interpreted as saying that the probability of H given E is greater than the probability of H alone. Along similar lines, we can say that E is evidence against H if and only if

P(H/E) < P(H).

Finally, we may say that E is neither evidence for, nor against, H iff

P(H/E) = P(H).

Of course, these definitions are purely formal, and will take on deeper philosophical significance if we interpret the concept of probability employed. Most prominently, subjective Bayesians interpret a probability as a rational subject’s degree of belief in a proposition at a given time t, where the only condition necessary for a subject to count as rational is that his degrees of belief conform to the axioms of the probability calculus. So, for example, where H and H´ are logically incompatible hypotheses, the degree to which a rational subject believes [H or H´] ought to be equal to the degree to which he believes H plus the degree to which he believes H´, since [P(H v H´) = P(H) + P(H´)] is an axiom of the probability calculus. With this interpretation of probability in mind, the positive-relevance definition of evidence says that E is evidence for H, for a rational subject S at a time t, if and only if E would make S believe H more, were he to learn that E is the case. Naturally, then, evidence against H would make a rational subject believe H less, and evidence that is neutral towards H would leave a rational subject’s degree of belief in H unchanged.

As intuitive as these definitions may seem, some think that these simple probabilistic definitions are subject to serious counterexamples, and either try to supplement the probabilistic definition with other concepts, such as explanation, or reject the quantitative approach altogether. Consider a simple counterexample to positive-relevance offered by Achinstein (1983, 2001), devised to show that a mere increase in probability is not sufficient for something to count as evidence. Let E = On Wednesday, Steve was doing training laps in the water; let H = On Wednesday, Steve drowned; and let our background information include that Steve is a member of the Olympic swimming team who was in fine shape Wednesday morning. Achinstein claims that E increases the probability of H over the probability of H alone; that is, swimming makes drowning more probable than when one is not swimming at all. According to the positive relevance definition, then, E ought to be evidence that H. But this is bizarre, for the mere fact that Steve—an Olympian—is doing training laps on Wednesday seems to provide no reason at all to believe that he drowned. Intuitively, the idea behind the counterexample is that positive-relevance is too weak to capture a notion of evidence; E can increase the probability of H without being evidence for it at all. (For responses to this and other counterexamples of Achinstein’s, see Kronz (1992), Maher (1996) and Roush (2005)).

Clark Glymour (1980) has offered a very widely discussed objection to positive-relevance, specifically under its subjective Bayesian interpretation, now known as the “problem of old evidence.” According to Bayesians, the first term in the positive-relevance definition, P(H/E), is to be determined by way of a theorem of the probability calculus known as Bayes’ theorem, which in its simplest formulation is:

P(H/E) = P(H) x P(E/H) / P(E)

With this in mind, Glymour points out that quite often scientists advance an hypothesis to explain “old evidence,” or some phenomenon that is already known to obtain. For example, one known phenomenon that Einstein’s general theory of relativity was advanced to explain was an anomaly in Mercury’s orbit, known as the anomalous advance of the perihelion of Mercury. In these cases, P(E) in the above theorem would equal 1; that is, since the phenomenon is already known to obtain, a rational subject would believe that E obtains with certainty. Assuming now that the theory (being an adequate explanation) entails the phenomenon, then P(E/H) above would be 1 as well. But note that if we plug these figures into the theorem above, the theorem simply reduces to: P(H/E) = P(H). According to our relevance definitions, then, old evidence could neither be evidence for, nor against, an hypothesis. But clearly old evidence can be evidence for, or against, an hypothesis, as was certainly the case with the anomaly in Mercury’s orbit: it was evidence for Einstein’s theory and evidence against Newton’s. Considerations such as these lead Glymour to eschew probabilities altogether in his own influential theory of evidence (see §2c below). (For a subjective Bayesian response to the problem of old evidence, see especially Howson and Urbach (1996)).

One might think that we can easily devise a probabilistic definition of evidence in order to circumvent these problems. Suppose, for example, we say that E is evidence for H, if and only if the probability of H given E is high (Carnap, 1950). Call this the high-probability definition of evidence. In symbols, E is evidence for H if and only if

P(H/E) > k

where k is some threshold of high probability. This would avoid Achinstein’s swimming counterexample, for while swimming does increase the probability of drowning, it does not render it high. Moreover, since it avoids making increase-and-decrease-in-probability a criterion of evidence, it would not face Glymour’s problem of old evidence. But suppose E = Jones has regularly taken his wife’s birth-control pills over the last year, and H = Jones has not become pregnant. Clearly, P(H/E) is as high as can be, but the fact that Jones has taken his wife’s birth-control pills is surely not evidence that he has not become pregnant. The problem, of course, is one of the evidence being relevant to the hypothesis, a problem that will surface again with other accounts of evidence, as we shall see below (§§2ci, 3c).

b. Semi-Probabilistic Theories of Evidence

While an elegant probabilistic definition of evidence may be desirable, these objections and others have suggested to some that such an account might be unattainable. However, not all philosophers who have been skeptical of a purely probabilistic approach have abandoned probabilities altogether.

Achinstein (1983, 2001), for example, accepts the high probability definition as a necessary but not sufficient component to an account of evidence. In order to secure relevance between the evidence and the hypothesis, Achinstein adds to the high-probability definition a requirement that there also be a high probability of an explanatory connection between E and H (given that E and H are true), where there is an explanatory connection between E and H if H correctly explains E, E correctly explains H, or some proposition correctly explains both of them. (Here, probabilities are not subjective degrees of belief, but are objective and have nothing to do with what any subject knows or believes). Obviously, this account avoids the birth control counterexample, precisely because there is no probability of an explanatory connection between Jones’ taking birth control and his failure to become pregnant; and it continues to avoid the swimming and the old evidence problems, for the same reason that the high probability account did on its own. Also, the account seems to yield a correct verdict in some cases. Suppose, for instance, that Jones’ wife is taking birth control pills and fails to become pregnant, but not because of her contraception, but because she is no longer fertile. On Achinstein’s view we can still say, as it seems we should, that her taking birth control pills provides evidence that she will not become pregnant, even though the pills are not the real explanation, since his view only requires there to be a high-probability of an explanatory connection, as there seems to be in this case.

One might think, though, that Achinstein has simply traded one somewhat manageable problem for two more difficult ones. For he is cashing out the evidential relation in terms of explanation and objective probability, two notions that are perhaps more in need of philosophical treatment than the evidential relation.

It should not be thought that one must employ either the positive-relevance or high-probability accounts in giving a theory of evidence. Deborah Mayo’s error-statistical account (1996) is an influential semi-probabilistic approach to evidence, that appeals to neither account. Mayo’ approach, like Achinstein’s and unlike positive relevance, is rather strong; her leading thought takes off from the Popperian intuition that “any support capable of carrying weight can only rest upon ingenious tests, undertaken with the aim of refuting our hypothesis.” Thus she proposes that E is evidence for H if and only if H passes what she calls a “severe test” with E, where H passes severe test T with E if and only if the following two conditions are satisfied:

  • E “agrees with” or “fits” H (which she leaves rather open-ended, provided that P(E/H) is not low)
  • There is a high probability that T would have produced a less fitting result than E, if H were false.

Consider a simple example. Suppose we give a patient a test T to test the hypothesis (H) that he has a disease D, and suppose (E) the test comes out positive. Suppose further that when a patient has D, T yields a positive result 95% of the time, and when the patient does not have D, T yields a negative result 99% of the time. Clearly, conditions (i) and (ii) are satisfied: E not only “fits” H, but T very probably would have yielded a less fitting (i.e. negative) result if H were false. Accordingly, since H passes a severe test T with E, E is quite strong error-statistical evidence that the patient has disease D. Intuitively, T is a very good test to use if we want to rule out that H is the case, and so a result of T that instead passes H is impressive evidence in its favor.

On the other hand, if we were to suppose that T yields false positives 95% of the time, the epistemic status of E would look quite different. While condition (i) is still satisfied, condition (ii) would not be: since the test almost as frequently produces false positives, there is a very low probability that T would have produced a less fitting result if the patient did not have D. Accordingly, T would not count as a severe test of our hypothesis H, and so E would fail to constitute error-statistical evidence for H.

Needless to say, the error-statistical approach has been adapted to cover much more complicated testing situations, and interested readers are invited to consult Mayo (1996). Another severe-testing account of evidence can be found in Giere (1983).

c. Qualitative Theories of the Evidential Relation

Not every approach to evidence has employed probabilities. In this section, we shall look at three of the better-known qualitative theories of evidence. In one way or another, these theories appeal only to deductive relationships between evidence and hypothesis.

i. Hypothetico-Deductivism

Perhaps the best-known non-quantitative approach to evidence would be hypothetico-deductivism, which is popularly thought to constitute the scientific method (see Braithwate in Achinstein (ed.), 1983 or Hempel, 1966). According to the simplest version of this approach, one invents an hypothesis and draws out its observational consequences. One then checks to see whether these consequences turn out to be true, and if so, one is said to have obtained evidence in favor of one’s hypothesis. If the consequence turns out to be false, then one has refuted one’s hypothesis. On this approach, then, evidence for an hypothesis is a true observational consequence of that hypothesis, while evidence against an hypothesis is a false observational consequence.

We consider two well-known objections to hypothetico-deductivism here and another one in §3c below. The first objection is the so-called irrelevant-conjunction objection. If an hypothesis H logically entails E, then so does the hypothesis H & H´, where H´ can be any hypothesis whatever. If E turns out to be true, then, according to this approach, it is evidence for both H and H´, which is unacceptable. The irrelevant conjunction objection shows, as we shall see again in §3c, that hypothetico-deductivism offers a much too indiscriminate an account of the evidential relationship. The second well-known objection to hypothetico-deductivism is the competing- hypothesis objection (see e.g. Mill, 1959). Suppose H entails a body of evidence E1…En, and suppose the evidence comes out true. Still, H is not the only hypothesis from which we can derive E1…En; in fact, there may be indefinitely many such hypotheses, even perhaps some that—as Mill puts it—”our minds are unfitted to conceive.” According to hypothetico-deductivism, then, E1…En would support those hypotheses equally well, and the evidence would never be sufficient to accept one hypothesis among the others. One common reply is that we ought to choose the simplest among the competing hypotheses. But first, this simply shifts the problem to defining simplicity, which has proved to be a difficult task; and second, there seems to be no reason to believe that the simpler theory is more likely to be true. These problems and others have led some philosophers to seek alternatives to hypothetico-deductivism, which we will now examine.

ii. Evidence as a Positive-Instance

One influential alternative to hypothetico-deductivism is offered by Carl Hempel (1965). On this approach, an observation-sentence E is evidence for a universal hypothesis H, just when E describes a positive instance of H—or as Hempel puts it, just when E says of the items mentioned within it what H says of all items. Intuitively, in such a case E would “instantiate” H, thus would be evidence for it. While this is hardly groundbreaking, what is novel about Hempel’s approach is that he marshaled the resources of basic predicate logic to give his account of a positive instance, thereby construing the evidential relation, like deduction, as being a syntactical relation obtaining between sentences. That is, on this approach E is evidence for H not by virtue of the specific sorts of objects E and H describe, but by virtue of the formal features of the manner in which they describe them.

For instance, suppose we are psychological researchers entertaining the “psychological hypothesis”, H, that everyone loves someone. The logical form of this hypothesis is ∀x ∃y Lxy. This simply says that, for anything x, there is some y such that x stands in relation L to y, which is a logical form shared with great many hypotheses (e.g. that everyone hates someone). Suppose further that we have observed in our psychological practice that person, a, loves himself, and that person b loves a. Again, on a purely formal level, our observation-sentence E would be “Laa & Lba“. This says that a stands in relation L to itself, and b stands in relation L to a (again, there are great many observation-sentences that would share this form). Now, to determine whether E describes an instance of H (and whether it is evidence for it), we introduce the notion of the development of H with respect to the individuals mentioned in E. Intuitively, the development of the hypothesis is simply what the hypothesis would assert if there existed only those individuals in E. Thus, purely formally, the development of H for the individuals in E is:

(Laa v Lab) & (Lbb v Lba)

With this in hand, Hempel claims that a statement is evidence for an hypothesis when it entails the hypothesis’ development. Now, since [Laa & Lba] does entail the above development, it follows that E is evidence for our hypothesis H; that is, the observation-report that person a loves himself and b loves a is evidence for the hypothesis that everyone loves someone. Since it is clear that the observation-report says of a and b what the hypothesis says of all individuals, Hempel has captured the notion of a positive instance using basic predicate logic. Moreover, since the criterion involves only the logical form of the evidence-statement and the hypothesis, any statements with those forms stands in the exact same evidential relation.

As ingenious as this may be, one obvious shortcoming of Hempel’s approach is that an observation sentence E can be evidence for an hypothesis H, only if E and H are formulated in the same vocabulary (in this case, both must employ the predicate “L”). Thus this approach cannot be used as a general theory of scientific evidence, since scientific hypotheses often employ theoretical predicates referring to unobservable entities and processes, while observation-sentences employ a strictly observational vocabulary. In the next section, we shall see that Clark Glymour—who, if you recall, raised “the problem of old evidence” against the Bayesians—developed his bootstrapping approach to evidence in part to remedy this shortcoming, while still adhering to Hempel’s basic idea that evidence is a positive instance of an hypothesis.

iii. Bootstrapping

The basic idea of Glymour’s bootstrapping theory (1975, 1980) is quite simple: to test an hypothesis in a theory consisting of several hypotheses, all of which contain theoretical terms, we can use those other hypotheses in the theory, together with observational evidence, to derive a positive instance of the hypothesis we are testing and obtain evidence for it. By repeating this process for each hypothesis in the theory, we can obtain evidence for (or against) the theory as a whole, even though the theory employs a theoretical vocabulary, while the evidence is couched in an observational one. In such a case, we are “pulling ourselves up by our own bootstraps”, in the sense that we are using certain bits of a theory to obtain evidence for other bits of the same theory, in the service of obtaining evidence for (or against) that theory as a whole.

To fill-in this abstract characterization, consider one of Glymour’s historical examples. Newton’s law of universal gravitation asserts that all bodies exert an inverse square attractive force upon one another. As evidence for this, he used Kepler’s laws of planetary motion. Yet none of Kepler’s laws contains the theoretical term “force”; they merely describe observable regularities in the planets’ orbits without offering any theoretical explanation for them. How, then, do we link the observable evidence—Kepler’s laws—to an hypothesis that contains the term “force”, so that the former can become evidentially relevant to the latter? The evidential link is supplied, of course, by other parts of Newton’s theory, namely his second law of motion relating the force on a body with the measurable quantities of mass and acceleration. Newton used the second law and the evidence of Kepler’s laws to derive instances of the law of universal gravitation for planets and their satellites. He eventually generalized this law to all bodies in the universe. Despite being the briefest sketch of Newton’s argument, this illustrates Glymour’s point: here Newton is using observational evidence and other hypotheses in a general theory under test to derive instances of—and thus evidence for—a particular hypothesis in that theory, even though the evidence and the hypothesis employ different vocabularies. This is precisely what Hempel’s instantial approach cannot achieve.

But the worry haunting Glymour’s approach, as might be expected, has surrounded the problem of circularity. A great deal of literature has been devoted by Glymour and others to deal with this and other issues (see Earman 1983).

This completes our survey of theories on the evidential relation. We have not covered all such theories, of course, but have aimed primarily at variety. In particular, we have examined theories that feature probabilistic, deductive and explanatory relationships between evidence and hypothesis. It is worth mentioning again that if Williamson is right, these theories would testify to the propositional nature of evidence.

Now that we are equipped with considerable background, in the remainder of this entry we shall consider some well-known problems and paradoxes in the theory of evidence.

3. Some Problems of Evidence

a. The Ravens Paradox

The famous ravens paradox was formulated by Carl Hempel in the very paper in which he set out his own instantial approach to evidence sketched in §2cii. The paradox arises by reflecting on the following three seemingly uncontestable assumptions.

  1. According to the first assumption, an instance provides evidence for a generalization. So, for example, if our generalization is “All ravens are black,” then an item that is both a raven and black provides at least some evidence for it. This certainly seems correct.
  2. According to the second assumption, an instance that is evidence for a generalization provides evidence for any generalization that is logically equivalent to it, that is, any sentence that is true and false in exactly the same circumstances. The idea behind this assumption is simply that logically equivalent sentences make essentially the same assertion couched in different words, and we cannot have differential confirmation of sentences based simply on the words they use. That seems correct as well.
  3. The third assumption is simply that “All ravens are black” is logically equivalent to “All non-black things are non-ravens,” since the latter is just the contra-positive of the former. This is just a matter of simple deductive logic.

The paradox, then, arises as follows. Since, for example a green book, is a non-black thing that is a non-raven, by assumption (1), it provides evidence that all non-black things are non-ravens. By assumption (2), the same green book provides evidence for any hypothesis logically equivalent to it, which, by assumption (3), means that it also provides evidence for the hypothesis that all ravens are black. In fact, most of the things in a room provide evidence for one’s ornithological hypothesis without one having to look at any birds or even leaving one’s apartment. The paradox, then, is that three ostensibly uncontestable assumptions lead to a consequence that seems intolerable.

i. Hempel’s “Solution”

Since Hempel was in the process of giving a positive-instance account of evidence when he presented the paradox, perhaps we should not be surprised that his own “solution” to the paradox was simply to accept it, arguing that its paradoxical air was a psychological illusion. The problem is that by picking some item or other in the apartment as an example, we antecedently know that it will be a non-raven, and so the outcome of the “observation” of the object seems irrelevant to the confirmation of the hypothesis. When we are then told that, in fact, the object does provide evidence for the hypothesis, this seems simply unacceptable. But suppose that all we knew was that were there is a non-black thing whose identity as a raven was still genuinely in question. In this case, finding that it is not a raven would, says Hempel, seem evidentially relevant to the hypothesis that all ravens are black. In both cases, the non-black non-raven object supplies evidence for the hypothesis, but whether this seems paradoxical or not depends upon what information we include or suppress in stating the example. Despite this, many have still found it intolerable that a green book could provide evidence that all ravens are black.

ii. A Bayesian Solution

Interestingly, Bayesians (see §2a) tend to agree with Hempel that a green book and a black raven each provide evidence for the hypothesis that all ravens are black. However, they mitigate this seemingly outlandish position by using Bayes’ theorem and the positive-relevance definition of evidence to show that one provides much stronger evidence than the other. Consider again the simple version of Bayes’ theorem, which according to Bayesians is the theorem by which we are to compute the conditional probability P(H/E):

P(H/E) = P(H) P(E/H) / P(E)

Now, it is easy to see from the theorem that as P(E) becomes larger, P(H/E) becomes smaller. If we interpret this in light of the positive relevance definition of evidence, this is to say that the more probable the evidence, the less it increases the probability of the hypothesis, and the weaker it is as a piece of evidence. Conversely, the less probable the evidence, the more it increases the probability of the hypothesis, and the stronger it is as a piece of evidence. This result is said by Bayesians to capture the allegedly intuitive notion that surprising evidence supports an hypothesis more. But note that, since there are vastly more non-black things in the universe than there are ravens, the probability of finding a non-black thing that is also a non-raven is far greater than that of finding a raven that is black. According to the theorem, then, finding a non-black, non-raven ought to increase the probability of H (that all ravens are black) much less than finding a black raven. Indeed, it ought to increase the probability of the hypothesis hardly at all, since P(E) should be close to 1. It follows that, while finding a black raven and a non-black non-raven both provide evidence for the hypothesis that all ravens are black, the latter provides much weaker evidence than the former. Indeed, since the latter affords such weak evidence, we would invariably overlook it as such, which may explain why it is so surprising to be told that (say) a green book does provide evidence that all ravens are black.

iii. An Error-Statistical Solution

Those who would regard as preposterous even the notion that a green book could supply extremely weak evidence that all ravens are black, may find some solace in an error-statistical solution to the ravens paradox. Again, to yield evidence for an hypothesis on this view, a testing procedure must severely test that hypothesis. With this in mind, it is not difficult to see that examining all non-black items in one’s apartment would fail to be a severe test of the hypothesis that all ravens are black. Again, appealing to Popper’s dictum, this would precisely not be “an ingenious test, undertaken with the aim of refuting our hypothesis.” For, while finding that all non-black items in one’s apartment are non-ravens may “agree with” the hypothesis that all ravens are black (thus satisfying Mayo’s requirement (i)), one would very probably not obtain a less fitting result from such a procedure if all ravens were not black (thus failing to satisfy requirement (ii)). That is to say, we can be certain that this test would yield the exact same results even if ravens were of a wide variety of colors.

It is important to note, though, that even finding very many black ravens may fail to provide evidence for the hypothesis on this approach. One’s testing procedure would have to ensure that one’s instances were sufficiently varied such that, if not all ravens were black, one would very probably turn up one of those non-black ravens. For example, one would at the very least have to select ravens from different locales and of different ages and sexes. In short, employing what one knows about the properties that make bird-coloration vary, one would have to do one’s best to obtain instances that would refute the hypothesis that all ravens are black in order for one’s results to count as evidence for that hypothesis.

b. The Grue Paradox

Another famous paradox haunting the positive-instance approach to evidence is Nelson Goodman’s grue paradox. Indeed, Goodman’s paradox is often thought to have put an end to purely formal approaches to evidence, such as Hempel’s, and is of tremendous historical significance.

Suppose that all emeralds examined so far have been green. Assuming again that an observed positive instance of an hypothesis provides evidence in support of it, then our observations of green emeralds provide evidence for the hypothesis that all emeralds are green. So far so good. But note that all emeralds examined so far have also been grue, where the predicate “grue” applies to all things observed before some future time t just in case they are green, or to things not so examined just in case they are blue. Again, under the assumption that an observed positive instance of an hypothesis provides evidence in support of it, our observations of grue emeralds have also supplied evidence that all emeralds are grue. Yet the two hypotheses are genuine rivals. For example, they make incompatible predictions: according to the green-hypothesis, the first emerald observed after t will be green, while according to the grue-hypothesis it will be grue (that is, blue). Thus, it seems our observations of emeralds provide no more evidence to believe that the first emerald observed after t will be green than to believe that it will grue (i.e. blue), which is intolerable.

Note that the point of the paradox is not to undermine our confidence that observations of instances can be evidence for a general proposition expressing a law or uniformity of nature. Rather, the paradox begins with that assumption, and asks the more penetrating question of which propositions are apt to express the laws or uniformities of nature, and thus which propositions are supported by observations of its instances (or which propositions are “projectable” in Goodman’s terminology). Ostensibly, both the green and the grue hypotheses are candidates here, since both assert that nature is uniform in a certain respect: one says that emeralds everywhere and throughout all time are green, while the other says they are grue. We of course believe that only the green-hypothesis is lawlike, and thus we believe only the green hypothesis can obtain support from the evidence; but the paradox demands that we give a reason for this bias.

i. Goodman’s Solution

Goodman’s own solution to his paradox is rather startling. Goodman thinks that the deep assumption generating the paradox is that an account of the evidential relationship ought to look no farther than the logical relationship between the evidence-statement and the hypothesis alone (think of Hempel’s account here). Thus, since the green and grue hypotheses both bear the exact same logical relationship to the evidence-statements—that is, since those statements simply describe observed positive instances of the hypotheses—both hypotheses are equally well supported by the evidence, which is intolerable. Hence, Goodman’s strategy involves rejecting the underlying assumption that the evidential relation is a purely logical one. While obviously the logical relation between evidence and hypothesis will be relevant to their evidential relation; there is no reason to think it is the only relevant factor. According to Goodman, our linguistic practices must also play a role. Very roughly, our observations of emeralds are evidence for the green hypothesis, and not the grue hypothesis, because “green” has been used much more frequently in hypotheses that have actually been accepted by us. On this view, the evidence supported by our observations depends in part upon how the world has heretofore been described in words. This, of course, leaves open the possibility that, had “grue” been the better-entrenched predicate, our observations would support the grue hypothesis instead.

ii. Achinstein’s Solution

Goodman’s solution seems rather shallow. It rests upon the obvious fact that we have accepted hypotheses involving the predicate “green” more frequently than those involving “grue”, without offering any rationale for our acceptance. Achinstein claims to be able to provide such a rationale with his own theory of evidence (see §2b). First, recall Achinstein requires that if E is to provide evidence for H, then the probability of H, given E, must be high. Next he requires that if observed instances are to bestow high probability on a universal hypothesis, and thus be evidence for it, the observed instances of the hypothesis must be sufficiently varied. In other words, if one’s instances are not varied, then it is hard to see how they can make the probability of a universal hypothesis high. Finally, note that grue is a disjunctive property; the predicate grue applies to two different kinds of cases, green objects observed before t or blue objects observed after t. Now, given that (1) evidence requires high probability, (2) high probability requires varied instances, and (3) grue applies to two different kinds of cases, it seems that our observed instances could never be evidence that all emeralds are grue, unless some instances of that hypothesis are of both kinds of cases. That is to say, the only way for observed emeralds to be sufficiently varied to provide evidence that all emeralds are grue, is if we examine some emeralds before t and find them to be green, and some after t and find them to be blue. Since one of the very conditions of the paradox is that we have not done so, our observations of emeralds could not provide evidence that all emeralds are grue. In general, the disjunctive nature of “grue”, and the consequent impossibility of obtaining sufficiently varied instances of grue items, explains why “grue” is not a well-entrenched predicate in our language—why we have not frequently accepted hypotheses featuring that predicate in the past. On the other hand, since “green” for us is not a disjunctive property, nothing prevents “green” from being the well-entrenched predicate that it is in our language, as Goodman observed.

c. Underdetermination of Theory by Evidence

There is no more pervasive problem in epistemology than the problem of underdetermination of theory by evidence. Consider, first, radical skepticism about the external world. Here, the skeptic proposes a seemingly far-fetched competing hypothesis to account for all the evidence that experience apparently provides about the mind-independent world. For example, perhaps I am merely a brain-in-a-vat, electrochemically stimulated by a supercomputer to have the very experiences I am having at this moment, or all the experiences I have ever had. This hypothesis is equally compatible with, and indeed entails, that I will have the very same experiential basis for belief that I would have if the world were as I have always believed it to be. Indeed, any test that I could perform to decide between the two competing hypotheses may simply be another set of experiences fed into my brain from the supercomputer. On what grounds, then, can I say that the hypothesis is “far-fetched”? Indeed, given all the evidence I will ever possess, the skeptic’s seemingly bizarre story appears just as likely to be true as my ordinary beliefs. Granted, I may prefer my ordinary beliefs out of familiarity, or even simplicity, but neither of these is a reason for believing that my ordinary beliefs are any more likely to be true; my preference would be just a baseless prejudice. Accordingly, all possible evidence I could have radically underdetermines which theory I ought to believe.

Other skeptical arguments, such as inductive skepticism and skepticism about other minds, are designed to establish the same conclusion. In the case of inductive skepticism, evidence from the past and present course of nature allegedly underdetermines the shape of the future course of nature. In the case of skepticism about other minds, evidence from what others say and do underdetermines not only what their mental life might be like, but also whether they even have a mental life. In both of these cases, the evidence stands in the exact same logical relationships to the skeptical hypotheses as they do to our favored ones. Accordingly, the evidence allegedly provides no justification whatsoever for preferring one hypothesis to the other.

But it’s not just skepticism that runs on underdetermination of theory by evidence. Indeed, the grue paradox from §3c above does so as well: none of our observations before time t favor the green hypothesis over the grue hypothesis. As we saw, the problem forced Goodman to turn to seemingly non-epistemic factors such as the sort of language we use. And there are problems of underdetermination  that are far less esoteric as well, such as the curve-fitting problem. Suppose we have a graph on which very many data points are plotted; for instance, suppose that the data points relate the pressure and volume of various samples of gas. Now, it turns out that there are infinitely many equations describing curves that can fit the evidence; in our case, this means that Boyle’s law of gases is merely one of an infinite number of equations that can fit the data. Moreover, it does not matter how many data points we add; while some curves will be ruled out with the addition of new evidence, there will always be an unending supply of equations that will fit. On what grounds, then, do we accept Boyle’s law? Once more, the idea is that the evidence itself does not determine which of the equations we ought to prefer.

In all of these cases, the evidence allegedly fails to provide any rational grounds for preferring one hypothesis over an indefinite number of competing hypotheses. To make a choice, we seem forced to prefer an hypothesis on non-evidential and therefore non-epistemic grounds. And this threatens to make a mockery of the very idea of evidence. For is evidence not supposed to help us determine what we ought to believe? If something can’t do this, with what right do we even speak of it as evidence?

These problems are far too numerous, and their solutions far too involved, for us to discuss here. We would do best to concentrate on a problem of underdetermination dealing with which the materials of the previous sections have equipped us. Hence, in the remainder of this entry, we shall concentrate on underdetermination as it relates specifically to thesis of evidential holism, or the thesis that evidence never bears on a proposition in isolation from other propositions we accept—and possibly all the propositions we accept. As we shall see, the theories of the evidential relation already on the table will not only help us set-up the problem, but also offer some solutions.

i. Underdetermination and Holism: The Duhem-Quine Problem

Uncovering the problem of holism and underdetermination is usually credited to Pierre Duhem, the late 19th and early 20th century French physicist, historian of physics, and philosopher of science. Duhem asks us to consider the hypothetico-deductive method of theory-testing, sketched in §2ci: again, from the proposition under test we derive an observable prediction; if the prediction comes out true, we are said to have evidence for the theory, while if not, we are said to have evidence against it. Yet Duhem explains that, while correct in outline, the account is much too simple: the scientist does not derive testable implications from the proposition alone, but from that proposition and “a whole group of theories accepted by him…” For example, in order to obtain any observable predictions from Newton’s laws of motion and gravitation with respect to our Solar System, we need take those laws in conjunction with a host of auxiliary hypotheses and assumed facts, such as that only gravitational forces act on planets; or assumptions about the relative masses of the planets, their satellites and the sun; or information about planetary velocities, which are, in turn, derived from instruments whose correct functioning is based on the employment of still other theories; and so on. Granted this, Duhem now asks us to suppose, as is often the case, that the prediction generated by this body of statements does not turn out true. Since no single hypothesis or theory entails the false prediction, but only a whole web of theory and alleged fact taken together, the evidence does not by itself indicate which member of that web is refuted; nature is silent with respect to where the blame lies. To put the point in starker terms, there simply is no fact of the matter with respect to which the evidence is evidence against, which is just to say that the evidence underdetermines which parts of the body are to be believed and which parts are not. This much being granted, the same should also go for evidence consistent with one’s theory: since in no case does that theory by itself entail a true observable prediction, there would simply be no fact of the matter with respect to which the evidence is evidence for. The conclusion, then, seems to be evidential holism: evidence never bears on a proposition in isolation, but only on a body of propositions taken as a whole.

Duhem thought that his problem could be solved by the “good sense” of the practicing physicist, but it was Quine who unleashed the problem of holism, by extending it beyond a theory and its auxiliary assumptions, to an entire body of statements we accept. Quine’s holism is intimately related to his rejection of the analytic-synthetic distinction in the philosophy of language. An analytic statement is one that is true solely by virtue of its meaning (such as all bachelors are unmarried), while a synthetic statement is one that is true or false by virtue of both its meaning and how things turn out in the world (such as all bachelors are less than five feet ten inches tall). Accordingly, while synthetic statements are accepted as true or rejected as false by virtue of what the world affords us in experience, analytic statements are accepted as true come what may in experience. Now Quine’s rejection of the analytic-synthetic distinction is far too involved to review here, and we only need concern ourselves with its outcome: if there is no distinction between a type of statement that is true in virtue of meaning and a type of statement that is true in virtue of how things turn out in the world, then, in principle, any statement can be accepted as true or rejected as false in the light of experience, and any statement can be held true come what may. The only constraints on what to accept or reject given the evidence of the senses are consistency with what else we accept, and pragmatic considerations such as conservatism and simplicity. Otherwise, the evidence so radically underdetermines our web of beliefs that there is an indefinite number of systems of the world that can be made to square with it. Accordingly, whichever picture of the world we choose is merely one of many, with no evidential basis to decide between them. No one puts the point better than Quine himself:

[It] becomes folly to seek a boundary between synthetic statements, which hold contingently on experience, and analytic statements, which hold come what may. Any statement can be held true come what may, if we make drastic enough adjustments elsewhere in the system… Conversely, by the same token, no statement is immune to revision. Revision of even the logical law of the excluded middle has been proposed as a means of simplifying quantum mechanics… The totality of our so-called knowledge or beliefs…is a man-made fabric which impinges on experience only along the edges. Or, to change the figure, total science is like a field of force whose boundary conditions are experience. A conflict with experience at the periphery occasions readjustments in the interior of the field. Truth-values have to be redistributed over some of our statements…But the total field is so underdetermined by its boundary conditions, experience, that there is much latitude of choice as to what statements to reevaluate in the light of any single experience. No particular experiences are linked with any particular statements in the interior of the field, except indirectly through considerations of equilibrium affecting the field as a whole….

ii. A Bootstrapping Solution

Glymour’s bootstrapping approach to evidence, if tenable, provides an ingenious response to the problem posed by Duhem and Quine, for it extracts a kernel of truth from the problem while rejecting what seems most pernicious about it. First of all, we are urged by Glymour not accept the problem, as Quine does, but instead take it as exposing the key weaknesses in the hypothetico-deductive account of evidence that generates it, namely, that such an approach makes the bearing of evidence on the theory unacceptably indiscriminate. Indeed, the irrelevant conjunction problem, as we saw in §2ci, reveals essentially the same flaw. Accordingly, far from accepting hypothetico-deductivism and the holism that comes along with it, we ought to reject the hypothetico-deductive approach on the bases that it fails to meet a crucial constraint on any acceptable theory of evidence, namely, how an observation or test can be relevant to one part of a theory while not to others.

Of course, the bootstrap approach is devised to satisfy exactly this very constraint. Again, according to this approach, we use other hypotheses in the general theory under test, together with observational data, to derive a confirming or disconfirming instance of a specific hypothesis in the theory; and we are enjoined to repeat the same process for the other individual hypotheses composing the theory itself. So while hypothetico-deductivism has the evidence entailed by a mass of theory, leaving underdetermination and holism as the inevitable consequences, bootstrapping has the evidence and a mass of theory entailing an instance of an hypothesis within it, which allows the evidence to bear specifically on a single hypothesis of interest. Hence, we can see that, contrary to holism, evidence does bear on specific parts of the theory, but, crucially, it does not do so in isolation from other parts of the theory. Thus, what is correct about holism is the notion that large parts of a theory must always be involved in theory-testing; what is not correct is to conclude from this, as Duhem and Quine do, that a piece of evidence does not bear on one part of the theory without bearing upon all of it. Of course, the plausibility of this solution can be no greater than the plausibility of the bootstrap approach as a whole, which as mentioned above, some have questioned.

iii. A Bayesian Solution

To consider a different sort of approach, subjective Bayesians (see §2a) use Bayes’ theorem, the positive/negative-relevance definition of evidence and their own subjective interpretation of probability, to illustrate how evidence can indeed single out one hypothesis among others for rejection. (Recall that, for the subjectivist, a probability is a rational subject’s degree of belief in a proposition at a given time). While these illustrations are too complicated to spell out in all their detail here, we will consider an abridged account of an illustration offered by Jon Dorling, employing a case from the 19th century physics. Our hypothesis H is Newton’s theory of motion and gravitation, and the auxiliary hypothesis A is the assumption that tidal effects do not influence secular lunar accelerations. We will suppose that H and A together entail the expected observed acceleration of the moon E´, but what is observed instead is the anomalous lunar acceleration E. Thus E tells us that H and A cannot both be true, but the problem, again, is that it seems to underdetermine which one of the two hypotheses we are to believe.

On the Bayesian view, what we need to consider are the separate effects wrought by E on the probabilities of H and A. Accordingly, the goal will be to compare P(H/E) and P(A/E), both of which can be conveniently calculated by means of Bayes’ theorem:

P(H/E) = P(H)P(E/H) / P(E)
P(A/E) = P(A)P(E/A) / P(E)

With this framework intact, we now need to assign a plausible probability distribution to the right-hand sides of these equations that would mirror the degrees of belief of a typical scientist at the time. Since the typical scientist had much confidence in both H and A, but somewhat less so in A, we can plausibly set P(H) to .9 and P(A) to .6. Next, we need to determine the so-called likelihoods, P(E/H) and P(E/A). Given some uncontroversial transformations, the details of which we will pass over here, it turns out that

P(E/H) = P(E/A & H)P(A) + P(E/~A & H)P(~A)
P(E/A) = P(E/A & H)P(H) + P(E/A & ~H)P(~H)

Now, since the obtaining of E refutes the conjunction of A&H, we already know that P(E/A&H) here would be 0. Thus the above reduce to:

P(E/H) = P(E/~A & H)P(~A)
P(E/A) = P(E/A & ~H)P(~H)

Since we already have P(A) and P(H), we can easily determine P(~A) and P(~H), which will be 0.4 and 0.1, respectively. So the object, now, is to determine P(E/~A & H) and P(E/A & ~H). It is plausible to suppose that, while scientists at the time would believe E to be highly unlikely given H and ~A (say, P(E/~A & H) = .05), it is clear that, given the wide acceptance of Newtonian theory at the time, they would take E to be virtually inexplicable if H were false. That is, the typical scientist at the time would be highly skeptical that there is a competitor to H that could account for E. Granted this, we can plausibly set P(E/A & ~H) to a very low .001. Plugging in our figures we obtain:

P(E/H) = P(E/~A & H)P(~A) = (.05) x (.4) = .02
P(E/A) = P(E/A & ~H)P(~H) = (.001) x (.1) = .0001

This gives us all the figures in the numerator of Bayes’ theorem. We still need to determine the denominator P(E). To expedite matters, we will simply suppose, as was surely the case, that our scientist believes E would be very unexpected, and will stipulate that P(E) ≈ 0.02.

Thus, we now have all of our figures to plug into the above Bayes’ theorem. Performing the calculations we find that P(H/E) ≈ .9, while P(A/E) ≈ .003. Accordingly, while the probability of Newton’s theory would be virtually unchanged given E, the probability of A given E is reduced to almost zero. But, according to the relevance definition of evidence, this means that E is very strong evidence against the auxiliary A, and not Newton’s theory. Clearly, then, it was the auxiliary A and not Newton’s theory that should have been—and was—discarded in light of E. Hence, what Bayesians offer is the machinery with which we can work out exactly how evidence bears on one hypothesis more than others. If this view is correct, the problem of holism and underdetermination would be resolved.

Some have questioned whether this constitutes a solution at all (Mayo 1996, Earman 1992). While we are certainly given probabilities that make the choice of hypothesis obvious, we are not told whether those corresponding degrees of belief would be warranted, and thus whether the choice to reject an auxiliary would be a good one. Indeed, the flexibility of subjective Bayesianism would allow a different probability distribution, according to which H rather than A would bear the brunt of the evidence. But if it would be acceptable to blame either A or H, it seems that, instead of a solution, we have a re-description of the problem—namely, which hypothesis do we reject in light of the evidence?

But for the subjective Bayesian, the objection is entirely specious. Such probability distributions would be warranted, so long as they conform to the axioms of the probability calculus. On the subjective Bayesian view, there is simply more than one rational perspective on a matter.

4. References and Further Reading

  • Achinstein, Peter (ed.) (1983) The Concept of Evidence (Oxford: Oxford University
    Press). 

    • A short collection of essential reading on the evidential relationship.
  • Achinstein, Peter (1995) “Are Empirical Evidence Claims A Priori?” British Journal for the Philosophy of Science 46: 447-73.
    • Discusses the question of whether claims to have evidence for an hypothesis are themselves empirical, or known by mere calculation or logic.
  • Achinstein, Peter (2001) The Book of Evidence (Oxford: Oxford University Press).
    • An extended presentation of Achinstein’s own account of evidence, as well as applications of that account to the paradoxes of grue and the ravens, and the issue of scientific realism.
  • Achinstein, Peter (ed.) (2005) Scientific Evidence: Philosophical Theories and Applications (Baltimore: Johns Hopkins University Press).
    • A collection of papers by various authors addressing Achinstein’s and other views of evidence (including the error-statistical view), along with several papers on the nature of evidence in particular sciences.
  • Audi, Robert (2003) “Contemporary Modest Foundationalism” in Louis J. Pojman (ed.) The Theory of Knowledge: Classical and Contemporary Readings. (Belmont, CA: Wadsworth).
    • Uses the epistemic regress argument to support a view of foundationalism on which experiences count as evidence. Very clear and accessible.
  • Bonjour, Lawrence (1980) “Externalist Theories of Empirical Knowledge” in P.A. French, T.E. Uehling, Jr., H.K. Wettstein (eds.) Minnesota Studies in Philosophy 5: Studies in Epistemology (Minneapolis: University of Minnesota Press).
    • Classic critique of externalist/reliabilist theories of epistemic justification, and whether one can have justified belief without evidence of one’s reliability, or with evidence against one’s reliability.
  • Brandom, Robert (2000) “Insights and Blindspots of Reliabilism” in Articulating Reasons: An Introduction to Inferentialism (Cambridge, MA: Harvard University Press).
    • Among other things, questions how far the notion of reliability can separate justification from reasons for belief or evidence.
  • Carnap, Rudolf (1950) The Logical Foundations of Probability (Chicago: University of
    Chicago Press). 

    • A quantitative approach to confirmation developing Carnap’s own logical or a priori theory to probability. Highly technical but very influential.
  • Conee, Earl and Feldman, Richard (2004) Evidentialism. (Oxford: Oxford University Press).
    • Collection of papers surrounding—and defending—the thesis of evidentialism. See especially the papers “Evidentialism”, “Having Evidence”, and “Internalism Defended”.
  • Davidson, Donald (1990) “A Coherence Theory of Truth and Knowledge” in A.R. Malachowski (ed.) Reading Rorty. Critical Responses to Philosophy and the Mirror of Nature (and Beyond) (Oxford: Blackwell Publishers).
    • An argument for various coherence theories, relating essentially to Davidson’s influential views in semantics.
  • Duhem, Pierre (1954) The Aim and Structure of Physical Theory, translated by P Wiener
    (New York: Athenium). 

    • Classic work in the philosophy of science presenting the problem of underdetermination, among many other important positions.
  • Dorling, Jon (1979) “Bayesian Personalism, the Methodology of Scientific Research Programmes, and Duhem’s Problem” in Studies in the History and Philosophy of Science 10: 177-87.
    • A Bayesian solution to the problem of underdetermination.
  • Earman, John (ed.) (1983) Testing Scientific Theories (Minneapolis: University of Minnesota Press).
    • Contains critical papers on bootstrapping. Highly technical.
  • Earman, John (1992) Bayes or Bust? (Cambridge, MA: MIT Press).
    • An assessment of Bayesian confirmation theory. Highly technical.
  • Giere, Ronald (1983) “Testing Theoretical Hypotheses” pp. 269-98 in J. Earman (ed.) Testing Scientific Theories: Minnesota Studies in the Philosophy of Science, Vol 10 (Minneapolis: University of Minnesota Press).
    • Presents a severe testing approach to evidence, somewhat similar to Mayo’s.
  • Glymour, Clark (1975) “Relevant Evidence” Journal of Philosophy 72 pp. 403-420.
    • A short presentation of Glymour’s bootstrapping approach to evidence.
  • Glymour, Clark (1980) Theory and Evidence (Princeton, NJ: Princeton University Press).
    • An in depth presentation of bootstrapping, as well as an evaluation of Bayesian, hypothetico-deductive and Hempel’s approaches, among others. Also presents the problem of old evidence. Technical in spots.
  • Goldman, Alvin I. (1976) “What is Justified Belief?” in G.S. Pappas (ed.) Justification and Knowledge (Dordrecht: D. Reidel).
    • A paradigm of a reliabilist theory of justified belief.
  • Goldman, Alvin I. (1986) Epistemology and Cognition. (Cambridge, MA: Harvard University Press).
  • Goodman, Nelson (1955) Fact, Fiction and Forecast (Cambridge, MA: Harvard University Press).
    • Classic presentation of the grue paradox, and Goodman’s solution.
  • Hacking, Ian (1975) The Emergence of Probability. (Cambridge: Cambridge University Press).
    • An historical account on the development of probability that contains an account of the history of the concept of inductive evidence.
  • Hempel, Carl G. (1965) Aspects of Scientific Explanation and Other Essays in the Philosophy of Science (New York: The Free Press).
    • Contains “Studies in the Logic of Confirmation”—the less technical presentation of Hempel’s positive-instance approach—as well as several other classic papers in the epistemology of science.
  • Hempel, Carl G. (1966) Philosophy of Natural Science (Upper Saddle River, NJ: Prentice Hall).
    • A classic introduction to the philosophy of science that contains a very clear description of hypothetico-deductivism.
  • Howson, Colin and Urbach, Peter (1996) Scientific Reasoning: The Bayesian Approach,
    3rd Edition (Chicago: Open Court). 

    • A comprehensive presentation of the subjective Bayesian approach to scientific reasoning. Contains Bayesian treatments of many of the important problems in the epistemology of science, including old evidence, grue, the ravens paradox and the Duhem-Quine problem.
  • Kornblith, Hilary (1980) “Beyond Foundationalism and the Coherence Theory”, Journal of Philosophy LXXII: 597-612.
    • Author criticizes foundationalism and coherence theory, arriving at a kind of reliabilist theory of justified belief that combines aspects of both, but which also involves the notion of responsibility.
  • Kronz, Frederick (1992) “Carnap and Achinstein on Evidence” in Philosophical Studies 67: 151-167.
    • Contains a reply to Achinstein’s objections to positive relevance.
  • Mayo, Deborah (1996) Error and the Growth of Experimental Knowledge (Chicago:
    University of Chicago Press). 

    • Mayo’s error-statistical approach to scientific reasoning. Technical in spots.
  • Maher, Patrick (1996) “Subjective and Objective Confirmation” in Philosophy of Science
    63: 149-174. 

    • Contains a defense of positive-relevance against Achinstein, as well as a presentation of the authors own objective theory of confirmation, in opposition to the subjective Bayesian view.
  • McDowell, John (1996) Mind and World. (Cambridge: Harvard University Press).
    • Provocative work in which the author navigates between the pitfalls of coherentism and traditional foundationalism, arguing among other things that experience contains propositional content, and thus can stand in rational relationship to belief. Not nearly as difficult or obscure as it often made out to be.
  • Mill, John Stuart (1888) A System of Logic. 8th ed. (New York: Harper and Brothers).
    • A classic work on inductive reasoning, among other things, presenting Mill’s criticisms of hypothetico-deductivism, as well as his contribution to his famous debate with 19th century hypothetico-deductivist William Whewell.
  • Nozick, Robert (1981) Philosophical Explanations, Oxford: Oxford University Press.
    • Contains Nozick’s “truth-tracking” account of evidence (and knowledge).
  • Pryor, James (2000) “The Skeptic and the Dogmatist”, Nous, 34, pp. 517-49.
    • Argues for a modest foundationalism about perceptual beliefs on which experience counts as evidence.
  • Quine, W. V. (1951) “Two Dogmas of Empiricism” in the Philosophical Review vol. 60.
    • Quine’s rejection of reductionism and the analytic-synthetic distinction, with its attendant holism.
  • Quine, W. V. (1992) The Pursuit of Truth. (Cambridge: Harvard University Press.
    • A compressed and accessible presentation of many of Quine’s philosophical views, with the first chapter devoted entirely to evidence.
  • Roush, Sherrilyn (2005) “Positive Relevance: a defense and challenge” in Scientific Evidence: Philosophical Theories and Applications, P. Achinstein ed. (Baltimore: Johns Hopkins University Press).
    • A paper co-written with Achinstein where Roush defends positive-relevance, and Achinstein attacks it once more.
  • Roush, Sherrilyn (2006) Tracking Truth: Knowledge, Evidence and Science (Oxford: Oxford University Press).
    • Updates Nozick’s truth-tracking account of evidence (and knowledge).
  • Snyder, Laura J (1994) “Is Evidence Historical?” reprinted in Philosophy of Science: The Central Issues, Curd and Cover (eds.) (New York: Norton).
    • A contribution to the debate over whether knowing about evidence prior to formulating a theory makes a difference to whether and to what extent the evidence supports the theory.
  • Stalker, Douglas, ed. (1994) Grue! The New Riddle of Induction (Princeton: Princeton University Press).
    • A large collection of papers on the grue paradox.
  • Williamson, Timothy (2000) Knowledge and its Limits (Oxford: Oxford University Press).
    • An important work in recent epistemology that contains chapters devoted especially to evidence. See especially chapters 8, 9 and 10.

Author Information

Victor DiFate
Email: vdifate1@jhu.edu
Johns Hopkins University
U. S. A.

Thomas Aquinas: Political Philosophy

aquinasThe political philosophy of Thomas Aquinas (1225-1274), along with the broader philosophical teaching of which it is part, stands at the crossroads between the Christian gospel and the Aristotelian political doctrine that was, in Aquinas’ time, newly discovered in the Western world. In fact, Aquinas’ whole developed system is often understood to be simply a modification of Aristotelian philosophy in light of the Christian gospel and with special emphasis upon those questions most relevant to Christianity, such as the nature of the divine, the human soul, and morality. This generalization would explain why Aquinas seems to eschew, even neglect, the subject of politics. Unlike his medieval Jewish and Islamic counterparts, Aquinas does not have to reconcile Aristotelianism with a concrete political and legal code specified in the sacred writings of his religion. As far as he is concerned, God no longer requires people to live according to the judicial precepts of the Old Law (Summa Theologiae [hereafter ST], I-II, 104.3), and so the question of formulating a comprehensive Christian political teaching that is faithful to biblical principles loses it urgency if not its very possibility. Unlike Judaism and Islam, Christianity does not involve specific requirements for conducting civil society. In fact, most Christians before Aquinas’ time (such as St. Augustine) had interpreted Jesus’ assertion that we should “render unto Caesar the things that are Caesar’s” (Matthew22:21) to mean that Christianity can flourish in any political regime so long as its authorities permit believers to “render unto God the things that are God’s.” Although Jesus claimed to be a king, he was quick to add that his kingdom was not of this world (John 18:36), and whereas St. Paul had exhorted Christians to obey the civil authorities and even to suffer injustice willingly, he never considered it necessary to discuss the nature of political justice itself.

These observations perhaps explain why Aquinas, whose writings nearly all come in the form of extremely well organized and systematic treatises, never completed a thematic discussion of politics. His letter On Kingship (written as a favor to the king of Cyprus) comes closest to fitting the description of a political treatise, and yet this brief and unfinished work hardly presents a comprehensive treatment of political philosophy. Even his commentary on Aristotle‘s Politics is less than half complete, and it is debatable whether this work is even intended to express Aquinas’ own political philosophy at all. This does not mean, however, that Aquinas was uninterested in political philosophy or that he simply relied on Aristotle to provide the missing political teaching that Christianity leaves out. Nor does it mean that Aquinas does not have a political teaching. Although it is not expressed in overtly political works, Aquinas’ thoughts on political philosophy may be found within treatises that contain discussions of issues with far reaching political implications. In his celebrated Summa Theologiae, for instance, Aquinas engages in long discussions of law, the virtue of justice, the common good, economics, and the basis of morality. Even though not presented in the context of a comprehensive political teaching, these texts provide a crucial insight into Aquinas’ understanding of politics and the place of political philosophy within his thought.

Table of Contents

  1. Natural Law
  2. The Political Nature of Man
  3. Human Legislation
  4. The Requirements of Justice
  5. The Limitations of Politics
  6. References and Further Reading
    1. Primary Sources
      1. Aquinas’ Political Writings in English
      2. Two Useful Collections of Aquinas’ Political Writings in English
    2. Secondary Sources
      1. Books
      2. Articles and Chapters

1. Natural Law

Aquinas’ celebrated doctrine of natural law no doubt plays a central role in his moral and political teaching. According to Aquinas, everything in the terrestrial world is created by God and endowed with a certain nature that defines what each sort of being is in its essence. A thing’s nature is detectable not only in its external appearance, but also and more importantly through the natural inclinations which guide it to behave in conformity with the particular nature it has. As Aquinas argues, God’s authorship and active role in prescribing and sustaining the various natures included in creation may rightfully be called a law. After defining law as “an ordinance of reason for the common good, made by someone who has care of the community, and promulgated.” (ST, I-II, 90.4), Aquinas explains that the entire universe is governed by the supreme lawgiver par excellence: “Granted that the world is ruled by Divine Providence…the whole community of the universe is governed by Divine Reason.” (ST, I-II, 91.1). Even though the world governed by God’s providence is temporal and limited, Aquinas calls the law that governs it the “eternal law.” Its eternal nature comes not from that to which it applies, but rather from whom the law is derived, namely, God. As Aquinas explains, “the very idea of the government of things in God the Ruler of the universe, has the nature of a law. And since Divine Reason’s conception of things is not subject to time but is eternal, according to Prov. viii, 23…this kind of law must be called eternal.” (Ibid.).

In the vast majority of cases, God governs his subjects through the eternal law without any possibility that that law might be disobeyed. This, of course, is because most beings in the universe (or at least in the natural world) do not possess the rational ability to act consciously in a way that is contrary to the eternal law implanted in them. Completely unique among natural things, however, are humans who, although completely subject to divine providence and the eternal law, possess the power of free choice and therefore have a radically different relation to that law. As Aquinas explains, “among all others, the rational creature is subject to Divine Providence in the most excellent way, in so far as it partakes of a share of providence, by being provident both for itself, and for others. Wherefore, it has a share of the Eternal Reason, whereby it has a natural inclination to its proper act and end.” (ST, I-II, 91.2). Because the rational creature’s relation to the eternal law is so different from that of any other created thing, Aquinas prefers to call the law that governs it by a different name. Instead of saying that humans are under the eternal law, therefore, he says they are under the natural law, and yet “the natural law is nothing else than the rational creature’s participation of the eternal law” (Ibid.). Another, equally accurate, way of stating Aquinas’ position is that the natural law is the eternal law as it applies to human beings.

As the “rule and measure” of human behavior, the natural law provides the only possible basis for morality and politics. Simply stated, the natural law guides human beings through their fundamental inclinations toward the natural perfection that God, the author of the natural law, intends for them. As we have seen, however, the human subjugation to the eternal law (called the natural law) is always concomitant with a certain awareness the human subject has of the law binding him. This awareness is crucial in Aquinas’ view. Since one of the essential components of law is to be promulgated, the natural law would lose its legal character if human beings did not have the principles of that law instilled in their minds (ST, I-II, 90.4 ad 1). For this reason Aquinas considers the natural law to be a habit, not in itself, but because the principles (or precepts) of the natural law are naturally held in our minds by means of an intellectual habit, which Aquinas calls synderesisSynderisis denotes a natural knowledge held by all people instructing them as to the fundamental moral requirements of their human nature. As Aquinas explains, just as speculative knowledge requires there to be certain principles from which one can draw further conclusions, so also practical and moral knowledge presupposes an understanding of fundamental practical precepts from which more concrete moral directives may be derived. Whereas Aquinas calls the habit by which human beings understand the first moral principles (which are also the first principles of the natural law) synderesis (ST, Ia, 79.12), he calls the act by which one applies that understanding to concrete situations conscience (ST, Ia, 79.13). Therefore, by means of synderesis a man would know that the act of adultery is morally wrong and contrary to the natural law. By an act of conscience he would reason that intercourse with this particular woman that is not his wife is an act of adultery and should therefore be avoided. Thus understood, the natural law includes principles that are universally accessible regardless of time, place, or culture. In Aquinas’ words, it is the same in all humans (ST, I-II, 94.4), unchangeable (ST, I-II, 94.5), and cannot be abolished from the hearts of men (ST, I-II, 94.6). It is in light of this teaching that Aquinas interprets St. Paul’s argument that the “Gentiles who have not the law do by nature what the law requires, they are a law to themselves, even though they do not have the law. They show that what the law requires is written on their hearts.” (Romans 2:14-16).

How are the precepts of the natural law derived? According to Aquinas, the very first precept is that “good is to be done and pursued and evil is to be avoided.” (ST, I-II, 94.2). As he explains, this principle serves the practical reason just as the principle of non-contradiction serves the speculative reason. Just as the speculative intellect naturally apprehends the fact that “the same thing cannot be affirmed and denied at the same time,” the practical intellect apprehends that good is to be pursued and evil is to be avoided. By definition, neither the first principle of speculative nor practical reason can be demonstrated. Rather, they are principles without which human reasoning cannot coherently draw any conclusions whatsoever. Otherwise stated, they are first principles inasmuch as they are not derived from any prior practical or speculative knowledge. Still, they are just as surely known as any other knowledge obtained through demonstrative reasoning. In fact, they are naturally known and self-evident for the very same reason that they are not subject to demonstration. This is important from Aquinas’ perspective because all practical knowledge (including the moral and political sciences) must rest upon certain principles before any valid conclusions are drawn. To return to the above example, a man who recognizes the evil of adultery will only know that this act of adultery must be avoided if he first understands the more fundamental precept that evil ought to be avoided in general. No one can prove this general principle to him. He simply understands it by the habit of synderesis.

Aquinas would be the first to recognize, of course, that the simple requirements of doing good and avoiding evil fail to provide human beings with much content for pursuing the moral life. How, one must ask, do we know what things actually are good and evil? In response to this Aquinas argues that human beings must consult their natural inclinations. Beyond the mere knowledge that good is to be pursued and evil avoided our natural inclinations are the most fundamental guide to understanding where the natural law is directing us. In other words, our natural inclinations reveal to us what the most fundamental human goods are. As Aquinas explains, man first has natural inclinations “in accordance with the nature he has in common with all substances…such as preserving human life and warding off its obstacles.” Secondly, there are inclinations we have in common with other animals, such as “sexual intercourse,” the “education of offspring and so forth.” And finally there are inclinations specific to man’s rational nature, such as the inclination to “know the truth about God,” to “shun ignorance,” and to “live in society.” (Ibid.). It may seem strange that Aquinas would list the pursuit of “sexual intercourse” as one of the natural inclinations supporting and defining the natural law. To be sure, Aquinas recognizes that all the aforementioned inclinations are subject to the corruption of our sinful nature. It is not morally good, therefore, simply to act on an inclination. One must first recognize the natural purpose of a given inclination and only act upon it insofar as that purpose is respected. This is why Aquinas is quick to add that all inclinations belong to the natural law only insofar as they are “ruled by reason.” (ST, I-II, 94.2, ad 2). As someone is inclined to sexual intercourse, for instance, he must also recognize that this natural good must be pursued only within a certain context (that is, within marriage, open to the possibility of procreation, etc.). If this natural order of reason is ignored, any natural good (even knowledge [ST, II-II, 167]) can be pursued in an inappropriate way that is actually contrary to the natural law.

2. The Political Nature of Man

As we have seen, Aquinas mentions that one of the natural goods to which human beings are inclined is “to live in society.” This remark presents the ideal point of departure for one of the most important teachings of Thomistic political philosophy, namely, the political nature of man. This doctrine is taken primarily from the first book of Aristotle’s Politics upon which Aquinas wrote an extensive commentary (although the commentary is only completed through book 3, chapter 8 of Aristotle’s Politics, Aquinas seems to have commented upon what he considered to be the Politics’ theoretical core.). Following “the Philosopher” Aquinas believes that political society (civitas) emerges from the needs and aspirations of human nature itself. Thus understood, it is not an invention of human ingenuity (as in the political teachings of modern social contract theorists) nor an artificial construction designed to make up for human nature’s shortcomings. It is, rather, a prompting of nature itself that sets humans apart from all other natural creatures. To be sure, political society is not simply given by nature. It is rather something to which human beings naturally aspire and which is necessary for the full perfection of their existence. The capacity for political society is not natural to man, therefore, in the same way as the five senses are natural. The naturalness of politics is more appropriately compared to the naturalness of moral virtue (Commentary on the Politics, Book 1, Lesson 1 [40]). Even though human beings are inclined to moral virtue, acquiring the virtues nonetheless requires both education and habituation. In the same way, even though human beings are inclined to live in political societies, such societies must still be established, built, and maintained by human industry. To be fully human is to live in political society, and Aquinas makes a great deal of Aristotle’s claim that one who is separated from society so as to be completely a-political must be either sub-human or super-human, either a “beast or a god.” (Aristotle’s Politics, 1253a27; Cf. Aquinas’Commentary, Book 1, Lesson 1 [39]).

Aquinas admits, of course, that political society is not the only natural community. The family is natural in perhaps an even stronger sense and is prior to political society. The priority of the family, however, is not a priority of importance, since politics aims at a higher and nobler good than the family. It is rather a priority of development. In other words, politics surpasses all other communities in dignity while at the same time depending upon and presupposing the family. On this point Aquinas follows Aristotle’s explanation of how political society develops from other lower societies including both the family and the village. The human family comes into existence from the nearly universal tendency of males and females joining together for purposes of procreation. Humans share with other animals (and even plants) a “natural appetite to leave after them another being like themselves,” (Commentary on the Politics, Book 1, Lesson 1 [18]) and immediately see the utility if not the necessity of both parents remaining available to provide for the needs of the children and one another. As families grow in size and number there also seems to be a tendency for them to gravitate towards one another and form villages. The reasons for this are primarily utilitarian. Whereas the household suffices for providing the daily necessities of life, the village is necessary for providing non-daily commodities (Commentary on the Politics, Book 1, Lesson 1 [27]). What Aquinas and Aristotle seem to have in mind in describing the emergence of the village is the division of labor. Whereas humans can reproduce and survive quite easily in families, life becomes much more productive and affluent when families come together in villages, since one man can now specialize in a certain task while fulfilling his family’s remaining material needs through barter and trade.

Despite the village’s usefulness to man, it nevertheless leaves him incomplete. This is partly because the village is still relatively small and so the effectiveness of the division of labor remains limited. Much more useful is the conglomeration of several villages, which provides a wider variety of commodities and specializations to be shared by means of exchange (Commentary on the Politics Book 1, Lesson 1 [31]). This is one reason why the village is eclipsed by political society, which proves much more useful to human beings because of its greater size and much more elaborate governmental structure. There is, however, a far more important reason why political society comes into existence. In addition to yielding greater protection and economic benefits, it also enhances the moral and intellectual lives of human beings. By identifying with a political community, human beings begin to see the world in broader terms than the mere satisfaction of their bodily desires and physical needs. Whereas the residents of the village better serve their individual interests, the goal of the political community becomes the good of the whole, or the common good, which Aquinas claims (following Aristotle) is “better and more divine than the good of the individual.” (Commentary on the Politics, Book 1, Lesson 1 [11]). The political community is thus understood as the first community (larger than the family) for which the individual makes great sacrifices, since it is not merely a larger cooperative venture for mutual economic benefit. It is, rather, the social setting in which man truly finds his highest natural fulfillment. In this sense, the political community, even though not directed to the individual good, better serves the individual by promoting a life of virtue in which human existence can be greatly ennobled. It is in this context that Aquinas argues (again following Aristotle) that although political society originally comes into being for the sake of living, it exists for the sake of “living well.” (Commentary on the Politics, Book 1, Lesson 1 [31]).

Aquinas takes Aristotle’s argument that political society transcends the village and completes human social existence to prove that the city is natural. Similar, but not identical, to this claim is Aquinas’ further assertion that man is by nature a “civic and social animal.” (ST, I-II, 72.4). To support this, Aquinas refers us to Aristotle’s observation that human beings are the only animals possessing the ability to exercise speech. Not to be confused with mere voice (vox), speech (loquutio) involves the communication of thoughts and concepts between persons (ST, I-II, 72.4). Whereas voice is found in many different animals that communicate their immediate desires and aversions to one another (seen in the dog’s bark and the lion’s roar) speech includes a conscious conception of what one is saying (Commentary on the Politics, Book 1, Lecture 1 [36]). By means of speech, therefore, human beings may collectively deliberate on core civic matters regarding “what is useful and what is harmful,” as well as “the just and the unjust.” (Commentary on the Politics, Book 1, Lecture 1 [37]). Whereas other animals exhibit a certain social tendency (as bees instinctively work to preserve their hive), only humans are social in the sense that they cooperate through speech to pursue a common understanding of justice, virtue, and the good. Since speech is the outward expression of his inner rationality, man is political by nature for the same reason he is naturally rational.

The fact that man is a naturally political animal has far-reaching implications. In addition to being a father, a mother, a farmer, or a teacher, a human being is more importantly identified as a citizen. Achieving genuine human excellence, therefore, most always means achieving excellence as a citizen of some political society (Aquinas does mention the possibility that someone’s supernatural calling may necessitate that they live outside of political society. As examples of such people, he mentions “John the Baptist and Blessed Anthony the hermit.” See his Commentary on the Politics, Book 1, Lecture 1 [35].). To be sure, the requirements of good citizenship vary from regime to regime, but more generally conceived the good citizen is the one that places the common good above his own private good and acts accordingly. In doing so, such a person exhibits the virtue of legal justice whereby all of his actions are referred in one way or another to the common good of his particular society (ST, II-II, 58.5). Following the progression of Aristotle’s discussion of citizenship, however, Aquinas recognizes a certain difficulty in assigning an unqualifiedly high value to citizenship. What sense does it make to speak of a good citizen in a bad regime? One does not need to consider the worst sorts of regimes to see the difficulty inherent in achieving good citizenship. In any regime that is less than perfect there always remains the possibility that promoting the interests of the regime and promoting the common good may not be the same. To be sure, good men are often called to stand up heroically against tyrants (ST, II-II, 42.2, ad 3), but the full potential of the good citizen will never be realized unless he lives in best of all possible regimes. In other words, only in the best regime do the good citizen and the good human being coincide (Commentary on the Politics, Book 3, Lecture 3 [366]). In fact, even the best regime will fall short of producing a multitude of good citizens, since no society exists where everyone is virtuous (Commentary on the Politics, Book 3, Lecture 3 [367]).

But what is the best regime? Following Aristotle, Aquinas argues that all regimes can be divided into six basic types, which are determined according to two criteria: how the regime is ruled and whether or not it is ruled justly (that is, for the common good). As he explains, political rule may be exercised by the multitude, by a select few, or by one person. If the regime is ruled justly, it is called a monarchy or kingship when ruled by one single individual, an aristocracy when ruled by a few, and a polity or republic when ruled by the multitude. If, on the other hand, a regime is ruled unjustly (that is, for the sake of the ruler(s) and not for the common weal), it is called a tyranny when ruled by one, an oligarchy when ruled by a few, and a democracy when ruled by the multitude (On Kingship, Book 1, Chapter 1;Commentary on the Politics, Book 3, Lecture 6 [393-394]). Simply Stated, the best regime is monarchy. Aquinas’ argument for this is drawn from a mixture of philosophical and theological observations. Inasmuch as the goal of any ruler should be the “unity of peace,” the regime is better governed by one person rather than by many. For this end is much more efficaciously secured by a single wise authority who is not burdened by having to deliberate with others who may be less wise and who may stand in the way of effective governance. As Aquinas observes in his letter On Kingship, any governing body comprised of many must always strive to act as one in order to move the regime closer to the intended goal. In this sense, therefore, the less perfect regimes tend to imitate monarchy in which unanimity of rule is realized at once and without obstruction (On Kingship, Book 1, Chapter 2). This conclusion is confirmed by the example of nature, which always “does what is best.” For the many powers of the human soul are governed by a single power, i.e., reason. A hive of bees is ruled by a single bee, i.e., the queen. And most convincingly of all, the universe is governed by the single authority of God, “Maker and Ruler of all things.” As art is called to imitate nature, human society is therefore best that is governed by a single authority of a eminently wise and just monarch who resembles God as much as humanly possible.

Aquinas is well aware, of course, that such a monarch is not always available in political societies, and even where he is available it is not always guaranteed that the conditions will be right to grant him the political authority he ought to wield. Even worse, there is always the danger that the monarch will be corrupted and become a tyrant. In this case the best of all regimes has the greatest tendency to become the worst. This is why, whereas monarchy is the best regime simply speaking, it is not always the best regime in a particular time and place, which is to say it is certainly not always the best possible regime. Therefore, Aquinas outlines in the Summa Theologiae a more modest proposal whereby political rule is somewhat decentralized. The regime that he recommends takes the positive dimensions of all three “good regimes.” Whereas it has a monarch at its head, it is also governed by “others” possessing a certain degree of authority who may advise the monarch while curbing any tyrannical tendencies he may have. Finally, Aquinas suggests that the entire multitude of citizens should be responsible for selecting the monarch and should all be candidates for political authority themselves. Whereas the best regime simply speaking is monarchy, the best possible regime seems to be the mixed government that incorporates the positive dimensions of monarchy, aristocracy, and democracy (In the Summa Theologiae, Aquinas appears to use the name of democracy in place of Aristotle’s conception of polity.). To support this conclusion, Aquinas is able to cite the Hebrew form of government established by God in the Old Testament. Whereas Moses (and his successors) ruled the Jews as a monarch, there also existed a council of seventy-two elders which provided “an element of aristocracy.” Inasmuch as the rulers were selected from among the people, this sacred regime of the Bible also incorporated a certain dimension of democracy (ST, I-II, 105.1).

3. Human Legislation

The fact that regimes may vary according to time and place is a perfect example of the fact that not every moral or political directive is specified by nature. In fact, Aquinas is eager to point out that the natural law, while providing the fundamental basis for human action and politics, fails to provide specific requirements for all the details of human social existence. For example, whereas the natural law does provide certain general standards of economic justice (which we shall consider later on), it does not give a preferred form of currency. There is no natural law that requires how often public roads should be repaired, or whether military service will be mandatory or voluntary. Whereas Aquinas argues that the natural law requires criminals to be punished for injustices such as murder, theft, and assault, there is no natural specification as to precisely what kinds of punishments ought to be imposed for these crimes. Even though, as Aquinas recognizes, these details do not pertain directly to whether a regime is good or bad, human social life would be impossible to maintain without attention to such detail. Such is the role, according to Aquinas, of human law (ST, I-II, 91.3).

This is not to suggest, of course, that human laws only concern those matters which may just as easily be decided one way or another. Within a particular socio-political context, it may indeed be a terrible mistake to make military service compulsory or in another context to punish treason with leniency, even though the natural law does not specify which situations call for which measures. Additionally, human law is necessary to enforce the moral and political requirements of the natural law that may go unheeded. Even though the precepts of the natural law are available to human reason when it considers matters rightly, not all human beings use their practical reason to its fullest capacity and some act maliciously even when they happen to know better. And because the natural law does not simply enforce itself, the basic requirements of justice must be bolstered by an organized and civilized human authority (ST, I-II, 95.1). Accordingly, human laws serve two purposes. First, they provide the missing details that the natural law leaves out due to its generality. Secondly, they compel those under the law to observe those standards of justice and morality even about which the natural law does specify. This second function of human law leads Aquinas to a crucial distinction. After asking whether human laws are derived from the natural law, he argues that, although all human laws are derived from the natural law in a certain sense, some are more directly derived than others. The distinction he invokes is that between human laws which constitute “conclusions” from principles of natural law and those which constitute “determinations” from the natural law. Human laws are considered conclusions from the natural law when they pertain to those matters about which the natural law offers a clear precept. To use Aquinas’ own example, “that one must not kill may be derived as a conclusion from the principle that one should do harm to no man.” (ST, I-II, 95.2). Thus, human laws must include prohibitions against murder, assault, and the like even though such actions are already prohibited by the natural law. At the same time, however, the natural law does not specify exactly how a murderer must be punished, whether (for example) by means of banishment, the death penalty, or imprisonment. Such details depend upon a number of factors that prudent legislators and judges must take into consideration apart from their understanding of the general principles of natural justice. According to Aquinas, those dictates of natural reason which human beings should recognize as directly pertaining to the natural law, and which are therefore common principles of human law in many different regimes, are embodied in something called the “law of nations” [ius gentium]. Strictly speaking, the law of nations is a human law derived as a set of conclusions from the natural law. On the other hand, the law of nations is not the law of any particular regime and for this reason is sometimes equated with the natural law itself. For Aquinas’ treatment of the law of nations (see ST, I-II, 95.4 and ST, II-II, 57.3). Such details are the bases of human laws that Aquinas calls determinations from the natural law. It is important to note that both conclusions and determinations are based on the natural law in some way, for the question of how a murderer or a thief ought to be punished would be meaningless without the more general requirement (found in the natural law itself) that injustice must be met with a punishment that in some way fits the crime. To consider the matter by way of analogy, we may take note of Aquinas’ own example in the Summa Theologiae. As he explains, legislators rely upon their understanding of the natural law in the same way that craftsmen must use the “general form of a house” before they build a particular house to which many architectural details may be added (ST, I-II, 95.2). To press the analogy further, just as all houses must be built according to certain general principles (e.g., all houses must have a roof, a foundation, windows, at least one door, etc.), so also all political regimes must enforce certain human laws as conclusions from the natural law (e.g., prohibitions against murder, theft, adultery, and assault). In the same way, just as a house under construction may exhibit a wide array of details not belonging to the “general form” of a house (e.g., some houses have a brick foundation and some are on a concrete slab, some are heated with oil and some with natural gas, etc.), so also political regimes may vary according to similarly non-essential details that Aquinas would call determinations of the natural law (e.g., determining specific punishments for specific crimes).

In Aquinas’ view, human laws are essential for the maintenance of any organized and civilized society. At the same time, however, Aquinas understands human laws to be somewhat limited in scope. Several passages in the Summa Theologiae testify to this, including Aquinas’ comparison between human law and divine law. As he explains, the very reason why divine law is necessary pertains directly to those areas where human law (and even natural law) fall short. The most obvious example of this is the simple fact that human laws may be in error. Regardless of whether they are intended to be conclusions or determinations of the natural law, human laws are made by fallible human beings and may often tend to hinder the common good rather than promote it. Secondly, Aquinas argues that, given certain circumstances, some human laws may simply fail to apply. This does not necessarily mean that such laws are unjust or even erroneously enacted. Aquinas suggests, rather, that there sometimes arise situations in which securing the common good requires actions that violate the letter of the law. For example, a law that requires the city gates to remain closed during certain times may need to be broken to allow citizens to enter as they are pursued by enemy forces (ST, I-II, 96.6; II-II, 120.1). Thirdly, Aquinas explains that human law is unable to direct the interior acts of a man’s soul. As a result, human law has a difficult time directing people toward the path of virtue, since genuine human goodness depends not only on external actions but upon interior movements of the soul, which are hidden. This is not to say that the coercive power of human law may not play some role in leading people to virtue, or even that virtue should not be an express goal of human law (that virtue is an express goal of human law, see ST, I-II, 92.1, 95.1.). It only means that the power of human law is limited by the fallible intellects of the human beings who enforce it and who only see a person’s external actions. Finally, human law is unable to “punish or forbid all evil deeds.” (ST, I-II, 91.4). By this Aquinas means that human laws must concentrate upon hindering those sorts of behaviors that are most damaging to the commonwealth. Aquinas elaborates upon this by saying that the political community would “do away with many good things” if it attempted to forbid all vices and punish every act that is judged to be immoral. Thus understood, human legislators must remember that most of their subjects need to be governed in relation to their limited capacity for virtue. As a result, “human laws do not forbid all vices, from which the virtuous abstain, but only the more grievous vices, from which it is possible for the majority to abstain; and chiefly those that are to the hurt of others, without the prohibition of which human society could not be maintained: thus human law prohibits murder, theft, and suchlike.” (ST, I-II, 96.2).

4. The Requirements of Justice

As we have seen, Aquinas’ argument for the necessity of human law includes the observation that some human beings require an additional coercive incentive to respect and promote the common good. By means of the law, those who show hostility to their fellow citizens are restrained from their evildoing through “force and fear,” and may even eventually come “to do willingly what hitherto they did from fear, and become virtuous.” (ST, I-II, 95.1). During this discussion, Aquinas mentions two specific dimensions of the common good that are of particular concern to human legislation. The first of these is “peace.” By this term (pax), Aquinas means something considerably more mundane than any sort of “inner peace” or spiritual tranquility that one finds as a result of moral or intellectual perfection. Instead, he seems to have in mind the requirements for maintaining a social order in which citizens are free from the aggression of wrongdoers and other preventable threats to safety or livelihood. In addition to preserving social order at its most basic level, however, Aquinas also makes clear in the above passage that human law should strive to instill “virtue,” and specifically that kind of virtue which has to do with the common good of society. In other words, human law is interested in instilling virtues insofar as those virtues perfect human beings in their dealings with fellow citizens and the broader community as a whole. Later in the Summa Theologiae, Aquinas calls this kind of virtue “legal justice.” (ST, II-II.58.5-6; Commentary on Aristotle’s Nicomachean Ethics, Book 5, Lecture 2).

According to Aquinas, legal justice is the political virtue par excellence. Contrary to what its name appears to signify, this virtue does not imply simple obedience to the law. It means, rather, an inner disposition of the human will by which those possessing it refer all their actions to the common good (Aquinas follows Aristotle in calling it “legal” justice because the law, too, has the common good as its proper object. See his Commentary on Aristotle’s Nicomachean Ethics, Book 5, Lecture 2 [902]). Thus understood, Aquinas (again following Aristotle) considers it to be a “general virtue.” By this he means that legal justice embraces any act of virtue whatsoever, so long as the agent refers his action to legal justice’s proper object. To use Aquinas’ example, fortitude is normally considered to be a virtue distinct from justice, since fortitude deals with the perfection of the irascible appetite and a person’s ability to overcome fear, whereas justice deals with the perfection of the will and a person’s dealings with others. However, a particular act of fortitude may be referred to the common good as its object and thus become an act of justice as well. For example, a soldier who rushes into battle displays fortitude by overcoming his fear of death, but he also displays justice if he is motivated by a love for the common good of the society he protects. Considered specifically, his action is courageous. Considered generally, it is an act of justice. As Aquinas explains, “the good of any virtue, whether such virtue direct man in relation to himself, or in relation to certain other individual persons, is referable to the common good, to which justice directs: so that all acts of virtue can pertain to justice, insofar as it directs man to the common good.” (ST, II-II, 58.5).

In addition to considering justice generally, however, Aquinas also considers it as a particular virtue of its own. This seems to explain why he mentions in a later discussion of human legislation that the law should promote justice in addition to peace and virtue (ST, I-II, 96.3). Regardless of the fact that justice is a virtue that legislators would like to instill within their citizens, the law also seeks to preserve justice as a certain kind of fairness. This becomes clearer when one considers Aquinas’ discussion of “right” (ius), which he characterizes as the object of justice considered as a particular virtue, and which must be safeguarded by the law regardless of whether legislators have succeeded in implanting the virtue of justice in the souls of their citizens. Strictly speaking, ius is understood by Aquinas as synonymous withiustum, or that which is just in a particular situation (ST, II-II, 57.1). Aside from making their citizens just by cultivating in them the “perpetual and constant will to render to each one his right [ius],” (ST, II-II, 58.1) legislators and judges ensure that the ius of particular situations between individuals is established or restored, that each person receives what is “due” to him such that a certain equality is maintained among citizens. When a judge orders a person to pay $100 to another for a service rendered, for example, that judge reestablishes the equality of their relationship before the service was performed. In such a case, the $100 owed to the provider of the service is his ius, which must be returned if justice in this case is to be accomplished. Again, this is not a sense of justice according to which the one paying his debt necessarily exhibits the virtue of justice, but in the sense that his actions (proceeding from any motivation whatsoever) reestablish that certain equality which can only be restored if the one who owes renders no more and no less of his debt to the one who is owed. To exhibit the virtue of justice, therefore, is much more than to perform an action that reestablishes the equality of justice or renders to someone his ius, and yet without the notion of ius, Aquinas’ concept of justice as a virtue would be unintelligible. This is why the concept of ius lies especially at the core of that part of justice which Aquinas characterizes as “particular.” In contrast to the general virtue of legal justice, which directs the acts of the other specific virtues to the common good, particular justice always includes some person or group who owes some sort of identifiable debt to another.

In explaining the details of particular justice, Aquinas further distinguishes between commutative justice and distributive justice. The example above involving one person owing $100 to another for a service rendered would be an example of commutative justice, because it involves one private individual’s debt to another private individual. It may happen, however, that something is owed to a person by the community as a whole. In this case the community distributes things according to what each individual deserves. An example of this sort of debt would be found in the realm of punitive justice. Since the punishment of criminals is not a matter pertaining to private citizens, but society as a whole (ST, I-II, 92.2 ad 3), a political community owes a certain amount of punishment that must be inflicted upon a criminal if the equality of justice is to be restored. The degree of punishment, furthermore, constitutes the ius of the particular situation. Therefore, just as in matters of exchange, where it would be unjust to fall short of or exceed the ius between buyers and sellers, it would likewise be unjust for a society to punish more or less than the criminal deserves. In addition to punishment, a political society may distribute such things as wealth, honor, material necessities, or work. As Aquinas explains, however, distributive justice seldom requires that society render an equal amount (good or bad) to its members. Following Aristotle’s teaching in the Nicomachean Ethics, Aquinas argues that the ius of distributive justice must be calculated according to a “geometrical proportion.” By this he simply means that more should be given to those who deserve more and less to those who deserve less. To return to the example of punishment, it would be gravely unfair to punish a murderer with the same penalty as a shoplifter. The equality that justice requires must be considered proportionally in the sense that greater punishments for greater crimes (and lesser punishments for lesser crimes) do in fact constitute equal treatment (Summa Contra Gentiles, III.142 [2]). Such is not the case in matters of commutative justice such as buying and selling, which Aquinas says must follow an “arithmetic proportion.” By this Aquinas simply means that the good or service provided must be proportional to the value of the currency or commodity for which it is exchanged (ST, II-II, 61.2;Commentary on Aristotle’s Nicomachean Ethics, Book 5, Lecture 5).

To observe how this teaching is applied to particular situations in the political community, it is helpful to consider Aquinas’ famous discussion of usury. Usury inherently constitutes a violation of commutative justice, according to Aquinas, because it creates an unfair inequality among those private individuals in society. Aquinas’ logic is extremely straightforward. If I lend someone $1000 there exists a $1000 disparity in his favor. The fact that he owes me this sum of money means that there now exists a ius that obliges him to pay me back the money he borrowed. If, however, I charge him a 10 percent fee for the use of the money lent, I require him to pay back $100 more than he originally borrowed. According to Aquinas, by doing this I would be charging him $100 more than what I am entitled to receive. Since he only borrowed $1000, he should only have to pay me back $1000.

Aquinas’ condemnation of usury has little to do with the idea that money should only be lent from the motive of generosity (even if this happens to be a consequence). It is, rather, based on his notion of the nature of money itself. Contrary to most modern economic theories, Aquinas understands money to be nothing more than a medium for exchanging commodities and thus subject to the requirements of commutative justice. Any use of money beyond this purpose distorts its original function. If money can ever be considered a commodity in its own right, it should be compared to those commodities whose use “consists in their consumption.” (ST, II-II, 78.1). Its exchange value is more akin to something like food or wine than to a house or a tool. When someone lends his house to be used, it makes perfect sense to charge rent and also to repossess the house when the allotted time for renting has expired. On the other hand, it would be quite unreasonable for a grocer to charge a fee for his food and then additionally to demand the food back after it is used. As Aquinas explains, the exchange value of money should be considered more like food than a house: “Now money, according to the Philosopher, was invented chiefly for the purpose of exchange: and consequently the proper and principal use of money is consumption or alienation whereby it is sunk in exchange. Hence it is by its very nature unlawful to take payment for the use of money lent.” (It is necessary to add that Aquinas does allow lenders to require an additional fee under two conditions. The first would be if money is lent to someone entering a business venture in which the lender shares some of the risk [periculum]. If, for example, I lend someone $1000 to invest in renting a vineyard, I am entitled to a share in his profits so long as I also agree to lose some or all of my money if the investment yields a net loss [ST, II-II, 78.2, ad 5]. Secondly, I may charge an additional fee for money lent if lending causes me to suffer some loss that I would have otherwise avoided. For example, if my loan of $1000 to a friend in need prevents me from paying my rent and thus incurring a $100 late fee, I may justly demand $1100 in return to cover my losses [ST, II-II, 78.2, ad 1]). Again, Aquinas condemns usury because it exceeds the ius that justice requires to exist between individuals. The same injustice would exist if one were to take advantage of a buyer’s desperation by selling a product for more than its value or to take advantage of a seller’s desperation by buying something for less than its value (ST, II-II, 77.1). In either case someone falls short of or exceeds the ius of a given situation, which is inherently contrary the equality that justice requires.

5. The Limitations of Politics

As we have seen, much of Aquinas’ political teaching is adapted from the Aristotelian political science which he studied in great detail and which he largely embraced. Perhaps the most central Aristotelian political doctrine in Aquinas’ view is the inherent goodness and naturalness of political society. It is also necessary to understand, however, that in addition to being good and natural political society is also limited in several important respects, not all of which would have been pointed out by Aristotle but are unique to Aquinas’ teaching. As we have already seen, Aquinas believes that the human laws governing political societies must be somewhat limited in scope. For example, the fact that something like the practice of usury is unjust does not necessarily mean that political society can or should forbid it: “Human laws leave certain things unpunished, on account of the condition of those who are imperfect, and who would be deprived of many advantages, if all sins were strictly forbidden and punishments appointed for them.” (ST, II-II, 78.1 ad 3). In this argument, Aquinas is making the simple point that human law is incapable of regulating every dimension of social life. Perhaps he would elaborate that attempting to police the practice of usury may in some cases hinder a society’s ability to prevent more serious crimes like murder, assault, and robbery (ST, I-II, 96.2). This is due to the limited nature of human law and political society itself and is one of the reasons why God has wisely chosen to apply his own divine law to human affairs. In addition to its infallibility and the fact that it applies to the “interior movements” of man’s soul, divine law is able to punish all vices while demanding the moral perfection from humans that God expects (ST, I-II, 91.4). Human law, on the other hand, must often settle for preventing only those things that imperil the immediate safety of those protected by it. This is not to say that human law does not also look to promote virtue, but the virtues it succeeds in instilling seldom fulfill the full moral capabilities of human citizens.

Secondly, Aquinas’ definition of natural law as the human participation in the eternal law also indicates something emphatically trans-political about human nature that cannot be found in the Aristotelian doctrine to which Aquinas largely adapted his own. Whereas Aristotle had argued for the existence of a natural standard of morality, he never suggested an overarching human community with a supreme lawgiver, and yet this is precisely what Aquinas’ teaching explicitly affirms (ST, I-II, 91.1-2). Not only is the natural law a universally binding law for all humans in all places (something that Aristotle never recognized), it also points to the existence of a God that consciously and providently governs human affairs as a whole (also something absent from the Aristotelian teaching). Without such divine origins, the natural law would lose its legal character, since under Aquinas’ own definition there can be no law that does not derive from someone who “has care of the community.” (ST, I-II, 90.3-4) Hence the very existence of natural law implies a more universal community under God that transcends political society. This is also apparent by looking at the epistemological basis of Aquinas’ natural law theory. As we have seen, human beings know the precepts of the natural law by a natural habit Aquinas calls synderesis. Whereas these precepts may be reinforced by the political community, they are first promulgated by nature itself and instilled in man’s mind by the hand of God. They owe nothing, therefore, to political society for their content. This is considerably different from the Aristotelian doctrine that includes no teaching regarding the self-evident first principles of natural morality upon which Aquinas’ natural law theory stands or falls and that seems to suggest (contrary to Aquinas’ view) that no universally binding law even exists that is not somewhat subject to change from regime to regime (Nicomachean Ethics, 1134b33). This difference points out in a particularly striking way the un-Aristotelian character of Aquinas’ insistence that all regimes, whether they realize it or not, are under God’s supreme authority and owe the binding force of their laws to the more fundamental natural law of which God is the sole author.

Finally, political society as Aquinas understands it is limited in an even further sense. We may observe this by returning to Aquinas’ claim that political society is natural. In one sense, of course, this affirmation of Aristotle’s teaching constitutes a very high exaltation of the political. Only by living in political society is man capable of achieving his full natural potential. Thus understood politics is no mere instrumental good (as in the teachings of modern political thinkers such as Hobbes and Locke), but is part of the very fabric of the human person, and thus the individual’s participation in political society is a great intrinsic good for the individual as well as for society. On the other hand, the characterization of politics as natural also means for Aquinas that it falls short of man’s ultimate supernatural end. For this reason Aquinas never ceases to remind us that, although politics is natural to man and constitutes an important aspect of the natural law, “man is not ordained to the body politic according to all that he is and has.” (ST, I-II, 21.4 ad 3). By this Aquinas means that beyond the fulfillment of the natural law, the active participation in political society, and even the exercise of the moral virtues, human beings find their complete perfection and happiness only in beatitude—the supernatural end to which they are called. Of course, beatitude is only fully completed in the afterlife (ST, I-II, 5.3), but even in his terrestrial existence man is called upon to exercise a supernatural perfection made possible through his active cooperation with God’s grace. Precisely because it is a natural institution, political society is not equipped to guide human beings toward the attainment of this higher supernatural vocation. In this respect it must yield to the Church, which (unlike political society) is divinely established and primarily concerned with the distribution of divine grace and the salvation of souls (On Kingship, Book I, Chapters 14-15). Again, to say that political society is merely natural is not to suggest that it should only concern man’s basic natural needs such as food, shelter, and safety. The common good that political authorities pursue includes the maintenance of a just society where individual citizens may flourish physically as well as morally. Politics thus promotes the natural virtues (most of all justice), which are themselves the human soul’s preparation for the reception of divine grace and the infusion of the supernatural virtues of faith, hope, and, above all, charity. The best one can hope from political society is that citizens will be well disposed to receive the grace available to them through the Church, which transcends politics both in its universality as well as in the finality of its purpose.

6. References and Further Reading

a. Primary Sources

i. Aquinas’ Political Writings in English

  • Summa Contra Gentiles, vol. III. 1975. Trans. Vernon Bourke. Notre Dame: University of Notre Dame Press.
  • Summa Theologiae. 1981. Trans. Fathers of the English Dominican Province. Westminster: Christian Classics.
  • Commentary on Aristotle’s Nicomachean Ethics. 1993. Trans. C. I. Litzinger, O. P. Notre Dame, IN: Dumb Ox Books.
  • Commentary on Aristotle’s Politics. 1963. Trans. Ernest L. Fortin and Peter D. O’Neill. In Medieval Political Philosophy: A Sourcebook, eds. Ralph Lerner and Muhsin Mahdi. Toronto, ON: The Free Press of Glencoe.
  • Commentary on Aristotle’s Politics. 2007. Trans. Richard Regan. Indianapolis, IN: Hackett Publishing.
  • On the Governance of Rulers. 1943. Trans. Gerald B. Phelan. London: Sheed and Ward Publishers.

ii. Two Useful Collections of Aquinas’ Political Writings in English

  • On Law, Morality, and Politics. 2002. Trans. Richard Regan. Indianapolis: Hackett Publishing.
  • Aquinas: Political Writings. 2002. Trans. R.W. Dyson. Cambridge: Cambridge University Press.

b. Secondary Sources

i. Books

  • Oscar, Brown. 1981. Natural rectitude and divine law in Aquinas: an approach to an integral interpretation of the Thomistic Doctrine of Law. Toronto: Pontifical Institute of Mediaeval Studies.
  • Di Blasi, Fulvio. 2006. God and the Natural Law: A Rereading of Thomas Aquinas. South Bend, IN: St. Augustine’s Press.
  • Finnis, John. 1998. Aquinas: Moral, Political and Legal Theory. Oxford University Press.
  • Gilby, Thomas. 1958. The Political Thought of Thomas Aquinas. Chicago: University of Chicago Press.
  • Hall, Pamela M. 1994. Narrative and the Natural Law: An Interpretation of Thomistic Ethics. Notre Dame: University of Notre Dame Press.
  • Kempsall, M.S. 1999. The Common Good in Late Medieval Political Thought. Oxford University Press.
  • Keys, Mary M. 2006. Aquinas, Aristotle, and the Promise of the Common Good. Cambridge: Cambridge University Press.
  • Malloy, Michael P. 1985. Civil Authority in Medieval Philosophy: Lombard, Aquinas, and Bonaventure. Lanham: University Press of America.
  • Maritain, Jacques. 1951. Man and the State. Chicago: University of Chicago Press.
  • Maritain, Jacques. 1947. The Person and the Common Good. New York: Scribner’s.
  • Maritain, Jacques. 2001. Natural Law Reflections of Theory and Practice. St. Augustine’s Press.
  • McInerny, Ralph. 1997. Ethica Thomistica: The Moral Philosophy of Thomas Aquinas, Washington DC: Catholic University of America Press.
  • McInerny, Ralph. 1992. Aquinas on Human Action: A Theory of Practice. Washington DC: Catholic University of America Press.
  • Nemeth, Charles. 2001. Aquinas in the Courtroom: Lawyers, Judges, and Judicial Conduct.Westport, CT: Praeger Publishers.
  • Porter, Jean. 2004. Nature As Reason: A Thomistic Theory Of The Natural Law. Wm. B. Eerdmans Publishing Company.
  • Simon, Yves. 1993. Philosophy of Democratic Government. University of Notre Dame Press.
  • Simon, Yves. 1992. The Tradition of Natural Law: A Philosopher’s Reflections. Fordham University Press, 1992.
  • Simon, Yves. 1980. A General Theory of Authority. University of Notre Dame Press.

ii. Articles and Chapters

  • Bleakley, Holly Hamilton. 1999. “The Art of Ruling in Aquinas’ De Regimine Principum,” History of Political Thought 20: 575-602.
  • Blythe, James. 1986. “The Mixed Constitution and the Distinction between Regal and Political Power in the Work of Thomas Aquinas,” Journal of the History of Ideas 47: 547-565.
  • Brown, Montague. 2004. “Religion, Politics and the Natural Law: Thomas Aquinas on Our Obligations to Others,” Skepsis 15: 316-330.
  • Brown, Oscar. 1979. “Aquinas’ Doctrine of Slavery in Relation to Thomistic Teaching on Natural Law,”Proceedings of the American Catholic Philosophical Association 53: 173-181.
  • Crofts, Richard. 1973. “The Common Good in the Political Theory of Thomas Aquinas,” Thomist 37: 155-173.
  • Degnan, Daniel. 1982. “Two Models of Positive Law in Aquinas: A Study of the Relationship of Positive and Natural Law,” Thomist 46: 1-32.
  • Dewan, Lawrence, O.P. 2002. “Jean Porter on Natural Law: Thomistic Notes,” Thomist 66 (2): 275-309.
  • Dewan, Lawrence, O.P. 2000. “St. Thomas, John Finnis, and the Political Good,” Thomist 64 (3): 337-374.
  • Dewan, Lawrence, O.P. 1996. “Natural Law and the First Act of Freedom: Maritain Revisited” Maritain Studies 12: 3-32.
  • Eschmann, I.T. 1958. “St. Thomas Aquinas on the Two Powers,” Mediaeval Studies 20: 177-205.
  • Eschmann, I.T. 1946, “Studies on the Notion of Society in St. Thomas Aquinas, Part I” Mediaeval Studies 8: 1-42.
  • Eschmann, I.T. 1943. “A Thomistic Glossary on the Principle of the Preeminence of a Common Good,”Mediaeval Studies 5: 123-166.
  • Finnis, John. 2001. “Natural Law, God, Religion, and Human Fulfillment,” American Journal of Jurisprudence, 46: 3-36.
  • Finnis, John. 1998. “Public Good: The Specifically Political Common Good in Aquinas” in Natural Law and Moral Inquiry: Ethics, Metaphysics, and Politics in the Work of Germain Grisez, ed., Robert George, (Washington DC: Georgetown University Press) 174-209.
  • Finnis, John. 1987. “Natural Law and Natural Inclinations: Some Comments and Clarifications,” New Scholasticism 61: 307-20.
  • Finnis, John. 1981. “The Basic Principles of Natural Law: A Reply to Ralph McInerny,” American Journal of Jurisprudence 26: 21-31.
  • Foley, Michael. 2004. “Thomas Aquinas’ Novel Modesty,” History of Political Thought 25: 402-423.
  • Fortin, Ernest. 1987. “Thomas Aquinas” In The History of Political Philosophy, eds. Leo Strauss and Joseph Cropsey. University of Chicago Press, 248-275.
  • Froelich, Gregory. 1993. “Ultimate End and Common Good,” Thomist 57 (4): 609-619.
  • Froelich, Gregory. 1989. “The Equivocal Status of the Common Good,” New Scholasticism 63: 38-57.
  • Gelinas, E.T. 1971. “Right and Law in Aquinas,” Proceedings of the American Catholic Philosophical Association 45: 130-138.
  • Grisez, Germain. 1965. “The First Principle of Practical Reason: A Commentary on the Summa Theologiae, 1-2, Question 94, Article 2″, Natural Law Forum 10: 168-201.
  • Henle, R.J. 1990. “Sanction and the Law According to St. Thomas Aquinas,” Vera Lex 5-6.
  • Kreyche, Robert. 1974. “Virtue and Law in Aquinas: Some Modern Implications,” Southwestern Journal of Philosophy 5: 111-140.
  • Koritansky, Peter. 2005. “Two Theories of Retributive Punishment: Immanuel Kant and Thomas Aquinas,” History of Philosophy Quarterly 22 (4) 319-338.
  • Kries, Douglas. 1990. “Thomas Aquinas and the Politics of Moses,” Review of Politics 52: 1-21.
  • Lee, Patrick. 1997. “Is Thomas’ Natural Law Theory Naturalist?” American Catholic Philosophical Quarterly 71: 567-587.
  • Lee, Patrick. 1982. “Aquinas and Scotus on Liberty and Natural Law,” Proceedings of the American Catholic Philosophical Association 56: 70-78.
  • Lustig, Andrew. 1991. “Natural Law, Property, and Justice: The General Justification of Property in Aquinas and Locke,” Journal of Religious Ethics 19: 119-149.
  • Lutz-Bachman, Matthias. 2000. “The Discovery of a Normative Theory of Justice in Medieval Philosophy: On the Reception and Further Development of Aristotle’s Theory of Justice by St. Thomas Aquinas,” Medieval Philosophy and Theology 9: 1-14.
  • McInerny, Ralph. 1980. “The Principles of Natural Law,” American Journal of Jurisprudence 25: 1-15.
  • MacIntyre, Alasdair. 1996. “Natural Law as Subversive: the Case of Aquinas,” Journal of Medieval and Early Modern Studies 26: 61-83.
  • Osborne, Thomas. 2000. “Dominium regale et politicum: Sir John Fortescue’s Response to the Problem of Tyranny As Presented by Thomas Aquinas and Ptolemy of Lucca,” Medieval Studies 62: 161-187.
  • Pakaluk, Michael. 2001. “Is the Common Good of Political Society Limited and Instrumental?” Review of Metaphysics 55: 57-94.
  • Pope, Stephen. 1991. “Aquinas on Almsgiving, Justice and Charity: An Interpretation and Reassessment,”Heythrop Journal 32: 167-191.
  • Porter, Jean. 1989. “De Ordine Caritatis: Charity, Friendship and Justice in Thomas Aquinas’ Summa Theologiae,” Thomist 53: 197-213.
  • Regan, Richard. 1986. “The Human Person and Organized Society: Aquinas.” In The Moral Dimensions of Politics: New York: Oxford University Press: 37-46.
  • Regan, Richard. 1981. “Aquinas on Political Obedience and Disobedience,” in Thought 56: 77-88.
  • Rosario, Tomas. 2004. “St. Thomas on Rebellion,” Philosophia 33: 72-85.
  • Ross, James. 1974. “Justice is Reasonableness: Aquinas on Human Law and Morality,” Monist 58: 86-103.
  • Rowntree, Stephen. 2004. “Aquinas’ Economic Ethics “Profoundly Anticapitalistic?” Vera Lex 5 (1-2): 91-111.
  • Schall, James. 1998. “On the Most Mysterious of the Virtues: The Political and Philosophical Meaning of Obedience in St. Thomas, Rousseau, and Yves Simon,” Gregorianum 79 (4): 743-758.
  • Schall, James. 1957. “The Totality of Society: From Justice to Friendship” Thomist 20: 1-26.
  • Schols, Sally. 1996. “Civil Disobedience in the Social Theory of Thomas Aquinas,” Thomist 60: 449-462.
  • Scully, Edgar. 1981. “The Place of the State in Society according to Aquinas,” Thomist 45: 407-429.
  • Seebohm, Thomas. 1986, “Isidore of Seville versus Aristotle in the Questions on Human Law and Right in the Summa Theologiae of Thomas Aquinas,” Graduate Faculty Philosophy Journal 11: 83-105.
  • Sigmund, Paul. 1993. “Law and Politics” in The Cambridge Companion to Aquinas, ed. Kretzmann, Norman (New York: Cambridge University Press).
  • Stump, Eleonore. 1998. “Aquinas on Justice” Proceedings of the American Catholic Philosophical Association 71: 61-78.
  • Weithman, Paul. 1998. “Complimentarity and Equality in the Political Thought of Thomas Aquinas,”Theological Studies 59 (No. 2): 277-296.
  • Weithman, Paul. 1992. “Augustine and Aquinas on Original Sin and the Function of Political Authority,”Journal of the History of Philosophy 30: 353-376.
  • Weithman, Paul. 1990. “St. Thomas on the Motives of Unjust Acts,” Proceedings of the American Catholic Philosophical Association 63: 204-220.

Author Information

Peter Koritansky
Email: pkoritansky@upei.ca
The University of Prince Edward Island
Canada

Objects of Perception

The objects of perception are the entities we attend to when we perceive the world. Perception lies at the root of all our empirical knowledge. We may have acquired much of what we know about the world through testimony, but originally such knowledge relies on the world having been perceived by others or ourselves using our five senses: sight, hearing, touch, taste, and smell. Perception, then, is of great epistemological importance. Also, a philosopher’s account of perception is intimately related to his or her conception of the mind, so this article focuses on issues in both epistemology and the philosophy of mind. The fundamental question we shall consider concerns the objects of perception: what is it we attend to when we perceive the world? We begin with five different answers to the question, “On what does my attention focus when I look at the yellow coffee cup in front of me?”

Perceptual Realism or Direct Realism is the common sense view that tables, chairs and cups of coffee exist independently of perceivers. In addition to analyzing this theory, the following major theories of these objects are discussed in the article below:  Indirect Realism, Phenomenalism, the Intentional Theory of Perception and Disjunctivism.

Table of Contents

  1. Direct Realism
  2. Indirect Realism
    1. The Argument from Illusion
    2. Problems for Indirect Realism
      1. Dualism
      2. Adverbialism
      3. The Veil of Perception
  3. Phenomenalism
    1. Problems for Phenomenalism
  4. The Intentional Theory of Perception
    1. Clarification of the Intentional Theory of Perception
      1. Non-Conceptual Content
      2. . Phenomenology
  5. Disjunctive Accounts of Perception
    1. Disjunctivism and Cognitive Externalism
  6. References and Further Reading

1. Direct Realism

Perceptual realism is the common sense view that tables, chairs and cups of coffee exist independently of perceivers. Direct realists also claim that it is with such objects that we directly engage. The objects of perception include such familiar items as paper clips, suns and olive oil tins. It is these things themselves that we see, smell, touch, taste and listen to. There are, however, two versions of direct realism: naïve direct realism and scientific direct realism. They differ in the properties they claim the objects of perception possess when they are not being perceived. Naïve realism claims that such objects continue to have all the properties that we usually perceive them to have, properties such as yellowness, warmth, and mass. Scientific realism, however, claims that some of the properties an object is perceived as having are dependent on the perceiver, and that unperceived objects should not be conceived as retaining them. Such a stance has a long history:

By convention sweet and by convention bitter, by convention hot, by convention cold, by convention colour; in reality atoms and void. [Democritus, c. 460-370 BCE, quoted by Sextus Empiricus in Barnes, 1987, pp. 252-253.]

Scientific direct realism is often discussed in terms of Locke’s distinction between primary and secondary qualities. The Primary qualities of an object are those whose existence is independent of the existence of a perceiver. Locke’s inventory of primary qualities included shape, size, position, number, motion-or-rest and solidity, and science claims to be completing this inventory by positing such properties as charge, spin and mass. The secondary qualities of objects, however, are those properties that do depend on the existence of a perceiver. They can either be seen as properties that are not actually possessed by the objects themselves, or, as dispositional properties, properties that objects only have when considered in relation to their perceivers. On the former interpretation, the cup itself is not yellow, but the physical composition of its surface, and the particular way this surface reflects light rays into our eyes, causes in us the experience of seeing yellow. And, on the latter interpretation, for an object to be yellow is for it to be disposed to produce experiences of yellow in perceivers. Locke is usually seen as being committed to this latter type of account:

Such qualities which in truth are nothing in the objects themselves, but powers to produce various sensations in us by their primary qualities. [Locke, 1690, 2.8.10]

The secondary qualities, then, comprise such properties as color, smell and felt texture.

We have seen that for the naïve realist, objects that are not actually being perceived continue to have all the properties we normally perceive them as having. For the scientific realist, however, only some of the properties we perceive continue to be possessed by objects when there are no perceivers around, these being their primary qualities.

The distinction between primary and secondary qualities is controversial in various ways, but that need not concern us here. What we should be clear on, however, is that the key feature of both naïve and scientific direct realism is that we directly attend to objects whose existence is independent of perceivers, objects that are out there in the world. The following section questions this whole approach.

2. Indirect Realism

The indirect realist agrees that the coffee cup exists independently of me. However, through perception I do not directly engage with this cup; there is a perceptual intermediary that comes between it and me. Ordinarily I see myself via an image in a mirror, or a football match via an image on the TV screen. The indirect realist claim is that all perception is mediated in something like this way. When looking at an everyday object it is not that object that we directly see, but rather, a perceptual intermediary. This intermediary has been given various names, depending on the particular version of indirect realism in question, including “sense datum, ” “sensum,” “idea,” “sensibilium,” “percept” and “appearance.” We shall use the term “sense datum” and the plural “sense data.” Sense data are mental objects that possess the properties that we take the objects in the world to have. They are usually considered to have two rather than three dimensions. For the indirect realist, then, the coffee cup on my desk causes in my mind the presence of a two-dimensional yellow sense datum, and it is this object that I directly perceive. Consequently, I only indirectly perceive the coffee cup, that is, I can be said to perceive it in virtue of the awareness I have of the sense data that it has caused in my mind. These latter entities, then, must be perceived with some kind of inner analog of vision. We shall first look at some weak arguments for this stance. After dismissing these we shall turn to the Argument From Illusion. This is a highly influential argument that many see as persuasive. In addition to supporting indirect realism, the other three theories of perception—phenomenalism, intentionalism and disjunctivism can be seen as responses to it.

As well as looking at my coffee cup, I can look out of my window and see the stars in the night sky. However, it is a fact (one that can amaze on first discovery) that the star at which I am currently looking may have ceased to exist. The pinpoint of light that I see has taken years to reach me, and in that time the star may have turned supernova. How can I, then, be directly attending to that star when it is no longer there? What must be happening is that the light rays that originated from that star have caused in me the presence of a perceptual intermediary, an intermediary that is still present in my mind, and thus, an intermediary to which I can still attend.

This argument can be applied not just to far distant objects, but to everything we perceive. Light also takes time to travel from the cup to my eyes. Therefore, I am now perceiving the cup as it was a fraction of a millisecond ago. The steam I see rising from it is actually further from the cup than it now appears to me. So again, it cannot be the steam that I directly see since I am not seeing it in the state that it is now in. It must, therefore, be a perceptual intermediary that I perceive.

This, however, is not a persuasive line of argument. One should reject the assumption that the object of perception has to exist at the moment we become perceptually aware of that object. Perception is a causally mediated process, and causation takes time. Because of this, at the time when perceptual processing is complete, the properties of perceived objects may be distinct from those possessed by the object at the time when their causal engagement with our perceptual apparatus began. As said, in extreme cases the objects of perception may no longer exist at the moment when the causal process of perception is complete. One should, therefore, accept that all the events we perceive are to some extent in the past.

The fact that perception is a complex causal process motivates some to offer another weak argument for the indirect realist position. There are many neurophysiological features and physiological entities such as retinal images that are involved in perception. Some conclude that I do not directly see the cup; I see it via such entities, and the indirect realist should take these to be his perceptual intermediaries. The correct response here is to agree (as one must) that such physiological items are indeed intermediaries in the process of perception. They are, however, intermediaries in a different sense. The indirect realist claims that we perceive his intermediaries — we attend to them — just as we do to our image in the mirror. His intermediaries are perceptually accessible. This, however, is plainly not true of the physiological components of the perceptual process. They are not, therefore, perceptual intermediaries in the correct sense. They are simply part of the causal mechanism that enables us to perceptually engage with objects, both those around us, and those in the far distance. So far, then, we do not have any reason to give up direct realism. Many, however, have seen the following argument as providing such a reason.

a. The Argument from Illusion

Illusions occur when the world is not how we perceive it to be. When a stick is partially submerged in water, it looks bent when in fact it is straight. From most angles plates look oval rather than round. (We still, of course, believe that the plate is circular and that the stick is straight because of what we know about perspective and refraction; but these objects can still look bent and elliptical if we resist interpreting what we see with respect to such knowledge.) As well as being prey to illusions, we can also have hallucinations in which there is nothing actually there to perceive at all. It is both of these phenomena that are seen to drive the following key argument for indirect realism.

I’ll partly submerge a pencil in my glass of water (the one that is next to my yellow coffee cup). The pencil appears bent. There is, then, a bent shape in my visual field. I know, however, that the pencil is not really bent. (Or, if this were a case of hallucination rather than illusion, there would not be a pencil there at all.) The bent shape of which I am aware, therefore, cannot be the real pencil in the world. Perhaps, then, it is a physical object on the surface of my cornea, or one floating inside my eyeball (it is possible to see such objects). Empirical evidence, however, has shown that there are no such objects that correlate with our perceptual experiences. So, if the bent shape is not a physical object, it must be something mental. As we have seen, these mental items have been coined “sense data”, and it must be these that we attend to in cases of illusion and hallucination.

Let us now turn to the veridical case. Cases of veridical perception are qualitatively identical to those of illusion or hallucination, and so there must be something in common between the normal case and these non-veridical ones. (This is a key assumption to which we shall return.) The conclusion we should draw, then, is that the common factor between the veridical and the non-veridical cases of perception is the presence of a sense datum. Therefore, in cases of veridical perception it is also sense data with which we perceptually engage. According to the orthodox interpretation, Locke can be seen as holding such a theory: “The mind…perceives nothing but its own ideas” [Locke, 1690, 4.4.3]. (Ideas, of course, being mental components akin to sense data.) And, this kind of theory has continued to have a distinguished following, its adherents include Bertrand Russell, Alfred J. Ayer and Frank Jackson (the latter, however, has recently abandoned this view).

There are various problems with this argument and we shall look at some of these in the following section. However, whether or not the argument is successful, there is no doubt that it has been highly influential. The theories of perception covered in the rest of this article are in part driven by the argument from illusion. Phenomenalism (section 3) accepts the existence of sense data, but denies that they play the role of perceptual intermediaries between the world and us. There is no world on the other side of our sense data; or, we should conceive of the material world as a construction of our sense data. Intentionalism (section 4) agrees that there is indeed something in common between the veridical and the non-veridical cases. However, this common factor should not be seen as an object, but rather, as intentional content. And finally, disjunctivism (section 5) undercuts the argument from illusion by rejecting the assumption that there must be something in common between the veridical and non-veridical cases. We will discuss these theories below, but first we shall consider the problems with the very idea of sense data, and with the argument from illusion itself.

b. Problems for Indirect Realism

i. Dualism

Many see a problem with respect to the metaphysics of sense data. Sense data are seen as inner objects, objects that among other things are colored. Such entities, however, are incompatible with a materialist view of the mind. When I look at the coffee cup there is not a material candidate for the yellow object at which I am looking. Crudely: there is nothing in the brain that is yellow. Sense data, then, do not seem to be acceptable on a materialist account of the mind, and thus, the yellow object that I am now perceiving must be located not in the material world but in the immaterial mind. Indirect realism is committed to a dualist picture within which there is an ontology of non-physical objects alongside that of the physical. There are, however, two major difficulties with dualism. These difficulties are outlined below.

The first and greatest problem for the dualist concerns explaining the interaction between mind and body. Remember, the indirect realist accepts that there is a world independent of our experience, and, in veridical cases of perception it is this world that somehow causes sense data to be manifest in our minds. How, though, can causal interactions with the world bring about the existence of such non-physical items, and how can such items be involved in causing physical actions, as they appear to be? If I have a desire for caffeine, then my perception of the coffee cup causes me to reach out for that cup. A non-physical sense datum causes the physical movement of my arm. Such causal relations seem to be counter to the laws of physics. The physical view of nature aims to be complete and closed: for every physical event there is a physical cause. Here, though, the cause of my reaching out for the cup is in part non-physical, and thus, the closure of physics is threatened. The only way to maintain both physical closure and the causal efficacy of the mental is to claim that there is overdetermination, i.e. that my reaching for the cup has two causes, one involving sense data, and one involving purely physical phenomena, either of which is in itself sufficient to bring about that action. This line, however, is difficult to accept since according to such an account my perception of the cup is incidental to my action: I would have reached for the cup even if I was not consciously aware that it was there. There are, then, problems in reconciling a non-physical conception of sense data with certain widely held views concerning causation.

A dualistically conceived mind appears to be paradoxical in the same way as fictional ghosts are: ghosts can pass through walls, yet they do not fall through the floor; they can wield axes yet swords pass straight through them. Similarly, the mind is conceived as both distinct from the physical world, and also causally efficacious within it, and it is not clear how the mind can coherently possess both features. Descartes himself admitted that he was stumped by the problem of how to account for the interaction between physical entities and the mental realm:

It does not seem to me that the human mind is capable of conceiving quite distinctly and at the same time both the distinction between mind and body, and their union; because to do so, it is necessary to conceive them as a single thing, and at the same time to conceive them as two things, which is self-contradictory. [Descartes, 1970, 142]

A second problem associated with the non-physical nature of sense data is that concerning their spatial location. Our perception presents objects as lying in spatial relations with respect to each other. According to the indirect realist, the objects of perception are sense data, and thus, our perceptual experience presents one sense datum as being in front of another, and that green one to the left of that red one: “The relative positions of physical objects in physical space must more or less correspond to the relative positions of sense data in our private spaces” [Russell, 1912, p. 15]. But how can this be so? On the Cartesian conception of dualism, the non-physical does not have spatial dimensions, and so how can one component of this realm be seen as in front of another? And, how can such non-physical entities be describable in the spatial way we describe physical bodies? How can a non-physical sense datum be round or square? The non-physical nature of sense data seems to threaten the coherence of an indirect realist description of sensory experience. We can say that we see the round green object as just to the left of the square red one if we are talking about spatially located objects in the world, but not if we are talking about non-physical mental items, items for which the idea of spatial location has no application.

ii. Adverbialism

Some see the argument from illusion as begging the question. It is simply assumed, without argument, that in the non-veridical case I am aware of some thing that has the property that the stick appears to me to have. It is assumed that some object must be bent. One can, however, reject this assumption: I only seem to see a bent pencil; there is nothing there in the world or in my mind that is actually bent. Only if you already countenance such entities as sense data will you take the step from something appears F to you to there is an object that really is F. Such an objection to indirect realism is forwarded by adverbialists. We can illustrate their claim by turning to other everyday linguistic constructions, examples in which such ontological assumptions are not made. “David Beckham has a beautiful free kick” does not imply that he is the possessor of a certain kind of object — a kick — something that he could perhaps give away or sell in the way that he can his beautiful car. Rather, we take this to mean that he takes free kicks beautifully. When one gives a mean-eye, one looks meanly at somebody else; one does not offer them an actual eye of some kind. Similarly, then, when one perceives yellow one is sensing in a yellow manner, or yellowly. Our perception should be described in terms of adverbial modifications of the various verbs characteristic of perception, rather than in terms of objects to which our perceptual acts are directed. As I sip my drink, I see brownly and smell bitterly; I do not attend to brown and bitter objects, the inner analogues of the properties of the cheap coffee below my nose. As Wittgenstein often took great pains to point out, many philosophical problems are simply the result of grammatical confusion, or, as Lowe puts it, “an inconvenient legacy of Indo-European languages” [Lowe, 1995, p. 45]. In describing our perceptual experiences we are not describing the visual and olfactory properties of mental items; but rather, we are talking about the manner in which we experience the external world. Thus, if one can give an account of what it is to experience in a brown and bitter manner, then one can account for perception without relying upon sense data. This, we shall see below, the intentionalist and the disjunctivist attempt to do.

iii. The Veil of Perception

Indirect realism invokes the veil of perception. All we actually perceive is the veil that covers the world, a veil that consists of our sense data. What, then, justifies our belief that there is a world beyond that veil? In drawing the focus of our perception away from the world and onto inner items, we are threatened by wholesale skepticism. Since we can only directly perceive our sense data, all our beliefs about the external world beyond may be false. There may not actually be any coffee cups or olive oil tins in the world, merely sense data in my mind. However, for this to be a strong objection to indirect realism, it would have to be the case that direct realism was in a better position with respect to skepticism, but it is not clear that this is so. The direct realist does not claim that his perceptions are immune to error, simply that when one correctly perceives the world, one does so directly and not via an intermediary. Thus, things may not always be the way that they appear to be, and therefore, there is (arguably) room for the sceptic to question one-by-one the veracity of all our perceptual beliefs.

3. Phenomenalism

Some have embraced the skepticism suggested by indirect realism and accepted the anti-realist position that there is no world independent of the perceiver. Two strategies that take this line are idealism and phenomenalism. Berkeley (1710) is an idealist. For him, physical objects consist in collections of ideas or, what have later come to be called, “sense data.” It is only objects conceived of in this way of which we can have knowledge. Sense data, however, cannot exist if they are not being perceived, and so, ‘physical’ objects conceived of in this way are also dependent on perceivers. For Berkeley, therefore, the universe simply consists in minds and the sense data that they perceive. There is only immaterial substance.

A consequence of such an account would seem to be that when we do not perceive the world it does not exist; there are gaps in the existence of objects. Berkeley, however, attempts to avoid this conclusion by claiming that God “fills the gaps.” God perceives the objects that are not perceived by us, and thus, sustains their existence; an existence, though, that subsists merely in the realm of ideas or sense data.

[A]ll the furniture of the earth….have not any subsistence without a mind…their being is to be perceived or known,….consequently, so long as they are not actually perceived by me or do not exist in my mind or that of any other created spirit, they must either have no existence at all or else subsist in the mind of some external spirit…. it being perfectly unintelligible….to attribute to any single part of them an existence independent of a spirit. [Berkeley, 1710, part 1, para. 6]

Such a position is of course highly problematic, but perhaps surprisingly, some of its idealistic elements were widely adopted in the early twentieth century by a group of philosophers called ‘phenomenalists.’

Idealists conceive of the world in terms of our actual experiences (and, for Berkeley, those of God). Phenomenalists hold a related position: for them, propositions about the physical world should be seen as propositions about our possible experiences. Or, as Mill (1867) claims, material objects are nothing but “permanent possibilities of sensation.” Phenomenalism is classically taken as a conceptual thesis: statements about physical objects have the same meaning as statements describing our sense data.

The meaning of any statement which refers to a material thing may be fully conveyed in statements which refer solely to sense-data or the sensible appearance of things. [Chisholm, 1948, p. 152. Note, however, that this is not Chisholm’s own view]

Phenomenalism, therefore, avoids the problem of gaps in a distinct way. Physical objects can exist unperceived since there is the continued possibility of experience. To say that the paper clip is in my drawer is to say that I would see it on opening that drawer. The world, then, is described in terms of our current sense data, and in terms of conditionals that detail which sense data we would encounter in counterfactual and future situations. We must, however, be careful to note the crucial difference between the realist and anti-realist readings of such conditionals. Realism, be it direct or indirect, has an account of why such a conditional holds: I will have the experience of perceiving a paper clip since there exists independent of my mind a real paper clip in the drawer. Phenomenalists, however, do not ground their conditionals in this way since there is no world independent of our (possible) experiences. To say that the paper clip is in my drawer, is simply to say that the flux of sense data characteristic of the experience of  opening a drawer will be followed by the experience of perceiving the silvery-colored sense data that constitutes a perception of a paper clip. There is no mention here of an independent world; such conditionals are only described in terms of the content of one’s experiences.

To make the phenomenalist claim clear, it is useful to look at the distinction between dispositional and categorical properties. Conditionals can be used to describe dispositional properties such as solubility: that lump of sugar is soluble since it will dissolve if I put it in my cup of coffee. Dispositional properties, however, usually have a categorical grounding. Sugar is soluble because of its chemical structure. The conditionals of the phenomenalist, however, should be taken as describing dispositions that do not have such a grounding. The regularities in our experience that they pick out do not have a categorical basis, unlike the psychological regularities of the realist that are grounded in our engagement with the existent external world. The experiential regularities of the phenomenalist are brute; nothing further can be said about why they hold.

a. Problems for Phenomenalism

For many, the idealistic nature of phenomenalism is unpalatable. A consequence of phenomenalism would seem to be that if there were no minds then there would be no world. This is so since ‘physical’ objects are simply constructs of our (possible) experience. Let us also consider the thoughts of others. I seem to be able to interpret what you are thinking by considering your behavior, by watching your actions and listening to your utterances. Your behavior, however, like the rest of the material world, simply consists of my sense data and the counterfactual relations of these mental items. Thus, phenomenalism invokes a solipsistic picture in which it is my sense data alone that constitute the world. A phenomenalist sitting here reading this article from the screen must claim that the computer monitor simply consists in the possibility of sensations that their own physical body (also a part of the material world) also has this nature, and that the people which can be seen in the street outside are similarly constructs of the phenomenalist’s own sense data. Phenomenalism is a very radical stance to take.

Also, even for those who do not have qualms about adopting such an idealistic and solipsistic stance, there are arguments which suggest that phenomenalism cannot complete the project it sets itself. A key argument against phenomenalism is the argument from perceptual relativity. Chisholm (1948) argues that one cannot provide translations of statements about physical objects in terms of statements about sense data. For a phenomenalist, the statement that there is an old green olive oil tin to my right means that the experience of reaching to the right would, on encountering the jagged rim, be followed by a sharp sensation; and that the sensation of turning my head would be followed by the presence of green sense data in my visual field. However, such fluxes of experience need not occur in this way. With gloves on, I would not feel such a sharp sensation; and, I may be color blind or the lights may be out and thus I may not experience green sense data. The sensations I have depend on various facts about me (the perceiver) and my environment. There are no lawlike conditional statements that describe the relation between sensations considered in isolation from physical aspects of the perceiver and of the world.

To calculate the appearances with complete success, it is necessary to know both the thing perceived and the (subjective and objective) observation conditions, for it is the thing perceived and the observation conditions working jointly which determine what is to appear. [Chisholm, 1948, p. 513]

A phenomenalist cannot account for such observation conditions since he is not permitted to talk of the physical states of the perceiver or those of the environment. He can only talk of sense data and the relations between them. Therefore, according to Chisholm, there are no phenomenalist translations to be had, and thus, phenomenalism fails.

4. The Intentional Theory of Perception

The last two positions at which we shall look deny that sense data are involved in perception. To do this they must find alternative responses to the argument from illusion, and they must provide a story that explains how we are in direct contact with the world.

Intentionalists emphasize parallels between perceptions and beliefs. Beliefs represent the world: I now have a belief about the pencil tin (the one that used to contain olive oil), and this belief represents that particular part of the world as being green. Beliefs, then, possess aboutness or what philosophers of mind call “intentionality.” Intentionality is considered to be an essential feature of the mind, and it describes the property that certain mental states have of representing — or, being about — certain aspects of the world. The aspects of the world that a belief is about can be specified in terms of its intentional content. The intentional content of my current belief is that tin is green. The intentionalist claim is that perceptions are also representational states (intentionalism is sometimes called representationalism). I can, then, believe that that tin is green, and I can also perceive that it is. You are about to perceive that the first word of the next paragraph is “Let.” Your perception is intentional: it is about a word on the screen; and, its content is that the next word is “Let.”

Let us see how the intentionalist reacts to the argument from illusion. The key claim will be that representational states can be in error. I can have false beliefs: I can believe that my cup is full when it is not; and I can have beliefs about non-existent entities: I can believe that the Tooth Fairy visited me last night. Such beliefs are analogous to the non-veridical perceptual cases of illusion and hallucination. In both belief and perception, the world is represented to be a certain way that it is not. And, crucially, the intentionalist has an account of what such veridical and non-veridical cases have in common: their intentional content. My perception has the representational content, there is a bent pencil there, whether or not there really is such a pencil in the world (I might have been duped and an actual bent pencil placed in the glass). In the veridical case this content correctly represents the world; in the non-veridical case it does not. Intentionalists, therefore, agree with sense datum theorists that there is an aspect of perception that is shared by the veridical and the non-veridical cases. This shared component, however, is not the presence of a perceptual object, but rather, that of a certain intentional content. Therefore, both intentionalists and sense datum theorists can be seen as providing representational accounts of perception: intentional content and the sense data of the indirect realist represent the state of the independent external world. Intentionalists, however, have representation without an ontological commitment to mental objects.

Intentionalism is driven by current themes in the philosophy of mind. Many in that field are optimistic about providing a broadly scientific, causal account of representation and intentionality. If one could provide such an account then a naturalistically acceptable theory of perception should be seen to drop out of this research. To explain perception one does not have to posit non-physical sense data; rather, one could simply use one’s naturalistic account of intentional content, since, according to intentionalists, the important features of perception are captured by this notion.

a. Clarification of the Intentional Theory of Perception

i. Non-Conceptual Content

There is a debate concerning the nature of the representational content relevant to perception. We are talking of content, so all are agreed that such content is evaluable as correct or incorrect. The question of whether the world is as it is represented to be is always pertinent. The debate, however, concerns whether all such representational content must be conceptually structured (see McDowell, 1994, lecture 3); or, whether some of the representational content involved in perception is non-conceptual (see Peacocke, 1992, chapter 3). (A concept is a constituent of thought that is apt for being the content of a judgment or a belief.) Two arguments that suggest the existence of non-conceptual content are those concerning the fine-grain of experience and the experience of animals.

It seems implausible that I have a distinct concept for every shade of brown that I perceive in the pair of battered old corduroy trousers that I am now wearing, or concepts corresponding to all the nuances of my neighbor’s distorted music that I am currently hearing through my study wall. Our experience appears to be more finely grained than our conceptual repertoire. If one is an intentionalist, then one could invoke representational content that is not conceptual to account for the richness of one’s experience. Also, many are unwilling to ascribe conceptual capacities to animals (at least if one goes far enough down the phylogenetic ladder). However, those same people are often less restrictive with their ascription of experiential properties. They would like to allow animals to have experiences and perception without a conceptual framework within which to structure them. If one is an intentionalist, then non-conceptual content could also be invoked to account for animal perception.

ii. Phenomenology

There are problems associated with accounting for the phenomenological features of perception. My experience consists in more than simply representing that the world is a certain way; it is also the case that the way I acquire representations strikes my consciousness distinctively. Right now there is a faint sound of a road drill syncopating with the reverse warning beep of a supermarket delivery truck; the yellow cup in front of me is slowly fading to brown as a cloud passes overhead; and the smell of coffee is struggling to get past my persistent cold and the pungency of my throat lozenges. All of this is part of my perceptual experience, and for the intentionalist, this experience consists in such representational content as, the truck is emitting a beep, and, my throat lozenge is pungent. There is also, however, something “it is like” to be having such representations (see Nagel, 1974). Our experience has a phenomenological dimension, a dimension that you are probably currently imagining. The shrill beep goes right though me, and the lozenge is so strong that although it pervades my consciousness, I somehow also feel sharper, clearer, more finely tuned to the quality of the air that I am breathing. The intentionalist, therefore, must also account for these phenomenological properties of perception. I shall look at two responses here, one that develops the intentionalist line in order to account for these features of perception, and one that takes such considerations to show that a pure intentionalist account is untenable.

One route that the intentionalist could take is to identify the phenomenological aspects of our experience with the representational. Naturalistically minded philosophers attempt to provide a causal account that explains how our mental states, experiences and perceptions have the intentional content that they do. One could, then, claim that the causal processes that ground intentional content also have a phenomenological aspect. It is the very same state that has both representational content and phenomenological features.

There are, however, problems associated with such a claim. Some see an unbridgeable gap between physical and phenomenological phenomena (see Levine, 1983). Any account couched in terms of the broadly physical properties of the brain cannot hope to capture the conscious, phenomenological dimension of thought and perception.

[There is] the feeling of an unbridgeable gulf between consciousness and brain process…This idea of a difference in kind is accompanied by slight giddiness. (Wittgenstein, 1953, § 412)

Others, however, see this explanatory gap as illusory (see Tye, 2002). Here, though, is not the place to pursue this debate.

The second broad response to the phenomenology of experience is to claim that representational properties alone cannot account for perception, and thus, one should reject the intentionalist project. If one is to account for what it is like to perceive the world, then one also requires sensational properties (properties distinct from those relevant to representation). Peacocke (1988) supports this line. He suggests examples in which there are aspects of our experience that have the same representational content, yet which differ in their phenomenological character. He therefore claims that representational content alone cannot account for phenomenology. Ahead of you on the motorway are two trucks, one just ahead and one near the horizon. You represent them as being of the same size and as moving at the same speed. There is, however, a sense in which the nearer one seems bigger to you — it takes up more of your visual field — and, it moves across your visual field at a faster rate. These features of your experience, then, are not captured in terms of representational content. Peacocke’s claim, therefore, is that “concepts of sensation are indispensable to the description of the nature of any experience” [Peacocke, 1983, p. 4].

Advocates of Peacocke’s line often favor the existence of qualia (singular: quale). These are seen (by some) as the non-representational, phenomenological properties of experience. One must, however, be very careful when reading the literature concerning qualia since the term is sometimes used in other ways. Others see it as merely referring to the phenomenological aspects of our experience (whether or not these can be captured in representational terms). In this sense, qualia are uncontroversial; they merely commit one to the claim that our experience is conscious. Others, notably Dennett (1991, chapter 12), take qualia to be essentially private, and our knowledge of them to be incorrigible. Conceived thus, he denies that there are such entities.

We have, then, been considering whether the phenomenological aspects of perception can be integrated into an intentionalist account. In summary, one can either identify these phenomenological features with the causal processes that are constitutive of the representational content of perception, or one can take such features to demand that an account of perception must include properties other than those that are representational.

5. Disjunctive Accounts of Perception

Finally we have a rather different approach. Disjunctivism denies the key assumption that there must be something in common between veridical and non-veridical cases of perception, an assumption that is accepted by all the positions above, and an assumption that drives the argument from illusion. For the disjunctivist, these cases certainly seem to be the same, but they are, however, distinct. This is because in veridical perception the world is presented to us. The world is not just represented as being a certain way, as for the intentionalist; but rather, the world partly constitutes one’s perceptual state. Thus, one’s perceptual state when hallucinating is entirely distinct from one’s perceptual state when actually attending to the world. To be in the state that I am in when I veridically perceive a green tin, there really has to be something there that is green. This, remember, is also one of the commitments of the sense datum theorist; but for the disjunctivist, the green item is in the world, it is not an internal mental object.

This position is called “disjunctivism” because when I seem to see a green tin, I am either perceiving a green tin or it is as if there is a green tin in front of me (a disjunction of perceptual states). I am not in a perceptual state that is common to both types of experience.

Of facts to the effect that things seem thus and so to one, we might say, some are cases of things being thus and so within the reach of one’s subjective access to the external world, whereas others are mere appearances. [McDowell, 1986, p. 241]

Disjunctivism can avoid the argument from illusion since it does not accept that veridical and non-veridical perceptual states are in any way the same (they only seem to be). We do not, therefore, have to posit a common factor, either in the form of a sense datum, or an intentional content. There is, then, a key difference between the strategies of the intentionalist and the disjunctivist: intentionalists answer the argument from illusion by claiming that veridical and non-veridical perceptions have a type of representational state in common, whereas disjunctivists undercut the argument by claiming that there is no need to posit such a common factor.

Proponents of disjunctivism see their position as upholding certain common sense assumptions about the nature of perception. It is claimed that both sense datum theorists and intentionalists do not account for the idea that it is the qualities of the tin in front of me of which I am directly conscious. This is because for the former it is the qualities of a mental sense datum that are the focus of my consciousness; and for both, the content of one’s experience could be just the same even if there was not a tin there and one was hallucinating. Such accounts, then, do not capture the intuition that the nature of my current experience is constituted by my consciousness of the properties of the tin at which I am looking.

However, in any particular case the disjunctivist must accept that he cannot tell which disjunct holds. When prey to illusion or hallucination, it can seem to you as if you are really perceiving the actual state of the world, and thus, it seems to you that you are in the same perceptual state that you would be in if the world was really how you perceive it to be. A consequence of disjunctivism, then, is that one can be not only deluded about the state of the world, but also about the state of one’s own mind. When one is unknowingly prey to illusion or hallucination, one is in fact in an entirely distinct perceptual state from the state that one takes oneself to be in. This is an anti-Cartesian position since:

In a fully Cartesian picture, the inner life takes place in an autonomous realm, transparent to the introspective awareness of its subject. [McDowell, 1986, p.236]

[The mind is] a realm of reality in which samenesses and differences are exhaustively determined by how things seem to the subject, and hence which are knowable through and through by exercising one’s capacity to know how things seem to one. [Ibid. P.249]

a. Disjunctivism and Cognitive Externalism

A consequence of disjunctivism is that two physically identical brains can be in distinct perceptual states. Imagine there is a demon or a very clever scientist who uses his supernatural powers or hi-tech wizardry to simultaneously remove the green tin from existence, while stimulating my brain in the way that it would have continued to be stimulated if the green tin had remained there on my desk. If this were so, experientially everything would appear to me to be the same as it is now, and, ex hypothesi, the flux of my brain states would also be the same as that which is currently occurring as I now look at the tin. According to the disjunctivist, however, such demonic intervention will induce in me an entirely distinct perceptual state, that of a hallucinatory rather than a veridical perception. Many cannot accept this consequence of disjunctivism. They claim that the mind must supervene on the brain, i.e. that if the physical states of two brains are identical, then so too must be the thoughts, experiences, and perceptions manifest in those brains.

However, the disjunctivist conclusion can be embraced by those who accept cognitive externalism. For such externalists, the world plays a constitutive role in determining the content of our mental states: “Cognitive space incorporates the relevant portion of the ‘external’ world” [McDowell, 1986, p. 258]. The contents of the brain alone do not determine the nature of our thoughts and experiences. There is, however, some notion of supervenience maintained in that the mind supervenes on the brain together with its causal links to the environment: if there are two identical brains causally connected to the same features of their environment, then the mental states manifest in those brains must also be identical.

Various arguments have been forwarded for this externalist position; most notable is Putnam’s Twin Earth thought experiment (1975). We can imagine two physically identical characters, Oscar and Toscar; Oscar lives here and Toscar lives on Twin Earth, a superficially identical planet over the other side of the universe. Oscar and Toscar are molecule for molecule alike, right down to the structure of their brains; and, they both have beliefs about the clear stuff that lies in puddles and rains from the sky. On Twin Earth, however, this clear refreshing liquid is in fact XYZ and not H20. Toscar, then, is thinking about different stuff to Oscar, and therefore, the thoughts of Oscar and Toscar have different content, even though we have specified that everything inside their heads is the same. The externalist stance can be summarized thus: “Thought content ain’t in the head” (to hijack Putnam’s phrase). Disjunctivists hold a parallel claim: since it is the state of the world that determines the content of one’s perceptual state, hallucinations have nothing perceptually in common with veridical perceptions even though all could be the same inside one’s head. Therefore, one must accept such externalist thinking if one is to take on the disjunctivist position.

We have, then, come to the end of our survey and we have found that perception is the focus of rich philosophical debate. We have seen that it is the point at which the philosophy of mind, epistemology and metaphysics meet. Therefore, one’s account of the objects of perception will be characteristic, not only of one’s views on how we acquire knowledge about the world, but also, of one’s philosophical perspective on such wider issues as those concerning the constitution of the mind, the constitution of the world, and crucially, how the former engages with the latter.

6. References and Further Reading

  • Barnes, J., Early Greek Philosophy, Penguin, London, 1987.
  • Dennett, D., Consciousness Explained, Little, Brown and Company, New York, 1991.
  • Descartes, R., Descartes: Philosophical Letters, Trans. / ed. A. Kenny, Clarendon Press, Oxford, 1970. Levine, J., “Materialism and Qualia: The Explanatory Gap” in Pacific Philosophical Quarterly, 64, pp. 354-361, 1983.
  • Locke, J., An Essay Concerning Human Understanding, ed. P. H. Nidditch, 1975, Clarendon Press, Oxford, 1690.
  • Lowe, E. J., Locke on Human Understanding, Routledge, London, 1995.
  • McDowell, J., “Singular Thought and the Extent of Inner Space” in Mind, Knowledge and Reality (1998) Harvard University Press, Cambridge, Mass., pp. 228-259, 1986.
  • McDowell, J., Mind and World, Harvard University Press, Cambridge, Mass., 1994.
  • Nagel, T., “What it is like to be a Bat” in Philosophical Review, 83, pp. 435-56, 1974.
  • Peacocke, C., Sense and Content, Oxford University Press, Oxford, 1983.
  • Peacocke, C., A Study of Concepts, MIT Press, Cambridge, Mass., 1992.
  • Putnam, H., “The Meaning of Meaning” in Philosophical Papers, Volume 2, Cambridge University Press, Cambridge, 1975.
  • Tye, M., Consciousness, Color, and Content, A Bradford Book, MIT Press, Cambridge, Mass., 2002.
  • Wittgenstein, L., Philosophical Investigations, tr. G. E. M. Anscombe, Blackwell, Oxford, 1953.

Suggestions for Further Reading

For indirect realism see:

  • Ayer, A. J., The Foundations of Empirical Knowledge, MacMillan, London, 1947.
  • Russell, B., The Problems of Philosophy, Oxford University Press, Oxford, 1912.
  • Grice, H. P., “The Causal Theory of Perception” in Proceedings of the Aristotelian Society, Supplementary Volume, 35, pp. 121-52, 1961.
  • Jackson, F., Perception: A Representative Theory, Cambridge University Press, Cambridge, 1977.

For phenomenalism see:

  • Mill, J., An Examination of Sir William Hamilton’s Philosophy, Longmans Green, London, 1867.
  • Berkeley, G., A Treatise Concerning the Principles of Human Knowledge, in Berkeley: Philosophical Works, ed. M. R. Ayers (1975) Dent, London, 1710.
  • Chisholm, R., “The Problem of Empiricism” in Journal of Philosophy, 45, pp. 512-517, 1948.

For intentionalism see:

  • Tye, M., Ten Problems of Consciousness, A Bradford Book, MIT Press, Cambridge, Mass., 1995.
  • Armstrong, D. M., Perception and the Physical World, Routledge and Kegan Paul, London, 1961.

For disjunctivism see:

  • Hinton, J. M., Experiences, Clarendon Press, Oxford, 1973.
  • McDowell, J., ‘Criteria, Defeasibility and Knowledge’ in Mind, Knowledge and Reality (1998) Harvard University Press, Cambridge, Mass., 1982.

Author Information

Daniel O’Brien
Email: dan_obi@hotmail.com
The University of Birmingham
U. S. A.

Knowledge of Language

People are language users: they read, write, speak, and listen; and they do all of these things in natural languages such as English, Russian, and Arabic. Many philosophers and linguists have been interested in knowing what accounts for this facility that language users have with their language. A language may be thought of as an abstract system, characterized either as a set of grammatical rules or as an axiomatic theoretical structure (think, for example, of the way one would characterize chess as a set of rules, or the way one conceives of geometry as an axiomatic system). So the question may be posed: What relationship do speakers of a language have to the abstract system that constitutes the language they speak? The most popular line of thought is to cast this relationship in terms of knowledge, specifically, knowledge about linguistic facts: those who have mastered English have knowledge about the syntax and semantics of English. Moreover, it is because they have this knowledge that they are able to read, write, speak, and have conversations in English. Though this view is widely accepted, it is not without its objectors, and in the present article we shall examine the arguments for attributing linguistic knowledge to speakers and shall also think about the nature of this knowledge.

Table of Contents

  1. Introduction
  2. What is it that Speakers of a Language Know?
  3. Why Think that Speakers of a Language have Knowledge about their Language?
    1. The Language Learning Argument
    2. A Psychoanalytic Argument: Recognition from the Inside
    3. The Behavior Rationalizing Argument
    4. The Novel Sentence Recognition Argument
    5. The Rule-Following Argument
    6. The Optimal Simulation Argument
    7. Summary
  4. What Kind of Knowledge is Tacit Knowledge?
    1. Linguistic Knowledge as Knowledge-How
    2. Isolated Knowledge
  5. References and Further Reading

1. Introduction

Alex Barber puts the thesis we shall be investigating this way:

…ordinary language users possess structures of knowledge, reasonably so called, of a complex system of rules or principles of language. (2003b, 3)

And Robert Matthews characterizes what he calls the “Received View” similarly:

Knowing a language is a matter of knowing the system of rules and principles that is the grammar for that language. To have such knowledge is to have an explicit internal representation of these rules and principles, which speakers use in the course of language production and understanding. (2003, 188-9)

Though this view is widely accepted, it is not without its objectors, and in the present article we shall examine the arguments for attributing linguistic knowledge to speakers and shall also think about the nature of this knowledge.

There are three major questions that need to be addressed. First, assuming that it is correct to say that masters of a language have knowledge about their language, there is the question of what, precisely, they know. Stephen Stich (1971), in a discussion of speakers’ knowledge of syntactic principles and concepts, distinguishes three alternatives. (A) Speakers of a language might be said to know facts about the particular properties of particular sentences and expressions of their language. Those who speak English, for instance, might be said to know that “Mary had a little lamb” is ambiguous, or that “Nancy likes Ben” and “Ben is liked by Nancy” are related as active and passive voice transformations. (B) More generally, speakers might be said to know the syntactic and/or semantic theory for their language. Speakers of English might be said, on this alternative view, to know the entire Davidsonian truth theory for English or to know, on the syntactic side, that NPDet+Adj+N is a rule of the grammar of English. (Stich, 1971, 480). (C) Finally, and most generally, speakers might be said to know the principles and rules of what linguists call universal grammar. That is, they might be said to know “that all human languages have phrase structure and transformational rules, or that the grammar of every language contains the rule S NP+VP.” (Stich, 1971, 480). In more recent discussions of this topic which have centered on knowledge of a Davidsonian truth theory for the language rather than on knowledge of syntactic principles, the issue has been whether speakers know only the theorems of the truth theory or the axioms as well.

Second, why should we think that the relevant relationship is one of knowledge at all? The movements of a bicyclist who successfully rounds a corner are properly described by a complicated set of equations in physics, but there is certainly no need for the bicyclist to know these equations in order to keep her balance. In a similar vein, then, why can we not say that the linguistic behavior of a speaker of English is merely properly described by the semantic and syntactic rules of English? Why, in other words, must we say that speakers of English know the rules of English instead of merely saying that their linguistic behavior is correctly described by those rules in the way that the bicyclist’s behavior is correctly described by the laws of physics? This article will briefly look at some of the more prominent arguments for the thesis that masters of a language know the semantic and syntactic theories of their language.

Third, and perhaps most importantly, there is the question of what sort of knowledge linguistic knowledge is. All the participants in this debate agree that if masters of English have knowledge of the semantic and/or syntactic theory of English, this knowledge is importantly different from more ordinary sorts of knowledge. In addition to other important differences between knowledge of language and more ordinary sorts of knowledge, those who allegedly have knowledge of language are rarely, if ever, able to say what it is they know and the knowledge in question is largely, if not entirely, inaccessible to consciousness. The term “tacit knowledge” has been introduced to mark this distinction. Ruth, an English speaker, may know, in the ordinary sense of the term, that Chicago is the largest city in Illinois (if asked, for instance, what the largest city in Illinois is, she will answer correctly), but the knowledge she has of the semantic theory of English is best characterized as “tacit” since she is unable, among other things, to think about or tell someone else the content of what she knows. We shall discuss further the arguments for thinking that the knowledge we have of our language is tacit, the ways in which tacit knowledge differs from knowledge in the ordinary sense of the term, and the different conceptions of tacit knowledge that have been offered over the years.

2. What is it that Speakers of a Language Know?

The question of tacit linguistic knowledge has come up in connection with two separate issues in the philosophy of language. It first arose in the 1960s in connection with Noam Chomsky’s claim that every speaker of a natural language knows both the grammar of the language she speaks (English, Arabic, and so on) as well as the universal grammar which specifies linguistic universals, or grammatical properties of all natural languages. Chomsky’s claims drew the attention of philosophers not simply because of his claims of tacit linguistic knowledge, but because he claimed that knowledge of the universal grammar was innate to human beings. This claim, inasmuch as it seemed to revive certain key principles of 17th Century Rationalism, quickly attracted critical attention from the philosophical world. According to Chomsky’s view (at least as it was once expressed) human beings are born knowing the principles of universal grammar and, by deploying those principles in an environment of, say, English speakers, they come to learn the grammar of English. Knowing the grammar of English, Chomsky further claimed, is necessary for being able to read, write, speak, and understand English. Since Chomsky’s concern was primarily with the syntactic rules and principles of a language, the debate surrounding Chomsky’s nativism became a debate about whether or not speakers have syntactical (or, as it is frequently called, grammatical) knowledge of their language. In connection with this debate, philosophers have seen fit to think about three separate knowledge claims:

(a) That speakers of a language know the grammatical properties of individual expressions of their language;

(b) That speakers of a language know the particular grammatical rules of a natural language; and

(c) That speakers of a language know the principles of universal grammar. (See Stich, 1971, and Graves, et. al., 1973 for this taxonomy)

Most of our discussion here will focus on (a) and (b), though we will make some brief mention of claim (c). One of the central issues in this debate turns on the fact that the grammatical rules for any natural language are abstract, technical, and complex and, as such, are formulated in concepts that the average speaker does not possess. Because of these features of the grammatical rules, many philosophers are hesitant to ascribe knowledge of them to speakers. In the second place, the issue of tacit linguistic knowledge arose in connection with the truth-theoretic semantics inspired by the work of Donald Davidson. Davidson was more concerned with semantics than with syntax, and was interested in the project of constructing a semantic theory for a natural language. These theories (known in the literature as “T-theories” or “Truth-theories”) have an axiomatic structure, with the axioms specifying the meanings of the atomic elements of the language (roughly, the words) and the theorems — which are logically derived from the axioms — specifying the meanings of the sentences. Here the question of a speaker’s linguistic knowledge is the question of whether competent speakers of a language must be said to know the truth theory for their language, and, if they do, whether they are to be credited with knowledge of the theorems alone, or with knowledge of the axioms as well (though Davidson himself was not interested in this particular question).

One of the central issues in the debate over knowledge of the axioms of a truth theory is the idea that there are multiple ways of axiomatizing the same set of theorems. If English speakers are said to know the axioms of the truth theory for English, which axiom set do they know? In addition to this problem of multiple axiomatizations, the issues of complexity and inaccessibility to the consciousness of speakers that arise in the Chomskian debate also surface here.

3. Why Think that Speakers of a Language have Knowledge about their Language?

It is clear that speakers’ linguistic knowledge, if they have it, is an odd sort of knowledge. That is, such knowledge differs in significant ways from ordinary, everyday knowledge. Though a complete analysis of the conditions for knowledge is well beyond the scope of this article, Stich lays out some relevant features of ordinary knowledge:

Commonly when a person knows that p he has occasionally reflected that p or has been aware that p; he will, if inclined to be truthful and otherwise psychologically normal, assert that p if asked. More basic still, he is capable of understanding some statement which expresses what he knows. (1971, 485-6)

But these conditions are rarely, if ever, met in the case of language users’ knowledge of the grammatical principles of their language. Martin Davies (1989) identifies three significant differences between tacit knowledge and knowledge ordinarily so called: propositions that are tacitly known are (i) inaccessible to the knower’s consciousness, (ii) deploy concepts which the knower only tacitly possesses and (iii) are inferentially isolated from other propositions that the knower may know. (The inferential isolation of linguistic knowledge will be discussed in Section IV below.) The upshot of these considerations is that the argumentative burden is on the advocates of linguistic knowledge. After all, without such an argument, an appeal to Occam’s Razor would seem to tell us that the simplest approach is simply to say that speakers’ linguistic behavior is merely accurately described by the principles of a semantic or syntactic theory, not that they actually know the theory itself. (Think back to our example of the bicyclist: given that most bicyclists couldn’t tell us or even bring to their own consciousness the details of the physical equations that describe their cycling behavior, without an argument for attributing them knowledge of those equations, we should say only that their behavior is accurately described by those equations.) In this section we shall look at some of the more prominent arguments for the attribution of linguistic knowledge to masters of a language.

a. The Language Learning Argument

There are some accounts of the nature of language learning that seem to imply that masters of a language have knowledge about their language. According to some accounts, a child learning a language is involved in much the same sort of activity as a field linguist who is trying to figure out the language of the natives she is studying. The field linguist is involved in constructing a theory of the native language: the linguist formulates hypotheses about what certain words and phrases mean, tests these hypotheses (perhaps by making predictions about what the natives would say in a certain situation, or by talking to the natives and making predictions about their replies to her), and modifies her theory in light of the results of those tests. The idea is that infant language learners are “little linguists” involved in the same sort of process: the infant is engaged in the formulating, testing, and revision of hypotheses about the meaning and structure of the language being spoken by those around him. Of course, on this picture of language learning as theory construction, the theory construction takes place at a subconscious level and the hypotheses are formulated in the so-called Language of Thought, which is distinct from any natural language.

If this account of language learning is true (Quine, for one, seems to be a proponent of it), then it must be the case that language learners have linguistic knowledge. For one, the language learners will know the results of their theory. In much the way that the linguist, at the end of the day, knows that “toktok” is the native word for “fire”, so the language learner will know the meanings of the words of the language he has learned. Second, the language learner must have knowledge of the concepts required for the formulation of his hypotheses. If, for instance, the hypotheses formulated by the language learner include claims like “‘The large box’ is a noun phrase” and “‘The box was painted by Nancy’ is in the passive voice”, then the language learner must know what noun phrases are and what it means for a sentence to be in the passive voice. To formulate hypotheses about noun phrases, the passive voice, and other semantic and syntactic categories, the language learner must have knowledge about those categories. Or, to put the point another way, the language learner must possess the concepts he deploys in the hypotheses he formulates in the process of learning the language.

This argument is not without its objections. For one, there are philosophers who reject the model of language learners as “little linguists”. Second, even if this account of language learning is true, it tells us nothing about whether linguistic knowledge (that is, knowledge of the semantics and syntax of a natural language) is involved in our everyday use of language. Perhaps, even if knowledge is involved in learning a language, such knowledge plays the same role that training wheels play in learning how to ride a bicycle: though necessary for learning how to cycle, they are jettisoned afterward. When mature cyclists ride, they are not using training wheels, and it might similarly be the case that when mature language users use their language they are no longer utilizing the knowledge which they made use of in acquiring it. What we are interested in here is whether using a language in everyday reading, writing, and conversing requires that the language users draw on linguistic knowledge, and so, the present argument is, taken by itself, incomplete.

b. A Psychoanalytic Argument: Recognition from the Inside

Language users sometimes, though not frequently, reflect on the semantic features of their language. They may do so on their own or they may do it in the course of being interviewed by a linguist. In the course of such reflection, language users make judgments about the semantic and syntactic properties of, and relations among, sentences. So, presented with a set of English sentences, masters of English will be able to match up those in the active voice with their synonymous passive versions, or declarative sentences with the corresponding questions, and so on.

One might think that something about the explicit linguistic judgments that language users make in the course of this second order, metalinguistic reflection requires the attribution of linguistic knowledge. Perhaps the fact that language users are able to make explicit judgments about the semantic properties of sentences they have never encountered before is reason to say that they must have known semantic truths beforehand. Thomas Nagel (1969) has argued that a certain feature of the reflective process — the fact that when presented with certain propositions of semantic and syntactic theories, language users recognize them “from the inside” as correct — implicates prior linguistic knowledge.

As already mentioned, one of the large obstacles barring the way to ascriptions of linguistic knowledge is the fact that the propositions of the relevant semantic theories are highly complex and involve technical theoretical concepts. In light of these facts, Nagel wonders under what conditions it may be proper to attribute knowledge of such propositions to speakers. Nagel turns his attention to “unconscious knowledge in the ordinary psychoanalytic sense” for a clue.

The psychoanalytic ascription of unconscious knowledge, or unconscious motives for that matter, does not depend simply on the possibility of organizing the subject’s responses and actions in conformity with the alleged unconscious material. In addition, although he does not formulate his conscious knowledge or attitude of his own accord, and may deny it upon being asked, it is usually possible to bring him by analytic techniques to see that the statement in question expresses something that he knows or feels. That is, he is able eventually to acknowledge the statement as an expression of his own belief, if it is presented to him clearly enough and in the right circumstances. Thus what was unconscious can be brought, at least partly, to consciousness. It is essential that his acknowledgment not be based merely on the observation of his own responses and behavior, and that he come to recognize the rightness of the attribution from the inside. (1969, 175-6)

Nagel then offers the following proposal for attribution of unconscious or tacit knowledge:

…where recognition of this sort is possible in principle, there is good reason to speak of knowledge and belief, even in cases where the relevant principles or statements have not yet been consciously acknowledged, or even in cases where they will never be explicitly formulated. (1969, 176)

and claims that this sort of recognition exists in the linguistic realm:

…we may observe that accurate formulations of grammatical rules often evoke the same sense of recognition from speakers who have been conforming to them for years, that is evoked by the explicit formulation of repressed material which has been influencing one’s behavior for years. (1969, 176)

Accordingly, he concludes, we have reason to attribute linguistic knowledge to language users. Nagel has, it seems, found a phenomenon — recognition “from the inside” of the correctness of a rule or principle — which is adequately explained only by the ascription of prior knowledge. We cannot make adequate sense of this “Of course! That’s it! I knew it all along!” phenomenon unless (or so it is argued) we say that language users had knowledge prior to being questioned.

There are two objections to this argument. First, even if this is sound, we would need to hear more about how this applies to unreflective language use. In general, one may try to explain some feature of explicit linguistic judgments in terms of linguistic knowledge, but in order for us to conclude that first order language use involves the active deployment of linguistic knowledge, we need an argument for the claim that first order language use consists in making explicit linguistic judgments. To build on the earlier analogy of cycling, we may say that a cyclist has all sorts of knowledge of the mechanical workings of his bicycle — and we may show that he does by interviewing him before the race in his garage — but it does not follow that he is deploying or using that knowledge in the course of cycling.

Second, as Stich (1971) has claimed, it is doubtful that we can actually bring speakers to this sort of recognition. While it is certainly possible to do this with some linguistic rules, the fact that the rules which, according to linguists and philosophers, constitute any natural language are exceedingly abstract, complex, and technical would argue against the possibility of bringing speakers of a language to this “from-the-inside” recognition of the linguistic rules of that language.

c. The Behavior Rationalizing Argument

The two arguments we have just examined fail to give us conclusive reasons for thinking that ordinary every day language use requires the attribution of linguistic knowledge to speakers. While they may take us some of the way toward that conclusion, they are, at best, incomplete. The Behavior Rationalizing Argument, by contrast, focuses precisely on everyday language use to establish its conclusion and is, for that reason, a stronger argument.

One common justification for ascribing knowledge to people is that such knowledge ascriptions are necessary to explain their behavior. So, to borrow an example from Ernest LePore, a proponent of this argument, if we see Cinderella running and seek to explain that behavior of hers, we will naturally ascribe to her a desire (say, to be home by midnight) and some beliefs (say, that it is almost midnight and that she won’t get home by midnight unless she runs). The only way to rationalize (i.e make sense of) Cinderella’s behavior is to ascribe some set of beliefs and desires to her. So far, this is merely standard belief-desire psychology and has nothing in particular to do with linguistic knowledge. LePore, however, has adapted this argument to make the case for linguistic knowledge, and it is that adaptation that constitutes the “Behavior Rationalizing Argument” for linguistic knowledge.

LePore asks us to imagine that Cinderella begins running because Arabella has yelled to her, “It’s almost midnight!” In this case, in order to make sense of Cinderella’s behavior, it seems we have to ascribe to Cinderella at least three additional beliefs:

(i) that Arabella uttered the sentence “It’s almost midnight”; and

(ii) that “It’s almost midnight” means that it’s almost midnight; and

(iii) that Arabella is telling the truth

Claiming that Cinderella has these three beliefs seems necessary to adequately explain why Cinderella believes, upon hearing Arabella, that it’s almost midnight. (And, given her belief that she can get home by midnight only if she runs and her desire to be home by midnight, we can understand why she is running.) Notice, however, that if this is the story to tell, we have, with (ii), ascribed to Cinderella a belief about the semantic properties of a particular English sentence. If Cinderella runs because Arabella yelled to her “It’s almost midnight,” it seems that rationalizing Cinderella’s behavior requires attributing to Cinderella a belief about the linguistic properties of a sentence of her language. Rationalizing Cinderella’s behavior, therefore, requires that we attribute linguistic knowledge to Cinderella.

The point can be further appreciated if we imagine that Cinderella does not understand English. Upon Arabella’s yelling “It’s almost midnight”, Cinderella may still form beliefs (i) and (iii), (belief (i), note, is just about the words that Arabella has uttered; even if she doesn’t understand English, Cinderella may still believe that Arabella has uttered certain words) but she will not begin running. The reason she will not is because she has not understood what Arabella has said. That is, she lacks belief (ii). This seems to be a strong case for conceiving of a speaker’s understanding of the language in terms of linguistic knowledge of the language itself. LePore puts the point this way:

What about understanding language justifies, for example, the belief that it is midnight, when this understanding combines with other attitudes, for example, the belief that Arabella uttered “It’s [almost] midnight”? It is hard to see how else we could justify such a belief without ascribing additional beliefs, knowledge, or other propositional attitudes the speaker might have but the non-speaker lack. (1986, 5)

Such, then, is the Behavior Rationalizing Argument for the conclusion that speakers of a language have beliefs about the meanings of particular sentences of their language. The behavior of language users (in particular, their reactions to the utterances of others) shows that they have beliefs about what sentences of their language mean. Upon noticing a sign in a shop window that reads “Free philosophy books inside!” Cinderella enters the shop. Rationalizing her behavior requires that we ascribe to Cinderella the belief that there are free philosophy books inside the shop. And the best explanation for how she came by that belief is that she knows what the English sentence “Free philosophy books inside!” means. And so on for her reactions to other sentences of English. It is only if we ascribe linguistic knowledge to English speakers that we can make sense of their behavior. What is important about this argument is that it appeals to ordinary, everyday, features of language use, and that is one of its strengths.

One of the limitations of this argument, however, is that it succeeds in attributing to speakers knowledge of the semantic properties of only particular sentences of their language. In terms of Davidsonian theories of meaning, in other words, it is an argument that Cinderella knows the theorems of those theories. For an argument that Cinderella knows more than this, we need to turn to the Novel Sentence Recognition argument.

d. The Novel Sentence Recognition Argument

This is perhaps one of the best known, and most relied upon, arguments for linguistic knowledge, and we can approach it by picking up where the Behavior Rationalizing Argument left off. That argument, if sound, has established that speakers’ understanding of the sentences of their language consists in their having beliefs about the meanings of those sentences. Now, philosophers and linguists have long been impressed by the fact that, after being exposed to only a small number of strings of language, masters of a language are able to understand a potential infinity of previously unencountered strings of language. After exposure to only a small number of English sentences, speakers are able to recognize, of just about any English sentence — including sentences they have never seen or heard before — what that sentence means. This is a remarkable feat, and cries out for explanation. As Crispin Wright characterizes it, the central project of theoretical linguistics is to “explain our recognition of the syntax and sense of novel sentences” (1989, 258), and, according to the Novel Sentence Recognition Argument, the best such explanation will appeal to cognitive states of language users.

The best explanation of speakers’ ability to have beliefs about the meanings of a potential infinity of sentences involves the claim that speakers are deriving their belief about the meaning of a sentence from other beliefs about (simplifying a bit) the meanings of the component words. The reason why Nancy has a belief about the meaning of a sentence she has never encountered before is that she already has beliefs about the meanings of all the words (and semantic significance of the syntax) in that sentence. Since Nancy’s beliefs about the meanings of the sentences are viewed as beliefs about the theorems of a Davidsonian theory of meaning, we can view the conclusion of this argument as attributing to Nancy beliefs about the axioms of the theory.

It may help to think about the language itself, setting aside the question of speakers’ knowledge of the language. What is it that allows for the construction of novel sentences of English, sentences that have never before been constructed? Surely it is the fact that English is compositional: sentences are constructed out of words, to put it simply. A finite collection of words can be arranged in an infinite number of ways, generating the potential infinity of English sentences. This compositionality applies, then, to the structure of speakers’ knowledge of their language: their ability to understand (which, according to the Behavior Rationalizing Argument, consists in having a semantic belief) a potential infinity of sentences is rooted in their knowledge of the axioms of the theory of meaning.

e. The Rule-Following Argument

Inspired by Wittgenstein’s discussion in The Philosophical Investigations, there is a tradition according to which speaking a language is conceived of as a matter of following a set of rules: the language itself is conceived of as a set of rules (as chess is) and those who speak the language are following those rules in the course of their language use, much like chess players are following the rules of chess as they play. John Searle is a proponent of this view of language use:

Speaking a language is engaging in a (highly complex) rule-governed form of behavior. To learn and master a language is (inter alia) to learn and to have mastered these rules. This is a familiar view in philosophy and linguistics. (Searle, 1969, 12)

Somewhat later, and more simply, Searle says this: “speaking a language is performing acts according to rules.” (1969, 36) If we adopt this view, we can construct an argument for attributing linguistic knowledge to speakers of a language.

The first point to make is that there is an important difference between, on the one hand, following a rule or being guided by a rule, and, on the other hand, acting in accordance with a rule or having one’s behavior correctly described by a rule. Quine illustrates the distinction this way:

Imagine two systems of English grammar: one an old-fashioned system that draws heavily on the Latin grammarians, and the other a streamlined formulation due to Jespersen. Imagine that the two systems are extensionally equivalent, in this sense: they determine, recursively, the same infinite set of well-formed English sentences. In Denmark the boys in one school learn English by the one system, and those in another school learn it by the other. In the end all the boys sound alike. Both systems of rules fit the behavior of all the boys, but each system guides the behavior of only half the boys. (Quine, 1972, 442)

Only half of the boys are following the Jespersen rules (because only half the boys learned the Jespersen rules), but all the boys are acting in accordance with the Jespersen rules. That is, the behavior of all of the boys is correctly described by the Jespersen rules. Or, put differently, none of the behavior of any of the boys ever violates the Jespersen rules.

According to advocates of the Rule-Following Argument, fluent speakers of English are to be thought of as following the rules of English and not as merely acting in accordance with them. What is the difference between one who is following a rule and one who is merely acting in accordance with it? The Rule-Following Argument claims that drawing this distinction requires attributing knowledge of the rules to fluent speakers.

The argument goes like this. First, an agent is following a rule only if that rule is somehow involved in the explanation of her behavior. If we say that Nancy, while playing chess, is following the rule “Bishops may move diagonally only”, then we commit ourselves to the view that the explanation of why Nancy acted as she did will appeal to that rule. By contrast, that rule does not appear in the explanation of the behavior of someone who is merely acting in accordance with that rule. Second, the way in which the rule shows up as part of the explanation of Nancy’s rule-following behavior is that the rule appears as one of the causes of her behavior. Accordingly, the rule is not involved in the causal explanation of the behavior of someone who is merely acting in accordance with that rule. The most we can say of a rule with which an agent is merely acting in accordance is that the rule truly describes her behavior. The rule is among the causes of the behavior of an agent who is following that rule. Third, and finally, a rule features as a cause of an agent’s behavior because the agent knows, or somehow has present to mind, that rule. From these three claims, we get the conclusion that fluent speakers of a language (whose linguistic behavior is conceived of as rule-following behavior) have linguistic knowledge: they know the rules they are following. Rosenberg gives a nice description of this position:

Learning to behave according to certain rules is, presumably, learning to pursue or eschew certain activities. But it is not simply that. A pigeon who has been trained (conditioned) to peck at a key under certain circumstances has not learned to behave according to any rules. What more is required is that the activities in question be pursued or eschewed because they are enjoined or proscribed by the rules. If an agent is following a rule in the course of his activities, then the rule in question must, in some sense, be “present to the mind.” (1974, 31)

This Rule-Following Argument, with its talk of the difference between following a rule and acting in accordance with a rule, differs in its starting point from the Behavior Rationalizing Argument. Its focus is on making sense of agents’ responses to their interlocutors’ utterances, but it ends up in much the same place: fluent language users have linguistic knowledge and make use of that knowledge in the course of their language use.

f. The Optimal Simulation Argument

Jerry Fodor defends “intellectualist” accounts of psychology, and, in the course of so doing, provides another argument for the attribution of tacit knowledge to language users. Fodor is concerned with psychology generally, and not simply with the explanation of linguistic behavior, and so fully appreciating the argument requires that we briefly review his intellectualist position.

According to Fodor, the explanation for how people snap their fingers or tie their shoes is that there are instructions for how to do these things — descriptions, in terms of the elementary operations of our nervous, perceptual, and muscular systems — and that these instructions are encapsulated as information in our minds. Since, in snapping our fingers or tying our shoes, we are applying these instructions, we must know them. Fodor frequently uses the images of “little men in our heads”, but the cash value of this metaphor is simply that the information is somehow represented in our minds. Whenever we tie our shoes, little agents in our head (and in other parts of our nervous system) execute the instructions encapsulated in the “instruction manual” for shoe tying. To say that we know how to tie our shoes is simply to say that we know the instructions for doing so. What makes his position an intellectualist one is precisely this appeal to represented information as part of the explanation of our behavior. As Fodor himself puts it, “The intellectualist account of X-ing says that, whenever you X, the little man in your head has access to and employs a manual on X-ing; and surely whatever is his is yours.” (1968, 636)

Fodor is sensitive to the fact that those of us who possess this knowledge are unable to answer the question, “How does one X”? That is, Ruth may be unable to explain (in terms of nerve firings and muscle contractions and so on) how it is she snaps her fingers, but, all the same, she knows the instructions for finger snapping which are formulated in terms of nerve firings and muscle contractions. Thus, Fodor acknowledges, this knowledge must be tacit, and he seeks to provide an argument for saying, despite her inability to say how she X-es, that Ruth knows the instructions for X-ing. His argument appeals to optimal simulations of an organism’s behavior — that is, to a machine or computer program, or some other artificial device that would simulate the organism’s behavior.

Fodor’s position on tacit knowledge attributions is aptly summed up thus:

…if X is something an organism knows how to do but is unable to explain how to do, and if S is some sequence of operations, the specification of which would constitute an answer to the question “How do you X?,” and if an optimal simulation of the behavior of the organism X-s by running through the sequence of operations specified by S, then the organism tacitly knows the answer to the question “How do you X?,” and S is a formulation of the organism’s tacit knowledge. (1968, 638)

If we build a robot that optimally simulates Ruth’s finger snapping behavior, and the robot runs through a series of instructions S1, S2, S3, and so on, then, according to Fodor, Ruth tacitly knows S1, S2, S3, and so on A particularly odd feature of this proposal is that it draws a conclusion about Ruth upon noticing something about a robot. The fact that we can build a robot to simulate Ruth’s (or any human being’s) finger snapping shouldn’t give us any evidence at all about Ruth, should it? As Fodor puts it, “how could any fact about the computational operations of some machine (even a machine that optimally simulates the behavior of an organism) provide grounds for asserting that an epistemic relation [that is, tacit knowledge] holds between an organism and a proposition?” (638)

It is at this stage that Fodor deploys the following, seemingly reasonable, inductive principle: From like effects, infer like causes. Since the robot and Ruth are exhibiting similar effects, and we know the cause of the robot’s behavior — it is running through the instructions — we can infer (inductively, of course) that Ruth’s behavior has a similar cause.

If machines and organisms can produce behaviors of the same type and if descriptions of machine computations in terms of the rules, instructions, and so on, that they employ are true descriptions of the etiology of their output, then the principle that licenses inferences from like effects to like causes must license us to infer that the tacit knowledge of organisms is represented by the programs of the machines that simulate their behavior. (640)

So far we have spoken in general terms about the behavior of organisms — shoe tying, finger snapping, and so on, — but, of course, we can apply Fodor’s argument to linguistic behavior. Since speaking English or reading German or having a conversation in Arabic are intelligent behaviors on a par with shoe tying and finger snapping, if we can (a) arrive at a specification of a set of instructions for how one does these things — a set of instructions which will, in all likelihood, make reference to the semantic and syntactic theories of these languages — and if we can (b) produce an optimal simulation of such language use which simulates human language use by running through those instructions, then we can, by Fodor’s reasoning, conclude that human speakers of those languages have tacit knowledge of the semantic and syntactic theories of the languages they speak.

g. Summary

We have seen a number of arguments that attempt to establish that speakers of a language have knowledge of the semantic and syntactic properties of the words and sentences of their language. It is worth reiterating that the argumentative ball is in the court of the proponent of linguistic knowledge: the many ways in which linguistic knowledge, if it exists, differs from ordinary knowledge puts the burden of argument on the philosopher who advocates the position that every ordinary speaker of a language has syntactic and semantic knowledge.

The arguments assembled here are, in one way or another, all arguments to the best explanation. There are some phenomena (language learning, novel sentence recognition, behavior in response to an utterance, and so on) which, according to the arguments, can best (or, perhaps, only) be explained by the attribution of knowledge to the speakers. This is a perfectly legitimate form of argument, of course, and may ultimately carry the day. But, as with all such arguments, they are vulnerable to the objector who thinks either that the phenomena in question do not need explanation or can be explained in simpler terms — that is, terms that don’t require knowledge attribution.

If, however, we accept the conclusion of these arguments, we need next to investigate the nature of tacit knowledge. In what respects is tacit knowledge like other, more familiar sorts of knowledge? In what ways is it different? Might it be so different as to not qualify as knowledge at all? These are some of the questions we shall be discussing in the final section.

4. What Kind of Knowledge is Tacit Knowledge?

If we accept the conclusion of the above arguments and, consequently, attribute tacit knowledge of a language to speakers of that language, the question that next presents itself is this: what sort of knowledge is tacit knowledge? How is tacit knowledge of a language like other sorts of knowledge that we ordinarily ascribe to people?

a. Linguistic Knowledge as Knowledge-How

A common move by those who are somewhat skeptical of the attribution of tacit linguistic knowledge is to draw a distinction between propositional knowledge and practical knowledge, or, more colloquially, between “knowledge that” and “knowledge how”. (Ryle (1949) is credited with the original distinction, but also see Stanley and Williamson (2001) for a more recent treatment.) The distinction is meant to emphasize that not all knowledge should be regarded as a relationship between a knower and a proposition. So, for instance, when we say

(1) Sophie knows that Paris is the capital of France

we usually understand that attribution in terms of Sophie’s relationship to the proposition expressed by the sentence “Paris is the capital of France.” To possess that knowledge, accordingly, Sophie must bear some sort of cognitive relationship to that proposition. She must, in some sense, “have that proposition before her mind”. By contrast, were we to say

(2) Sophie knows how to swim

we would not thereby be attributing to Sophie any relationship to any propositions. There may be a good many propositions that accurately describe what Sophie is doing while she is swimming (“Sophie is kicking her feet 75 times a minute”, “Sophie is traveling 5 miles an hour”, and so on) but, the position holds, she need not bear any cognitive relationship to those propositions in order for us to truly assert (2). To say that Sophie knows how to do something is to attribute to Sophie a practical ability, but in doing so (if we accept the knowledge-that/knowledge-how distinction) we do not attribute to her cognitive relationships to a particular set of propositions.

Some have argued that the sort of knowledge that speakers have of their language should be conceived of as knowledge-how. Wittgenstein gives voice to the sentiment in the Investigations thus:

To understand a sentence means to understand a language. To understand a language means to be master of a technique. (1958, para. 199)

But is has been more clearly asserted more recently by Anthony Kenny:

To know a language is to have an ability: the ability to speak, understand, and perhaps read the language. (1989, 20)

and by Michael Devitt who claims that we should view linguistic competence

not as semantic propositional knowledge, but as an ability or skill: It is knowledge-how not knowledge-that. (1996, 25)

To accept this line of thought is to conceive of the propositions that constitute the grammar or theory of meaning for a particular language as accurately describing the linguistic behavior of speakers; those propositions are not to be conceived of as the content of speakers’ propositional attitudes.

There are a number of reasons for accepting the view that linguistic knowledge is knowledge-how, but perhaps the most popular line of thought is this: Since, or so it has been claimed, propositional knowledge, or knowledge-that, requires that one understand a language (the language in which the propositions are represented), linguistic understanding cannot, on pains of regress or circularity, be analyzed in terms of propositional knowledge. We cannot, it is argued, analyze Cinderella’s understanding of English in terms of her knowledge of a set of English sentences of the sort found in, say, Davidsonian meaning theories, for example,

“Snow is white” is true if and only if snow is white

because knowing the propositions expressed by those sentences requires understanding English.

There are responses to this argument and there are, as mentioned, other reasons to endorse the view that linguistic knowledge should be viewed as knowledge-how. Moreover, and perhaps more importantly, there are arguments against the knowledge-how/knowledge-that distinction. Stanley and Williamson have argued that “all knowing-how is knowing-that” (2001, 444). If their argument stands up to scrutiny, it makes the project of trying to analyze linguistic knowledge as a species of practical knowledge much more difficult. The topic of practical knowledge and its relationship to propositional knowledge is a fascinating one, and the brevity of this discussion here should not be taken as a dismissal of the importance or complexity of the existing debate.

b. Isolated Knowledge

If we accept that speakers of a language have propositional knowledge of the grammar, or meaning theory, for their language, we need to think about the ways in which that knowledge is like other sorts of propositional knowledge. One condition that seems satisfied by ordinary beliefs (and states of knowledge) is the following:

Beliefs (and states of knowledge) are the sorts of states that interact with the believer’s desires and which must potentially be at the service of many of the believer’s different projects.

Gareth Evans has endorsed this condition on beliefs:

It is the essence of a belief state that it be at the service of many distinct projects, and that its influence on any project be mediated by other beliefs. (1981, 132)

So consider Susie who believes that a pot of soup is laced with cyanide. According to this condition on beliefs, Susie counts as having this belief (and, if she meets other conditions, counts as knowing that the soup is laced with cyanide) only if it is possible for this cognitive state to serve a number of different projects. Susie’s belief might lead to her refusing to eat the soup herself, to her keeping her friends from eating the soup, to serving the soup to her enemies, and, if Susie further believes that ingesting a bit of cyanide each day for a month renders one immune to its effects and desires to develop a cyanide immunity, her belief that the soup is laced with cyanide might lead to her taking a spoonful of it each day for a month. Susie thus stands in contrast to a laboratory rat to whom, given its conditioning, we might be tempted to attribute the belief that the soup is laced with cyanide. What makes it the case that the rat does not have a genuine belief is that this belief leads to only one kind of behavior — avoiding eating the soup. This putative belief of the rat’s does not help to explain anything else the rat does, and because of this, it does not count as a genuine belief.

The plausibility of this condition on our ordinary concept of belief emerges when we realize that these multiple projects are the result of multiple desires. Susie’s different desires — for her own health, for the health of her friends, for the demise of her enemies, for immunity to cyanide — are what interact with the belief that the soup is laced with cyanide to produce different behaviors. A belief is the kind of thing that can interact with multiple desires to produce behavior, and, consequently, so with knowledge. Beliefs (and thus states of knowledge) cannot be isolated to the degree that they are incapable of interacting with different desires to produce different behavior.

All of this is relevant to our discussion of linguistic knowledge because, according to many authors, the knowledge that speakers have of the grammar or meaning theory of their language is, or seems to be, isolated in the way that ordinary beliefs are not. A speaker’s linguistic beliefs(whose content are the grammatical principles of their language or the contents of the meaning theory for their language) seem to be inferentially isolated from the rest of her beliefs and from her desires. Such beliefs operate (especially if we are attracted to either the Behavior Rationalizing Argument or the Novel Sentence Recognition Argument above) simply to account for a speaker’s understanding of a string of the language. If we are convinced by the Novel Sentence Recognition Argument to ascribe to a speaker a belief about some syntactic structure, we do so only in order to explain the fact that the speaker is able to understand a sentence she has never encountered before. That belief interacts with no other desires of the speaker and is at the service of one project alone: the comprehension of encountered sentences. Accordingly, if we accept Evans’ claim, we should conclude that while an English speaker may have some cognitive relationship to the grammar or meaning theory for English, that relationship is not a full-fledged belief. It is, perhaps, not even a belief at all. Investigation of the particular cognitive status of these subdoxastic states is an important topic not just in relation to tacit linguistic knowledge, but in cognitive science generally.

5. References and Further Reading

  • Barber, Alex. ed. Epistemology of Language. Oxford University Press, Oxford and New York, 2003a.
  • Barber, Alex. “Introduction” Epistemology of Language. Ed. Alex Barber. Oxford University Press, Oxford and New York, 2003b. 1-43.
  • Davies, Martin. “Tacit Knowledge and Subdoxastic States.” Reflections on Chomsky. Ed. Alexander George. Basil Blackwell, Oxford and Cambridge,1989. 131-52.
  • Devitt, Michael. Coming to Our Senses. Cambridge University Press, Cambridge and New York, 1996.
  • Evans, Gareth. “Semantic Theory and Tacit Knowledge.” Wittgenstein: To Follow a Rule. Eds. Holtzman, S.H. and C.M. Leitch. Routledge and Kegan Paul, London,1981.
  • Fodor, Jerry. “The Appeal to Tacit Knowledge in Psychological Explanation.” Journal of Philosophy 65 (1968): 627-40.
  • George, Alexander. Reflections on Chomsky. Basil Blackwell, Oxford and Cambridge, MA, 1989.
  • Graves, Christina, et. al. “Tacit Knowledge.” Journal of Philosophy 70, (1973): 318-30.
  • LePore, Ernest. “Truth in Meaning.” Truth and Interpretation. Ed. Ernest Lepore, Basil Blackwell, Cambridge, MA, 1986. 3-26.
  • Matthews, Robert. “Does Linguistic Competence Require Knowledge of Language?” Epistemology of Language. Ed. Alex Barber. Oxford University Press, Oxford and New York, 2003. 187-213.
  • Nagel, Thomas. “Linguistics and Epistemology.” Language and Philosophy. Ed. Sidney Hook. New York University Press, New York, 1969. 171-82.
  • Quine, W.V. “Methodological Reflections on Current Linguistic Theory.” Semantics of Natural Language. Eds. Donald Davidson and Gilbert Harman. D. Reidel, Dordrecht, 1972. 442-454.
  • Rosenberg, Jay. (1974). Linguistic Representation. D. Reidel, Dordrecht.
  • Ryle, Gilbert. The Concept of Mind. Hutchinson, London,1949.
  • Searle, John. Speech Acts. Cambridge University Press, New York, 1969.
  • Stanley, Jason and Timothy Williamson. “Knowing How.” Journal of Philosophy, 98 (2001): 411-444.
  • Stich, Stephen. “What Every Speaker Knows.” Philosophical Review, 80 (1971): 476-96.
  • Wittgenstein, Ludwig. Philosophical Investigations. G.E.M. Anscombe, trans. Macmillan, New York, 1958.
  • Wright, Crispin. “Wittgenstein’s Rule-following Considerations and the Central Project of Theoretical Linguistics.” Reflections on Chomsky. Ed. Alexander George. Basil Blackwell, Oxford and Cambridge, MA, 1989. 233-64.

Author Information

Andrew P. Mills
Email: AMills@otterbein.edu
Otterbein College
U. S. A.

Mozi (Mo-tzu, c. 400s—300s B.C.E.)

moziMo Di (Mo Ti), better known as Mozi (Mo-tzu) or “Master Mo,” was a Chinese thinker active from the late 5th to the early 4th centuries B.C.E. He is best remembered for being the first major intellectual rival to Confucius and his followers. Mozi’s teaching is summed up in ten theses extensively argued for in the text that bears his name, although he himself is unlikely to have been its author. The most famous of these theses is the injunction that one ought to be concerned for the welfare of people in a spirit of “impartial concern” (jian’ai) that does not make distinctions between self and other, associates and strangers, a doctrine often described more simplistically as “universal love.” Mozi founded a quasi-religious and paramilitary community that, apart from propagating the ten theses, lent aid to small states under threat from military aggressors with their expertise in counter-siege technology. Along with the Confucians, the Mohists were one of the two most prominent schools of thought during the Warring States period (403-221 B.C.E.), although contemporary sources such as the Hanfeizi and the Zhuangzi indicate that the Mohists had divided into rival sects by this time. While Mohist communities probably did not survive into the Qin dynasty (221-206 B.C.E.), Mohist ideas exerted a decisive influence upon the thinkers of early China. Between the late 4th and late 3rd centuries B.C.E., later Mohists wrote the earliest extant Chinese treatise on logic, as well as works on geometry, optics and mechanics. Mohist logic appears to have influenced the argumentative techniques of early Chinese thinkers, while Mohist visions of meritocracy and the public good helped to shape the political philosophies and policy decisions of both the Qin and Han (202 B.C.E.-220 C.E.) imperial regimes. In these ways, Mohist ideas survived well into the early imperial era, albeit by being absorbed into other Chinese philosophical traditions.

Table of Contents

  1. Historical Background
  2. The Core Chapters of the Mozi
  3. The Ten Core Theses of Mohism
  4. The Aims and Character of Mohist Doctrine
  5. Moral Epistemology
  6. The Foundations of Mohist Morality
  7. Impartial Concern
  8. Moral Psychology and Human Nature
  9. Government
  10. Frugality
  11. Just War
  12. Heaven and Spirits
  13. References and Further Reading

1. Historical Background

The details of Mozi’s life are uncertain.  Early sources identify him variously as a contemporary of Confucius or as living after Confucius’ time.  Modern scholars generally believe that Mozi was active from the late 5th to the early 4th centuries B.C.E., before the time of the Confucian philosopher Mencius, which places him in the early Warring States period (403-221 B.C.E.) of ancient Chinese history.  Little can be known of his personal life.  Some early sources say that he, like Confucius, was a native of the state of Lu (in modern Shandong) and at one point served as a minister in the state of Song (in modern Henan). According to tradition, he studied with Confucian teachers but later rebelled against their ideas.  As was the case with Confucius, Mozi probably traveled among the various contending states to present his ideas before their rulers in the hope of obtaining political employment, with an equal lack of success.

Mozi founded a highly organized quasi-religious and military community, with considerable geographical reach.  Overseen by a “Grand Master” (juzi), members of the community — “Mohists” (mozhe) — were characterized by their commitment to ten theses ascribed to “Our Teacher Master Mo” (zimozi), versions of which are articulated in the “Core Chapters” of the eponymous text.  Quite apart from propagating the teachings of Mozi, the Mohist community also functioned as an international rescue organization that dispatched members versed in the arts of defensive military techniques to the aid of small states under threat from military aggressors. This outreach presumably stemmed from the Mohists’ opposition to all forms of military aggression.

Some scholars speculate that Mozi and the Mohists probably came from a lower social class than, for instance, the Confucians, but the evidence is inconclusive and at best suggestive. Nevertheless, if the conjecture is true, it could well explain the often repetitive and artless style in which much of the Mozi is composed and the anti-aristocratic stance of much Mohist doctrine, as well as why the Mohists paid such attention to the basic economic livelihood of the common people.

2. The Core Chapters of the Mozi

The text known as the Mozi traditionally is divided into seventy-one “chapters,” some of which are marked “missing” in the received text. Most scholars believe that the Mozi was probably not written by Master Mo himself, but by successive groups of disciples and their followers. No part of the text actually claims to be written by Mozi, although many parts purport to record his doctrines and conversations.

While there remain intense and complicated scholarly disputes over the exact dating and provenance of different parts of the Mohist corpus, it is probable that chapters 8-37 (the so-called “core chapters”) derive either from the teachings of Mozi himself or from the formative period of the Mohist community and contain doctrines that were nominally adhered to by its members throughout much of the community’s existence. The core chapters are replete with the formula “the doctrine of Our Teacher Master Mo says” (zimozi yan yue), prefixed to sayings presented as records of Master Mo’s teaching.  (However, since the text most likely was not written by Mozi himself, this entry will refer to the doctrine presented in the core chapters in terms of “the Mohists” and “Mohist doctrine” rather than “Mozi” and “Mozi’s doctrine.”)

The core chapters consist of ten triads of essays, with seven chapters marked “missing.” Each triad of chapters correlates with one of the ten Mohist theses.  Traditionally, these triads correspond to the “upper” (shang), “middle” (zhong) and “lower” (xia) versions of the thesis in question; in Western scholarship, they are usually referred to as versions “A,” “B,” and “C” of the corresponding thesis.  Intriguingly, the chapters that make up each triad often are very close to each other in wording without being exactly identical, thus raising questions about the precise relationship between them and with how the text assumed its present shape. One influential theory in recent times is Angus C. Graham’s proposal that the triads correspond to oral traditions of Mohist doctrine transmitted by the three Mohist sects mentioned in the Hanfeizi, a third century B.C.E. philosophical text associated with a student of the Confucian thinker Xunzi.

Much of the core chapters is written in a style that is not calculated to please.  As Burton Watson puts it, the style is “marked by a singular monotony of sentence pattern, and a lack of wit or grace that is atypical of Chinese literature in general.”  But Watson also concedes that the Mohists’ arguments “are almost always presented in an orderly and lucid, if not logically convincing fashion.” Whether or not the arguments of the core chapters are logically convincing can only be determined on a case-by-case basis, but it is at least possible that the artless style is the consequence of a deliberate choice to prioritize clarity of argumentation.

3. The Ten Core Theses of Mohism

The contents of the ten triads and thus the outlines of the ten core theses are briefly described below:

Chapters 8-10, “Elevating the Worthy” (shangxian), argue that the policy of elevating worthy and capable people to office in government whatever their social origin is a fundamental principle of good governance.  The proper implementation of such a policy requires that the rulers attract the talented to service by the conferring of honor, the reward of wealth and the delegation of responsibility (and thus power). On the other hand, the rulers’ practice of appointing kinsmen and favorites to office without regard to their abilities is condemned.

Chapters 11-13, “Exalting Unity” (shangtong), contain a state-of-nature argument on the basis of which it is concluded that a unified conception of what is morally right (yi) consistently enforced by a hierarchy of rulers and leaders is a necessary condition for social and political order. The thesis applies to the world community as a whole, conceived as a single moral-political hierarchy with the common people at the bottom, the feudal princes in the middle, and the emperor at the summit, above whom is Heaven itself.

Chapters 14-16, “Impartial Concern” (jian’ai), argue that the cause of the world’s troubles lies in people’s tendency to act out of a greater regard for their own welfare than that of others, and that of associates over that of strangers, with the consequence that they often have no qualms about benefiting themselves or their own associates at the expense of others. The conclusion is that people ought to be concerned for the welfare of others without making distinctions between self, associates and strangers.

Chapters 17-19, “Against Military Aggression” (feigong), condemn military aggression as both unprofitable (even for the aggressors) and immoral. Version C introduces a distinction between justified and unjustified warfare, claiming that the former was waged by the righteous ancient sage rulers to overthrow evil tyrants.

Chapters 20-21 (22 is listed as “missing”), “Frugality in Expenditures” (jieyong), argue that good governance requires thrift in the ruler’s expenditures. Useless luxuries are condemned. The chapters also argue for the clear priority of functionality over form in the making of various human artifacts (clothing, buildings, armor and weapons, boats and other vehicles).

Chapter 25 (23-24 are listed as “missing”), “Frugality in Funerals” (jiezang), has the same theme as “Frugality in Expenditures,” but applies it to the specific case of funeral rituals. The aristocratic practices of elaborate funerals and prolonged mourning are condemned as “not morally right” (buyi) because they are not only useless to solving the world’s problems, but add to the people’s burdens.  Here, the Mohists target practices beloved by their Confucian contemporaries, for whom the maintenance of harmonious moral order in society is best accomplished through strict fidelity to ritual codes.

Chapters 26-28, “Heaven’s Will” (Tianzhi), argue that the will of Heaven (Tian) — portrayed as if it is a personal deity and providential agent who rewards the good and punishes the wicked — is the criterion of what is morally right.  Here again, the Mohists contrast themselves with the Confucians, who regard Heaven as a moral but mysterious force that does not intervene directly in human affairs.

Chapter 31 (29-30 are listed as “missing”), “Elucidating the Spirits” (minggui), claims that a loss of belief in the existence, power and providential character of spirits — supernatural agents of Tian tasked with enforcing its sanctions — has led to widespread immorality and social and political chaos. The chapter consists of an exchange with certain skeptics, whom Mozi answers with arguments purporting to prove that providential spirits exist, but also that widespread belief in their existence brings great social and political benefit.

Chapter 32 (33-34 are listed as “missing”), “Against Music” (feiyue), condemns the musical displays of the aristocracy as immoralon the same basis according to which elaborate funerals and prolonged mourning are condemned in “Frugality in Funerals.”  Just as in that chapter, here again the Mohists attack practices that are particularly dear to their Confucian rivals, who believe that music, if properly performed according to ancient canons, can play a vital role in the regulation of moral order and the cultivation of virtue.

Chapters 35-37, “Against Fatalism” (feiming), argue against the doctrine of fatalism (the thesis that human wisdom and effort have no effect on the outcomes of human endeavor) as pernicious and harmful in that widespread belief in it will lead to indolence and chaos. The chapters also contain crucial discussions on the general conditions or criteria (traditionally called the “Three Tests of Doctrine”) that must be met by any doctrine if it is to be considered sound. (See Section 5: “Moral Epistemology” below.)

4. The Aims and Character of Mohist Doctrine

As in the case of many other philosophical conceptions in early China, Mohist doctrine is deeply rooted in the thinkers’ response to the social and political problems that are perceived to beset the world (tianxia, “all beneath Heaven”).  In particular, the Mohists are concerned to offer a practical solution to the chaos (luan) of the world so as to restore it to good order (zhi). A way to characterize the Mohists’ concern is to say that they (like many early Chinese philosophers) seek and to put the Way (dao, the right way to live and to conduct the community’s affairs) into practice rather than merely to discover and state the Truth about the universe. But there are also several more distinctively Mohist twists to this underlying concern.

First, the Mohists tend to equate the Way with a conception of what is morally right (yi or renyi ). For them, good order obtains when “right rules” (yizheng) rather than “might rules” (lizheng) in the world, and “right rules” when agents (both individual and groups) conduct themselves in a manner that is morally right. A way by which we might make sense of the Mohists’ project is to see it as concerned with promoting the public good, where the public good is defined in terms of social and political justice.

Second, Mohist doctrine is almost exclusively concerned with moral behavior rather than moral character  although, to be more precise, the main object of moral evaluation in Mohist doctrine is usually a way of conduct (for the individual) or a policy (for the state), rather than individual acts. In line with this focus on behavior, concepts that are naturally understood to be virtues or desirable qualities of agents (e.g., benevolence and filial piety) in Confucian texts often are discussed as if they are reducible to the moral rightness of conduct. In “Frugality in Funerals,” for instance, “the business of the filial son” is defined in terms of conduct that benefits the world, which is in turn, a criterion of moral rightness (see the next section).

Third, the Mohists see the morally right as conceptually distinct from the customary or traditional. An argument that appeals to the distinction can be found in “Frugality in Funerals.”  The Mohists point to the variety between burial customs among the tribal peoples on the periphery of the Chinese world and note that, although what the tribes practice is customary within their communities, these practices also are all understood by an elite Chinese audience to be barbaric and immoral.  The Mohists thus urge that, just because elaborate funerals and lengthy mourning are customary practices among the gentlemen of the central states, this fact alone will not secure their consistency with moral rightness.

Fourth, for the Mohists, the Way is the subject of explicit expression in the form of “doctrine” (yan).  Before proceeding with this point, it must be stressed that the term yan in the core chapters and other texts contemporary to the period ( the Mencius for instance) is often not best taken as “language” or “speech” in any generic sense. Rather, it often means “doctrine” or “maxim of conduct,” a verbal package meant to guide individual conduct and state policy. In other words, we can take yan in the core chapters as the verbal counterpart to a conception of the Way, a linguistic formula that identifies a Way of life and guiding the conduct of those who hold to it.

Not only are Mozi and the Mohists concerned to advance a Way, they are explicit in verbalizing their Way as doctrine, offering arguments for it and defending it against rival doctrines. In disputation, they often first formulate their rivals’ positions as opposing doctrines before attempting to refute them.  They also often identify rivals by the doctrines they supposedly “hold to” (for instance, they speak of “the doctrine of those who hold to [the thesis that] (“fate exists'” in “Against Fatalism”).  There is even a tendency to see the problematic conduct of people as largely springing from wrong doctrine, quite apart from the concern to offer arguments against various opponent positions. In addition, when the Mohists evaluate a practice or way of conduct, they sometimes speak in terms of evaluating the doctrinethat (putatively) corresponds to that practice (see, for instance, “Frugality in Funerals”).

The “Ten Theses” as a whole can thus be taken as presenting the sum of Mohist doctrine, which is itself the verbal or linguistic counterpart to their Way, their conception of what is morally right. The characteristically Mohist tendency to see the Way as open to linguistic formulation puts them in sharp contrast with “Daoist” traditions such as those associated with Laozi and Zhuangzi. In fact, as Robert Eno has argued, the Mohist focus on doctrine very likely forms the polemical background to the critique against language in texts such as the “Discourse on Making Things Equal” chapter in the Zhuangzi.

5. Moral Epistemology

One of the philosophically most interesting aspects of the Mohist concern with doctrine is their explicit discussion of criteria for evaluating doctrine in the “Against Fatalism” chapters.  The “Three Tests of Doctrine” are introduced as the “standards” or “gnomons” (yi) without which doctrinal disputes become futile. As version C puts it: “To expound doctrine without first establishing standards (yi) is like telling time using a sundial that has been placed on a spinning potter’s wheel.”  The consequence is that the dispute will be interminable.

Although each version of “Against Fatalism” lists three “Tests,” the lists differ and a total of four distinct “Tests” can be identified:

  1. Conformity to the Will of Heaven and the Spirits — this criterion is mentioned only in “Against Fatalism” B but forms the subject matter of the “Heaven’s Will” chapters. In those chapters, we can also find the claim that Heaven’s will is to Mozi like as “the compass is to a wheelwright or the setsquare is to a carpenter.”  Just as the wheelwright and carpenter use these tools to evaluate if some object is properly considered round or square, so Mozi is said to lay down Heaven’s will as a model (fa) and establish it as a standard (yi) by which conduct and doctrines can be evaluated.
  2. Conformity to the teaching and practice of the ancient sage kings — Varieties of this “Test” are reported in all versions of “Against Fatalism” and its application can be seen throughout the core chapters.
  3. Good consequences for the welfare of the world (especially the material wellbeing of the common people understood in terms of them having food, shelter and rest) —  Varieties of this “Test” are also reported in all versions of “Against Fatalism” and a lengthy elaboration can also be found in “Frugality in Funerals.”
  4. Confirmation by the testimony of the masses’ sense of sight and hearing — This “Test” is listed in “Against Fatalism” A and C, and there are only two certain applications” in the core chapters: in the “Elucidating Ghosts” chapter as part of the proof that providential ghosts exist, and in “Against Fatalism” B as part of the argument against the doctrine of fatalism.

There seems to be a widespread temptation to construe the different “Tests” in the following way: if a doctrine (yan) passes a “Test,” it is true. On this interpretation, the third “Test” might suggest a pragmatic conception of truth (or at least a pragmatic conception of the justification of truth claims).  But such a reading is at best underdetermined by the text. It is also unnecessary as long as we keep in mind that the sort of yan at stake in the Core Chapters is usually such doctrine as is meant to guide conduct.

With that background in mind, we can at least see the first three “Tests” as being meant precisely for evaluating such yan as are naturally evaluated in terms of whether they correctly guide human conduct, rather than whether they make a true factual claim.  This means that these “Tests” are best taken as criteria for assessing the soundness of normative rather than descriptive claims.  Now given that Mohist doctrine is meant to be the verbal correlate of their conception of the Way, which in turn can be taken as their conception of what is morally right, it follows that “sound doctrine” in the context of Mohist thought is ultimately doctrine that enjoins morally right conduct and in this specific sense correctly guides human conduct. This also implies that each of these “Tests” can be understood as a criterion for moral rightness.

As for the fourth “Test,” while it seems natural to take it as a criterion for evaluating factual, rather than normative claims, it should still be kept in mind that the Mohists appear to be primarily interested in the normative or policy implications of the (putatively factual) claims involved.

6. The Foundations of Mohist Morality

An intriguing question concerns how the different “Tests of Doctrine” (and thus the criterion of moral rightness to which each corresponds) relate to each other and whether any among them is the ultimate criterion to which the others can be reduced.

Of the three main “Tests,” the second one (conformity to the teaching and practice of the ancient sage kings), is most easily shown to be derivative. The core chapters define the sage (and the related “benevolent man,” which means roughly “ideal ruler” in context) as someone whose business it is to bring about order to the world (“Impartial Concern” A) or to promote the world’s welfare and eliminate things that harm it (“Impartial Concern” B, C, “Frugality in Funerals,” “Against Music”). In “Heaven’s Will,” on the other hand, the ancient sages are cited as examples of those who conducted themselves in accordance with Heaven’s will. In summary, the ancient sages are presented by the Mohists as widely acknowledged exemplars of past rulers who successfully conducted themselves according to the Way, and the very reason why they are acknowledged to be sage kings is precisely because they taught sound doctrine and practiced the Way.

Given the wider cultural setting and prevailing rhetorical conventions, the Mohists’ extensive appeal to the example and authority of the ancient sages is entirely understandable. Whatever their actual attitudes concerning the deeds and writings of the ancient sages as constituting a criterion of sound doctrine, the Mohists present themselves as addressing people who take the moral example of the ancient sages seriously. In this, their rhetorical practices do not differ from those of the Confucians. The two groups even share an overlapping taste in their choice of favored ancient sages: Yao, Shun, Yu, Tang, Wen, and Wu.

This leaves Heaven’s Will and good consequences for the welfare of the world as criteria of sound doctrine. There is a strong tradition of modern interpreters, such as Fung Yu-lan, Angus C. Graham, and Benjamin Schwartz, who see the latter as primary and take Mohist doctrine to exemplify a form of utilitarianism. Other scholars, such as Dennis M. Ahren, David E. Soles, and Augustine Tseu, see the former as suggesting a divine command theory of morality, although this interpretation has been criticized by Kristopher Duda among others.  This controversy is not well framed if it is stated purely in terms of the modern and somewhat alien categories of command theory and utilitarianism (or consequentialism). But this criticism aside, the genuine question remains as to how “Heaven’s Will” and “good consequences” relate to each other as criteria of the morally right.

In favor of the position that the criterion of good consequences is ultimate, it may be pointed out that even within the “Heaven’s Will” chapters, the Mohists argue on the basis that certain ways of conduct are in accordance with Heaven’s Will because they promote the public good. It is further claimed that Heaven desires that people do certain sorts of things or conduct themselves in a certain manner because such conduct will promote the public good, an outcome that Heaven desires. These considerations suggest that the criterion of Heaven’s Will might ultimately be reducible to that of good consequences.

In response, it is at least possible that while the question what ways of conduct are morally right? is always answerable in terms of whether or not a way of conduct promotes good consequences, the separate question of why these ways of conduct (picked out using the criterion of good consequences) are ultimately obligatory is answered with reference to Heaven’s Will.  If this is right, then there is a sense in which the two criteria neither reduce to each other nor potentially conflict, as they answer to different concerns altogether.

In any case, almost all of the Mohists’ proposals are explicitly defended on the basis that adopting them will promote the public good. We might thus modestly conclude that whatever the final status of Heaven’s Will as a criterion of the morally right, good consequences for the world is the operational criterion by which the Mohists evaluate various doctrines and the ways of conduct they verbalize.  This conclusion is lent further support by the fact that Heaven’s Will almost never features as an explicit part of the Mohists’ arguments for their specific proposals outside of the “Heaven’s Will” chapters.

7. Impartial Concern

Whether “Heaven’s will” or “good consequences for the world” forms the ultimate criterion of the morally right, the most salient first-order ethical injunction in Mohist doctrine remains that of “impartial concern” (jian’ai).  This is an injunction that is argued for both on the basis that it exemplifies Heaven’s Will (in the “Heaven’s Will” triad) and that it is conducive to the order and welfare of the world (in the “Impartial Concern” triad). In addition, the presentation of the doctrine (in all versions of “Impartial Concern”) strongly suggests that it is meant to be the panacea for all that is seriously wrong with the world and, to that extent, identifies the main substance of the Mohists’ Way.

As earlier indicated, “impartial concern” might be stated as the injunction that people ought to be concerned for the welfare of others without making distinctions between self and others, associates and strangers. Scrutiny of the core chapters, however, suggests both more and less stringent interpretations of what it entails by way of conduct. At one extreme, the injunction seems to require that people ought (to seek) to benefit strangers as much as they do associates, and others, as much as they do themselves. At the other extreme, it only requires that people refrain from harming strangers as much as they do associates, and others, as much as they do themselves. A third, intermediate possibility says that people ought (to seek) to help strangers with urgent needs as much as they do associates, and others, as much as they do themselves.

The least stringent interpretation is implied by passages (in all versions of “Impartial Concern”) where the injunction is argued for on the basis that adopting it will put a stop to the violent inter-personal and inter-group conflicts that beset the world, since on the Mohist account, it is people’s tendency to act on the basis of a greater regard for their own welfare over that of others, and that of their associates over that of strangers, that led them to have no qualms about benefiting themselves or their own associates at the expense of others and even to do so using violent means. The injunction of “impartial concern” is meant to be a reversal of this tendency. On the other hand, the more demanding interpretations are suggested especially by “Impartial Concern C,” in which it is said that if the doctrine is adopted b people, then not only will people not fight, the welfare of the weak and disadvantaged will be taken care of by those better endowed.

Whichever interpretation is taken, the basic injunction points toward an underlying notion of impartiality. We can take “impartial concern” as making explicit the notion that the common benefit of the world is, in some sense, impartially the benefit of everyone.

In “Impartial Concern” C, the Mohists put forward an interesting thought experiment ostensibly to show that even people who are committed to being more concerned for the welfare of self that for that of others, and associates than strangers have some reason to value impartial concern. They described a scenario in which the audience is asked to imagine that they are about to go on a long journey and need to put their family members in the care of another.  The Mohists claim that the obvious and rational choice would be to put one’s family members in the care of an impartialist rather than a partialist (that is, someone who is committed to “impartial concern” as opposed to someone who is committed to the opposite).

There are several problems with this argument. It seems to involve a false dilemma since the options of impartialist and partialist hardly exhaust the range of possible choices.  Even if the Mohists were correct to claim that the impartialist is the obvious and rational choice, all it shows is that partialists have good reason to prefer that other people conduct themselves according to the dictates of impartial concern, rather than that they have reason to so conduct themselves, as Chad Hansen and Bryan W. Van Norden have pointed out.  In defense of the Mohists, however, it might be the case that they are ultimately only concerned to establish that even partialists have reason to propagate the Mohists’ doctrine of impartial concern, a conclusion that could follow from their argument.

8. Moral Psychology and Human Nature

Mohist doctrine as it is presented in the core chapters does not contain explicit discussions of the psychological aspects of the ethical life.  “Human nature” (xing), a term that plays an important role in the thinking of the Confucian thinkers Mencius and Xunzi, as well as Yang Zhu, does not even appear in the core chapters. Nonetheless, various aspects of Mohist doctrine might well entail commitments to potentially controversial positions in moral psychology and the theory of human nature.

Consider the Mohists’ reply to the main objection raised against their doctrine of “impartial concern” — that the doctrine is overly demanding, given that people in general just do not have the motivational resources to act according to its dictates (“Impartial Concern” B and C). Citing historical accounts, the Mohists respond that the requirements of “impartial concern” are no harder than the sorts of things that rulers in the past had been able to demand and get from their subjects, such as reducing one’s diet, wearing coarse clothing, and charging into flames at the ruler’s command. It was because the rulers delighted in such actions and offered suitable incentives to encourage them that they were done, even on a regular basis. The Mohists conclude that people in general can be made to practice “impartial concern” as long as rulers delight in it and offer the right incentives to encourage it.

On the basis of passages such as this one, David S. Nivison and Bryan W. Van Norden argue that either the Mohists held the view that human nature is infinitely malleable or they thought that there is no human nature. Such a reading focuses on the extravagant claim made in the text that as long as the rulers delight in “impartial concern” and offer the right incentives, human beings (especially the structure of their motivations) can be radically changed “within a single generation.”  While this interpretation certainly is compatible with the tenor of the text, it is not necessarily the only possible interpretation.  After all, all that is needed for the Mohists to make their reply is the thought that people — given their nature — can be made to practice “impartial concern” through offering them the right leadership and incentives. They hardly need the stronger (and less plausible) claim that people can be remolded in any fashion whatsoever given the right leadership and incentives. Furthermore, at least some of the historical examples cited by the Mohists suggest that they are thinking more of the people responding to incentives in the environment (e.g., the comfort-loving courtier wearing coarse clothing or going on a diet so as to please the ruler) rather than more radical changes to the structure of their motivations (as might be suggested by the story of the soldiers who have been conditioned to charge into flames on the ruler’s command).

A weaker and to that extent more defensible interpretation is that the Mohists do not consider the Way in a Mencian sense — as “the realization of certain inclinations that human beings already share,” as Shun Kwong-loi puts it. To be more precise, the Mohists do not appear to have considered the inclinations and predispositions that people already have as pointing to the contents of the Way. But they need not deny that these inclinations might, under suitable conditions (e.g., under a suitable regime of incentives), furnish the motivational resources for an agent to conduct himself well (the “Mohist” Yi Zhi in Mencius 3A5 seems to have taken a version of such a position) — as long as it is recalled that what counts as “conducting oneself well” is given by something else other than those inclinations or their development: sound doctrine established by rational arguments. Seen this way, the Mohists would be in direct opposition to Mencius, insofar as Mencius regards those “inclinations that human beings already share” (explicitly construed within the context of an account of human nature) as providing both the contents of morality and the motivational resources for moral cultivation.

9. Government

The Mohists’ political ideal is most prominently stated in the “Elevating the Worthy” and “Exalting Unity” chapters, which include the only theses that are explicitly said to identify “fundamentals of governance” (wei zheng zhi ben).

The “Exalting Unity” triad of chapters contains a “state of nature” argument that bears comparison both with ideas found in the Confucian philosopher Xunzi and perhaps more remotely, Thomas Hobbes’ Leviathan and the social contract tradition of early modern European thought. As with the latter, it is at least arguable that even though the account is couched as if making historical claims about how human beings were like in a distant past “before there were any laws and criminal punishment” (version A) or “before there were rulers or leaders” (versions B and C), its logic is better appreciated if taken as a thought experiment of what things would be like were certain hypothetical conditions to hold.

The most important implications of such a hypothesis, for the Mohists, is that people will hold to different and conflicting opinions about what is morally right (yi), on the basis of which they will condemn each other. The end result is a state of violent conflict and chaos. This chaos is fully resolved only with the installment of a hierarchy of rulers and leaders consistently enforcing a unified conception of what is morally right through surveillance and incentives. The conclusion of the argument is that such a solution is a necessary condition for social and political order.

The “Elevating the Worthy” triad of chapters, on the other hand, proposes that good governance requires that the state cultivate worthy and capable people and employ them as officials, whatever their social origin. This doctrine opposes a form of meritocracy to the nepotism and cronyism prevalent among the rulers. It also insists that if the doctrine is to be successfully carried though, the rulers need to confer high rank, generous stipend and real power upon the worthy. Interestingly, in arguing for the doctrine, version B both traces it to the practices of the ancient sage kings and also says that the ancients were modeling their regime upon Heaven, thus suggesting that an application of the criterion of “Heaven’s will” in involved. Nonetheless, the main thrust of all three versions remains that meritocracy will bring great benefits to the state.

10. Frugality

Three of the ten core Mohist theses are related to the virtue of frugality: “Frugality in Expenditures,” “Frugality in Funerals,” and “Against Music.”  For the most part, the arguments in these chapters are paradigmatic cases of “good consequences to the welfare of the world” as criterion of the morally right. (As mentioned earlier, a lengthy elaboration of the criterion can be found in the opening parts of “Frugality in Funerals.”) In “Frugality in Expenditures,” the criterion is applied positively through showing that the preferred policy of government thrift brings about beneficial consequences. In the other two triads, the criterion is applied negatively through detailing the harmful consequences that attend elaborate funerals and prolonged mourning, and extravagant music displays of the aristocracy.

One interesting feature of the arguments in these chapters is the weight given to the welfare of the common people in the Mohists’ calculation of the benefit and harm that result from the policy under assessment. This aspect of Mohist doctrine is especially prominent in “Against Music,” where a large part of what counts as the “good consequences” of a policy is articulated in terms of the common people receiving enough to eat, being protected from the elements and having sufficient rest. It thus seems that, despite their commitment to “impartial concern,” the Mohists have a partisan concern for the interests of the lower social classes. The more charitable interpretation, however, is that they are accommodating concerns in the region of distributive justice. That is, the common benefit of the world is in some sense impartially and equally the benefit of everyone; but since the Mohists — like most thinkers in ancient China — do not envision a radical elimination of the vast social, economic and political inequalities that are simply a fact of life in Warring States China, the distributive concerns are met by giving extra weight to the interests of the disadvantaged. This reading is also consonant with their claim that were “impartial concern” to be widely practice, the welfare of the weak and disadvantaged will be taken care of by those better endowed (in “Impartial Concern C”).

A more serious charge against the Mohists, however, is that their doctrine on frugality commits them to an overly restrictive and hence highly implausible conception of the good. The Confucian thinker Xunzi defends elaborate Confucian funeral rituals and musical displays against Mohist attacks by claiming that they given form to, and meet, the emotional needs of people. Conversely, Mohist doctrine simply fails to take into account aspects of the human good not reducible to material livelihood. Insofar as Mohist doctrine does imply such a reduced conception of the human good, this is a cogent objection.

But insofar as the main weight of the Mohist arguments lies in the thought that it is unjust of the aristocrats to provide for their own emotional needs (through elaborate funerals and prolonged mourning) or refined enjoyment (though elaborate musical displays) through an imposition upon the labor of the common people, the objection is not decisive. Interestingly enough, that this what the Mohists have in mind is indicated in “Against Music.” The text apologizes for attacking the aristocracy’s musical displays by conceding that while music and other refinements are “delightful,” they bring no benefit to the common people and, in fact, harm their livelihood.

11. Just War

The Mohists reserved some of their most trenchant condemnations against military aggression, asserting that offensive war is harmful to the welfare of the world and contrary to Heaven’s will. One argument (two variations of which can be found in “Against Military Aggression” A and “Heaven’s Will” C) proceeds by claiming that there is an analogy between the actions of a military aggressor and those of people who steal or rob others or who murder. And since (as even the audience agrees) stealing, robbing and murdering are morally wrong, and since actions that cause greater harm to others are, to that extent, greater wrongs, military aggression is a great wrong indeed.

Another series of arguments (in “Against Military Aggression” B and C) proceeds by pointing out in some detail the economic and human cost of military aggression even to the aggressors. To the reply that some of the Warring States appear to have greatly profited from their aggressive ways, the Mohists point out that they are the rare exceptions and seeking profit by such means is tantamount to calling a medication effective that cured four or five out of myriads.

Perhaps as befits the difference in addressee, the second set of arguments appears more pragmatic as it appeals to the “war-loving” rulers’ sense of self-interest. The earlier argument, on the other hand, appears to aim showing the gentlemen of the world that they ought to condemn military aggression if they are to be consistent with their own normative convictions — if they know that stealing, robbing and murdering is wrong and blameworthy, they ought also to consider military aggression wrong and blameworthy.

The objection is raised in “Against Military Aggression” C that the ancient sage kings waged war, and since they are supposed to be models of moral rectitude, it follows that war cannot be unqualifiedly wrong. In response, the Mohists introduce a distinction between justified and unjustified warfare, claiming that the former was waged by the righteous ancient sage rulers to overthrow evil tyrants. The precise criterion of the distinction between the two forms of warfare, however, is not explicitly spelled out in that chapter. Instead, justified warfare is associated with supernatural signs indicating that Heaven has given the ruler a mandate to wage war so as to visit condign punishment upon some wicked tyrant. This is surprising since elsewhere (“Impartial Concern” C), the Mohists present the sage Yu’s military campaigns to pacify the unruly Miao tribes as an example of his “impartial concern” for the welfare of the people of the world. This suggests that there are ample resources within Mohist doctrine to spell out the distinction in less exotic terms. But since they did connect the distinction between justified and unjustified warfare to Heaven and the spirits, a discussion of the Mohists’ religious views is in order.

12. Heaven and Spirits

Within the core chapters, the Mohists consistently portray Heaven as if it possesses personal characteristics and exists separately from human beings, though intervening in their affairs. In particular, they present Heaven if it is an entity having will and desire, and concerned about the welfare of the people of the world, even a providential agent that rewards the just and punishes the wicked through its control of natural phenomena or by means of its superhuman intermediaries, the spirits (guishen). Finally, Heaven and the spirits are also portrayed as the objects of reverence, sacrificial offerings and supplication (“Heaven’s Will” B).

Apart from the earlier mentioned role of Heaven’s will in providing a criterion for what is morally right, the Mohists also blame people’s loss of belief in the existence, power and providential character of spirits for the perceived immorality and chaos of their time. This motivates them to argue that such spirits do exist in “Elucidating the Spirits.”  But the Mohists’ considered position with regards to the existence of providential spirits as opposed to the usefulness of a widespread belief in their existence is an ambiguous one at best. While the first parts of “Elucidating the Spirits” seem aimed at establishing that the spirits exist (by appealing to the testimony of people sense of sight and hearing), the bulk of the arguments in the chapter are better taken as attempts to show that it is socially and politically beneficial that people in general believe in the existence of providential spirits and that the government organize its affairs on the basis that they exist. As the text puts it:

If the fact that ghosts and spirits reward the worthy and punish the evil can be made a cornerstone of policy in the state and impressed upon the common people, it will provide a means to bring order to the state and benefit to the people.

In this regard, an argument that appears towards the end of the chapter is most telling. To the objection that the doctrine on spirits entails the need to sacrifice to them, which in turn interferes with one’s duties towards one’s living parents, the Mohists reply that if the spirits do exist, then the sacrifices cannot be considered a waste of resources; but if they do not exist, then the community can still come together to share in the communion of the sacrificial wine and millet and the sacrifice will still serve a socially useful function. The argument implies that what the Mohists are ultimately concerned to argue for is neutral with respect to whether or not providential spirits actually exist, as the author and Benjamin Wong have pointed out.

13. References and Further Reading

  • Ahern, Dennis M. “Is Mo Tzu a Utilitarian?” Journal of Chinese Philosophy 3 (1976): 185-193.
  • Duda, Kristopher. “Reconsidering Mo Tzu on the Foundations of Morality.” Asian Philosophy 11/1 (2001): 23-31.
  • Fung Yu-lan. A History of Chinese Philosophy. 2 vols. Trans. Derk Bodde. Princeton: Princeton University Press, 1952-53.
  • Graham, Angus C. Divisions in Early Mohism Reflected in the Core Chapters of Mo-tzu. Singapore: Institute of East Asian Philosophies, 1985.
  • Graham, Angus C. Later Mohist Logic, Ethics, and Science. Hong Kong: Chinese University Press / London: School of Oriental and African Studies, 1978; reprinted 2003.
  • Hansen, Chad. A Daoist Theory of Chinese Thought: A Philosophical Interpretation. New York: Oxford University Press, 1992.
  • Hsiao Kung-chuan. A History of Chinese Political Thought, Vol. 1: From the Beginnings to the Sixth Century A. D. Trans. F. W. Mote. Princeton: Princeton University Press, 1979.
  • Hu Shih. The Development of the Logical Method in Ancient China. 2nd edition. New York: Paragon Book Reprint Corp., 1963.
  • Ivanhoe, Philip J. “Mohist Philosophy.”  In Routledge Encyclopedia of Philosophy, ed.  Edward Craig (London and New York: Routledge, 1998), 6:451-458.
  • Knoblock, John, trans.  Xunzi: A Translation and Study of the Complete Works. 3 vols. Stanford: Stanford University Press, 1988-94.
  • Lai, Whalen. “The Public Good that does the Public Good: A New Reading of Mohism.” Asian Philosophy 3/2 (1993): 125-141.
  • Lowe, Scott. Mo Tzu’s Religious Blueprint for a Chinese Utopia: The Will and the Way. Ontario: Edwin Mellen Press, 1992.
  • Loy, Hui-chieh. “On a Gedankenexperiment in the Mozi Core Chapters.” Oriens Extremus 45 (2005): 141-158.
  • Maeder, Erik W. “Some Observations on the Composition of the €˜Core Chapters’ of the Mozi.Early China 17 (1992): 27-82.
  • Mei, Yi-pao. Mo-tse, the Neglected Rival of Confucius. London: Arthur Probsthain, 1934.
  • Mei, Yi-pao. The Ethical and Political Works of Motse. London: Arthur Probsthain, 1929.
  • Nivison, David S. The Ways of Confucianism: Investigations in Chinese Philosophy. Ed. Bryan W. Van Norden. La Salle, IL: Open Court, 1996.
  • Pines, Yuri. Foundations of Confucian Thought: Intellectual life in the Chunqiu Period, 722-453 B.C.E. Honolulu: University of Hawaii Press, 2002.
  • Schwartz, Benjamin. The World of Thought in Ancient China. Cambridge, MA: Belknap Press, 1985.
  • Shaughnessy, Edward L., and Michael Loewe, eds. The Cambridge History of Ancient China: From the Beginnings of Civilization to 221 b.c. Cambridge: Cambridge University Press, 1998.
  • Shun, Kwong-loi. Mencius and Early Chinese Thought. Stanford: Stanford University Press, 1997.
  • Soles, David E. “Mo Tzu and the foundations of Morality.” Journal of Chinese Philosophy 26/1 (1999): 37-48.
  • Taylor, Rodney L. “Religion and utilitarianism: Mo Tzu on spirits and funerals.” Philosophy East and West 29/3 (July 1979): 337-346.
  • Tseu, Augustine. The Moral Philosophy of Mozi. Taipei: China Printing Limited, 1965.
  • Van Norden, Bryan W. “A Response to the Mohist Arguments in €˜Impartial Caring.'”  In The Moral Circle and the Self: Chinese and Western Approaches, eds. Kim-chong Chong, Sor-Hoon Tan and C. L. Ten (Chicago: Open Court, 2003), 41-58.
  • Vorenkamp, Dirck. “Another Look at Utilitarianism in Mo Tzu’s Thought.” Journal of Chinese Philosophy 19 (1992): 423-443.
  • Watson, Burton, trans. Mo Tzu: Basic Writings. Columbia University Press, 1963.
  • Wong, Benjamin, and Hui-chieh Loy. “War and Ghosts in Mozi’s Political Philosophy.” Philosophy East and West 54/3 (2004): 343­-363.
  • Wong, David B. “Mohism: The Founder, Mozi (Mo Tzu).”  In Encyclopedia of Chinese Philosophy, ed. Antonio S. Cua (London and New York: Routledge, 2003), 453-461.
  • Wong, David B.  “Universalism versus Love with Distinctions: An Ancient Debate Revived.” Journal of Chinese Philosophy 16/3-4 (September-December 1989): 251-272.
  • Yates, Robin D.S. “The Mohists on Warfare: Technology, Technique, and Justification.” Journal of the AmericanAcademy of Religion 47 (1979): 549-603.

Author Information

Hui-chieh Loy
Email: philoyhc@nus.edu.sg
National University of Singapore
Singapore

Concepts

Concepts are of central importance to an overall theory of cognition and the mind. Our thoughts, especially those that express or involve propositions, are analyzed and distinguished from one another by appeal to various facts involving concepts and our grasp of them. Similarly, our linguistic utterances that express propositions also express concepts, since concepts are normally thought to be closely related to, or even identified with, the meanings of entities like predicates, adjectives, and the like. Our understanding and interaction with the world also involves concepts and our grasp of them. Our understanding that a given thing is a member of a given category is at least partly in virtue of our grasp of concepts, and so are our acts of categorizing. Such capacities involve our knowledge in an essential way, and thus such philosophical issues regarding our epistemic capacities are tied to issues about concepts and their nature. There may be some features and capacities of the mind that do not involve concepts, but certainly the vast number of them do, and thus the task of identifying the correct general theory of concepts is significant to the philosophy of mind, philosophy of language, cognitive science, and psychology.

After an introduction listing many of the more significant philosophical questions concerning concepts, the article provides a detailed list of goals for an overall or complete theory of concepts, sorted according to tasks related to the metaphysics, analysis, and epistemology of concepts. The article also gives a detailed exposition of the main theories of concepts that have been proposed, along with some of the more important objections that have been raised in criticism of each. An annotated bibliography is at the end.

Table of Contents

  1. Introduction
  2. Tasks for an Overall Theory of Concepts
    1. The Metaphysics of Concepts
    2. Analysis of Concepts
    3. The Epistemology of Concepts
  3. Theories of Concepts
    1. The Classical Theory, or Definitionism
    2. Neoclassical Theories
    3. Prototype/Exemplar Theories
    4. Theory-theories
    5. Atomistic Theories
  4. Conclusion
  5. References and Further Reading

1. Introduction

What is a concept? When one utters the sentence “Polaris is a star,” the meaning of that sentence is the proposition that Polaris is a star. Alternatively, one’s utterance of that sentence expresses the proposition that Polaris is a star. But in doing so, one also expresses the concept of being a star, the reason being that the predicate ‘is a star’ expresses that concept. Similarly, my belief that Polaris is a star in some sense involves the proposition that Polaris is a star, and part of the content of that proposition is the concept [star] (where the notation ‘[F]’ in what follows signifies the concept of being (an) F). But what is the concept of being a star? This general question raises a host of other questions. For instance: Is there just one concept of being a star, or do individual agents have their own concepts of being a star that might be distinct from one another? Is a concept a mental particular, such as a particular idea in one’s mind? Or are concepts not mental entities at all? Might the concept of being a star instead be something such as the predicate ‘is a star’? Or perhaps the set of stars themselves? Or is the concept of being a star an abstract entity in some sense? And if so, what sort of abstract entity is it? And what makes the concept of being a star distinct from other concepts?

These are metaphysical questions. But there are epistemological questions about concepts as well. For instance, concepts seem to be the sorts of things that get grasped, possessed, or understood in coming to have beliefs (and ultimately knowledge) about the world. But the nature of concept possession is itself a bit mysterious. Is there just one way to possess a given concept, or might there be many such ways? Does possession of the concept of being a star require some sort of complete understanding of that concept or not? And how does one first come to grasp the concept of being a star? Finally, various sorts of behavior seem to be explained in terms of one’s grasp of concepts. For instance, one can consider Polaris, the sun, Jupiter, and the Andromeda galaxy, and one can categorize those things as being stars or not. Performing such sorting behavior accurately is a prerequisite for various sorts of knowledge, thus categorization is of interest to philosophers working in epistemology, and explaining how such behavior happens is of interest to psychologists. Categorization seems to have something to do with one’s grasp of the concept of being a star, but what is the relationship between that ability, the grasping of that concept, and the nature of that concept in itself?

2. Tasks for an Overall Theory of Concepts

As the preceding questions imply, there are a wide variety of tasks for an overall theory of concepts to accomplish. Various theories of concepts handle some of them, but few claim to handle them all. But what should such an overall theory of concepts provide? The question is a useful one for three reasons: First, answering it will make as clear as possible just what issues about concepts a given view addresses and which it does not. Thus it will be clearer what else must be added to the view in question in order to provide a complete account of concepts. Second, the demands on a theory of concepts are logically related to each other, and such relationships themselves serve to raise problems for various candidate theories of concepts. For instance, a Platonistic view of the metaphysics of concepts takes concepts to be abstract entities that are neither physical nor spatiotemporal. But such a metaphysical commitment as to the nature of concepts has consequences with respect to the right conditions on concept possession. For instance, one sort of objection faced by a Platonist is that Platonism about concepts would render concepts unpossessible. That is, if concepts are nonspatiotemporal, it is difficult to see how beings like ourselves could ever be related to concepts in such a way as to possess or understand them. So identifying at least some of the requirements on an overall theory of concepts makes the task of evaluating a given view of concepts easier. If a view of concepts is such that it would then be impossible to satisfy one or more of the other requirements of an overall theory of concepts, then the view fails. Finally, if there are candidate requirements on an overall theory of concepts that turn out on further inspection not to be requirements of such a theory at all, then no theory of concepts should be faulted for failing to satisfy that requirement.

At least some of the following general requirements have been proposed (and see also Rey 1983/1999 and Prinz 2002, Ch. 1 for similar lists). A complete theory of concepts should provide:

An account of the metaphysics of concepts

  • An answer to the problem of universals, treating the problem of what concepts are as a special case
  • An account of concepts as universals with concepts distinguished from other sorts of universals
  • An account of the identity conditions for concepts
  • An account of the distinction between simple and complex concepts

An account of analysis for concepts

  • An account of the satisfaction conditions for being in the possible-worlds extension of a given concept
  • An account of logical constitution for concepts
  • An account of the distinction between primitive and complex concepts
  • Specific conditions on correct analyses

An account of the epistemology of concepts

  • An account of concept possession
  • An account of concept acquisition
  • An account of categorization

The following sections are devoted to a more detailed discussion of the requirements themselves.

a. The Metaphysics of Concepts

Metaphysical issues involving concepts include what their status is as universals (and also as distinct from other sorts of universals), whether they are mind-dependent or mind-independent entities, what their identity conditions are, and whether they are metaphysically simple or complex.

First, concepts are universals. Distinct verbal expressions (such as distinct predicates, for instance) may nevertheless express the same concept. For instance, ‘is red’ in English and ‘ist Rot’ in German are distinct predicates that express the same concept. Similarly, ‘is the author of The Firm’ and ‘is The Firm’s author’ seem to express the same concept. Predicates that necessarily refer to all of the same things, such as ‘is an equiangular triangle’ and ‘is an equilateral triangle’, are more controversial examples. So are pairs of expressions related by the analysis relation, such as ‘brother’ and ‘male sibling’. The public character of concepts is further evidence that concepts are universals. That is, concepts can be understood by different agents, so it seems that the very same concept can be represented in many different minds at once, much as pain (a type of mental state) can be had by many different agents at the same time. Even if each agent has a pain that is her own, there is still something that all of those agents share—they all are in pain. Similarly for concepts—there is something we all share in virtue of possessing the concept of being a star, for instance, even if precisely speaking, what is present in each of our minds may not be exactly the same. Finally, concepts typically may have multiple “exemplifications” or “instances” across possible worlds, and this is also evidence that concepts are universals. There are many instances of the concept of being a star, for instance, since there are many stars. Hence the so-called “problem of universals” applies to concepts, and a complete account of concepts must defend some theory of universals with respect to them. (It is noteworthy that some authors, e.g., Prinz 2002, reject the notion that concepts serve as linguistic meanings, focusing instead on other functions that concepts have been invoked to serve. Yet even if concepts are not identical to linguistic meanings of some kind, the publicity and multiple-exemplifiability of concepts serves as evidence that they are universals.)

As with other universals (such as properties, relations, and propositions), the available theories include various versions of realism and nominalism. Realism about concepts is the view that concepts are distinct from their instances, and nominalism is the view that concepts are nothing over and above, or distinct from, their instances. Ante rem realism (or Platonism) about concepts is the view that concepts are ontologically prior to their instances—that is, concepts exist whether they have instances or not. In re realism about concepts is the view that concepts are in some sense “in” their instances, and thus are not ontologically prior to their instances. Conceptualism with respect to concepts holds that concepts are mental entities, being either immanent in the mind itself as a sort of idea, as constituents of complete thoughts, or somehow dependent on the mind for their existence (perhaps by being possessed by an agent or by being possessible by an agent). Conceptualist views also include imagism, the view (dating from Locke and others) that concepts are a sort of mental image. Finally, nominalist views of concepts might identify concepts with classes or sets of particular things (with the concept [star] identified with the set of all stars, or perhaps the set of all possible stars). Linguistic nominalism identifies concepts with the linguistic expressions used to express them (with the concept [star] identified with the predicate ‘is a star’, perhaps). Type linguistic nominalism identifies concepts with types of verbal expressions (with the concept [star] identified with the type of verbal expression exemplified by the predicate ‘is a star’). (Platonists about concepts would of course include Plato himself, and modern Platonists include both Chisholm 1996 and Bealer 1993. Aristotle is the most well-known in re realist, though it is somewhat unclear what his view of concepts, construed as linguistic meanings, would be. Most of the early moderns, including Locke, Berkeley, and Hume, seem to espouse some version of conceptualism, and the views of most contemporary cognitive scientists and psychologists imply a commitment to either conceptualism or some sort of nominalism. Quine 1953, 1960 is one of the more recognizable nominalists about universals, though he is also a skeptic about linguistic meaning generally.)

The different options as to the metaphysical status of concepts can also be sorted out depending on the view’s take on the question of whether concepts are mind-dependent or not. On many views, and in fact according to nearly all views held in psychology and cognitive science, concepts are things that are “in” the mind, or “part of” the mind, or at least are dependent for their existence on the mind in some sense. Other views deny such claims, holding instead that concepts are mind-independent entities. Conceptualist views are examples of the former view, and Platonistic and some nominalistic views are examples of the latter view. The issue of the mind-dependence of concepts carries a great deal of importance with respect to which (if any) of the currently available views of concepts is correct. For instance, if concepts are immanent in the mind as particular mental representations of some category or other, and if those representations can be shown not to be analyzed in terms of necessary and sufficient defining conditions, then the classical view of concepts (or definitionism) is undermined; yet if concepts exist independently of one’s ideas, beliefs, capacities for categorizing objects, and so on, then empirical evidence concerning our categorization behavior, early childhood mental development, etc. is of much less consequence with respect to the question of what concepts themselves are. Such evidence might be of great importance to theorizing about our grasp or understanding of concepts, but not as important to the metaphysics of concepts themselves.

The distinctions above can cut across one another. For instance, one might borrow Fodor’s (1975) idea that there is a “language of thought” whereby thoughts are structured just as sentences are, and follow the very same sorts of grammatical rules that spoken languages do, and treat concepts accordingly. One could take concepts to be “in the mind,” and also as being identical to types of linguistic representations. The resulting view would be an example of type linguistic nominalism that nevertheless treats concepts as in the mind, and thus as essentially mind-dependent.

Still another task for an overall theory of concepts is to distinguish concepts from other sorts of universals, and the most straightforward way of doing this is to provide an account of the identity conditions for concepts. For example, if it turns out that concepts and properties have different identity conditions, then they must be distinct sorts of entities. And providing an account of the identity conditions for concepts is necessary for another reason too. If concepts are taken to be linguistic meanings, then some account must be given for what holds true when two distinct verbal expressions express the same concept, as well as what holds true when two verbal expressions do not express the same concept. An account of the identity conditions for concepts would be of great assistance here. As a final matter of significance with respect to the metaphysics of concepts, it might be wondered whether concepts are themselves simple or complex. Are concepts “unstructured” entities without proper parts, or are they complexes of simpler entities? As with the other metaphysical requirements on an overall theory of concepts, there are a number of options to pursue. The distinction is considered further below.

b. Analysis of Concepts

Concepts also seem to be the targets of analysis. One of the traditional tasks of analytic philosophy is that of providing analyses of concepts, but an important question is that of what an analysis itself is, and whether or not there are such things.

At the very least, an analysis of a concept should specify the conditions satisfied by those things that are instances of that concept—an analysis of [star] should say what makes a star a star. One might call such conditions the metaphysical satisfaction conditions for concepts, where such conditions specify all possible conditions on which the concept being analyzed would apply. Such conditions specify the “possible-worlds extension” of a concept, namely a set of things, ranging across all possible circumstances, to which that concept would apply. (Note that such a set of conditions might differ from what an agent believes the satisfaction conditions of a given concept to be, and both sets of conditions might vary from what an agent might use to sort or categorize things as being instances of that concept or not.) Specification of such metaphysical satisfaction conditions is necessary for providing an account of the identity conditions for concepts. For example, if two predicate expressions differ in their possible-worlds extension, then the concepts expressed by those predicates must be distinct. And in order for two predicate expressions to express the same concept, they must share the same possible-worlds extension. So analyses should provide the metaphysical satisfaction conditions for the concept being analyzed. There may be many ways of accomplishing such a task. For one might provide such conditions in terms of lists of necessary conditions (as the classical theory of concepts does), in terms of lists of “weighted” typical features (as prototype views of concepts seem to do), in terms of lists of individually necessary conditions that are not jointly sufficient (as neoclassical views do), etc.

Another way of putting this general point about analyses is that analyses specify a logical constitution for the concept being analyzed. For instance, a classical analysis accomplishes this in virtue of specifying a number of concepts related by entailment or logical consequence to the concept being analyzed, and that collection of concepts is a logical constitution for the concept being analyzed. To say that concepts are related by entailment is just to say the following: For the concepts expressed by the predicate expressions ‘is an F’ and ‘is a G’, if the sentence “For all x, if x is an F then x is a G” is a necessary truth, then the concept of being an F entails the concept of being a G. The classical view is committed to this sort of relation holding between a concept to be analyzed and individual concepts included in a logical constitution for that concept—for instance, if a correct analysis of [star] includes being a celestial body as a necessary condition, then something’s being a star logically entails that it is a celestial body.

Do other views of concepts share the classical view’s claim that concepts have logical constitutions? Certainly neoclassical views do, for so long as a given neoclassical view holds that concepts have necessary conditions (no matter what they say about sufficient conditions), such a view claims that there are entailment relations between something’s being an instance of a given concept and that thing’s satisfying the necessary conditions for being an instance of that concept. What of prototype views? Such theorists usually speak fairly strongly against concepts having conceptual analyses, but in the classical sense. But such views could hold a different view of analysis, where such a view holds that concepts have logical constitutions, but the logical relationship between the concept being analyzed and the concepts in its constitution is a statistical relation, rather than entailment. Finally, atomistic views of concepts have a thesis with respect to the logical constitution of concepts: Such views claim that there are no such logical relations among concepts at all. But even so, one still faces the task of defending a thesis with respect to whether complex concepts have logical constitutions or not. And if one does claim that concepts have logical constitutions, one must defend a claim as to the nature of those logical relations between complex concepts and the members of their logical constitutions.

If at least some concepts have logical constituents, then there must be some stock of concepts that are such that they have no logical constituents themselves. That is, there must be some stock of concepts that might appear in the analyses of various complex concepts, but have no analyses themselves. One then wonders what sort of character such primitive concepts have. Various empiricist philosophers (such as Locke and Hume, for instance) have held that primitive concepts are derived immediately from sensation, and thus that all complex concepts are such that their full analyses (all the way down to the primitives) are in terms of sense impressions only. Other views might include such a story for some concepts, but add that there are other primitive concepts not derived from sense impressions. For instance, the concepts of justice and goodness may well be analyzable, but not fully in terms of sense impressions. Various other concepts in philosophy and mathematics have been offered as other candidates, such as the concepts of belief, mind, free action, truth, inference, set, function, and number. What primitive concepts such complex concepts might ultimately be analyzable in terms of, if not in terms of sense impressions, remains something of a mystery. Also mysterious is how one might grasp such primitive concepts initially, especially if one seeks to avoid commitments to innate possession of such concepts.

There are thus two different distinctions having to do with conceptual “complexity,” one being a metaphysical distinction and the other being a logical one. For there is a difference between claiming that a given concept has proper parts (or literal constituents) and claiming that a given concept has logical constituents (or that there are other concepts logically related to that concept). For a view taking concepts to be mental particulars, such a view might hold that even primitive concepts (that is, those having no analyses) nevertheless have proper parts. For instance, physicalists about such mental particulars might nevertheless hold that primitive concepts nevertheless have physical parts that are not themselves concepts. Such concepts would be complex in the metaphysical sense, but not in the logical sense. In contrast, other theories of concepts might take all concepts to be metaphysically simple (with no proper parts), while still taking some concepts to have logical constitutions and some not. Views taking concepts to be abstract, Platonistic entities seem to fall into this category. So there are two different distinctions here that need not coincide. For lack of a better term, one might use ‘complex’ in both distinctions: A concept may be complex in the metaphysical sense (as opposed to its being metaphysically simple), and/or it may be complex in the sense that it has logical constituents (as opposed to its being primitive, or its having no logical constituents). A complete theory of concepts would provide clear accounts of both distinctions, along with which concepts fall into which category.

One final issue concerning analysis is that no matter what view of analysis one holds, one must specify what it is for a candidate analysis to be a correct analysis. But what are the truth-conditions for analyses? For instance, the classical theory of concepts holds that correct classical analyses will have no possible counterexamples. Other views of analysis might share this basic idea, but defenders of such other views would need to give some account of the truth-conditions of analyses in order to state their position in a complete way. On a prototype view of concepts, one would deny that concepts have classical-style analyses, but perhaps “analyze” a given complex concept in terms of features likely to be had by instances of that concept instead. A correct analysis of the concept [bird], then, would include features that really are typical of, or likely to be had by, instances of that concept.

c. The Epistemology of Concepts

Various views on the nature of concepts have been invoked in order to answer a host of questions in epistemology, where such questions are epistemic in the sense that they are tied to questions ultimately about knowledge, belief, and justification. For instance, what propositional knowledge one is capable of attaining seems dependent on what concepts one possesses—one cannot know that the sun is a star unless one can have the thought that the sun is a star, and one cannot have that thought unless one possesses the concept [star]. Moreover, one’s abilities to sort things into different categories seem dependent on what concepts one possesses. One cannot reliably sort red things from yellow things, in the sense of doing so on the basis of knowing the difference between them, unless one possesses the concepts [red] and [yellow]. But in order to provide complete and correct accounts of the contents of one’s thoughts, as well as accounting for cognitive abilities relevant to having knowledge, one needs an account of concept possession, or an account of what it is to grasp, understand, or at least have some understanding of a given concept. Furthermore, a complete account of concept possession should have something to say about how concepts are acquired or “learned” for the first time. For if learning new things about the world at least in some cases involves acquiring new concepts, some account of concept acquisition is necessary for giving a proper account of knowledge acquisition as a whole. So what is desirable of a complete theory of concepts is not only an account of what concepts are in themselves but also an account of what it is to possess or understand them. (See Rey 1983; Peacocke 1989a, 1989b, and 1992; and Bealer 1998 for discussion by philosophers about concept possession, and Rosch 1999, Smith and Medin 1981, and Murphy 2002 for discussion by psychologists.)

3. Theories of Concepts

At least five general theories of concepts have been proposed: The classical theory, which takes concepts to be analyzed in terms of necessary and jointly sufficient conditions; neoclassical theories, which hold that concepts have necessary conditions, but denies that all concepts have individually necessary conditions that are jointly sufficient; prototype theories, which take concepts to be accounted for in terms of lists of typical features (instead of metaphysically necessary conditions) or in terms of paradigm cases or exemplars; theory-theories, which take concepts to be entities individuated by the roles they play in internally represented “mental” theories (where such a theory is immanent in the mind and of some category or other); and atomistic theories, which take most concepts to be primitive unanalyzable entities.

It should be stressed that the theories presently available have not been put forth as purporting to be complete theories of concepts, in the sense that none of them aim to answer all of the questions listed earlier under the heading of tasks for an overall theory of concepts. For instance, prototype views seem focused most sharply on epistemic concerns related to concept possession more than the task of answering questions about the metaphysics of concepts or about the analysis of them. Classical views of concepts give an account of conceptual analysis primarily, and do not usually include accounts of concept possession as well, though some theorists sympathetic to the classical view (such as Peacocke 1992) espouse a theory of concept possession too. The material below contains summaries of the basic tenets of each view, along with some of the more significant objections to each. Possible replies to the objections have been omitted on the grounds of keeping the presentation brief, though they may be found in the materials listed in the references at the end of the article.

a. The Classical Theory, or Definitionism

The classical theory of concepts holds that complex concepts have classical analyses, where such an analysis is a proposition that gives a set of individually necessary and jointly sufficient conditions for being in the possible-worlds extension of the concept being analyzed. To put the matter a slightly different way, the classical view holds that concepts have logical constitutions, which are collections of concepts that are related by entailment to the concept being analyzed. For instance, the concept of being unmarried belongs to a logical constitution of the concept of being a bachelor, in part because something’s being a bachelor entails its being unmarried. To speak of a logical constitution rather than the logical constitution seems necessary since there may be many different analyses of the same concept—e.g., correct analyses of [square] are expressed by “A square is a closed four-sided figure, with sides of equal lengths and neighboring sides orthogonal to each other” and “A square is a four-sided regular figure.” A classical analysis is then a proposition that specifies such a logical constitution by specifying individually necessary and jointly sufficient conditions. Some would call such a proposition a definition, though one might use a more refined term and call them classical definitions, since there seem to be many sorts of definitions (e.g., partial definitions, ostensive definitions, procedural definitions, etc.).

One discovers such analyses by the method most famously used by Socrates in Platonic dialogues like the Euthyphro, Lysis and Laches, which seek to find the nature of piety, friendship, and courage, respectively. The method is to consider a candidate analysis of a given concept, with the intent of seeking counterexamples to that analysis. If there are such counterexamples, then the candidate analysis is false, and if there are no possible counterexamples to that analysis, then it is correct. For instance, take the following candidate analysis of the concept of being a square: A square is a four-sided figure. This analysis is inadequate (it is too broad), since a rectangle with neighboring sides of different lengths is a four-sided figure, and yet not a square. Such a figure is a counterexample to the candidate analysis under consideration. Counterexamples can also show a candidate analysis to be too narrow. For instance, take the candidate analysis expressed by “A bachelor is an unmarried male under age 70.” Surely there are some octogenarians who are bachelors, and any of them would count as a counterexample to the candidate analysis. It is the seeking of both sorts of counterexamples that characterizes the seeking of classical analyses.

The quest for classical-style analyses is common in the philosophical literature of the past two and a half millennia, and the classical theory of concepts was in fact the dominant view up to the last half of the Twentieth Century. Examples of classical analyses include Aristotle’s account of definitions themselves as “an account [or logos] that signifies the essence (Topics I),” where “the essence” of something is given in terms of essential or necessary features. Other well-known examples of classical analyses include Descartes’ definition of body as that which is extended in both space and time, Locke’s definition of being free with respect to a given action as being such that one performs that action, chooses or wills that action, and that had one chosen not to do that action, then one wouldn’t have done it. Hume’s definition of a miracle as (1) an event caused by God’s will that (2) violates the laws of nature is yet another example from the early modern period. Gottlob Frege, Bertrand Russell, and G. E. Moore seemed to support the classical theory, and the view was taken more or less as a presumption in Twentieth-Century philosophy until the 1970s at least (Ludwig Wittgenstein 1958, being a notable exception). Contemporary defenders of the classical view include Jackson 1994, 1998, Pitt 1999, Peacocke 1992, and Earl 2002.

Objection (1): Plato’s problem. One perspicuous problem with the classical theory, according to its critics, is that few if any classical-style analyses have ever been widely agreed upon to be correct, especially for philosophically interesting concepts like [justice], [knowledge], and [free action]. This is termed Plato’s problem (by Laurence and Margolis 1999) since in many of Plato’s dialogues where Socrates searches for what we would call a conceptual analysis of some important concept (such as in the Lysis [friendship], Laches [courage], Euthyphro [piety], and Theatetus [knowledge]), the inquiry in the dialogue fails (or, more precisely, is presented as failing). One would think, however, that if the classical theory were correct, then at least some philosophically interesting concepts would have been analyzed successfully by now. Yet they have not, and there are hardly any widely agreed-upon classical analyses either, except perhaps in logic and mathematics. Such evidence might suggest that the classical theory is false, especially if other competing theories of concepts generate correct and widely agreed-upon analyses for concepts.

Objection (2): Problems involving typicality effects. Another problem for the classical theory involves a large body of empirical evidence concerning how humans sort objects into various categories. There is substantial evidence (summarized in Smith and Medin 1981, Rey 1983, Laurence and Margolis 1999, Murphy 2002, and Prinz 2002) that agents sort objects differently (in terms of speed of sorting, reliability of sorting, etc.) depending on how typical those objects are by way of being typical instances of the category in question. For instance, robins are sorted more quickly into the bird category than eagles, penguins, or ostriches, and some birds (e.g., ostriches and penguins) are more likely to be categorized incorrectly as not being in the bird category.

Such so-called typicality effects are the basis for a critical worry about the classical theory. For one might think that typicality effects suggest that what agents actually employ in acts of categorization are not lists of necessary and jointly sufficient defining conditions, but something else (perhaps lists of typical, but not defining features, as suggested by prototype theories of concepts, or perhaps some representation of a paradigmatic or most exemplary instance of that concept, as claimed by exemplar theories of concepts). But if what agents use in acts of categorization are not lists of defining features, this seems not in keeping with the classical theory. At the very least, if some other general theory of concepts accounts for typicality effects while at the same time addresses as many of the overall tasks for a theory of concepts to meet, then it would seem that theory ought to be preferred over the classical view. For instance, adherents of prototype/exemplar views of concepts (to be discussed below) take the empirical evidence concerning typicality effects as strong evidence in favor of their view, since such views analyze complex concepts in terms of the typical features that the empirical evidence seems to identify.

Objection (3): A general worry stemming from Quine’s attack on the analytic/synthetic distinction. If Quine’s (1953, 1960) famous critique of the analytic/synthetic distinction is successful, then the result generates apparently insuperable difficulties for the classical theory. For if Quine is right, then either there is no meaningful distinction between analytic and synthetic propositions, or the distinction does no meaningful philosophical work. Yet according to standard versions of the classical theory of concepts, classical analyses are analytic propositions (though see Ackerman 1981, 1986, and 1992 for the opposing view). In fact analyses and partial analyses such as A square is a four-sided regular figure and bachelors are unmarried males are usually considered to be paradigmatic examples of analytic propositions. But if there are no identifiable analytic propositions as such, then there are no identifiable classical analyses as such. Thus, it would seem that the classical theory is bankrupt if Quine is correct, for there would be no robust distinction between the analyses and the non-analyses, and there should be such a distinction if the classical theory is correct.

b. Neoclassical Theories

Another theory of concepts to consider is the neoclassical view (for further discussion, see Laurence and Margolis 1999 and Earl 2002). Neoclassical views all share a thesis common to the classical theory:

(NC) For every complex concept [C], [C] has individually necessary conditions for something to fall into its extension.

Alternatively, all neoclassical views hold the thesis that complex concepts have neoclassical analyses, where those analyses include (at least) a specification of necessary conditions for something to fall into the extension of the concept being analyzed. Neoclassical views differ from each other, and from the classical view, in terms of what further thesis is held with respect to sufficient conditions for something to fall into the extension of a given complex concept. For instance, one sort of neoclassical view might hold (NC) but hold that there are no concepts that have at least one sufficient condition. Another might hold (NC) but hold that at least some concepts have at least one sufficient condition. Furthermore, neoclassical views differ from one another in terms of what sort of sufficient conditions they posit all, some, or no complex concepts to have. For sufficient conditions themselves seem to come in two types: (1) sufficient conditions that have the form of a conjunction of individually necessary conditions, and (2) sufficient conditions that do not have such form. So there is a wide range of possible neoclassical views, corresponding to whether one holds that all complex concepts have at least one sufficient condition, or that some complex concepts have at least one sufficient condition, or that no complex concepts have at least one sufficient condition. And among these options, the views divide again with respect to what may be held with respect to what sort of sufficient conditions complex concepts have, or may have, or that some have, etc.

But despite this variety of neoclassical views, for expository and critical purposes only two neoclassical views need to be examined closely, and they can be stated as follows:

(NCV1) All complex concepts have individually necessary conditions, but at least one complex concept has no sufficient conditions of either sort.

(NCV2) All complex concepts have individually necessary conditions, but at least one complex concept has only at least one sufficient condition that does not have the form of a conjunction of individually necessary conditions.

The reason for examining only (NCV1) and (NCV2) is that eliminating them as possible views of concepts should suffice to eliminate all other varieties of neoclassical views, since other neoclassical views would seem to include either (NCV1), (NCV2), or both.

An objection: The problem of reference determination (and see also Laurence and Margolis 1999, 54-55; and Earl 2002, Ch. 5). One objection to consider is that neoclassical analyses fail to specify the extensions of concepts in a way that is adequate from the standpoint of accounting for concept individuation. That is, neoclassical views hold (at least) that some concepts have only neoclassical analyses (and not classical analyses) either in terms of only individually necessary conditions, or in terms of individually necessary conditions together with at least one sufficient condition not in the form of a conjunction of individually necessary conditions. The consequence is that distinct concepts could nevertheless share the same neoclassical analyses, and thus the neoclassical view is left with no adequate account of concept identity.

Consider the neoclassical views (NCV1) and (NCV2) once more. In order to evaluate these two views, one need only consider test cases for each view. Call those cases type 1 and type 2 cases:

Type 1: Concepts with individually necessary conditions, but with no sufficientconditions of either sort.

Type 2: Concepts with individually necessary conditions, and with no sufficient conditions that take the form of a conjunction of individually necessary conditions, but with at least one sufficient condition that does not take the form of a conjunction of individually necessary conditions.

Now take the cases in turn. Consider a test case of type 1, and (NCV1) claims that there are at least some concepts of this type. Let this concept be [C]. A neoclassical analysis of [C] solely in terms of necessary conditions will fail to specify the extension of [C] in an adequate way, it seems, for it would be possible for there to be another, distinct concept [D] with the very same neoclassical analysis. So holding that concepts only have analyses in terms of necessary conditions is insufficient for handling concept individuation.

The point is illustrated most perspicuously with two concepts known to be distinct, and yet share some necessary conditions. Take [parallelogram] and [rhombus], and suppose one offers the following neoclassical analyses for them:

A parallelogram is (1) a closed plane figure (2) with four sides, and (3) with opposing sides parallel to each other.

A rhombus is (1) a closed plane figure (2) with four sides, and (3) with opposing sides parallel to each other.

These two analyses specify the very same possible-worlds extension; i.e., they specify the very same reference for [parallelogram] and [rhombus]. But with such analyses only in terms of necessary conditions, neither concept’s extension has been adequately specified. For specifying [parallelogram] and [rhombus]’s extensions in this way leaves it open for them to be distinct concepts.

And they are distinct concepts, in this case, since not all parallelograms are rhombuses. So neither neoclassical analysis specifies the extensions of [parallelogram] and [rhombus] adequately, for while they entail that [parallelogram] and [rhombus]’s extensions overlap, they leave open the possibility that the extensions of [parallelogram] and [rhombus] do not coincide. But if their extensions do not coincide, this would entail that they are distinct concepts. So this sort of neoclassical analysis fails to provide an adequate account of reference determination, and thus (NCV1) fails.

Now consider a test case of type 2, and (NCV2) claims that there are at least some concepts of this type. Once more, neoclassical analyses along the lines of (NCV2) will be in terms of (i) some set of individually necessary conditions that are neither individually nor jointly sufficient; and (ii) some individually sufficient condition not having the form of a conjunction of necessary conditions. Such an account still fails to give an adequate account of reference determination.

For take [parallelogram] and [rhombus] again. Something’s being a square is sufficient for its being a parallelogram as well as for its being a rhombus. So include this sufficient condition in some neoclassical analyses for [parallelogram] and [rhombus]:

A parallelogram is (1) a closed plane figure (2) with four sides, and a square is a parallelogram.

A rhombus is (1) a closed plane figure (2) with four sides, and a square is a rhombus.

Such neoclassical analyses leave it open for [parallelogram] and [rhombus] to be distinct concepts, despite their having the same neoclassical analyses. For while squares are in the possible-worlds extension of [parallelogram], and also in the possible-worlds extension of [rhombus], the extension of [square] fails to match that of either [parallelogram] or [rhombus]. But [parallelogram] and [rhombus] share a common neoclassical analysis along the lines of (NCV2), and thus they would be identical if (NCV2) were correct, thus (NCV2) has failed to distinguish [parallelogram] from [rhombus]. The same predicament arises for any concepts sharing some necessary conditions and at least one sufficient condition. So (NCV2) fails, the critic might conclude.

The common problem claimed to exist with both sorts of neoclassical analysis is that such analyses fail to specify a complete possible-worlds extension for their analysanda (those concepts being analyzed), and the lesson here seems to be that analyses (of any sort) must do this if one is to distinguish concepts by means of their analyses. For an analysis solely in terms of necessary conditions (which are not jointly sufficient) specifies an extension larger than that of the analysandum (the concept doing the analyzing). But while adding a sufficient condition (not in terms of a conjunction of necessary conditions) to the analysis might capture all of the analysandum’s extension, it nevertheless might specify an extension smaller than the analysandum’s extension. And given that concepts not sharing the same possible-worlds extension are distinct, both neoclassical views’ take on analysis leaves the question of accounting for concept individuation unresolved.

c. Prototype/Exemplar Theories

Prototype theories of concepts come in two versions, and both claim to receive strong support from the existence of typicality effects for acts of categorization. One sort of prototype view holds that concepts should be analyzed in terms of a set of typical features of members of that concept’s extension. For a prototype view that analyzes a concept [C] in terms of lists of typical features, then for each typical feature there is merely some probability that x will have that feature given that x lies in the extension of [C]. So on this sort of prototype view (which is sometimes termed the probabilistic or the statistical view of concepts), the relationship between a concept and the concepts used to analyze it is a statistical relation, rather than an entailment relation (as in the classical theory).

The other sort of prototype view analyzes a concept in terms of a particular exemplary instance (or instances) of that concept, and for this reason is sometimes called the exemplar view of concepts. Whether or not some particular is in a given concept’s extension is then accounted for in terms of the degree of resemblance between that particular and the exemplar for that concept. The exemplar for [apple] might be colored a particular shade of red, have a particular rounded shape, have a particular taste, etc., and whether a particular greenish red thing counts as an apple depends on whether it sufficiently resembles the exemplar (or exemplars) for [apple]. (See Smith and Medin 1981, 1999; Fodor 1998; and Murphy 2002 for general discussion of the two prototype theories. Smith and Medin defend the view in their 1981.)

Objection (1): The problem of typicality effects for definitional concepts. A number of objections have been raised against prototype views, but three have been pressed most often by the critics. The first objection to consider is that there are some concepts that seem definitely not to follow the prototype view, yet are still such that typicality effects have been observed for them. A basic thesis of prototype theories seems to be that when typicality effects are present for a given concept, then the proper analysis for that concept will be in terms of lists of weighted features (on a probabilistic view) or in terms of exemplars (on an exemplar view). If it turns out that concepts that do not have prototypical analyses (e.g., if they have classical analyses) nevertheless are such that there are typicality effects for them, then this would be deeply problematic for prototype theories. Now, take [odd number], which is a concept that does indeed have a classical analysis. Armstrong, Gleitman, and Gleitman 1999 put the matter this way:

Are there definitional concepts? Of course. For example, consider the superordinate concept [odd number]. This seems to have a clear definition, a precise description; namely, an integer not divisible by two without remainder. No integer seems to sit on the fence, undecided as to whether it is quite even, or perhaps a bit odd…. But if so, then experimental paradigms that purport to show [bird] is prototypic in structure in virtue of the fact that responses to ‘ostrich’ and ‘robin’ are unequal should fail, on the same reasoning, to yield differential responses to ‘five’ and ‘seven’, as examples of [odd number] (234, notation for concepts adjusted).

So the idea is that if typicality effects for a concept [C] are intended by prototype theorists to show that [C] follows the prototype view, then for concepts that follow the definitional (or classical) view, there should not be any typicality effects for them.

But for [odd number], typicality effects have been observed for that concept: The number 3 has been found to be more “typical” of the odd numbers than 7, and 7 more “typical” than 501 and 447 (Armstrong, Gleitman, and Gleitman 1999, 232). But as far as the extension of [odd number] is concerned, no odd number is “more of” an odd number than any other, since all odd numbers are odd numbers to the same degree. But given the experimental evidence, the prototype view seems to predict that falling into the extension of [odd number] would be a matter of degree. But this prediction is false, and so it cannot be the case that the prototype view is correct for all concepts. What looks even more damaging is that the empirical results for [odd number] cuts the tie that prototype theorists hold to exist between empirical evidence concerning typicality effects and the proper analysis of concepts. That is, if typicality effects do not support a prototype analysis for [odd number], then it is doubtful that typicality effects support prototype analyses for [bird], [fruit], [sport], or any other concept.

Objection (2): The [pet fish] problem. Two other objections to be considered concern concepts with conjunctive logical form (like [pet fish]) and “negative concepts” (like [not a cat]). Fodor (1998, Ch. 5) has pressed the objection in a particularly clear way, and what follows here keeps closely to Fodor’s presentation. Both objections take as a basic premise the principle of compositionality, which can be stated as follows: “[T]he syntax and the content of a complex concept is normally determined by the syntax and the content of its constituents (Fodor 1998, 94).” That is, the content of an expression of a complex concept is normally determined by the logical constituents of that concept. For instance, in the sentence “Goldberg is a pet fish,” the predicate ‘is a pet fish’ expresses the concept of being a pet fish. The principle of compositionality then suggests that if one were to give an analysis of [pet fish], there should be an analysis of [pet fish] in terms of [pet] and [fish]. Similarly, in the sentence “Goldberg is not a cat,” ‘is not a cat’ expresses the concept of being not a cat, and there should be an analysis of [not a cat] in terms of [cat].

Aside from the intuitive appeal of the principle of compositionality, there are two compelling arguments in favor of it: One (paraphrased from Fodor 1998, 94-95) is that compositionality explains why our cognitive capacities are productive with respect to concepts. There are an infinite number of concept-expressing verbal expressions such that we can understand them, yet since the mind is finite the capacity for such understanding must be “finitely representable.” And since the principle of compositionality explains how such an infinite capacity can be had by a finite mind, one should accept the principle.

Another argument is that the principle of compositionality explains how our cognitive capacities are systematic with respect to concepts (and again see Fodor 1998, 97-99). One example should suffice to illustrate the explanatory tie between compositionality and systematicity: Provided that an agent can grasp what is meant by ‘John’ and ‘Mary’, and that she grasps what is expressed by the predicate ‘is loved by John and Mary’, then she can grasp what is expressed by ‘is loved by Mary and John’. The explanation for why the content of the latter expression can be grasped by an agent given that she grasps the content of the former expression is this. The content of both expressions is compositional, and is composed of the same logical constituents. Compositionality thus explains systematicity, and so the principle of compositionality should be accepted.

The so-called [pet fish] problem is this. For a complex concept like [pet fish] (which in this case has conjunctive logical form), its logical constituents include [pet] and [fish]. Given that the principle of compositionality holds, there should be an analysis of [pet fish] in terms of [pet] and [fish]. But consider the prototype theorist’s analysis of [pet], [fish], and [pet fish]. On a probabilistic view, each of these concepts would be analyzed in terms of lists of weighted typical features. But the list of weighted features for [pet fish] would not be the union of the lists of weighted features for [pet] and [fish]. For instance, the feature of being a dog might be weighted quite high in a prototypical analysis for [pet] (since dogs are typical pets), while being a dog would have to be weighted quite low (zero, in fact) in a prototypical analysis for [pet fish]. But these weights would have to be the same, it seems, if the principle of compositionality holds good. The problem is also perspicuous on an exemplar view’s analysis of [pet fish]: The exemplar for [pet] might be a dog, and the exemplar for [fish] might be a salmon. But if the exemplar for [pet fish] is a goldfish, it is hard to see how this kind of analysis for [pet fish] could ever be a decompositional analysis in terms of the exemplars for [pet fish]’s logical constituents. So prototype theories of concepts fail, the critic concludes. (See Fodor 1998, 102-103; Rey 1983, 260; 1985, 301-302; and Laurence and Margolis 1999, 37-43).

Objection (3): The problem of negative concepts. The third objection to prototype theories concerns what is expressed by negative predicates, such as the predicate of the sentence “Goldberg is not a cat.” It appears to be [not a cat], and according to the principle of compositionality this concept should have an analysis in terms of [cat]. But on a prototype view, [not a cat] seems not to have any prototype analysis at all, much less in terms of the prototypical analysis of [cat]. On a probabilistic view, the analysis of [not a cat] would be a list of weighted typical features of those things that are not cats. But it looks like there are no typical features shared by those things that are not cats. On an exemplar view, [not a cat] would be analyzed in terms of the prototypical thing (or type of thing) that is not a cat. But there is no such exemplar, it seems. So not only is it the case that “negative” concepts like [not a cat] have no prototype analyses in terms of their logical constituents, but they simply have no prototype analyses at all. And so prototype theories fail to account for an important class of concepts, and so the critics conclude that prototype theories fail.

d. Theory-theories

Two such views of concepts receive the name theory-theory, so-called due to the emphasis on general theories of a given category in accounting for various concepts of that category. One sort of theory-theory takes concepts to be structured representations analogous to theoretical terms in science, hence as constituents of propositions, and concepts are individuated in virtue of the roles they play in a “mental theory” an agent has with respect to some thing or category of thing. For instance, an agent might have a mental theory about dogs, and the concept she expresses by ‘is a dog’ in “Fido is a dog” is determined by the role(s) that concept plays in her overall theory of dogs. A mental theory in this sense is analogous to a scientific theory, represented in the mind, where such theories are sets of propositions (or representations of them) that are believed by an agent having that mental theory. Such a mental theory is also used to ground an agent’s inferences (such as explanations and predictions) with respect to what that theory happens to be about. The other sort of theory-theory identifies concepts with such internally represented theories themselves, and thus treats concepts as sets of represented propositions. There is obviously a tension here (as pointed out by Laurence and Margolis 1999, 44). One view treats concepts as being on the same ontological and semantic level (as has this article so far), namely as being entities in terms of which whole propositions are analyzed. Yet the other view treats concepts as being on the same ontological and semantic level as propositions (or sets of them). As this latter sort of theory-theory seems to require some means by which to individuate the various propositions that compose a mental theory, and this would require appeal to the very entities that have been called ‘concepts’ throughout this article, the sort of theory more in line with the other theories of concepts is the first sort of theory-theory. (Carey 1985, 1999 defends a version of the theory-theory, as do Murphy and Medin 1999.)

An objection: The problem of stability. The theory-theory’s view of concept individuation that emerges from its theory of meaning (which is holistic) seems to run contrary to the fairly obvious fact that different agents can possess the same concept. For let the content of a concept be determined by its inferential relations to other concepts as specified by a mental theory. Then two concepts [C] and [D] differ if there is any difference in [C] and [D]’s inferential relations to other concepts as specified by the respective mental theories that include [C] and [D]. But if theories determine the content of the concepts included in them, then any difference in theory seems to entail a difference in concept. Now the problem of stability arises: It is difficult to see how on the theory-theory agents holding different theories could ever possess the same concept. The problem also arises for the same individual if her own theory changes over time. In rejecting one theory in favor of another, the concepts “included” in that theory would change as well.

For instance, a person whose theory included the proposition (or a representation of the proposition) that arthritis was a disease of the muscles as well as the joints would presumably possess a different concept than a person who did not think arthritis was a disease of the muscles. For the first agent’s theory specifies an inferential relation between something’s being a case of arthritis and its being a disease of the muscles, while the other agent’s theory does not. So what the agents express by ‘arthritis’ fail to play the same roles in their respective mental theories, and so those two individuals do not possess the same concept: They express distinct concepts with their respective uses of ‘arthritis’.

This would be a minor problem except for the fact that such differences in mental theories would seem to be ubiquitous. If the theory-theory were right, then any difference in beliefs about arthritis entails a difference in mental theory, and thus there would be a difference between what such agents express by ‘arthritis’. Similarly, a child who believes that something looking like a dog but with no bones is nevertheless a dog would possess a distinct concept from a child who does not have such a belief. And in the general case, agents differ quite often in what they believe about members of a given category, and agents change their minds over time as to what they believe about members of a given category.

The difficulty is even worse if the theory-theorist adopts a global holism. For if one holds that all of one’s mental theories are interconnected by means of further inferential connections, then it seems that agents differing in any belief in any respect would thus possess none of the same concepts. This would clearly be counterintuitive, for surely at least some concepts are shared among different agents irrespective of the difference in the totality of their beliefs.

e. Atomistic Theories

The last theory of concepts to consider is conceptual atomism, or what Fodor (1998) calls informational atomism. Atomism differs from the classical, neoclassical, and prototype views in that while those views take concepts to have logical constitutions, atomism denies this. According to atomism, all or most concepts are such that they have no proper analyses in terms of any kind of “constituent” structure construed as a set of either proper-part containment, entailment, or statistical relations, and thus atomism takes all or most concepts to be primitive. Call strong atomism the thesis that all concepts are primitive in this sense, and moderate atomism the thesis that most concepts are primitive, but at least some concepts are complex.

Objection (1): The problem of radical nativism. The objection is an argument for the following claim: If atomism is right, then so-called radical nativism about concepts is true. Depending on what sort of atomism is at issue, then all or nearly all concepts turn out to be innate. Since this is counterintuitive, the critics conclude that there is good reason to reject conceptual atomism.

One note: What is meant by ‘innate’ in this context could mean a number of different things. A concept might be innate if it is “part of one’s nature,” or “hard-wired” into one’s mind from the start. The notion is reminiscent of Descartes’ position that some ideas are innate, such as the idea of God, of infinity, etc. This would indeed make for a counterintuitive result if most or all concepts turned out to be innate in this sense. Intuitively, the possession of [doorknob] (Fodor’s example) is not part of my nature, and nor is it a concept that I have always possessed. Alternatively, a concept might be innate if one has an innate capacity to grasp that particular concept (perhaps given the proper stimuli). It would be counterintuitive if most or all concepts turned out to be innate in this sense as well—[doorknob] seems not to be innate in this sense either. A still more general sense of ‘innate’ seems most adequate here. Take ‘innate’ to mean roughly the same thing as ‘unlearned’ and “unlearned” concepts are those concepts not acquired on any of the models of concept acquisition to be discussed below. And this more general sense of ‘innate’ is consistent with either of the two senses mentioned above: Such a concept could either always be grasped (in the sense of being part of one’s nature) or it could be graspable via some innate faculty tailored for that concept. (See also Fodor 1981 on different senses of ‘innate’ with respect to both innate ideas/concepts and innate cognitive capacities.)

The argument that atomism implies radical nativism runs as follows (from Fodor 1998, Ch. 6). According to conceptual atomism, all (or nearly all, or most) concepts are primitive, in the sense given in section 2b above. That is, atomism holds that all (or nearly all, or most) concepts have no analyses in terms of other, more basic concepts. But primitive concepts are unlearned, or innate, and so conceptual atomism is committed to the thesis that all (or nearly all, or most) concepts are innate. The conclusion is counterintuitive. What of the support for the premise that primitive concepts are innate? Why think that primitive concepts have to be unlearned?

There are two lines of thought to consider, the first given by Fodor (1998, 123-124). Acquiring or learning a concept (or the process of grasping a concept for the first time) is an inductive process, one might think. In acquiring a complex concept, one does so by testing various hypotheses about what properties are shared by all things in the extension of that concept. Succeeding in this process, or arriving at the right hypothesis about what properties are shared by all things falling under a concept, means that one has acquired that concept. However, not all concepts can be acquired in this way, and the concepts not acquired by the inductive model of concept acquisition are the primitive concepts. But we still possess or grasp such primitive concepts even if they are not learned, and so the stock of primitive concepts (however large this stock of primitives is taken to be) are all innate.

The general point seems to be this. If concept acquisition requires some process of hypothesis testing, then acquiring a new concept requires that some concepts already be possessed. For a hypothesis is a proposition, and grasping a proposition indeed seems to require at least some grasp of the concepts expressed in an expression of that proposition. So if hypotheses are tested in acquiring new concepts, and this is the only way to acquire or learn new concepts, then at least some concepts have to be unlearned. So some concepts have to be innate. Since atomists claim that most or all concepts are primitive, the stock of primitives is of course quite large, and thus radical nativism seems to follow.

Laurence and Margolis (1999, 62-63) consider a somewhat different argument for the same conclusion: Complex concepts are initially grasped by “assembling” them from their constituents, and such constituent concepts would have to already be grasped in order for such an assembly procedure to take place. For instance, suppose I grasp [bachelor] for the first time. On the “assembly” model, this occurs in virtue of combining tokens of [unmarried] and [male] by some capacity of conceptual combination, and I could not acquire [bachelor] in this way unless I already had some grasp of [unmarried] and [male]. Yet this sort of process cannot proceed unless there are some concepts not initially grasped by “assembling” them from their constituents. For instance, I might have acquired [male] in virtue of its being assembled from its constituents, and whatever [male]’s constituents are, I acquired them in virtue of their being assembled from their constituents. But this process had to begin with some concepts not initially acquired by this sort of assembly procedure. And these concepts will be the stock of primitives, since primitive concepts have no constituents to “assemble” them from. So if this model of acquiring complex concepts is right, and it is the only way in which concepts in general can be learned, then the consequence seems to be that primitive concepts are innate.

Objection (2): The problem of individuating coextensive and empty concepts. Another objection to atomism claims that since concepts have no structure (according to atomism, that is), atomists seem committed to a view of concept identity that distinguishes concepts from one another solely by their extensions (or possible-worlds extensions). This seems to entail that according to atomism, concepts with the same extension will be identical. But then the concepts [closed triangular figure] and [closed trilateral figure] would be identical, since they share the same possible-worlds extension. Furthermore, according to such an extensionalist view of concept identity, all concepts with no possible-worlds extension at all would be identical, such as [round square] and [round triangle]. However, [triangular closed plane figure] and [trilateral closed plane figure] seem distinct, since being three-angled is distinct from being three-sided, and so do [round square] and [round triangle]. The concepts [water] and [H2O] look to be distinct as well, since “This is a sample of water” and “This is a sample of H2O” seem to have distinct meanings. So the objection is that atomism is committed to a view of concept identity that is incorrect, and so atomism is false. (For Fodor’s replies see his 1998).

4. Conclusion

Research into the nature of concepts is ongoing, in both philosophy and psychology, and there is no general consensus in either field as to the preferred theory of concepts. The theories above primarily address the tasks of answering questions about the analysis of concepts, along with the broadly epistemic questions about them listed at the outset, while not always addressing the metaphysical questions directly. Yet the metaphysical issues do bear on the plausibility of one theory over another. As mentioned earlier, if concepts are abstract Platonistic entities, and not internal mental representations that are “in the head,” then the classical view might escape some of the objections raised by prototype theorists. Alternatively, if concepts are “in the head” as mental representations of some sort, and are structured in terms of the conditions one uses in sorting things as falling under that concept or not, then the classical theory looks bankrupt and the prototype theory looks superior to the rest. Whether the nature of a concept is to have such structure, as opposed to classical structure, a structure more along the lines of the theory-theory, some other structure entirely, or no structure at all, is a thoroughly unresolved matter.

5. References and Further Reading

  • Ackerman, D. F. 1981. “The Informativeness of Philosophical Analysis.” In P. French, et al. (Eds.), Midwest Studies in Philosophy, vol. 6. Minneapolis, Minnesota: University of Minnesota Press, 313-320.
    • Ackerman’s articles address the question of the nature of classical analysis, referencing G. E. Moore’s early work on the subject, and also C. H. Langford’s criticisms of Moore.
  • Ackerman, D. F. 1986. “Essential Properties and Philosophical Analysis.” In P. French, et al. (Eds.), Midwest Studies in Philosophy, vol. 11. Minneapolis, Minnesota: University of Minnesota Press, 304-313.
  • Ackerman, D. F. 1992. “Analysis and Its Paradoxes.” In E. Ullman-Margalit (Ed.), The Scientific Enterprise: The Israel Colloquium Studies in History, Philosophy, and Sociology of Science, vol. 4. Norwell, Massachusetts: Kluwer.
  • Armstrong, S. L., Gleitman, L. R., and Gleitman, H. 1999. “What Some Concepts Might Not Be.” In Margolis and Laurence 1999, 225-259.
    • Reports on typicality effects occurring for concepts with classical analyses, such as [odd number], and argues that the prototype theory is thus flawed.
  • Bealer, G. 1982. Quality and Concept. Oxford: Clarendon Press.
  • Bealer, G. 1993. “Universals.” Journal of Philosophy 90 (1), 5-32.
    • A defense of a Platonistic view of universals.
  • Bealer, G. 1998. “A Theory of Concepts and Concept Possession.” Philosophical Issues 9, 241-301.
  • Carey, Susan. 1985. Conceptual Change in Childhood. Cambridge: M.I.T. Press.
    • An example of a view of concepts falling under the theory-theory.
  • Carey, Susan. 1999. “Knowledge Acquisition: Enrichment or Conceptual Change.” In Margolis and Laurence 1999, 459-487.
  • Chisholm, Roderick. 1996. A Realistic Theory of Categories: An Essay on Ontology. Cambridge: Cambridge University Press.
    • A defense of Platonism about universals.
  • DePaul, Michael and Ramsey, William (Eds.). 1998. Rethinking Intuition: The Psychology of Intuition and Its Role in Philosophical Inquiry. Lanham, Maryland: Rowman and Littlefield.
  • Earl, Dennis. 2002. A Defense of the Classical View of Concepts (Doctoral dissertation, University of Colorado, Boulder, 2002). Dissertation Abstracts International, 63, 06A.
    • As the title suggests, a defense of the classical theory.
  • Earl, Dennis. 2006. “Concepts and Properties.” Metaphysica 7(1), 67-85.
    • A defense of the view that concepts and properties are one and the same sort of entity.
  • Fodor, Jerry A. 1975. The Language of Thought. Cambridge: M.I.T. Press.
    • A seminal work by Fodor defending the view that thought has linguistic structure. Also includes discussion of innateness, both for concepts and for cognitive capacities.
  • Fodor, Jerry. 1981. “The Present Status of the Innateness Controversy.” In RePresentations: Philosophical Essays on the Foundations of Cognitive Science. Cambridge: M.I.T. Press, 257-316.
    • Distinguishes different senses of innateness, and considers different arguments and issues concerning the issue of innateness.
  • Fodor, Jerry. 1998. Concepts: Where Cognitive Science Went Wrong. Oxford: Clarendon Press.
    • Fodor’s defense of conceptual atomism, with discussion and criticism of the other views of concepts as well, especially the prototype theory.
  • Fodor, J., Garrett, M. F., Walker, E. C. T., and Parkes, C. H. 1980/1999. “Against Definitions.” In Margolis and Laurence 1999, 491-512.
    • An influential article defending the thesis that most concepts have no classical-style definitions.
  • Greig, Gordon. 1970. “Moore and Analysis.” In A. Ambrose and M. Lazerowitz, G. E. Moore: Essays in Retrospect. London: Humanities Press, 242-268.
    • On G. E. Moore on classical conceptual analysis.
  • Harman, Gilbert. 1999. “Doubts About Conceptual Analysis.” In Gilbert Harman, Reasoning, Meaning, and Mind. Oxford: Oxford University Press, 139-143.
    • Contains criticism of classical-style analyses.
  • Jackson, Frank. 1994. “Armchair Metaphysics.” In M. Michael and J. O’Leary-Hawthorne (Eds.), Philosophy in Mind. Dordrecht: Kluwer.
  • Jackson, Frank. 1998. From Metaphysics to Ethics: A Defence of Conceptual Analysis. Oxford: Clarendon Press.
    • A defense of classical conceptual analysis.
  • Kamp, H. and Partee, B. 1995. “Prototype Theory and Compositionality.” Cognition 57, 129-191.
  • Lakoff, George. 1989. “Some Empirical Results About the Nature of Concepts.” Mind and Language 4 (1, 2), 103-129.
  • Langford, C. H. 1968. “The Notion of Analysis in Moore’s Philosophy.” In Schlipp 1968, 321-342.
  • Laurence, Stephen and Margolis, Eric. 1999. “Concepts and Cognitive Science.” In Margolis and Laurence 1999, 3-81.
    • An introduction to the issue of the nature of concepts, with extensive discussion of the available views on concepts, with consideration of both support and criticism of each. The article is the introduction to Margolis and Laurence 1999.
  • Margolis, Eric. 1994. “A Reassessment of the Shift from Classical Theories of Concepts to Prototype Theory.” Cognition 51, 73-89.
  • Margolis, Eric and Laurence, Stephen (Eds.). 1999. Concepts: Core Readings. M.I.T. Press.
    • An anthology of historical and contemporary articles on concepts, by both philosophers and psychologists, with an expansive and useful introduction by the editors.
  • Millar, Alan. 1991. “Concepts, Experience, and Inference.” Mind C (4), 495-505.
    • A review of Peacocke 1992.
  • Millar, Alan. 1994. “Possessing Concepts.” Mind 103 (409), 73-81.
  • Moore, G. E. 1966. Lectures on Philosophy. Ed. C. Lewy. London: Humanities Press.
    • Section I, entitled “What is Analysis?” concerns the nature of classical conceptual analysis.
  • Moore, G. E. 1968. “A Reply to My Critics.” In Schlipp 1968, 660-677.
    • Includes more on Moore’s account of classical analysis.
  • Murphy, Gregory. 2002. The Big Book of Concepts. Cambridge: M.I.T. Press.
    • A monograph on theories of concepts, by one of the more important contemporary psychologists in the field.
  • Murphy, Gregory and Medin, Douglas. 1999. “The Role of Theories in Conceptual Coherence.” In Margolis and Laurence 1999, 425-458.
    • Considers various issues concerning the theory-theory of concepts.
  • Peacocke, Christopher. 1989a. “Possession Conditions: A Focal Point for Theories of Concepts.” Mind and Language 4 (1, 2), 51-56.
  • Peacocke, Christopher. 1989b. “What Are Concepts?” In Peter French, Theodore Uehling, and Howard Wettstein, (Eds.), Contemporary Perspectives in the Philosophy of Language II. Midwest Studies in Philosophy, Vol. XIV (Notre Dame, Indiana: University of Notre Dame Press), 1-28.
  • Peacocke, Christopher. 1991. “The Metaphysics of Concepts.” Mind C (4), 525-546.
  • Peacocke, Christopher. 1992. A Study of Concepts. Cambridge: M.I.T. Press.
    • Peacocke’s primary and most detailed work on concepts, with the focus on possession conditions for concepts as the basic issue by way of understanding the nature of concepts.
  • Peacocke, Christopher. 2000. “Theories of Concepts: A Wider Task.” European Journal of Philosophy 8 (3), 298-321.
  • Pitt, David. 1999. “In Defense of Definitions.” Philosophical Psychology 12 (2), 139-156.
    • A defense of a classical-style view of concepts.
  • Plato. 1961a. The Collected Dialogues of Plato. Ed. Edith Hamilton and Huntington Cairns. Princeton, New Jersey: Princeton University Press.
  • Plato. 1961b. Euthyphro. Trans. L. Cooper. In Plato 1961a, 169-185.
    • An early dialogue where the focus is on analyzing [piety].
  • Plato. 1961c. Laches. Trans. L. Cooper. In Plato 1961a, 123-144.
    • A dialogue where the participants attempt to analyze [courage].
  • Plato. 1961d. Lysis. Trans. L. Cooper. In Plato 1961a, 145-168.
    • A dialogue considering various analyses of [friendship].
  • Plato. 1961e. Theatetus. Trans. L. Cooper. In Plato 1961a, 845-919.
    • A dialogue on the proper analysis of [knowledge], defending the traditional analysis of knowledge as justified true belief.
  • Prinz, Jesse J. 2002. Furnishing the Mind: Concepts and Their Perceptual Basis. Cambridge: M.I.T. Press.
  • Putnam, Hilary. 1966. “The Analytic and the Synthetic.” In H. Feigl and G. Maxwell, eds., Minnesota Studies in the Philosophy of Science, vol. III. Minneapolis, Minnesota: University of Minnesota Press, 358-397.
    • An influential article attempting to undermine, among other things, the analytic/synthetic distinction, and with it the classical view’s commitment to analyses as analytic truths.
  • Putnam, Hilary. 1983. “‘Two Dogmas’ Revisited.” In Hilary Putnam, Realism and Reason: Philosophical Papers, Volume 3. Cambridge: Cambridge University Press, 87-97.
  • Quine, W. V. O. 1953/1999. “Two Dogmas of Empiricism.” In Margolis and Laurence 1999, 153-170.
  • Quine, W. V. O. 1960. Word and Object. Cambridge: The M.I.T. Press.
  • Ramsey, William. 1992. “Prototypes and Conceptual Analysis.” Topoi 11, 59-70.
    • A defense of the prototype view, by way of criticizing the classical theory.
  • Rey, Georges. 1983. “Concepts and Stereotypes.” Cognition 15, 237-262.
    • A criticism of Smith and Medin 1981’s defense of the prototype theory, with exposition on general tasks for theories of concepts to accomplish.
  • Rey, Georges. 1985. “Concepts and Conceptions: A Reply to Smith, Medin and Rips.” Cognition 19, 297-303.
    • Further criticism of the prototype theory.
  • Rey, Georges. 1995. “Concepts.” In Samuel Guttenplan, (Ed.), A Companion to the Philosophy of Mind (Oxford: Blackwell Publishers), 185-193.
    • An encyclopedia entry on concepts.
  • Rosch, Eleanor. 1999. “Principles of Categorization.” In Margolis and Laurence 1999, 189-206.
    • An exposition of Rosch’s famous work from the 1970s illuminating typicality effects for various concepts.
  • Schlipp, P. (Ed.). 1968. The Philosophy of G. E. Moore. LaSalle, Illinois: Open Court.
  • Sibley, Frank. 1966. “Aesthetic Concepts.” In Cyril Barrett, Ed., Collected Papers on Aesthetics. New York: Barnes and Noble, 61-89.
    • This and the following reference defend a view of aesthetic concepts committed to a neoclassical treatment of them.
  • Sibley, Frank. 1973. “Is Art an Open Concept? An Unsettled Question.” In Matthew Lipman (Ed.), Contemporary Aesthetics (Boston: Allyn and Bacon, Inc.), 114-117.
  • Smith, Edward E. 1989. “Three Distinctions About Concepts and Categorization.” Mind and Language 4 (1, 2), 57-61.
  • Smith, Edward, E. and Medin, Douglas L. 1981. Categories and Concepts. Cambridge: Harvard University Press.
    • Contains general discussion of research on theories of concepts up to 1981, with a defense of the prototype theory.
  • Smith, Edward, E. 1999. “The Exemplar View.” In Margolis and Laurence 1999, 207-221.
    • Chapter 7 of Smith and Medin 1981.
  • Wittgenstein, Ludwig. 1958. Philosophical Investigations. 3rd Ed. New York: MacMillan.
    • Sections 65-78 include Wittgenstein’s critique of classical-style definitions.

Author Information

Dennis Earl
Email: dearl@coastal.edu
Coastal Carolina University
U. S. A.

An encyclopedia of philosophy articles written by professional philosophers.